[Title 46 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1998 Edition]
[From the U.S. Government Printing Office]


          46



          Shipping



[[Page i]]

          PARTS 1 TO 40

                         Revised as of October 1, 1998

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF OCTOBER 1, 1998
          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1998



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 46:
          Chapter I--Coast Guard, Department of Transportation       3
  Finding Aids:
      Material Approved for Incorporation by Reference........     505
      Table of CFR Titles and Chapters........................     509
      Alphabetical List of Agencies Appearing in the CFR......     527
      List of CFR Sections Affected...........................     537



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                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  46 CFR 1.01-05 
                       refers to title 46, part 
                       1, section 01-05.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 1998), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I), and Acts Requiring Publication 
in the Federal Register (Table II). A list of CFR titles, chapters, and 
parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.

[[Page vii]]

    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.

SALES

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ELECTRONIC SERVICES

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of Presidential Documents and the Privacy Act Compilation are available 
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site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

October 1, 1998.



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                               THIS TITLE

    Title 46--Shipping is composed of nine volumes. The parts in these 
volumes are arranged in the following order: Parts 1-40, 41-69, 70-89, 
90-139, 140-155, 156-165, 166-199, 200-499 and 500 to End. The first 
seven volumes containing parts 1-199 comprise chapter I--Coast Guard, 
DOT. The eighth volume, containing parts 200 to 499, includes chapter 
II--Maritime Administration, DOT and chapter III--Coast Guard (Great 
Lakes Pilotage), DOT. The ninth volume, containing part 500 to End, 
includes chapter IV--Federal Maritime Commission. The contents of these 
volumes represent all current regulations codified under this title of 
the CFR as of October 1, 1998.

    Subject indexes appear for subchapter B--Merchant Marine Officers 
and Seamen, subchapter C--Uninspected Vessels, and subchapter D--Tank 
Vessels following the subchapters in parts 1-40; for subchapter F--
Marine Engineering following the subchapter in parts 41-69; for 
subchapter H--Passenger Vessels following the subchapter in parts 70-89; 
for subchapter I--Cargo and Miscellaneous Vessels, subchapter I-A--
Mobile Offshore Drilling Units, subchapter J--Electrical Engineering, 
subchapter K--Small Passenger Vessels Carrying More Than 150 Passengers 
or With Overnight Accommodations for More Than 49 Passengers, and 
subchapter L--Offshore Supply Vessels following the subchapters in parts 
90-139; for subchapter S--Subdivision and Stability, subchapter T--Small 
Passenger Vessels (Under 100 Gross Tons), and subchapter W--Lifesaving 
Appliances and Arrangements following the subchapters in parts 166-199.

    For this volume, Ruth Reedy Green was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

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[[Page 1]]



                           TITLE 46--SHIPPING




                     (This book contains parts 1-40)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Coast Guard, Department of Transportation........           1

[[Page 3]]



                         CHAPTER I--COAST GUARD,
                      DEPARTMENT OF TRANSPORTATION




  --------------------------------------------------------------------

            SUBCHAPTER A--PROCEDURES APPLICABLE TO THE PUBLIC
Part                                                                Page
1               Organization, general course and methods 
                    governing marine safety functions.......           5
2               Vessel inspections..........................          12
3               Designation of oceanographic research 
                    vessels.................................          35
4               Marine casualties and investigations........          37
5               Marine investigation regulations--personnel 
                    action..................................          51
6               Waivers of navigation and vessel inspection 
                    laws and regulations....................          74
7               Boundary lines..............................          76
8               Vessel inspection alternatives..............          84
9               Extra compensation for overtime services....          96
            SUBCHAPTER B--MERCHANT MARINE OFFICERS AND SEAMEN
10              Licensing of maritime personnel.............          99
12              Certification of seamen.....................         177
13              Certification of tankermen..................         206
14              Shipment and discharge of merchant mariners.         226
15              Manning requirements........................         231
16              Chemical testing............................         251

                Index subchapter B..........................         267
                    SUBCHAPTER C--UNINSPECTED VESSELS
24              General provisions..........................         283
25              Requirements................................         290
26              Operations..................................         300
28              Requirements for commercial fishing industry 
                    vessels.................................         302

                Index subchapter C..........................         349
                       SUBCHAPTER D--TANK VESSELS
30              General provisions..........................         353
31              Inspection and certification................         374

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32              Special equipment, machinery, and hull 
                    requirements............................         390
34              Firefighting equipment......................         420
35              Operations..................................         439
36              Elevated temperature cargoes................         460
38              Liquefied flammable gases...................         462
39              Vapor control systems.......................         477

                Index subchapter D..........................         487

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            SUBCHAPTER A--PROCEDURES APPLICABLE TO THE PUBLIC


PART 1--ORGANIZATION, GENERAL COURSE AND METHODS GOVERNING MARINE SAFETY FUNCTIONS--Table of Contents




         Subpart 1.0--Organization and General Flow of Functions

Sec.
1.01-5  Definitions of terms used in this part.
1.01-10  Organization.
1.01-15  Organization; districts.
1.01-20  Suspension and revocation proceedings.
1.01-25  General flow of functions.
1.01-30  Judicial review.
1.01-35  OMB control numbers assigned pursuant to the Paperwork 
          Reduction Act.

                     Subpart 1.03--Rights of Appeal

1.03-10  Definition of terms used in this subpart.
1.03-15  General.
1.03-20  Appeals from decisions or actions of an OCMI.
1.03-25  Appeals from decisions or actions of a District Commander.
1.03-30  Appeals from decisions or actions of the Marine Safety Center.
1.03-35  Appeals from decisions or actions of a recognized 
          classification society acting on behalf of the Coast Guard.
1.03-45  Appeals from decisions or actions involving documentation of 
          vessels.

    Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 49 CFR 1.45, 
1.46; Sec. 1.01-35 also issued under the authority of 44 U.S.C. 3507.

    Source: CGD 88-033, 54 FR 50376, Dec. 6, 1989, unless otherwise 
noted.



        Subpart 1.01--Organization and General Flow of Functions



Sec. 1.01-05  Definitions of terms used in this part.

    (a) The term Commandant means the Commandant of the Coast Guard.
    (b) The term District Commander means an officer of the Coast Guard 
designated as such by the Commandant to command all Coast Guard 
activities within a district.



Sec. 1.01-10  Organization.

    (a) The Commandant is the head of the agency and exercises overall 
direction over the policy and administration of the Coast Guard.
    (b) To carry out the regulatory and enforcement aspects of marine 
safety, the staff officers designated in this paragraph are assigned to 
the Commandant. The chain of military command is from the Commandant 
directly to the District Commanders. The staff officers at Headquarters 
act only on the basis of the Commandant's authority and direction.
    (1) The Assistant Commandant for Marine Safety and Environmental 
Protection under the general direction of the Commandant, directs, 
supervises and coordinates the activities of the Standards Directorate, 
consisting of the Office of Design and Engineering Standards, the Office 
of Operating and Environmental Standards, and the Office of Standards 
Evaluation and Development; the Field Activities Directorate, consisting 
of the Office of Compliance, the Office of Response, and the Office of 
Investigations and Analysis; and the Resource Management Directorate, 
consisting of the Office of Planning and Resources and the Office of 
Information Resources. The Port Safety and Security programs 
administered by the Chief, Office of Compliance and the Marine 
Environmental Response programs administered by the Chief, Office of 
Response are guided by regulations contained in 33 CFR chapter I. The 
Assistant Commandant for Marine Safety and Environmental Protection 
exercises technical control over the Commanding Officer, National 
Maritime Center and, through the District Commander, supervises the 
administration of the Marine Safety Division of District Offices and 
Officers in Charge, Marine Inspection.
    (i) The Director of Standards (G-MS), under the general direction 
and supervision of the Assistant Commandant for Marine Safety and 
Environmental Protection establishes federal policies for development of 
marine safety and environmental protection treaties, laws, and 
regulations; develops safety, security and environmental protection 
standards for the maritime industry;

[[Page 6]]

integrates all marine safety and environmental protection regulatory 
programs; prepares legislation, regulations, and industry guidance for 
new safety and environmental protection programs; and maintains an 
active program for development of third party consensus industry 
standards.
    (A) The Chief, Office of Design and Engineering Standards (G-MSE), 
at Headquarters, under the direction of the Assistant Commandant for 
Marine Safety and Environmental Protection and the Director of 
Standards, manages the program for defining the overall regulatory 
approach for vessels, offshore structures, and other marine systems 
incorporating safety considerations regarding the role of the human 
element; develops policies and regulations on load line matters and 
supervises classification societies authorized to assign load lines on 
behalf of the Coast Guard; oversees the development and maintenance of 
programs that incorporate risk-based methods in making safety 
determinations and policies; and oversees technical research and 
development for safety and environmental protection associated with 
marine vessels, structures and facilities.
    (B) The Chief, Office of Operating and Environmental Standards (G-
MSO), at Headquarters, under the direction of the Assistant Commandant 
for Marine Safety and Environmental Protection and the Director of 
Standards, coordinates and integrates program standards for personnel 
qualification, vessel manning, vessel and facility operations, cargo 
systems and handling, and environmental protection; develops and 
maintains standards, regulations and industry guidance for maritime 
industry operations to prevent deaths, injuries, property damage, and 
environmental harm; develops and maintains safety standards and 
regulations for commercial fishing industry vessels and uninspected 
commercial vessels; and develops and maintains health and safety 
standards and regulations for U.S. inspected vessels.
    (C) The Chief, Office of Standards Evaluation and Development (G-
MSR), at Headquarters, under the Direction of the Assistant Commandant 
for Marine Safety and Environmental Protection and the Director of 
Standards, coordinates the development of new standards and programs 
across all technical and operational areas of marine safety and 
environmental protection; provides comprehensive analytical support for 
all standards assessment and development efforts; and coordinates 
development of measures of effectiveness for assessing regulatory 
programs and consensus standards.
    (ii) The Director of Field Activities (G-MO), under the general 
direction and supervision of the Assistant Commandant for Marine Safety 
and Environmental Protection, acts as Program Manager for the Marine 
Safety and Marine Environmental Protection Programs; directs, 
coordinates, and integrates the Coast Guard's marine safety and 
environmental protection compliance programs, contingency planning, 
response operations, and investigations programs; establishes and 
coordinates field implementation policies and priorities for all marine 
safety commands and units; serves as the focal point for field support 
and technical guidance; and provides oversight of marine documentation 
and marine personnel administration matters.
    (A) The Chief, Office of Compliance (G-MOC), at Headquarters, under 
the direction of the Assistant Commandant for Marine Safety and 
Environmental Protection and the Director of Field Activities, 
administers and balances all marine safety and environmental protection 
compliance programs, including direction of Coast Guard activities and 
oversight of third parties and industry programs; develops, publishes 
and maintains program policies for vessel compliance, interprets 
standards and regulations, and provides field guidance for execution and 
enforcement; administers the marine inspection program and foreign 
vessel boarding program for the enforcement of commercial vessel 
material and operational safety standards; and supervises the 
administration of licensing and documenting of merchant personnel, the 
issuance of certificates of registry to merchant marine staff officers, 
and the manning of U.S. vessels.
    (B) The Chief, Office of Response (G-MOR), at Headquarters, under 
the Direction of the Assistant Commandant for Marine Safety and 
Environmental

[[Page 7]]

Protection and the Director of Field Activities, coordinates and 
integrates field planning, preparedness, and response operations for 
pollution incidents, natural disasters, marine accidents, terrorism, and 
other threats to public safety, the marine environment, or marine 
transportation and commerce; develops, publishes, and maintains program 
policies for preparedness and response, interprets laws and regulations, 
and provides field guidance for execution; provides guidance regarding 
emergency authorities of the Captain of the Port (COTP); and administers 
Office programs for ports and waterway management, bridging compliance 
and response efforts with an active presence in the marine environment.
    (C) The Chief, Office of Investigations and Analyses (G-MOA), at 
Headquarters, under the direction of the Assistant Commandant for Marine 
Safety and Environmental Protection and the Director of Field 
Activities, reviews investigations of marine casualties; manages, 
develops policy for and evaluates domestic and international programs 
and processes associated with investigations of marine casualties and 
injuries; manages analysis of casualties and casualty data, civil 
penalties and other remedial programs (including proceedings to suspend 
or revoke Coast Guard licenses, documents or certificates held by 
mariners); and manages marine employer drug and alcohol testing 
programs.
    (D) The Commanding Officer, Coast Guard National Maritime Center 
(NMC) under technical control of the Assistant Commandant for Marine 
Safety and Environmental Protection, administers operational and 
administrative control of the Marine Safety Center which conducts 
reviews and approvals of plans, calculations, and other materials 
concerning the design, construction, alterations, and repair of 
commercial vessels to determine conformance with the marine inspection 
laws, regulations, and implementing directions; administers operational 
and administrational control over the National Vessel Documentation 
Center which administers U.S. vessel identification and documentation; 
oversees and administers the U.S. tonnage measurement program which 
measures U.S. naval vessels and oversees issuance of international and 
domestic tonnage certificates; administers merchant mariner licensing 
and seaman's documentation; and oversees the national pilotage program.
    (iii) The Director of Resource Management (G-MR), under the general 
direction and supervision of the Assistant Commandant for Marine Safety 
and Environmental Protection, serves as Facility Manager for the marine 
safety programs; coordinates and integrates financial, informational, 
and human resources; plans, acquires, develops, and allocates resources 
for development and execution of the Coast Guard's marine safety 
programs; provides the focal point for all resource issues in support of 
the Standards and Operations Directorates; and oversees the development 
and management of the Coast Guard's direct user fee program.
    (2) The Chief Counsel of the Coast Guard at Headquarters, under the 
general direction and supervision of the General Counsel, Department of 
Transportation and the Commandant, considers cases involving alleged 
violations of navigation and vessel inspection laws or regulations 
prescribed thereunder and published in this chapter or in 33 CFR chapter 
I, and reviews appeals to the Commandant from statutory monetary 
penalties assessed therefor. Upon completion of such a review, the Chief 
Counsel prepares a proposed action for the Commandant's consideration 
or, in appropriate cases, takes final action on behalf of, and as 
directed by, the Commandant.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 95-072, 60 FR 
50458, Sept. 29, 1995; CGD 95-072, 60 FR 54106, Oct. 19, 1995; CGD 96-
041, 61 FR 50724, Sept. 27, 1996; CGD 97-057, 62 FR 51041, Sept. 30, 
1997; USCG-1998-4442, 63 FR 52188, Sept. 30, 1998]



Sec. 1.01-15  Organization; districts.

    (a) To assist the District Commander in carrying out the regulatory 
and enforcement aspects of marine safety in the Coast Guard Districts, 
there is assigned to each District Commander a staff officer designated 
as Chief, Marine Safety Division. The chain of military command is from 
the District Commander to each Officer in Charge,

[[Page 8]]

Marine Inspection, within the district. The Chief, Marine Safety 
Division, is a staff officer assigned to the District Commander and acts 
only on the basis of the authority and by direction of the District 
Commander.
    (1) The Chiefs, Marine Safety Division, in the District Offices, 
under the supervision of their respective District Commanders, direct 
the activities in their district relative to vessel, factory and 
shipyard inspections; reports and investigations of marine casualties 
and accidents; processing of violations of navigation and vessel 
inspection laws; the licensing, certificating, shipment and discharge of 
seaman; the investigation and institution of proceedings looking to 
suspension and revocation under 46 U.S.C. chapter 77 of licenses, 
certificates, and documents held by persons; and all other marine safety 
regulatory activities except those functions related to recreational 
boating when under the supervision of the Chiefs, Boating Safety 
Division, in the District Offices.
    (2) Unless otherwise provided for, the Chiefs, Boating Safety 
Division, in the District Offices, under the supervision of their 
respective District Commanders, direct the activities in their districts 
relative to administration of the law enforcement program applicable to 
uninspected vessels used for recreational purposes and the imposition 
and collection of penalties in connection therewith; maintain liaison 
with Federal and State agencies having related interests; develop and 
coordinate agreements and arrangements with Federal and State agencies 
for cooperation in the enforcement of State and Federal laws related to 
recreational boating; and review investigative reports of recreational 
boating accidents.
    (b) The Officers in Charge, Marine Inspection, in the Coast Guard 
districts, under the supervision of their respective District 
Commanders, are in charge of marine inspection offices and marine safety 
offices located in various ports and have command responsibility with 
assigned marine safety zones for the performance of duties with respect 
to the inspection, enforcement, and administration of navigation and 
vessel inspection laws, and rules, and regulations governing marine 
safety. The Officer in Charge, Marine Inspection, has been designated 
and delegated to give immediate direction to Coast Guard activities 
relating to marine safety functions consisting of inspection of vessels 
in order to determine that they comply with the applicable laws, rules, 
and regulations relating to construction, equipment, manning and 
operation, and to be satisfied that such vessels are in seaworthy 
condition for the services in which such vessels are to be operated; 
shipyard inspections; factory inspections of materials and equipment for 
vessels; the licensing, certificating, shipment and discharge of seaman; 
investigations of marine casualties and accidents; investigations of 
violations of law; negligence, misconduct, unskillfullness, incompetence 
or misbehavior of persons holding licenses, certificates, or documents 
issued by the Coast Guard; initiations of actions seeking suspension or 
revocation under 46 U.S.C. chapter 77 of licenses, certificates and 
documents held by persons, and presentation of cases at hearings before 
Administrative Law Judges; and the enforcement of navigation, vessel 
inspection and seaman laws in general.
    Note: Licensing and Certification functions are performed only by 
the Officer in Charge, Marine Inspection, at the following locations:

Boston, MA
New York, NY
Baltimore, MD
Charleston, SC
Miami, FL
New Orleans, LA
Houston, TX
Memphis, TN
St. Louis, MO
Toledo, OH
Long Beach, CA
San Francisco, CA
Portland, OR
Seattle, WA
Anchorage, AK
Juneau, AK
Honolulu, HI

    Where the term Officer in Charge, Marine Inspection, Marine 
Inspection Office, or Marine Safety Office is used within the context of 
parts 10 or 12 of this chapter, it is understood to mean that particular 
Officer or Office at one of the above listed locations.

[[Page 9]]

    (c) For descriptions of Coast Guard districts and marine safety 
zones, see 33 CFR part 3.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 97-057, 62 FR 
51040, Sept. 30, 1997]



Sec. 1.01-20  Suspension and revocation proceedings.

    (a) The Commandant takes final agency action on each proceeding 
concerned with revocation.
    (b) The Commandant has delegated authority to the Vice Commandant in 
33 CFR 1.01-40 to take final agency action under subparts I, J, and K of 
part 5 of this chapter on each proceeding except on a petition or appeal 
in a case on which an order of revocation has been issued.
    (c) The Commandant assigns to his staff a Chief Administrative Law 
Judge who is an Administrative Law Judge appointed under 5 U.S.C. 3105 
and whose assignment is to:
    (1) Act as adviser and special assistant to the Commandant on 
matters concerning the administration of hearings conducted under 46 
U.S.C. chapter 77;
    (2) Conduct hearings under 46 U.S.C. chapter 77;
    (3) Train new Administrative Law Judges assigned to conduct hearings 
under 46 U.S.C. chapter 77;
    (4) Review the written decisions and orders of each Administrative 
Law Judge assigned to conduct a hearing under 46 U.S.C. chapter 77; and
    (5) Act as adviser to the Chief Counsel in preparation of the final 
action of proceedings conducted under subparts I, J, and K of part 5 of 
this chapter.
    (d) The Chief Counsel of the Coast Guard, under the general 
direction and supervision of the Commandant, U.S. Coast Guard:
    (1) Acts as an adviser and as a special assistant to the Commandant 
in matters of law; and
    (2) Prepares for the consideration of the Commandant or the Vice 
Commandant, as appropriate, proposed decisions on cases on appeal or 
review in suspension and revocation proceedings.



Sec. 1.01-25  General flow of functions.

    (a) The Officer in Charge, Marine Inspection, has final authority 
with respect to the functions described in Sec. 1.01-15(b) of this 
subpart, subject to the rights of appeal set forth in subpart 1.03 of 
this part.
    (b) The general course and method by which the functions (other than 
those dealing with suspension and revocation of licenses, certificates, 
or documents described in paragraph (c) of this section) concerning 
marine safety activities are channeled begins with the Officer in 
Charge, Marine Inspection, at the local Marine Safety Office. From this 
officer the course is to the Chief, Marine Safety Division, on the staff 
of the District Commander and then to the District Commander. From the 
District Commander the course is to the Chief of one of the offices 
within Marine Safety and Environmental Protection at Headquarters. In 
most administrative cases the channel ends at this point; however, on 
matters of policy and other appropriate cases, the course continues to 
the Assistant Commandant for Marine Safety and Environmental Protection, 
and then to the Commandant, whose decisions are final.
    (c) In proceedings involving the suspension or revocation of a Coast 
Guard license, certificate or document issued to an individual, the 
course and method by which such proceedings are channeled are as 
follows:
    (1) In the United States, the Commonwealth of Puerto Rico, Territory 
of Guam, the Virgin Islands, and other possessions, the proceedings are 
initiated by the preferment of charges and specifications against the 
holder of the Coast Guard license, certificate or document. A Coast 
Guard Investigating Officer under the supervision of an Officer in 
Charge, Marine Inspection, or an Officer in Charge, Marine Inspection 
causes the charges and specifications to be served on the person 
described therein (person charged) who is a holder of a Coast Guard 
license, certificate or document. At a hearing the Coast Guard submits 
evidence to support the charges and specifications, while the person 
charged may submit evidence in rebuttal or mitigation. The 
Administrative Law Judge renders a decision on the basis of the evidence 
adduced at

[[Page 10]]

the hearing and the law. The Administrative Law Judge's decision is 
given to the person charged.
    (i) In a case where an appeal is made by the person charged, the 
notice of appeal is filed with the Administrative Law Judge who heard 
the case or with any Officer in Charge, Marine Inspection, for 
forwarding to such Administrative Law Judge.
    (ii) [Reserved]
    (2) [Reserved]
    (d) In the performance of their duties, all Coast Guard 
Administrative Law Judges are bound by law and the regulations in this 
chapter or in 33 CFR chapter I. Statements of policy, clarification of 
points of procedure, and general administrative instructions are 
published in Administrative Law Judges' Circulars and Administrative Law 
Judges' Internal Practices and Procedures Series. The Chief 
Administrative Law Judge, located in the Office of the Commandant, U.S. 
Coast Guard, maintains a complete file of these publications for reading 
purposes during normal working hours.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 96-041, 61 FR 
50725, Sept. 27, 1996; CGD 97-057, 62 FR 51040, 51041, Sept. 30, 1997]



Sec. 1.01-30  Judicial review.

    (a) Nothing in this chapter shall be construed to prohibit any party 
from seeking judicial review of any Commandant's decision or action 
taken pursuant to the regulations in this part or part 5 of this chapter 
with respect to suspension and revocation proceedings arising under 46 
U.S.C. chapter 77.
    (b) If the person found guilty of any offense fails to make a timely 
appeal, the decision of the Administrative Law Judge is final and 
binding on the person charged as of the date that the decision is 
delivered to the person charged or his authorized representative.



Sec. 1.01-35  OMB control numbers assigned pursuant to the Paperwork Reduction Act.

    (a) Purpose. This section collects and displays the control numbers 
assigned to information collection and record keeping requirements in 
this subchapter by the Office of Management and Budget (OMB) pursuant to 
the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). The Coast 
Guard intends that this section comply with the requirements of 44 
U.S.C. 3507(f) which requires agencies display a current control number 
assigned by the Director of the OMB for each approved agency information 
collection requirement.
    (b) Display.

------------------------------------------------------------------------
46 CFR part or section where identified or
                 described                     Current OMB control No.
------------------------------------------------------------------------
Sec.  2.01................................  2115-0007
Sec.  2.95-10.............................  2115-0141
Sec.  3.10................................  2115-0053
Part 4....................................  2115-0003
Part 6....................................  2115-0005
------------------------------------------------------------------------



                     Subpart 1.03--Rights of Appeal



Sec. 1.03-10  Definition of terms used in this subpart.

    (a) The term recognized classification society means the American 
Bureau of Shipping or other classification society recognized by the 
Commandant.
    (b) The term new vessel means:
    (1) For vessels which require a Certificate of Inspection, a new 
vessel is a vessel which has not received an initial Certificate of 
Inspection.
    (2) For vessels which do not require a Certificate of Inspection, a 
new vessel is a vessel which has not received a Load Line assignment.
    (c) The term existing vessel means a vessel which is not a new 
vessel.



Sec. 1.03-15  General.

    (a) Any person directly affected by a decision or action taken under 
this chapter, by or on behalf of the Coast Guard, except for matters 
covered by subpart J of part 5 of this chapter dealing with suspension 
and revocation hearings, shall follow the procedures contained in this 
section when requesting that the decision or action be reviewed, set 
aside or revised.
    (b) When requesting that a decision or action be reconsidered or 
reviewed, as may be required by this subpart, such request must be made 
within 30 days after the decision is rendered or the action is taken.
    (c) When making a formal appeal of a decision or action, as 
permitted by this

[[Page 11]]

subpart, such appeal must be submitted in writing and received by the 
authority to whom the appeal is required to be made within 30 days after 
the decision or action being appealed, or within 30 days after the last 
administrative action required by this subpart. Upon written request and 
for good cause, the 30 day time limit may be extended by the authority 
to whom the appeal is required to be made.
    (d) A formal appeal must contain a description of the decision or 
action being appealed and the appellant's reason(s) why the decision or 
action should be set aside or revised.
    (e) When considering an appeal, the Commandant or a District 
Commander may stay the effect of a decision or action being appealed 
pending determination of the appeal.
    (f) While a request for reconsideration or review or a formal appeal 
is pending, the original decision or action remains in effect, unless 
otherwise stayed under paragraph (e) of this section.
    (g) The Commandant may delegate authority to act on administrative 
appeals under this subpart to the Assistant Commandant for Marine Safety 
and Environmental Protection, and appropriate office chiefs within 
Marine Safety and Environmental Protection.
    (h) Formal appeals made to the Commandant shall be addressed to:
    (1) Commandant (G-MOC) for appeals involving vessel inspection 
issues, load line issues, vessel manning issues or other personnel 
issues;
    (2) Commandant (G-MS) for appeals involving vessel plan review or 
tonnage measurement issues; or
    (3) Commanding Officer, National Maritime Center, for appeals 
involving vessel documentation issues and tonnage issues.
    (4) Commandant (G-MSE) for appeals involving the recognition of a 
classification society.
    (i) Failure to submit a formal appeal in accordance with the 
procedures and time limits contained in this subpart results in the 
decision or action becoming final agency action.
    (j) Any decision made by the Commandant, or by the Assistant 
Commandant for Marine Safety and Environmental Protection, or by an 
office chief pursuant to authority delegated by the Commandant is final 
agency action on the appeal.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 89-007, CGD 
89-007a, 58 FR 60265, Nov. 15, 1993; CGD 96-041, 61 FR 50725, Sept. 27, 
1996; CGD 97-057, 62 FR 51040, Sept. 30, 1997; CGD 95-010, 62 FR 67532, 
Dec. 24, 1997; USCG-1998-4442, 63 FR 52188, Sept. 30, 1998]



Sec. 1.03-20  Appeals from decisions or actions of an OCMI.

    Any person directly affected by a decision or action of an OCMI may, 
after requesting reconsideration of the decision or action by the 
cognizant OCMI, make a formal appeal of that decision or action, via the 
office of the cognizant OCMI, to the District Commander of the district 
in which the office of the cognizant OCMI is located, in accordance with 
the procedures contained in Sec. 1.03-15 of this subpart.



Sec. 1.03-25  Appeals from decisions or actions of a District Commander.

    Any person directly affected by a decision or action of a District 
Commander made pursuant to Sec. 1.03-20 of this subpart, may make a 
formal appeal of that decision or action, via the office of the 
cognizant District Commander, to the Commandant, in accordance with the 
procedures contained in Sec. 1.03-15 of this subpart.



Sec. 1.03-30  Appeals from decisions or actions of the Marine Safety Center.

    (a) Any person directly affected by a decision or action of the 
Marine Safety Center involving tonnage measurement or which otherwise 
affects a new vessel or plans for a vessel to be built may, after 
requesting reconsideration of the decision or action by the Commanding 
Officer, Marine Safety Center, make a formal appeal, of that decision or 
action, via the Commanding Officer, Marine Safety Center, to the 
Commandant, in accordance with the procedures contained in Sec. 1.03-15 
of this subpart.
    (b) Any person directly affected by a decision or action of the 
Marine Safety Center not involving tonnage measurement but which 
otherwise affects an existing vessel, prior to initiating a formal 
appeal, must request review of

[[Page 12]]

that decision or action by the cognizant OCMI. Following review by the 
cognizant OCMI, the decision or action under review may be appealed to 
the District Commander, in accordance with the procedures contained in 
Sec. 1.03-20 of this subpart.

[CGD 97-057, 62 FR 51040, Sept. 30, 1997, as amended by USCG-1998-4442, 
63 FR 52188, Sept. 30, 1998]



Sec. 1.03-35  Appeals from decisions or actions of a recognized classification society acting on behalf of the Coast Guard.

    (a) Any person directly affected by a decision or action of a 
recognized classification society performing plan review, tonnage 
measurement, or load line assignment on behalf of the Coast Guard may, 
after requesting reconsideration of the decision or action by the 
classification society, make a formal appeal, via the classification 
society headquarters, to the Commandant, in accordance with the 
procedures contained in Sec. 1.03-15 of this subpart.
    (b) Any person directly affected by a decision or action of a 
recognized classification society acting as a marine inspector, as 
defined in Sec. 30.10-43 of this chapter, on behalf of the Coast Guard, 
prior to initiating a formal appeal, must request review of that 
decision or action by the cognizant OCMI. Following review by the 
cognizant OCMI, the decision or action under review may be appealed to 
the District Commander, in accordance with the procedures contained in 
Sec. 1.03-20 of this subpart.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997]



Sec. 1.03-45  Appeals from decisions or actions involving documentation of vessels.

    Any person directly affected by a decision or action of an officer 
or employee of the Coast Guard acting on or in regard to the 
documentation of a vessel under part 67 of this chapter, may make a 
formal appeal of that decision or action to the Commandant in accordance 
with the procedures contained in Secs. 1.03-15 through 1.03-25 of this 
subpart.

[CGD 89-007, CGD 89-007a, 58 FR 60265, Nov. 15, 1993]



PART 2--VESSEL INSPECTIONS--Table of Contents




          Subpart 2.01--Inspecting and Certificating of Vessels

Sec.
2.01-1  Applications for inspections.
2.01-3  Notification of inspection.
2.01-5  Certificate of inspection.
2.01-6  Certificates issued to foreign vessels.
2.01-7  Classes of vessels (including motorboats) examined or inspected 
          and certificated.
2.01-8  Application of regulations to vessels or tankships on an 
          international voyage.
2.01-10  Inspection requirements--domestic vessels.
2.01-13  Inspection requirements--foreign vessels.
2.01-15  Vessel repairs.
2.01-20  Suspension or revocation of certificates of inspection.
2.01-25  International Convention for Safety of Life at Sea, 1974.
2.01-30  Delegation of OCMI signature authority.
2.01-40  Passengers or persons in addition to crew on cargo or tank 
          vessels.
2.01-45  Excursion permit.
2.01-50  Persons other than crew on towing, oyster, or fishing steam 
          vessels.
2.01-60  Overtime compensation.
2.01-70  Right of appeal.
2.01-80  Vessel inspections in Alaska.

                           Subpart 2.10--Fees

2.10-1  Applicability.
2.10-5  Exemptions.
2.10-10  Waivers.
2.10-20  General requirements.
2.10-25  Definitions.
2.10-101  Annual vessel inspection fee.
2.10-105  Prepayment of annual vessel inspection fees.
2.10-115  Changes in vessel service.
2.10-120  Overseas inspection and examination fees.
2.10-125  Fees for examination of foreign tankships.
2.10-130  Fees for examination of foreign mobile offshore drilling 
          units.
2.10-135  Penalties.

                     Subpart 2.20--Reports and Forms

2.20-40  Chief engineer's reports.
2.20-50  Repairs or alterations in lifesaving or fire prevention 
          equipment.

                        Subpart 2.45  [Reserved]

                         Subpart 2.50--Penalties

2.50-1  Penalty procedures.

[[Page 13]]

       Subpart 2.75--Approvals of Safety Equipment, Materials and 
      Installations, and Qualifications for Construction Personnel

2.75-1  Approvals.
2.75-5  Certificates of approval.
2.75-10  Procedures for obtaining approvals.
2.75-15  Requirements and tests.
2.75-25  Portable fire extinguishers.
2.75-40  Suspension of approval.
2.75-50  Withdrawals or terminations of approvals and appeals.
2.75-60  Hazardous ships' stores.
2.75-70  Welding procedure and performance qualifications.

                        Subpart 2.85--Load Lines

2.85-1  Assignment of load lines.

               Subpart 2.90--Plans, Drawings or Blueprints

2.90-1  General requirements.

            Subpart 2.95--Retention of Records by the Public

2.95-1  Certificates or documents issued by Coast Guard.
2.95-5  Certificates or documents issued by others.
2.95-10  Equipment or material required to be approved.

    Authority: 33 U.S.C. 1903; 43 U.S.C. 1333; 46 U.S.C. 3103, 3205, 
3306, 3703; E.O. 12234, 45 FR 58801, 3 CFR, 1980 Comp., p. 277; 49 CFR 
1.46; Subpart 2.45 also issued under the authority of Act Dec. 27, 1950, 
Ch. 1155, secs. 1, 2, 64 Stat 1120 (see 46 U.S.C. App. note prec.1).

    Source: CGFR 65-50, 30 FR 16604, Dec. 30, 1965, unless otherwise 
noted.



          Subpart 2.01--Inspecting and Certificating of Vessels



Sec. 2.01-1  Applications for inspections.

    (a) Application forms. (1) Applications for inspections of vessels 
required to be inspected under Subtitle II, Title 46 of the U.S. Code, 
Title 46 and Title 33 U.S. Code, or under 50 U.S.C. 198 shall be made by 
the master, owner, or agent on the following Coast Guard forms which are 
obtainable from the Officer in Charge, Marine Inspection, at any local 
U.S. Coast Guard Marine Safety Office.
    (i) CG-3752--Application for Inspection of U.S. Vessel.
    (ii) CG-986--Application for Inspection of Foreign Vessel.
    (2) These applications require information on name and type of 
vessel, nature of employment and route in which to be operated, and 
place where and date when the vessel may be inspected.
    (b) To whom submitted. The completed form must be submitted to the 
Officer in Charge, Marine Inspection, in the Marine Inspection Zone 
within which the inspection is to be conducted.
    (c) New vessels. Applications for inspection of new vessels must be 
preceded by the submission of applicable drawings or prints in 
accordance with the specific requirements in subchapters D (Tank 
Vessels), E (Load Lines), F (Marine Engineering), H (Passenger Vessels), 
I (Cargo and Miscellaneous Vessels), J (Electrical Engineering), K 
(Small Passenger Vessels Carrying More Than 150 Passengers Or With 
Overnight Accommodations For More Than 49 Passengers), L (Offshore 
Supply Vessels), O (Certain Bulk Dangerous Cargoes), S (Subdivision and 
Stability), and T (Small Passenger Vessels) of this chapter applicable 
to that particular type of vessel or type of service in which the vessel 
is proposed to be operated.
    (d) Foreign-built vessels. (1) Those foreign-built vessels which are 
specifically authorized by public or private laws to engage in the 
coastwise trade, and those foreign-built vessels which are documented to 
engage in the foreign trade shall be inspected and certificated as 
required by law and/or the regulations in this chapter which are 
applicable to their class and employment.
    (2) Foreign-built vessels are not permitted to engage in the U.S. 
coastwise trade (domestic trade) unless specifically authorized by law. 
Therefore, when foreign-built vessels are intended for use in the 
coastwise trade as defined by the U.S. Customs Service, such vessels 
will not be inspected and certificated unless specifically authorized by 
law to engage in coastwise trade.

[CG FR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 79-023, 48 
FR 51006, Nov. 4, 1983; CGD 91-030, 60 FR 13563, Mar. 13, 1995; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; CGD 95-028, 62 FR 51194, Sept. 30, 
1997]

[[Page 14]]



Sec. 2.01-3  Notification of inspection.

    (a) At least 30 days, but less than 60 days, prior to the expiration 
of the Certification of Inspection, a vessel's owner, charterer, 
managing operator, agent, master or individual in charge shall notify 
the Coast Guard if the vessel will be required to be reinspected for 
certification or will be operated in such a manner as to not require a 
Certificate of Inspection.
    (b) The notification required by paragraph (a) shall be in writing 
and shall be submitted to the Officer in Charge, Marine Inspection for 
the Marine Inspection or Marine Safety Office of the port that:
    (1) Will be reinspecting and Certificating the Vessel;
    (2) Issued the vessel's current Certificate of Inspection if the 
vessel's schedule is such that it is not known where the next 
reinspection will take place; or
    (3) Issued the vessel's current Certificate of Inspection if the 
vessel will not be requiring reinspection for the issuance of a 
Certificate of Inspection.

[CGD 85-015, 51 FR 19340, May 29, 1986]



Sec. 2.01-5  Certificate of inspection.

    (a) Issuance of certificates. Upon completion of the inspection of a 
United States vessel, and on condition that the vessel and its equipment 
are approved by the inspector, a certificate of one or more of the 
following Coast Guard forms is issued by the Officer in Charge, Marine 
Inspection:
    (1) CG-841--Certificate of Inspection.
    (2) CG-854--Temporary Certificate of Inspection.
    (3) CG-3753--Certificate of Inspection (for small passenger 
vessels).
    (4) CG-4678--Barge Certificate of Inspection.
    (b) Description of certificates. The certificates of inspection 
issued to United States vessels describe the vessel, the route the 
vessel may travel, the minimum manning requirements, the safety 
equipment and appliances required to be on board, the total number of 
persons that may be carried, and the names of the owners and operators. 
The period of validity is stated on the certificate. The certificate may 
be renewed by applying for inspection under Sec. 2.01-1.
    (c) Amending certificates. When because of a change in the character 
of the vessel or vessel's route, equipment, etc. the vessel does not 
comply with the requirements of the Certificate of Inspection previously 
issued, a certificate amending such certificate may be issued at the 
discretion of the Officer in Charge, Marine Inspection, to whom request 
is made on Coast Guard form CG-858, Certificate of Inspection Amendment.

[CGD 77-014, 44 FR 5316, Jan. 25, 1979]



Sec. 2.01-6  Certificates issued to foreign vessels.

    (a) Issuance of certificates. Upon completion of an examination of a 
foreign vessel, one or more of the following certificates is issued by 
the Officer in Charge, Marine Inspection:
    (1) CG-4504--Control Verification for Foreign Vessel--issued to a 
foreign vessel that is registered in a country which is signatory to the 
International Convention for the Safety of Life at Sea, 1974.
    (2)(i) CG-2832A--Letter of Compliance--issued to a foreign vessel 
that is suitable for carriage of hazardous cargoes in bulk as defined in 
46 Code of Federal Regulations, subchapter 0 and is in compliance with 
Tankship Cargo Venting and Handling Systems and Minimum Pollution 
Prevention Regulations and Transfer Procedures (33 CFR parts 155, 156, 
157 and 159), and Navigation Safety Inspection Regulations (33 CFR part 
164).
    (ii) Letter of Compliance--issued to Foreign Mobile Offshore 
Drilling Units engaged in Outer Continental Shelf activities under 33 
CFR 143.210.
    (3) CG-840S-1--Tank Vessel Examination Letter--issued to a foreign 
vessel that is suitable for carriage of cargoes as defined in 46 Code of 
Federal Regulations, subchapter D and is in compliance with Tankship 
Cargo Venting and Handling Systems and Minimum Safety Standards (SOLAS 
74--46 CFR part 35), Pollution Prevention Regulations and Transfer 
Procedures (33 CFR parts 155, 156, 157 and 159), and Navigation Safety 
Regulations (33 CFR part 164).
    (4) Foreign vessels of countries which are nonsignatory to the 
International

[[Page 15]]

Convention for the Safety of Life at Sea, 1974, are issued a Temporary 
Certificate of Inspection (CG-854) and a Certificate of Inspection (CG-
841) as described in Sec. 2.01-5.
    (b) Description of Certificates. (1) CG-4504--Control Verification 
for Foreign Vessels--describes the vessel, type of certificate required 
by the International Convention for the Safety of Life at Sea, 1974, 
country issued by, and its expiration date. The period of validity of a 
control verification for foreign vessel is stated on the certificate.
    (2) CG-2832A--Letter of Compliance--describe the vessel and the 
period for which the letter is valid.
    (3) CG-840S-1--Tank Vessel Examination Letter--describe the vessel 
and if there are any deficiencies as to applicable regulations at the 
time the vessel was examined. If there are deficiencies they are listed 
in an attachment to this letter (CG-840S-2). The Tank Vessel Examination 
Letter is valid for a period of 1 year from the date the examination is 
completed.
    (4) Temporary Certificate of Inspection (CG-854) and Certificate of 
Inspection (CG-841) are amended as provided for in Sec. 2.01-5(c).

[CGD 77-014, 44 FR 5316, Jan. 25, 1979, as amended by CGD 90-008, 55 FR 
30659, July 26, 1990; CGD 91-030, 60 FR 13563, Mar. 13, 1995]



Sec. 2.01-7  Classes of vessels (including motorboats) examined or inspected and certificated.

    (a) The regulations in this chapter concerning inspecting and 
certificating vessels are applicable to vessels (including motorboats) 
as indicated in the following table 2.01-7(a):

[[Page 16]]



                                                                                         Table 2.01-7(a)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Classes of vessels (including motorboats) examined or inspected under various Coast Guard Regulations \1\
                                                  ----------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Vessels inspected and                                                                                    Vessels subject
                                                   Vessels inspected  certificated under either  Vessels inspected                                                                   to the
     Method of propulsion         Size or other     and certificated   Subchapter H--Passenger    and certificated       Vessels subject to            Vessels subject to         provisions of
                                   limitations      under Subchapter   Vessels \2\ \3\ \4\ \5\    under Subchapter  provisions of Subchapter C--  provisions of Subchapter U--   Subchapter O--
                                                    D--Tank Vessels     or Subchapter T--Small      I--Cargo and     Uninspected Vessels \2\ \3\    Oceanographic Vessels \2\     Certain Bulk
                                                          \2\         Passenger Vessels \2\ \3\    Miscellaneous             \6\ \7\ \8\                 \5\ \6\ \7\ \9\            Dangerous
                                                                                 \4\              Vessels \2\ \5\                                                                 Cargoes \10\
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Column 1                        Column 2.........  Column 3.........  Column 4.................  Column 5.........  Column 6....................  Column 7....................  Column 8
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Steam.........................  Vessels not over   All vessels        All vessels carrying more  All tugboats and   All vessels except those      None........................  All vessels
                                 65 feet in         carrying           than 6 passengers.\7\      towboats.          covered by columns 3, 4, 5,                                 carrying in
                                 length.            combustible or                                                   and 7.                                                      bulk the
                                                    flammable liquid                                                                                                             cargoes listed
                                                    cargo in bulk.                                                                                                               in Table I of
                                                                                                                                                                                 Pt. 153 and
                                                                                                                                                                                 Table 4 of Pt.
                                                                                                                                                                                 154.
                               -----------------------------------------------------------------------------------------------------------------------------------------------------------------
                                Vessels over 65    All vessels        1. All vessels carrying    All vessels        None........................  All vessels engaged in            Do.
                                 feet in length.    carrying           more than 12 passengers    except those                                     oceanographic research.
                                                    combustible or     on an international        covered by
                                                    flammable liquid   voyage, except yachts.     columns 3 and 4.
                                                    cargo in
                                                    bulk.\5\
                                                                      2. All vessels of not
                                                                       over 15 gross tons which
                                                                       carry more than 6
                                                                       passengers.\7\
                                                                      3. All other vessels
                                                                       carrying passengers,\7\
                                                                       except:
                                                                          a. Yachts.
                                                                          b. Documented cargo
                                                                       or tank vessels issued a
                                                                       permit to carry not more
                                                                       than 16 persons in
                                                                       addition to the crew.

[[Page 17]]

 
                                                                          c. Towing and fishing
                                                                       vessels, in other than
                                                                       ocean and coastwise
                                                                       service, may carry
                                                                       persons on the
                                                                       legitimate business of
                                                                       the vessel \5\ in
                                                                       addition to crew, but
                                                                       not to exceed one for
                                                                       each net ton of the
                                                                       vessel.
Motor.........................  Vessels not over   All vessels        All vessels carrying more  Those vessels      All vessels except those      None........................      Do.
                                 15 gross tons.     carrying           than 6 passengers.\7\      carrying           covered by columns 3, 4, 5,
                                                    combustible or                                dangerous          and 7.
                                                    flammable liquid                              cargoes when
                                                    cargo in bulk.                                required by 46
                                                                                                  CFR part 98 or
                                                                                                  49 CFR parts 171-
                                                                                                  179.
                               -----------------------------------------------------------------------------------------------------------------------------------------------------------------
                                Vessels over 15    All vessels        1. All vessels carrying    All vessels        All vessels except those      None........................      Do.
                                 gross tons         carrying           more than 12 passengers    carrying freight   covered by columns 3, 4, 5,
                                 except seagoing    combustible or     on an international        for hire except    and 7.
                                 motor vessels of   flammable liquid   voyage, except yachts.     those covered by
                                 300 gross tons     cargo in                                      columns 3 and 4.
                                 and over.          bulk.\5\
                                                                      2. All vessels not over
                                                                       65 feet in length which
                                                                       carry more than 6
                                                                       passengers.\7\
                                                                      3. All other vessels of
                                                                       over 65 feet in length
                                                                       carrying passengers for
                                                                       hire except documented
                                                                       cargo or tank vessels
                                                                       issued a permit to carry
                                                                       not more than 16 persons
                                                                       in addition to the crew.
                               -----------------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 18]]

 
                                Seagoing motor     All vessels        1. All vessels carrying    All vessels        All vessels except those      All vessels engaged in            Do.
                                 vessels of 300     carrying           more than 12 passengers    except those       covered by columns 3, 4, 5,   oceanographic research.
                                 gross tons and     combustible or     on an international        covered by         and 7.
                                 over.              flammable liquid   voyage, except yachts.     columns 3 and 4,
                                                    cargo in                                      and those
                                                    bulk.\5\                                      engaged in the
                                                                                                  fishing,
                                                                                                  oystering,
                                                                                                  clamming,
                                                                                                  crabbing, or any
                                                                                                  other branch or
                                                                                                  the fishery,
                                                                                                  kelp, or sponge
                                                                                                  industry.
                                                                      2. All other vessels
                                                                       carrying passengers,\7\
                                                                       except:
                                                                          a. Yachts.
                                                                          b. Documented cargo
                                                                       or tank vessels issued a
                                                                       permit to carry not more
                                                                       than 16 persons in
                                                                       addition to the crew.
                               -----------------------------------------------------------------------------------------------------------------------------------------------------------------
Sail..........................  Vessels not over   All vessels        All vessels carrying more  Those vessels      None........................  None........................      Do.
                                 700 gross tons.    carrying           than 6 passengers.\7\      carrying
                                                    combustible or                                dangerous
                                                    flammable liquid                              cargoes when
                                                    cargo in bulk.                                required by 46
                                                                                                  CFR part 98 or
                                                                                                  49 CFR parts 171-
                                                                                                  179.
                               -----------------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 19]]

 
                                Vessels over 700   All vessels        All vessels carrying       Those vessels      None........................  None........................      Do.
                                 gross tons.        carrying           passengers for hire.       carrying
                                                    combustible or                                dangerous
                                                    flammable liquid                              cargoes when
                                                    cargo in bulk.                                required by 46
                                                                                                  CFR part 98 or
                                                                                                  49 CFR parts 171-
                                                                                                  179.
                               -----------------------------------------------------------------------------------------------------------------------------------------------------------------
Non-self-propelled............  Vessels less than  All vessels        All vessels carrying more  Those vessels      All barges carrying           None........................  All tank barges
                                 100 gross tons.    carrying           than 6 passengers.\7\      carrying           passengers except those                                     carrying in
                                                    combustible or                                dangerous          covered by column 4.                                        bulk the
                                                    liquid cargo in                               cargoes when                                                                   cargoes listed
                                                    bulk.                                         required by 49                                                                 in Table 151.05
                                                                                                  CFR parts 171-                                                                 of this
                                                                                                  179.                                                                           chapter. \1\ \1
                                                                                                                                                                                 1\
 
Vessels 100 gross tons or over  All vessels        All vessels        All seagoing barges        All barges         All seagoing barges engaged       Do .....................
                                 carrying           carrying           except those covered by    carrying           in oceanographic research.
                                 combustible or     passengers for     columns 3 and 4; and       passengers
                                 flammable liquid   hire.              those inland barges        except those
                                 cargo in bulk.                        carrying dangerous         covered by
                                                                       cargoes when required by   columns 4 and 7.
                                                                       49 CFR parts 171-179.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Where length is used in this table it means the length measured from end to end over the deck, excluding sheer. This expression means a straight line measurement of the overall length from
  the foremost part of the vessel to the aftermost part of the vessel, measured parallel to the centerline.
\2\ Subchapters E (Load Lines), F (Marine Engineering), J (Electrical Engineering), and N (Dangerous Cargoes) of this chapter may also be applicable under certain conditions. The provisions of
  49 CFR parts 171-179 apply whenever hazardous materials are on board vessels (including motorboats), except when specifically exempted by law.
\3\ Public nautical schoolships, other than vessels of the Navy and Coast Guard, shall meet the requirements of part 167 of subchapter R (Nautical Schools) of this chapter, Civilian nautical
  schoolships, as defined by 46 U.S.C. 1331, shall meet the requirements of subchapter H (Passenger Vessels) and part 168 of subchapter R (Nautical Schools) of this chapter.
\4\ Subchapter H (Passenger Vessels) of this chapter covers only those vessels of 100 gross tons or more, subchapter T (Small Passenger Vessels) of this chapter covers only those vessels of
  less than 100 gross tons.
\5\ Vessels covered by subchapter H (Passenger Vessels) or I (Cargo and Miscellaneous Vessels) of this chapter, where the principal purpose or use of the vessel is not for the carriage of
  liquid cargo, may be granted a permit to carry a limited amount of flammable or combustible liquid cargo in bulk. The portion of the vessel used for the carriage of the flammable or
  combustible liquid cargo shall meet the requirements of subchapter D (Tank Vessels) in addition to the requirements of subchapter H (Passenger Vessels) or I (Cargo and Miscellaneous Vessels)
  of this chapter.
\6\ Any vessel on an international voyage is subject to the requirements of the International Convention for Safety of Life at Sea, 1974.
\7\ The meaning of the term passenger is as defined in the Act of May 10, 1956 (Sec. 1, 70 Stat. 151; 46 U.S.C. 390). On oceanographic vessels scientific personnel on board shall not be deemed
  to be passengers nor seamen, but for calculations of lifesaving equipment, etc., shall be counted as persons.
\8\ Boilers and machinery are subject to examination on vessels over 40 feet in length.
\9\ Under 46 U.S.C. 441 an oceanographic research vessel is a vessel ``* * * being employed exclusively in instruction in oceanography or linmology, or both, or exclusively in oceanographic
  research, * * *.'' Under 46 U.S.C. 443, ``an oceanographic research vessel shall not be deemed to be engaged in trade or commerce.'' If or when an oceanographic vessel engages in trade or
  commerce, such vessel cannot operate under its certificate of inspection as an oceanographic vessel, but shall be inspected and certificated for the service in which engaged, and the
  scientific personnel aboard then become persons employed in the business of the vessel.
\10\ Bulk dangerous cargoes are cargoes specified in table 151.01-10(b), in table I of part 153, and in table 4 of part 154 of this chapter.
\11\ For manned tank barges see Sec.  151.01-10(e) of this chapter.


[[Page 20]]

    (b) The specific application of regulations concerning inspecting 
and certificating vessels is set forth in the specific subchapter 
governing a particular class of vessels.
    (1) For passenger vessels see part 70 of subchapter H (Passenger 
Vessels) of this chapter.
    (2) For cargo and miscellaneous vessels see part 90 of subchapter I 
(Cargo and Miscellaneous Vessels) of this chapter.
    (3) For tank vessels see part 30 of subchapter D (Tank Vessels) of 
this chapter.
    (4) For small passenger vessels see part 114 of subchapter K (Small 
Passenger Vessels Carrying More Than 150 Passengers or with Overnight 
Accommodations for More Than 49 Passengers) and part 175 of subchapter T 
(Small Passenger Vessels) of this chapter.
    (5) For uninspected vessels see part 24 of subchapter C (Uninspected 
Vessels) of this chapter.
    (6) For vessels carrying certain bulk dangerous cargoes see 
subchapter O of this chapter.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGFR 67-83, 33 FR 
1102, Jan. 27, 1968; CGFR 70-10, 35 FR 3706, Feb. 25, 1970; CGD 73-96, 
42 FR 49022, Sept. 26, 1977; CGD 86-033, 53 FR 36023, Sept. 16, 1988; 53 
FR 46871, Nov. 21, 1988; CGD 90-008, 55 FR 30659, July 26, 1990; CGD 97-
057, 62 FR 51041, Sept. 30, 1997]



Sec. 2.01-8  Application of regulations to vessels or tankships on an international voyage.

    (a) Where, in various places or portions in this chapter, 
requirements are stipulated specifically for vessels on an international 
voyage or tankships on an international voyage, it is intended that 
these requirements apply only to vessels or tankships, as applicable, 
which are subject to the International Convention for Safety of Life at 
Sea, 1974.
    (b) For details regarding application of Convention requirements to 
tankships, see Sec. 30.01-6 of this chapter; to passenger vessels, see 
Sec. 70.05-10 of this chapter; to cargo ships other than tankships, see 
Sec. 90.05-10 of this chapter; and to small passenger vessels, see 
Sec. 176.35-1 of this chapter. (E.O. 11239, 30 FR 9671, 3 CFR, 1965 
Supp.).

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 90-008, 55 FR 
30659, July 26, 1990]



Sec. 2.01-10  Inspection requirements--domestic vessels.

    (a) If during the inspection of a vessel made at the request of the 
master, owner, or agent, the vessel or her equipment is found not to 
conform to the requirements of law or regulations in this chapter, the 
requirements which must be met will be listed on Form CG-835, Notice of 
Merchant Marine Inspection Requirements, and given to the master of the 
vessel.
    (b) The Coast Guard on its own initiative may examine or inspect or 
reinspect at any time any vessel subject to inspection under Subtitle 
II, Title 46 of the U.S. Code, Title 46 and Title 33 U.S. Code. If 
during such examination, inspection, or reinspection, any failure to 
comply with any applicable requirement of law and/or applicable 
regulations in this chapter, or any defects or imperfections become 
apparent tending to render the navigation of the vessel unsafe, or that 
repairs have become necessary, the Coast Guard will so notify the master 
and state what is required.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR 
51194, Sept. 30, 1997]



Sec. 2.01-13  Inspection requirements--foreign vessels.

    (a) Foreign vessels registered in countries which are parties to the 
effective International Convention for Safety of Life at Sea are 
normally subject to the examination provided for in Chapter I of that 
Convention. However, in the case of any vessel involving novel features 
of design or construction, upon which that Convention is silent or which 
involve potential unusual operating risks, a more extensive inspection 
may be required when considered necessary to safeguard the life or 
property in United States ports where such vessel may enter. In such a 
case, pertinent plans and/or calculations may be required to be 
submitted sufficiently in advance to permit evaluation before 
inspection.

[[Page 21]]

    (b) Foreign vessels registered in countries which are not parties to 
the effective International Convention for Safety of Life at Sea, or 
foreign vessels registered in countries which are parties to the 
effective Convention but which vessels are exempted from part or all of 
the Convention, may under conditions specified in applicable inspection 
laws be subject to inspection and certification as specified in 
regulations governing specific categories of vessels.
    (c) For details concerning application of regulations to foreign 
vessels, see part 30 (Tank Vessels), part 70 (Passenger Vessels), part 
90 (Cargo and Miscellaneous Vessels), Sec. 147.1 (Dangerous Cargoes), 
part 148 (Bulk Solid Hazardous Materials), parts 153 and 154 (Certain 
Bulk Dangerous Cargoes), and part 175 (Small Passenger Vessels) of this 
chapter.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 73-96, 42 FR 
49022, Sept. 26, 1977; CGD 97-057, 62 FR 51041, Sept. 30, 1997]



Sec. 2.01-15  Vessel repairs.

    (a) No repairs or alterations affecting the safety of the vessel or 
its machinery shall be made unless applicable requirements in this 
chapter are met. The procedures to be followed in notifying the Coast 
Guard about vessel repairs vary according to the type of vessel and 
service in which engaged. The requirements are set forth in the 
subchapter governing a particular class of vessels or in a subchapter 
governing a particular subject as follows:
    (1) For passenger vessels that are 100 gross tons or more, see 
Secs. 71.55-1 and 71.60-1 of subchapter H (Passenger Vessels) of this 
chapter.
    (2) For small passenger vessels under 100 gross tons, see 
Sec. 176.700 of subchapter T (Small Passenger Vessels) of this chapter.
    (3) For cargo and miscellaneous vessels, see Secs. 91.45-1 and 
91.50-1 of subchapter I (Cargo and Miscellaneous Vessels) of this 
chapter.
    (4) For tank vessels, see Secs. 31.10-25 and 35.01-1 of subchapter D 
(Tank Vessels) of this chapter.
    (5) For public nautical schoolships, see Secs. 167.30-1 and 167.30-
10 of subchapter R (Nautical Schools) of this chapter.
    (6) For oceanographic vessels, see Secs. 189.45-1 and 189.50-1 of 
subchapter U (Oceanographic Vessels) of this chapter.
    (7) For repairs to a vessel after it has been surveyed, see 
Sec. 42.09-50 of subchapter E (Load Lines) of this chapter.
    (8) For repairs to boilers, pressure vessels, and appurtenances, see 
part 59 of subchapter F (Marine Engineering) of this chapter.
    (9) For repairs to electrical installations or equipment, see 
Secs. 111.05-5(e), 111.05-10(e), and 111.90-5 of subchapter J 
(Electrical Engineering) of this chapter.
    (10) For vessels carrying compressed gases regulated by subchapter O 
(Certain Bulk Dangerous Cargoes), see Sec. 151.50 30(c) of this chapter.
    (11) For repairs to a vessel that affects its subdivision or 
stability, see Sec. 170.005 of this chapter.
    (b) If repairs to a vessel are necessary, such a vessel may be 
permitted to proceed to another port for repairs, if in the opinion of 
the marine inspector it can be done with safety. The permit is granted 
by the Officer in Charge, Marine Inspection, upon request in writing by 
the master or owner of the vessel and is issued on Coast Guard Form CG-
948, Permit to Proceed to Another Port for Repairs. The requirements for 
such permits are set forth in the subchapter governing a particular 
class of vessels as follows:
    (1) For passenger vessels that are 100 gross tons or more, see 
subpart 71.05 of subchapter H (Passenger Vessels) of this chapter.
    (2) For small passenger vessels under 100 gross tons, see subpart B 
of subchapter T (Small Passenger Vessels) of this chapter.
    (3) For cargo and miscellaneous vessels, see subpart 91.05 of 
subchapter I (Cargo and Miscellaneous Vessels) of this chapter.
    (4) For tank vessels, see Sec. 31.10-35 of subchapter D (Tank 
Vessels) of this chapter.
    (5) For public nautical schoolships, see Sec. 167.30-5 of subchapter 
R (Nautical Schools) of this chapter.

[[Page 22]]

    (6) For oceanographic vessels, see subpart 189.05 of subchapter U 
(Oceanographic Vessels) of this chapter.

[CGFR 68-126, 34 FR 9010, June 5, 1969, as amended by CGD 73-96, 42 FR 
49023, Sept. 26, 1977; CGD 79-023, 48 FR 51006, Nov. 4, 1983; CGD 97-
057, 62 FR 51041, Sept. 30, 1997]



Sec. 2.01-20  Suspension or revocation of certificates of inspection.

    Under the authority if 46 U.S.C. 3313 and 46 U.S.C. 3710, a 
certificate of inspection issued to a vessel may be suspended revoked if 
a vessel is found not to comply with the terms of its certificate or 
fails to meet a standard required by this chapter.

[CGD 95-028, 62 FR 51195, Sept. 30, 1997, as amended by USCG-1998-4442, 
63 FR 52188, Sept. 30, 1998]



Sec. 2.01-25  International Convention for Safety of Life at Sea, 1974.

    (a) Certificates required. (1) The International Convention for 
Safety of Life at Sea, 1974, requires one or more of the following 
certificates to be carried on board certain passenger, cargo or 
tankships engaged in international voyages:
    (i) Passenger Ship Safety Certificate.
    (ii) Cargo Ship Safety Construction Certificate.
    (iii) Cargo Ship Safety Equipment Certificate.
    (iv) Cargo Ship Safety Radiotelephony Certificate.
    (v) Cargo Ship Radiotelegraphy Certificate.
    (vi) Exemption Certificate.
    (vii) Nuclear Passenger Ship Safety Certificate.
    (viii) Nuclear Cargo Ship Safety Certificate.
    (ix) Safety Management Certificate.
    (2) The U.S. Coast Guard will issue through the Officer In Charge, 
Marine Inspection, the following certificates after performing an 
inspection or safety management audit of the vessel's systems and 
determining the vessel meets the applicable requirements:
    (i) Passenger Ship Safety Certificate.
    (ii) Cargo Ship Safety Construction Certificate, except when issued 
to cargo ships by a Coast Guard recognized classification society at the 
option of the owner or agent.
    (iii) Cargo Ships Safety Equipment Certificate.
    (iv) Exemption Certificate.
    (v) Nuclear Passenger Ship Safety Certificate.
    (vi) Nuclear Cargo Ship Safety Certificate.
    (vii) Safety Management Certificate, except when issued by a 
recognized organization authorized by the Coast Guard.
    (3) When authorized by the Commandant, U.S. Coast Guard, the 
American Bureau of Shipping may issue to cargo and tankships which it 
classes the Cargo Ship Safety Construction Certificate.
    (4) The Federal Communications Commission will issue the following 
certificates:
    (i) Cargo Ship Safety Radiotelephony Certificate.
    (ii) Cargo Ship Radiotelegraphy Certificate.
    (iii) Exemption Certificate.
    (b) Applications. (1) The application for inspection and issuance of 
a certificate or certificates is made on the appropriate form listed in 
Sec. 2.01-1, or by letter, to the Officer in Charge, Marine Inspection, 
in or nearest the port at which the inspection is to be made and shall 
be signed by the master or agent of the vessel. The certificates 
previously issued are surrendered at the time the inspection is 
performed. Further details are set forth in subchapter D (Tank Vessels), 
subchapter H (Passenger Vessels), subchapter I (Cargo and Miscellaneous 
Vessels), subchapter O (Certain Bulk Dangerous Cargoes), and subchapter 
T (Small Passenger Vessels), of this chapter.
    (2) The application for the inspection of a vessel other than a 
passenger vessel concerning the issuance of a Cargo Ship Safety 
Radiotelephony Certificate or a Cargo Ship Safety Radiotelegraphy 
Certificate is made by formal application on FCC Form 801 to the local 
office of the Federal Communications Commission.
    (c) Certificates issued. (1) If a vessel meets the applicable 
requirements of the Convention, it shall be issued appropriate 
certificates listed in paragraph (a) of this section. These certificates 
describe the vessel and state the

[[Page 23]]

vessel is in compliance with the applicable requirements of the 
Convention.
    (2) A Convention certificate may be withdrawn, revoked or suspended 
at any time when it is determined the vessel is no longer in compliance 
with applicable requirements. (See Sec. 2.01-70 for appeal procedures.)
    (d) CG-969--Notice of Receipt of Application for Passenger Ship 
Safety Certificate. (1) The Passenger Ship Safety Certificate is issued 
by the Commandant after determining all applicable requirements of the 
Convention have been met. In the event the completion of the 
certification of any passenger vessel cannot be effected prior to the 
sailing of the passenger ship on a foreign voyage, or in any case where 
the Passenger Ship Safety Certificate is not received from the 
Commandant before the ship sails on a foreign voyage, the Officer in 
Charge, Marine Inspection, will issue a completed Form CG-969, 
describing the passenger ship and certifying that an application for a 
Passenger Ship Safety Certificate is being processed, and that in his 
opinion the vessel meets applicable requirements of the Convention 
administered by the Coast Guard.
    (2) The completed Form CG-969 may be exhibited in explanation of the 
failure of the passenger ship to have on board a current Passenger Ship 
Safety Certificate. This completed form CG-969 may be accepted as prima 
facie evidence that the passenger ship described therein is in 
compliance with the applicable requirements of the Convention.
    (e) Exempted vessel. (1) A vessel may be exempted by the Commandant 
from complying with certain requirements of the Convention under his 
administration upon request made in writing to him and transmitted via 
the Officer in Charge, Marine Inspection. In such case the exemptions 
are stated in the Exemption Certificate, which is issued by the 
Commandant through the appropriate Officer in Charge, Marine Inspection.
    (2) The Exemption Certificate which modifies the Cargo Ship Safety 
Radiotelephony Certificate or the Cargo Ship Safety Radiotelegraphy 
Certificate is issued by the Federal Communications Commission.
    (f) Posting certificates. The Convention certificates issued to a 
vessel shall be posted in a prominent and accessible place on the vessel 
in a manner similar to that for certificates of inspection.
    (g) Foreign flag vessels. At the request of the government of a 
country in which is registered a vessel engaged in an international 
voyage, such a vessel may be issued the applicable certificate or 
certificates listed in paragraph (a) of this section. The certificate 
will be issued only after inspection has been made by the issuing 
agency, providing the vessel is found to comply with the requirements of 
the Convention.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 73-96, 42 FR 
49023, Sept. 16, 1977; CGD 90-008, 55 FR 30659, July 26, 1990; CGD 95-
073, 62 FR 67514, Dec. 24, 1997]



Sec. 2.01-30  Delegation of OCMI signature authority.

    The OCMI may redelegate to one individual on his or her staff 
authority to sign documents issued under this subpart.

[CGD 97-001, 62 FR 17748, Apr. 11, 1997]



Sec. 2.01-40  Passengers or persons in addition to crew on cargo or tank vessels.

    (a) Under the authority of 46 U.S.C. 3304, a documented vessel 
transporting cargo may be allowed by its certificate of inspection to 
carry not more than 12 individuals in addition to the crew on 
international voyages and not more than 16 individuals in addition to 
the crew on other voyages.
    (b) The application for permission to carry persons in addition to 
the crew may be included in the application described in Sec. 2.01-1. If 
granted it is endorsed on the certificate of inspection.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



Sec. 2.01-45  Excursion permit.

    (a) Under the authority of 46 U.S.C. 2113, a passenger vessel may be 
permitted to engage in excursions and carry additional numbers of 
passengers. For details see part 71 of subchapter H (Passenger Vessels) 
of this chapter.

[[Page 24]]

    (b) The application for an excursion permit is made by the master, 
owner, or agent of the vessel to the Officer in Charge, Marine 
Inspection, on Coast Guard Form CG-950, Application for Excursion 
Permit. If, after inspection, permission is granted, it is given on 
Coast Guard Form CG-949, Permission to Carry Excursion Party. The permit 
describes the vessel, the route over which and the period during which 
the excursions may be made, and the safety equipment required for the 
additional persons indicated.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



Sec. 2.01-50  Persons other than crew on towing, oyster, or fishing steam vessels.

    (a) A steam vessel engaged in towing, oyster dredging and planting, 
and fishing may be permitted to carry persons in addition to its crew.
    (b) The application for a permit to carry such persons may be 
included in the application described in Sec. 2.01-1. If granted it is 
endorsed on the certificate of inspection.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



Sec. 2.01-60  Overtime compensation.

    (a) General. Extra compensations for overtime services performed by 
inspectors of vessels and their assistants, shipping commissioners and 
their deputies and assistants who may be required to remain on duty 
between the hours of 5:00 p.m. and 8:00 a.m. or on Sundays or holidays 
to perform services in connection with the inspection of vessels or 
their equipment, supplying or signing on or discharging crews of vessels 
is authorized by 46 U.S.C. 2111 and regulations in part 9 of this 
chapter, together with the method of computing such extra compensation.
    (b) Application and certification of time. Application for the 
performance of such overtime services and certification of services 
performed is made by the master, owner, or agent of a vessel to the 
Officer in Charge, Marine Inspection, on Form CG-830, Application for 
and Certificate of Overtime Service.
    (c) Collection. The bill for the collection of the overtime 
compensation is submitted by the Officer in Charge, Marine Inspection to 
the master, owner, or agent on whose vessel overtime services are 
performed on Form CG-832, Bill for Collection Overtime Services. Payment 
is made to the Collector of Customs of the port designated.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997]



Sec. 2.01-70  Right of appeal.

    Any person directly affected by a decision or action taken under 
this part, by or on behalf of the Coast Guard, may appeal therefrom in 
accordance with subpart 1.03 of this chapter.

[CGD 88-033, 54 FR 50379, Dec. 6, 1989]



Sec. 2.01-80  Vessel inspections in Alaska.

    (a) The waters of southeastern Alaska inside of the general trend of 
the shore from Cape Spencer, southeasterly to Cape Muzon, and thence 
easterly to Sitklan Island, shall be considered as bays, sounds, and 
lakes other than the Great Lakes, for the purpose of administering the 
vessel inspection laws and applicable regulations in this chapter.



                           Subpart 2.10--Fees

    Source: CGD 91-030, 60 FR 13563, Mar. 13, 1995, unless otherwise 
noted.



Sec. 2.10-1  Applicability.

    (a) This subpart establishes vessel inspection fees for all vessels 
required to have a Certificate of Inspection and vessel examination fees 
for all foreign vessels required to have either a Letter of Compliance 
or a Tank Vessel Examination Letter.
    (b) The fees in this subpart do not apply to:
    (1) Vessels being inspected for the initial issuance of a 
Certificate of Inspection;
    (2) Foreign passenger vessels;
    (3) Training vessels operated by State maritime academies;
    (4) Public vessels of the United States except for Maritime 
Administration vessels; and

[[Page 25]]

    (5) Publicly owned ferries.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR 
19232, Apr. 21, 1997]



Sec. 2.10-5  Exemptions.

    (a) Vessels owned or operated by a non-profit organization may be 
exempted from payment of the fees required by this subpart, only if the 
vessel is used exclusively for one or more of the following:
    (1) Training youth in boating, seamanship, or navigation skills;
    (2) Educating youth in a course of marine environmental studies;
    (3) Providing excursions for persons with disabilities as defined 
under the Americans with Disabilities Act (ADA) [42 U.S.C. 12102(2)]; or
    (4) Providing medical services.
    (b) Vessels owned or operated by the Federal government or the 
government of any State or political subdivision thereunder may be 
exempted from the fees required by this subpart provided the vessel is 
used exclusively for one or more of the purposes listed in paragraph (a) 
of this section.
    (c) The term used exclusively in paragraphs (a) and (b) of this 
section does not preclude:
    (1) The carriage of adult volunteers or crew, or
    (2) The vessel's use for fund raising activities without regard to 
the age of the participants aboard the vessel, provided revenues raised 
are for the operation and maintenance of the vessel and that such fund 
raisers are held no more frequently than once a month.
    (d) Vessel owners or operators may submit a written request for 
exemption to the Officer in Charge, Marine Inspection, of the Marine 
Inspection Zone in which the vessel normally operates. The exemption 
request must provide the vessel name, the vessel identification number, 
and evidence that the organization and the vessel meet the criteria set 
forth in this section.

[CGD 96-067, 62 FR 19232, Apr. 21, 1997]



Sec. 2.10-10  Waivers.

    The Commandant (G-MRP) will waive collection of vessel inspection 
fees in this subpart for a Federally-owned or operated vessel if the fee 
would be directly paid by an agency acting as the vessel owner using 
Federal appropriated funds. By October 1 of each year, Federal agencies 
shall provide Commandant (G-MRP) with a list of the names and vessel 
identification numbers of vessels for which a fee waiver is requested.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996]



Sec. 2.10-20  General requirements.

    (a) Unless otherwise specified, vessel owners must pay the fees 
required by this subpart before inspection or examination services are 
provided.
    (b) Fees required by this subpart must be paid in U.S. currency by 
check or money order, drawn on a U.S. bank, and made payable to the U.S. 
Treasury.
    (c) All payments must be accompanied by the vessel name and its 
vessel identification number.
    (d) Unless otherwise specified, fees required by this subpart must 
be mailed to the following address: USCG Inspection Fees, PO Box 105663, 
Atlanta, GA 30348-5663.
    (e) For purposes of this subpart, the address for Commandant (G-MRP) 
is: Commandant (G-MRP), United States Coast Guard, 2100 Second Street 
S.W., Washington, DC 20593-0001.
    (f) Information concerning a vessel's user fee anniversary date may 
be obtained from any Coast Guard Marine Safety or Marine Inspection 
Office.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996]



Sec. 2.10-25  Definitions.

    The following definitions apply to this subpart:
    Drill ship MODU means a mobile offshore drilling unit with a ship 
shape displacement hull intended for operation in the floating 
condition.
    Ferry means, a vessel transporting passengers or vehicles on a 
regular run, over the most direct route between a point of embarkation 
and a point of debarkation on lands separated by a body of water other 
than an ocean, or between a point of embarkation and an island within 
the same State.
    Freight barge means a non-self-propelled vessel carrying freight for 
hire.

[[Page 26]]

    Freight ship means a self-propelled freight vessel.
    Freight vessel means a motor vessel of more than 15 gross tons that 
carries freight for hire, except an oceanographic research vessel or an 
offshore supply vessel.
    Industrial vessel means a vessel which, by reason of its special 
outfit, purpose, design, or function engages in certain industrial 
ventures. For the purposes of this subpart, this classification includes 
such vessels as dredges, cable layers, derrick barges, and construction 
and wrecking barges, but does not include vessels which carry passengers 
or freight for hire, OSVs, oceanographic research vessels, or vessels 
engaged in the fisheries.
    Liquefied gas tankship means a self-propelled vessel equipped with 
cargo tanks primarily designed to carry liquefied or compressed gases in 
bulk.
    Mobile offshore drilling unit (MODU) means a vessel capable of 
engaging in drilling operations for the exploration or exploitation of 
subsea resources that is: seagoing and 300 or more gross tons and self-
propelled by machinery; Seagoing and 100 or more gross tons and non-
self-propelled; or more than 65 feet in length and propelled by steam.
    Nautical school vessel means a vessel operated by or in connection 
with a nautical school or an educational institution under section 13 of 
the Coast Guard Authorization Act of 1986, Public Law 99-640.
    Non-profit organization means an organization under Internal Revenue 
Code (I.R.C.) section 501(c) which is exempt for the purposes of federal 
income taxation.
    Oceanographic research vessel means a vessel that is being employed 
only in instruction in oceanography or limnology, or both, or only in 
oceanographic or limnological research, including those studies about 
the sea such as seismic, gravity meter, and magnetic exploration and 
other marine geophysical or geological surveys, atmospheric research, 
and biological research.
    Offshore supply vessel or OSV means a vessel that--
    (1) Is propelled by machinery other than steam;
    (2) Does not meet the definition of a passenger-carrying vessel in 
46 U.S.C. 2101(22) or 46 U.S.C. 2101(35);
    (3) Is more than 15 but less than 500 gross tons (as measured under 
the Standard, Dual, or Simplified Measurement System under part 69, 
subpart C, D or E of this chapter) or less than 6,000 gross tons (as 
measured under the Convention Measurement System under part 69, subpart 
B of this chapter); and
    (4) Regularly carries goods, supplies, individuals in addition to 
the crew, or equipment in support of exploration, exploitation, or 
production of offshore mineral or energy resources.
    Passenger barge means a non-self-propelled passenger vessel, 
including a prison barge or a barge which carries occupied recreational 
vehicles.
    Passenger ship means a self-propelled passenger vessel.
    Passenger vessel means a vessel of at least 100 gross tons:
    (1) Carrying more than 12 passengers, including at least one 
passenger for hire;
    (2) That is chartered and carrying more than 12 passengers; or
    (3) That is a submersible vessel carrying at least one passenger for 
hire.
    Political subdivision means a county, district, parish, township, 
city or similar governmental entity established within a State.
    Publicly owned means, owned by (1) the federal government, or (2) 
the government of any State or political subdivision thereunder.
    Sailing school vessel means a vessel of less than 500 gross tons, 
carrying more than 6 individuals who are sailing school instructors or 
sailing school students, principally equipped for propulsion by sail 
even if the vessel has an auxiliary means of propulsion, and owned or 
demise chartered and operated by a qualified organization during such 
times as the vessel is operated exclusively for the purposes of sailing 
instruction.
    Sea-going towing vessel means a sea-going commercial vessel engaged 
in or intending to engage in the service of pulling, pushing or hauling 
alongside, or any combination of pulling, pushing or hauling alongside.

[[Page 27]]

    Self-elevating MODU means a mobile offshore drilling unit with 
movable legs capable of raising its hull above the surface of the sea.
    Semi-submersible MODU means a mobile offshore drilling unit with the 
main deck connected to an underwater hull by columns or caissons, that 
is intended for drilling operations in the floating condition.
    Small passenger vessel means a vessel of less than 100 gross tons:
    (1) Carrying more than 6 passengers, including at least one 
passenger for hire;
    (2) That is chartered with the crew provided or specified by the 
owner or the owner's representative and carrying more than 6 passengers;
    (3) That is chartered with no crew provided or specified by the 
owner or the owner's representative and carrying more than 12 
passengers; or
    (4) That is a submersible vessel carrying at least one passenger for 
hire.
    State means a State of the United States, Guam, Puerto Rico, the 
Virgin Islands, American Samoa, the District of Columbia, the Northern 
Mariana Islands and any other territory or possession of the United 
States.
    Submersible MODU means a mobile offshore drilling unit intended for 
drilling operations in the bottom-bearing condition, having the main 
deck connected to an underwater hull or pontoons by way of columns or 
caissons.
    Submersible vessel means a vessel that is capable of operating below 
the surface of the water.
    Tank barge means any tank vessel not equipped with means of 
propulsion.
    Tank vessel means a vessel that is constructed or adapted to carry, 
or that carries, oil or hazardous material in bulk as cargo or cargo 
residue.
    Tankship means any tank vessel propelled by power or sail, including 
an integrated tug and barge designed to operate together only in the 
pushing mode.
    User fee anniversary date means the date on which a vessel's annual 
inspection fee is due each year. Once established by the Coast Guard, a 
vessel's user fee anniversary date remains fixed for as long as the 
vessel remains in service.
    Vessel identification number (VIN) means a U.S. official number, a 
number assigned by a State, a number assigned by the Coast Guard, or a 
Lloyd's Register of Shipping identification number issued to a U.S. or 
foreign commercial vessel for purposes of vessel identification. For 
U.S. vessels, VIN means the number listed on the Certificate of 
Inspection. For foreign vessels, VIN means either the Lloyd's Register 
of Shipping identification number or the number assigned by the Coast 
Guard.
    Youth means an individual 18 years of age or younger.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR 
19232, Apr. 21, 1997; CGD 97-057, 62 FR 51041, Sept. 30, 1997]



Sec. 2.10-101  Annual vessel inspection fee.

    (a)(1) Unless otherwise provided by this subpart, each vessel 
required to have a Certificate of Inspection is subject to the annual 
vessel inspection fee listed in table 2.10-101 for its vessel category.
    (2) A vessel certificated for more than one service must pay only 
the higher of the two applicable fees in table 2.10-101 of this section.
    (b) The vessel owner or operator must pay the annual vessel 
inspection fee each year on or before the vessel's user fee anniversary 
date, unless the fee has been prepaid under Sec. 2.10-103 of this 
subpart.
    (c) Payment of the annual vessel inspection fee entitles a vessel to 
all inspection services related to compliance with its Certificate of 
Inspection, including but not limited to the inspection for renewal of 
the Certificate of Inspection, reinspections (midperiod inspections), 
hull (drydock) inspections, deficiency inspections, damage surveys, 
repair and modification inspections, change in vessel service 
inspections, permit to proceed inspections, drydock extension 
inspections, and all inspections required for the issuance of 
international certificates.
    (d) Entitlement to inspection services for the current year remains 
with the vessel if it is sold. The entitlement to inspection services 
may not be transferred to any other vessel.

[[Page 28]]



   Table 2.10-101.--Annual Vessel Inspection Fees for U.S. and Foreign
              Vessels Requiring a Certificate of Inspection
------------------------------------------------------------------------
 
Any inspected vessel not listed in this table..............       $1,030
Freight Barges:
    Length not greater than 150 feet.......................          495
    More than 150 feet but not more than 300 feet..........          610
    More than 300 feet.....................................          955
Freight Ships:
    Length not greater than 100 feet.......................        1,425
    More than 100 feet but no more than 300 feet...........        1,870
    More than 300 feet.....................................        5,410
Industrial Vessels:
    Length not greater than 200 feet.......................        1,435
    More than 200 feet.....................................        2,550
Mobile Offshore Drilling Units (MODUs):
    Drill ship MODUs.......................................        6,710
    Submersible MODUs......................................        4,695
    Self-elevating MODUs...................................        4,695
    Semi-submersible MODUs.................................        8,050
Nautical School Vessels:
    Length not greater than 100 feet.......................          835
    More than 100 feet but not more than 200 feet..........        1,450
    More than 200 feet.....................................        7,205
Oceanographic Research Vessels:
    Length not greater than 170 feet.......................          840
    More than 170 feet but not more than 240 feet..........        1,980
    More than 240 feet.....................................        3,610
Offshore Supply Vessels:
    Length not greater than 140 feet.......................        1,135
    More than 140 feet.....................................        1,470
Offshore Supply Vessels: Alternate Reinspection Program *:
    Length not greater than 140 feet.......................          940
    More than 140 feet.....................................        1,260
Passenger Barges:
    Less than 100 gross tons and:
        Less than 65 feet in length........................          300
        65 feet or more in length..........................          600
    100 gross tons or more and:
        Certified for fewer than 150 passengers............        2,215
        Certified for 150 or more passengers...............        2,525
 
Passenger Ships:
    Length not greater than 250 feet:
        Certified for fewer than 150 passengers............        3,600
        Certified for 150 or more passengers...............        4,050
    More than 250 feet but not more than 350 feet..........        5,330
    More than 350 feet but not more than 450 feet..........        6,835
    More than 450 feet.....................................       14,650
Sailing School Vessels:
    Length not greater than 30 feet........................          530
    More than 30 feet but not more than 65 feet............          560
    More than 65 feet......................................          980
Sea-going Towing Vessels...................................        2,915
Small Passenger Vessels:
    Less than 65 feet in length............................          300
    65 feet or more in length..............................          600
 
Tank Barges................................................          500

[[Page 29]]

 
Tankships:
    Length not greater than 100 feet.......................        1,295
    More than 100 feet but not more than 300 feet..........        2,310
    More than 300 feet.....................................        5,805
Liquefied Gas Tankships....................................      12,120
------------------------------------------------------------------------
* Note: Eligibility for the reduced annual vessel inspection fee for
  Offshore Supply Vessels is contingent upon the vessel's continued
  acceptance in the alternative reinspection program by the cognizant
  Officer in Charge, Marine Inspection.


[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR 
19232, Apr. 21, 1997]



Sec. 2.10-105  Prepayment of annual vessel inspection fees.

    (a) Vessel owners may prepay the annual vessel inspection fee for 
any period of not less than three years, and not more than the design 
life or remaining expected service life of the vessel.
    (b) To prepay the annual vessel inspection fee for a period of three 
or more years, the owner must submit a written request to Commandant (G-
MRP) specifying the vessel identification number and the period for 
which prepayment is to be made.
    (c) The total of the annual fees for the requested prepayment period 
will be discounted to its net present value using the following formula:
[GRAPHIC] [TIFF OMITTED] TR13MR95.000

Where:

PV is the Present Value of the series of annual user fees to be prepaid 
(the net amount to be prepaid)
RO is the published user fee of the vessel
i is the interest rate for 10-year Treasury notes at the time of 
prepayment calculation
is the rate of inflation (based on projected military personnel costs at 
the time of prepayment calculation)
n is the total number of years to be prepaid
t is the number of years after prepayment of the fee, for each annual 
increment (t=0, 1, 2, 3 ... n)

    (d) When the annual vessel inspection fee has been prepaid, the 
entitlement to inspection services for the prepayment period attaches to 
the vessel and remains with the vessel if it is sold. The entitlement to 
inspection services may not be transferred to any other vessel.
    (e) If a vessel is removed from Coast Guard certification and the 
vessel owner surrenders the vessel's Certificate of Inspection, the 
owner may request a refund of the remaining prepayment amount. The 
annual vessel inspection fee will not be refunded for the year in which 
the Certificate of Inspection is surrendered. The request for refund 
must be submitted to the Officer in Charge, Marine Inspection to whom 
the Certificate of Inspection is surrendered.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996]



Sec. 2.10-115  Changes in vessel service.

    (a) If a vessel certificated for a single service changes service, 
the annual vessel inspection fee is not adjusted during the year in 
which a change in service occurs. The annual vessel inspection fee for 
the new vessel category is payable on the vessel's user fee anniversary 
date immediately following the date of the change in service.
    (b) If a change in service occurs and the annual vessel inspection 
fee has been prepaid, Commandant (G-MRP) will recalculate the prepayment 
amount based on the new vessel category and advise the owner of 
available prepayment options.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996]

[[Page 30]]



Sec. 2.10-120  Overseas inspection and examination fees.

    (a) In addition to any other fee required by this subpart, an 
overseas inspection and examination fee of $4,585 must be paid for each 
vessel inspection and examination conducted outside the United States 
and its territories. This fee does not apply to vessel inspections and 
examinations conducted in Canada, Mexico, or the British Virgin Islands.
    (b) The overseas inspection and examination fee for each vessel must 
accompany each request to the cognizant Officer in Charge, Marine 
Inspection for an overseas inspection or examination.



Sec. 2.10-125  Fees for examination of foreign tankships.

    Each foreign tankship of a country party to the International 
Convention for the Safety of Life at Sea, 1974 as amended, must pay:
    (a) For examination for the issuance of a Letter of Compliance under 
Sec. 2.01-6(a)(2)(i) of this part, or examination for the annual 
endorsement to a Letter of Compliance, a fee of $1,100.
    (b) For examination for the issuance of a Tank Vessel Examination 
Letter under Sec. 2.01-6(a)(3) of this part, a fee of $1,100.



Sec. 2.10-130  Fees for examination of foreign mobile offshore drilling units.

    Each foreign mobile offshore drilling unit must pay:
    (a) For examination for the issuance of a Letter of Compliance 
indicating compliance with the design and equipment standards of either 
the documenting nation or the International Maritime Organization Code 
for Construction and Equipment of Mobile Offshore Drilling Units, a fee 
of $1,830.
    (b) For examination for the issuance of a Letter of Compliance 
indicating compliance with the design and equipment standards of 46 CFR 
part 108, the inspection fee listed in table 2.10-101 of this subpart 
for the same type of mobile offshore drilling unit.



Sec. 2.10-135  Penalties.

    (a) A vessel owner or operator who fails to pay a fee or charge 
established under this subpart is liable to the United States Government 
for a civil penalty.
    (b) In addition to the fees established in this subpart, the Coast 
Guard may recover collection and enforcement costs associated with 
delinquent payments of, or failure to pay, a fee. Coast Guard inspection 
and examination services may also be withheld pending payment of 
outstanding fees owed to the Coast Guard for inspection and examination 
services provided.
    (c) Each District Commander or Officer in Charge Marine Inspection 
may request the Secretary of the Treasury, or the authorized 
representative thereof, to withhold or revoke the clearance required by 
46 U.S.C. app. 91 of a vessel for which a fee or charge established 
under this part has not been paid or until a bond is posted for the 
payment.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-052, 62 FR 
16703, Apr. 8, 1997]



                     Subpart 2.20--Reports and Forms



Sec. 2.20-40  Chief engineer's reports.

    (a) Repairs to boilers and pressure vessels. The chief engineer is 
required to report any repairs to boilers or unfired pressure vessels in 
accordance with Secs. 33.25-5, 78.33-1, and 97.30-1 of this chapter.
    (b) The chief engineer of any vessel is required to report any 
accident to a boiler, unfired pressure vessel, or machinery tending to 
render the further use of the item unsafe until repairs are made by 
Secs. 35.25-5, 78.33-5, and 97.30-5 of this chapter.
    (c) The chief engineer shall report the renewal of fusible plugs in 
boilers by letter to the Officer in Charge, Marine Inspection, who 
issued the certificate of inspection when such fusible plugs are renewed 
at other than the inspection for certification and there is no marine 
inspector in attendance at the renewal. This letter report shall contain 
the following information:
    (1) Name and official number of vessel.
    (2) Date of renewal of fusible plugs.
    (3) Number and location of fusible plugs renewed in each boiler.
    (4) Manufacturer and heat number of each plug.

[[Page 31]]

    (5) Reason for renewal.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGFR 68-82, 33 FR 
18804, Dec. 18, 1968]



Sec. 2.20-50  Repairs or alterations in lifesaving or fire prevention equipment.

    No repairs or alterations shall be made to any lifesaving or fire-
detecting or fire-extinguishing equipment except in an emergency without 
advance notice to the Officer in Charge, Marine Inspection. See 
Secs. 78.33-10 and 97.30-10 of this chapter.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997]



                        Subpart 2.45  [Reserved]



                         Subpart 2.50--Penalties



Sec. 2.50-1  Penalty procedures.

    Civil and criminal penalty procedures appear in 33 CFR part 1. Civil 
monetary penalty amounts are set forth in 33 CFR part 27.

[CGD 96-052, 62 FR 16703, Apr. 8, 1997]



       Subpart 2.75--Approvals of Safety Equipment, Materials and 
      Installations, and Qualifications for Construction Personnel



Sec. 2.75-1  Approvals.

    (a) Certain navigation and vessel inspection laws, or regulations in 
this chapter or in 33 CFR chapter I, require the Commandant's approval 
before specific types of safety equipment, materials, or installations 
may be installed or used on vessels subject to Coast Guard inspection, 
or on other described vessels, motorboats, artificial islands, and fixed 
structures.
    (b) The Commandant's approvals are issued to persons, partnerships, 
companies, or corporations who offer for sale specific items of safety 
equipment, materials, or installations, or intend them for their own or 
others' use. These approvals are intended to provide a control over the 
quality of such approved items. The Commandant's approvals apply only to 
those items constructed or installed in accordance with applicable 
requirements, and the details as described in the documents granting 
specific approval. If a specific item when manufactured does not comply 
with these details, then it is not considered to be approved and the 
approval issued does not apply to such modified item. For example, if an 
item is manufactured with changes in design or material not previously 
approved, the approval does not apply to such modified item. The failure 
to comply with applicable requirements and details specified in the 
approval subjects the holder to immediate suspension of approval as 
described in Sec. 2.75-40, and if necessary, to a public hearing seeking 
withdrawal of approval and removal of all such items from use or 
installation as provided in Sec. 2.75-50.
    (c) The Commandant's approvals are issued to qualified holders in 
the form of certificates of approval (Form CGHQ-10030), by appropriate 
description and identification in documents filed with the Office of the 
Federal Register and published in the Federal Register, or by letters, 
or by appropriate markings on drawings, plans, etc. Under the direction 
of the Commandant, the Assistant Commandant for Marine Safety and 
Environmental Protection is delegated the authority to exercise the 
necessary actions relating to the granting, suspension, cancellation or 
revocation of approvals for special items of safety equipment, materials 
or installations required by law in regulation in this chapter or in 33 
CFR chapter I to have the Commandant's approval. The authority delegated 
to the Assistant Commandant for Marine Safety and Environmental 
Protection may be further delegated by him.
    (d) The approvals granted to holders qualifying under the 
regulations in this chapter or in specifications, copies of which may be 
obtained from the Commandant (G-MSE), and to which official Coast Guard 
numbers are assigned, will be in the form of certificates of approval. 
Unless specifically provided otherwise, the approval shall be valid for 
a period of five years from the date on the certificate of approval, but 
subject to suspension and/or cancellation if it is found the item 
offered, sold, or used as Coast Guard approved differs in

[[Page 32]]

any detail from the item as described in the certificate of approval and 
referenced material.
    (e) A specific Commandant's approval granted to anyone, which is 
described in a certificate of approval, or a letter, or marked plans, 
etc., cannot be transferred to another without a specific prior 
authorization from the Commandant. Such a transfer without the 
Commandant's authorization normally terminates such approval.
    (f) A listing of current and formerly approved equipment and 
materials is published by the Coast Guard from time to time in 
``Equipment Lists'' (COMDTINST M16714.3 series), which is available for 
sale from the Superintendent of Documents, Government Printing Office.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48 
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 95-
072, 60 FR 50459, Sept. 29, 1995; CGD 93-055, 61 FR 13927, Mar. 28, 
1996; CGD 96-041, 61 FR 50725, Sept. 27, 1996; CGD 97-057, 62 FR 51041, 
Sept. 30, 1997]



Sec. 2.75-5  Certificates of approval.

    (a) The Assistant Commandant for Marine Safety and Environmental 
Protection or his delelegate, will issue a certificate of approval to 
the manufacturer or party named therein and certify that such 
manufacturer or party has submitted satisfactory evidence that the item 
described therein complies with the applicable laws and regulations, 
which are outlined on the reverse side of the certificate.
    (b) The approval shall be in effect for a period of 5 years from the 
date on the certificate of approval unless sooner canceled or suspended 
by proper authority, or otherwise specifically stated in the 
certificate.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48 
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 96-
041, 61 FR 50725, Sept. 27, 1996; CGD 97-057, 62 FR 51041, Sept. 30, 
1997]



Sec. 2.75-10  Procedures for obtaining approvals.

    (a) The requirements for obtaining approvals of items covered by 
specifications and bearing official Coast Guard approval numbers are set 
forth in parts 159 through 164 of this chapter. For other items, the 
requirements are described in the regulations governing such items.
    (b) Unless otherwise specified, correspondence concerning approvals 
should be addressed to the Commandant (G-MSE), U.S. Coast Guard, 
Washington, DC 20593-0001. When plans, drawings, test data, etc., are 
required to be submitted by the manufacturer, the material being 
transmitted with the application should be clearly identified.

[CGD 76-048, 44 FR 73043, Dec. 17, 1979, as amended by CGD 82-063b, 48 
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 95-
072, 60 FR 50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 
1996]



Sec. 2.75-15  Requirements and tests.

    (a) Approved items described in certificates of approval are usually 
required to meet specific requirements and/or tests, prior to obtaining 
the approval. Additional factory tests to determine that proper 
uniformity and quality controls are followed during the manufacture of 
the specific items may be required. These requirements governing the 
manufacturer in particular are set forth in the regulations in this 
chapter or in specifications, copies of which may be obtained from the 
Commandant (G-MSE). If the requirements are met, a certificate of 
approval will be issued.
    (b) When the specific item described in an application, together 
with accompanying drawings, plans, etc., does not meet applicable 
requirements or fails to meet specified tests, the applicant will be 
notified accordingly. The Coast Guard may suggest changes in order for 
the item to qualify and permit the issuance of an approval.
    (c) For items not covered by specification requirements in parts 160 
to 164, inclusive (subchapter Q--Specifications) of this chapter, the 
requirements in the navigation and vessel inspection laws, and 
applicable regulations in this chapter or in 33 CFR chapter I apply and 
shall be met before approvals may be issued.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48 
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 95-
072, 60 FR 50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 
1996]

[[Page 33]]



Sec. 2.75-25  Portable fire extinguishers.

    (a) The portable fire extinguishers listed and labeled as marine 
type by a recognized laboratory, as provided in subpart 162.028 of part 
162 of subchapter Q (Specifications) of this chapter, will be accepted 
as approved for use on merchant vessels, motorboats, etc., whenever 
required by the regulations in this chapter, and for use on artificial 
islands and fixed structures on the Outer Continental Shelf whenever 
required by the regulations in 33 CFR parts 140 to 146, inclusive.
    (b) The procedures for manufacturers to follow and the requirements 
governing portable fire extinguishers to qualify being listed and 
labeled as marine type by a recognized laboratory are set forth in 
subpart 162.028 of part 162 of subchapter Q (Specifications) of this 
chapter.
    (c) The procedures for a laboratory to qualify as a recognized 
laboratory and to be listed in Sec. 162.028-5 of subchapter Q 
(Specifications) of this chapter are as follows:
    (1) The laboratory shall submit an informal application in writing 
on its usual letterhead paper to the Commandant (G-M), United States 
Coast Guard, Washington, DC 20593, requesting recognition and listing, 
as a recognized laboratory.
    (2) Accompanying the informal application, as identified enclosures, 
shall be:
    (i) A certification that it is a laboratory which has been and is 
regularly engaged in the examination, testing, and evaluation of 
portable fire extinguishers.
    (ii) A certification that it has an established factory inspection, 
listing, and labeling program, together with a complete description of 
it and how it works.
    (iii) A description of its facilities used in the examination, 
testing, and evaluation of portable fire extinguishers, together with 
its name (if different from that of submitter), and location (city, 
street, and state).
    (iv) A list of the names and home and office addresses of its 
principal officers and its managing directors (if any).
    (v) A description of its special standards for listing and labeling 
portable fire extinguishers as marine type, as contemplated by the 
specification in subpart 162.028 of part 162 of subchapter Q 
(Specifications) of this chapter.
    (3) If the Commandant finds that a laboratory qualifies as a 
recognized laboratory, and it is subject to Coast Guard jurisdiction, 
the approval and listing will be published in the Federal Register and 
will be in effect until suspended, canceled or terminated by proper 
authority. The failure of a recognized laboratory to maintain its 
established factory inspection, listing and labeling program as approved 
by the Commandant shall be cause for terminating a listing as a 
recognized laboratory.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48 
FR 4781, Feb. 3, 1983]



Sec. 2.75-40  Suspension of approval.

    (a) Whenever it is determined that a specific item is not in 
compliance with the applicable laws, rules, and regulations, and the 
requirements specified in the approval issued by the Coast Guard, the 
District Commander or the Officer in Charge, Marine Inspection, will 
immediately notify the holder of the approval wherein the specific item 
fails to meet applicable requirements. If the defects, deficiencies or 
variations in the item are deemed important, such officer is authorized 
and may immediately suspend the approval, may require the holder to 
surrender the certificate of approval (if any), and may direct the 
holder to cease claiming the defective items are Coast Guard approved, 
pending a final decision from the Commandant in the matter.
    (b) The procedures for appealing the temporary suspension shall be 
those described in Sec. 2.01-70.



Sec. 2.75-50  Withdrawals or terminations of approvals and appeals.

    (a) The Commandant may withdraw approval for any item which is found 
not to be in compliance with the conditions of approval, found to be 
unsuitable for its intended purpose, or does not meet the requirements 
of applicable regulations.
    (b) Approvals of equipment are terminated when the manufacturer is 
no longer in business, or when the item is

[[Page 34]]

no longer being manufactured, or when the approval expires.
    (c) Any person directly affected by a decision to deny, withdraw, or 
terminate an approval may appeal the decision to Assistant Commandant 
for Marine Safety and Environmental Protection (G-M) as provided in 
Sec. 1.03-15 of this chapter.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 93-055, 61 FR 
13927, Mar. 28, 1996; CGD 96-041, 61 FR 50725, Sept. 27, 1996; CGD 97-
057, 62 FR 51041, Sept. 30, 1997]



Sec. 2.75-60  Hazardous ships' stores.

    Hazardous ships' stores, as defined in Sec. 147.3 of this chapter, 
must not be brought on board or used on any vessel unless they meet the 
requirements of part 147 of this chapter.

[CGD 84-044, 53 FR 7748, Mar. 10, 1988]



Sec. 2.75-70  Welding procedure and performance qualifications.

    (a) Welding procedures and welder performance utilized in the 
fabrication of vessels and their various systems and components subject 
to Coast Guard inspection shall be qualified as required by the 
applicable subchapter. For applicable requirements see Secs. 32.60-1(a) 
of subchapter D (Tank Vessels), Sec. 72.01-15 of subchapter H (Passenger 
Vessels), Sec. 92.01-10 of subchapter I (Cargo and Miscellaneous 
Vessels), or Sec. 190.01-10 of subchapter U (Oceanographic Vessels) of 
this chapter. See part 57 of subchapter F (Marine Engineering) for 
requirements for the welding of pressure piping, boilers, pressure 
vessels, and nonpressure vessel type tanks, and associated secondary 
barriers as defined in Sec. 38.05-4 of subchapter D (Tank Vessels) of 
this chapter.

[CGFR 68-82, 33 FR 18804, Dec. 18, 1968]



                        Subpart 2.85--Load Lines



Sec. 2.85-1  Assignment of load lines.

    Most U.S. vessels, and foreign vessels in U.S. waters are required 
to have load line assignments in accordance with 46 U.S.C. Chapter 51. 
The load lines marks when placed on a vessel indicate the maximum draft 
to which such vessel can be lawfully submerged, in the various 
circumstances and seasons applicable to such vessel. See subchapter E 
(Load Lines) of this chapter for applicable details governing assignment 
and marking of load lines.

[CGD 95-028, 62 FR 51195, Sept. 30, 1997, as amended by USCG-1998-4442, 
63 FR 52188, Sept. 30, 1998]



               Subpart 2.90--Plans, Drawings or Blueprints



Sec. 2.90-1  General requirements.

    (a) Drawings, blueprints or plans showing the details of 
construction of vessels subject to inspection or installations thereon 
are required to be submitted for approval in accordance with applicable 
regulations in this chapter, information as to which may be obtained at 
any local Marine Inspection Office.
    (b) The requirements for passenger vessel construction are in parts 
43-46, 70-78, of this chapter.
    (c) The requirements for tank vessel construction are in parts 30-
39, 43-45, of this chapter.
    (d) The requirements for cargo and miscellaneous vessel construction 
are in parts 43-45, 90-97, of this chapter.
    (e) The requirements for marine engineering installations or 
equipment are in parts 50-69 of this chapter.
    (f) The requirements for electrical engineering installations or 
equipment are in parts 110-113 of this chapter.
    (g) The requirements for items to be manufactured under specific 
approval by the Commandant are in parts 160-164 of this chapter.
    (h) The requirements for vessels carrying certain bulk dangerous 
cargoes are in parts 148, 151, 153, and 154 of this chapter.
    (i) The requirements for subdivision and stability plans and 
calculations are in part 170 of this chapter.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 73-96, 42 FR 
49203, Sept. 26, 1977; CGD 79-023, 48 FR 51006, Nov. 4, 1983]



            Subpart 2.95--Retention of Records by the Public



Sec. 2.95-1  Certificates or documents issued by Coast Guard.

    (a) Certificates or documents issued to the public, as required by 
laws,

[[Page 35]]

rules, or regulations, shall be retained for the applicable period of 
time, as follows:
    (1) If the certificate or document specifies a definite period of 
time for which it is valid, it shall be retained for so long as it is 
valid unless it is required to be surrendered; or,
    (2) If the certificate or document does not specify a definite 
period of time for which it is valid, it shall be retained for that 
period of time such certificate or document is required for operation of 
the vessel; or,
    (3) If the certificate or document is evidence of a person's 
qualifications, it shall be retained for so long as it is valid unless 
it is required to be surrendered.
    (b) Nothing in this section shall be construed as preventing the 
Coast Guard from canceling, suspending, or withdrawing any certificate 
or document issued at any time.



Sec. 2.95-5  Certificates or documents issued by others.

    (a) Certificates or documents issued by other public agencies or 
private organizations, which are accepted as prima facie evidence of 
compliance with requirements administered by the Coast Guard, shall be 
retained for the applicable period of time as follows:
    (1) If the certificate or document specifies a definite period of 
time for which it is valid, it shall be retained for so long as it is 
valid unless it is required to be surrendered; or
    (2) If the certificate or document does not specify a definite 
period of time for which it is valid, it shall be retained for the 
period of time such certificate or document is required for operation of 
the vessel; or,
    (3) If the certificate or documents is evidence of a person's 
qualifications, it shall be retained for so long as it is valid unless 
it is required to be surrendered.



Sec. 2.95-10  Equipment or material required to be approved.

    (a) The manufacturer of any equipment or material, which must also 
be approved by or found satisfactory for use by the Commandant, shall 
keep the required drawings, plans, blueprints, specifications, 
production models (if any), qualification tests, and related 
correspondence containing evidence that the Coast Guard has found such 
equipment or material satisfactory, during the period of time the 
approval or listing is valid. Most of the specifications containing 
detailed descriptions of records required to be retained by the public 
are in parts 160 to 164, inclusive in subchapter Q (Specifications) of 
this chapter.



PART 3--DESIGNATION OF OCEANOGRAPHIC RESEARCH VESSELS--Table of Contents




                   Subpart 3.01--Authority and Purpose

Sec.
3.01-1  Purpose of regulations.

                        Subpart 3.03--Application

3.03-1  Vessels subject to the requirements of this part.

           Subpart 3.05--Definition of Terms Used in This Part

3.05-1  Letter of designation.
3.05-3  Oceanographic research vessel.

                        Subpart 3.10--Designation

3.10-1  Procedures for designating oceanographic research vessels.
3.10-5  Renewal of letter of designation.
3.10-10  Right of appeal.

    Authority: 46 U.S.C. 2113, 3306; 49 CFR 1.46.

    Source: CGD 77-081, 46 FR 56202, Nov. 16, 1981, unless otherwise 
noted.



                   Subpart 3.01--Authority and Purpose



Sec. 3.01-1  Purpose of regulations.

    The purpose of the regulations in this part is to establish standard 
procedures for the designation of certain vessels as oceanographic 
research vessels as defined in 46 U.S.C. 2101(18).

[CGD 77-081, 46 FR 56202, Nov. 16, 1981, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]

[[Page 36]]



                        Subpart 3.03--Application



Sec. 3.03-1  Vessels subject to the requirements of this part.

    The regulations in this subchapter are applicable to U.S. flag 
vessels desiring designation as oceanographic research vessels in 
accordance with 46 U.S.C. 2101(18).

[CGD 77-081, 46 FR 56202, Nov. 16, 1981, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



           Subpart 3.05--Definition of Terms Used in This Part



Sec. 3.05-1  Letter of designation.

    A letter issued by an Officer in Charge, Marine Inspection, 
designating an uninspected vessel as an oceanographic research vessel.



Sec. 3.05-3  Oceanographic research vessel.

    ``An oceanographic research vessel is a vessel which the U.S. Coast 
Guard finds is employed exclusively in one or more of the following:
    (a) Oceanographic instruction;
    (b) Limnologic instruction;
    (c) Oceanographic research; or,
    (d) Limnologic research.''



                        Subpart 3.10--Designation



Sec. 3.10-1  Procedures for designating oceanographic research vessels.

    (a) Upon written request by the owner, master, or agent of a vessel, 
a determination will be made by the Officer in Charge, Marine 
Inspection, of the zone in which the vessel is located, whether the 
vessel may be designated as an oceanographic research vessel.
    (b) The request should contain sufficient information to allow the 
Officer in Charge, Marine Inspection, to make this determination. At a 
minimum, the following items must be submitted:
    (1) A detailed description of the vessel, including its 
identification number, owner and charterer.
    (2) A specific operating plan stating precisely the intended use of 
the vessel.
    (3) Any additional information as may be requested by the Officer in 
Charge, Marine Inspection.
    (c) If designation is granted, it shall be indicated as follows:
    (1) For inspected vessels--indicated on the certificate of 
inspection, valid for its duration.
    (2) For uninspected vessels--indicated by a letter of designation, 
which shall be maintained on board the vessel and remain in effect for 
two years from date of issuance.
    (d) All designations shall remain valid for the period specified on 
the applicable document, provided all operating conditions remain 
unchanged from the date of designation.
    (e) In the event of a change in operating conditions, the owner, 
master, or agent of the vessel shall advise the Officer in Charge, 
Marine Inspection who issued the designation. After reviewing the 
pertinent information concerning the operational changes, the Officer in 
Charge, Marine Inspection, shall determine if the vessel is still 
eligible to retain its designation as an oceanographic research vessel.

[CGD 77-081, 46 FR 56202, Nov. 16, 1981, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



Sec. 3.10-5  Renewal of letter of designation.

    At least 60 days prior to the expiration date of the letter of 
designation or certificate of inspection, a request for renewal must be 
submitted in the same manner as described in 3.10-1. However, if the 
request for renewal is submitted to the Officer in Charge, Marine 
Inspection, who made the initial determination and all operating 
conditions remain unchanged, the information required by Sec. 3.10-1(b) 
need not be resubmitted with the request.



Sec. 3.10-10  Right of appeal.

    Any person directly affected by a decision or action taken under 
this part, by or on behalf of the Coast Guard, may appeal therefrom in 
accordance with subpart 1.03 of this chapter.

[CGD 88-033, 54 FR 50379, Dec. 6, 1989]

[[Page 37]]



PART 4--MARINE CASUALTIES AND INVESTIGATIONS--Table of Contents




            Subpart 4.01--Authority and Scope of Regulations

Sec.
4.01-1  Scope of regulation.
4.01-3  Reporting exclusion.

                        Subpart 4.03--Definitions

4.03-1  Marine casualty or accident.
4.03-2  Serious marine incident.
4.03-4  Individual directly involved in a serious marine incident.
4.03-5  Medical facility.
4.03-6  Qualified medical personnel.
4.03-7  Chemical test.
4.03-10  Party in interest.
4.03-15  Commandant.
4.03-20  Coast Guard district.
4.03-25  District Commander.
4.03-30  Investigating officer.
4.03-35  Nuclear vessel.
4.03-40  Public vessels.
4.03-45  Marine employer.
4.03-50  Recreational vessel.
4.03-55  Law enforcement officer.

            Subpart 4.04--Notice of Potential Vessel Casualty

4.04-1  Reports of potential vessel casualty.
4.04-3  Reports of lack of vessel communication.
4.04-5  Substance of reports.

       Subpart 4.05--Notice of Marine Casualty and Voyage Records

4.05-1  Notice of marine casualty.
4.05-5  Substance of marine casualty notice.
4.05-10  Written report of marine casualty.
4.05-12  Alcohol or drug use by individuals directly involved in 
          casualties.
4.05-15  Voyage records, retention of.
4.05-20  Report of accident to aid to navigation.
4.05-25  Reports when state of war exists.
4.05-30  Incidents involving hazardous materials.
4.05-35  Incidents involving nuclear vessels.

   Subpart 4.06--Mandatory Chemical Testing Following Serious Marine 
            Incidents Involving Vessels in Commercial Service

4.06-1  Responsibilities of the marine employer.
4.06-5  Responsibilities of individuals directly involved in serious 
          marine incidents.
4.06-10  Required specimens.
4.06-20  Specimen collection requirements.
4.06-30  Specimen collection in incidents involving fatalities.
4.06-40  Specimen handling and shipping.
4.06-50  Specimen analysis and follow-up procedures.
4.06-60  Submission of reports and test results.

                      Subpart 4.07--Investigations

4.07-1  Commandant or District Commander to order investigation.
4.07-5  Investigating officers, powers of.
4.07-7  Opening statement.
4.07-10  Report of investigation.
4.07-15  Recommendations, action on.
4.07-20  Transfer of jurisdiction.
4.07-25  Testimony of witnesses in other districts, depositions.
4.07-30  Testimony of witnesses under oath.
4.07-35  Counsel for witnesses and parties in interest.
4.07-45  Foreign units of Coast Guard, investigation by.
4.07-55  Information to be furnished Marine Board of Investigation.

               Subpart 4.09--Marine Board of Investigation

4.09-1  Commandant to designate.
4.09-5  Powers of Marine Board of Investigation.
4.09-10  Witnesses, payment of.
4.09-15  Time and place of investigation, notice of; rights of 
          witnesses, etc.
4.09-17  Sessions to be public.
4.09-20  Record of proceedings.
4.09-25  U.S. Attorney to be notified.
4.09-30  Action on report.
4.09-35  Preferment of charges.

                Subpart 4.11--Witnesses and Witness Fees

4.11-1  Employees of vessels controlled by Army or Navy as witnesses.
4.11-5  Coercion of witnesses.
4.11-10  Witness fees and allowances.

       Subpart 4.12--Testimony by Interrogatories and Depositions

4.12-1  Application, procedure, and admissibility.

                  Subpart 4.13--Availability of Records

4.13-1  Public availability of records.

     Subpart 4.19--Construction of Regulations and Rules of Evidence

4.19-1  Construction of regulations.
4.19-5  Adherence to rules of evidence.

                    Subpart 4.21--Computation of Time

4.21-1  Computation of time.

[[Page 38]]

              Subpart 4.23--Evidence of Criminal Liability

4.23-1  Evidence of criminal liability.

 Subpart 4.40--Coast Guard--National Transportation Safety Board Marine 
                         Casualty Investigations

4.40-1  Purpose.
4.40-3  Relationship to Coast Guard marine investigation regulations and 
          procedures.
4.40-5  Definitions.
4.40-10  Preliminary investigation by the Coast Guard.
4.40-15  Marine casualty investigation by the Board.
4.40-20  Cause or probable cause determinations from Board 
          investigation.
4.40-25  Coast Guard marine casualty investigation for the Board.
4.40-30  Procedures for Coast Guard investigation.
4.40-35  Records of the Coast Guard and the Board.

    Authority: 33 U.S.C. 1231; 43 U.S.C. 1333; 46 U.S.C. 2103, 2306, 
6101, 6301, 6305; 50 U.S.C. 198; 49 CFR 1.46. Authority for subpart 
4.40: 49 U.S.C. 1903(a)(1)(E); 49 CFR 1.46.

    Source: CGD 74-119, 39 FR 33317, Sept. 17, 1974, unless otherwise 
noted.



            Subpart 4.01--Authority and Scope of Regulations



Sec. 4.01-1  Scope of regulation.

    The regulations in this part govern the reporting of marine 
casualties, the investigation of marine casualties and the submittal of 
reports designed to increase the likelihood of timely assistance to 
vessels in distress.

[CGD 85-015, 51 FR 19341, May 29, 1986]



Sec. 4.01-3  Reporting exclusion.

    (a) Vessels subject to 33 CFR 173.51 are excluded from the 
requirements of subpart 4.05.
    (b) Vessels which report diving accidents under 46 CFR 197.484 
regarding deaths, or injuries which cause incapacitation for greater 
than 72 hours, are not required to give notice under Sec. 4.05-1(d) or 
Sec. 4.05-1(e).
    (c) Vessels are excluded from the requirements of Sec. 4.05.1(d) and 
(e) with respect to the death or injury of shipyard or harbor workers 
when such accidents are not the result of either a vessel casualty 
(e.g., collision) or a vessel equipment casualty (e.g., cargo boom 
failure) and are subject to the reporting requirements of Occupational 
Safety and Health Administration (OSHA) under 29 CFR 1904.
    (d) Except as provided in subpart 4.40, public vessels are excluded 
from the requirements of this part.

[CGD 76-170, 45 FR 77441, Nov. 24, 1980; 46 FR 19235, Mar. 30, 1981, as 
amended by CGD 76-170, 47 FR 39684, Sept. 9, 1982; CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



                        Subpart 4.03--Definitions



Sec. 4.03-1  Marine casualty or accident.

    (a) The term marine casualty or accident shall mean any casualty or 
accident involving any vessel other than public vessels if such casualty 
or accident occurs upon the navigable waters of the United States, its 
territories or possessions or any casualty or accident wherever such 
casualty or accident may occur involving any United States' vessel which 
is not a public vessel. (See Sec. 4.03-40 for definition of Public 
Vessel.)
    (b) The term marine casualty or accident includes any accidental 
grounding, or any occurrence involving a vessel which results in damage 
by or to the vessel, its apparel, gear, or cargo, or injury or loss of 
life of any person; and includes among other things, collisions, 
strandings, groundings, founderings, heavy weather damage, fires, 
explosions, failure of gear and equipment and any other damage which 
might affect or impair the seaworthiness of the vessel.
    (c) The term marine casualty or accident also includes occurrences 
of loss of life or injury to any person while diving from a vessel and 
using underwater breathing apparatus.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 76-170, 45 
FR 77441, Nov. 24, 1980]



Sec. 4.03-2  Serious marine incident.

    The term serious marine incident includes the following events 
involving a vessel in commercial service:
    (a) Any marine casualty or accident as defined in Sec. 4.03-1 which 
is required by Sec. 4.05-1 to be reported to the Coast Guard and which 
results in any of the following:

[[Page 39]]

    (1) One or more deaths;
    (2) An injury to a crewmember, passenger, or other person which 
requires professional medical treatment beyond first aid, and, in the 
case of a person employed on board a vessel in commercial service, which 
renders the individual unfit to perform routine vessel duties;
    (3) Damage to property, as defined in Sec. 4.05-1(a)(7) of this 
part, in excess of $100,000;
    (4) Actual or constructive total loss of any vessel subject to 
inspection under 46 U.S.C. 3301; or
    (5) Actual or constructive total loss of any self-propelled vessel, 
not subject to inspection under 46 U.S.C. 3301, of 100 gross tons or 
more.
    (b) A discharge of oil of 10,000 gallons or more into the navigable 
waters of the United States, as defined in 33 U.S.C. 1321, whether or 
not resulting from a marine casualty.
    (c) A discharge of a reportable quantity of a hazardous substance 
into the navigable waters of the United States, or a release of a 
reportable quantity of a hazardous substance into the environment of the 
United States, whether or not resulting from a marine casualty.

[CGD 86-067, 53 FR 47077, Nov. 21, 1988, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997]



Sec. 4.03-4  Individual directly involved in a serious marine incident.

    The term individual directly involved in a serious marine incident 
is an individual whose order, action or failure to act is determined to 
be, or cannot be ruled out as, a causative factor in the events leading 
to or causing a serious marine incident.

[CGD 86-067, 53 FR 47077, Nov. 21, 1988]



Sec. 4.03-5  Medical facility.

    The term medical facility means an American hospital, clinic, 
physician's office, or laboratory, where blood and urine specimens can 
be collected according to recognized professional standards.

[CGD 86-067, 53 FR 47077, Nov. 21, 1988]



Sec. 4.03-6  Qualified medical personnel.

    The term qualified medical personnel means a physician, physician's 
assistant, nurse, emergency medical technician, or other person 
authorized under State or Federal law or regulation to collect blood and 
urine specimens.

[CGD 86-067, 53 FR 47077, Nov. 21, 1988]



Sec. 4.03-7  Chemical test.

    The term chemical test means a scientifically recognized test which 
analyzes an individual's breath, blood, urine, saliva, bodily fluids, or 
tissues for evidence of dangerous drug or alcohol use.

[CGD 86-067, 53 FR 47077, Nov. 21, 1988]



Sec. 4.03-10  Party in interest.

    The term party in interest shall mean any person whom the Marine 
Board of Investigation or the investigating officer shall find to have a 
direct interest in the investigation conducted by it and shall include 
an owner, a charterer, or the agent of such owner or charterer of the 
vessel or vessels involved in the marine casualty or accident, and all 
licensed or certificated personnel whose conduct, whether or not 
involved in a marine casualty or accident is under investigation by the 
Board or investigating officer.



Sec. 4.03-15  Commandant.

    The Commandant, U.S. Coast Guard, is that officer who acts as chief 
of the Coast Guard and is charged with the administration of the Coast 
Guard.



Sec. 4.03-20  Coast Guard district.

    A Coast Guard district is one of the geographical areas whose 
boundaries are described in 33 CFR part 3.



Sec. 4.03-25  District Commander.

    The District Commander is the chief of a Coast Guard district and is 
charged with the administration of all Coast Guard responsibilities and 
activities within his respective district, except those functions of 
administrative law judges under the Administrative Procedure Act (60 
Stat. 237, 5 U.S.C. 1001 et seq.) and activities of independent units of 
the Coast Guard, such as

[[Page 40]]

the Coast Guard Yard and the Coast Guard Academy.



Sec. 4.03-30  Investigating officer.

    An investigating officer is an officer or employee of the Coast 
Guard designated by the Commandant, District Commander or the Officer in 
Charge, Marine Inspection, for the purpose of making investigations of 
marine casualties and accidents or other matters pertaining to the 
conduct of seamen. An Officer in Charge, Marine Inspection, is an 
investigating officer without further designation.



Sec. 4.03-35  Nuclear vessel.

    The term nuclear vessel means any vessel in which power for 
propulsion, or for any other purpose, is derived from nuclear energy; or 
any vessel handling or processing substantial amounts of radioactive 
material other than as cargo.

[CGD 84-099, 52 FR 47534, Dec. 14, 1987]



Sec. 4.03-40  Public vessels.

    Public vessel means a vessel that--
    (a) Is owned, or demise chartered, and operated by the U.S. 
Government or a government of a foreign country, except a vessel owned 
or operated by the Department of Transportation or any corporation 
organized or controlled by the Department (except a vessel operated by 
the Coast Guard or Saint Lawrence Seaway Development Corporation); and
    (b) Is not engaged in commercial service.

[CGD 95-028, 62 FR 51195, Sept. 30, 1997]



Sec. 4.03-45  Marine employer.

    Marine employer means the owner, managing operator, charterer, 
agent, master, or person in charge of a vessel other than a recreational 
vessel.

[CGD 84-099, 52 FR 47534, Dec. 14, 1987]



Sec. 4.03-50  Recreational vessel.

    Recreational vessel means a vessel meeting the definition in 46 
U.S.C. 2101(25) that is then being used only for pleasure.

[CGD 84-099, 52 FR 47534, Dec. 14, 1987]



Sec. 4.03-55  Law enforcement officer.

    Law enforcement officer means a Coast Guard commissioned, warrant or 
petty officer; or any other law enforcement officer authorized to obtain 
a chemical test under Federal, State, or local law.

[CGD 84-099, 52 FR 47534, Dec. 14, 1987]



            Subpart 4.04--Notice of Potential Vessel Casualty

    Source: CGD 85-015, 51 FR 19341, May 29, 1986, unless otherwise 
noted.



Sec. 4.04-1  Reports of potential vessel casualty.

    A vessel owner, charterer, managing operator or agent shall 
immediately notify either of the following Coast Guard officers if there 
is reason to believe a vessel is lost or imperiled.
    (a) The Coast Guard district rescue coordination center (RCC) 
cognizant over the area the vessel was last operating in; or
    (b) The Coast Guard search and rescue authority nearest to where the 
vessel was last operating.

Reasons for belief that a vessel is in distress include, but are not 
limited to, lack of communication with or nonappearance of the vessel.



Sec. 4.04-3  Reports of lack of vessel communication.

    The owner, charterer, managing operator or agent of a vessel that is 
required to report to the United States flag Merchant Vessel Location 
Filing System under the authority of section 212(A) of the Merchant 
Marine Act, 1936 (46 App. U.S.C. 1122a), shall immediately notify the 
Coast Guard if more than 48 hours have passed since receiving 
communication from the vessel. This notification shall be given to the 
Coast Guard district RCC cognizant over the area the vessel was last 
operating in.


(Information collection requirements approved by the Office of 
Management and Budget under control number 2115-0551)

[[Page 41]]



Sec. 4.04-5  Substance of reports.

    The owner, charterer, managing operator or agent, notifying the 
Coast Guard under Sec. 4.04-1 or Sec. 4.04-3, shall:
    (a) Provided the name and identification number of the vessel, the 
names of the individuals on board, and other information that may be 
requested by the Coast Guard (when providing the names of the 
individuals on board for a passenger vessel, the list of passengers need 
only meet the requirements of 46 U.S.C. 3502); and
    (b) Submit written confirmation of that notice to the Coast Guard 
facility that the notice was given to within 24 hours.


(Information collection requirements approved by the Office of 
Management and Budget under control number 2115-0551)



       Subpart 4.05--Notice of Marine Casualty and Voyage Records



Sec. 4.05-1  Notice of marine casualty.

    (a) Immediately after the addressing of resultant safety concerns, 
the owner, agent, master, operator, or person in charge, shall notify 
the nearest Marine Safety Office, Marine Inspection Office or Coast 
Guard Group Office whenever a vessel is involved in a marine casualty 
consisting in--
    (1) An unintended grounding, or an unintended strike of (allison 
with) a bridge;
    (2) An intended grounding, or an intended strike of a bridge, that 
creates a hazard to navigation, the environment, or the safety of a 
vessel, or that meets any criterion of paragraphs (a) (3) through (7);
    (3) A loss of main propulsion, primary steering, or any associated 
component or control system that reduces the maneuverability of the 
vessel;
    (4) An occurrence materially and adversely affecting the vessel's 
seaworthiness or fitness for service or route, including but not limited 
to fire, flooding, or failure of or damage to fixed fire-extinguishing 
systems, lifesaving equipment, auxiliary power-generating equipment, or 
bilge-pumping systems;
    (5) A loss of life;
    (6) An injury that requires professional medical treatment 
(treatment beyond first aid) and, if the person is engaged or employed 
on board a vessel in commercial service, that renders the individual 
unfit to perform his or her routine duties; or
    (7) An occurrence causing property-damage in excess of $25,000, this 
damage including the cost of labor and material to restore the property 
to its condition before the occurrence, but not including the cost of 
salvage, cleaning, gas-freeing, drydocking, or demurrage.
    (b) Notice given as required by 33 CFR 160.215 satisfies the 
requirement of this section if the marine casualty involves a hazardous 
condition as defined by 33 CFR 160.203.

[CGD 94-030, 59 FR 39471, Aug. 3, 1994]



Sec. 4.05-5  Substance of marine casualty notice.

    The notice required in Sec. 4.05-1 must include the name and 
official number of the vessel involved, the name of the vessel's owner 
or agent, the nature and circumstances of the casualty, the locality in 
which it occurred, the nature and extent of injury to persons, and the 
damage to property.

[CGD 76-170, 45 FR 77441, Nov. 24, 1980]



Sec. 4.05-10  Written report of marine casualty.

    (a) The owner, agent, master, operator, or person in charge shall, 
within five days, file a written report of any marine casualty required 
to be reported under Sec. 4.05-1. This written report is in addition to 
the immediate notice required by Sec. 4.05-1. This written report must 
be delivered to a Coast Guard Marine Safety Office or Marine Inspection 
Office. It must be provided on Form CG-2692 (Report of Marine Accident, 
Injury or Death), supplemented as necessary by appended Forms CG-2692A 
(Barge Addendum) and CG-2692B (Report of Required Chemical Drug and 
Alcohol Testing Following a Serious Marine Incident).
    (b) If filed without delay after the occurrence of the marine 
casualty, the report required by paragraph (a) of this

[[Page 42]]

section suffices as the notice required by Sec. 4.05-1(a).

[CGD 94-030, 63 FR 19192, Apr. 17, 1998]



Sec. 4.05-12  Alcohol or drug use by individuals directly involved in casualties.

    (a) For each marine casualty required to be reported by Sec. 4.05-
10, the marine employer shall determine whether there is any evidence of 
alcohol or drug use by individuals directly involved in the casualty.
    (b) The marine employer shall include in the written report, Form 
CG-2692, submitted for the casualty information which:
    (1) Identifies those individuals for whom evidence of drug or 
alcohol use, or evidence of intoxication, has been obtained; and,
    (2) Specifies the method used to obtain such evidence, such as 
personal observation of the individual, or by chemical testing of the 
individual.
    (c) An entry shall be made in the official log book, if carried, 
pertaining to those individuals for whom evidence of intoxication is 
obtained. The individual must be informed of this entry and the entry 
must be witnessed by a second person.
    (d) If an individual directly involved in a casualty refuses to 
submit to, or cooperate in, the administration of a timely chemical 
test, when directed by a law enforcement officer or by the marine 
employer, this fact shall be noted in the official log book, if carried, 
and in the written report (Form CG-2692), and shall be admissible as 
evidence in any administrative proceeding.

[CGD 84-099, 52 FR 47534, Dec. 14, 1987]



Sec. 4.05-15  Voyage records, retention of.

    (a) The owner, agent, master, or person in charge of any vessel 
involved in a marine casualty shall retain such voyage records as are 
maintained by the vessel, such as both rough and smooth deck and engine 
room logs, bell books, navigation charts, navigation work books, compass 
deviation cards, gyro records, stowage plans, records of draft, aids to 
mariners, night order books, radiograms sent and received, radio logs, 
crew and passenger lists, articles of shipment, official logs and other 
material which might be of assistance in investigating and determining 
the cause of the casualty. The owner, agent, master, other officer or 
person responsible for the custody thereof, shall make these records 
available upon request, to a duly authorized investigating officer, 
administrative law judge, officer or employee of the Coast Guard.
    (b) The investigating officer may substitute photostatic copies of 
the voyage records referred to in paragraph (a) of this section when 
they have served their purpose and return the original records to the 
owner or owners thereof.



Sec. 4.05-20  Report of accident to aid to navigation.

    Whenever a vessel collides with a buoy, or other aid to navigation 
under the jurisdiction of the Coast Guard, or is connected with any such 
collision, it shall be the duty of the person in charge of such vessel 
to report the accident to the nearest Officer in Charge, Marine 
Inspection. No report on Form CG-2692 is required unless one or more of 
the results listed in Sec. 4.05-1 occur.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 88-070, 53 
FR 34533, Sept. 7, 1988]



Sec. 4.05-25  Reports when state of war exists.

    During the period when a state of war exists between the United 
States and any foreign nation, communications in regard to casualties or 
accidents shall be handled with caution and the reports shall not be 
made by radio or by telegram.



Sec. 4.05-30  Incidents involving hazardous materials.

    When a casualty occurs involving hazardous materials, notification 
and a written report to the Department of Transportation may be 
required. See 49 CFR 171.15 and 171.16.

[CGD 76-170, 45 FR 77441, Nov. 24, 1980]



Sec. 4.05-35  Incidents involving nuclear vessels.

    The master of any nuclear vessel shall immediately inform the 
Commandant in the event of any accident or casualty to the nuclear 
vessel which

[[Page 43]]

may lead to an environmental hazard. The master shall also immediately 
inform the competent governmental authority of the country in whose 
waters the vessel may be or whose waters the vessel approaches in a 
damaged condition.

[CGD 84-099, 52 FR 47534, Dec. 14, 1987]



   Subpart 4.06--Mandatory Chemical Testing Following Serious Marine 
            Incidents Involving Vessels in Commercial Service

    Source: CGD 86-067, 53 FR 47078, Nov. 21, 1988, unless otherwise 
noted.



Sec. 4.06-1  Responsibilities of the marine employer.

    (a) At the time of occurrence of a marine casualty, a discharge of 
oil into the navigable waters of the United States, a discharge of a 
hazardous substance into the navigable waters of the United States, or a 
release of a hazardous substance into the environment of the United 
States, the marine employer shall make a timely, good faith 
determination as to whether the occurrence currently is, or is likely to 
become, a serious marine incident.
    (b) When a marine employer determines that a casualty or incident 
is, or is likely to become, a serious marine incident, the marine 
employer shall take all practicable steps to have each individual 
engaged or employed on board the vessel who is directly involved in the 
incident chemically tested for evidence of drug and alcohol use.
    (c) The determination of which individuals are directly involved in 
a serious marine incident is to be made by the marine employer. A law 
enforcement officer may determine that additional individuals are 
directly involved in the serious marine incident. In such cases, the 
marine employer shall take all practicable steps to have these 
individuals tested in accordance with paragraph (b) of this section.
    (d) The requirements of this subpart shall not prevent vessel 
personnel who are required to be tested from performing duties in the 
aftermath of a serious marine incident when their performance is 
necessary for the preservation of life or property or the protection of 
the environment.
    (e) The marine employer shall ensure that all individuals engaged or 
employed on board a vessel are fully indoctrinated in the requirements 
of this subpart, and that appropriate vessel personnel are trained as 
necessary in the practical applications of these requirements.
    (f) Each marine employer shall implement the testing requirements of 
this subpart in accordance with the implementation schedule provided in 
46 CFR 16.205 and 16.207.



Sec. 4.06-5  Responsibilities of individuals directly involved in serious marine incidents.

    (a) Any individual engaged or employed on board a vessel who is 
determined to be directly involved in a serious marine incident shall 
provide blood, breath or urine specimens for chemical tests required by 
Sec. 4.06-10 when directed to do so by the marine employer or a law 
enforcement officer.
    (b) If the individual refuses to provide blood, breath or urine 
specimens, this refusal shall be noted on Form CG-2692B and in the 
vessel's official log book, if one is required.
    (c) No individual may be forcibly compelled to provide specimens for 
chemical tests required by this part; however, refusal is considered a 
violation of regulation and could subject the individual to suspension 
and revocation proceedings under part 5 of this chapter and removal from 
any duties which directly affect the safety of the vessel's navigation 
or operations.



Sec. 4.06-10  Required specimens.

    Each individual required to submit to chemical testing shall, as 
soon as practicable, provide the following specimens for chemical 
testing:
    (a) Urine specimens, collected in accordance with Sec. 4.06-20 and 
part 16 of this chapter.
    (b) Blood or breath specimens, or both, collected in accordance with 
Sec. 4.06-20.



Sec. 4.06-20  Specimen collection requirements.

    (a) All inspected vessels certificated for unrestricted ocean 
routes, and all

[[Page 44]]

inspected vessels certificated for restricted overseas routes, are 
required to have on board at all times a breath testing device capable 
of determining the presence of alcohol in a person's system. The breath 
testing device shall be used in accordance with procedures specified by 
the manufacturer.
    (b) The marine employer shall ensure that urine specimen collection 
and shipping kits meeting the requirements of Sec. 16.330 of this part 
are readily available for use following serious marine incidents. The 
specimen collection and shipping kits need not be maintained aboard each 
vessel if they can otherwise be readily obtained within 24 hours from 
the time of the occurrence of the serious marine incident.
    (c) The marine employer shall ensure that specimens required by 
Sec. 4.06-10 are collected as soon as practicable following the 
occurrence of a serious marine incident.
    (d) When obtaining blood, breath, and urine specimens, the marine 
employer shall ensure that the collection process is supervised by 
either qualified collection personnel, the marine employer, a law 
enforcement officer, or the marine employer's representative.
    (e) Chemical tests of an individual's breath for the presence of 
alcohol using a breath testing device may be conducted by any individual 
trained to conduct such tests. Blood specimens shall be taken only by 
qualified medical personnel.



Sec. 4.06-30  Specimen collection in incidents involving fatalities.

    (a) When an individual engaged or employed on board a vessel dies as 
a result of a serious marine incident, blood and urine specimens must be 
obtained from the remains of the individual for chemical testing, if 
practicable to do so. The marine employer shall notify the appropriate 
local authority, such as the coroner or medical examiner, as soon as 
possible, of the fatality and of the requirements of this subpart. The 
marine employer shall provide the specimen collection and shipping kit 
and request that the local authority assist in obtaining the necessary 
specimens. When the custodian of the remains is a person other than the 
local authority, the marine employer shall request the custodian to 
cooperate in obtaining the specimens required under this part.
    (b) If the local authority or custodian of the remains declines to 
cooperate in obtaining the necessary specimens, the marine employer 
shall provide an explanation of the circumstances on Form CG-2692B 
(Report of Required Chemical Drug and Alcohol Testing Following a 
Serious Marine Incident).



Sec. 4.06-40  Specimen handling and shipping.

    (a) The marine employer shall ensure that blood specimens collected 
in accordance with Secs. 4.06-20 and 4.06-30 are promptly shipped to a 
testing laboratory qualified to conduct tests on such specimens. A 
proper chain of custody must be maintained for each specimen from the 
time of collection through the authorized disposition of the specimen. 
Blood specimens must be shipped to the laboratory in a cooled condition 
by any means adequate to ensure delivery within twenty-four (24) hours 
of receipt by the carrier.
    (b) The marine employer shall ensure that the urine specimen 
collection procedures of Sec. 16.310 of this part and the chain of 
custody requirements of Sec. 16.320 are complied with. The marine 
employer shall ensure that urine specimens required by Secs. 4.06-20 and 
4. 06-30 are promptly shipped to a laboratory complying with the 
requirements of 49 CFR part 40. Urine specimens must be shipped by an 
expeditious means, but need not be shipped in a cooled condition for 
overnight delivery.



Sec. 4.06-50  Specimen analysis and follow-up procedures.

    (a) Each laboratory will provide prompt analysis of specimens 
collected under this subpart, consistent with the need to develop all 
relevant information and to produce a complete analysis report.
    (b) Reports shall be sent to the Medical Review Officer meeting the 
requirements of 49 CFR 40.33, as designated by the marine employer 
submitting the specimen for testing. Wherever a urinalysis report 
indicates the presence of a dangerous drug or drug metabolite, the 
Medical Review Officer shall review the report as required by 49 CFR 
40.33

[[Page 45]]

and submit his or her findings to the marine employer. Blood test 
reports indicating the presence of alcohol shall be similarly reviewed 
to determine if there is a legitimate medical explanation.
    (c) Analysis results which indicate the presence of alcohol, 
dangerous drugs, or drug metabolites shall not be construed by 
themselves as constituting a finding that use of drugs or alcohol was 
the probable cause of a serious marine incident.

[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 90-053, 58 FR 
31107, May 28, 1993]



Sec. 4.06-60  Submission of reports and test results.

    (a) Whenever an individual engaged or employed on a vessel is 
identified as being directly involved in a serious marine incident, the 
marine employer shall complete Form CG-2692B (Report of Required 
Chemical Drug and Alcohol Testing Following a Serious Marine Incident).
    (b) When the serious marine incident requires the submission of Form 
CG-2692 (Report of Marine Casualty, Injury or Death) to the Coast Guard 
in accordance with Sec. 4.05-10, the report required by paragraph (a) of 
this section shall be appended to Form CG-2692.
    (c) In incidents involving discharges of oil or hazardous substances 
as described in Sec. 4.03-2 (b) and (c) of this part, when Form CG-2692 
is not required to be submitted, the report required by paragraph (a) of 
this section shall be submitted to the Coast Guard Officer in Charge, 
Marine Inspection, having jurisdiction over the location where the 
discharge occurred or nearest the port of first arrival following the 
discharge.
    (d) Upon receipt of the report of chemical test results, the marine 
employer shall submit a copy of the test results for each person listed 
on the CG-2692B to the Coast Guard Officer in Charge, Marine Inspection 
to whom the CG-2692B was submitted.

[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997]



                      Subpart 4.07--Investigations



Sec. 4.07-1  Commandant or District Commander to order investigation.

    (a) The Commandant or District Commander upon receipt of information 
of a marine casualty or accident, will immediately cause such 
investigation as may be necessary in accordance with the regulations in 
this part.
    (b) The investigations of marine casualties and accidents and the 
determinations made are for the purpose of taking appropriate measures 
for promoting safety of life and property at sea, and are not intended 
to fix civil or criminal responsibility.
    (c) The investigation will determine as closely as possible:
    (1) The cause of the accident;
    (2) Whether there is evidence that any failure of material (either 
physical or design) was involved or contributed to the casualty, so that 
proper recommendations for the prevention of the recurrence of similar 
casualties may be made;
    (3) Whether there is evidence that any act of misconduct, 
inattention to duty, negligence or willful violation of the law on the 
part of any licensed or certificated person contributed to the casualty, 
so that appropriate proceedings against the license or certificate of 
such person may be recommended and taken under 46 U.S.C. 6301;
    (4) Whether there is evidence that any Coast Guard personnel or any 
representative or employee of any other government agency or any other 
person caused or contributed to the cause of the casualty; or,
    (5) Whether the accident shall be further investigated by a Marine 
Board of Investigation in accordance with regulations in subpart 4.09.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 97-057, 62 
FR 51041, Sept. 30, 1997]



Sec. 4.07-5  Investigating officers, powers of.

    (a) An investigating officer investigates each marine casualty or 
accident reported under Secs. 4.05-1 and 4.05-10.
    (b) Such investigating officer shall have the power to administer 
oaths, subpoena witnesses, require persons

[[Page 46]]

having knowledge of the subject matter of the investigation to answer 
questionnaires and require the production of relevant books, papers, 
documents and other records.
    (c) Attendance of witnesses or the production of books, papers, 
documents or any other evidence shall be compelled by a similar process 
as in the United States District Court.

[CGFR 65-50, 30 FR 17099, Dec. 30, 1965, as amended by CGD-104R, 37 FR 
14234, July 18, 1972]



Sec. 4.07-7  Opening statement.

    The investigating officer or the Chairman of a Marine Board of 
Investigation shall open the investigation by announcing the statutory 
authority for the proceeding and he shall advise parties in interest 
concerning their rights to be represented by counsel, to examine and 
cross-examine witnesses, and to call witnesses in their own behalf.



Sec. 4.07-10  Report of investigation.

    (a) At the conclusion of the investigation the investigating officer 
shall submit to the Commandant via the Officer in Charge, Marine 
Inspection, and the District Commander, a full and complete report of 
the facts as determined by his investigation, together with his opinions 
and recommendations in the premises. The Officer in Charge, Marine 
Inspection, and the District Commander shall forward the investigating 
officer's report to the Commandant with an endorsement stating:
    (1) Approval or otherwise of the findings of fact, conclusions and 
recommendations;
    (2) Any action taken with respect to the recommendations;
    (3) Whether or not any action has been or will be taken under part 5 
of this subchapter to suspend or revoke licenses or certificates; and,
    (4) Whether or not violations of laws or regulations relating to 
vessels have been reported on Form CG-2636, report of violation of 
navigation laws.
    (b) At the conclusion of the investigation, the investigating 
officer shall submit the report described in paragraph (a) of this 
section, to the Commandant via the Merchant Marine Detail Officer or the 
Officer in Charge, Marine Inspection, and the Commander, Coast Guard MIO 
Europe for a European port or Commander, Fourteenth Coast Guard for an 
Asian or Pacific port. The Merchant Marine Detail Officer or the Officer 
in Charge, Marine Inspection, and Commander, Coast Guard MIO Europe or 
Commander, Fourteenth Coast Guard District shall forward the 
investigating officer's report to the Commandant with the endorsement 
described in paragraphs (a) (1) through (4) of this section.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 75-196, 41 
FR 18655, May 6, 1976; CGD 97-057, 62 FR 51042, Sept. 30, 1997]



Sec. 4.07-15  Recommendations, action on.

    Where the recommendations of an investigating officer are such that 
their accomplishment is within the authority of the District Commander 
or any of the personnel under his command, immediate steps shall be 
taken to put them into effect and his forwarding endorsement shall so 
indicate.



Sec. 4.07-20  Transfer of jurisdiction.

    When it appears to the District Commander that it is more 
advantageous to conduct an investigation in a district other than in the 
district where the casualty was first reported, that officer shall 
transfer the case to the other district together with any information or 
material relative to the casualty he may have.



Sec. 4.07-25  Testimony of witnesses in other districts, depositions.

    When witnesses are available in a district other than the district 
in which the investigation is being made, testimony or statements shall 
be taken from witnesses in the other districts by an investigating 
officer and promptly transmitted to the investigating officer conducting 
the investigation. Depositions may be taken in the manner prescribed by 
regulations in subpart 4.12.



Sec. 4.07-30  Testimony of witnesses under oath.

    (a) Witnesses to marine casualties or accidents appearing before an 
investigating officer may be placed under

[[Page 47]]

oath and their testimony may be reduced to writing.
    (b) Written statements and reports submitted as evidence by 
witnesses shall be sworn to before an officer authorized to administer 
oaths and such statements and/or reports shall be signed.



Sec. 4.07-35  Counsel for witnesses and parties in interest.

    (a) All parties in interest shall be allowed to be represented by 
counsel, to examine and cross-examine witnesses and to call witnesses in 
their own behalf.
    (b) Witnesses who are not parties in interest may be assisted by 
counsel for the purpose of advising such witnesses concerning their 
rights; however, such counsel will not be permitted to examine or cross-
examine other witnesses or otherwise participate in the investigation.



Sec. 4.07-45  Foreign units of Coast Guard, investigation by.

    Investigations of marine casualties conducted by foreign units of 
the Coast Guard shall be in accordance with the regulations in this part 
and all actions taken in connection with the investigations of such 
marine casualties entered in the official log(s) of the vessel(s) 
concerned.



Sec. 4.07-55  Information to be furnished Marine Board of Investigation.

    When a Marine Board of Investigation is convened in accordance with 
Sec. 4.09-1, the investigating officer shall immediately furnish the 
board with all testimony, statements, reports, documents, papers, a list 
of witnesses including those whom he has examined, other material which 
he may have gathered, and a statement of any findings of fact which he 
may have determined. The preliminary investigation shall cease forthwith 
and the aforementioned material shall become a part of the Marine Board 
of Investigation's record.



               Subpart 4.09--Marine Board of Investigation



Sec. 4.09-1  Commandant to designate.

    If it appears that it would tend to promote safety of life and 
property at sea or would be in the public interest, the Commandant may 
designate a Marine Board of Investigation to conduct an investigation.

[CGD 76-170, 45 FR 77441, Nov. 24, 1980]



Sec. 4.09-5  Powers of Marine Board of Investigation.

    Any Marine Board of Investigation so designated shall have the power 
to administer oaths, summon witnesses, require persons having knowledge 
of the subject matter of the investigation to answer questionnaires, and 
to require the production of relevant books, papers, documents or any 
other evidence. Attendance of witnesses or the production of books, 
papers, documents or any other evidence shall be compelled by a similar 
process as in the United States District Court. The chairman shall 
administer all necessary oaths to any witnesses summoned before said 
Board.



Sec. 4.09-10  Witnesses, payment of.

    Any witness subpoenaed under Sec. 4.09-5 shall be paid such fees for 
his travel and attendance as shall be certified by the chairman of a 
Marine Board of Investigation or an investigating officer, in accordance 
with Sec. 4.11-10.



Sec. 4.09-15  Time and place of investigation, notice of; rights of witnesses, etc.

    Reasonable notice of the time and place of the investigation shall 
be given to any person whose conduct is or may be under investigation 
and to any other party in interest. All parties in interest shall be 
allowed to be represented by counsel, to cross-examine witnesses, and to 
call witnesses in their own behalf.



Sec. 4.09-17  Sessions to be public.

    (a) All sessions of a Marine Board of Investigation for the purpose 
of obtaining evidence shall normally be open to

[[Page 48]]

the public, subject to the provision that the conduct of any person 
present shall not be allowed to interfere with the proper and orderly 
functioning of the Board. Sessions will not be open to the public when 
evidence of a classified nature or affecting national security is to be 
received.



Sec. 4.09-20  Record of proceedings.

    The testimony of witnesses shall be transcribed and a complete 
record of the proceedings of a Marine Board of Investigation shall be 
kept. At the conclusion of the investigation a written report shall be 
made containing findings of fact, opinions, and recommendations to the 
Commandant for his consideration.



Sec. 4.09-25  U.S. Attorney to be notified.

    The recorder of a Marine Board of Investigation shall notify the 
United States Attorney for the District in which the Marine Board of 
Investigation is being conducted of the nature of the casualty under 
investigation and time and place the investigation will be made.



Sec. 4.09-30  Action on report.

    Upon approval of the report of a Marine Board of Investigation the 
Commandant will require to be placed into effect such recommendations as 
he may deem necessary for the better improvement and safety of life and 
property at sea.



Sec. 4.09-35  Preferment of charges.

    (a) If in the course of an investigation by a Marine Board there 
appears probable cause for the preferment of charges against any 
licensed or certificated personnel, the Marine Board shall, either 
during or immediately following the investigation and before the 
witnesses have dispersed, apprise the District Commander of such 
evidence for possible action in accordance with part 5 of this 
subchapter, without waiting for the approval of the report by the 
Commandant. Such action or proceedings shall be independent and apart 
from any other action which may be later ordered by the Commandant or 
taken by other authorities.



                Subpart 4.11--Witnesses and Witness Fees



Sec. 4.11-1  Employees of vessels controlled by Army or Navy as witnesses.

    No officer, seaman, or other employee of any public vessel 
controlled by the Army or Navy (not including the Coast Guard) of the 
United States, shall be summoned or otherwise required to appear as a 
witness in connection with any investigation or other proceeding without 
the consent of the Government agency concerned.



Sec. 4.11-5  Coercion of witnesses.

    Any attempt to coerce any witness or to induce him to testify 
falsely in connection with a shipping casualty, or to induce any witness 
to leave the jurisdiction of the United States, is punishable by a fine 
of $5,000.00 or imprisonment for one year, or both such fine and 
imprisonment.



Sec. 4.11-10  Witness fees and allowances.

    Witness fees and allowances are paid in accordance with 46 CFR 
5.401.

[CGD 79-080, 45 FR 2046, Jan. 10, 1980, as amended by CGD 96-041, 61 FR 
50726, Sept. 27, 1996]



       Subpart 4.12--Testimony by Interrogatories and Depositions



Sec. 4.12-1  Application, procedure, and admissibility.

    (a) Witnesses shall be examined orally, except that for good cause 
shown, testimony may be taken by deposition upon application of any 
party in interest or upon the initiative of the investigating officer or 
Marine Board of Investigation.
    (b) Applications to take depositions shall be in writing setting 
forth the reasons why such deposition should be taken, the name and 
address of the witness, the matters concerning which it is expected the 
witness will testify, and the time and place proposed for the taking of 
the deposition. Such application shall be made to an investigating 
officer or the Marine Board of Investigation prior to or during the 
course of the proceedings.

[[Page 49]]

    (c) The investigating officer or Marine Board of Investigation, 
shall, upon receipt of the application, if good cause is shown, make and 
serve upon the parties an order which will specify the name of the 
witness whose deposition is to be taken, the name and place of the 
taking of such deposition and shall contain a designation of the officer 
before whom the witness is to testify. Such deposition may be taken 
before any officer authorized to administer oaths by the laws of the 
United States.
    (d) The party desiring the deposition may submit a list of 
interrogatories to be propounded to the absent witness; then the 
opposite party after he has been allowed a reasonable time for this 
purpose, may submit a list of cross-interrogatories. If either party 
objects to any question of the adversary party, the matter shall be 
presented to the investigating officer or Marine Board of Investigation 
for a ruling. Upon agreement of the parties on a list of interrogatories 
and cross-interrogatories (if any) the investigating officer or Marine 
Board of Investigation may propound such additional questions as may be 
necessary to clarify the testimony given by the witness.
    (e) The subpoena referred to in subpart F of this subchapter 
together with the list of interrogatories and cross-interrogatories (if 
any) shall be forwarded to the officer designated to take such 
deposition. This officer will cause the subpoena to be served personally 
on the witness. After service the subpoena shall be endorsed and 
returned to the investigating officer or Marine Board of Investigation.
    (f) When the deposition has been duly executed it shall be returned 
to the investigating officer or Marine Board of Investigation. As soon 
as practicable after the receipt of the deposition the investigating 
officer or Marine Board of Investigation shall present it to the parties 
for their examination. The investigating officer or Marine Board of 
Investigation shall rule on the admissibility of the deposition or any 
part thereof and of any objection offered by either party thereto.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 96-041, 61 
FR 50726, Sept. 27, 1996]



                  Subpart 4.13--Availability of Records



Sec. 4.13-1  Public availability of records.

    Coast Guard records are made available to the public in accordance 
with 49 CFR part 7.

[CGD 73-43R, 40 FR 13501, Mar. 27, 1975]



     Subpart 4.19--Construction of Regulations and Rules of Evidence



Sec. 4.19-1  Construction of regulations.

    The regulations in this part shall be liberally construed to insure 
just, speedy, and inexpensive determination of the issues presented.



Sec. 4.19-5  Adherence to rules of evidence.

    As hearings under this part are administrative in character, strict 
adherence to the formal rules of evidence is not imperative. However, in 
the interest of orderly presentation of the facts of a case, the rules 
of evidence should be observed as closely as possible.



                    Subpart 4.21--Computation of Time



Sec. 4.21-1  Computation of time.

    The time, within which any act, provided by the regulation in this 
subchapter, or an order of the Marine Board of Investigation is to be 
done, shall be computed by excluding the first day and including the 
last unless the last day is Sunday or a legal holiday, in which case the 
time shall extend to and include the next succeeding day that is not a 
Sunday or legal holiday: Provided, however, That where the time fixed by 
the regulations in this subchapter or an order of the Board is five days 
or less all intervening Sundays or legal holidays, other than Saturdays, 
shall be excluded.



              Subpart 4.23--Evidence of Criminal Liability



Sec. 4.23-1  Evidence of criminal liability.

    If as a result of any investigation or other proceeding conducted 
hereunder, evidence of criminal liability on the

[[Page 50]]

part of any licensed officer or certificated person or any other person 
is found, such evidence shall be referred to the U.S. Attorney General.



 Subpart 4.40--Coast Guard--National Transportation Safety Board Marine 
                         Casualty Investigations

    Source: CGD 76-149, 42 FR 61200, Dec. 1, 1977, unless otherwise 
noted.



Sec. 4.40-1  Purpose.

    This subpart prescribes the joint regulations of the National 
Transportation Safety Board and the Coast Guard for the investigation of 
marine casualties.

[CGD 82-034, 47 FR 45882, Oct. 14, 1982]



Sec. 4.40-3  Relationship to Coast Guard marine investigation regulations and procedures.

    (a) The Coast Guard's responsibility to investigate marine 
casualties is not eliminated nor diminished by the regulations in this 
subpart.
    (b) In those instances where the National Transportation Safety 
Board conducts an investigation in which the Coast Guard also has 
responsibility under 46 U.S.C. Chapter 63, the proceedings are conducted 
independently but so as to avoid duplication as much as possible.

[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



Sec. 4.40-5  Definitions.

    As used in this subpart:
    (a) Act means title III of Public Law 93-633, the Independent Safety 
Board Act of 1974, (49 U.S.C. 1131).
    (b) Board means the National Transportation Safety Board.
    (c) Chairman means the Chairman of the National Transportation 
Safety Board.
    (d) Major marine casualty means a casualty involving a vessel, other 
than a public vessel, that results in:
    (1) The loss of six or more lives:
    (2) The loss of a mechanically propelled vessel of 100 or more gross 
tons;
    (3) Property damage initially estimated at $500,000 or more; or
    (4) Serious threat, as determined by the Commandant and concurred in 
by the Chairman, to life, property, or the environment by hazardous 
materials.
    (e) Public vessel means a vessel owned by the United States, except 
a vessel to which the Act of October 25, 1919, c.82, (41 Stat. 305, 46 
U.S.C. 363) applies.
    (f) Vessel of the United States means a vessel:
    (1) Documented or required to be documented under the laws of the 
United States;
    (2) Owned in the United States; or
    (3) Owned by a citizen or resident of the United States and not 
registered under a foreign flag.

[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



Sec. 4.40-10  Preliminary investigation by the Coast Guard.

    (a) The Coast Guard conducts the preliminary investigation of marine 
casualties.
    (b) The Commandant determines from the preliminary investigation 
whether:
    (1) The casualty is a major marine casualty; or
    (2) The casualty involves a public and a non-public vessel and at 
least one fatality or $75,000 in property damage; or
    (3) The casualty involves a Coast Guard and a non-public vessel and 
at least one fatality or $75,000 in property damage; or
    (4) The casualty is a major marine casualty which involves 
significant safety issues relating to Coast Guard safety functions, 
e.g., search and rescue, aids to navigation, vessel traffic systems, 
commercial vessel safety, etc.
    (c) The Commandant notifies the Board of a casualty described in 
paragraph (b) of this section.

[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 82-034, 47 FR 
45882, Oct. 14, 1982]



Sec. 4.40-15  Marine casualty investigation by the Board.

    (a) The Board may conduct an investigation under the Act of any 
major marine casualty or any casualty involving public and non-public 
vessels. Where the Board determines it will convene a hearing in 
connection with

[[Page 51]]

such an investigation, the Board's rules of practice for transportation 
accident hearings in 49 CFR part 845 shall apply.
    (b) The Board shall conduct an investigation under the Act when:
    (1) The casualty involves a Coast Guard and a non-public vessel and 
at least one fatality or $75,000 in property damage; or
    (2) The Commandant and the Board agree that the Board shall conduct 
the investigation, and the casualty involves a public and a non-public 
vessel and at least one fatality or $75,000 in property damage; or
    (3) The Commandant and the Board agree that the Board shall conduct 
the investigation, and the casualty is a major marine casualty which 
involves significant safety issues relating to Coast Guard safety 
functions.

[CGD 82-034, 47 FR 45882, Oct. 14, 1982]



Sec. 4.40-20  Cause or probable cause determinations from Board investigation.

    After an investigation conducted by the Board under Sec. 4.40-15, 
the Board determines cause or probable cause and issues a report of that 
determination.



Sec. 4.40-25  Coast Guard marine casualty investigation for the Board.

    (a) If the Board does not conduct an investigation under Sec. 4.40-
15 (a), (b) (2) or (3), the Coast Guard, at the request of the Board, 
may conduct an investigation under the Act unless there is an allegation 
of Federal Government misfeasance or nonfeasance.
    (b) The Board will request the Coast Guard to conduct an 
investigation under paragraph (a) of this section within 48 hours of 
receiving notice under Sec. 4.40-10(c).
    (c) The Coast Guard will advise the Board within 24 hours of receipt 
of a request under paragraph (b) of this section whether the Coast Guard 
will conduct an investigation under the Act.

[CGD 82-034, 47 FR 45882, Oct. 14, 1982]



Sec. 4.40-30  Procedures for Coast Guard investigation.

    (a) The Coast Guard conducts an investigation under Sec. 4.40-25 
using the procedures in 46 CFR 4.01-1 through 4.23-1.
    (b) The Board may designate a person or persons to participate in 
every phase of an investigation, including on scene investigation, that 
is conducted under the provisions of subpart 4.40-25 of this part.
    (c) Consistent with Coast Guard responsibility to direct the course 
of the investigation, the person or persons designated by the Board 
under paragraph (b) of this section may:
    (1) Make recommendations about the scope of the investigations.
    (2) Call and examine witnesses.
    (3) Submit or request additional evidence.
    (d) The Commandant provides a record of the proceedings to the Board 
of an investigation of a major marine casualty under paragraph (a) of 
this section.
    (e) The Board, under the Act, makes its determination of the facts, 
conditions, circumstances, and the cause or probable cause of a major 
marine casualty using the record of the proceedings provided by the 
Commandant under paragraph (d) of this section, and any additional 
evidence the Board may acquire under its own authority.
    (f) An investigation by the Coast Guard under this section is both 
an investigation under the Act and under 46 U.S.C. Chapter 63.

[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997]



Sec. 4.40-35  Records of the Coast Guard and the Board.

    (a) Records of the Coast Guard made under Sec. 4.40-30 are available 
to the public under 49 CFR part 7.
    (b) Records of the Board made under Secs. 4.40-20 and 4.40-30 are 
available to the public under 49 CFR part 801.



PART 5--MARINE INVESTIGATION REGULATIONS--PERSONNEL ACTION--Table of Contents




                    Subpart A--Authority and Purpose

Sec.
5.1  Authority for regulations.
5.3  Purpose of regulations.
5.5  Purpose of administrative actions.

[[Page 52]]

                         Subpart B--Definitions

5.11  Commandant.
5.13  Coast Guard District.
5.15  Investigating Officer.
5.19  Administrative Law Judge.
5.23  Charge.
5.25  Specification.
5.27  Misconduct.
5.29  Negligence.
5.31  Incompetence.
5.33  Violation of law or regulation.
5.35  Conviction for a dangerous drug law violation, use of, or 
          addiction to the use of dangerous drugs.

            Subpart C--Statement of Policy and Interpretation

5.51  Construction of regulations.
5.53  Initiating suspension and revocation proceedings.
5.55  Time limitations for service of charges and specifications.
5.57  Acting under authority of license, certificate or document.
5.59  Offenses for which revocation of licenses, certificates or 
          documents is mandatory.
5.61  Acts or offenses for which revocation of licenses, certificates, 
          or documents is sought.
5.63  Standard of proof.
5.65  Commandant's decisions in appeal or review cases.
5.67  Physician-patient privilege.
5.69  Evidence of criminal liability.
5.71  Maritime labor disputes.

                        Subpart D--Investigations

5.101  Conduct of investigations.
5.103  Powers of investigating officer.
5.105  Course of action available.
5.107  Preparation and service of charges and specifications.

   Subpart E--Deposit or Surrender of License, Certificate or Document

5.201  Voluntary deposits in event of mental or physical incompetence.
5.203  Voluntary surrender to avoid hearing.
5.205  Return or issuance of a license, certificate of registry, or 
          merchant mariners document.

                          Subpart F--Subpoenas

5.301  Issuance of subpoenas.
5.303  Service of subpoenas on behalf of the respondent.
5.305  Quashing a subpoena.
5.307  Enforcement.
5.309  Proof of service

                         Subpart G--Witness Fees

5.401  Payment of witness fees and allowances.

                           Subpart H--Hearings

5.501  General.
5.503  Record of the hearing.
5.505  Public access to hearings.
5.507  Disqualification of Administrative Law Judge.
5.509  Opening the hearing.
5.511  Continuance of a hearing.
5.513  Appearances.
5.515  Failure of respondent to appear at hearing.
5.517  Witnesses excluded from hearing room.
5.519  Rights of respondent.
5.521  Verification of license, certificate or document.
5.523  Motions or objections.
5.525  Correction or amendment of charges and/or specifications.
5.527  Answer.
5.529  Opening statement of investigating officer.
5.531  Opening statement by or on behalf of the respondent.
5.533  Presentation of case where there is an admission or no contest 
          answer.
5.535  Witnesses.
5.537  Evidence.
5.539  Burden of proof.
5.541  Official notice by Commandant and Administrative Law Judge.
5.543  Certification of extracts from shipping articles, logbooks, etc.
5.545  Weight of entries from logbooks.
5.547  Use of judgment of conviction.
5.549  Admissibility of respondent's Coast Guard records prior to entry 
          of findings and conclusions.
5.551  Admissions by respondent.
5.553  Testimony by deposition.
5.555  Treatises.
5.557  Medical examination of respondent.
5.559  Argument.
5.561  Submission of proposed findings and conclusions.
5.563  Administrative Law Judge's findings and conclusions.
5.565  Submission of prior record and evidence in aggravation or 
          mitigation.
5.567  Order.
5.569  Selection of an appropriate order.
5.571  Delivery of decision.
5.573  Notification of right to appeal.
5.577  Modification of Administrative Law Judge's decision and order.

                    Subpart I--Reopening of Hearings

5.601  Petition to reopen hearing.
5.603  Procedures for submitting petition.
5.605  Action on petition.

[[Page 53]]

5.607  Appeal from action on petition.

                           Subpart J--Appeals

5.701  Appeals in general.
5.703  Procedures for appeal.
5.705  Action on appeal.
5.707  Stay of effect of decision and order of Administrative Law Judge 
          on appeal to the Commandant; temporary license, certificate, 
          or document.
5.709  Appeal cases remanded for further proceedings.
5.711  Commandant's Decisions on Appeal.
5.713  Appeals to the National Transportation Safety Board.
5.715  Stay of effect of Decision of the Commandant on Appeal: Temporary 
          document and/or license pending appeal to National 
          Transportation Safety Board.

Subpart K--Review of Administrative Law Judge's Decisions in Cases Where 
                     Charges Have Been Found Proved

5.801  Commandant's review.
5.803  Record for decision on review.
5.805  Action on review.
5.807  Commandant's Decision on Review.

  Subpart L--Issuance of New Licenses, Certificates or Documents After 
                         Revocation or Surrender

5.901  Time limitations.
5.903  Application procedures.
5.905  Commandant's decision on application.

    Authority: 46 U.S.C. 2103, 7101, 7301, 7701; 49 CFR 1.46.

    Source: CGD 82-002, 50 FR 32184, Aug. 9, 1985, unless otherwise 
noted.



                    Subpart A--Authority and Purpose



Sec. 5.1  Authority for regulations.

    (a) The basic authority governing administrative actions against a 
person's license, certificate or document is set forth in title 46 
U.S.C. chapter 77. The Administrative Procedure Act, title 5 U.S.C. 
section 551, et seq., requires hearings held in conjunction with these 
administrative actions to be presided over by an Administrative Law 
Judge.
    (b) Title 46, U.S.C., section 7704 requires revocation of a license, 
certificate or document of any person who has been shown at a hearing to 
be a user of or addicted to the use of a dangerous drug or to have been 
convicted of violating a dangerous drug law of the United States, 
District of Columbia, or any state or territory of the United States.



Sec. 5.3  Purpose of regulations.

    The regulations in this part establish policies and procedures for 
administrative actions against mariners' licenses, certificates or 
documents issued by the Coast Guard.



Sec. 5.5  Purpose of administrative actions.

    The administrative actions against a license, certification or 
document are remedial and not penal in nature. These actions are 
intended to help maintain standards for competence and conduct essential 
to the promotion of safety at sea.



                         Subpart B--Definitions



Sec. 5.11  Commandant.

    For the purpose of this part, Commandant means the Commandant of the 
Coast Guard. In subparts I, J, and K of this part, the term Commandant 
includes the Vice Commandant of the Coast Guard acting on behalf of the 
Commandant in any proceeding involving final agency action on a petition 
to reopen a hearing or an appeal from a decision of an Administrative 
Law Judge not involving an order of revocation.



Sec. 5.13  Coast Guard District.

    A Coast Guard District is a geographical area as described in 33 CFR 
part 3 which is under the command of a Coast Guard officer designated by 
the Commandant as the Coast Guard District Commander.



Sec. 5.15  Investigating Officer.

    An investigating officer is a Coast Guard official designated by the 
Commandant, District Commander, or the Officer In Charge, Marine 
Inspection, for the purpose of conducting investigations of marine 
casualties or matters pertaining to the conduct of persons issued a 
license, certificate or document by the Coast Guard. An Officer in 
Charge, Marine Inspection is an investigating officer without further 
designation.

[[Page 54]]



Sec. 5.19  Administrative Law Judge.

    (a) An Administrative Law Judge shall mean any person designated by 
the Commandant pursuant to the Administrative Procedure Act (5 U.S.C. 
556(b) for the purpose of conducting hearings arising under 46 U.S.C. 
7703 or 7704.
    (b) The Commandant has delegated to Administrative Law Judges the 
authority to admonish, suspend with or without probation or revoke a 
license, certificate or document issued to a person by the Coast Guard 
under any navigation or shipping law.



Sec. 5.23  Charge.

    (a) A charge is the designation in general terms of an act or 
offense within the purview of 46 U.S.C. 7703 or 7704. A charge must be 
supported by one or more specifications. Under no circumstances does a 
charge constitute evidence nor may any inference be drawn from the fact 
that the holder of a license, certificate or document has been the 
subject of a charge.
    (b) A charge must be stated as one of the following:
    (1) Misconduct;
    (2) Negligence;
    (3) Incompetence;
    (4) Violation of law or regulation;
    (5) Conviction for a dangerous drug law violation, use of a 
dangerous drug, or addiction to the use of dangerous drugs.



Sec. 5.25  Specification.

    A specification sets forth the facts which form the basis of a 
charge and enables the respondent to identify the act or offense so that 
a defense can be prepared. Each specification shall state:
    (a) Basis for jurisdiction;
    (b) Date and place of act, or offense; and
    (c) The facts constituting the alleged act or offense.



Sec. 5.27  Misconduct.

    Misconduct is human behavior which violates some formal, duly 
established rule. Such rules are found in, among other places, statutes, 
regulations, the common law, the general maritime law, a ship's 
regulation or order, or shipping articles and similar sources. It is an 
act which is forbidden or a failure to do that which is required.



Sec. 5.29  Negligence.

    Negligence is the commission of an act which a reasonable and 
prudent person of the same station, under the same circumstances, would 
not commit, or the failure to perform an act which a reasonable and 
prudent person of the same station, under the same circumstances, would 
not fail to perform.



Sec. 5.31  Incompetence.

    Incompetence is the inability on the part of a person to perform 
required duties, whether due to professional deficiencies, physical 
disability, mental incapacity, or any combination thereof.



Sec. 5.33  Violation of law or regulation.

    Where the proceeding is based exclusively on that part of title 46 
U.S.C. section 7703, which provides as a basis for suspension or 
revocation a violation or failure to comply with 46 U.S.C. subtitle II, 
a regulation prescribed under that subtitle, or any other law or 
regulation intended to promote marine safety or protect navigable 
waters, the charge shall be violation of law or violation of regulation. 
The specification shall state the specific statute or regulation by 
title and section number, and the particular manner in which it was 
allegedly violated.



Sec. 5.35  Conviction for a dangerous drug law violation, use of, or addiction to the use of dangerous drugs.

    Where the proceeding is based exclusively on the provisions of title 
46, U.S.C. 7704, the charge will be conviction for a dangerous drug law 
violation or use of dangerous drugs or addiction to the use of dangerous 
drugs, depending upon the circumstances. The specification will allege 
jurisdiction by stating the elements as required by title 46, U.S.C. 
7704, and the approximate time and place of the offense.

[[Page 55]]



            Subpart C--Statement of Policy and Interpretation



Sec. 5.51  Construction of regulations.

    The regulations in this part shall be construed so as to obtain a 
just, speedy, and economical determination of the issues presented.



Sec. 5.53  Initiating suspension and revocation proceedings.

    Suspension and revocation proceedings are initiated upon service of 
charges preferred by an investigating officer.



Sec. 5.55  Time limitations for service of charges and specifications.

    (a) The time limitations for service of various charges and 
specifications upon the holder of a license, certificate or document are 
as follows:
    (1) When based exclusively on 46 U.S.C. 7704, service shall be 
within 10 years after the date of conviction, or at anytime if the 
person charged is a user of or addicted to the use of a dangerous drug.
    (2) For one of the misconduct offenses specified in Sec. 5.59(a) or 
Sec. 5.61(a), service shall be within five years after commission of the 
offense alleged therein.
    (3) For an act or offense not otherwise provided for, the service 
shall be within three years after the commission of the act or offense 
alleged therein.
    (b) When computing the period of time specified in paragraphs (a) 
(2) and (3) of this section there shall be excluded any period or 
periods of time when the respondent could not attend a hearing or be 
served charges by reason of being outside of the United States or by 
reason of being in prison or hospitalized.



Sec. 5.57  Acting under authority of license, certificate or document.

    (a) A person employed in the service of a vessel is considered to be 
acting under the authority of a license, certificate or document when 
the holding of such license, certificate or document is:
    (1) Required by law or regulation; or
    (2) Required by an employer as a condition for employment.
    (b) A person is considered to be acting under the authority of the 
license, certificate or document while engaged in official matters 
regarding the license, certificate or document. This includes, but is 
not limited to, such acts as applying for renewal of a license, taking 
examinations for upgrading or endorsements, requesting duplicate or 
replacement licenses, certificates or documents, or when appearing at a 
hearing under this part.
    (c) A person does not cease to act under the authority of a license, 
certificate or document while on authorized or unauthorized shore leave 
from the vessel.



Sec. 5.59  Offenses for which revocation of licenses, certificates or documents is mandatory.

    An Administrative Law Judge enters an order revoking a respondent's 
license, certificate or document when--
    (a) A charge of misconduct for wrongful possession, use, sale, or 
association with dangerous drugs is found proved. In those cases 
involving marijuana, the Administrative Law Judge may enter an order 
less than revocation when satisfied that the use, possession or 
association, was the result of experimentation by the respondent and 
that the respondent has submitted satisfactory evidence that he or she 
is cured of such use and that the possession or association will not 
recur.
    (b) The respondent has been a user of, or addicted to the use of, a 
dangerous drug, or has been convicted for a violation of the dangerous 
drug laws, whether or not further court action is pending, and such 
charge is found proved. A conviction becomes final when no issue of law 
or fact determinative of the respondent's guilt remains to be decided.



Sec. 5.61  Acts or offenses for which revocation of licenses, certificates, or documents is sought.

    (a) An investigating officer seeks revocation of a respondent's 
license, certificate or document when one of the following acts or 
offenses is found proved:
    (1) Assault with a dangerous weapon.
    (2) Misconduct resulting in loss of life or serious injury.
    (3) Rape or sexual molestation.

[[Page 56]]

    (4) Murder or attempted murder.
    (5) Mutiny.
    (6) Perversion.
    (7) Sabotage.
    (8) Smuggling of aliens.
    (9) Incompetence.
    (10) Interference with master, ship's officers, or government 
officials in performance of official duties.
    (11) Wrongful destruction of ship's property.
    (b) An investigating officer may seek revocation of a respondent's 
license, certificate or document when the circumstances of an act or 
offense found proved or consideration of the respondent's prior record 
indicates that permitting such person to serve under the license, 
certificate or document would be clearly a threat to the safety of life 
or property, or detrimental to good discipline.



Sec. 5.63  Standard of proof.

    In proceedings conducted pursuant to this part, findings must be 
supported by and in accordance with the reliable, probative, and 
substantial evidence. By this is meant evidence of such probative value 
as a reasonable, prudent and responsible person is accustomed to rely 
upon when making decisions in important matters. This includes admitted 
or no contest answers.



Sec. 5.65  Commandant's decisions in appeal or review cases.

    The decisions of the Commandant in cases of appeal or review of 
decisions of Administrative Law Judges are officially noticed and the 
principles and policies enunciated therein are binding upon all 
Administrative Law Judges, unless they are modified or rejected by 
competent authority.



Sec. 5.67  Physician-patient privilege.

    For the purpose of these proceedings, the physician-patient 
privilege does not exist between a physician and a respondent.



Sec. 5.69  Evidence of criminal liability.

    Evidence of criminal liability discovered during an investigation or 
hearing conducted pursuant to this part will be referred to the Attorney 
General's local representative or other appropriate law enforcement 
authority having jurisdiction over the matter.



Sec. 5.71  Maritime labor disputes.

    Under no circumstances will the Coast Guard exercise its authority 
for the purpose of favoring any party to a maritime labor controversy. 
However, if the situation affecting the safety of the vessel or persons 
on board is presented, the matter shall be thoroughly investigated and 
when a violation of existing statutes or regulations is indicated, 
appropriate action will be taken.



                        Subpart D--Investigations



Sec. 5.101  Conduct of investigations.

    (a) Investigations may be initiated in any case in which it appears 
that there are reasonable grounds to believe that the holder of a 
license, certificate or document issued by the Coast Guard may have:
    (1) Committed an act of incompetency, misconduct, or negligence 
while acting under the authority of a license, certificate or document;
    (2) Violated or failed to comply with subtitle II of title 46, 
U.S.C., a regulation prescribed under this subtitle, or any other law or 
regulations intended to promote marine safety or to protect the 
navigable waters, while acting under the authority of a license, 
certificate or document;
    (3) Been convicted of a dangerous drug law violation, or has been a 
user of, or addicted to the use of, a dangerous drug, so as to be 
subject to the provisions of 46 U.S.C. 7704.
    (b) In order to promote full disclosure and facilitate 
determinations as to the cause of marine casualties, no admission made 
by a person during an investigation under this part or part 4 of this 
title may be used against that person in a proceeding under this part, 
except for impeachment.



Sec. 5.103  Powers of investigating officer.

    During an investigation, the investigating officer may administer 
oaths, issue subpoenas in accordance with subpart F of this title, and 
require persons having knowledge of the subject matter of the 
investigation to answer questions.

[[Page 57]]



Sec. 5.105  Course of action available.

    During an investigation, the investigating officer may take 
appropriate action as follows:
    (a) Prefer charges.
    (b) Accept voluntary surrender of a license, certificate or 
document.
    (c) Accept voluntary deposit of a license, certificate or document.
    (d) Refer the case to others for further action. The investigating 
officer may refer the case to the Commandant or to an Officer in Charge, 
Marine Inspection, at any port for completion of administrative action 
if an adequate basis for action is found and the person under 
investigation and/or witnesses are not locally available.
    (e) Give a written warning. The investigating officer may give a 
warning to any person holding a license, certificate or document. 
Refusal to accept the written warning will normally result in a 
withdrawal of the warning and the preferral of charges. An unrejected 
warning will become a part of the person's record.
    (f) Close the case.



Sec. 5.107  Preparation and service of charges and specifications.

    (a) When preferring charges, the investigating officer prepares 
charges and specifications, together with a notice of the time, date and 
place of the hearing.
    (b) The original of the charges and specifications and the notice of 
the time, date and place of hearing are served upon the respondent, 
either by personal service or certified mail, return receipt requested; 
restricted delivery (receipt to be signed by the addressee only).
    (c) Service will be made sufficiently in advance of the time set for 
the hearing so as to give the respondent a reasonable opportunity to 
prepare a defense.
    (d) At the time of service, whether personal or by certified mail, 
the respondent will also be advised with respect to:
    (1) The nature of suspension and revocation proceedings and the 
possible results thereof;
    (2) The right to have representation by counsel at the hearing, and 
that counsel may be, but need not be, a lawyer;
    (3) The right to have witnesses, records or other evidence 
subpoenaed and that
    (4) Failure to appear at the time, date and place specified may 
result in the hearing being in his absence.
    (e) If the alleged act involves mental incompetence, it is 
recommended to the respondent, at the time of service of charges, that 
he procure counsel.
    (f) If the alleged act involves mental or physical incompetence, the 
respondent is advised that evidence of medical examination may be 
submitted.



   Subpart E--Deposit or Surrender of License, Certificate or Document



Sec. 5.201  Voluntary deposits in event of mental or physical incompetence.

    (a) A holder may deposit a license, certificate, or document with 
the Coast Guard in any case where there is evidence of mental or 
physical incompetence. A voluntary deposit is accepted on the basis of a 
written agreement, the original of which will be given to the holder, 
which specifies the conditions upon which the Coast Guard will return 
the license, certificate, or document to the holder.
    (b) Where the mental or physical incompetence of a holder of a 
license, certificate, or document is caused by use of or addiction to 
dangerous drugs, a voluntary deposit will only be accepted contingent on 
the following circumstances:
    (1) The holder is enrolled in a bona fide drug abuse rehabilitation 
program;
    (2) The holder's incompetence did not cause or contribute to a 
marine casualty,
    (3) The incompetence was reported to the Coast Guard by the 
individual or any other person and was not discovered as a result of a 
Federal, State or local government investigation; and
    (4) The holder has not voluntarily deposited or surrendered a 
license, certificate, or document, or had a license, certificate, or 
document revoked for a drug related offense on a prior occasion.
    (c) Where the mental or physical incompetence of a holder of a 
license, certificate, or document is caused by

[[Page 58]]

use or addiction to alcohol, a voluntary deposit will only be accepted 
contingent on the following circumstances:
    (1) The holder is enrolled in a bona fide alcohol abuse 
rehabilitation program;
    (2) The holder's incompetence did not cause or contribute to a 
marine casualty; and
    (3) The incompetence was reported to the Coast Guard by the 
individual or any other person and was not discovered as a result of a 
Federal, State, or local government investigation.
    (d) Where the conditions of paragraphs (b) and (c) of this section 
are not met, the holder may only surrender such license, certificate, or 
document in accordance with Sec. 5.203.

[CGD 84-099, 52 FR 47535, Dec. 14, 1987]



Sec. 5.203  Voluntary surrender to avoid hearing.

    (a) Any holder may surrender a license, certificate or document to 
the Coast Guard in preference to appearing at a hearing.
    (b) A holder voluntarily surrendering a license, certificate or 
document shall sign a written statement containing the stipulations 
that:
    (1) The surrender is made voluntarily in preference to appearing at 
a hearing;
    (2) All rights to the license, certificate or document surrendered 
are permanently relinquished; and,
    (3) Any rights with respect to a hearing are waived.
    (c) A voluntary surrender of a license, certificate or document to 
an investigating officer in preference to appearing at a hearing is not 
to be accepted by an investigating officer unless the investigating 
officer is convinced that the holder fully realizes the effect of such 
surrender.



Sec. 5.205  Return or issuance of a license, certificate of registry, or merchant mariners document.

    (a) A person may request the return of a voluntarily deposited 
license, certificate, or document at any time, provided he or she can 
demonstrate a satisfactory rehabilitation or cure of the condition which 
caused the incompetence; has complied with any other conditions of the 
written agreement executed at the time of deposit; and complies with the 
physical and professional requirements for issuance of a license, 
certificate, or document.
    (b) Where the voluntary deposit is based on incompetence due to drug 
abuse, the deposit agreement shall provide that the license, 
certificate, or document will not be returned until the person:
    (1) Successfully completes a bona fide drug abuse rehabilitation 
program;
    (2) Demonstrates complete non-association with dangerous drugs for a 
minimum of six months after completion of the rehabilitation program; 
and
    (3) Is actively participating in a bona fide drug abuse monitoring 
program.
    (c) Where the voluntary deposit is based on incompetence due to 
alcohol abuse, the deposit agreement shall provide that the license, 
certificate, or document will not be returned until the person:
    (1) Successfully completes a bona fide alcohol abuse rehabilitation 
program; and
    (2) Is actively participating in a bona fide alcohol abuse 
monitoring program.
    (d) The voluntary surrender of a license, certificate, or document 
is the equivalent of revocation of such papers. A holder who voluntarily 
surrenders a license, certificate, or document must comply with 
provisions of Secs. 5.901 and 5.903 when applying for the issuance of a 
new license, certificate, or document.

[CGD 84-099, 52 FR 47535, Dec. 14, 1987]



                          Subpart F--Subpoenas



Sec. 5.301  Issuance of subpoenas.

    (a) Every subpoena shall command the person to whom it is directed 
to appear at a specified time and place to give testimony or to produce 
books, papers, documents, or any other evidence, which shall be 
described with such particularity as necessary to identify what is 
desired.
    (b) The investigating officer may issue subpoenas for the attendance 
of witnesses or for the production of books, papers, documents, or any 
other relevant evidence needed by the investigating officer or by the 
respondent.

[[Page 59]]

    (c) After charges have been served upon the respondent the 
Administrative Law Judge may, either on the Administrative Law Judge's 
own motion or the motion of the investigating officer or respondent, 
issue subpoenas for the attendance and the giving of testimony by 
witnesses or for the production of books, papers, documents, or any 
other relevant evidence.



Sec. 5.303  Service of subpoenas on behalf of the respondent.

    Service of subpoenas issued on behalf of the respondent is the 
responsibility of the respondent. However, if the Administrative Law 
Judge finds that the respondent or respondent's counsel is physically 
unable to effect the service, despite diligent and bona fide attempts to 
do so, and if the Administrative Law Judge further finds that the 
existing impediment to the service of the subpoena is peculiarly within 
the authority of the Coast Guard to overcome, the Administrative Law 
Judge will have the subpoena delivered to an investigating officer 
participating in the case for the purpose of effecting service.



Sec. 5.305  Quashing a subpoena.

    (a) Persons subpoenaed to appear in person or produce evidence at a 
hearing may, prior to or during the hearing, apply in writing to the 
Administrative Law Judge conducting the hearing requesting that the 
subpoena be quashed or modified.
    (b) Upon receipt of any application requesting quashing or 
modification of a subpoena the Administrative Law Judge notifies the 
party for whom the subpoena was issued. The Administrative Law Judge may 
quash or modify the subpoena if it is unreasonable or requires evidence 
not relevant to any matter in issue, or may deny the request.



Sec. 5.307  Enforcement.

    Upon application and for good cause shown, or upon its own 
initiative, the Coast Guard will seek judicial enforcement of subpoenas 
issued by investigating officers or Administrative Law Judges. This is 
done by making application to the United States District Court, through 
the office of the appropriate U.S. Attorney, to issue an order 
compelling the attendance of, and/or giving of testimony by, witnesses, 
or for the production of books, papers, documents, or any other relevant 
evidence.



Sec. 5.309  Proof of service.

    (a) The person serving a subpoena shall make a written statement 
setting forth the date, time and manner of service and shall return such 
report with or on a copy of the subpoena to the investigating officer or 
Administrative Law Judge who issued it. In case of failure to make 
service of a subpoena, the person assigned to serve such subpoena shall 
make a written statement setting forth the reasons the subpoena was not 
served. The statement should be placed on the subpoena or attached to it 
and returned to the investigating office or Administrative Law Judge who 
issued the subpoena.
    (b) When service of a subpoena is made by certified mail with return 
receipt to be signed by the addressee only, the person mailing the 
subpoena shall make a written statement on a copy of the subpoena or 
attached to it, setting forth the date, time and location of the post 
office where mailed, the post office number assigned thereto. If 
delivered, the receipt requested shall be returned, by the person 
receiving the receipt, to the investigating officer or Administrative 
Law Judge who issued the subpoena. In case the subpoena is not 
delivered, any information reported by the post office regarding non-
delivery shall be given to the investigating officer or Administrative 
Law Judge who issued the subpoena.



                         Subpart G--Witness Fees



Sec. 5.401  Payment of witness fees and allowances.

    (a) Duly subpoenaed witnesses, other than Federal government 
employees, may apply for payment of their attendance as witnesses at an 
investigation or hearing conducted pursuant to this part by submitting a 
request for payment (Standard Form 1157) accompanied by any necessary 
receipts.
    (b) Fees and allowances will be paid as provided by 28 U.S.C. 1821, 
except

[[Page 60]]

that a person called to testify as an expert witness may be paid a 
higher fee to be fixed by the District Commander.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985; 50 FR 35228, Aug. 30, 1985]



                           Subpart H--Hearings



Sec. 5.501  General.

    (a) A hearing in a suspension and revocation proceeding conducted 
under 46 U.S.C. chapter 77, is the adjudication of the case. It is 
presided over and is conducted under the exclusive control of an 
Administrative Law Judge in accordance with applicable requirements in 5 
U.S.C. 551, et seq. (Administrative Procedure Act), and the regulations 
in this part. The Administrative Law Judge shall regulate and conduct 
the hearing in such a manner so as to bring out all the relevant and 
material facts, and to insure a fair and impartial hearing.
    (b) The Administrative Law Judge shall be governed by 5 U.S.C. 
557(d)(1) of the Administrative Procedure Act regarding ex parte 
communications relative to these proceedings.
    (c) With the consent of the investigating officer and respondent, 
the Administrative Law Judge may hold a prehearing conference for the 
settlement or simplification of the issues involved in the case. A 
prehearing conference may be requested by the investigating officer, 
respondent, or the Administrative Law Judge and is subject to the 
following provisions:
    (1) The Administrative Law Judge sets the time and place for the 
conference, or conference telephone call. The conference shall not be 
convened unless both the investigating officer and the respondent or 
their authorized representative are present.
    (2) Admissions or statements made at a conference are not admissible 
in evidence at a hearing for any reason.
    (3) The Administrative Law Judge, in his opening statement at the 
hearing, shall enter into the hearing record the time, date, place, and 
persons present at any prehearing conference held.
    (4) If the investigating officer and the respondent agree at the 
prehearing conference to stipulate to facts or amend the charge sheet, 
either may introduce the stipulation at the hearing which, upon the 
consent of the other, will become a part of the hearing record.
    (d) The procedures below are usually followed:
    (1) Administrative Law Judge's opening statement.
    (2) Appearances of persons at the hearing.
    (3) Verification of currently valid license, certificate and/or 
document held by respondent.
    (4) The Administrative Law Judge advises the respondent of his or 
her rights.
    (5) Exclusion of witnesses from the hearing room.
    (6) Preliminary motions, objections and/or corrections to the 
charges and specifications.
    (7) A reading of the charges with respondent's answer.
    (8) Opening statement of investigating officer.
    (9) Opening statement by or on behalf of the respondent or 
statements in mitigation if the respondent has admitted to the charge 
and specification or has answered no contest.
    (10) Submission of evidence.
    (11) Argument by the investigating officer and argument by or on 
behalf of the respondent.
    (12) The investigating officer and respondent are given the 
opportunity to submit proposed findings and conclusions.
    (13) The Administrative Law Judge renders findings and conclusions.
    (14) Submission of prior record of the respondent and evidence in 
aggravation or mitigation.
    (15) The Administrative Law Judge renders an order.
    (16) The Administrative Law Judge serves complete written decision.
    (17) The Administrative Law Judge advises the respondent of the 
right to appeal.
    (18) The Administrative Law Judge declares that the hearing is 
closed.



Sec. 5.503  Record of the hearing.

    (a) The Administrative Law Judge designates an official reporter for 
the hearing. The reporter shall prepare the record of the hearing, 
including the transcript if so directed by the Administrative Law Judge.

[[Page 61]]

    (b) The testimony and exhibits presented, together with all papers, 
requests, and rulings filed in the proceedings constitute the record of 
the hearing.



Sec. 5.505  Public access to hearings.

    All hearings conducted pursuant to this part are open to the public, 
including representatives of the press, except when the Administrative 
Law Judge finds that the subject matter to be, or being, brought out in 
the evidence concerns classified material relating to national security, 
or when other circumstances exist which have been held to warrant a 
limitation or exception to the right of a public hearing in a United 
States District Court.



Sec. 5.507  Disqualification of Administrative Law Judge.

    (a) In any suspension and revocation proceeding conducted under this 
part, the Administrative Law Judge may withdraw voluntarily from a 
particular case for reasons of a possible conflict of interest. In such 
event, the Administrative Law Judge shall immediately notify the 
Commandant of the desire to withdraw and the reasons therefor.
    (b) In any case the investigating officer or the respondent may, in 
good faith, request the Administrative Law Judge to withdraw on the 
grounds of personal bias or other disqualification. The party seeking 
the Administrative Law Judge's disqualification shall file with the 
Administrative Law Judge a timely affidavit or statement sworn to before 
a Coast Guard officer of other official authorized to administer oaths, 
setting forth in detail the facts alleged to constitute the grounds for 
disqualification. The investigating officer or the respondent may 
present testimony of witnesses or, at minimum, an offer of proof to 
support these grounds. The Administrative Law Judge rules whether or not 
disqualification is warranted.
    (c) If the person seeking disqualification takes exception to the 
Administrative Law Judge's ruling, that person may appeal such ruling to 
the Commandant. When such appeal is made, the Administrative Law Judge 
immediately forwards the affidavit or sworn statement with the decision 
thereon to the Commandant. The Administrative Law Judge may proceed with 
the hearing unless it can be shown that a delay in the hearing pending a 
determination of the appeal will not be detrimental to the matters being 
adjudicated. The Administrative Law Judge ensures that all matters 
relating to such claims of disqualification appear affirmatively in the 
record.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 97-057, 62 FR 
51042, Sept. 30, 1997]



Sec. 5.509  Opening the hearing.

    The Administrative Law Judge opens the hearing at the time and place 
specified in the notice, administers all necessary oaths, and causes a 
complete record of the proceedings to be kept. The time and place of 
opening the hearing may be changed by the Administrative Law Judge by 
written notice served on the investigating officer and the respondent, 
either on the Administrative Law Judge's own motion or upon application 
of the investigating officer or respondent. Such change must be 
consistent with the rights of the respondent to a fair, impartial and 
timely hearing and the availability of witnesses.



Sec. 5.511  Continuance of a hearing.

    The Administrative Law Judge may, either on the Administrative Law 
Judge's own motion or the motion of the investigating officer or 
respondent, continue the hearing from day to day or adjourn such hearing 
to a later date or to a different place by announcement at the hearing 
or by other appropriate notice. When determining whether to grant a 
continuance, the Administrative Law Judge gives careful consideration to 
the future availability of witnesses, the schedule of the vessel or 
vessels on which the respondent and/or witnesses may be employed, and to 
the nature of the charge and gravity of the offense.



Sec. 5.513  Appearances.

    The appearances of the investigating officer and respondent and 
their representatives are entered in the record.

[[Page 62]]



Sec. 5.515  Failure of respondent to appear at hearing.

    (a) In any case in which the respondent, after being duly served 
with the original of the notice of the time and place of the hearing and 
the charges and specifications, fails to appear at the time and place 
specified for the hearing, the hearing may be conducted in absentia.
    (b) The Administrative Law Judge ensures that the record contains 
the facts concerning the service of the charges, specifications and 
notice of hearing.



Sec. 5.517  Witnesses excluded from hearing room.

    After appearances are entered and prior to proceeding with the 
hearing, all witnesses are excluded from the hearing room. The 
Administrative Law Judge may order witnesses to be separated from each 
other while waiting to testify or admonish them to not discuss the case 
among themselves or with any other person, with the exception of the 
investigating officer, the respondent or the respondent's counsel.



Sec. 5.519  Rights of respondent.

    (a) The Administrative Law Judge advises the respondent, on the 
record, of the right to:
    (1) Be represented by professional counsel, or any other person 
desired;
    (2) Have witnesses and relevant evidence subpoenaed;
    (3) Examine witnesses, cross-examine witnesses, and introduce 
relevant evidence into the record; and
    (4) Testify or remain silent.



Sec. 5.521  Verification of license, certificate or document.

    (a) The Administrative Law Judge shall require the respondent to 
produce and present at the opening of the hearing, and on each day the 
hearing is in session thereafter, all valid licenses, certificates, and/
or documents issued by the Coast Guard to the respondent. In the event 
that the respondent alleges that such license, certificate or document 
has been lost, misplaced, stolen, destroyed, or is otherwise beyond his 
ability to produce, the respondent shall execute a lost document 
affidavit (Form CG-4363). The Administrative Law Judge shall warn the 
respondent that a willful misstatement of any material item in such 
affidavit is punishable as a violation of a Federal criminal statute. 
(See 18 U.S.C. 1001).
    (b) When a hearing is continued or delayed, the Administrative Law 
Judge returns the license, certificate, or document to the respondent: 
unless a prima facie case has been established that the respondent 
committed an act or offense which shows that the respondent's service on 
a vessel would constitute a definite danger to public health, interest 
or safety at sea.

[CGD82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 97-057, 62 FR 
51042, Sept. 30, 1997]



Sec. 5.523  Motions or objections.

    Any motion or objection shall be heard and disposed of, on the 
record, by the Administrative Law Judge.



Sec. 5.525  Correction or amendment of charges and/or specifications.

    (a) The Administrative Law Judge examines the charges and 
specifications to determine their correctness as to form and legal 
sufficiency.
    (b) The Administrative Law Judge may, either on the Administrative 
Law Judge's own motion or motion by either the investigating officer or 
respondent, amend the charges and specifications to correct harmless 
errors by deletion or substitution of words or figures as long as a 
legal charge and specification remains.
    (c) When errors of substance are found in charges and 
specifications, the Administrative Law Judge shall allow that the 
defective charge or specification be withdrawn without prejudice to the 
service of a new charge and specification in the matter. The 
investigating officer may then prepare and serve a new charge and 
specification.



Sec. 5.527  Answer.

    (a) The Administrative Law Judge reads each charge and specification 
to the respondent and obtains a specific answer to each charge and 
specification. If the respondent fails to answer a charge or 
specification, the Administrative Law Judge enters a denial and proceeds 
with the hearing.

[[Page 63]]

    (b) A specific answer shall be one of the following:
    (1) Deny;
    (2) No contest; or
    (3) Admit.
    (c) For purposes of proceedings under this part, an admission or no 
contest answer is sufficient to support a finding of proved by the 
Administrative Law Judge.
    (d) When the hearing is conducted in absentia, the Administrative 
Law Judge enters a denial to all charges and specifications.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 97-057, 62 FR 
51042, Sept. 30, 1997]



Sec. 5.529  Opening statement of investigating officer.

    (a) If a denial is entered, the investigating officer makes a brief 
statement outlining the matters expected to be proved.
    (b) If the respondent admits the truth of the charges and 
specifications or answers no contest, the opening statement of the 
investigating officer shall contain a summary of the evidence upon which 
the charges and specifications are based.



Sec. 5.531  Opening statement by or on behalf of the respondent.

    The respondent or the respondent's counsel is afforded an 
opportunity to state what is intended to be established. This may be 
waived or deferred at the option of the respondent.



Sec. 5.533  Presentation of case where there is an admission or no contest answer.

    (a) If the respondent admits to any charge and specification or 
answers no contest, evidence in mitigation may be presented, and the 
investigating officer may present a prima facie case and evidence in 
aggravation even in those cases where revocation is mandatory.
    (b) Should the respondent's presentation be inconsistent with an 
admission or answer of no contest, the Administrative Law Judge will 
reject the answer, enter a denial and continue with the hearing.



Sec. 5.535  Witnesses.

    (a) All witnesses are sworn, duly examined, and may be cross 
examined. A witness on the stand may be questioned at any time by the 
Administrative Law Judge.
    (b) The person who calls a witness shall begin direct examination by 
identifying the witness.
    (c) Witnesses may be called to establish matters of aggravation or 
matters of mitigation.
    (d) Any witness may have the benefit and advice of personal counsel, 
but such counsel shall not otherwise participate in the hearing.
    (e) Any attempt to coerce or induce a witness to testify falsely is 
an offense under federal law which may be punishable by fine or 
imprisonment or both. (See 18 U.S.C. 1505.)
    (f) Upon motion by the investigating officer or respondent, the 
Administrative Law Judge may order that testimony of a witness be taken 
by telephone conference call, when testimony would otherwise be taken by 
deposition. The telephone conference will be arranged so that all 
participants can listen to and speak to each other in the hearing of the 
Administrative Law Judge. The Administrative Law Judge insures that all 
participants in the telephone conference are properly identified to 
allow a proper record to be made by the reporter. Participants shall 
speak clearly and avoid extraneous conversation. Telephone conferences 
are governed by the procedural rules and decorum observed during in-
person proceedings.
    (g) A witness may be subpoenaed to testify by telephone conference. 
The subpoena in such instances is issued under the procedures in subpart 
F.



Sec. 5.537  Evidence.

    (a) In these proceedings, strict adherence to the rules of evidence 
is not required. However, the Federal Rules of Evidence, as amended, 
shall be the primary guide for evidentiary matters, where applicable.
    (b) Rules 410, 606, 706, and 1101 of the Federal Rules of Evidence 
shall not be applicable to these proceedings.
    (c) In conducting a hearing the Administrative Law Judge will extend 
reasonable latitude to the respondent

[[Page 64]]

who does not have professional counsel to represent him. Investigating 
officers and counsel should be required to conform to rules of evidence 
to a greater degree than respondents without counsel.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 97-057, 62 FR 
51042, Sept. 30, 1997]



Sec. 5.539  Burden of proof.

    The investigating officer has the burden of proof.



Sec. 5.541  Official notice by Commandant and Administrative Law Judge.

    (a) In addition to other rules providing for judicial notice, the 
Commandant and the Administrative Law Judges will consider the following 
without requiring the investigating officer or the respondent to submit 
them in evidence:
    (1) Federal Law. The Constitution; Congressional Acts, Resolutions, 
Records, Journals and Committee Reports; Decisions of Federal Courts; 
Executive Orders and Proclamations; and rules, regulations, orders and 
notices published in the Federal Register.
    (2) State law. The Constitution and public laws of each State.
    (3) Governmental organizations. The organization, territorial 
limitations, officers, departments, and general administration of the 
Government of the United States, its States, territories, possessions 
and the Commonwealth of Puerto Rico.
    (4) Commandant's decisions. The Commandant's decisions in all appeal 
and review cases under this part. (See Sec. 5.65.)
    (b) Matters officially noticed by the Commandant or the 
Administrative Law Judge are specified on the record. The investigating 
officer and the respondent shall be afforded an opportunity, on the 
record, to rebut such matters.



Sec. 5.543  Certification of extracts from shipping articles, logbooks, etc.

    (a) In addition to other rules providing for authentication and 
certification, extracts from records in the custody of the Coast Guard, 
shipping articles, and logbooks, may be identified and authenticated by 
certification of an investigating officer or custodian of such records, 
or by any commissioned officer of the Coast Guard.
    (b) Certification must include a statement that the certifying 
individual has seen the original and compared the copy with it and found 
it to be a true copy. The individual so certifying shall sign name, rank 
or title, and duty station.



Sec. 5.545  Weight of entries from logbooks.

    (a) An entry in an official logbook of a vessel concerning an 
offense enumerated in 46 U.S.C. 11501, made in substantial compliance 
with the procedural requirements of 46 U.S.C. 11502, is admissible in 
evidence and constitutes prima facie evidence of the facts recited.
    (b) An entry in any logbook kept on a vessel may be admitted into 
evidence as an exception to the hearsay rule, under the Federal Rules of 
Evidence, as a record of a regularly conducted activity.
    (c) An entry in any logbook made in compliance with the procedural 
requirements of 46 U.S.C. 11502 may be given added weight by the 
Administrative Law Judge.



Sec. 5.547  Use of judgment of conviction.

    (a) A judgment of conviction by a Federal court is conclusive in 
proceedings under this part concerning incidents described in 46 U.S.C. 
7703, where acts or offenses forming the basis of the charges in the 
Federal court are the same.
    (b) Where the acts involved in a judgment of conviction of a State 
court are the same as those involved in proceedings under this part 
concerning incidents described in 46 U.S.C. 7703, the judgment of 
conviction is not conclusive of the issues decided. However, such 
judgment of conviction is admissible in evidence and constitutes 
substantial evidence adverse to the respondent.
    (c) The judgment of conviction for a dangerous drug law violation by 
a Federal or State court is conclusive in proceedings under this part. 
If as part of a state expungement scheme the respondent pleads guilty or 
no contest or is required by the court to attend

[[Page 65]]

classes, make contributions of time or money, receive treatment or 
submit to any manner of probation or supervision or forego appeal of the 
trial court finding, the respondent will be considered, for the purposes 
of 46 U.S.C. 7704, to have received a final conviction. A later 
expungement of the record will not be considered unless it is proved 
that the expungement is based on a showing that the court's earlier 
conviction was in error.
    (d) The respondent may not challenge the jurisdiction of a Federal 
or State court in proceedings under 46 U.S.C. 7703 and 7704.



Sec. 5.549  Admissibility of respondent's Coast Guard records prior to entry of findings and conclusions.

    (a) The prior disciplinary record of the respondent is admissible 
when offered by the respondent.
    (b) In addition to the use of a judgment of conviction as provided 
in Sec. 5.547, the prior record of the respondent, as defined in 
Sec. 5.565, is admissible when offered by the investigating officer for 
the limited purposes of impeaching the credibility of evidence offered 
by the respondent regarding a disciplinary record.



Sec. 5.551  Admissions by respondent.

    No person shall be permitted to testify with respect to admissions 
made by the respondent during or in the course of an investigation under 
this part or part 4 of this title except for the purpose of impeachment.



Sec. 5.553  Testimony by deposition.

    (a) Testimony may be taken by deposition upon application of either 
party or upon the initiative of the Administrative Law Judge. The 
application of a party must be in writing and must contain the reasons 
for the deposition, the name and whereabouts of the witness and an 
approximate date, time and place for the deposition hearing. The 
applicant may request that it be by oral examination, or upon written 
interrogatories, or a combination thereof. The deposition may be taken 
before any person authorized to administer oaths.
    (b) Upon good cause appearing therefor, the Administrative Law Judge 
enters and serves upon the parties an order designating the person 
before whom the deposition is to be taken, together with such other 
information, directions and orders as will enable the person so 
designated to obtain the testimony of the deponent. The Administrative 
Law Judge issues a subpoena in accordance with subpart F of this part 
which, along with his order and a list of interrogatories and cross-
interrogatories, if any, is forwarded to the person designated to take 
the deposition. This person shall have the subpoena served upon the 
witness.
    (c) The investigating officer and respondent and/or their 
representatives may attend the taking of a deposition.
    (d) After the deposition has been taken and transcribed it is 
presented to the witness for examination, correction and signature 
unless such a procedure is waived by the deponent, on the record. The 
person taking the deposition shall certify to the signature of the 
witness. If, for any reason, the deposition or interrogatory is not 
signed by the witness, the person taking the deposition shall recite 
(under oath) thereon the reason it is not signed.
    (e) A deposition upon oral examination may be taken by telephone 
conference upon such terms, conditions, and arrangements as are 
prescribed in the order of the Administrative Law Judge.
    (f) The testimony at a deposition hearing may be recorded on 
videotape, upon such terms, conditions, and arrangements as are 
prescribed in the order of the Administrative Law Judge, at the expense 
of the party requesting the recording. The video recording may be in 
conjunction with an oral examination by telephone conference held 
pursuant to paragraph (e) of this section. After the deposition has been 
taken, the person taking the deposition shall immediately seal the 
videotape in an envelope, attaching thereto a statement identifying the 
proceeding and the deponent and certifying as to the authenticity of the 
deposition, and return the videotape by accountable means to the 
Administrative Law Judge. Such deposition becomes a part of the record 
of proceedings in the

[[Page 66]]

same manner as a transcribed deposition. The videotape, if admitted in 
evidence, will be played during the hearing and transcribed into the 
record by the reporter.
    (g) The Administrative Law Judge rules on the admissibility of the 
deposition or any part thereof and on any objections.



Sec. 5.555  Treatises.

    (a) Treatises, periodicals, or pamphlets relating to nautical 
practices are admissible in evidence without the use of expert 
witnesses.
    (b) The Administrative Law Judge evaluates such materials based on 
the facts and circumstances of the case. The materials may not be 
considered conclusive of an issue.



Sec. 5.557  Medical examination of respondent.

    (a) In a hearing in which the physical or mental condition of the 
respondent is in controversy, the Administrative Law Judge may order the 
respondent to submit to a medical examination.
    (b) An examination ordered by an Administrative Law Judge will be 
conducted at government expense by a physician designated by the 
Administrative Law Judge.
    (c) If the respondent fails, or refuses, to submit to an ordered 
examination such failure is accorded due weight in determining the facts 
alleged in the specifications.



Sec. 5.559  Argument.

    After all the evidence has been presented, the investigating officer 
and the respondent may present oral or written argument.



Sec. 5.561  Submission of proposed findings and conclusions.

    The Administrative Law Judge affords the investigating officer and 
the respondent reasonable opportunity to submit proposed findings and 
conclusions with supporting reasons. If either desires to submit such 
matter, the Administrative Law Judge fixes the time within which it 
shall be filed. Failure to comply within the time fixed by the 
Administrative Law Judge shall be regarded as a waiver of the right.



Sec. 5.563  Administrative Law Judge's findings and conclusions.

    (a) The Administrative Law Judge renders ultimate findings and 
conclusions.
    (b) A separate conclusion is made by the Administrative Law Judge on 
each charge and specification. A specification may be found not proved, 
proved in part, or proved. A charge may be found not proved or proved.
    (c) The testimony and exhibits presented, together with all papers, 
requests, and rulings filed in the proceedings are the exclusive basis 
for the issuance of the Administrative Law Judge's findings and 
conclusions.



Sec. 5.565  Submission of prior record and evidence in aggravation or mitigation.

    (a) Except as provided in Sec. 5.547 and Sec. 5.549, the prior 
record of the respondent may not be disclosed to the Administrative Law 
Judge until after conclusions have been made as to each charge and 
specification, and then only if at least one charge has been found 
proved. The prior record must include only information concerning the 
respondent and is limited to the following items less than 10 years old:
    (1) Written warnings issued by Coast Guard investigating officers 
and accepted by the respondent;
    (2) Final agency action on Coast Guard suspension and revocation 
hearings wherein one or more charges was found proved;
    (3) Voluntary surrender agreements entered into by the respondent;
    (4) Any final judgments of conviction in State or Federal courts;
    (5) Final agency action resulting in civil penalties or warnings 
being imposed against the respondent in proceedings administered by the 
Coast Guard under 33 CFR 1.07; and,
    (6) Any official commendatory information concerning the respondent 
of which the investigating officer is aware.
    (b) The investigating officer may offer evidence and argument in 
aggravation of the charge or charges found proved.
    (c) The respondent is allowed to comment on or offer evidence 
regarding prior maritime service including the

[[Page 67]]

prior record introduced by the investigating officer and any 
commendatory information.
    (d) The respondent may offer evidence and argument in mitigation of 
the charge or charges found proved.
    (e) The investigating officer may offer evidence and argument in 
rebuttal of the evidence and argument introduced by the respondent in 
mitigation.



Sec. 5.567  Order.

    (a) The Administrative Law Judge enters an order which recites the 
disposition of the case. When a charge has been found not proved, the 
order will state the charge is dismissed with or without prejudice. When 
a charge is found proved, the Administrative Law Judge may order an 
admonition, suspension with or without probation, or revocation.
    (b) The order is directed against all licenses, certificates or 
documents, except that in cases of negligence or professional 
incompetence, the order is made applicable to specific licenses, 
certificates or documents. If the Administrative Law Judge determines 
that the respondent is professionally incompetent in the grade of the 
license, certificate or document held, but is considered competent in a 
lower grade, the license, certificate or document may be revoked and the 
issuance of one of a lower grade ordered.
    (c) An order must specify whether the license, certificate or 
document affected is:
    (1) Revoked;
    (2) Suspended outright for a specified period after surrender;
    (3) Suspended for a specified period, but placed on probation for a 
specific period; or
    (4) Suspended outright for a specified period, followed by a 
specified period of suspension on probation.
    (d) The order will normally state, that the license, certificate or 
document is to be surrendered to the Coast Guard immediately, if the 
order is one of revocation or includes a period of outright suspension. 
In cases involving special circumstances, the order may provide for 
surrender on a certain date.
    (e) The time of any period of outright suspension ordered does not 
commence until the license, certificate or document is surrendered to 
the Coast Guard. The time of any period of suspension on probation 
begins at the end of any period of outright suspension or the effective 
date of the order if there is no outright suspension.



Sec. 5.569  Selection of an appropriate order.

    (a) This section addresses orders in a general manner. The selection 
of an appropriate order is the responsibility of the Administrative Law 
Judge, subject to appeal and review. The investigating officer and the 
respondent may suggest an order and present argument in support of this 
suggestion during the presentation of aggravating or mitigating 
evidence.
    (b) Except for acts or offenses for which revocation is mandatory, 
factors which may affect the order include:
    (1) Remedial actions which have been undertaken independently by the 
respondent;
    (2) Prior record of the respondent, considering the period of time 
between prior acts and the act or offense for which presently charged is 
relevant; and
    (3) Evidence of mitigation or aggravation.
    (c) After an order of revocation is entered, the respondent will be 
given an opportunity to present relevant material on the record for 
subsequent consideration by the special board convened in the event an 
application is filed in accordance with subpart L of this part.
    (d) Table 5.569 is for the information and guidance of 
Administrative Law Judges and is intended to promote uniformity in 
orders rendered. This table should not affect the fair and impartial 
adjudication of each case on its individual facts and merits. The orders 
are expressed by a range, in months of outright suspension, considered 
appropriate for the particular act or offense prior to considering 
matters in mitigation or aggravation. For instance, without considering 
other factors, a period of two to four months outright suspension is 
considered appropriate for failure to obey a master's written 
instructions. An order within the range would not be considered 
excessive. Mitigating or aggravating factors may

[[Page 68]]

make an order greater or less than the given range appropriate. Orders 
for repeat offenders will ordinarily be greater than those specified.

          Table 5.569--Suggested Range of an Appropriate Order
------------------------------------------------------------------------
           Type of offense                 Range of order (in months)
------------------------------------------------------------------------
Misconduct:
  Failure to obey master's/ship        1-3.
   officer's order.
  Failure to comply with U.S. law or   1-3.
   regulations.
  Possession of intoxicating liquor..  1-4.
  Failure to obey master's written     2-4.
   instruction.
  Improper performance of duties       2-5.
   related to vessel safety.
  Failure to join vessel (required     2-6.
   crew member).
  Violent acts against other persons   2-6.
   (without injury).
  Failure to perform duties related    3-6.
   to vessel safety.
  Theft..............................  3-6.
  Violent acts against other persons   4-Revocation.
   (injury).
  Use, possession, or sale of          Revocation (Note: see Sec.
   dangerous drugs.                     5.59).
Negligence:
  Negligently performing duties        2-6.
   related to vessel navigation.
  Negligently performing non-          1-3.
   navigational duties related to
   vessel safety.
  Neglect of vessel navigation duties  3-6.
  Neglect of non-navigational safety   2-4.
   related duties.
Incompetence.........................  The only proper order for a
                                        charge of incompetence found
                                        proved is revocation.
Violation of Regulation:
  Refusal to provide specimens for     12-24.
   required chemical test..
Dangerous drugs (46 U.S.C. 7704).....  The only proper order for a
                                        charge under 46 U.S.C. 7704
                                        found proved is revocation.
------------------------------------------------------------------------


[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 86-067, 53 FR 
47079, Nov. 21, 1989]



Sec. 5.571  Delivery of decision.

    (a) Whenever possible, the Administrative Law Judge's decision is 
delivered in writing to the respondent or to the respondent's authorized 
representative at the final hearing session. If it is not possible for 
the Administrative Law Judge to deliver a complete written decision at 
the final session of the hearing, an oral decision is rendered on the 
record, with a written order prepared and served on the respondent or 
the respondent's authorized representative. The decision, including the 
order, is effective upon service of the written order.
    (b) If a complete written decision is not delivered at the final 
hearing session, the Administrative Law Judge prepares and has served on 
the respondent or the respondent's authorized representative a complete 
written decision within 30 days, when possible, after completion of the 
hearing. This delivery may be by personal service or certified mail, 
return receipt requested. The signed acknowledgment of personal service 
or the return receipt becomes a part of the hearing record.
    (c) As used in this section, the phrase, authorized representative 
means any person who has been authorized by the respondent, as shown by 
the hearing record, to receive service and take an appeal on behalf of 
the respondent.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985; 50 FR 35228, Aug. 30, 1985]



Sec. 5.573  Notification of right to appeal.

    The respondent is advised by the Administrative Law Judge of the 
right to appeal in accordance with subpart J of this part.



Sec. 5.577  Modification of Administrative Law Judge's decision and order.

    (a) After an Administrative Law Judge renders the decision and 
order, it may be modified or changed pursuant to procedures set forth in 
paragraph (b) of this section, in subpart I of this part for reopening 
of hearings; in subpart J of this part for appeals; or in subpart K of 
this part for review of Administrative Law Judge's decision by the 
Commandant. In the absence of any such actions, the decision of the 
Administrative Law Judge is final.
    (b) When the proceeding is based on a conviction for a dangerous 
drug law violation, recision of the order affecting the license, 
certificate or document will not be granted, unless the applicant 
submits a specific court order to the effect that the conviction has 
been unconditionally set aside for all purposes. An order of revocation 
will not be rescinded as the result of any law which provides for a 
subsequent conditional setting aside, modification or

[[Page 69]]

expungement of the court conviction in the nature of granting of 
clemency or other relief after the conviction has become final, without 
regard to whether punishment was imposed.



                    Subpart I--Reopening of Hearings



Sec. 5.601  Petition to reopen hearing.

    (a) A respondent may petition to reopen the hearing on the basis of 
newly discovered evidence or on the basis of being unable to present 
evidence due to the respondent's inability to appear at the hearing 
through no fault of the respondent and due to circumstances beyond the 
respondent's control.
    (b) The filing of a petition does not stay an existing order of the 
Administrative Law Judge. However, if filed within 30 days after the 
effective date of the Administrative Law Judge's decision, it will toll 
or defer the running of the 30-day statutory period of appeal as 
provided in subpart J of this part until the Administrative Law Judge 
has acted on the petition.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985; 50 FR 35228, Aug. 30, 1985]



Sec. 5.603  Procedures for submitting petition.

    (a) The procedures for submitting a petition based on newly 
discovered evidence are as follows:
    (1) A petition to reopen the hearing may be submitted at any time 
prior to a final decision on appeal or within one year of the effective 
date of the Administrative Law Judge's decision.
    (2) If an appeal to the Commandant from the Administrative Law 
Judge's decision has not been filed, the petition must be addressed to 
the Administrative Law Judge. If an appeal to the Commandant has been 
filed, the petition must be submitted to the Commandant.
    (3) The petition must be in letter form, typewritten or written 
legibly, and shall contain:
    (i) The name of the petitioner, the number and description of the 
license, certificate and/or document involved, nature of the charge, the 
decision rendered including the order, and the name of the 
Administrative Law Judge who heard the case;
    (ii) A statement setting forth a description of the newly discovered 
evidence; and
    (iii) A statement as to whether or not this additional evidence was 
known to the petitioner at the time of the hearing, and reasons why the 
petitioner, with due diligence, could not have discovered such new 
evidence prior to the completion of the hearing.
    (b) The procedures for submitting a petition on the basis of 
inability to appear at the hearing are as follows:
    (1) A petition to reopen the hearing may be submitted within 30 days 
of the effective date of the Administrative Law Judge's decision.
    (2) If an appeal to the Commandant from the Administrative Law 
Judge's decision has not been filed, the petition must be addressed to 
the Administrative Law Judge. If an appeal to the Commandant has been 
filed, the petition must be submitted to the Commandant.
    (3) The petition must be in letter form, typewritten or written 
legibly, and shall contain:
    (i) The name of the petitioner, the number and description of the 
license, certificate and/or document involved, nature of the charge, the 
decision rendered including the order, and the name of the 
Administrative Law Judge who heard the case;
    (ii) A statement setting forth a description of the evidence the 
petitioner would have offered at the hearing; and
    (iii) A statement as to why the petitioner was unable to appear at 
the hearing including why the petitioner did not seek a change in the 
time or place for opening of the hearing.



Sec. 5.605  Action on petition.

    (a) The Administrative Law Judge, or Commandant, as appropriate, 
forwards a copy of the petition to the investigating officer. The 
investigating officer is afforded a reasonable time within which to 
submit written comments as to the merits of the petition.
    (b) The Administrative Law Judge, or the Commandant, renders a 
decision either granting or denying the petition. The decision on the 
petition will be based on a consideration of the petition, the record of 
the hearing, and the

[[Page 70]]

investigating officer's comments, if any.
    (c) If the Administrative Law Judge grants the petition, the hearing 
is reopened to allow the offer of the new evidence described in the 
petition.
    (d) If the Commandant grants the petition, the case is remanded to 
the Administrative Law Judge with directions to reopen the hearing.
    (e) When the petition is granted, the Administrative Law Judge 
withdraws the original decision and renders a new one based on the 
record of the original hearing and the new evidence received.
    (f) The petition, the investigating officer's comments, the 
Administrative Law Judge's or Commandant's decision on the petition, and 
the additional evidence will be appended to the original hearing record.



Sec. 5.607  Appeal from action on petition.

    (a) If the petition to reopen the hearing is denied by the 
Administrative Law Judge, the respondent may appeal to the Commandant 
within 30 days from the date of service of the denial of the petition. 
The review by the Commandant on this appeal will be limited to the 
issues raised by the petition. Other grounds on appeal must be in 
accordance with subpart J of this part.
    (b) If the petition to reopen the hearing is granted and a previous 
finding of proved is affirmed by the Administrative Law Judge, the 
respondent may appeal the decision as provided for in subpart J of this 
part.



                           Subpart J--Appeals



Sec. 5.701  Appeals in general.

    (a) A respondent against whom a finding of proved has been rendered 
may appeal such decision to the Commandant.
    (b) The hearing transcript, together with all papers and exhibits 
filed, shall constitute the record for decision on appeal. The only 
matters which will be considered by the Commandant on the appeal are:
    (1) Rulings on motions or objections which were not waived during 
the proceedings;
    (2) Clear errors on the record;
    (3) Jurisdictional questions.
    (c) In the preparation of an appeal, the investigating officer's and 
the Administrative Law Judge's assistance to the appellant will extend 
only to the point of providing information as to the applicable 
regulations.
    (d) If the respondent requests a copy of the transcript in the 
notice of appeal and the hearing was recorded or transcribed at 
government expense, the transcript will be provided upon payment of the 
fees prescribed in 49 CFR 7.95. If the services of a government 
contractor were utilized, the transcript must be obtained under the 
provisions of 49 CFR 7.99.



Sec. 5.703  Procedures for appeal.

    (a) An appeal may be taken only by filing a written notice of appeal 
within 30 days after service of the complete written decision. This 
notice of appeal must be filed with the Administrative Law Judge who 
heard the case or with any Officer in Charge, Marine Inspection for 
forwarding to the Administrative Law Judge.
    (b) The notice of appeal must:
    (1) Be typewritten or written legibly;
    (2) Be addressed to the Commandant; and
    (3) Set forth the name of the appellant, the number and description 
of the license, certificate and/or document involved, and the name of 
the Administrative Law Judge who heard the case.
    (c) The completed appeal must be submitted to the Commandant, U.S. 
Coast Guard (G-MOA), 2100 2nd St. SW., Washington, DC, 20593 within 
sixty days after service of the complete written decision, or if a 
transcript was requested, within 60 days after receipt of the 
transcript. After this time has elapsed, anything received will not be 
considered as a part of the appeal record unless an extension of time 
has been granted in writing by the Commandant and the extended time 
limit has been met.
    (d) The appeal must contain a brief or memorandum setting forth 
legal and other authorities relied upon. All grounds for appeal or 
exceptions to the Administrative Law Judge's decision must be described 
with particularity.
    (e) No appeal will be accepted in the case of a revocation or 
outright suspension if the respondent has not complied

[[Page 71]]

with the order of the Administrative Law Judge to deposit the license or 
document with the Coast Guard.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50726, Sept. 27, 1996]



Sec. 5.705  Action on appeal.

    (a) The Commandant may affirm, reverse, alter, or modify the 
decision of the Administrative Law Judge, or may remand the case for 
further proceedings. The Decision of the Commandant on Appeal is the 
final agency action in the absence of a remand.
    (b) Failure to file a brief containing grounds and justification for 
relief sought on appeal of the Administrative Law Judge's decision will 
result in either:
    (1) Termination of the case by written notice to the appellant or 
appellant's counsel that the decision of the Administrative Law Judge 
constitutes the final agency action on the merits of the case; or
    (2) Consideration of the appeal on the merits of the case and 
publication of the Commandant's decision without prior notice to the 
appellant or appellant's counsel. This will only be done when some clear 
error appears in the record or when the case presents some novel policy 
consideration.



Sec. 5.707  Stay of effect of decision and order of Administrative Law Judge on appeal to the Commandant; temporary license, certificate, or document.

    (a) A person who has appealed from a decision suspending outright or 
revoking a license, certificate or document, except for revocation 
resulting from an offense enumerated in Sec. 5.59, may file a written 
request for a temporary license, certificate or document. This request 
must be submitted to the Administrative Law Judge who presided over the 
case, or to any Officer in Charge, Marine Inspection for forwarding to 
the Administrative Law Judge.
    (b) Action on the request is taken by the Administrative Law Judge 
unless the hearing transcript has been forwarded to the Commandant, in 
which case, the request is forwarded to the Commandant for final action.
    (c) A determination as to the request will take into consideration 
whether the service of the individual is compatible with the 
requirements for safety at sea and consistent with applicable laws. If 
one of the offenses enumerated in Sec. 5.61(a) has been found proved, 
the continued service of the appellant will be presumed not compatible 
with safety at sea, subject to rebuttal by the appellant. A temporary 
document or license may be denied for that reason alone.
    (d) All temporary documents will provide that they expire not more 
than six months after issuance or upon service of the Commandant's 
decision on appeal, whichever occurs first. If a temporary document 
expires before the Commandant's decision is rendered, it may be renewed, 
if authorized by the Commandant.
    (e) If the request for a temporary document is denied by the 
Administrative Law Judge, the individual may appeal the denial, in 
writing, to the Commandant within 30 days after notification of such 
denial. Any decision by the Commandant to deny is the final agency 
action.
    (f) Copies of the temporary documents issued become a part of the 
record on appeal.



Sec. 5.709  Appeal cases remanded for further proceedings.

    (a) When the Commandant renders a decision remanding a case for 
further proceedings, the remand is directed to the Administrative Law 
Judge. If a reopening of the former hearing or a new hearing is 
necessary, the Administrative Law Judge notifies the investigating 
officer and the respondent and sets a date for the hearing.
    (b) If the hearing is reopened, the evidence in the prior hearing 
shall be evaluated together with the new evidence submitted.
    (c) In a new hearing, the evidence in the prior hearing may be used 
for purposes of impeachment. Evidence in the prior hearing may be 
stipulated as a part of the record of the new hearing.
    (d) The Administrative Law Judge renders either an entirely new 
decision or a decision incorporating by reference the original decision, 
as appropriate.

[[Page 72]]



Sec. 5.711  Commandant's Decisions on Appeal.

    (a) The Commandant's Decisions on Appeal are the final agency action 
taken in appeals under the suspension and revocation proceedings 
provided by this part. These Decisions are issued seriatim and are 
public records.
    (b) The Commandant's Decisions on Appeal are available for reading 
purposes at Coast Guard Headquarters, Offices of District Commanders, 
and at Marine Safety Offices and Marine Inspection Offices. (See 33 CFR 
subpart 1.10.)



Sec. 5.713  Appeals to the National Transportation Safety Board.

    (a) The rules of procedure for appeals to the National 
Transportation Safety Board from decisions of the Commandant, U.S. Coast 
Guard, affirming orders of suspension or revocation of licenses, 
certificates, or documents are in 49 CFR part 825. These rules give the 
party adversely affected by the Commandant's decision 10 days after 
service upon him or his attorney of the Commandant's decision to file a 
notice of appeal with the Board.
    (b) In all cases under this part which are appealed to the National 
Transportation Safety Board under 49 CFR part 825, the Chief Counsel of 
the Coast Guard is designated as the representative of the Commandant 
for service of notices and appearances. Communications should be 
addressed to Commandant (G-L), U.S. Coast Guard, 2100 2nd St. SW., 
Washington, DC 20593.
    (c) In cases before the National Transportation Safety Board the 
Chief Counsel of the Coast Guard may be represented by others designated 
of counsel.



Sec. 5.715  Stay of effect of Decision of the Commandant on Appeal: Temporary document and/or license pending appeal to National Transportation Safety Board.

    (a) A Decision of the Commandant on Appeal affirming an order of 
revocation, except a revocation resulting from an offense enumerated 
under Sec. 5.59 or suspension that is not placed entirely on probation, 
which is appealed to the National Transportation Safety Board, may be 
stayed if, in the Commandant's opinion, the service of the appellant on 
board a vessel at that time or for the indefinite future would be 
compatible with the requirements of safety at sea and consistent with 
applicable laws. If one of the offenses enumerated in Sec. 5.61(a) has 
been found proved, the continued service of the appellant will be 
presumed not compatible with safety at sea, subject to rebuttal by the 
appellant; in cases of offenses under Sec. 5.61(a), a temporary document 
or license may be denied for that reason alone.
    (b) A stay of the effect of the Decision of the Commandant on Appeal 
may be granted by the Commandant upon application by the respondent 
filed with the notice served on the Commandant under 49 CFR 825.5(b).
    (c) An Officer in Charge, Marine Inspection, on presentation of an 
original stay order, issues a temporary document and/or license as 
specified in the stay order. This document is effective for not more 
than six months, renewable until such time as the National 
Transportation Safety Board has completed its review.



Subpart K--Review of Administrative Law Judge's Decisions in Cases Where 
                     Charges Have Been Found Proved



Sec. 5.801  Commandant's review.

    Any decision of an Administrative Law Judge, in which there has been 
a finding of proved, may be called up for review by the Commandant 
without procedural formality.



Sec. 5.803  Record for decision on review.

    The transcript of hearing, together with all papers and exhibits 
filed, shall constitute the record for consideration and review.



Sec. 5.805  Action on review.

    (a) The Commandant may adopt in whole or in part the findings, 
conclusions, and basis therefor stated by the Administrative Law Judge, 
may make entirely new findings on the record, or may remand the case to 
the Administrative Law Judge for further proceedings.

[[Page 73]]

    (b) In no case will the review by the Commandant be followed by any 
order increasing the severity of the Administrative Law Judge's original 
order.
    (c) The Decision of the Commandant on Review, shall be the final 
agency action in the absence of a remand.



Sec. 5.807  Commandant's Decision on Review.

    The Commandant's Decisions on Review are available for reading 
purposes at Coast Guard Headquarters, at Offices of District Commanders, 
Marine Safety Offices and Marine Inspection Offices. (See 33 CFR subpart 
1.10.)



  Subpart L--Issuance of New Licenses, Certificates or Documents After 
                         Revocation or Surrender



Sec. 5.901  Time limitations.

    (a) Any person whose license, certificate or document has been 
revoked or surrendered for one or more of the offenses described in 
Sec. 5.59 and Sec. 5.61(a) may, three years after compliance with the 
Administrative Law Judge's decision and order or the date of voluntary 
surrender, apply for the issuance of a new license, certificate or 
document.
    (b) The three year time period may be waived by the Commandant upon 
a showing by the individual that, since the occurrence upon which the 
revocation or surrender was based, the individual has demonstrated his 
good character in the community for a period exceeding three years.
    (c) Any person whose license, certificate or document has been 
revoked or surrendered for one or more offenses which are not 
specifically described in Sec. 5.59 or Sec. 5.61(a) may, after one year, 
apply for the issuance of a new license, certificate or document.
    (d) For a person whose license, certificate, or document has been 
revoked or surrendered for the wrongful simple possession or use of 
dangerous drugs, the three year time period may be waived by the 
Commandant upon a showing that the individual:
    (1) Has successfully completed a bona fide drug abuse rehabilitation 
program;
    (2) Has demonstrated complete non-association with dangerous drugs 
for a minimum of one year following completion of the rehabilitation 
program and;
    (3) Is actively participating in a bona fide drug abuse monitoring 
program.
    (e) For a person whose license, certificate or document has been 
revoked or surrendered for offenses related to alcohol abuse, the 
waiting period may be waived by the Commandant upon a showing that the 
individual has successfully completed a bona fide alcohol abuse 
rehabilitation program and is actively participating in a bona fide 
alcohol abuse monitoring program.
    (f) The waivers specified under subparagraphs (d) or (e) of this 
section may only be granted once to each person.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 84-099, 52 FR 
47535, Dec. 14, 1987]



Sec. 5.903  Application procedures.

    (a) An application form for a new license, certificate or document 
may be obtained from any Officer in Charge, Marine Inspection.
    (b) The completed application and letter must be addressed to the 
Commandant, U.S. Coast Guard, 2100 2nd St. SW., Washington, DC 20593, 
and must be delivered in person to the nearest Officer in Charge, Marine 
Inspection.
    (c) The letter is an informal request for the issuance of a new 
license, certificate or document and should include the following:
    (1) A letter from each employer during the last three years 
attesting to the individual's work record;
    (2) Information supportive of rehabilitation or cure when the 
license, certificate or document was revoked because of incompetency or 
association with dangerous drugs; and
    (3) Any other information which may be helpful in arriving at a 
determination in the matter.
    (d) The Officer in Charge, Marine Inspection, forwards the letter 
and application, together with an evaluation and recommendation, to the 
Commandant.



Sec. 5.905  Commandant's decision on application.

    (a) The applicant's letter and application form, as well as the 
evaluation

[[Page 74]]

and recommendation, are referred to a special board appointed by the 
Commandant. The board examines all the material submitted with the 
application and such other information as may, in the judgment of the 
board, be considered appropriate. The board shall submit its findings 
and recommendation to the Commandant.
    (b) The Commandant shall determine whether or not a new license, 
certificate or document will be issued. The applicant will be notified 
by letter of such determination.



PART 6--WAIVERS OF NAVIGATION AND VESSEL INSPECTION LAWS AND REGULATIONS 1--Table of Contents



---------------------------------------------------------------------------

     1 This is also codified in 33 CFR part 19.
---------------------------------------------------------------------------

Sec.
6.01  Procedures for effecting individual waivers of navigation and 
          vessel inspection laws and regulations.
6.04  Vessels requisitioned by the United States for emergency 
          evacuation.
6.06  Vessels operated by or chartered to Military Sealift Command.
6.07  Chronological record of seaman's previous employment.

    Authority: Act Dec. 27, 1950, Ch. 1155, secs. 1, 2, 64 Stat. 1120 
(see 46 U.S.C. App. note prec. 1); 49 CFR 1.46.



Sec. 6.01  Procedures for effecting individual waivers of navigation and vessel inspection laws and regulations.

    (a) It is hereby found necessary in the interest of national defense 
to waive compliance with the navigation and vessel inspection laws 
administered by the Coast Guard, as well as the regulations issued 
thereunder and published in 33 CFR chapter I or in this chapter, to the 
extent and in the manner and upon the terms and conditions as set forth 
in this section.
    (b) An application requesting that a waiver be made effective with 
respect to a particular vessel may be made by any authorized 
representative of an agency of the United States Government or any other 
interested person (including the master, agent, or owner of the vessel 
involved). Except as provided in paragraph (d) of this section, the 
application shall be in writing. The application shall be delivered to 
the Coast Guard District Commander or to his designated representative 
at the port or place where the vessel is located. In the case of a 
vessel in any foreign port or place, the application shall be made to 
the designated representative of the Commandant at such port or place, 
or if the Coast Guard has not established facilities in such port or 
place, to the nearest designated representative of the Commandant at a 
port or place where such facilities have been established. Every 
application shall contain a statement of the particular provisions of 
law with respect to which waiver of compliance is requested, a 
certification that the waiver of compliance with such laws with respect 
to the vessel involved is necessary in the interest of national defense 
and, an outline of the facts upon which such certification is based. The 
Coast Guard District Commander (or his designated representative or the 
designated representative of the Commandant, as the case may be) shall 
promptly examine every application for the purpose of determining 
whether the necessity for prompt action is such as to require that the 
waiver be made effective by him without reference to the Commandant. In 
any case in which it appears to the Coast Guard officer concerned that 
reference of the application to the Commandant for action would not 
delay the sailing of the vessel or otherwise be contrary to the interest 
of national defense, the application shall be so referred. In all other 
cases such Coast Guard officer shall give immediate consideration to the 
application and if he reaches the conclusion that the urgency of the 
situation outweighs the marine hazard involved, then such waiver shall 
be made effective in regard to such vessel to the extent and under the 
circumstances specified by him.
    (c) The Coast Guard officer making such a waiver effective pursuant 
to paragraph (b) of this section shall immediately prepare, in 
triplicate, an order setting forth the name of the vessel involved, the 
laws (also regulations, if any) with respect to which the waiver is 
effective, the extent to which compliance with such laws (also 
regulations, if any) is waived, and the period for which the waiver 
shall be effective. If practicable, one copy of this

[[Page 75]]

order shall be delivered to the master of the vessel involved before 
such vessel sails. In any case where the order is not delivered to the 
master, it shall be delivered to the owner, operator, or agent of the 
vessel without delay. One copy of the order shall be transmitted to the 
Commandant and the remaining copy kept on file.
    (d) In any case of extreme urgency the application for a waiver may 
be made orally and if the Coast Guard District Commander (or his 
designated representative or the designated representative of the 
Commandant, as the case may be) reaches the conclusion referred to in 
paragraph (b) of this section, the waiver shall be made effective 
without further delay, subject to the condition that the application be 
reduced to writing and delivered within such period after the date of 
the oral request as the Coast Guard officer making the waiver effective 
shall specify in the order.
    (e) No penalty shall be imposed because of failure to comply with 
any provision of law (or regulation, if any), the waiver of which has 
been made effective pursuant to the requirements in this section.

[CGFR 51-10, 16 FR 1959, Mar. 1, 1951. Redesignated by CGFR 69-123, 34 
FR 19076, Dec. 2, 1969; CGD 96-041, 61 FR 50726, Sept. 27, 1996]



Sec. 6.04  Vessels requisitioned by the United States for emergency evacuation.

    Pursuant to the request of the Acting Secretary of Defense, dated 
November 21, 1951, made under the provisions of section 1 of Public Law 
891, 81st Congress, approved December 27, 1950, compliance with the 
provisions of the navigation and vessel inspection laws administered by 
the United States Coast Guard is hereby waived, as well as the 
regulations issued thereunder and published in 33 CFR chapter I or in 
this chapter, to the extent necessary to permit the operation of vessels 
which might be requisitioned by the United States for the purpose of 
emergency evacuation.

[CGFR 51-61, 16 FR 12792, Dec. 20, 1951. Redesignated by CGFR 69-123, 34 
FR 19076, Dec. 2, 1969]



Sec. 6.06  Vessels operated by or chartered to Military Sealift Command.

    (a) Pursuant to the request of the Deputy Secretary of Defense, 
dated August 6, 1958, and to the request of the Assistant Secretary of 
Defense, Installations and Logistics, dated May 23, 1964, made under the 
provisions of section 1 of Public Law 891, 81st Congress, approved 
December 27, 1950 (64 Stat. 1120; 46 U.S.C., note preceding section 1), 
and their findings that a waiver is necessary in the interest of 
national defense, compliance with the provisions of the navigation and 
vessel inspection laws administered by the United States Coast Guard, as 
well as the regulations issued thereunder and contained in 33 CFR 
chapter I, or in this chapter, is hereby waived to the extent and upon 
the terms and conditions as set forth in this section, in order to 
permit vessels operated by or chartered to the Military Sealift Command 
to carry out their assigned missions.
    (b) An application requesting that this waiver be made effective 
with respect to a particular vessel may be made by the Commander, 
Military Sealift Command, or any one of his duly designated 
representatives. Except as provided in paragraph (e) of this section, 
the application shall be in writing. The application shall be delivered 
to the Coast Guard District Commander or to his designated 
representative at the port or place where the vessel is located. In the 
case of a vessel in any foreign port or place, the application shall be 
made to the designated representative of the Commandant at such port or 
place, or if the Coast Guard has not established facilities in such port 
or place, to the nearest designated representative of the Commandant at 
a port or place where such facilities have been established, or to the 
Commandant (G-MOC), U.S. Coast Guard, Washington, DC 20593-0001. Every 
application shall:
    (1) Describe the laws and/or regulations by appropriate references 
and/or subjects with respect to which the waiver of compliance is 
desired;
    (2) Contain a certification that the waiver of compliance with such 
laws and/or regulations with respect to the

[[Page 76]]

vessel involved is necessary in the interest of national defense and is 
necessary for the Military Sea Transportation Service to carry out an 
assigned mission;
    (3) The name and official number of the vessel involved (including 
the names of master, agent, and owner of the vessel involved); and,
    (4) For how long the waiver is needed.
    (c) The Coast Guard officer making the waiver in paragraph (a) of 
this section effective for a particular vessel shall immediately 
prepare, in quadruplicate, an order setting forth:
    (1) The name and official number of the vessel involved;
    (2) The laws and/or regulations with respect to which the waiver is 
effective;
    (3) The extent to which compliance with such laws and/or regulations 
is waived; and,
    (4) The period for which the waiver shall be effective.
    (d) If practicable, one copy of this waiver order shall be delivered 
to the master of the vessel involved before such vessel sails. In any 
case where the waiver order is not delivered to the master, it shall be 
delivered to the owner, operator, or agent of the vessel without delay. 
One copy of the waiver order shall be delivered to the Commander, 
Military Sealift Command, or his duly designated representative, who 
submitted the application. One copy of the waiver order shall be 
transmitted to the Commandant (G-MOC) and the remaining copy kept on 
file.
    (e) In any case of extreme urgency, the application for a waiver 
order may be made orally and if the Coast Guard District Commander (or 
his designated representative, or the designated representative of the 
Commandant, or the Commandant, as the case may be), determines that the 
conditions in this section have been met, the waiver order shall be made 
effective without further delay, subject to the condition that the 
application be reduced to writing and delivered within such period after 
the date of the oral request as the Coast Guard officer making the 
waiver effective shall specify in the confirming written waiver order.
    (f) No penalty shall be imposed because of failure to comply with 
any provision of law and/or regulation, the waiver of which has been 
made effective pursuant to the requirements of this section.
    (g) This waiver order shall remain in effect until terminated by 
proper authority and notice of cancellation is published in the Federal 
Register.

[CGFR 64-86, 30 FR 89, Jan. 6, 1965. Redesignated by CGFR 69-123, 34 FR 
19076, Dec. 2, 1969, and amended by CGD 88-070, 53 FR 34533, Sept. 7, 
1988; CGD 88-070, 54 FR 3038, Jan. 23, 1989; CGD 95-072, 60 FR 50459, 
Sept. 29, 1995; CGD 96-041, 61 FR 50726, Sept. 27, 1996]



Sec. 6.07  Chronological record of seaman's previous employment.

    (a) Compliance is hereby waived with regard to the provisions of 46 
U.S.C. 10311(c), to the extent necessary to permit the Commandant of the 
United States Coast Guard to issue a chronological record of a seaman's 
previous employment on a single document, in lieu of making individual 
entry in a duplicate continuous discharge book or furnishing individual 
certificates of discharge.
    (b) It is hereby found that the waiving of the provisions of 46 
U.S.C. 10311(c), is necessary in the interest of national defense.

[CGFR 51-9, 16 FR 1830, Feb. 27, 1951, as amended by CGFR 59-4a, 24 FR 
3055, Apr. 21, 1959. Redesignated by CGFR 69-123, 34 FR 19076, Dec. 2, 
1969, as amended by CGD 95-028, 62 FR 51195, Sept. 30, 1997]



PART 7--BOUNDARY LINES--Table of Contents




                                 General

Sec.
7.1  General purpose of boundary lines.
7.5  Rules for establishing boundary lines.

                             Atlantic Coast

7.10  Eastport, ME to Cape Ann, MA.
7.15  Massachusetts Bay, MA.
7.20  Nantucket Sound, Vineyard Sound, Buzzards Bay, Narragansett Bay, 
          MA, Block Island Sound and easterly entrance to Long Island 
          Sound, NY.
7.25  Montauk Point, NY to Atlantic Beach, NY.
7.30  New York Harbor, NY.
7.35  Sandy Hook, NJ to Cape May, NJ.
7.40  Delaware Bay and tributaries.
7.45  Cape Henlopen, DE to Cape Charles, VA.
7.50  Chesapeake Bay and tributaries.
7.55  Cape Henry, VA to Cape Fear, NC.

[[Page 77]]

7.60  Cape Fear, NC to Sullivans Island, SC.
7.65  Charleston Harbor, SC.
7.70  Folly Island, SC to Hilton Head Island, SC.
7.75  Savannah River/Tybee Roads.
7.80  Tybee Island, GA to St. Simons Island, GA.
7.85  St. Simons Island, GA to Little Talbot Island, FL.
7.90  St. Johns River, FL.
7.95  St. Johns Point, FL to Miami Beach, FL.
7.100  Florida Reefs and Keys from Miami, FL to Marquesas Keys, FL.

                               Gulf Coast

7.105  Marquesas Keys, FL to Rio Grande, TX.

                                 Hawaii

7.110  Mamala Bay, HI.

                              Pacific Coast

7.115  Santa Catalina Island, CA.
7.120  Mexican/United States border to Point Fermin, CA.
7.125  Point Vincente, CA to Point Conception, CA.
7.130  Point Conception, CA to Point Sur, CA.
7.135  Point Sur, CA to Cape Blanco, OR.
7.140  Cape Blanco, OR to Cape Flattery, WA.
7.145  Strait of Juan de Fuca, Haro Strait and Strait of Georgia, WA.

                                 Alaska

7.150  Canadian (BC) and United States (AK) Borders to Cape Spencer, AK.
7.155  Cape Spencer, AK to Cape St. Elias, AK.
7.160  Point Whitshed, AK to Aialik Cape, AK.
7.165  Kenai Peninsula, AK to Kodiak Island, AK.
7.170  Alaska Peninsula, AK to Aleutian Islands, AK.
7.175  Alaska Peninsula, AK to Nunivak, AK.
7.180  Kotzebue Sound, AK.

    Authority: 14 U.S.C. 633; 33 U.S.C. 151; 49 CFR 1.46.

    Source: CGD 81-058, 50 FR 25230, June 18, 1985, unless otherwise 
noted.

                                 General



Sec. 7.1  General purpose of boundary lines.

    The lines in this part delineate the application of the following 
U.S. statutes: 33 U.S.C. 152 relating to the length of towing hawsers; 
33 U.S.C. 1201 et seq., the Vessel Bridge-to-Bridge Radiotelephone Act; 
46 U.S.C. 5102(b)(6), which exempt from load line requirements certain 
vessels on domestic voyages; 46 U.S.C. 3301(6) requiring the inspection 
of seagoing barges which are defined in 46 U.S.C. 2101(32); 46 U.S.C. 
3301(7) requiring the inspection of seagoing motor vessels which are 
defined in 46 U.S.C. 2101(33); 46 U.S.C. 3302(d) which exempts from 
inspection requirements certain vessels under 150 gross tons that 
operate within the waters of southeastern Alaska and the State of 
Washington; and 46 U.S.C. 8304, ``Implementing the Officers' Competency 
Certificates Convention, 1936.''

[CGD 81-058, 50 FR 25230, June 18, 1985, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997; USCG-1998-4442, 63 FR 52188, Sept. 30, 1998]



Sec. 7.5  Rules for establishing boundary lines.

    (a) For application of the Vessel Bridge-to-Bridge Radiotelephone 
Act, 33 U.S.C. 1201 et seq., the line is 3 miles seaward of the baseline 
from which the territorial sea is measured.
    (b) Barges of 100 gross tons and over operating on the sheltered 
waters of British Columbia as defined in the United States-Canada treaty 
of 1933 (49 Stat. 2685, TS 869) are not required to be inspected as 
seagoing barges under 46 U.S.C. 3301.
    (c) Except as otherwise described in this part, Boundary Lines are 
lines drawn following the general trend of the seaward, highwater 
shorelines and lines continuing the general trend of the seaward, 
highwater shorelines across entrances to small bays, inlets and rivers.

                             Atlantic Coast



Sec. 7.10  Eastport, ME to Cape Ann, MA.

    (a) A line drawn from the easternmost extremity of Kendall Head to 
latitude 44 deg.54'45" N. longitude 66 deg.58'30" W.; thence to the 
range marker located in approximate position latitude 44 deg.51'45" N. 
longitude 66 deg.59" W.
    (b) A line drawn from West Quoddy Head Light to latitude 
44 deg.48.5' N. longitude 66 deg.56.4' W. (Sail Rock Lighted Whistle 
Buoy ``1''); thence to latitude 44 deg.37.5' N. longitude 67 deg.09.8' 
W. (Little River Lighted Whistle Buoy ``2LR''); thence to latitude 
44 deg.14.5' N. longitude

[[Page 78]]

67 deg.57.2' W. (Frenchman Bay Approach Lighted Whistle Buoy ``FB''); 
thence to Mount Desert Light; thence to Matinicus Rock Light; thence to 
Monhegan Island Light; thence to latitude 43 deg.31.6' N. longitude 
70 deg.05.5' W. (Portland Lighted Horn Buoy ``P''); thence to Boon 
Island Light; thence to latitude 42 deg.37.9' N. longitude 70 deg.31.2' 
W. (Cape Ann Lighted Whistle Buoy ``2'').



Sec. 7.15  Massachusetts Bay, MA.

    A line drawn from latitude 42 deg.37.9' N. longitude 70 deg.31.2' W. 
(Cape Ann Lighted Whistle Buoy ``2'') to latitude 42 deg.22.7' N. 
longitude 70 deg.47.0' W. (Boston Lighted Horn Buoy ``B''); thence to 
Race Point Light.



Sec. 7.20  Nantucket Sound, Vineyard Sound, Buzzards Bay, Narragansett Bay, MA, Block Island Sound and easterly entrance to Long Island Sound, NY.

    (a) A line drawn from Chatham Light to latitude 41 deg.36.1' N. 
longitude 69 deg.51.1' W. (Pollack Rip Entrance Lighted Horn Buoy 
``PR''); thence to latitude 41 deg.26.0' N. longitude 69 deg.46.2' W. 
(Great Round Shoal Channel Lighted Buoy ``2''); thence to Sankaty Head 
Light.
    (b) A line drawn from the westernmost extremity of Nantucket Island 
to the southwesternmost extremity of Wasque Point, Chappaquiddick 
Island.
    (c) A line drawn from Gay Head Light to Block Island Southeast 
Light; thence to Montauk Point Light on the easterly end of Long Island.



Sec. 7.25  Montauk Point, NY to Atlantic Beach, NY.

    (a) A line drawn from Shinnecock East Breakwater Light to Shinnecock 
West Breakwater Light.
    (b) A line drawn from Moriches Inlet East Breakwater Light to 
Moriches Inlet West Breakwater Light.
    (c) A line drawn from Fire Island Inlet Breakwater Light 348 deg. 
true to the southernmost extremity of the spit of land at the western 
end of Oak Beach.
    (d) A line drawn from Jones Inlet Light 322 deg. true across the 
southwest tangent of the island on the north side of Jones Inlet to the 
shoreline.



Sec. 7.30  New York Harbor, NY.

    A line drawn from East Rockaway Inlet Breakwater Light to Ambrose 
Light; thence to Highlands Light (north tower).



Sec. 7.35  Sandy Hook, NJ to Cape May, NJ.

    (a) A line drawn from Shark River Inlet North Breakwater Light ``2'' 
to Shark River Inlet South Breakwater Light ``1''.
    (b) A line drawn from Manasquan Inlet North Breakwater Light to 
Manasquan Inlet South Breakwater Light.
    (c) A line drawn along the submerged Barnegat Inlet North Breakwater 
to Barnegat Inlet North Breakwater Light ``2''; thence to Barnegat Inlet 
Light ``5''; thence along the submerged Barnegat Inlet South Breakwater 
to shore.
    (d) A line drawn from the seaward tangent of Long Beach Island to 
the seaward tangent of Pullen Island across Beach Haven and Little Egg 
Inlets.
    (e) A line drawn from the seaward tangent of Pullen Island to the 
seaward tangent of Brigantine Island across Brigantine Inlet.
    (f) A line drawn from the seaward extremity of Absecon Inlet North 
Jetty to Atlantic City Light.
    (g) A line drawn from the southernmost point of Longport at latitude 
39 deg.18.2' N. longitude 74 deg.32.2' W. to the northeasternmost point 
of Ocean City at latitude 39 deg.17.6' N. longitude 74 deg.33.1' W. 
across Great Egg Harbor Inlet.
    (h) A line drawn parallel with the general trend of the seaward, 
highwater shoreline across Corson Inlet.
    (i) A line formed by the centerline of the Townsend Inlet Highway 
Bridge.
    (j) A line formed by the shoreline of Seven Mile Beach and Hereford 
Inlet Light.



Sec. 7.40  Delaware Bay and tributaries.

    A line drawn from Cape May Inlet East Jetty Light to latitude 
38 deg.55.8' N. longitude 74 deg.51.4' W. (Cape May Harbor Inlet Lighted 
Bell Buoy ``2CM''); thence to latitude 38 deg.48.9' N. longitude 
75 deg.02.3' W. (Delaware Bay Entrance Channel Lighted Buoy ``8''); 
thence to

[[Page 79]]

the northernmost extremity of Cape Henlopen.



Sec. 7.45  Cape Henlopen, DE to Cape Charles, VA.

    (a) A line drawn from the easternmost extremity of Indian River 
Inlet North Jetty to latitude 38 deg.36.5' N. longitude 75 deg.02.8' W. 
(Indian River Inlet Lighted Gong Buoy ``1''); thence to Indian River 
Inlet South Jetty Light.
    (b) A line drawn from Ocean City Inlet Light ``6'' to latitude 
38 deg.19.4' N. longitude 75 deg.05.0' W. (Ocean City Inlet Entrance 
Lighted Buoy ``4''); thence to latitude 38 deg.19.3' N. longitude 
75 deg.05.1' W. (Ocean City Inlet Entrance Lighted Buoy ``5''); thence 
to the easternmost extremity of the south breakwater.
    (c) A line drawn from Assateague Beach Tower Light to latitude 
37 deg.50.2' N. longitude 75 deg.24.9' W. (Chincoteague Inlet Lighted 
Bell Buoy ``CI''); thence to the tower charted at latitude 37 deg.52.6' 
N. longitude 75 deg.26.7' W.
    (d) A line drawn from the southernmost extremity of Cedar Island to 
latitude 37 deg.34.7' N. longitude 75 deg.36.0' W. (Wachapreague Inlet 
Entrance Lighted Buoy ``1''); thence due south to shore at Parramore 
Beach.
    (e) A line drawn from the seaward tangent of Parramore Beach to the 
lookout tower on the northern end of Hog Island chartered in approximate 
position latitude 37 deg.27.2' N. longitude 75 deg.40.5' W.



Sec. 7.50  Chesapeake Bay and tributaries.

    A line drawn from Cape Charles Light to latitude 36 deg.56.8' N. 
longitude 75 deg.55.1' W. (North Chesapeake Entrance Lighted Gong Buoy 
``NCD''); thence to latitude 36 deg.54.8' N. longitude 75 deg.55.6' W. 
(Chesapeake Bay Entrance Lighted Bell Buoy ``CBC''); thence to latitude 
36 deg.55.0' N. longitude 75 deg.58.0' W. (Cape Henry Buoy ``1''); 
thence to Cape Henry Light.



Sec. 7.55  Cape Henry, VA to Cape Fear, NC.

    (a) A line drawn from Rudee Inlet Jetty Light ``2'' to latitude 
36 deg.50' N. longitude 75 deg.56.7' W.; thence to Rudee Inlet Jetty 
Light ``1''.
    (b) A line drawn from Bodie Island Light to latitude 35 deg.49.3' N. 
longitude 75 deg.31.9' W. (Oregon Inlet Approach Lighted Whistle Buoy 
``OI''); thence to Oregon Inlet Radiobeacon.
    (c) A line drawn from Hatteras Inlet Light 255 deg. true to the 
eastern end of Ocracoke Island.
    (d) A line drawn from the westernmost extremity of Ocracoke Island 
at latitude 35 deg.04' N. longitude 76 deg.00.8' W. to the 
northeasternmost extremity of Portsmouth Island at latitude 35 deg.03.7' 
N. longitude 76 deg.02.3' W.
    (e) A line drawn across Drum Inlet parallel with the general trend 
of the seaward, highwater shoreline.
    (f) A line drawn from the southernmost extremity of Cape Lookout to 
latitude 34 deg.38.4' N. longitude 76 deg.40.6' W. (Beaufort Inlet 
Lighted Bell Buoy ``2BI''); thence to the seaward extremity of the 
Beaufort Inlet west jetty.
    (g) A line drawn from the seaward extremity of Masonboro Inlet north 
jetty to latitude 34 deg.10.3' N. longitude 77 deg.48.0' W. (Masonboro 
Inlet Lighted Whistle Buoy ``A''); thence to the beach in approximate 
position latitude 34 deg.10' N. longitude 77 deg.49.4' W.



Sec. 7.60  Cape Fear, NC to Sullivans Island, SC.

    (a) A line drawn from the southernmost extremity to Cape Fear to 
latitude 33 deg.49.5' N. longitude 78 deg.03.7' W. (Cape Fear River 
Entrance Lighted Bell Buoy ``2CF''); thence to Oak Island Light.
    (b) A line drawn from the southernmost extremity of Bird Island at 
approximate position latitude 33 deg.51.2' N. longitude 78 deg.32.6' W. 
to latitude 33 deg.50.3' N. longitude 78 deg.32.5' W. (Little River 
Inlet Entrance Lighted Whistle Buoy ``2LR''); thence to the 
northeasternmost extremity of Waties Island at approximate position 
latitude 33 deg.51.2' N. longitude 78 deg.33.6' W.
    (c) A line drawn from the seaward extremity of Murrells Inlet north 
jetty to latitude 33 deg.31.5' N. longitude 79 deg.01.6' W. (Murrells 
Inlet Lighted Bell Buoy ``MI''); thence to Murrells Inlet South Jetty 
Light.
    (d) A line drawn from Georgetown Light to latitude 33 deg.11.6' N. 
longitude 79 deg.05.4' W. (Winyah Bay Lighted Bell Buoy ``2WB''); thence 
to the southernmost extremity of Sand Island.

[[Page 80]]



Sec. 7.65  Charleston Harbor, SC.

    A line drawn from Charleston Light on Sullivans Island to latitude 
32 deg.40.7' N. longitude 79 deg.42.9' W. (Charleston Lighted Whistle 
Buoy ``2C''); thence to Folly Island Loran Tower (latitude 32 deg.41.0' 
N. longitude 79 deg.53.2' W.).



Sec. 7.70  Folly Island, SC to Hilton Head Island, SC.

    (a) A line drawn from the southernmost extremity of Folly Island to 
latitude 32 deg.35' N. longitude 79 deg.58.2' W. (Stono Inlet Lighted 
Whistle Buoy ``1S''); thence to Kiawah Island bearing approximately 
307 deg. true.
    (b) A line drawn from the southernmost extremity of Kiawah Island to 
latitude 32 deg.31' N. longitude 80 deg.07.8' W. (North Edisto River 
Entrance Lighted Whistle Buoy ``2NE''); thence to Botany Bay Island in 
approximate position latitude 32 deg.33.1' N. longitude 80 deg.12.7' W.
    (c) A line drawn from the microwave antenna tower on Edisto Beach 
charted in approximate position latitude 32 deg.29.3' N. longitude 
80 deg.19.2' W. across St. Helena Sound to the abandoned lighthouse 
tower on Hunting Island charted in approximate position latitude 
32 deg.22.5' N. longitude 80 deg.26.5' W.
    (d) A line drawn from the abandoned lighthouse on Hunting Island in 
approximate position latitude 32 deg.22.5' N. longitude 80 deg.26.2' W. 
to latitude 32 deg.18' N. longitude 80 deg.25' W.; thence to the 
standpipe on Fripp Island in approximate position latitude 32 deg.19' N. 
longitude 80 deg.28.7' W.
    (e) A line drawn from the westernmost extremity of Bull Point on 
Capers Island to latitude 32 deg.04.8' N. longitude 80 deg.34.9' W. 
(Port Royal Sound Lighted Whistle Buoy ``2PR''); thence to the 
easternmost extremity of Hilton Head at latitude 32 deg.13.2' N. 
longitude 80 deg.40.1' W.



Sec. 7.75  Savannah River/Tybee Roads.

    A line drawn from the southwesternmost extremity of Braddock Point 
to latitude 31 deg.58.3' N. longitude 80 deg.44.1' W. (Tybee Lighted 
Whistle Buoy ``T''); thence to the southeasternmost extremity of Little 
Tybee Island bearing approximately 269 deg. true.



Sec. 7.80  Tybee Island, GA to St. Simons Island, GA.

    (a) A line drawn from the southernmost extremity of Savannah Beach 
on Tybee Island 255 deg. true across Tybee Inlet to the shore of Little 
Tybee Island south of the entrance to Buck Hammock Creek.
    (b) A line drawn from the southernmost extremity of Little Tybee 
Island at Beach Hammock to the easternmost extremity of Wassaw Island.
    (c) A line drawn from Wassaw Island in approximate position latitude 
31 deg.52.5' N. longitude 80 deg.58.5' W. to latitude 31 deg.48.3' N. 
longitude 80 deg.56.8' W. (Ossabaw Sound North Channel Buoy ``OS''); 
thence to latitude 31 deg.39.3' N. longitude 81 deg.02.3' W. (St. 
Catherines Sound Buoy ``St. C.''); thence to latitude 31 deg.31.2' N. 
longitude 81 deg.03.8' W. (Sapelo Sound Buoy ``S''); thence to the 
easternmost extremity of Blackbeard Island at Northeast Point.
    (d) A line drawn from the southernmost extremity of Blackbeard 
Island to latitude 31 deg.19.4' N. longitude 81 deg.11.5' W. (Doboy 
Sound Lighted Buoy ``D''); thence to latitude 31 deg.04.1' N. longitude 
81 deg.16.7' W. (St. Simons Lighted Whistle Buoy ``ST S'').



Sec. 7.85  St. Simons Island, GA to Little Talbot Island, FL.

    (a) A line drawn from latitude 31 deg.04.1' N. longitude 
81 deg.16.7' W. (St. Simons Lighted Whistle Buoy ``ST S'') to latitude 
30 deg.42.7' N. longitude 81 deg.19.0' W. (St. Mary's Entrance Lighted 
Whistle Buoy ``1''); thence to Amelia Island Light.
    (b) A line drawn from the southernmost extremity of Amelia Island to 
latitude 30 deg.29.4' N. longitude 81 deg.22.9' W. (Nassau Sound 
Approach Buoy ``6A''); thence to the northeasternmost extremity of 
Little Talbot Island.



Sec. 7.90  St. Johns River, FL.

    A line drawn from the southeasternmost extremity of Little Talbot 
(Spike) Island to latitude 30 deg.23.8' N. longitude 81 deg.20.3' W. 
(St. Johns Lighted Whistle Buoy ``2 STJ''); thence to St. Johns Light.



Sec. 7.95  St. Johns Point, FL to Miami Beach, FL.

    (a) A line drawn from the seaward extremity of St. Augustine Inlet 
north

[[Page 81]]

jetty to latitude 29 deg.55' N. longitude 81 deg.15.3' W. (St. Augustine 
Lighted Whistle Buoy ``ST. A.''); thence to the seaward extremity of St. 
Augustine Inlet south jetty.
    (b) A line formed by the centerline of the highway bridge over 
Matanzas Inlet.
    (c) A line drawn from the seaward extremity of Ponce de Leon Inlet 
north jetty to latitude 29 deg.04.7' N. longitude 80 deg.54' W. (Ponce 
de Leon Inlet Lighted Bell Buoy ``2''); thence to Ponce de Leon Inlet 
Approach Light.
    (d) A line drawn from Canaveral Harbor Approach Channel Range Front 
Light to latitude 28 deg.23.7' N. longitude 80 deg.32.2' W. (Canaveral 
Bight Wreck Lighted Buoy ``WR6''); thence to the radio tower on 
Canaveral Peninsula in approximate position latitude 28 deg.22.9' N. 
longitude 80 deg.36.6' W.
    (e) A line drawn across the seaward extremity of the Sebastian Inlet 
Jetties.
    (f) A line drawn from the seaward extremity of the Fort Pierce Inlet 
North Jetty to latitude 27 deg.28.5' N. longitude 80 deg.16.2' W. (Fort 
Pierce Inlet Lighted Whistle Buoy ``2''); thence to the tank located in 
approximate position latitude 27 deg.27.2' N. longitude 80 deg.17.2' W.
    (g) A line drawn from the seaward extremity of St. Lucie Inlet north 
jetty to latitude 27 deg.10' N. longitude 80 deg.08.4' W. (St. Lucie 
Inlet Entrance Lighted Whistle Buoy ``2''); thence to Jupiter Island 
bearing approximately 180 deg. true.
    (h) A line drawn from the seaward extremity of Jupiter Inlet North 
Jetty to the northeast extremity of the concrete apron on the south side 
of Jupiter Inlet.
    (i) A line drawn from the seaward extremity of Lake Worth Inlet 
North Jetty to latitude 26 deg.46.4' N. longitude 80 deg.01.5' W. (Lake 
Worth Inlet Lighted Bell Buoy ``2LW''); thence to Lake Worth Inlet 
Lighted Buoy ``3''; thence to the seaward extremity of Lake Worth Inlet 
South Jetty.
    (j) A line drawn across the seaward extremity of the Boynton Inlet 
Jetties.
    (k) A line drawn from Boca Raton Inlet North Jetty Light ``2'' to 
Boca Raton Inlet South Jetty Light ``1''.
    (l) A line drawn from Hillsboro Inlet Light to Hillsboro Inlet 
Entrance Light ``2''; thence to Hillsboro Inlet Entrance Light ``1''; 
thence west to the shoreline.
    (m) A line drawn from the tower located in approximate position 
latitude 26 deg.06.9' N. longitude 80 deg.06.4' W. to latitude 
26 deg.05.5' N. longitude 80 deg.04.8' W. (Port Everglades Lighted 
Whistle Buoy ``1''); thence to the signal tower located in approximate 
position latitude 26 deg.05.5' N. longitude 80 deg.06.5' W.
    (n) A line drawn from the seaward extremity of Bakers Haulover Inlet 
north jetty 090 deg. true to longitude 80 deg.07.2' W.; thence to the 
seaward extremity of Bakers Haulover Inlet south jetty.



Sec. 7.100  Florida Reefs and Keys from Miami, FL to Marquesas Keys, FL.

    (a) A line drawn from the tower located in approximate position 
latitude 25 deg.46.7' N. longitude 80 deg.08' W. to latitude 
25 deg.46.1' N. longitude 80 deg.05.0' W. (Miami Lighted Whistle Buoy 
``M''); thence to Fowey Rocks Light (latitude 25 deg.35.4' N. longitude 
80 deg.05.8' W.); thence to Pacific Reef Light (latitude 25 deg.22.3' N. 
longitude 80 deg.08.5' W.) thence to Carysfort Reef Light (latitude 
25 deg.13.3' N. longitude 80 deg.12.7' W.); thence to Molasses Reef 
Light ``10'' (latitude 25 deg.00.7' N. longitude 80 deg.22.6' W.); 
thence to Alligator Reef Light (latitude 24 deg.51.1 N. longitude 
80 deg.37.1' W.); thence to Tennessee Reef Light (latitude 24 deg.44.7' 
N. longitude 80 deg.46.9' W.); thence to Sombrero Key Light (latitude 
24 deg.37.6' N. longitude 81 deg.06.6' W.); thence to American Shoal 
Light (latitude 24 deg.31.5' N. longitude 81 deg.31.2' W.); thence to 
latitude 24 deg.27.7' N. longitude 81 deg.48.1' W. (Key West Entrance 
Lighted Whistle Buoy); thence to Cosgrove Shoal Light (latitude 
24 deg.27.5' N. longitude 82 deg.11.2' W.); thence due north to a point 
12 miles from the baseline from which the territorial sea is measured in 
approximate position latitude 24 deg.47.5' N. longitude 82 deg.11.2' W.

                               Gulf Coast



Sec. 7.105  Marquesas Keys, FL to Rio Grande, TX.

    (a) A line drawn from Marquesas Keys, Florida at approximate 
position latitude 24 deg.47.5' N. longitude 82 deg.11.2' W. along the 
12-mile line which marks the seaward limits of the contiguous zone (as 
defined in 33 CFR part 2.05-15) to

[[Page 82]]

Rio Grande, Texas at approximate position latitude 25 deg.58.6' N. 
longitude 96 deg.55.5' W.

                                 Hawaii



Sec. 7.110  Mamala Bay, HI.

    A line drawn from Barbers Point Light to Diamond Head Light.

                              Pacific Coast



Sec. 7.115  Santa Catalina Island, CA.

    (a) A line drawn from the northernmost point of Lion Head to the 
north tangent of Bird Rock Island; thence to the northernmost point of 
Blue Cavern Point.
    (b) A line drawn from White Rock to the northernmost point of 
Abalone Point.



Sec. 7.120  Mexican/United States border to Point Fermin, CA.

    (a) A line drawn from the southerly tower of the Coronado Hotel in 
approximate position latitude 32 deg.40.8' N. longitude 117 deg.10.6' W. 
to latitude 32 deg.39.1' N. longitude 117 deg.13.6' W. (San Diego Bay 
Channel Lighted Bell Buoy ``5''); thence to Point Loma Light.
    (b) A line drawn from Mission Bay South Jetty Light ``2'' to Mission 
Bay North Jetty Light ``1''.
    (c) A line drawn from Oceanside South Jetty Light ``4'' to Oceanside 
Breakwater Light ``3''.
    (d) A line drawn from Dana Point Jetty Light ``6'' to Dana Point 
Breakwater Light ``5''.
    (e) A line drawn from Newport Bay East Jetty Light ``4'' to Newport 
Bay West Jetty Light ``3''.
    (f) A line drawn from Anaheim Bay East Jetty Light ``6'' to Anaheim 
Bay West Jetty Light ``5''; thence to Long Beach Breakwater East End 
Light ``1''. A line drawn from Long Beach Entrance Light ``2'' to Long 
Beach Light. A line drawn from Los Angeles Main Channel Entrance Light 
``2'' to Los Angeles Light.



Sec. 7.125  Point Vincente, CA to Point Conception, CA.

    (a) A line drawn from Redondo Beach East Jetty Light ``2'' to 
Redondo Beach West Jetty Light ``3''.
    (b) A line drawn from Marina Del Rey Light ``4'' to Marina Del Rey 
Breakwater South Light ``1''. A line drawn from Marina Del Rey 
Breakwater North Light ``2'' to Marina Del Rey Light ``3''.
    (c) A line drawn from Port Hueneme East Jetty Light ``4'' to Port 
Hueneme West Jetty Light ``3''.
    (d) A line drawn from Channel Islands Harbor South Jetty Light ``2'' 
to Channel Islands Harbor Breakwater South Light ``1''. A line drawn 
from Channel Islands Harbor Breakwater North Light to Channel Islands 
Harbor North Jetty Light ``5''.
    (e) A line drawn from Ventura Marina South Jetty Light ``6'' to 
Ventura Marina Breakwater South Light ``3''. A line drawn from Ventura 
Marina Breakwater North Light to Ventura Marina North Jetty Light ``7''.
    (f) A line drawn from Santa Barbara Harbor Light ``4'' to latitude 
34 deg.24.1' N. longitude 119 deg.40.7' W. (Santa Barbara Harbor Lighted 
Bell Buoy ``1''); thence to Santa Barbara Harbor Breakwater Light.



Sec. 7.130  Point Conception, CA to Point Sur, CA.

    (a) A line drawn from the southernmost extremity of Fossil Point at 
longitude 120 deg.43.5' W. to the seaward extremity of Whaler Island 
Breakwater.
    (b) A line drawn from the outer end of Morro Bay Entrance East 
Breakwater to latitude 35 deg.21.5' N. longitude 120 deg.52.3' W. (Morro 
Bay Entrance Lighted Bell Buoy ``1''); thence to Morro Bay West 
Breakwater Light.



Sec. 7.135  Point Sur, CA to Cape Blanco, OR.

    (a) A line drawn from Monterey Harbor Light ``6'' to latitude 
36 deg.36.5' N. longitude 121 deg.53.2' W. (Monterey Harbor Anchorage 
Buoy ``A''); thence to the northernmost extremity of Monterey Municipal 
Wharf No. 2.
    (b) A line drawn from seaward extremity of the pier located 0.3 mile 
south of Moss Landing Harbor Entrance to the seaward extremity of the 
Moss Landing Harbor North Breakwater.
    (c) A line drawn from Santa Cruz Light to the southernmost 
projection of Soquel Point.

[[Page 83]]

    (d) A straight line drawn from Point Bonita Light across Golden Gate 
through Mile Rocks Light to the shore.
    (e) A line drawn from the northwestern tip of Tomales Point to 
latitude 38 deg.15.1' N. longitude 123 deg.00.1' W. (Tomales Point 
Lighted Horn Buoy ``2''); thence to latitude 38 deg.17.2' N. longitude 
123 deg.02.3' W. (Bodega Harbor Approach Lighted Gong Buoy ``BA''); 
thence to the southernmost extremity of Bodega Head.
    (f) A line drawn from Humboldt Bay Entrance Light ``4'' to Humboldt 
Bay Entrance Light ``3''.
    (g) A line drawn from Crescent City Outer Breakwater Light ``5'' to 
the southeasternmost extremity of Whaler Island at longitude 124 deg.11' 
W.



Sec. 7.140  Cape Blanco, OR to Cape Flattery, WA.

    (a) A line drawn from the seaward extremity of the Coos Bay South 
Jetty to latitude 43 deg.21.9' N. longitude 124 deg.21.7' W. (Coos Bay 
Entrance Lighted Bell Buoy ``1''); thence to the seaward extremity of 
the Coos Bay North Jetty.
    (b) A line drawn from the lookout tower located in approximate 
position latitude 46 deg.13.6' N. longitude 124 deg.00.7' W. to latitude 
46 deg.12.8' N. longitude 124 deg.08.0' W. (Columbia River Entrance 
Lighted Whistle Buoy ``2''); thence to latitude 46 deg.14.5' N. 
longitude 124 deg.09.5' W. (Columbia River Entrance Lighted Bell Buoy 
``1''); thence to North Head Light.
    (c) A line drawn from latitude 46 deg.52.8' N. longitude 
124 deg.12.6' W. (Grays Harbor Light to Grays Harbor Entrance Lighted 
Whistle Buoy ``2''); thence to latitude 46 deg.55.0' N. longitude 
124 deg.14.7' W. (Grays Harbor Entrance Lighted Whistle Buoy ``3''); 
thence to Grays Harbor Bar Range Rear Light.



Sec. 7.145  Strait of Juan de Fuca, Haro Strait and Strait of Georgia WA.

    (a) A line drawn from the northernmost point of Angeles Point to 
latitude 48 deg.21.1' N. longitude 123 deg.02.5' W. (Hein Bank Lighted 
Bell Buoy); thence to latitude 48 deg.25.5' N. longitude 122 deg.58.5' 
W. (Salmon Bank Lighted Gong Buoy ``3''); thence to Cattle Point Light 
on San Juan Island.
    (b) A line drawn from Lime Kiln Light to Kellett Bluff Light on 
Henry Island; thence to Turn Point Light on Stuart Island; thence to 
Skipjack Island Light; thence to latitude 48 deg.46.6' N. longitude 
122 deg.53.4' W. (Clements Reef Bouy ``2''); thence to International 
Boundary Range B Front Light.

                                 Alaska



Sec. 7.150  Canadian (BC) and United States (AK) Borders to Cape Spencer, AK.

    (a) A line drawn from the northeasternmost extremity of Point 
Mansfield, Sitklan Island 040 deg. true to the mainland.
    (b) A line drawn from the southeasternmost extremity of Island 
Point, Sitklan Island to the southernmost extremity of Garnet Point, 
Kanagunut Island; thence to Lord Rock Light; thence to Barren Island 
Light; thence to Cape Chacon Light; thence to Cape Muzon Light.
    (c) A line drawn from Point Cornwallis Light to Cape Bartolome 
Light; thence to Cape Edgecumbe Light; thence to the westernmost 
extremity of Cape Cross.
    (d) A line drawn from Surge Bay Entrance Light to Cape Spencer 
Light.



Sec. 7.155  Cape Spencer, AK to Cape St. Elias, AK.

    (a) A line drawn from the westernmost extremity of Harbor Point to 
the southernmost extremity of LaChaussee Spit at Lituya Bay.
    (b) A line drawn from Ocean Cape Light to latitude 59 deg.31.9' N. 
longitude 139 deg.57.1' W. (Yakutat Bay Entrance Lighted Whistle Buoy 
``2''); thence to the southeasternmost extremity of Point Manby.
    (c) A line drawn from the northernmost extremity of Point Riou to 
the easternmost extremity of Icy Cape.



Sec. 7.160  Point Whitshed, AK to Aialik Cape, AK.

    (a) A line drawn from the southernmost extremity of Point Whitshed 
to the easternmost extremity of Hinchinbrook Island.
    (b) A line drawn from Cape Hinchinbrook Light to Schooner Rock Light 
``1''.
    (c) A line drawn from the southwesternmost extremity of Montague 
Island to Point Elrington Light; thence

[[Page 84]]

to the southernmost extremity of Cape Puget.
    (d) A line drawn from the southernmost extremity of Cape 
Resurrection to the Aialik Cape.



Sec. 7.165  Kenai Peninsula, AK to Kodiak Island, AK.

    (a) A line drawn from the southernmost extremity of Kenai Peninsula 
at longitude 151 deg.44.0' W. to East Amatuli Island Light; thence to 
the northwesternmost extremity of Shuyak Island at Party Cape; thence to 
the easternmost extremity of Cape Douglas.
    (b) A line drawn from the southernmost extremity of Pillar Cape on 
Afognak Island to Spruce Cape Light; thence to the easternmost extremity 
of Long Island; thence to the northeasternmost extremity of Cape 
Chiniak.
    (c) A line drawn from Cape Nunilak at latitude 58 deg.09.7' N. to 
the northernmost extremity of Raspberry Island. A line drawn from the 
westernmost extremity of Raspberry Cape to the northernmost extremity of 
Miners Point.



Sec. 7.170  Alaska Peninsula, AK to Aleutian Islands, AK.

    (a) A line drawn from the southernmost extremity of Cape Kumlium to 
the westernmost extremity of Nakchamik Island; thence to the easternmost 
extremity of Castle Cape at Chignik Bay.
    (b) A line drawn from Second Priest Rock to Ulakta Head Light at 
Iliuliuk Bay entrance.
    (c) A line drawn from Arch Rock to the northernmost extremity of 
Devilfish Point at Captains Bay.
    (d) A line drawn from the easternmost extremity of Lagoon Point to 
the northwesternmost extremity of Cape Kutuzof at Port Moller.



Sec. 7.175  Alaska Peninsula, AK to Nunivak, AK.

    (a) A line drawn from the northernmost extremity of Goose Point at 
Egegik Bay to Protection Point.
    (b) A line drawn from the westernmost extremity of Kulukak Point to 
the northernmost extremity of Round Island; thence to the southernmost 
extremity of Hagemeister Island; thence to the southernmost extremity of 
Cape Peirce; thence to the southernmost extremity of Cape Newenham.
    (c) A line drawn from the church spire located in approximate 
position latitude 59 deg.45' N. longitude 161 deg.55' W. at the mouth of 
the Kanektok River to the southernmost extremity of Cape Avinof.



Sec. 7.180  Kotzebue Sound, AK.

    A line drawn from Cape Espenberg Light to latitude 66 deg.52' N. 
longitude 163 deg.28' W.; and thence to Cape Krusenstern Light.



PART 8--VESSEL INSPECTION ALTERNATIVES--Table of Contents






                           Subpart A--General

Sec.
8.100  Definitions.
8.110  Incorporation by reference.
8.120  Reciprocity.
8.130  Agreement conditions.

           Subpart B--Recognition of a Classification Society

8.200  Purpose.
8.210  Applicability.
8.220  Recognition of a classification society.
8.230  Minimum standards for a recognized classification society.
8.240  Application for recognition.
8.250  Acceptance of standards and functions delegated under existing 
          regulations.
8.260  Revocation of classification society recognition.

        Subpart C--International Convention Certificate Issuance

8.300  Purpose.
8.310  Applicability.
8.320  Classification society authorization to issue international 
          certificates.
8.330  Termination of classification society authority.

                 Subpart D--Alternate Compliance Program

8.400  Purpose.
8.410  Applicability.
8.420  Classification society authorization to participate in the 
          Alternate Compliance Program.
8.430  U.S. Supplement to class rules.
8.440  Vessel enrollment in the Alternate Compliance Program.
8.450  Termination of classification society authority.

[[Page 85]]

                Subpart E--Streamlined Inspection Program

8.500  Purpose.
8.505  Scope and applicability.
8.510  Definitions.
8.515  Eligibility.
8.520  Application.
8.525  OCMI review and action.
8.530  Plan development and approval.
8.535  Training and operational evaluation.
8.540  Enrollment in SIP.
8.545  Scope of inspection for enrolled vessels.
8.550  Plan review and revisions.
8.555  Disenrollment.
8.560  Waiver.
8.565  Appeal.
8.570  Interim approval of prototype SIP company or vessel plans.

    Authority: 46 U.S.C. 3103, 3306, 3316, 3703; 49 CFR 1.46.

    Source: CGD 95-010, 62 FR 67532, Dec. 24, 1997, unless otherwise 
noted.



                           Subpart A--General



Sec. 8.100  Definitions.

    Authorized Classification Society means a recognized classification 
society that has been delegated the authority to conduct certain 
functions and certifications on behalf of the Coast Guard.
    Class Rules means the standards developed and published by a 
classification society regarding the design, construction and 
certification of commercial vessels.
    Classed means that a vessel meets the classification society 
requirements that embody the technical rules, regulations, standards, 
guidelines and associated surveys and inspections covering the design, 
construction and through-life compliance of a ship's structure and 
essential engineering and electrical systems.
    Commandant means the Commandant of the Coast Guard.
    Delegated Function means a function related to Coast Guard 
commercial vessel inspection which has been delegated to a 
classification society. Delegated functions may include issuance of 
international convention certificates and participation in the Alternate 
Compliance Program under this part.
    Delegated Function Related to General Vessel Safety Assessment means 
issuance of the SOLAS Cargo Ship Safety Construction Certificate or 
issuance of the SOLAS Cargo Ship Safety Equipment Certificate.
    Exclusive Surveyor means a person who is employed solely by a 
classification society and is authorized to conduct vessel surveys. 
Independent surveyors, hired on a case-by-case basis, or surveyors of 
another classification society are not considered exclusive surveyors 
for the performance of delegated functions on behalf of the Coast Guard.
    Gross Tons means vessel tonnage measured in accordance with the 
International Convention on Tonnage Measurement of Ships, 1969. Vessels 
not measured by this convention must be measured in accordance with the 
method utilized by the flag state administration of that vessel.
    MARPOL 73/78 means the Protocol of 1978 relating to the 
International Convention for the Prevention of Pollution from Ships, 
1973, and includes the Convention which means the International 
Convention for the Prevention of Pollution from Ships, 1973, including 
Protocols I and II and Annexes I, II, and V thereto, including any 
modification or amendments to the Convention, Protocols or Annexes which 
have entered into force for the United States.
    Officer in Charge, Marine Inspection (OCMI) means any person from 
the civilian or military branch of the Coast Guard designated as such by 
the Commandant and who, under the superintendence and direction of a 
Coast Guard District Commander, is in charge of an inspection zone for 
the performance of duties with respect to the inspection, enforcement, 
and administration of 46 U.S.C., Revised Statutes, and acts amendatory 
thereof or supplemental thereto, and rules and regulations thereunder.
    Recognized Classification Society means the American Bureau of 
Shipping or other classification society recognized by the Commandant 
under this part.
    SOLAS means International Convention for the Safety of Life at Sea, 
1974, as amended.

[[Page 86]]



Sec. 8.110  Incorporation by reference.

    (a) Certain material is incorporated by reference into this 
subchapter with the approval of the Director of the Federal Register 
under 5 U.S.C. 552(a) and 1 CFR Part 51. To enforce any edition other 
than that specified in paragraph (b) of this section, the Coast Guard 
must publish notice of the change in the Federal Register and the 
material must be available to the public. All material is available for 
inspection at the Office of the Federal Register, 800 North Capitol St., 
NW., Suite 700, Washington, DC and at the U.S. Coast Guard, Office of 
Design and Engineering Standards, 2100 Second St., SW., Washington, DC 
20593-0001, and is available from the sources listed in paragraph (b).
    (b) The material incorporated by reference in this subchapter and 
the sections affected are as follows:
    American Bureau of Shipping (ABS)--Two World Trade Center, 106th 
Floor, New York, NY 10048.

 Rules for Building and Classing Steel Vessels, 1996--31.01-3(b), 71.15-
                            5(b), 91.15-5(b)

     U.S. Supplement to ABS Rules for Steel Vessels for Vessels on 
 International Voyages, 21 October 1996--31.01-3(b), 71.15-5(b), 91.15-
                                  5(b)

    American National Standards Institute (ANSI)--11 West 42nd St., New 
York, NY 10036.

 ANSI/ASQC Q9001-1994, Quality Systems--Model for Quality Assurance in 
  Design, Development, Production, Installation, and Servicing, 1994--
                                  8.230



Sec. 8.120  Reciprocity.

    (a) The Commandant may delegate authority to a classification 
society that has its headquarters in a country other than the United 
States only to the extent that the flag state administration of that 
country delegates authority and provides access to the American Bureau 
of Shipping to inspect, certify and provide related services to vessels 
flagged by that country. The Commandant will determine reciprocity on a 
``case-by-case'' basis.
    (b) In order to demonstrate that the conditions described in 
paragraph (a) of this section are satisfied, a classification society 
must provide to the Coast Guard an affidavit, from the government of the 
country that the classification society is headquartered in, listing the 
authorities delegated by the flag state administration of that country 
to the American Bureau of Shipping, and indicating any conditions 
related to the delegated authority.
    (c) The Commandant will not consider an application for 
authorization to perform a delegated function submitted under this part 
until the conditions described in paragraph (a) of this section are 
satisfied. Where simultaneous authorization by a foreign government for 
ABS is involved, this requirement may be waived.
    (d) The Commandant will not evaluate a classification society for 
recognition until the conditions described in paragraph (a) of this 
section are satisfied for at least one of the authorized delegations 
being sought. Where simultaneous recognition by a foreign government for 
ABS is involved, this requirement may be waived.
    (e) The Commandant may make a delegation regarding load lines under 
46 U.S.C. 5107 or measurement of vessels under 46 U.S.C. 14103 without 
regard to the conditions described in paragraph (a) of this section.



Sec. 8.130  Agreement conditions.

    (a) Delegated functions performed by, and statutory certificates 
issued by, an authorized classification society will be accepted as 
functions performed by, or certificates issued by, the Coast Guard, 
provided that the classification society maintains compliance with all 
provisions of its agreement with the Commandant. Any agreement between 
the Commandant and a recognized classification society authorizing the 
performance of delegated functions will be written and will require the 
classification society to comply with each of the following:
    (1) Issue any certificates related to a delegated function in the 
English language.

[[Page 87]]

    (2) Maintain a corporate office in the United States that has 
adequate resources and staff to support all delegated functions and to 
maintain required associated records.
    (3) Maintain all records in the United States related to delegated 
functions conducted on behalf of the Coast Guard.
    (4) Make available to appropriate Coast Guard representatives vessel 
status information and records, including outstanding vessel 
deficiencies or classification society recommendations, in the English 
language, on all vessels for which the classification society has 
performed any delegated function on behalf of the Coast Guard.
    (5) Report to the Commandant (G-MOC) the names and official numbers 
of any vessels removed from class for which the classification society 
has performed any delegated function on behalf of the Coast Guard and 
include a description of the reason for the removal.
    (6) Report to the Commandant (G-MOC) all port state detentions on 
all vessels for which the classification society has performed any 
delegated function on behalf of the Coast Guard when aware of such 
detention.
    (7) Annually provide the Commandant (G-MOC) with its register of 
classed vessels.
    (8) Ensure vessels meet all requirements for class of the accepting 
classification society prior to accepting vessels transferred from 
another classification society.
    (9) Suspend class for vessels that are overdue for special renewal 
or annual survey.
    (10) Attend any vessel for which the classification society has 
performed any delegated function on behalf of the Coast Guard at the 
request of the appropriate Coast Guard officials, without regard to the 
vessel's location-- unless prohibited to do so under the laws of the 
United States, the laws of the jurisdiction in which the vessel is 
located, the classification society's home country domestic law, or 
where the classification society considers an unacceptable hazard to 
life and/or property exists.
    (11) Honor appeal decisions made by the Commandant (G-MSE) or 
Commandant (G-MOC) on issues related to delegated functions.
    (12) Apply U.S. flag administration interpretations, when they 
exist, to international conventions for which the classification society 
has been delegated authority to certificate or perform other functions 
on behalf of the Coast Guard.
    (13) Obtain approval from the Commandant (G-MOC) prior to granting 
exemptions from the requirements of international conventions, class 
rules, and the U.S. supplement to class rules.
    (14) Make available to the Coast Guard all records, in the English 
language, related to equivalency determinations or approvals made in the 
course of delegated functions conducted on behalf of the Coast Guard.
    (15) Report to the Coast Guard all information specified in the 
agreement at the specified frequency and to the specified Coast Guard 
office or official.
    (16) Grant the Coast Guard access to all plans and documents, 
including reports on surveys, on the basis of which certificates are 
issued or endorsed by the classification society.
    (17) Identify a liaison representative to the Coast Guard.
    (18) Provide regulations, rules, instructions and report forms in 
the English language.
    (19) Allow the Commandant (G-M) to participate in the development of 
class rules.
    (20) Inform the Commandant (G-M) of all proposed changes to class 
rules.
    (21) Provide the Commandant (G-M) the opportunity to comment on any 
proposed changes to class rules and to respond to the classification 
society's disposition of the comments made by the Coast Guard.
    (22) Furnish information and required access to the Coast Guard to 
conduct oversight of the classification society's activities related to 
delegated functions conducted on behalf of the Coast Guard.
    (23) Allow the Coast Guard to accompany them on internal and 
external quality audits and provide written results of such audits to 
appropriate Coast Guard representatives.

[[Page 88]]

    (24) Provide the Coast Guard access necessary to audit the 
authorized classification society to ensure that it continues to comply 
with the minimum standards for a recognized classification society.
    (25) Use only exclusive surveyors of that classification society to 
accomplish all work done on behalf of, or under any delegation from, the 
Coast Guard. For tonnage-related measurement service only, however, 
classification societies may use part-time employees or independent 
contractors in place of exclusive surveyors.
    (26) Allow its surveyors to participate in training with the Coast 
Guard regarding delegated functions.
    (b) Amendments to an agreement between the Coast Guard and an 
authorized classification society will become effective only after 
consultation and written agreement between parties.
    (c) Agreements may be terminated by one party only upon written 
notice to the other party. Termination will occur sixty days after 
written notice is given.



           Subpart B--Recognition of a Classification Society



Sec. 8.200  Purpose.

    This subpart establishes criteria and procedures for vessel 
classification societies to obtain recognition from the Coast Guard. 
This recognition is necessary in order for a classification society to 
become authorized to perform vessel inspection and certification 
functions delegated by the Coast Guard as described in this part.



Sec. 8.210  Applicability.

    This subpart applies to all vessel classification societies seeking 
recognition by the Coast Guard.



Sec. 8.220  Recognition of a classification society.

    (a) A classification society must be recognized by the Commandant 
before it may receive statutory authority delegated by the Coast Guard.
    (b) In order to become recognized, a classification society must 
meet the requirements of Sec. 8.230.
    (c) A classification society found to meet the criteria for 
recognition will be notified in writing by the Commandant.
    (d) If the Coast Guard determines that a classification society does 
not meet the criteria for recognition, the Coast Guard will provide the 
reason for this determination.
    (e) A classification society may reapply for recognition upon 
correction of the deficiencies identified by the Coast Guard.



Sec. 8.230  Minimum standards for a recognized classification society.

    (a) In order to receive recognition by the Coast Guard a 
classification society must:
    (1) Establish that it has functioned as an international 
classification society for at least 30 years with its own class rules;
    (2) Establish that is has a history of appropriate corrective 
actions in addressing vessel casualties and cases of nonconformity with 
class rules;
    (3) Establish that it has a history of appropriate changes to class 
rules based on their application and the overall performance of its 
classed fleet;
    (4) Have a total classed tonnage of at least 10 million gross tons;
    (5) Have a classed fleet of at least 1,500 ocean-going vessels over 
100 gross tons;
    (6) Have a total classed tonnage of ocean-going vessels over 100 
gross tons totaling no less than 8 million gross tons;
    (7) Publish and maintain class rules in the English language for the 
design, construction and certification of ships and their associated 
essential engineering systems;
    (8) Maintain written survey procedures in the English language;
    (9) Have adequate resources, including research, technical, and 
managerial staff, to ensure appropriate updating and maintaining of 
class rules and procedures;
    (10) Have adequate resources and geographical coverage to carry out 
all plan review and vessel survey activities associated with delegated 
functions as well as classification society requirements;
    (11) Employ a minimum of 150 exclusive surveyors;

[[Page 89]]

    (12) Have adequate criteria for hiring and qualifying surveyors and 
technical staff;
    (13) Have an adequate program for continued training of surveyors 
and technical staff;
    (14) Have a corporate office in the United States that provides a 
continuous management and administrative presence;
    (15) Maintain an internal quality system based on ANSI/ASQC Q9001 or 
an equivalent quality standard;
    (16) Determine classed vessels comply with class rules, during 
appropriate surveys and inspection;
    (17) Determine that attended vessels comply with all statutory 
requirements related to delegated functions, during appropriate surveys 
and inspection;
    (18) Monitor all activities related to delegated functions for 
consistency and required end-results;
    (19) Maintain and ensure compliance with a Code of Ethics that 
recognizes the inherent responsibility associated with delegation of 
authority;
    (20) Not be under the financial control of shipowners or 
shipbuilders, or of others engaged commercially in the manufacture, 
equipping, repair or operation of ships;
    (21) Not be financially dependent on a single commercial enterprise 
for its revenue;
    (22) Not have any business interest in, or share of ownership of, 
any vessel in its classed fleet; and
    (23) Not be involved in any activities which could result in a 
conflict of interest.
    (b) Recognition may be granted after it is established that the 
classification society has an acceptable record of vessel detentions 
attributed to classification society performance under the Coast Guard 
Port State Control Program.



Sec. 8.240  Application for recognition.

    (a) A classification society must apply for recognition in writing 
to the Commandant (G-MSE).
    (b) An application must indicate which specific authority the 
classification society seeks to have delegated.
    (c) Upon verification from the Coast Guard that the conditions of 
reciprocity have been met in accordance with Sec. 8.120, the requesting 
classification society must submit documentation to establish that it 
meets the requirements of Sec. 8.230.



Sec. 8.250  Acceptance of standards and functions delegated under existing regulations.

    (a) Classification society class rules will only be accepted as 
equivalent to Coast Guard regulatory standards when that classification 
society has received authorization to conduct a related delegated 
function.
    (b) A recognized classification society may not conduct any 
delegated function under this title until it receives a separate written 
authorization from the Commandant to conduct that specific function.



Sec. 8.260  Revocation of classification society recognition.

    A recognized classification society which fails to maintain the 
minimum standards established in this part will be reevaluated and its 
recognized status revoked if warranted.



        Subpart C--International Convention Certificate Issuance



Sec. 8.300  Purpose.

    This subpart establishes options for vessel owners and operators to 
obtain required international convention certification through means 
other than those prescribed elsewhere in this chapter.



Sec. 8.310  Applicability.

    This subpart applies to:
    (a) Recognized classification societies; and
    (b) All U.S. flag vessels that are certificated for international 
voyages and are classed by a recognized classification society that is 
authorized by the Coast Guard to issue the applicable international 
certificate as specified in this subpart.



Sec. 8.320  Classification society authorization to issue international certificates.

    (a) The Commandant may authorize a recognized classification society 
to issue certain international convention

[[Page 90]]

certificates. Authorization will be based on review of:
    (1) Applicable class rules; and
    (2) Applicable classification society procedures.
    (b) The Coast Guard may delegate issuance of the following 
international convention certificates to a recognized classification 
society:
    (1) International Load Line Certificate;
    (2) International Tonnage Certificate (1969);
    (3) SOLAS Cargo Ship Safety Construction Certificate;
    (4) SOLAS Cargo Ship Safety Equipment Certificate;
    (5) International Certificate of Fitness for the Carriage of 
Dangerous Chemicals in Bulk;
    (6) International Certificate of Fitness for the Carriage of 
Liquefied Gases in Bulk;
    (7) International Maritime Organization (IMO) Mobile Offshore 
Drilling Unit Safety Certificate;
    (8) MARPOL 73/78 International Oil Pollution Prevention Certificate; 
and
    (9) MARPOL 73/78 International Oil Pollution Prevention Certificate 
for the Carriage of Noxious Liquid Substances in Bulk.
    (c) The Coast Guard will enter into a written agreement with a 
recognized classification society authorized to issue international 
convention certificates. This agreement will define the scope, terms, 
conditions and requirements of that delegation. Conditions of these 
agreements are presented in Sec. 8.130.



Sec. 8.330  Termination of classification society authority.

    (a) The Coast Guard may terminate an authorization agreement with a 
classification society if:
    (1) The Commandant revokes the classification society's recognition, 
as specified in Sec. 8.260; or
    (2) The classification society fails to comply with the conditions 
of the authorization agreement as specified in Sec. 8.130.
    (b) In the event that a flag administration of a country changes 
conditions related to the authority that is delegated to ABS, the 
Commandant may modify or revoke the Coast Guard's authorization of that 
classification society that has its headquarters in that country.
    (c) Certificates issued by a classification society which has had 
its authorization terminated will remain valid until the next 
classification society survey associated with that certificate is 
required or until the certificate expires, whichever occurs first.



                 Subpart D--Alternate Compliance Program



Sec. 8.400  Purpose.

    This subpart establishes an alternative to subpart 2.01 of this 
chapter for certification of United States vessels.



Sec. 8.410  Applicability.

    This subpart applies to:
    (a) Recognized classification societies; and
    (b) U.S. flag vessels that are certificated for international 
voyages and are classed by a recognized classification society that is 
authorized by the Coast Guard to participate in the Alternate Compliance 
Program (ACP) as specified in this subpart and whose vessel type is 
authorized to participate in the ACP per the applicable subchapter of 46 
CFR chapter I.



Sec. 8.420  Classification society authorization to participate in the Alternate Compliance Program.

    (a) The Commandant may authorize a recognized classification society 
to participate in the ACP. Authorization will be based on a satisfactory 
review of:
    (1) Applicable class rules; and
    (2) Applicable classification society procedures.
    (b) Authorization for a recognized classification society to 
participate in the ACP will require development of a U.S. Supplement to 
the society's class rules that meets the requirements of Sec. 8.430 of 
this part, which must be accepted by the Coast Guard.
    (c) A recognized classification society will be eligible to receive 
authorization to participate in the ACP only

[[Page 91]]

after it has performed a delegated function related to general vessel 
safety assessment, as defined in Sec. 8.100, for a two-year period.
    (d) If, after this two-year period, the Coast Guard finds that the 
recognized classification society has not demonstrated the necessary 
satisfactory performance or lacks adequate experience, the recognized 
classification society will not be eligible to participate in the ACP. 
The Coast Guard will provide the reason for this determination to the 
recognized classification society. A classification society may appeal 
the decision of the Coast Guard concerning recognition to the Commandant 
in writing in accordance with 46 CFR 1.03-15(h)(4).
    (e) The Coast Guard will enter into a written agreement with a 
recognized classification society authorized to participate in the ACP. 
This agreement will define the scope, terms, conditions and requirements 
of the necessary delegation. Conditions of this agreement are presented 
in Sec. 8.130.



Sec. 8.430  U.S. Supplement to class rules.

    Prior to receiving authorization to participate in the ACP, a 
recognized classification society must prepare, and receive Commandant 
(G-MSE) approval of, a U.S. Supplement to the recognized classification 
society's class rules. This supplement must include all regulations 
applicable for issuance of a Certificate of Inspection (COI) which are 
not, in the opinion of the Commandant, adequately established by either 
the class rules of that classification society or applicable 
international regulations.



Sec. 8.440  Vessel enrollment in the Alternate Compliance Program.

    (a) In place of compliance with other applicable provisions of this 
title, the owner or operator of a vessel subject to plan review and 
inspection under this subchapter for initial issuance or renewal of a 
COI may submit the vessel for classification, plan review and inspection 
by a recognized classification society authorized by the Coast Guard to 
determine compliance with applicable international treaties and 
agreements, the classification society's class rules, and the U.S. 
Supplement prepared by the classification society and accepted by the 
Coast Guard.
    (b) A vessel owner or operator wishing to have a vessel inspected 
under paragraph (a) of this section shall submit an Application for 
Inspection of U.S. Vessel (CG-3752) to the cognizant OCMI, and indicate 
on the form that the inspection will be conducted by an authorized 
classification society under the ACP.
    (c) Based on reports from an authorized classification society that 
a vessel complies with applicable international treaties and agreements, 
the classification society's class rules, and the U.S. Supplement 
prepared by the classification society and accepted by the Coast Guard, 
the cognizant OCMI may issue a certificate of inspection to the vessel. 
If the OCMI declines to issue a certificate of inspection even though 
the reports made by the authorized classification society indicate that 
the vessel meets applicable standards, the vessel owner or operator may 
appeal the OCMI decision as provided in subpart 1.03 of this chapter.
    (d) If reports from an authorized classification society indicate 
that a vessel does not comply with applicable international treaties and 
agreements, the classification society's class rules, and the U.S. 
Supplement prepared by the classification society and accepted by the 
Coast Guard, the cognizant OCMI may decline to issue a certificate of 
inspection. If the OCMI declines to issue a certificate of inspection, 
the vessel owner or operator may:
    (1) Correct the reported deficiencies and make arrangements with the 
classification society for an additional inspection;
    (2) Request inspection by the Coast Guard under other provisions of 
this subchapter; or
    (3) Appeal via the authorized classification society to the Chief, 
Office of Compliance, Commandant (G-MOC), U.S. Coast Guard, 2100 Second 
St. SW., Washington, DC 20593-0001.



Sec. 8.450  Termination of classification society authority.

    (a) The Coast Guard may terminate an authorization agreement with a 
classification society to participate in the Alternate Compliance 
Program if:

[[Page 92]]

    (1) The Commandant revokes the classification society's recognition, 
as specified in Sec. 8.260; or
    (2) The classification society fails to comply with the conditions 
of the authorization agreement as specified in Sec. 8.130.
    (b) In the event that a flag administration of a country changes 
conditions related to the authority that is delegated to ABS, the 
Commandant may modify or revoke the Coast Guard's authorization of that 
classification society that has its headquarters in that country.
    (c) Certificates issued by a classification society which has had 
its authorization to participate in the Alternate Compliance Program 
terminated will be subject to the provisions of Sec. 8.330.
    (d) Owners or operators of vessels enrolled in the ACP and classed 
by a classification society that has its authority to participate in the 
ACP terminated must:
    (1) Change the classification society for the vessel to a 
classification society that is authorized to participate in the ACP; or
    (2) Disenroll the vessel from the ACP.
    (e) The Coast Guard will provide guidance to a vessel owner affected 
by the revocation of a classification society's authority to participate 
in the ACP. This will include notification of when the action required 
under paragraph (d) of this section must be completed.



                Subpart E--Streamlined Inspection Program

    Source: 63 FR 44353, Aug. 18, 1998, unless otherwise noted.



Sec. 8.500  Purpose.

    (a) This subpart establishes the Streamlined Inspection Program 
(SIP) which is a voluntary alternative inspection program for U.S. 
documented or registered vessels required to maintain a valid 
certificate of inspection (COI).
    (b) This subpart sets out the eligibility and application 
requirements and the plan development and approval procedures for 
enrollment of companies and their vessels in the SIP.



Sec. 8.505  Scope and applicability.

    (a) This subpart applies to U.S. documented or registered vessels 
that have a valid COI.
    (b) A vessel enrolled in the SIP will be inspected in accordance 
with its approved Vessel Action Plan (VAP).
    (c) The SIP includes all inspections required to renew and maintain 
a valid COI. The SIP does not include dry-dock examinations, unscheduled 
inspections related to vessel casualties, equipment repair or 
replacement, or vessel modifications. Those inspections will be 
conducted in accordance with the subparts applicable to the vessel.



Sec. 8.510  Definitions.

    The following definitions apply to this subpart:
    Civil penalty means a final assessment under the provisions of 33 
CFR part 1, subpart 1.07 or part 20 of this chapter.
    Coast Guard SIP Advisor means the Coast Guard marine inspector 
assigned by the Officer in Charge, Marine Inspection (OCMI), to assist 
in the development of an action plan.
    Company means the owner of the vessel or any other organization or 
person, such as the manager or the bareboat charterer, who operates a 
vessel under the SIP.
    Company Action Plan (CAP) means the document describing a company's 
organization, policies, and responsibilities required for participation 
in the SIP.
    Company SIP Agent means the individual who is responsible for the 
Company Action Plan and the Vessel Action Plan development and 
implementation and who has the authority to bind the company to the 
terms of these plans.
    Correction Report means a document which sets out specific vessel 
deficiencies and is used to record their correction by the company.
    Documented deficiency means an incident documented in a Coast Guard 
record in which the condition of a vessel, its equipment, or its 
operation was not in compliance with Coast Guard regulations.
    Examination Checklist means any document or form approved in the 
VAP,

[[Page 93]]

that may be used by company employees to record the periodic 
examinations required by the VAP.
    Inspection Criteria References (ICR) means the individual pages in 
the VAP that list each item on the vessel required by regulation to be 
periodically inspected.
    Inspection Schedule and Verification (ISV) means the document that 
lists the items to be inspected and the intervals for their inspection, 
and on which is recorded the completion of required examinations and 
tests conducted by designated company employees.
    Prototype SIP plan means the SIP plans developed for a company or 
vessel participating in a Coast Guard District-or OCMI-endorsed SIP 
before August 18, 1998.
    Reportable casualty means a marine casualty or accident required to 
be reported under 46 CFR part 4, subpart 4.05 of this chapter.
    Streamlined Inspection Program (SIP) means the alternative 
inspection program set out in this subpart.
    Vessel Action Plan (VAP) means the document that prescribes 
procedures for maintenance, examination, and inspection of a vessel 
enrolled in the SIP.



Sec. 8.515  Eligibility.

    (a) The company must--
    (1) Have owned or operated at least one U.S. documented or 
registered vessel for a minimum of 3 consecutive years before the SIP 
application date; and
    (2) Have paid all civil penalties and user fees.
    (b) Except as allowed by paragraph (c) of this section, each vessel 
must--
    (1) Have been in operation with an eligible owner or operator for at 
least 3 consecutive years before the SIP application date;
    (2) Have had no revocation of its COI during the 3 years before the 
SIP application date; and
    (3) Have no documented deficiency for any of the following in the 3 
years before the SIP application date:
    (i) Any vessel operation inconsistent with the operating details 
specified on its COI.
    (ii) Operating without the required amount of lifesaving appliances 
on board the vessel or with inoperable survival craft.
    (iii) Operating without the required firefighting equipment on board 
the vessel or with an inoperable fire pump(s).
    (iv) Unauthorized modifications to the vessel's approved systems or 
structure, such as fixed firefighting systems, pollution prevention 
arrangements, overcurrent protection devices, or watertight boundary 
arrangements.
    (v) Operating without the required navigation equipment on board the 
vessel or with inoperable navigation equipment.
    (c) A vessel constructed for, or acquired by, a company with one or 
more vessels enrolled in the SIP need not meet the requirement in 
paragraph (b)(1) of this section for enrollment in the SIP, provided 
that the vessel holds a valid COI issued by the OCMI where the vessel 
will principally operate.



Sec. 8.520  Application.

    To apply for SIP enrollment, a company will submit an application, 
in writing, to the cognizant OCMI. The application must contain the 
following:
    (a) A statement that the company and prospective vessel(s) meet the 
requirements of Sec. 8.515.
    (b) A summation of the company's current status in relation to 
Sec. 8.530(a).
    (c) The name and official number of the vessel(s) the company 
intends to enroll in the SIP.
    (d) The name and contact information for the Company SIP Agent.



Sec. 8.525  OCMI review and action.

    (a) The cognizant OCMI will review Coast Guard records for the 3 
years before the SIP application date to verify the eligibility of the 
company and each vessel listed in the SIP application.
    (b) If the company and one or more of its vessels meets the 
eligibility requirements contained in Sec. 8.515, the cognizant OCMI 
will notify the company of its eligibility and assign a Coast Guard SIP 
Advisor.
    (c) If, according to Coast Guard records, a company or vessel does 
not meet the eligibility requirements contained in Sec. 8.515, the 
cognizant OCMI will notify the company in writing of

[[Page 94]]

its ineligibility stating each reason for not accepting the company or a 
vessel.



Sec. 8.530  Plan development and approval.

    The Company SIP Agent will develop the CAP and VAP with guidance 
from the Coast Guard SIP Advisor for OCMI approval.
    (a) Company Action Plan. The CAP shall include at least the 
following:
    (1) A copy of the OCMI CAP approval letter (once the CAP is 
approved).
    (2) An organization commitment statement.
    (3) A company organization chart that includes the name(s) of the 
designated SIP support personnel who will be responsible for 
implementation and oversight of the approved CAP and VAP(s).
    (4) A statement describing the responsibilities and authorities of 
personnel involved in the examination and maintenance of the vessel(s) 
for the company.
    (5) A description of the method the company will use to integrate 
the applicable subpart regulations into its SIP and the method or system 
used to initiate corrective action.
    (6) A description of the company's safety program.
    (7) A description of the company's environmental protection program.
    (8) A description of the company's training infrastructure, the 
method used to track and record training for individual employees, and 
the training required for the designated SIP support personnel to 
implement the CAP and the VAP.
    (9) A master list of all SIP documents and ICRs that the company 
intends to use in its VAP(s).
    (10) Appendices for each approved VAP.
    (b) Vessel Action Plan. Each VAP shall include at least the 
following:
    (1) A copy of the OCMI VAP approval letter (once the VAP is 
approved).
    (2) A description of the method that will be used to integrate the 
VAP into the vessel's regular operations.
    (3) Vessel-specific ICRs.
    (4) Vessel-specific ISV forms.
    (5) Vessel-specific examination checklists.
    (6) Correction reports.
    (c) Plan Approval. The Company SIP Agent will submit the CAP and 
each VAP to the cognizant OCMI for approval. Once approved, a copy of 
the VAP shall be kept on board the vessel.



Sec. 8.535  Training and operational evaluation.

    When the CAP and VAP(s) have been approved by the cognizant OCMI, 
the company may begin training and operating under the plans. This 
evaluation phase includes the following:
    (a) The company shall provide the designated SIP support personnel 
with training as required by the CAP.
    (b) The vessel must operate and be examined under the VAP for a 
period of at least 3 months.
    (c) During the operational periods, the Coast Guard SIP Advisor will 
conduct an ongoing evaluation of the vessel's operation, the training 
records, and the ability of all designated persons to perform their 
assigned functions under the VAP. The Coast Guard SIP Advisor will 
report periodically to the cognizant OCMI and the Company SIP Agent on 
the vessel's performance, and make recommendations, if needed.
    (d) Revisions recommended under paragraph (c) of this section, or 
any additional operational periods under a revised CAP or VAP as may be 
required by the cognizant OCMI must be completed prior to enrollment.



Sec. 8.540  Enrollment in SIP.

    Upon successful completion of the training and evaluation phase, the 
Coast Guard SIP Advisor will recommend to the OCMI that the company or 
vessel be enrolled in the SIP. If the OCMI concurs with the 
recommendation, he or she will issue an enrollment letter and endorse 
the vessel's COI. Subsequent inspections covered under this subpart will 
be conducted in accordance with the approved VAP.



Sec. 8.545  Scope of inspection for enrolled vessels.

    (a) A Coast Guard marine inspector will conduct required periodic 
and follow-on inspections necessary to ensure compliance with Coast 
Guard regulations.

[[Page 95]]

    (b) A Coast Guard marine inspector will conduct the inspections in 
paragraph (a) of this section in accordance with the procedures set out 
in the VAP. These inspections will normally include the following:
    (1) Administrative review. This portion of the inspection consists 
of a review of prior Coast Guard SIP inspection forms, the contents of 
the VAP, and other certifications of equipment and vessel systems.
    (2) SIP performance review. This portion of the inspection consists 
of a review of vessel SIP documentation and records, review of the SIP 
procedures, and a company evaluation of their SIP.
    (3) Materiel review. This portion of the inspection consists of a 
general examination of the vessel, witnessing the examination of 
selected items under the VAP by company designated SIP support 
personnel, inspection of selected items, and witnessing crew performance 
in drills.
    (4) Conclusion and recommendations. This portion of the inspection 
contains the Coast Guard marine inspector's evaluation of regulatory 
compliance of the vessel under its VAP.
    (c) A Coast Guard marine inspector may conduct any additional tests 
or examinations of vessel equipment or systems necessary to ensure 
compliance with Coast Guard regulations during an inspection covered in 
paragraph (a) of this section.



Sec. 8.550  Plan review and revisions.

    (a) Mandatory reviews and revisions. The CAP and VAP(s) must be 
reviewed and revised as follows:
    (1) Every 2 years after the plan approval date, the company shall 
review the CAP and update all information required by Sec. 8.530.
    (2) Every 5 years after the plan approval date, the Coast Guard SIP 
Advisor and the Company SIP Agent will review the VAP.
    (3) If a reportable casualty occurs, the cognizant OCMI will review 
the portions of the VAP related to equipment, training, personnel, and 
systems involved in the casualty and determine whether revisions to the 
VAP are appropriate.
    (4) When statutes or regulations change, the appropriate sections of 
the CAP and VAP(s) will be revised.
    (b) Discretionary reviews and revisions. The CAP and VAP(s) may be 
reviewed and revised by the company at any time. The revisions must be 
submitted to the cognizant OCMI for approval.



Sec. 8.555  Disenrollment.

    (a) Voluntary disenrollment. A company may request SIP disenrollment 
(which includes all of its vessels) or may request disenrollment of a 
specific vessel from the SIP by writing to the cognizant OCMI. The OCMI 
will then issue a letter disenrolling the vessel or company. Disenrolled 
vessels will be inspected in accordance with the requirements of 46 CFR 
part 2, subpart 2.01 of this chapter.
    (b) Company disenrollment. The OCMI may issue a letter disenrolling 
the company if the company no longer has at least one enrolled vessel or 
if the company fails to continue to meet the eligibility requirements in 
Sec. 8.515.
    (c) Vessel disenrollment. The OCMI may issue a letter disenrolling a 
vessel if any one or more of the following occurs:
    (1) The sale of the vessel.
    (2) A finalized letter of warning or assessment of a civil penalty 
for--
    (i) Operating outside the scope of the vessel's COI or Stability 
Letter;
    (ii) Not reporting a personnel or material casualty required to be 
reported under 46 CFR part 4; or
    (iii) A material deficiency listed in Sec. 8.515(b)(3).



Sec. 8.560  Waiver.

    (a) A Coast Guard District Commander may waive any requirement of 
this subpart--
    (1) If good cause exists for granting a waiver; and
    (2) If the safety of the vessel and those on board will not be 
adversely affected.
    (b) Requests for waiver of any requirement of this subpart must be 
submitted in writing to the cognizant OCMI for review before forwarding 
to the Coast Guard District Commander for action.

[[Page 96]]

    (c) A copy of each waiver granted under this section shall be 
maintained at all times in the VAP.



Sec. 8.565  Appeal.

    A company may appeal any decision or action taken under this subpart 
in accordance with 46 CFR part 1, subpart 1.03 of this chapter.



Sec. 8.570  Interim approval of prototype SIP company or vessel plans.

    (a) A company operating under an approved prototype SIP company or 
vessel plan must apply in writing by November 1, 1998, to the cognizant 
OCMI for approval to continue operating under the plans while revisions 
are developed to bring the prototype SIP company or vessel plan into 
conformance with this subpart. The OCMI may approve the request for a 
period of up to 3 years.
    (b) A company that does not request approval as required by 
paragraph (a) of this section or does not obtain approval to continue 
operating under a prototype SIP company or vessel plan by February 1, 
1999, may no longer operate under the plans and will be inspected in 
accordance with the requirements of 46 CFR part 2, subpart 2.01 of this 
chapter.



PART 9--EXTRA COMPENSATION FOR OVERTIME SERVICES--Table of Contents




Sec.
9.1  Extra compensation; Coast Guard civilian personnel.
9.2  Payment although no actual service performed.
9.3  Overtime earnings not basis for overtime under Federal Employees 
          Pay Act of 1945.
9.4  Waiting time; actual report for duties.
9.5  Night, Sunday, and holiday defined.
9.6  Rate for night service.
9.7  Rate for Sunday or holiday services.
9.8  Broken periods.
9.9  Two hours between broken periods.
9.10  Waiting time.
9.11  Proration of charges.
9.12  Travel status overtime.
9.13  Congressional appropriations necessary.
9.14  Assessment and collection of fees.
9.15  Application form.
9.16  Billing for services.
9.17  Protests.

    Authority: 46 U.S.C. 2103; 49 CFR 1.46.

    Source: CGD 74-119, 39 FR 33336, Sept. 17, 1974, unless otherwise 
noted.



Sec. 9.1  Extra compensation; Coast Guard civilian personnel.

    Civilians assigned to the duties formerly assigned to local 
inspectors and their assistants, United States shipping commissioners 
and their deputies and assistants prior to Reorganization Plan No. 3 of 
1946 (3 CFR, 1946 Supp.), and customs officers and employees, while 
performing duties in connection with the inspection of vessels or their 
equipment, supplying or signing on or discharging crews of vessels, at 
night or on Sundays and holidays, shall receive extra compensation to be 
paid by the master, owner, or agent of the vessel to the local United 
States collector of customs or his representative. (See Sec. 9.16.)



Sec. 9.2  Payment although no actual service performed.

    The rates of extra compensation are payable in cases where the 
services of officers or employees have been duly requested and the 
officers or employees have reported for duty, even though no actual 
service may be performed.



Sec. 9.3  Overtime earnings not basis for overtime under Federal Employees Pay Act of 1945.

    Overtime, Sunday, and holiday services which are covered by payments 
under this part shall not also form a basis for overtime or extra pay 
under the Federal Employees Pay Act of 1945.



Sec. 9.4  Waiting time; actual report for duties.

    Extra compensation for waiting time will not be allowed unless and 
until an officer or employee actually reports for duty.



Sec. 9.5  Night, Sunday, and holiday defined.

    (a) For the purpose of this part the word night shall mean the time 
between 5 p.m. of any day and 8 a.m. of the following day.
    (b) The term holiday shall mean only national legal public holidays, 
viz., January 1, February 22, May 30, July 4, the 1st Monday in 
September, November 11, the 4th Thursday in November, December 25, and 
such other days as

[[Page 97]]

may be declared legal public holidays by an act of Congress or by an 
Executive order of the President of the United States.
    (c) The term Sunday shall include the first day of each calendar 
week.



Sec. 9.6  Rate for night service.

    The rate of extra compensation for authorized overtime services 
performed at night on any week day is hereby fixed at one half the gross 
daily rate of regular pay of the employee who performs the services for 
each 2 hours of compensable time, any fraction of 2 hours amounting to 
at least one hour to be counted as 2 hours. In computing the amount 
earned, each 2 hours is the time period for the purpose of computation, 
at least one hour means the minimum service in each period for which 
extra pay may be granted. If service continues beyond a 2 hour period, 
it must extend for at least one hour into the following 2 hour period to 
be entitled to extra pay for the second period. When the overtime 
extends beyond 5 p.m., payment of extra compensation from 5 p.m. for 
services consisting of at least one hour is authorized, even though such 
services may not actually begin until 7 p.m., 9 p.m., or later: 
Provided, That the officer rendering the service remained on duty from 5 
p.m., in which case the time between 5 p.m., and the time of beginning 
the actual service shall be computed as waiting time; and where the 
actual services begin as late as 9 p.m., there should be an affirmative 
statement that the officer was required to remain on duty between 5 p.m. 
and 9 p.m., if a charge for waiting time is made. The maximum amount of 
extra compensation which may be paid an employee for services during one 
night shall not exceed two and one-half times the gross daily rate of 
his regular pay.



Sec. 9.7  Rate for Sunday or holiday services.

    The rate of extra compensation for Sunday or holiday services is 
hereby fixed at twice the gross daily rate of regular pay of the 
employee who performs the service, for any and all services totaling an 
aggregate of not more than nine hours, with one hour for food and rest, 
during the 24 hours from midnight to midnight of the Sunday or holiday 
including actual waiting time and time required for travel between posts 
of duty but not including other time not spent at the post of duty. This 
rate shall apply regardless of the length of time served within the 
aggregate of the aforesaid 9 hours, whether it is served continuously or 
in broken periods, and whether it is served for one or more applicants. 
Services in excess of an aggregate of the aforesaid 9 hours performed 
during the 24 hours of a Sunday or holiday shall be compensated on the 
same basis as overtime services performed at night on a weekday, the 
time between the completion of the aggregate of the aforesaid 9 hours 
and midnight being considered as the hours of a night. The maximum 
amount which may be paid an employee for services performed during the 
24 hours of a Sunday or holiday shall not exceed four and one-half times 
the gross daily rate of his regular pay.



Sec. 9.8  Broken periods.

    In computing extra compensation where the services rendered are in 
broken periods and less than 2 hours intervene between such broken 
periods the time served should be combined with the waiting time and 
computed as continuous service.



Sec. 9.9  Two hours between broken periods.

    Where 2 hours or more intervene between broken periods, one-half 
day's extra pay will be allowed for each distinct 2-hour period or part 
of a 2-hour period, if waiting time and actual service rendered within 
each period consists of at least 1 hour.



Sec. 9.10  Waiting time.

    The same construction should be given the act when charging for 
waiting time as governs the charge for services actually rendered. No 
charge should be made unless after having reported for duty the waiting 
time amounts to at least one hour.



Sec. 9.11  Proration of charges.

    If services are performed for two or more applicants during one 
continuous tour of overtime duty, the charge for

[[Page 98]]

the extra compensation earned shall be prorated equitably according to 
the time attributable to the services performed for each applicant.



Sec. 9.12  Travel status overtime.

    When employees are in travel status, overtime shall apply the same 
as at official station.



Sec. 9.13  Congressional appropriations necessary.

    Payment of extra compensation for overtime services shall be subject 
to appropriations being made therefor by Congress.



Sec. 9.14  Assessment and collection of fees.

    Assessment and collection of fees against steamship companies for 
overtime services shall be made even though the payment to employees for 
such services may not be made until funds are appropriated for that 
purpose.



Sec. 9.15  Application form.

    An application on a form prescribed by the Commandant of the Coast 
Guard, shall be filed with the office being requested to furnish 
overtime services before such assignment can be made.



Sec. 9.16  Billing for services.

    Overtime services shall be billed to the steamship companies on 
collection voucher provided for that purpose. Remittance shall be made 
by postal money order or certified check payable to the Collector of 
Customs, Treasury Department and forwarded to that officer at the port 
indicated on the voucher, who shall in turn deposit such remittance to a 
properly designated receipt account.



Sec. 9.17  Protests.

    Protests against the exaction of extra compensation shall be 
forwarded to the Commandant of the Coast Guard.

[[Page 99]]



            SUBCHAPTER B--MERCHANT MARINE OFFICERS AND SEAMEN


PART 10--LICENSING OF MARITIME PERSONNEL--Table of Contents




                           Subpart A--General

Sec.
10.101  Purpose of regulations.
10.102  Incorporation by reference.
10.103  Definitions of terms used in this part.
10.105  Regional examination centers.
10.107  Paperwork approval.
10.109  Fees.
10.110  Fee payment procedures.
10.111  Penalties.
10.112  No-fee license for certain applicants.

  Subpart B--General Requirements for All Licenses and Certificates of 
                                Registry

10.201  Eligibility for licenses, and certificates of registry, general.
10.202  Issuance of licenses, certificates of registry, and STCW 
          certificates or endorsements.
10.203  Quick reference table for license and certificate of registry 
          requirements.
10.204  Right of appeal.
10.205  Requirements for original licenses, certificates of registry, 
          and STCW certificates and endorsements.
10.207  Requirements for raises of grades of licenses.
10.209  Requirements for renewal of licenses, certificates of registry, 
          and STCW certificates and endorsements.
10.211  Creditable service and equivalents for licensing purposes.
10.213  Sea service as a member of the Armed Forces of the United States 
          and on vessels owned by the United States as qualifying 
          experience.
10.215  Modification or removal of limitations.
10.217  Examination procedures and denial of licenses.
10.219  Issuance of duplicate license or certificate of registry.
10.221  Parting with license.
10.223  Suspension and revocation of licenses.

            Subpart C--Training Schools With Approved Courses

10.301  Applicability.
10.302  Course approval.
10.303  General standards.
10.304  Substitution of training for required service, and use of 
          training-record books.
10.305  Radar-Observer certificates and qualifying courses.
10.306  Radar-Operation course and certificate.
10.307  Training schools with approved radar observer courses.
10.309  Coast Guard-accepted training other than approved courses.

    Subpart D--Professional Requirements for Deck Officers' Licenses

10.401  Ocean and near coastal licenses.
10.402  Tonnage requirements for ocean or near coastal licenses for 
          vessels of over 1600 gross tons.
10.403  Deck license structure.
10.404  Service requirements for master of ocean or near coastal steam 
          or motor vessels of any gross tons.
10.405  Service requirements for chief mate of ocean or near coastal 
          steam or motor vessels of any gross tons.
10.406  Service requirements for second mate of ocean or near coastal 
          steam or motor vessels of any gross tons.
10.407  Service requirements for third mate of ocean or near coastal 
          steam or motor vessels of any gross tons.
10.410  Requirements for deck licenses for vessels of not more than 1600 
          gross tons.
10.412  Service requirements for master of ocean or near coastal steam 
          or motor vessels of not more than 1600 gross tons.
10.414  Service requirements for mate of ocean steam or motor vessels of 
          not more than 1600 gross tons.
10.416  Service requirements for mate of near coastal steam or motor 
          vessels of not more than 1600 gross tons.
10.418  Service requirements for master of ocean or near coastal steam 
          or motor vessels of not more than 500 gross tons.
10.420  Service requirements for mate of ocean steam or motor vessels of 
          not more than 500 gross tons.
10.421  Service requirements for mate of near coastal steam or motor 
          vessels of not more than 500 gross tons.
10.422  Tonnage limitations and qualifying requirements for licenses as 
          master or mate of vessels of not more than 200 gross tons.
10.424  Service requirements for master of ocean steam or motor vessels 
          of not more than 200 gross tons.
10.426  Service requirements for master of near coastal steam or motor 
          vessels of not more than 200 gross tons.
10.427  Service requirements for mate of near coastal steam or motor 
          vessels of not more than 200 gross tons.

[[Page 100]]

10.428  Service requirements for master of near coastal steam or motor 
          vessels of not more than 100 gross tons.
10.429  Service requirements for limited master of near coastal steam or 
          motor vessels of not more than 100 gross tons.
10.430  Licenses for the Great Lakes and inland waters.
10.431  Tonnage requirements for Great Lakes and inland licenses for 
          vessels of over 1600 gross tons.
10.433  Service requirements for master of Great Lakes and inland steam 
          or motor vessels of any gross tons.
10.435  Service requirements for master of inland steam or motor vessels 
          of any gross tons.
10.437  Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of any gross tons.
10.442  Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 1600 gross tons.
10.444  Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of not more than 1600 gross tons.
10.446  Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 500 gross tons.
10.448  Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of not more than 500 gross tons.
10.450  Tonnage limitations and qualifying requirements for licenses as 
          master or mate of Great Lakes and inland vessels of not more 
          than 200 gross tons.
10.452  Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 200 gross tons.
10.454  Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of not more than 200 gross tons.
10.455  Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 100 gross tons.
10.456  Service requirements for limited master of Great Lakes and 
          inland steam or motor vessels of not more than 100 gross tons.
10.457  Service requirements for master of inland steam or motor vessels 
          of not more than 100 gross tons.
10.459  Service requirements for master or mate of rivers.
10.462  Licenses for master or mate of uninspected fishing industry 
          vessels.
10.464  Licenses for operator of uninspected towing vessels.
10.466  Licenses for operator of uninspected passenger vessels.
10.468  Licenses for mobile offshore drilling units.
10.470  Licenses for offshore installation manager.
10.472  License for barge supervisor.
10.474  License for ballast control operator.
10.476  Acknowledgments of service and temporary licenses for mobile 
          offshore drilling units.
10.480  Radar observer.
10.482  Assistance towing.
10.491  Licenses for service on offshore supply vessels.
10.493  Master (OSV).
10.495  Chief Mate (OSV).
10.497  Mate (OSV).

  Subpart E--Professional Requirements for Engineer Officers' Licenses

10.501  Grade and type of engineer licenses issued.
10.502  Additional requirements for engineer licenses.
10.503  Horsepower limitations.
10.504  Application of deck service for limited engineer licenses.
10.505  Engineer license structure.
10.510  Service requirements for chief engineer of steam and/or motor 
          vessels.
10.512  Service requirements for first assistant engineer of steam and/
          or motor vessels.
10.514  Service requirements for second assistant engineer of steam and/
          or motor vessels.
10.516  Service requirements for third assistant engineer of steam and/
          or motor vessels.
10.518  Service requirements for chief engineer (limited-oceans) of 
          steam and/or motor vessels.
10.520  Service requirements for chief engineer (limited-near coastal) 
          of steam and/or motor vessels.
10.522  Service requirements for assistant engineer (limited-oceans) of 
          steam and/or motor vessels.
10.524  Service requirements for designated duty engineer of steam and/
          or motor vessels.
10.530  Licenses for engineers of uninspected fishing industry vessels.
10.540  Licenses for engineers of mobile offshore drilling units.
10.542  License for chief engineer (MODU).
10.544  License for assistant engineer (MODU).
10.551  Licenses for service on offshore supply vessels.
10.553  Chief Engineer (OSV).
10.555  Engineer (OSV).

                 Subpart F--Licensing of Radio Officers

10.601  Applicability.
10.603  Requirements for radio officers' licenses, and STCW certificates 
          or endorsements for GMDSS radio operators.

[[Page 101]]

         Subpart G--Professional Requirements for Pilot Licenses

10.701  Scope of pilot licenses and endorsements.
10.703  Service requirements.
10.705  Route familiarization requirements.
10.707  Examination requirements.
10.709  Annual physical examination requirements.
10.711  Tonnage requirements.
10.713  Requirements for maintaining current knowledge of waters to be 
          navigated.

                Subpart H--Registration of Staff Officers

10.801  Applicability.
10.803  Grades of certificates issued.
10.805  General requirements.
10.807  Experience requirements for registry.
10.809  Experience requirements for ratings endorsed on certificate of 
          registry.
10.811  Expiration of existing certificates of registry.

Subpart I--Subjects of License Examinations and Practical Demonstrations 
                              of Competence

10.901  General provisions.
10.903  Licenses requiring examinations.
10.910  Subjects for deck licenses.
10.920  Subjects for MODU licenses.
10.950  Subjects for engineer licenses.

                    Subpart J--Ro-Ro Passenger Ships

10.1001  Purpose of regulations.
10.1003  Definition.
10.1005  General requirements for license-holders.

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110; 46 U.S.C. 
Chapter 71; 46 U.S.C. 7502, 7505, 7701; 49 CFR 1.45, 1.46; Sec. 10.107 
also issued under the authority of 44 U.S.C. 3507.

    Source: CGD 81-059, 52 FR 38623, Oct. 16, 1987 (interim) and CGD 81-
059, 54 FR 132, Jan. 4, 1989 (final), unless otherwise noted.



                           Subpart A--General



Sec. 10.101  Purpose of regulations.

    (a) The purposes of the regulations in this part are to provide--
    (1) A comprehensive means of determining the qualifications an 
applicant must possess to be eligible for a license as a deck officer, 
engineer, pilot, radio officer, or radio operator on merchant vessels, 
or for a license to operate uninspected towing vessels or uninspected 
passenger vessels, or for a certificate of registry as a staff officer; 
and
    (2) A means of determining that an applicant is competent to serve 
as a master, chief mate, officer in charge of a navigational watch, 
chief engineer officer, second engineer officer (first assistant 
engineer), officer in charge of an engineering watch, designated duty 
engineer, or radio operator, in accordance with the provisions of the 
International Convention on Standards of Training, Certification and 
Watchkeeping for Seafarers, 1978, as amended in 1995 (STCW), and other 
laws, and to receive the appropriate certificate or endorsement as 
required by STCW.
    (b) With few exceptions, these regulations do not specify or 
restrict licenses to particular types of service such as tankships, 
freight vessels or passenger vessels. However, all licensed personnel 
shall become familiar with the relevant characteristics of each vessel 
prior to assuming their duties. As appropriate, these characteristics 
include but are not limited to: general arrangement of the vessel; 
maneuvering characteristics; proper operation of the installed 
navigation equipment; firefighting and lifesaving equipment; stability 
and loading characteristics; emergency duties; and main propulsion and 
auxiliary machinery, including steering gear systems and controls.
    (c) The regulations in subpart C of this part prescribe the 
requirements applicable to--
    (1) Each approved training course, if the training course is to be 
acceptable as a partial substitute for service or for a required 
examination, or as training required for a particular license or license 
endorsement; and
    (2) All training and assessment associated with meeting the 
standards of competence established by STCW.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95-062, 62 FR 
34528, June 26, 1997]



Sec. 10.102  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in paragraph

[[Page 102]]

(b) of this section, the Coast Guard must publish notice of change in 
the Federal Register and must ensure that the material is available to 
the public. All approved material is available for inspection at the 
Office of the Federal Register, 800 North Capitol Street NW., suite 700, 
Washington, DC, and at the U.S. Coast Guard, Operating and Environmental 
Standards Division, 2100 Second Street SW., Washington, DC, and is 
available from the sources indicated in paragraph (b) of this section.
    (b) The material approved for incorporation by reference in this 
part and the sections affected are as follows:

    International Maritime Organization (IMO)
    4 Albert Embankment, London, SE1 7SR, England.

    STCW--International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 
(STCW Convention), and Seafarer's Training, Certification and 
Watchkeeping Code (STCW Code)-- 10.103; 10.205; 10.304; 10.603; 10.901; 
10.903; 10.1005.

[CGD 95-062, 62 FR 34529, June 26, 1997]



Sec. 10.103  Definitions of terms used in this part.

    Approved means approved by the Coast Guard in accordance with 
Sec. 10.302.
    Assistant engineer means a qualified officer in the engine 
department.
    Assistance towing means towing a disabled vessel for consideration.
    Ballast control operator (BCO) is a licensed officer restricted to 
service on MODUs. The duties involve the operation of the complex 
ballast system found on many MODUs. A ballast control operator, when 
assigned to a MODU, is the equivalent of a conventionally licensed mate.
    Barge supervisor (BS) is a licensed officer restricted to service on 
MODUs. The duties involve support to the OIM in marine related matters 
including, but not limited to, maintaining watertight integrity, 
inspecting and maintaining mooring and towing components, and the 
maintenance of emergency and other marine related equipment. A barge 
supervisor, when assigned to a MODU is the equivalent of a 
conventionally licensed mate.
    Boatswain means the leading seaman and immediate supervisor of 
unlicensed deck personnel who supervises the maintenance of deck gear.
    Chief engineer means any person responsible for the mechanical 
propulsion of a vessel and who is the holder of a valid license as chief 
engineer.
    Chief mate means the deck officer next in seniority to the master 
and upon whom the command of the vessel will fall in the event of the 
incapacity of the master.
    Coast Guard-accepted means that the Coast Guard has officially 
acknowledged in writing that the material or process at issue meets the 
applicable requirements; that the Coast Guard has issued an official 
policy statement listing or describing the material or process as 
meeting the applicable requirements; or that an entity acting on behalf 
of the Coast Guard under a Memorandum of Agreement has determined that 
the material or process meets the applicable requirements.
    Conviction means the applicant for a license or certificate of 
registry has been found guilty by judgment or plea by a court of record 
of the United States, the District of Columbia or any State or territory 
of the United States of a criminal felony or misdemeanor or of an 
offense described in section 205 of the National Driver Register Act of 
1982 (49 U.S.C. 30304). Conviction of more than one offense at a single 
trial will be considered to be multiple convictions. If an applicant 
pleads guilty or no contest, is granted deferred adjudication, or is 
required by the court to attend classes, make contributions of time or 
money, receive treatment, submit to any manner of probation or 
supervision, or forego appeal of a trial court's conviction, then the 
applicant will be considered to have received a conviction. A later 
expungement of the conviction will not negate a conviction unless it is 
proved to the OCMI that the expungement is based upon a showing that the 
court's earlier conviction was in error.
    Day means, for the purpose of complying with the service 
requirements of this part, eight hours of watchstanding

[[Page 103]]

or day-working not to include overtime. On vessels where a 12 hour 
working day is authorized and practiced, such as on a six-on, six-off 
watch schedule, each work day may be creditable as one and one half days 
of service. On vessels of less than 100 gross tons, a day is considered 
as eight hours unless the Officer in Charge, Marine Inspection 
determines that the vessel's operating schedule makes this criteria 
inappropriate, in no case will this period be less than four hours.
    Designated duty engineer means a qualified engineer, who may be the 
sole engineer on vessels with a periodically unattended engine room.
    Designated examiner means a person who has been trained or 
instructed in techniques of training or assessment and is otherwise 
qualified to evaluate whether a candidate for a license, document, or 
endorsement has achieved the level of competence required to hold the 
license, document, or endorsement. This person may be designated by the 
Coast Guard or by a Coast Guard-approved or accepted program of training 
or assessment. A faculty member employed or instructing in a navigation 
or engineering course at the U.S. Merchant Marine Academy or at a State 
maritime academy operated in accordance with regulations in 46 CFR part 
310 is qualified to serve as a designated examiner in his or her area(s) 
of specialization without individual evaluation by the Coast Guard.
    Employment assigned to is the total period a person is assigned to 
work on MODUs, including time spent ashore as part of normal crew 
rotation.
    Endorsement means a provision added to a license which alters its 
scope or application. An example of an endorsement is a tonnage 
limitation increase within a general tonnage category, a pilot license 
route addition, or a radar observer qualification.
    Evaluation means processing an application, from the point of 
receipt to approval or rejection of the application, including review of 
all documents and records submitted with an application as well as those 
obtained from public records and databases.
    Fails a chemical test for dangerous drugs means that the result of a 
chemical test conducted in accordance with 49 CFR part 40 is reported as 
``positive'' for the presence of dangerous drugs or drug metabolites in 
an individual's system by a Medical Review Officer in accordance with 
that part.
    First assistant engineer means the engineer officer next in 
seniority to the chief engineer and upon whom the responsibility for the 
mechanical propulsion of the vessel will fall in the event of the 
incapacity of the chief engineer.
    Great Lakes means the Great Lakes and their connecting and tributary 
waters including the Calumet River as far as the Thomas J. O'Brien Lock 
and Controlling Works (between mile 326 and 327), the Chicago River as 
far as the east side of the Ashland Avenue Bridge (between mile 321 and 
322), and the Saint Lawrence River as far east as the lower exit of 
Saint Lambert Lock.
    Horsepower means, for the purpose of this part, the total maximum 
continuous shaft horsepower of all the vessel's main propulsion 
machinery.
    Inland Waters means the navigable waters of the United States 
shoreward of the Boundary Lines as described in 46 CFR part 7, excluding 
the Great Lakes. For the purposes of establishing sea service credit, 
the waters of the Inside Passage between Puget Sound and Cape Spencer, 
Alaska, are considered as inland.
    Lower level means a category of deck and engineer licenses 
established for assessment of fees. Lower level licenses are all 
licenses, other than those defined as upper level, for which the 
requirements are listed in subparts D, E, and G of this part.
    Master means the officer having command of a vessel.
    Mate means a qualified officer in the deck department other than the 
master.
    Mobile offshore drilling unit (MODU) means a vessel capable of 
engaging in drilling operations for the exploration for or exploitation 
of subsea resources. MODU designs include:
    (a) Bottom bearing units which include:
    (1) Self-elevating (or jack-up) units with moveable, bottom bearing 
legs capable of raising the hull above the surface of the sea; and,
    (2) Submersible units of ship shape, barge type or novel hull 
design, other

[[Page 104]]

than a self-elevating unit, intended for operating while bottom bearing.
    (b) Surface units with a ship shape or barge type displacement hull 
of single or multiple hull construction intended for operating in a 
floating condition, including semi-submersibles and drillships.
    Month means 30 days, for the purpose of complying with the service 
requirements of this part.
    National Driver Register (NDR) means the nationwide repository of 
information on drivers maintained by the National Highway Traffic Safety 
Administration as provided under 49 U.S.C. Chapter 303.
    NDR listed convictions means a conviction of any of the following 
motor vehicle-related offenses or comparable offenses:
    (a) Operating a motor vehicle while under the influence of, or 
impaired by, alcohol or a controlled substance; or
    (b) A traffic violation arising in connection with a fatal traffic 
accident, reckless driving, or racing on the highways.
    Near coastal means ocean waters not more than 200 miles offshore.
    Oceans means the waters seaward of the Boundary Lines as described 
in 46 CFR part 7. For the purposes of establishing sea service credit, 
the waters of the Inside Passage between Puget Sound and Cape Spencer, 
Alaska, are not considered oceans.
    Officer in Charge, Marine Inspection (OCMI) for the purposes of part 
10 means the officer or individual so designated at one of the locations 
of the regional examination centers listed in Sec. 10.105.
    Offshore installation manager (OIM) is a licensed officer restricted 
to service on MODUs. An assigned offshore installation manager is 
equivalent to a conventionally licensed master and is the person 
designated by the owner or operator to be in complete and ultimate 
command of the unit.
    On location means that a mobile offshore drilling unit is bottom 
bearing or moored with anchors placed in the drilling configuration.
    Operator means an individual licensed to operate certain uninspected 
vessels.
    Orally assisted examination means a license examination as described 
in subpart I of this part verbally administered and documented by an 
examiner.
    Original license means the first deck, engineer or radio officer 
license issued to any person by the Coast Guard.
    Passes a chemical test for dangerous drugs means the result of a 
chemical test conducted in accordance with 49 CFR part 40 is reported as 
``negative'' by a Medical Review Officer in accordance with that part.
    Practical demonstration means the performance of an activity under 
the direct observation of a designated examiner for the purpose of 
establishing that the performer is sufficiently proficient in a 
practical skill to meet a specified standard of competence or other 
objective criterion.
    Qualified instructor means a person who has been trained or 
instructed in instructional techniques and is otherwise qualified to 
provide required training to candidates for licenses, documents, and 
endorsements. A faculty member employed at a State maritime academy or 
the U.S. Merchant Marine Academy operated in accordance with 46 CFR part 
310 and instructing in a navigation or engineering course is qualified 
to serve as a qualified instructor in his or her area(s) of 
specialization without individual evaluation by the Coast Guard.
    Raise of grade means an increase in the level of authority and 
responsibility associated with a license.
    Rivers means any river, canal, or other similar body of water 
designated by the Officer in Charge, Marine Inspection.
    Senior company official means the president, vice president, vice 
president for personnel, personnel director, or similarly titled or 
responsible individual, or a lower level employee designated in writing 
by one of the aforementioned for the purpose of certifying employment 
and whose signature is on file at the REC at which application is made.
    Service as when computing the required service for MODU licenses, is 
the time period, in days, a person is assigned to work on MODUs, 
excluding time spent ashore as part of crew rotation. A day, for the 
purposes of this

[[Page 105]]

definition, is a minimum of four hours, and no additional credit is 
received for periods served over eight hours.
    Standard of competence means the level of proficiency to be achieved 
for the proper performance of duties on board vessels in accordance with 
national and international criteria.
    STCW means the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995.
    STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code.
    STCW endorsement means a certificate or endorsement issued in 
accordance with STCW. An STCW endorsement issued by the Officer in 
Charge, Marine Inspection (OCMI), will be valid only when accompanied by 
the appropriate U.S. license or document; and, if the license or 
document is revoked, then the associated STCW endorsement is no longer 
valid for any purpose. References to STCW placed on a U.S. license or 
merchant mariner's document will suffice as STCW endorsements for the 
mariner serving on a vessel operating exclusively on a domestic voyage 
(i.e., to and from U.S. ports or places subject to U.S. jurisdiction).
    Underway means that a mobile offshore drilling unit is not in an on 
location or laid up status. Underway includes that period of time when 
the MODU is deploying or recovering its mooring system.
    Undocumented vessel means a vessel not required to have a document 
issued under the laws of the United States.
    Upper level means a category of deck and engineer licenses 
established for assessment of fees. Upper level licenses are those 
licenses for which the requirements are listed in Secs. 10.404 to 10.407 
of subpart D of this part and Secs. 10.510, 10.512, 10.514, and 10.516 
of subpart E of this part.
    Western Rivers means the Mississippi River, its tributaries, South 
Pass, and Southwest Pass, to the navigational demarcation lines dividing 
the high seas from harbors, rivers, and other inland waters of the 
United States, and the Port Allen-Morgan City Alternate Route, and that 
part of the Atchafalaya River above its junction with the Port Allen-
Morgan City Alternate Route including the Old River and the Red River, 
and those waters specified in 33 CFR 89.25.
    Year means 360 days, for the purpose of complying with the service 
requirements of this part.

[CGD 81-059 and CGD 81-059a, 52 FR 38623 and 38666, Oct. 16, 1987, as 
amended by CGD 87-017, 53 FR 18562, May 24, 1988; CGD 81-059, 54 FR 132, 
Jan. 4, 1989; CGD 81-059a, 55 FR 14798, Apr. 18, 1990; CGD 91-002, 58 FR 
15237, Mar. 19, 1993; CGD 91-223, 60 FR 4524, Jan. 23, 1995; CGD 91-212, 
60 FR 65483, Dec. 19, 1995; CGD 95-062, 62 FR 34529, June 26, 1997]



Sec. 10.105  Regional examination centers.

    Licensing and certification functions are performed only by the 
Officer in Charge, Marine Inspection, at the following locations:

Boston, MA
New York, NY
Baltimore, MD
Charleston, SC
Miami, FL
New Orleans, LA
Houston, TX
Memphis, TN
St. Louis, MO
Toledo, OH
Long Beach, CA
San Francisco, CA
Portland, OR
Seattle, WA
Anchorage, AK
Juneau, AK
Honolulu, HI



Sec. 10.107  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget under the Paperwork Reduction Act of 1980 (Pub. L. 
96-511) for the reporting and record keeping requirements in this part.
    (b) The following control numbers have been assigned to the sections 
indicated:
    (1) OMB 2115-0514--46 CFR 10.201, 10.202, 10.205, 10.207, 10.209, 
10.470, 10.472, 10.474, 10.542, and 10.544.
    (2) OMB 2115-0111--46 CFR 10.302, 10.303, 10.304, 10.480.
    (3) OMB 2115-0624--46 CFR 10.304 and 10.309.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
133, Jan. 4, 1989; CGD 81-059a, 55 FR 14799, Apr. 18, 1990; CGD 95-062, 
62 FR 34529, June 26, 1997]



Sec. 10.109  Fees.

    The following fees are required for license and registration 
activities in this part:
    (a) For licenses.
    (1) Upper level:
    (i) For evaluation for an original license, $87.

[[Page 106]]

    (ii) For evaluation for a license other than an original, including 
a raise in grade in a license, $70.
    (iii) For administration of an examination, including allowable 
retests, $150.
    (iv) For administration of a limited examination required under 
subpart D of this part, including allowable retests, $55.
    (v) For issuance of a license, $35.
    (2) Lower level:
    (i) For evaluation for an original license, $82.
    (ii) For evaluation for a license other than an original, including 
a raise in grade of a license, $65.
    (iii) For administration of an examination, including allowable 
retests, $80.
    (iv) For administration of a limited examination required under 
subpart D of this part, including allowable retests, $55.
    (v) For issuance of a license, $35.
    (3) Radio Officer:
    (i) For evaluation for an original license, $62.
    (ii) For evaluation for a license other than an original license, 
$45.
    (iii) For issuance of a license, $35.
    (b) For endorsements, except the radar observer endorsement, 
subsequent to the issuance of the license.
    (1) For evaluation for single or multiple endorsements, $45.
    (2) For administration of examinations, including allowable retests, 
$55.
    (3) For issuance of single or multiple endorsements to an existing 
license, $35.
    (c) For renewal of a license.
    (1) For evaluation for renewal of a license, $45.
    (2) For administration of an open-book exercise if required under 
Sec. 10.209 of this part, $55.
    (3) For issuance of a renewed license, $35.
    (4) For issuance of a renewed license, without evaluation or 
examination, for continuity purposes only, $35.
    (d) For Certificates of Registry.
    (1) For Chief Purser, Purser, and Senior Assistant Purser:
    (i) For evaluation of an unlicensed applicant for a certificate of 
registry, $62.
    (ii) For evaluation of an applicant who holds a license or 
certificate of registry issued under this part, $45.
    (iii) For issuance of a certificate of registry, $35.
    (2) For Junior Assistant Purser, Medical Doctor, and Professional 
Nurse:
    (i) For evaluation of an unlicensed applicant for a certificate of 
registry, $17.
    (ii) For evaluation of an applicant who holds a license or 
certificate of registry issued under this part, no fee.
    (iii) For issuance of a certificate of registry, $35.
    (3) For renewal of a Certificate of Registry:
    (i) For evaluation for renewal of a certificate of registry, no fee.
    (ii) For issuance of a renewed certificate of registry, $35.
    (e) For reissue of a license or certificate or registry issued in 
this part where a fee is required in Sec. 10.219, $35.
    (f) For endorsements to existing license, a raise in grade of a 
license, an additional license, or certificate of registry where further 
evaluations are not required, no evaluation fee.
    (g) For endorsements to an existing license, a raise in grade of a 
license, or an additional license where further examinations are not 
required, no examination fee.

[CGD 91-002, 58 FR 15237, Mar. 19, 1993; 58 FR 15901, Mar. 24, 1993, as 
amended by CGD 91-211, 59 FR 49297, Sept. 27, 1994]



Sec. 10.110  Fee payment procedures.

    (a) Unless otherwise directed, the prescribed fee must be paid as 
follows:
    (1) If an evaluation fee, at the time of application.
    (2) If an examination fee, prior to taking the first examination 
section.
    (3) If an issuance fee, prior to receiving the license or 
certificate of registry.
    (b) For examinations administered at locations other than a Regional 
Examination Center, the examination fee must be received by the Regional 
Examination Center at least one week in advance of the scheduled 
examination date, unless otherwise directed.
    (c) Prescribed fees must be paid by one of the following options:

[[Page 107]]

    (1) Mail-in. Payment by check or money order only, made payable to 
one of the following:
    (i) U.S. Coast Guard;
    (ii) U.S. Government;
    (iii) U.S. Treasury;
    (iv) U.S. Department of Transportation.
    Fee payment by check or money order must have the applicant's 
(payor's) social security number included thereon.
    (2) In-person. Fee payment will be accepted by cash, check, or money 
order at Coast Guard units where Regional Examination Centers are 
located. Where an applicant makes payment by cash, payment must be in 
the exact amount. A check or money order must be payable as specified in 
paragraph (c)(1) of this section.

[CGD 91-002, 58 FR 15237, Mar. 19, 1993]



Sec. 10.111  Penalties.

    (a) Anyone who fails to pay a fee or charge established under this 
subpart is liable to the United States Government for a civil penalty of 
not more than $5,000 for each violation.
    (b) The Coast Guard may assess additional charges to anyone to 
recover collection and enforcement costs associated with delinquent 
payments of, or failure to pay, a fee. Coast Guard licensing services 
may also be withheld from anyone pending payment of outstanding fees 
owed to the Coast Guard for services already provided by Regional 
Examination Centers.

[CGD 91-002, 58 FR 15237, Mar. 19, 1993]



Sec. 10.112  No-fee license for certain applicants.

    (a) For the purpose of this section, a no-fee license applicant is a 
person who is a volunteer, or part-time or full-time employee of an 
organization which is:
    (1) Charitable in nature;
    (2) Not for profit; and
    (3) Youth oriented.
    (b) An organization may submit a written request to Commandant (G-
MOC), 2100 Second Street SW., Washington, DC 20593-0001 in order to be 
considered an eligible organization under the criteria set forth in 
paragraph (a) of this section. With the written request, the 
organization must provide evidence of its status as a youth oriented, 
not for profit, charitable organization.

    Note: The following organizations are accepted by the Coast Guard as 
meeting the requirements of paragraph (a) of this section and need not 
submit evidence of their status: Boy Scouts of America, Sea Explorer 
Association, Girl Scouts of the United States of America, and Young 
Men's Christian Association of the United States of America.

    (c) A letter from an organization determined eligible under 
paragraph (b) of this section must also accompany the person's license 
application to the Coast Guard. The letter must state that the purpose 
of the person's application is solely to further the conduct of the 
organization's maritime activities. The applicant then is eligible under 
this section to obtain a no-fee license if other requirements for the 
license are met.
    (d) A marine license issued to a person under this section is 
endorsed restricting its use to vessels owned or operated by the 
sponsoring organization.
    (e) The holder of a no-fee license issued under this section may 
have the restriction removed by paying the appropriate evaluation, 
examination, and issuance fees that would have otherwise applied.

[CGD 91-002, 58 FR 15238, Mar. 19, 1993, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 96-041, 61 FR 50726, Sept. 27, 1996; CGD 97-
057, 62 FR 51042, Sept. 30, 1997]



  Subpart B--General Requirements for All Licenses and Certificates of 
                                Registry



Sec. 10.201  Eligibility for licenses and certificates of registry, general.

    (a) Each applicant shall establish to the satisfaction of the OCMI 
that he or she possesses all of the qualifications necessary (such as 
age, experience, character references and recommendations, physical 
health or competence and test for dangerous drugs, citizenship, approved 
training, passage of a professional examination, as appropriate, and, 
when required by this part, a practical demonstration of skills) before 
the OCMI will issue a license or certificate of registry.
    (b) No person who has been convicted by a court of record of a 
violation of

[[Page 108]]

the dangerous drug laws of the United States, the District of Columbia, 
or any State or territory of the United States is eligible for a license 
or certificate of registry, except as provided by the provisions of 
paragraph (h) of this section. No person who has ever been the user of, 
or addicted to the use of, a dangerous drug, or has ever been convicted 
of an offense described in section 205 of the National Driver Register 
Act of 1982 (49 U.S.C. 30304) due to the addiction or abuse of alcohol 
is eligible for a license or certificate of registry unless he or she 
furnishes satisfactory evidence of suitability for service in the 
merchant marine as provided in paragraph (j) of this section.
    (c) Except as provided in Sec. 10.464(i) of the part, an applicant 
for a license must demonstrate an ability to speak and understand 
English as found in the navigation rules, aids to navigation 
publications, emergency equipment instructions, machinery instructions, 
and radiotelephone communications instructions.
    (d) An applicant for a license must meet the requirements for recent 
service specified in Sec. 10.202(e).
    (e) No license or certificate of registry may be issued to any 
person who is not a citizen of the United States with the exception of 
operator of uninspected passenger vessels limited to vessels not 
documented under the laws of the United States.
    (f) Except as specified in this paragraph, no license or certificate 
of registry may be issued to a person who has not attained the age of 21 
years.
    (1) A license as master of near coastal, Great Lakes and inland, 
inland, or river vessels of 25-200 gross tons, third mate, third 
assistant engineer, mate of vessels of 200-1600 gross tons, ballast 
control operator, assistant engineer (MODU), assistant engineer of 
fishing industry vessels, second-class operator of uninspected towing 
vessel, radio officer, assistant engineer (limited-oceans), or 
designated duty engineer of vessels of not more than 4000 horsepower may 
be granted to an applicant who has reached the age of 19 years.
    (2) A license as limited master of near coastal vessels of not more 
than 100 gross tons, limited master of Great Lakes and inland vessels of 
not more than 100 gross tons, mate of Great Lakes and inland vessels of 
25-200 gross tons, mate of near coastal vessels of 25-200 gross tons, 
operator of uninspected passenger vessels, or designated duty engineer 
of vessels of not more than 1000 horsepower, may be granted to an 
applicant who has reached the age of 18 years.
    (g) Persons serving or intending to serve in the merchant marine 
service are recommended to take the earliest opportunity of 
ascertaining, through examination, whether their visual acuity, and 
color vision where required, are such as to qualify them for service in 
that profession. Any physical impairment or medical condition which 
would render an applicant incompetent to perform the ordinary duties of 
an officer at sea is cause for denial of a license.
    (h) Criminal Record Review. The OCMI may review the criminal record 
of an applicant for the issuance of a license or certificate of registry 
issued as an original or reissued with a new expiration date. An 
applicant conducting simultaneous merchant mariner's credential 
transactions shall undergo only one criminal record check. Applicants 
must provide written disclosure of all prior convictions at the time of 
application.
    (1) If the applicant is advised that a criminal record check is 
required by the OCMI, applicants shall provide their fingerprints at the 
time of application. The fingerprints will be used to determine whether 
the applicant has a record of a criminal conviction. An application may 
be disapproved if a criminal record review leads the OCMI to determine 
that the applicant's habits of life and character are such that the 
applicant cannot be entrusted with the duties and responsibilities of 
the license or certificate of registry for which application is made. If 
an application is disapproved, the OCMI will notify the applicant in 
writing of the reason(s) for disapproval and advise the applicant that 
the reconsideration and appeal procedures in Sec. 1.03 of this chapter 
apply. No examination will be given pending decision on appeal.
    (2) The OCMI may use table 10.201(h) to evaluate applicants for 
licenses and

[[Page 109]]

certificates of registry who have criminal convictions. The table lists 
major categories of criminal activity and is not to be construed as an 
all-inclusive list. If an applicant is convicted of an offense that does 
not appear on the list, the OCMI will establish an appropriate 
assessment period using the list as a guide. The assessment period 
commences when an applicant is no longer incarcerated. The applicant 
must establish proof of the time incarcerated and periods of probation 
and parole to the satisfaction of the OCMI. The assessment period may 
include supervised or unsupervised probation or parole. A conviction for 
a drug offense more than 10 years prior to the date of application will 
not alone be grounds for denial.
    (3) When an applicant has convictions for more than one offense, the 
minimum assessment period will be the longest minimum in table 10.201(h) 
and table 10.201(i) based upon the applicant's convictions; the maximum 
assessment period will be the longest shown in table 10.201(h) and table 
10.201(i) based upon the applicant's convictions.
    (4) If a person with a criminal conviction applies for a license or 
certificate of registry before the minimum assessment period shown in 
table 10.201(h), or established by the OCMI under paragraph (h)(2) of 
this section has elapsed, then the applicant must provide evidence of 
suitability for service in the merchant marine. Factors which are 
evidence of suitability for service in the merchant marine are listed in 
paragraph (j) of this section. The OCMI will consider the applicant's 
evidence and may issue the license or certificate of registry in less 
than the listed minimum assessment period if the OCMI is satisfied that 
the applicant is suitable to hold the license or certificate of registry 
for which he or she has applied. If an applicant does not provide 
evidence of suitability for service in the merchant marine, then the 
application will be considered incomplete and will not be processed by 
the OCMI.
    (5) If a person with a criminal conviction applies for a license or 
certificate of registry during the time between the minimum and maximum 
assessment periods shown in table 10.201(h) or established by the OCMI 
under paragraph (h)(2) of this section, the OCMI will consider the 
conviction and, unless there are offsetting factors, may grant the 
applicant the license or certificate of registry for which he or she has 
applied. Offsetting factors include multiple convictions, failure to 
comply with court orders (e.g., child support orders), previous failures 
at rehabilitation or reform, inability to maintain steady employment, or 
any connection between the crime and the safe operation of a vessel. If 
the OCMI considers the applicant unsuitable for service in the merchant 
marine at the time of application, the OCMI will disapprove the 
application.
    (6) If a person with a criminal conviction applies for a license or 
certificate of registry after the maximum assessment period shown in 
table 10.201(h) or established by the OCMI under paragraph (h)(2) of 
this section has elapsed, then the OCMI will grant the applicant the 
license or certificate of registry for which he or she has applied 
unless the OCMI has reason to believe the applicant is still unsuitable 
for service in the merchant marine. If the OCMI disapproves an 
application based upon a conviction older than the maximum assessment 
period, the OCMI will notify the applicant in writing of the reason(s) 
for the disapproval. The OCMI will also inform the applicant, in 
writing, that the reconsideration and appeal procedures contained in 
Sec. 1.03 of this chapter apply.

    Table 10.201(h)--Guidelines for Evaluating Applicants for Licenses and Certificates of Registry Who Have
                                              Criminal Convictions
----------------------------------------------------------------------------------------------------------------
                                                                      Assessment periods
                  Crime\1\                  --------------------------------------------------------------------
                                                          Minimum                            Maximum
----------------------------------------------------------------------------------------------------------------
                                             Crimes Against Persons
 
----------------------------------------------------------------------------------------------------------------
Homicide (intentional).....................  7 years..........................  20 years.
Homicide (unintentional)...................  5 years..........................  10 years.

[[Page 110]]

 
Assault (aggravated).......................  5 years..........................  10 years.
Assault (simple)...........................  1 year...........................  5 years.
Sexual Assault (rape, child molestation)...  5 years..........................  10 years.
Robbery....................................  5 years..........................  10 years.
Other crimes against persons \2\...........
 
----------------------------------------------------------------------------------------------------------------
                                             Crimes Against Property
 
----------------------------------------------------------------------------------------------------------------
Burglary...................................  3 years..........................  10 years.
Larceny (embezzlement).....................  3 years..........................  5 years.
Other crimes against property \2\..........
 
----------------------------------------------------------------------------------------------------------------
                                                Vehicular Crimes
 
----------------------------------------------------------------------------------------------------------------
Conviction involving fatality..............  1 year...........................  5 years.
Reckless Driving...........................  1 year...........................  2 years.
Racing on the Highways.....................  1 year...........................  2 years.
Other vehicular crimes \2\.................
 
----------------------------------------------------------------------------------------------------------------
                                          Crimes Against Public Safety
 
----------------------------------------------------------------------------------------------------------------
Destruction of Property....................  5 years..........................  10 years.
Other crimes against public safety \2\.....
 
----------------------------------------------------------------------------------------------------------------
                                       Crimes Involving National Security
 
----------------------------------------------------------------------------------------------------------------
Terrorism, Acts of Sabotage, Espionage and   7 years..........................  20 years.
 related offenses.
 
----------------------------------------------------------------------------------------------------------------
                                    Criminal Violations of Environmental Laws
 
----------------------------------------------------------------------------------------------------------------
Criminal violations of environmental laws    1 year...........................  10 years.
 involving improper handling of pollutants
 or hazardous materials.
 
----------------------------------------------------------------------------------------------------------------
                                         Dangerous Drug Offenses 3, 4, 5
 
----------------------------------------------------------------------------------------------------------------
Trafficking (sale, distribution, transfer).  5 years..........................  10 years.
Dangerous drugs (Use or possession)........  1 year...........................  10 years.
Other dangerous drug convictions \6\.......
----------------------------------------------------------------------------------------------------------------
\1\ Conviction of attempt, solicitation, aiding and abetting, accessory after the fact, and conspiracy to commit
  the criminal conduct listed in this table carry the same minimum and maximum assessment periods provided in
  the table.
\2\ Other crimes are to be reviewed by the OCMI to determine the minimum and maximum assessment periods
  depending on the nature of the crime.
\3\ Applicable only to original applications for licenses or CORs. Any applicant who has ever been the user of,
  or addicted to the use of, a dangerous drug shall meet the requirements of paragraph (b) of this section.
  Note: Applicants for reissue of a license or COR with a new expiration date including a renewal or a raise of
  grade, who have been convicted of a dangerous drug offense while holding a license or COR, may have their
  applications withheld until appropriate action has been completed by the OCMI under the regulations which
  appear in 46 CFR part 5 governing administrative actions against merchant mariner credentials.
\4\ The OCMI may consider dangerous drug convictions more than 10 years old only if there has been a dangerous
  drug conviction within the past 10 years.
\5\ Applicants must demonstrate rehabilitation under paragraph (j) of this section, including applicants with
  dangerous drug use convictions more than ten years old.
\6\ Other dangerous drug convictions are to be reviewed by the Officer in Charge, Marine Inspection on a case by
  case basis to determine the appropriate assessment periods depending on the nature of the offense.

    (i) National Driver Register. A license or certificate of registry 
will not be issued as an original or reissued with a new expiration date 
unless the applicant consents to a check of the NDR for offenses 
described in section 205(a)(3) (A) or (B) of the NDR Act (i.e., 
operation of a motor vehicle while under the influence of, or impaired 
by, alcohol or a controlled substance; and any traffic violations 
arising in connection with a fatal traffic accident, reckless driving, 
or racing on the highways). The OCMI will not consider

[[Page 111]]

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

  Table 10.201(i)--Guidelines for Evaluating Applicants for Licenses and Certificates of Registry Who Have NDR
                       Motor Vehicle Convictions Involving Dangerous Drugs or Alcohol \1\
----------------------------------------------------------------------------------------------------------------
        No. of convictions                      Date of conviction                      Assessment period
----------------------------------------------------------------------------------------------------------------
1................................  Less than 1 year...........................  1 year from date of conviction.
1................................  More than 1, less than 3 years.............  Application will be processed,
                                                                                 unless suspension or revocation
                                                                                 \2\ is still in effect.
                                                                                 Applicant will be advised that
                                                                                 additional conviction(s) may
                                                                                 jeopardize merchant mariner
                                                                                 credentials.
1................................  More than 3 years old......................  Not necessary unless suspension
                                                                                 or revocation is still in
                                                                                 effect.
2 or more........................  Any less than 3 years old..................  1 year since last conviction and
                                                                                 at least 3 years from 2nd most
                                                                                 recent conviction, unless
                                                                                 suspension or revocation is
                                                                                 still in effect.
2 or more........................  All more than 3 years old..................  Application will be processed
                                                                                 unless suspension or revocation
                                                                                 is still in effect.
----------------------------------------------------------------------------------------------------------------
\1\ Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug shall meet the
  requirements of paragraph (b) of this section.
\2\ Suspension or revocation, when referred to in table 10.201(i), means a State suspension or revocation of a
  motor vehicle operator's license.

    (j) If an applicant has one or more alcohol or dangerous drug 
related criminal or NDR listed convictions; if the applicant has ever 
been the user of, or

[[Page 112]]

addicted to the use of, a dangerous drug; or if the applicant applies 
before the minimum assessment period for his or her conviction has 
elapsed; the OCMI may consider the following factors, as applicable, in 
assessing the applicant's suitability to hold a license or certificate 
of registry. This list is intended as a guide for the OCMI. The OCMI may 
consider other factors which he or she judges appropriate to a 
particular applicant, such as:
    (1) Proof of completion of an accredited alcohol- or drug-abuse 
rehabilitation program.
    (2) Active membership in a rehabilitation or counseling group, such 
as Alcoholics Anonymous or Narcotics Anonymous.
    (3) Character references from persons who can attest to the 
applicant's sobriety, reliability, and suitability for employment in the 
merchant marine including parole or probation officers.
    (4) Steady employment.
    (5) Successful completion of all conditions of parole or probation.

[CGD 81-059 and CGD 81-059a, 52 FR 38623 and 38666, Oct. 16, 1987, as 
amended by CGD 81-059, 54 FR 133, Jan. 4, 1989; CGD 81-059a, 55 FR 
14799, Apr. 18, 1990; CGD 91-223, 60 FR 4524, Jan. 23, 1995; CGD 91-212, 
60 FR 65484, Dec. 19, 1995; CGD 95-062, 62 FR 34529, June 26, 1997]



Sec. 10.202  Issuance of licenses, certificates of registry, and STCW certificates or endorsements.

    (a) Applications for original licenses, original certificates of 
registry, raises of grade, extensions of route, or endorsements must be 
current and up-to-date with respect to service and the physical 
examination, as appropriate. Physical examinations and approved 
applications are valid for 12 months.
    (b) Any person who is found qualified under the requirements set 
forth in this part is issued an appropriate license or certificate of 
registry valid for a term of 5 years from date of issuance. Any license 
or certificate of registry which is renewed or upgraded prior to its 
expiration date automatically becomes void upon issuance of the 
replacement license or certificate of registry.
    (c) A license or certificate of registry is not valid until signed 
by the applicant and the OCMI (or the OCMI's designated representative).
    (d) Every person who receives an original license or certificate of 
registry shall take an oath before a designated Coast Guard official 
that he or she will faithfully and honestly, according to his or her 
best skill and judgment, without concealment or reservation, perform all 
the duties required by law and obey all lawful orders of superior 
officers. Such an oath remains binding for all subsequent licenses or 
certificates of registry issued to that person unless specifically 
renounced in writing.
    (e) The applicant for any original license, endorsement, or raise of 
grade of license must have at least three months' qualifying service on 
vessels of appropriate tonnage or horsepower within the three years 
immediately preceding the date of application.
    (f) Any applicant whose uncorrected vision exceeds 20/40 in either 
eye for deck licenses or 20/50 in either eye for engineer, radio 
officer, offshore installation manager, barge supervisor, or ballast 
control operator licenses may not serve under the authority of the 
license unless corrective lenses are worn and spare lenses are carried 
on board a vessel while serving. (Not applicable to staff officers).
    (g) If an Officer in Charge, Marine Inspection, refuses to grant an 
applicant the license or certificate of registry for which applied, the 
OCMI will furnish the applicant, if requested, a written statement 
setting forth the cause of denial.
    (h) The Officer in Charge, Marine Inspection, may modify the service 
and examination requirements in this part to satisfy the unique 
qualification requirements of an applicant. The Officer in Charge, 
Marine Inspection, may also lower the age requirement for operator of 
uninspected passenger vessels license applicants. The authority granted 
by a license will be restricted on its face to reflect any modifications 
made under the authority of this paragraph. Such restrictions shall not 
be removed without the approval of the OCMI issuing the license.
    (i) To obtain an original issuance or a renewal of a license or a 
certificate of registry, a raise in grade of a license,

[[Page 113]]

or a higher grade of certificate of registry each applicant shall 
produce evidence of having passed a chemical test for dangerous drugs or 
of qualifying for an exception from testing in Sec. 16.220 of this 
subchapter. An applicant who fails a chemical test for dangerous drugs 
will not be issued a license or certificate of registry.
    (j) When an original license is issued, renewed, upgraded, or 
otherwise modified, the OCMI will determine whether the holder of the 
license needs to hold an STCW certificate or endorsement for service on 
a seagoing vessel and then, if the holder is qualified, will issue the 
appropriate certificate or endorsement. The OCMI will also issue an STCW 
certificate or endorsement at other times, if circumstances so require 
and if the holder of the license is qualified to hold the certificate or 
endorsement.
    (k) Notwithstanding Sec. 10.205 (l), (m), (n), (o), and (p), 
Sec. 10.304, and Sec. 10.901, each mariner found qualified to hold any 
of the following licenses will also be entitled to hold an STCW 
certificate or endorsement corresponding to the service or other 
limitations on the license, because the vessels concerned are not 
subject to further obligation under STCW, on account of their special 
operating conditions as small vessels engaged in domestic voyages:
    (1) Master's, mate's, or engineer's license for service on small 
passenger vessels that are subject to subchapter T or K of title 46, 
Code of Federal Regulations (CFR), and that operate beyond the boundary 
line.
    (2) Master's, mate's, or engineer's license for service on seagoing 
vessels of less than 200 gross register tons (GRT), other than passenger 
vessels subject to subchapter H of title 46, CFR.
    (l) Neither any person serving on any of the following vessels, nor 
any owner or operator of any of these vessels, need hold STCW 
certificates or endorsements, because they are exempt from application 
of STCW:
    (1) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (3) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (4) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (5) Vessels operating exclusively on the Great Lakes or the inland 
waters of the U.S. in the straits of Juan de Fuca inside passage.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 53 FR 
133, Jan. 4, 1989; CGD 91-211, 59 FR 49297, Sept. 27, 1994; CGD 91-223, 
60 FR 4524, Jan. 23, 1995; CGD 95-062, 62 FR 34529, June 26, 1997; CGD 
95-062, 62 FR 40140, July 25, 1997; CGD 95-062, 62 FR 40281, July 28, 
1997; CGD 95-028, 62 FR 51195, Sept. 30, 1997]



Sec. 10.203  Quick reference table for license and certificate of registry requirements.

    Table 10.203 provides a guide to the requirements for various 
licenses and certificates of registry. Provisions in the reference 
section are controlling.

[[Page 114]]



                                                                                          Table 10.203
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                         Recommendations                      Professional
       License category            Minimum age       Citizenship        Physical         Experience       and character     Firefighting          exam           Recency of       First aid and
                                                     requirement        required        requirements          check          certificate      requirements         Service      CPR requirements
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Masters/mates and operators of  21; 10.201(f);    Yes, 10.201(e);   Yes, 10.205(d);   Yes, 10.205(e);   Yes, 10.205(f)..  Yes, 10.205(g);   Yes, 10.205(i),   Yes, 3 months     Yes, in
 uninspected passenger vessels   Note:             Note: exception.  Note: (d)(2).     subpart D.                          Note:             10.910; Note:     past 36 months,   10.205(h).
 (original license).             exceptions.                                                                               exceptions.       10.903(b).        10.202(e).
Engineers (original license)..  21;10.201(f);     Yes.............  Yes, 10.205(d);   10.205(e);        Yes, 10.205(f);.  Yes, 10.205(g)..  Yes, 10.205(i)    Yes, 3 months in  Yes, 10.205(h).
                                 Note:                               Note: (d)(3).     subpart E.                                            10.950.           past 36 months,
                                 exceptions.                                                                                                                   10.202(e).
All raises of grade...........  21; 10.201(f);    Yes.............  10.207(e); Note:  10.207(c);        N/A.............  Yes, Note:        10.207(d).        Yes, 3 months in  N/A.
                                 Note:                               (e)(1).           subparts D & E.                     10.207(f).        10.910. 10.920.   past 36 months
                                 exceptions.                                                                                                 10.950.           10.202(e).
License renewals..............  N/A.............  Yes.............  10.209(d).......  10.209(c).......  N/A.............  N/A.............  10.209(c).......  10.209(c).......  N/A.
COR renewals..................  N/A.............  Yes.............  No..............  10.209(c)(5)....  N/A.............  N/A.............  N/A.............  N/A.............  N/A.
Pilot.........................  21..............  Yes.............  Yes, 10.709.....  10.703,           Yes, 10.205(f)..  N/A.............  10.707, 10.910..  Yes, 10.703,      Yes, 10.205(h).
                                                                                       10.706(a),                                                              10.705(e),
                                                                                       10.715.                                                                 10.713.
Uninspected fishing industry    21; 10.201(f);    Yes.............  Yes, 10.205(d);   Deck: 10.462,     Yes, 10.205(f)..  Yes, 10.205(g)..  Yes, 10.205(i).   Yes, 3 months in  Yes, 10.205(h).
 vessels.                        Note:                               Note: (d)(2) or   Eng: 10530,                                           10.910.           past 36 months
                                 exceptions.                         (d)(3).           10.205(f).                                            10.950(oral).     10.202(e).
Uninspected towing vessels....  Operator:21; 2/c  Yes.............  Yes, 10.205(d);   10.464..........  Yes, 10.205(f)..  Yes, 10.205(g)    Yes, 10.205(i).   Yes, 3 months in  Yes, 10.205(h).
                                 operator: 19.                       Note: (d)(2).                                         oceans.           10.910.           past 36 months,
                                                                                                                                                               10.202(e).
Radio officer.................  19..............  Yes.............  Yes, 10.205(d);   10.603..........  Yes, 10.205(f)..  N/A.............  N/A.............  N/A.............  Yes, 10.205(h).
                                                                     Note: (d)(3).
Staff officer.................  21..............  Yes.............  No..............  10.807..........  Yes, 10.205(f)..  N/A.............  N/A.............  N/A.............  N/A.
Offshore installation manager,  21; 10201(f);     Yes.............  Yes, 10.205(d);   Deck: 10.468,     Yes, 10.205(f)..  Yes, 10.205(g)..  Yes, 10.205(i).   Yes, 3 months in  Yes, 10.205(h).
 barge supervisor, ballast       Note:                               Note: (d)(3).     Eng: 10.540.                                          10.920.           past 36 months,
 control operator.               exceptions.                                                                                                                   10.202(e).
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------


[CGD 91-211, 59 FR 49297, Sept. 27, 1994; CGD 91-211, 59 FR 50964, Oct. 6, 1994]
 


[[Page 115]]



Sec. 10.204  Right of appeal.

    Any person directly affected by a decision or action taken under 
this part, by or on behalf of the Coast Guard, may appeal therefrom in 
accordance with subpart 1.03 of this chapter.

[CGD 88-033, 54 FR 50379, Dec. 6, 1989]



Sec. 10.205  Requirements for original licenses, certificates of registry, and STCW certificates and endorsements.

    (a) General. The applicant for an original license or certificate of 
registry shall present satisfactory documentary evidence of eligibility 
in respect to the requirements of this section. Each applicant shall 
make written application on a Coast Guard furnished form and, unless 
exempted under Sec. 10.112, submit the evaluation fee set out in 
Sec. 10.109.
    (b) Minimum age. The applicant shall present satisfactory proof of 
age as prescribed in Sec. 10.201(f). This evidence may be any of the 
items submitted to establish citizenship.
    (c) Citizenship. (1) The OCMI may reject any evidence of citizenship 
that is not believed to be authentic. Acceptable evidence of citizenship 
may be an original or certified copy of the following:
    (i) Birth certificate or birth registration.
    (ii) Certificate of naturalization (original must be presented; 
photocopies are unlawful).
    (iii) Baptismal certificate or parish record recorded within one 
year after birth.
    (iv) Statement of a practicing physician certifying attendance at 
the birth and who possesses a record showing the date and location at 
which it occurred.
    (v) State Department passport.
    (vi) A merchant mariner's document issued by the Coast Guard which 
shows the holder as a United States citizen.
    (vii) Delayed certificate of birth issued under a state seal in the 
absence of any collateral facts indicating fraud in its procurement.
    (viii) Certificate of Citizenship issued by the United States 
Immigration and Naturalization Service.
    (2) If none of the requirements set forth in paragraphs (c)(1)(i) 
through (c)(1)(viii) of this section can be met by the applicant, the 
individual shall make a statement to that effect, and may submit data of 
the following character for consideration:
    (i) Report of the Census Bureau showing the earliest available 
record of age or birth. Request for such information should be addressed 
to the Personal Census Service Branch, Bureau of the Census, Pittsburgh, 
KS 66762. In making such request, the use of Form BC-600, Application 
for Search of Census Records, furnished by the Bureau is required.
    (ii) Affidavits of parents, relative, or two or more responsible 
citizens of the United States stating citizenship.
    (iii) School records, immigration records, or insurance policies.
    (d) Physical examination. (1) All applicants for an original license 
must pass an examination given by a licensed physician or a licensed 
physician assistant and present to the OCMI a completed Coast Guard 
physical examination form, or the equivalent, executed by the physician. 
This form must provide information on the applicant's acuity of vision, 
color sense, and general physical condition. This examination must have 
been completed prior to submission of the application and not more than 
12 months prior to issuance of the license. (Physical examinations are 
not required for staff officers.)
    (2) For an original license as master, mate, pilot, or operator, the 
applicant must have vision correctable to at least 20/40 in each eye and 
uncorrected vision of at least 20/200 in each eye. The color sense must 
be determined to be satisfactory when tested by any of the following 
methods, without the use of color sensing lenses:
    (i) Pseudoisochromatic Plates (Dvorine, 2nd Edition; AOC; revised 
edition or AOC-HRR; Ishihara 16-, 24-, or 38-plate editions).
    (ii) Eldridge--Green Color Perception Lantern.
    (iii) Farnsworth Lantern.
    (iv) Keystone Orthoscope.
    (v) Keystone Telebinocular.
    (vi) SAMCTT (School of Aviation Medicine Color Threshold Tester).
    (vii) Titmus Optical Vision Tester.
    (viii) Williams Lantern.
    (3) For an original license as engineer, radio officer, offshore 
installation

[[Page 116]]

manager, barge supervisor or ballast control operator, the applicant 
must have correctable vision of at least 20/50 in each eye and 
uncorrected vision of at least 20/200 in each eye. Applicants need only 
to have the ability to distinguish the colors red, green, blue and 
yellow.
    (4) Where an applicant does not possess the vision, hearing, or 
general physical condition necessary, the OCMI, after consultation with 
the examining physician or physician's assistant, may recommend a waiver 
to the Commandant if extenuating circumstances warrant special 
consideration. Applicants may submit to the OCMI, additional 
correspondence, records and reports in support of this request. In this 
regard, recommendations from agencies of the Federal Government 
operating government vessels, as well as owners and operators of private 
vessels, made in behalf of their employees, will be given full 
consideration. Waivers are not normally granted to an applicant whose 
corrected vision in the better eye is not at least 20/40 for deck 
licenses or 20/50 for engineer licenses.
    (e) Experience or training. (1) All applicants for original licenses 
and certificates of registry shall present to the OCMI, letters, 
discharges, or other documents certifying the amount and character of 
their experience and the names, tonnage and horsepower of the vessels on 
which acquired. The OCMI must be satisfied as to the authenticity and 
acceptability of all evidence of experience or training presented. 
Certificates of discharge are returned to the applicant. The OCMI shall 
note on the application that service represented by these documents has 
been verified. All other documentary evidence of service, or authentic 
copies thereof, are filed with the application. A license is not 
considered as satisfactory evidence of any qualifying experience.
    (2) No original license or certificate of registry may be issued to 
any naturalized citizen on less experience in any grade or capacity than 
would have been required of a citizen of the United States by birth.
    (3) Experience and service acquired on foreign vessels is creditable 
for establishing eligibility for an original license, subject to 
evaluation by the OCMI to determine that it is a fair and reasonable 
equivalent to service acquired on merchant vessels of the United States, 
with respect to grade, tonnage, horsepower, waters, and operating 
conditions. An applicant who has obtained qualifying experience on 
foreign vessels shall submit satisfactory documentary evidence of such 
service (including any necessary translation into English) in the forms 
prescribed by paragraph (e)(1) of this section.
    (4) No applicant for an original license who is a naturalized 
citizen, and who has obtained experience on foreign vessels, will be 
given an original license in a grade higher than that upon which he or 
she has actually served while acting under the authority of a foreign 
license.
    (f) Character check and references. (1) Each applicant for an 
original license shall submit written recommendations concerning the 
applicant's suitability for duty from a master and two other licensed 
officers of vessels on which the applicant has served. For a license as 
engineer or as pilot, at least one of the recommendations must be from 
the chief engineer or licensed pilot, respectively, of a vessel on which 
the applicant has served. For a license as engineer where service was 
obtained on vessels not carrying a licensed engineer and for a license 
as operator of uninspected towing vessels, the recommendations may be by 
recent marine employers with at least one recommendation from a master, 
operator, or person in charge of a vessel upon which the applicant has 
served. For a license as offshore installation manager, barge 
supervisor, or ballast control operator, at least one recommendation 
must be from an offshore installation manager of a unit on which the 
applicant has served. Where an applicant qualifies for a license through 
an approved training school, one of the character references must be an 
official of that school. For a license for which no commercial 
experience may be required, such as: Master or mate 25-200 gross tons, 
operator of uninspected passenger vessels, radio officer or certificate 
of registry, the applicant may have the written recommendations of three 
persons who

[[Page 117]]

have knowledge of the applicant's suitability for duty.
    (2) The OCMI may review the criminal record check of each applicant 
for an original license or certificate of registry according to the 
procedures set forth in Sec. 10.201(h).
    (3) A person may apply for an original license, or license of a 
different type, while on probation as a result of administrative action 
under part 5 of this chapter. The offense for which the applicant was 
placed on probation will be considered in determining his or her fitness 
to hold the license applied for. A license issued to an applicant on 
probation will be subject to the same probationary conditions as were 
imposed against the applicant's other license or mariner's document. An 
applicant may not take an examination for a license during any period 
when a suspension without probation or a revocation is effective against 
the applicant's currently held license or mariner's document, or while 
an appeal from these actions is pending.
    (4) In the event a license or certificate of registry has already 
been issued when information about the applicant's habits of life and 
character is brought to the attention of the OCMI, if such information 
warrants the belief that the applicant cannot be entrusted with the 
duties and responsibilities of the license or certificate of registry 
issued, or if such information indicates that the application for the 
license or certificate of registry was false or incomplete, the OCMI may 
notify the holder in writing that the license or certificate of registry 
is considered null and void, direct the holder to return it to the OCMI, 
and advise the holder that, upon return of the license or certificate of 
registry, the appeal procedures of Sec. 10.204 of this part apply.
    (g) Firefighting certificate. Applicants for the licenses in the 
following categories must present a certificate of completion from a 
firefighting course of instruction which has been approved by the 
Commandant. The course must meet both the basic and advanced sections of 
the International Maritime Organization's (IMO) Resolution A.437 (XI) 
Training of Crews in Firefighting. The course must have been completed 
within five years before the date of application for the license 
requested.
    (1) Master's license for service on vessels of 200 gross tons or 
less in ocean service.
    (2) All master or mate's licenses for over 200 gross tons.
    (3) All operators of uninspected towing vessels, oceans (domestic 
trade).
    (4) All licenses on mobile offshore drilling units.
    (5) All engineer's licenses.
    (h) First aid and cardiopulmonary resuscitation (CPR) course 
certificates. All applicants for an original license or certificate of 
registry, except as provided in Secs. 10.429, 10.456, and 10.466 of this 
part, must present to the OCMI:
    (1) A certificate indicating completion of a first aid course within 
the past 12 months from:
    (i) The American National Red Cross Standard First Aid and Emergency 
Care or Multi-media Standard First Aid course;
    (ii) A Coast Guard approved first aid training course; or,
    (iii) A course the OCMI determines meets or exceeds the standards of 
the American Red Cross courses; and,
    (2) A currently valid certificate of completion of a CPR course 
from:
    (i) The American National Red Cross;
    (ii) The American Heart Association;
    (iii) A Coast Guard approved CPR training course; or,
    (iv) A course the OCMI determines meets or exceeds the standards of 
the American Red Cross or American Heart Association courses.
    (i) Professional Examination. (1) When the OCMI finds the 
applicant's experience and training to be satisfactory and the applicant 
is eligible in all other respects, the OCMI will authorize the 
examination in accordance with the following requirements:
    (i) Any applicant for a deck or engineer license limited to vessels 
not exceeding 500 gross tons, or a license limited to uninspected 
fishing-industry vessels, may request an oral-assisted examination in 
lieu of any written or other textual examination. If there are textual 
questions that the applicant has difficulty reading and understanding, 
the OCMI will offer the oral-assisted examination. Each license based

[[Page 118]]

on an oral-assisted examination is limited to the specific route and 
type of vessel upon which the applicant obtained the majority of 
service.
    (ii) The general instructions for administration of examinations and 
the lists of subjects for all licenses appear in Subpart I of this part. 
The OCMI will place in the applicant's file a record indicating the 
subjects covered.
    (2) When the license application of any person has been approved, 
the applicant should take the required examination as soon as 
practicable. If the applicant cannot be examined without delay at the 
office where the application is made, the applicant may request that the 
examination be given at another office.
    (3) The qualification requirements for radar observer are contained 
in Sec. 10.480.
    (4) An examination is not required for a license as radio officer or 
a certificate of registry.
    (j) Chemical testing for dangerous drugs. To obtain a license or 
certificate of registry each applicant shall produce evidence of having 
passed a chemical test for dangerous drugs or of qualifying for an 
exception from testing in Sec. 16.220 of this subchapter. An applicant 
who fails a chemical test for dangerous drugs will not be issued a 
license or certificate of registry.

    (k) National Driver Register. Each applicant for an original license 
or certificate of registry shall consent to an NDR check under 
Sec. 10.201(i).
    (l) Basic safety training or instruction. After January 31, 1997, 
except as provided in Sec. 10.202, an STCW certificate or endorsement 
valid for any period on or after February 1, 2002, will be issued only 
when the candidate provides evidence of having achieved or, if training 
has been completed, having maintained the minimum standards of 
competence for the following 4 areas of basic safety within the previous 
5 years upon assessment of a practical demonstration of skills and 
abilities:
    (1) Personal survival techniques as set out in table A-VI/1-1 of the 
STCW Code.
    (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code.
    (m) Competence in the use of Automatic Radar-Plotting Aids (ARPA). 
(1) Subject to paragraph (m)(2) of this section, and except as otherwise 
provided in Sec. 10.202, each candidate for an STCW certificate or 
endorsement as master or mate, to be valid on or after February 1, 2002, 
for service on vessels in ocean or near-coastal service, shall present a 
certificate of completion from an approved course or from accepted 
training on an ARPA simulator. The course or training must be sufficient 
to establish that the applicant is competent to maintain safe navigation 
through the proper use of ARPA, by correctly interpreting and analyzing 
the information obtained from that device and taking into account both 
the limitations of the equipment and the prevailing circumstances and 
conditions. The simulator used in the course or training must meet or 
exceed the performance standards established under STCW Regulation I/12 
of the 1995 Amendments.
    (2) Training and assessment in the use of ARPA are not required for 
mariners serving exclusively on vessels not fitted with ARPA. However, 
when any mariner so serving has not completed it, his or her STCW 
certificate or endorsement will be endorsed to indicate this limitation.
    (n) Certificate for operator of radio in the Global Maritime 
Distress and Safety System (GMDSS). (1) Subject to paragraph (n)(2) of 
this section, and except as otherwise provided by Sec. 10.202, each 
candidate for an STCW certificate or endorsement as master or mate, to 
be valid on or after February 1, 2002, for service in vessels in ocean 
or near-coastal service, shall present--
    (i) A certificate for operator of radio in the GMDSS issued by the 
Federal Communication Commission (FCC); and
    (ii) A certificate of completion from a Coast Guard-approved or 
accepted course for operator of radio in the GMDSS or from another 
approved or accepted program of training and assessment covering the 
same areas of

[[Page 119]]

competence. The course or program must be sufficient to establish that 
the applicant is competent to perform radio duties on a vessel 
participating in the GMDSS and meets the standard of competence under 
STCW Regulation IV/2.
    (2) Paragraph (n)(1) of this section does not apply to a candidate 
intending to serve only as a pilot, or intending to serve only on 
vessels not required to comply with the provisions of the GMDSS in 
Chapter IV of the Convention for the Safety of Life at Sea, 1974, as 
amended (SOLAS).
    (3) Each candidate presenting a certificate described in paragraph 
(n)(1) of this section may have his or her STCW certificate suitably 
endorsed with his or her GMDSS qualification.
    (o) Procedures for bridge team work. Except as otherwise provided by 
Sec. 10.202, each candidate for an STCW certificate or endorsement as 
master or mate, to be valid on or after February 1, 2002, for service on 
vessels in ocean or near-coastal service, shall present sufficient 
documentary proof that he or she understands and can effectively apply 
procedures for bridge team work as an essential aspect of maintaining a 
safe navigational watch, taking into account the principles of bridge-
resource management enumerated in Section B-VIII/2 of the STCW Code.
    (p) Practical demonstration of skills. Each candidate for an 
original license shall successfully complete any practical 
demonstrations required under this part and appropriate to the 
particular license concerned, to prove that he or she is sufficiently 
proficient in skills required under subpart I of this part. The OCMI 
must be satisfied as to the authenticity and acceptability of all 
evidence that each candidate has successfully completed the 
demonstrations required under this part in the presence of a designated 
examiner. The OCMI will place in the file of each candidate a written or 
electronic record of the skills required, the results of the practical 
demonstrations, and the identification of the designated examiner in 
whose presence the requirements were fulfilled.

[CGD 81-059 and CGD 81-059a, 52 FR 38623 and 38666, Oct. 16, 1987, as 
amended by CGD 81-059, 54 FR 133, Jan. 4, 1989; CGD 81-059a, 55 FR 
14799, Apr. 18, 1990; CGD 91-002, 58 FR 15238, Mar. 19, 1993; CGD 91-
223, 60 FR 4524, Jan. 23, 1995; CGD 91-212, 60 FR 65486, Dec. 19, 1995; 
CGD 94-029, 61 FR 47063, Sept. 6, 1996; CGD 95-062, 62 FR 34530, June 
26, 1997; CGD 95-062, 62 FR 40281, July 28, 1997]



Sec. 10.207  Requirements for raises of grades of licenses.

    (a) General. Before any person is issued a raise of grade of 
license, the applicant shall present satisfactory documentary evidence 
of eligibility. Each applicant shall make written application on a Coast 
Guard furnished form and, unless exempted under Sec. 10.112, submit the 
evaluation fee set out in Sec. 10.109.
    (b) Surrendering old license. Upon the issuance of a new license for 
raise of grade, the applicant shall surrender the old license to the 
OCMI. If requested, the old license is returned to the applicant after 
cancellation.
    (c) Age, experience, training, and assessment. (1) Each applicant 
for a raise of grade of license shall establish that he or she possesses 
the age, experience, and training necessary, and has been examined and 
otherwise assessed as may be required by this part to establish 
competence to hold the particular license requested, before he or she is 
entitled to a raise in grade of license.
    (2) Applicants for raise of grade of license shall present to the 
OCMI at a Regional Examination Center, letters, discharges, or other 
official documents certifying to the amount and character of their 
experience and the names of the vessels on which acquired. Certificates 
of discharge are returned to the applicant after review by the OCMI. All 
other documentary evidence of service, or copies thereof, are filed with 
the application.
    (3) Sea service acquired prior to the issuance of the license held 
is generally not accepted as any part of the service required for raise 
of grade of that license. However, service acquired prior to issuance of 
a license will be accepted

[[Page 120]]

for certain crossovers, endorsements or increases in scope of a license, 
as appropriate. In the limited tonnage categories for deck licenses, 
total accumulated service is a necessary criterion for most raises in 
grade; service acquired prior to the issuance of such licenses will, 
therefore, be accepted.
    (4) No raise of grade of license may be issued to any naturalized 
citizen on less experience in any grade than would have been required of 
a citizen of the United States by birth.
    (5) Experience and service acquired on foreign vessels while holding 
a valid U. S. license is creditable for establishing eligibility for a 
raise of grade, subject to evaluation by the OCMI to determine that it 
is a fair and reasonable equivalent to service acquired on merchant 
vessels of the United States, with respect to grade, tonnage, 
horsepower, waters and operating conditions. An applicant who has 
obtained the qualifying experience on foreign vessels shall submit 
satisfactory documentary evidence of such service (including any 
necessary translations into English) in the forms prescribed by 
paragraph (c)(2) of this section.
    (6) An applicant remains eligible for a raise of grade of license 
while on probation as a result of action under part 5 of this chapter. A 
raise of grade of license issued to a person on probation will be 
subject to the same probationary conditions imposed against the 
applicant's other certificates or licenses. The offense for which he or 
she was placed on probation will be considered on the merits of the case 
in determining fitness to hold the license applied for. No applicant 
will be examined for a raise of grade of license during any period when 
a suspension without probation or a revocation imposed under part 5 of 
this chapter is effective against the applicant's license or certificate 
or while an appeal from these actions is pending.
    (d) Professional Examination. (1)(i) When the OCMI finds an 
applicant's experience and training for raise of grade to be 
satisfactory and the applicant is eligible in all other respects, the 
OCMI will authorize the examination. Oral-assisted examinations may be 
administered in accordance with Sec. 10.205(i)(1). The OCMI will place 
in the applicant's file a record indicating the subjects covered.
    (ii) The general instructions for administration of examinations and 
the lists of subjects for all licenses appear in Subpart I of this part.
    (2) The qualification requirements for radar observer are contained 
in Sec. 10.480.
    (e) Physical requirements. (1) An applicant for raise of grade of a 
license who has not had a physical examination for an original license 
or renewal of license within three years must submit a certification by 
a licensed physician or physician assistant that he or she is in good 
health and has no physical impairment or medical condition which would 
render him or her incompetent to perform the ordinary duties of the 
license applied for.
    (2) If the OCMI has reason to believe that an applicant for raise of 
grade of license suffers from some physical impairment or medical 
condition which would render the applicant incompetent to perform the 
ordinary duties of that license, the applicant may be required to submit 
the results of an examination by a licensed physician or physician 
assistant that meets the requirements for an original license.
    (3) An applicant who has lost the sight of one eye may obtain a 
raise of grade of license, provided that the applicant is qualified in 
all other respects and that the visual acuity in the one remaining eye 
passes the test required under Sec. 10.205(d).
    (f) Firefighting certificate. Applicants for raise of grade of 
license who have not previously met the requirements in Sec. 10.205(g), 
must do so.
    (g) Chemical testing for dangerous drugs. To obtain a raise of grade 
of a license each applicant shall produce evidence of having passed a 
chemical test for dangerous drugs or of qualifying for an exception from 
testing in Sec. 16.220 of this subchapter.
    (h) Criminal Record Review. Each applicant for a raise of grade may 
be required to submit to a criminal record check under Sec. 10.201(h).
    (i) National Driver Register. Each applicant for a raise of grade of 
a license shall consent to an NDR check under

[[Page 121]]

Sec. 10.201(i) if the license is reissued with a new expiration date.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
134, Jan. 4, 1989; CGD 91-002, 58 FR 15238, Mar. 19, 1993; CGD 91-223, 
60 FR 4524, Jan. 23, 1995; CGD 91-212, 60 FR 65486, Dec. 19, 1995; CGD 
94-029, 61 FR 47063, Sept. 6, 1996; CDG 95-062, 62 FR 34530, June 26, 
1997]



Sec. 10.209  Requirements for renewal of licenses, certificates of registry, and STCW certificates and endorsements.

    (a) General. Except as provided in paragraph (g) of this section, an 
applicant for renewal of a license or certificate of registry shall 
establish possession of all of the necessary qualifications before the 
license or certificate of registry is issued.
    (1) Each application must be on a Coast Guard furnished form and be 
accompanied by the evaluation fee set out in Sec. 10.109. An approved 
application is valid for 12 months.
    (2) The applicant may apply in person at any Regional Examination 
Center listed in Sec. 10.105 or may renew the license or certificate of 
registry by mail under paragraph (e)(3) of this section.
    (3) The applicant shall submit the original or a photocopy of the 
license or certificate of registry to be renewed. A photocopy will 
include the back and all attachments. If requested, the old license or 
certificate of registry will be returned to the applicant.
    (b) Fitness. No license or certificate of registry will be renewed 
if it has been suspended without probation or revoked as a result of 
action under part 5 of this chapter, or facts that would render a 
renewal improper have come to the attention of the Coast Guard.
    (c) Professional requirements. (1) In order to renew a license as 
master, mate, engineer, pilot, or operator, the applicant shall:
    (i) Present evidence of at least 1 year of sea service during the 
past 5 years;
    (ii) Pass a comprehensive, open-book exercise covering the general 
subject matter contained in appropriate sections of subpart I of this 
part;
    (iii) Complete an approved refresher training course; or
    (iv) Present evidence of employment in a position closely related to 
the operation, construction or repair of vessels (either deck or 
engineer as appropriate) for at least 3 years during the past 5 years. 
An applicant for a deck license with this type of employment must also 
demonstrate knowledge on an applicable Rules of the Road exercise.
    (2) The qualification requirements for renewal of radar observer 
endorsement are in Sec. 10.480.
    (3) Additional qualification requirements for renewal of a license 
as pilot are contained in Sec. 10.713.
    (4) An applicant for renewal of a radio officer's license shall, in 
addition to meeting the requirements of paragraphs (a) and (b) of this 
section, present a currently valid license as first- or second-class 
radiotelegraph operator issued by the Federal Communications Commission. 
This license will be returned to the applicant.
    (5) An applicant for renewal of a medical doctor or professional 
nurse certificate of registry shall, in addition to meeting the 
requirements of paragraphs (a) and (b) of this section, present evidence 
that he or she holds a currently valid appropriate license as physician, 
surgeon, or registered nurse issued under the authority of a state or 
territory of the United States, the Commonwealth of Puerto Rico, or the 
District of Columbia.
    (d) Physical requirements. (1) An applicant for renewal of a license 
shall submit a certification by a licensed physician or physician 
assistant that he or she is in good health and has no physical 
impairment or medical condition which would render him or her 
incompetent to perform the ordinary duties of that license. This 
certification must address visual acuity and hearing in addition to 
general physical condition and must have been completed within 12 months 
of the date of application.
    (2) If the OCMI has reason to believe that an applicant for renewal 
of a license suffers from some physical impairment or medical condition 
which would render the applicant incompetent to perform the ordinary 
duties of that license, the applicant may be required to submit the 
results of an examination by a licensed physician or physician assistant 
that meets the requirements for original license.

[[Page 122]]

    (3) An applicant who has lost the sight of one eye may obtain a 
renewal of license, provided that the applicant is qualified in all 
other respects and that the visual acuity in the one remaining eye 
passes the test required under Sec. 10.205(d).
    (4) Physical examinations are not required for renewal of 
certificates of registry.
    (e) Special circumstances--(1) Period of grace. Except as provided 
herein, a license may not be renewed more than 12 months after it has 
expired. To obtain a reissuance of the license, an applicant must comply 
with the requirements of paragraph (f) of this section. When an 
applicant's license expires during a time of service with the Armed 
Forces and there is no reasonable opportunity for renewal, including by 
mail, this period may be extended. The period of military service 
following the date of license expiration which precluded renewal may be 
added to the 12 month period of grace. The 12 month period of grace, and 
any extension, do not affect the expiration date of the license. A 
license is not valid for use after the expiration date.
    (2) Renewal in advance. A license or certificate of registry may not 
be renewed more than 12 months before expiration unless it is being 
renewed in conjunction with a merchant mariner's document which is 
either due for renewal or being endorsed, or unless the OCMI is 
satisfied that special circumstances exist to justify renewal.
    (3) Renewal by mail. (i) Applications for renewal by mail of 
licenses or certificates of registry may be sent to the Coast Guard 
office that issued the license or certificate of registry or holds the 
applicant's file. The following documents must be submitted:
    (A) A properly completed application on a Coast Guard furnished form 
and the evaluation fee required by Sec. 10.109.
    (B) The expired license or certificate of registry to be renewed; 
or, if it has not expired, a photocopy of the license or certificate, 
including the back and all attachments.
    (C) A certification from a licensed physician or physician assistant 
in accordance with paragraph (d) of this section for the renewal of a 
license.
    (D) If the applicant desires to renew a license with a radar 
observer endorsement, either the radar observer certificate or a 
certified copy.
    (E) Evidence of, or acceptable substitute for, sea service for the 
renewal of a license.
    (F) For a certificate of registry as a medical doctor or 
professional nurse, evidence that he or she holds a currently valid, 
appropriate license as physician, surgeon, or registered nurse, issued 
under the authority of a state or territory of the United States, the 
Commonwealth of Puerto Rico, or the District of Columbia.
    (ii) The open-book exercise, if required, may be administered 
through the mail.
    (iii) Upon receipt of the renewed license or certificate of 
registry, the applicant shall sign it in order to validate the license 
or certificate.
    (4) Concurrent renewal of licenses, certificates of registry, and 
merchant mariner's documents. An applicant for concurrent renewal of 
more than one merchant mariner credential shall satisfy the individual 
renewal requirements and pay the applicable fees required by 
Secs. 10.109 and 12.02-18 of this chapter for each license, certificate 
of registry, or merchant mariner's document being renewed.
    (f) Reissuance of expired license or certificate of registry. (1) 
Whenever an applicant applies for reissuance of a license more than 12 
months after expiration, in lieu of the requirements of paragraph (c) of 
this section, the applicant shall demonstrate continued professional 
knowledge by completing a course approved for this purpose, or by 
passing the complete examination for that license. The examination may 
be oral-assisted if the expired license was awarded on an oral exam. The 
fees listed in Sec. 10.109 apply to these examinations. In the case of 
an expired radio officer's license, the license may be issued upon 
presentation of a valid first- or second-class radiotelegraph operator 
license issued by the Federal Communications Commission.
    (2) A certificate of registry that has been expired for more than 12 
months shall be renewed in the same way as a current certificate of 
registry. There

[[Page 123]]

are no additional requirements for reissuing certificates of registry 
that have been expired for more than 12 months.
    (g) Inactive license renewal. (1) Applicants for renewal of licenses 
who are unwilling or otherwise unable to meet the requirements of 
paragraphs (c) or (d) of this section may renew their licenses, with the 
following restrictive endorsement placed on the back of the license: 
``License renewed for continuity purposes only; service under the 
authority of this license is prohibited.'' Holders of licenses with this 
continuity endorsement may have the prohibition rescinded at any time by 
satisfying the renewal requirements in paragraphs (c), (d), and (h) of 
this section.
    (2) Applications for renewal of a license with the continuity 
endorsement must include:
    (i) The license to be renewed, or, if it is unexpired, a photocopy 
of the license including the back and all attachments; and,
    (ii) A signed statement from the applicant attesting to an awareness 
of the restriction to be placed on the renewed license, and of the 
requirements for rescinding the continuity endorsement.
    (h) Chemical testing for dangerous drugs. Except for applicants 
requesting an inactive license renewal under paragraph (g) of this 
section, each applicant for the renewal of a license or of a certificate 
of registry shall produce evidence of having passed a chemical test for 
dangerous drugs or of qualifying for an exception from testing in 
Sec. 16.220 of this subchapter. An applicant who fails a chemical test 
for dangerous drugs will not be issued a license or certificate of 
registry.
    (i) Each applicant for a renewal may be required to consent to a 
criminal record check under Sec. 10.201(h).
    (j) Each applicant for renewal of a license or certificate of 
registry shall consent to an NDR check under Sec. 10.201(i).
    (k) Except as otherwise provided by Sec. 10.202, each candidate for 
a renewal of an STCW certificate or endorsement as master, mate, 
operator, or engineer, to be valid on or after February 1, 2002, for 
service on any vessel in ocean or near-coastal service, shall meet the 
applicable requirements of paragraphs (l), (m), (n), and (o) in 
Sec. 10.205 and shall meet the requirements of Section A-VI/2, paragraph 
1 to 4 of the STCW Code.

[CGD 91-211, 59 FR 49299, Sept. 27, 1994, as amended by CGD 91-223, 60 
FR 4525, Jan. 23, 1995; CGD 91-212, 60 FR 65486, Dec. 19, 1995; CGD 95-
062, 62 FR 34531, June 26, 1997; CGD 95-062, 62 FR 40281, July 28, 1997]



Sec. 10.211  Creditable service and equivalents for licensing purposes.

    (a) Sea service may be documented for licensing purposes in various 
forms such as certificates of discharge, pilotage service and billing 
forms, and letters or other official documents from marine companies 
signed by appropriate officials or licensed masters. For service on 
vessels of under 200 gross tons, owners of vessels may attest to their 
own service; however, those who do not own a vessel must obtain letters 
or other evidence from licensed personnel or the owners of the vessels 
listed. The documentary evidence produced by the applicant must contain 
the amount and nature (e.g. chief mate. assistant engineer, etc.) of the 
applicant's experience, the vessel name, gross tonnage, shaft horsepower 
and official numbers, the routes upon which the experience was acquired, 
and approximate dates of service.
    (b) Port engineer, shipyard superintendent experience, instructor 
service, or similar related service may be creditable for a maximum of 
six months of service for raise of grade of an engineer or deck license, 
as appropriate, using the following:
    (1) Port engineer or shipyard superintendent experience is 
creditable on a three-for-one basis for a raise of grade. (Twelve months 
of experience equals four months of creditable service.)
    (2) Service as a bona fide instructor at a school of navigation or 
marine engineering is creditable on a two-for-one basis for a raise of 
grade. (Twelve months of experience equals six months of creditable 
service).
    (c) Service on mobile offshore drilling units is creditable for 
raise of grade of license. Evidence of one year's service as mate or 
equivalent while holding a license as third mate, or as engineering 
officer of the watch or equivalent

[[Page 124]]

while holding a license as third assistant engineer, is acceptable for a 
raise of grade to second mate or second assistant engineer, 
respectively; however, any subsequent raises of grade of unlimited, 
nonrestricted licenses must include a minimum of six months of service 
on conventional vessels.
    (d) Service on a Dual Mode Integrated Tug Barge (ITB) unit is 
creditable for original or raise of grade of any deck licenses. Service 
on a Dual Mode ITB with an aggregate tonnage of over 1600 gross tons is 
creditable on a two-for-one basis (two days experience equals one day of 
creditable service) for up to 50 percent of the total service on vessels 
over 1600 gross tons required for an unlimited license. The remaining 
required service on vessels of over 1600 gross tons must be obtained on 
conventional vessels or Push Mode ITBs.
    (e) Other experience in a marine related area, other than at sea, or 
sea service performed on unique vessels, will be evaluated by the OCMI 
and forwarded to the Commandant for a determination of equivalence to 
traditional service.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
135, Jan. 4, 1989]



Sec. 10.213  Sea service as a member of the Armed Forces of the United States and on vessels owned by the United States as qualifying experience.

    (a) Sea service as a member of the Armed Forces of the United States 
will be accepted as qualifying experience for an original, raise of 
grade, or increase in scope of all licenses. In most cases, military sea 
service will have been performed upon ocean waters; however, inland 
service, as may be the case on smaller vessels, will be credited in the 
same manner as conventional evaluations. The applicant must submit an 
official transcript of sea service as verification of the service 
claimed when the application is submitted. The applicant must also 
provide the Officer in Charge, Marine Inspection other necessary 
information as to tonnage, routes, horsepower, percentage of time 
underway, and assigned duties upon the vessels which he or she served. 
Such service will be evaluated by the OCMI and forwarded to the 
Commandant for a determination of its equivalence to sea service 
acquired on merchant vessels and the appropriate grade, class, and limit 
of license for which the applicant is eligible. Normally, 60 percent of 
the total time on board is considered equivalent underway service; 
however, the periods of operation of each vessel may be evaluated 
separately. In order to be eligible for a master's or chief engineer's 
unlimited license, the applicant must have acquired military service in 
the capacity of commanding officer or engineer officer, respectively.
    (b) Service in deck ratings on military vessels such as seaman 
apprentice, seaman, boatswain's mate, quartermaster, or radarman are 
considered deck service for licensing purposes. Service in other ratings 
may be considered if the applicant establishes that his or her duties 
required a watchstanding presence on or about the bridge of a vessel. 
Service in engineer ratings on military vessels such as fireman 
apprentice, fireman, engineman, machinists, mate, machinery technician 
or boiler tender are considered engineer service for licensing purposes. 
There are also other ratings such as electrician, hull technician, or 
damage controlman which may be credited when the applicant establishes 
that his or her duties required watchstanding duties in an operating 
engine room.
    (c) In addition to underway service, members of the Armed Forces may 
obtain creditable service for periods of assignment to vessels at times 
other than underway, such as in port, at anchor, or in training. 
Normally, a 25% factor is applied to these time periods. This experience 
can be equated with general shipboard familiarity, training, ship's 
business, and other related duties.
    (d) Sea service obtained on submarines is creditable, as if it were 
surface vessel service, for deck and engineer licenses under the 
provision of paragraph (a) of this section. For application to deck 
licenses, submarine service may be creditable if at least 25 percent of 
all service submitted for the license was obtained on surface vessels 
(e.g. If four years' total service were

[[Page 125]]

submitted for an original license, at least one year must have been 
obtained on surface craft in order for the submarine service to be 
eligible for evaluation).
    (e) Service gained in a civilian capacity as commanding officer, 
master, mate, engineer, or pilot, etc., of any vessel owned and operated 
by the United States, in any service, in which a license as master, 
mate, engineer, or pilot was not required at the time of such service, 
is evaluated by the OCMI and forwarded to the Commandant for a 
determination of equivalence.



Sec. 10.215  Modification or removal of limitations.

    (a) If an Officer in Charge, Marine Inspection, is satisfied by the 
documentary evidence submitted that an applicant is entitled by 
experience, training, and knowledge to an endorsement or increase in the 
scope of any license held, any limitations which were previously placed 
upon the license by that OCMI may be changed. Such an increase in scope 
may include horsepower or tonnage limitations, or geographic route 
restrictions.
    (b) An OCMI may not change a limitation on any license which that 
office did not place thereon before full information regarding the 
reason for the limitation is obtained from the OCMI responsible for the 
limitation.
    (c) No limitation on any license may be changed before the applicant 
has made up any deficiency in the experience prescribed for the license 
or endorsement desired and passed any necessary examination.



Sec. 10.217  Examination procedures and denial of licenses.

    (a)(1) The examinations for all deck and engineer unlimited licenses 
are administered at periodic intervals. The examination fee set out in 
Sec. 10.109 must be paid before the applicant may take the first 
examination section. If an applicant fails three or more sections of the 
examination, a complete reexamination must be taken, but may be taken 
during any of the scheduled exam periods. On the subsequent exam, if the 
applicant again fails three or more sections, at least 3 months must 
lapse before another complete examination is attempted, and a new 
examination fee is required. If an applicant fails one or two sections 
of an examination, the applicant may be retested twice on these sections 
during the next 3 months. If the applicant does not successfully 
complete these sections within the 3 month period, complete 
reexamination must be taken after a lapse of at least 3 months from the 
date of the last retest, and a new examination fee is required. The 3 
month retest period may be extended by the OCMI if the applicant 
presents discharges documenting sea time which prevented the taking of a 
retest during the 3 month period. The retest period may not be extended 
beyond 7 months from the initial examination.
    (2) The scheduling of all other deck and engineer license 
examinations will be at the discretion of the OCMI. The examination fee 
set out in Sec. 10.109 must be paid before the applicant may take the 
first examination section. In the event of a failure, the applicant may 
be retested twice whenever the examination can be rescheduled with the 
OCMI. The applicant must be examined in all of the unsatisfactory 
sections of the preceding examination. If the applicant does not 
successfully complete all parts of the examination during a 3-month 
period from the initial test date, a complete reexamination must be 
taken after a lapse of at least 2 months from the date of the last 
retest, and a new examination fee is required.
    (b) If the OCMI refuses to grant an applicant the license for which 
applied due to failing to pass a required examination, the applicant is 
furnished a written statement setting forth the portions of the 
examination which must be retaken and the date by which the examination 
must be completed.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
135, Jan. 4, 1989; CGD 91-002, 58 FR 15238, Mar. 19, 1993; CGD 94-029, 
61 FR 47064, Sept. 6, 1996]



Sec. 10.219  Issuance of duplicate license or certificate of registry.

    (a) Whenever a person to whom a license or certificate of registry 
has been issued loses the license or certificate, that person shall 
report the loss to any

[[Page 126]]

OCMI. A duplicate license or certificate may be issued by an OCMI listed 
in the note following Sec. 1.05(b) of this part after receiving an 
application with an affidavit describing the circumstances of the loss 
from the applicant and verification of the license or certificate record 
from the Regional Examination Center where it was issued or from the 
Commandant. The duplicate will be prepared in the same format and 
wording as the license or certificate being replaced. A duplicate 
license is issued for the unexpired term of the lost license. Duplicate 
licenses and certificates of registry bear the following statement: 
``This license (or certificate) replaces License (or Certificate) Number 
____ issued at ____ on the above date.''
    (b) If a person loses a license or certificate of registry by 
shipwreck or other casualty, a reissue of that license or certificate or 
registry will be supplied free of charge. Other casualties include any 
damage to a ship caused by collision, explosion, tornado, wreck, 
flooding, beaching, grounding, or fire.
    (c) If a person loses a license or certificate of registry otherwise 
than by shipwreck or other casualty and applies for a reissue, the 
appropriate fee set out in Sec. 10.109 is required.

[CGD 81-059, 54 FR 135, Jan. 4, 1989; as amended by CGD 91-002, 58 FR 
15238, Mar. 19, 1993]



Sec. 10.221  Parting with license.

    The holder of a license shall not voluntarily part with it or place 
it beyond his or her personal control by pledging or depositing it with 
any other person for any purpose. If the holder violates this section, 
he or she may be proceeded against in accordance with the provisions of 
part 5 of this chapter, looking to a suspension or revocation of the 
license.



Sec. 10.223  Suspension and revocation of licenses.

    (a) When the license of any individual is revoked, it is no longer 
valid for any purpose and any license of the same type subsequently 
requested must be applied for as an original license, except as to 
number of issue.
    (b) No person whose license is suspended without probation or has 
been revoked may be issued another license without approval of the 
Commandant.
    (c) When a license which is about to expire is suspended, the 
renewal of such license will be withheld until expiration of the period 
of suspension.



            Subpart C--Training Schools with Approved Courses



Sec. 10.301  Applicablilty.

    This subpart prescribes the general requirements applicable to all 
approved courses which may be accepted in lieu of service experience or 
examination required by the Coast Guard, or which satisfy course 
completion requirements.



Sec. 10.302  Course approval.

    (a) The Coast Guard only approves courses satisfying regulatory 
requirements. The owner or operator of a training school desiring to 
have a course approved by the Coast Guard shall submit a written request 
through the appropriate Officer in Charge, Marine Inspection to the 
Commanding Officer, National Maritime Center, NMC-4B, 4200 Wilson 
Boulevard, Suite 510, Arlington, VA 22203-1804, that contains:
    (1) A list of the curriculum including a description of and the 
number of classroom hours required in each subject;
    (2) A description of the facility and equipment;
    (3) A list of instructors including the experience, background, and 
the qualifications of each; and
    (4) Specify the Coast Guard training requirements the course is 
intended to satisfy.
    (b) The Coast Guard notifies each applicant in writing whether or 
not an approval is granted. If a request for approval is denied, the 
Coast Guard informs the applicant the reasons for the denial and 
describes what corrections are required for an approval.
    (c) Unless sooner surrendered, suspended or revoked, an approval for 
a course at a training school that meets Coast Guard standards expires 
24 months after the month in which it is issued, or on the date of any 
change in the ownership of the school for which it was issued, whichever 
occurs first.

[[Page 127]]

    (d) If the owner or operator of a training school desires to have a 
course approval renewed, they shall submit a written request to the 
address listed in paragraph (a) of this section. For the request to be 
approved, the Coast Guard must be satisfied that the content and quality 
of instruction remain satisfactory. Unless sooner surrendered, suspended 
or revoked, a renewal of the approval expires 60 months after the month 
it is issued, or on the date of any change in ownership of the school 
for which it is issued, whichever occurs first.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.303  General standards.

    Each school with an approved course must:
    (a) Have a well maintained facility that accommodates the students 
in a safe and comfortable environment conducive to learning.
    (b) Have visual aids for realism, including simulators where 
appropriate, which are modern and well maintained and sufficient for the 
number of students to be accommodated.
    (c) Give appropriate written or practical examinations in the course 
material to each student of such a degree of difficulty that a student 
who successfully completes them could reasonably assume that he or she 
would pass, on the first attempt, an examination prepared by the Coast 
Guard based upon knowledge requirements of the position or endorsement 
for which the student is being trained.
    (d) Keep for at least one year after the end of each student's 
enrollment:
    (1) Each written examination, or in the case of a practical test, a 
report of such test; and
    (2) A record of each student's classroom attendance.
    (e) Not change its approved curriculum unless approved, in writing, 
after the request for change has been submitted in writing through the 
appropriate Officer in Charge, Marine Inspection to the Commanding 
Officer, National Maritime Center, NMC-4B.
    (f) At any time the Officer in Charge, Marine Inspection shall 
direct, allow the Coast Guard to:
    (1) Inspect its facilities, equipment, and records, including 
scholastic records;
    (2) Conduct interviews and surveys of students to aid in course 
evaluation and improvement;
    (3) Assign personnel to observe or participate in the course of 
instruction; and
    (4) Supervise or administer the required examinations or practical 
demonstrations.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987 and CGD 81-059, 54 FR 132, Jan. 
4, 1989, as amended by CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.304  Substitution of training for required service, and use of training-record books.

    (a) Satisfactory completion of certain training courses approved by 
the Commandant may be substituted for a portion of the required service 
for many deck and engineer licenses and for qualified ratings of 
unlicensed personnel. The list of all currently approved courses of 
instruction including the equivalent service and applicable licenses and 
ratings is maintained by Commanding Officer, National Maritime Center, 
NMC-4B. Satisfactory completion of an approved training course may be 
substituted for not more than two-thirds of the required service on deck 
or in the engine department for deck or engineer licenses, respectively, 
and for qualified ratings.
    (b) Service time gained at an approved training course does not 
satisfy recent service requirements nor does training on a simulator; 
however, any underway service at an approved course may be used for this 
purpose. An applicant who had met the recent service requirement before 
entering school will not be penalized by attending the approved training 
course.
    (c) Training obtained prior to receiving a license may not be used 
for subsequent raises of grade.
    (d) Simulator training in combination with a Coast Guard approved 
training course may be submitted to the Commanding Officer, National 
Maritime Center, for evaluation and

[[Page 128]]

determination of equivalency to required sea service. Simulator training 
cannot be substituted for recency requirements, but may substitute for a 
maximum of 25 percent of the required service for any license 
transaction.
    (e) Except as provided in Sec. 10.202, when a candidate both applies 
for an STCW certificate or endorsement as an officer in charge of a 
navigational watch, on the basis of training or sea service commencing 
on or after August 1, 1998, and uses completion of approved training to 
substitute for required service, then not less than 1 year of the 
remaining service must be part of approved training that meets the 
appropriate requirements of Chapter II of STCW and the requirements of 
subpart C of this part. The training of a candidate must be documented 
in a Coast Guard-accepted training-record book.
    (f) Except as provided in Sec. 10.202, each candidate who applies 
for an STCW certificate or endorsement as an officer in charge of an 
engineering watch or as a designated duty engineer on the basis of 
training or sea service commencing on or after August 1, 1998, for 
service on seagoing vessels, shall complete onboard training as part of 
approved training that meets the appropriate requirements of Chapter III 
of STCW and the requirements of subpart C of this part. The training 
must be documented in a Coast Guard-accepted training-record book.
    (g) The training-record book referred to in paragraphs (e) and (f) 
of this section must contain at least the following:
    (1) The identity of the candidate.
    (2) The tasks to be performed or the skills to be demonstrated, with 
reference to the standards of competence set forth in the tables of the 
appropriate sections in part A of the STCW Code.
    (3) The criteria to be used in determining that the tasks or skills 
have been performed properly, again with reference to the standards of 
competence set forth in the tables of the appropriate sections in part A 
of the STCW Code.
    (4) A place for a qualified instructor to indicate by his or her 
initials that the candidate has received training in the proper 
performance of the task or skill.
    (5) A place for a designated examiner to indicate by his or her 
initials that the candidate has successfully completed a practical 
demonstration and has proved competent in the task or skill under the 
criteria, when assessment of competence is to be documented in the 
record books.
    (6) The identity of each qualified instructor, including any Coast 
Guard license or document held, and the instructor's signature.
    (7) The identity of each designated examiner, when any assessment of 
competence is recorded, including any Coast Guard license or document 
held, and the examiner's signature confirming that his or her initials 
certify that he or she has witnessed the practical demonstration of a 
particular task or skill by the candidate.
    (h) The training-record book referred to in paragraphs (e) and (f) 
of this section may be maintained electronically, if the electronic 
record meets Coast Guard-accepted standards for accuracy, integrity, and 
availability.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
135, Jan. 4, 1989; CGD 95-072, 60 FR 50460, Sept. 29, 1995; CGD 95-062, 
62 FR 34531, June 26, 1997; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.305  Radar-Observer certificates and qualifying courses.

    (a) A student who takes an approved course of training, which 
includes passing both a radar-theory examination and a practical 
demonstration on a simulator, and who meets the requirements of this 
section is entitled to an appropriate Radar-Observer certificate--
    (1) In a form prescribed by the school and acceptable to the Coast 
Guard; and
    (2) Signed by the head of the school.
    (b) The following Radar-Observer certificates are issued under this 
section:
    (1) Radar Observer (Unlimited).
    (2) Radar Observer (Inland Waters and Gulf-Intracoastal Waterway 
[GIWW]).
    (3) Radar Observer (Rivers).
    (4) Radar Observer (Unlimited: Renewal).
    (5) Radar Observer (Inland Waters and GIWW: Renewal).

[[Page 129]]

    (6) Radar Observer (Rivers: Renewal).
    (c) A school with an approved Radar-Observer course may issue a 
certificate listed in paragraph (b) of this section after the student 
has successfully completed the appropriate curriculum as follows:
    (1) Radar Observer (Unlimited). Classroom instruction--including 
demonstration and practical exercises using simulators--and examination, 
in the following subjects:
    (i) Fundamentals of radar:
    (A) How radar works.
    (B) Factors affecting the performance and accuracy of marine radar.
    (C) Purposes and functions of the main components that constitute a 
typical marine-radar system.
    (ii) Operation and use of radar:
    (A) Purpose and adjustment of controls.
    (B) Detection of malfunctions, false and indirect echoes, and other 
radar phenomena.
    (C) Effects of sea return, weather, and other environmental 
conditions.
    (D) Limitations of radar resulting from design factors.
    (E) Safety precautions associated with use and maintenance of marine 
radar.
    (F) Measurement of ranges and bearings.
    (G) Effect of size, shape, composition, and distance of vessels and 
terrestrial targets on echo.
    (iii) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate to 
the circumstances and the equipment in use.
    (C) Determining the course and speed of another vessel.
    (D) Determining the time and distance of closest point of approach 
of a crossing, meeting, overtaking, or overtaken vessel.
    (E) Detecting changes of course or speed of another vessel after its 
initial course and speed have been established.
    (F) Applying the Navigational Rules, Chapters 30 and 34 of Title 33 
U.S. Code [Commandant Instruction M16672.2C, as amended, or equivalent], 
and other factors to consider when determining changes of course or 
speed of a vessel to prevent collisions on the basis of radar 
observation.
    (G) Use of radar in maintaining situational awareness.
    (iv) Plotting (by any graphically-correct method):
    (A) Principles and methods of plotting relative and true motion.
    (B) Practical-plotting problems.
    (2) Radar Observer (Inland Waters and GIWW). Classroom instruction--
with emphasis on situations and problems encountered on inland waters 
and the GIWW, including demonstration and practical exercises using 
simulators--and examination, in the following subjects:
    (i) Fundamentals of radar:
    (A) How radar works.
    (B) Factors affecting the performance and accuracy of marine radar.
    (C) Purpose and functions of the main components that constitute a 
typical marine-radar system.
    (ii) Operation and use of radar:
    (A) Purpose and adjustment of controls.
    (B) Detection of malfunctions, false and indirect echoes, and other 
radar phenomena.
    (C) Effects of sea return, weather, and other environmental 
conditions.
    (D) Limitations of radar resulting from design factors.
    (E) Safety precautions associated with use and maintenance of marine 
radar.
    (F) Measurement of ranges and bearings.
    (G) Effect of size, shape, composition, and distance of vessels and 
terrestrial targets on echo.
    (iii) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate to 
the circumstances and the equipment in use.
    (C) Determining the course and speed of another vessel.
    (D) Determining the time and distance of closest point of approach 
of a

[[Page 130]]

crossing, meeting, overtaking, or overtaken vessel.
    (E) Detecting changes of course or speed of another vessel after its 
initial course and speed have been established.
    (F) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (G) Use of radar in maintaining situational awareness.
    (3) Radar Observer (Rivers). Classroom instruction--with emphasis on 
situations and problems encountered on rivers, including demonstration 
and practical exercises using simulators--and examination, in the 
following subjects:
    (i) Fundamentals of radar:
    (A) How radar works.
    (B) Factors affecting the performance and accuracy of marine radar.
    (C) Purpose and functions of the main components that constitute a 
typical marine-radar system.
    (ii) Operation and use of radar:
    (A) Purpose and adjustment of controls.
    (B) Detection of malfunctions, false and indirect echoes, and other 
radar phenomena.
    (C) Effects of sea return, weather, and other environmental 
conditions.
    (D) Limitations of radar resulting from design factors.
    (E) Safety precautions associated with use and maintenance of marine 
radar.
    (F) Measurement of ranges and bearings, recognizing limited use of 
radar bearings in curving, narrow channels.
    (G) Effect of size, shape, composition, and distance of vessels and 
terrestrial targets on echo.
    (iii) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)-- determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate to 
the circumstances and the equipment in use.
    (C) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (D) Use of radar in maintaining situational awareness.
    (4) Radar Observer (Unlimited: Renewal). Classroom instruction--
including demonstration and practical exercises using simulators--and 
examination, in the following subjects:
    (i) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate to 
the circumstances and the equipment in use.
    (C) Determining the course and speed of another vessel.
    (D) Determining the time and distance of closest point of approach 
of a crossing, meeting, overtaking, or overtaken vessel.
    (E) Detecting changes of course or speed of another vessel after its 
initial course and speed have been established.
    (F) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (G) Use of radar in maintaining situational awareness.
    (ii) Plotting (by any graphically-correct method):
    (A) Principles and methods of plotting relative and true motion.
    (B) Practical-plotting problems.
    (5) Radar Observer (Inland Waters and GIWW: Renewal). Classroom 
instruction--including demonstration and practical exercises using 
simulators--and examination, in the interpretation and analysis of radar 
information, including:
    (i) Radar navigation (including visual techniques--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (ii) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (iii) Determining the course and speed of another vessel.
    (iv) Determining the time and distance of closest point of approach 
of a

[[Page 131]]

crossing, meeting, overtaking, or overtaken vessel.
    (v) Detecting changes of course or speed of another vessel after its 
initial course and speed have been established.
    (vi) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (vii) Use of radar in maintaining situational awareness.
    (6) Radar Observer (Rivers: Renewal). Classroom instruction--
including demonstration and practical exercises using simulators--and 
examination, in the interpretation and analysis of radar information, 
including:
    (i) Radar navigation (including visual techniques)-- determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (ii) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (iii) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (iv) Use of radar in maintaining situational awareness.

[CGD 94-041, 62 FR 11303, Mar. 11, 1997]



Sec. 10.306  Radar-Operation course and certificate.

    (a) A certificate of training from a Radar-Operation course may, as 
provided by 46 CFR 15.815(c)(2), suffice instead of a Radar-Observer 
endorsement. It is valid until the holder's license is renewed or 
upgraded, or expires, whichever occurs first.
    (b) Each Radar-Operation course must contain at least 4 hours of 
instruction on the following subjects:
    (1) Fundamentals of radar:
    (i) How radar works.
    (ii) Factors affecting the performance and accuracy of marine radar.
    (iii) Purpose and functions of the main components that constitute a 
typical marine-radar system.
    (2) Operation and use of radar:
    (i) Purpose and adjustment of controls.
    (ii) Detection of malfunctions, false and indirect echoes, and other 
radar phenomena.
    (iii) Effects of sea return, weather, and other environmental 
conditions.
    (iv) Limitations of radar resulting from design factors.
    (v) Safety precautions associated with use and maintenance of marine 
radar.
    (vi) Measurement of ranges and bearings.
    (vii) Effect of size, shape, composition, and distance of vessels 
and terrestrial targets on echo.
    (3) Interpretation and analysis of radar information:
    (i) Radar navigation--determining the position and direction of 
movements of a vessel.
    (ii) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (iii) Applying the Navigational Rules, Chapters 30 and 34 of Title 
33 U.S. Code [Commandant Instruction M16672.2C or equivalent, as 
amended], and other factors to consider when determining changes of 
course or speed of a vessel to prevent collisions on the basis of radar 
observation.
    (c) Each Radar-Operation course must be conducted by a person who 
possesses the knowledge and skills taught in the course, with at least 
one year of experience in their practical application, except that--
    (1) A marine instructor or company official may substitute a 
currently valid certificate from an approved Radar-Observer course 
(Unlimited, or Inland Waters and GIWW) for the one year of experience; 
and
    (2) An instructor of any approved Radar-Observer course may teach a 
Radar-Operation course without further seagoing experience.
    (d) When a holder of the Radar-Operation certificate seeks a Radar-
Observer endorsement, he or she is an applicant for an original 
endorsement rather than for renewal of an endorsement.

[CGD 94-041, 62 FR 11304, Mar. 11, 1997]

[[Page 132]]



Sec. 10.307  Training schools with approved radar observer courses.

    The Commanding Officer, National Maritime Center, NMC-4B, 4200 
Wilson Boulevard, Suite 510, Arlington, VA 22203-1804 maintains the list 
of approved schools and specific courses. This information is available 
upon request by writing the aforementioned address or calling (703) 235-
1300.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987 and CGD 81-059, 54 FR 132, Jan. 
4, 1989, as amended by CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.309  Coast Guard-accepted training other than approved courses.

    (a) When the training and assessment of competence required by this 
part are not subject to Coast Guard approval under Sec. 10.302, but are 
used to qualify to hold an STCW certificate or endorsement for service 
on or after February 1, 2002, such training and assessment must meet the 
following requirements:
    (1) The training and assessment must have written, clearly defined 
objectives that emphasize specific knowledge, skills, and abilities, and 
that include criteria to be used in establishing a student's successful 
achievement of the training objectives.
    (2) The training must be set out in a written syllabus that conforms 
to a Coast Guard-accepted outline for such training and includes--
    (i) The sequence of subjects to be covered;
    (ii) The number of hours to be devoted to instruction in relevant 
areas of knowledge;
    (iii) The identity and professional qualifications of the 
instructor(s) to be conducting the training or providing instruction;
    (iv) The identification of other media or facilities to be used in 
conducting training; and
    (v) Measurements at appropriate intervals of each candidate's 
progress toward acquisition of the specific knowledge, skills, and 
abilities stated in the training objectives.
    (3) Except as provided in paragraph (a)(4) of this section, 
documentary evidence must be readily available to establish that all 
instructors--
    (i) Have experience, training, or instruction in effective 
instructional techniques;
    (ii) Are qualified in the task for which the training is being 
conducted; and
    (iii) Hold the level of license, endorsement, or other professional 
credential required of those who would apply on board a vessel the 
relevant level of knowledge, skills, and abilities described in the 
training objectives.
    (4) Neither a specialist in a particular field of nonmaritime 
education, such as mathematics or first aid, nor a person with at least 
3 years of service as a member of the Armed Forces of the United States, 
specializing in the field in which he or she is to conduct training, 
need hold a maritime license or document to conduct training in that 
field.
    (5) A simulator may be used in training if--
    (i) The simulator meets applicable performance standards;
    (ii) The instructor has gained practical operational experience on 
the particular type of simulator being used; and
    (iii) The instructor has received appropriate guidance in 
instructional techniques involving the use of simulators.
    (6) Essential equipment and instructional materials must afford all 
students adequate opportunity to participate in exercises and acquire 
practice in performing required skills.
    (7) A process for routinely assessing the effectiveness of the 
instructors, including the use of confidential evaluations by students, 
is in place.
    (8) Documentary evidence is readily available to establish that any 
evaluation of whether a student is competent in accordance with 
standards, methods, and criteria set out in part A of the STCW Code is 
conducted by a designated examiner who has experience, training, or 
instruction in assessment techniques.
    (9) Records of the student's performance are maintained for at least 
1 year by the offeror of the training and assessment.
    (10) To ensure that the training is meeting its objectives, and the 
requirements of paragraphs (a)(1) through (9)

[[Page 133]]

of this section, the offeror must either--
    (i) Be regulated as a maritime academy or marine academy pursuant to 
46 CFR part 310; or
    (ii) Monitor the training in accordance with a Coast Guard-accepted 
QSS, which must include the following features:
    (A) The training must be provisionally certified, on the basis of an 
initial independent evaluation conducted under a Coast Guard-accepted 
QSS, as being capable of meeting its objective.
    (B) The training must be periodically monitored in accordance with 
the schedule stipulated under the Coast Guard-accepted QSS.
    (C) Each person conducting the initial evaluation or the subsequent 
periodic monitoring of the training shall be knowledgeable about the 
subjects being evaluated or monitored and about the national and 
international requirements that apply to the training, and shall not 
himself or herself be involved in the training and assessment of 
students.
    (D) Each person evaluating or monitoring the training shall have 
access to all appropriate documents and facilities, and shall have 
opportunities both to observe all appropriate activities and to conduct 
confidential interviews when necessary.
    (E) Arrangements must be such as to ensure that no person evaluating 
or monitoring the training is penalized or rewarded, directly or 
indirectly, by the sponsor of the training for making any particular 
observations or for reaching any particular conclusions.
    (11) Each person conducting the initial evaluation under paragraph 
(a)(10)(ii)(A) of this section or the periodic monitoring of the 
training under paragraph (a)(10)(ii)(B) of this section shall 
communicate his or her conclusions to the Commanding Officer, National 
Maritime Center, NMC-4B, 4200 Wilson Boulevard, suite 510, Arlington, VA 
22203-1804, within 1 month of the completion of the evaluation or the 
monitoring.
    (12) Each offeror of the training shall let the Coast Guard or 
someone authorized by the Coast Guard observe the records of a student's 
performance and records otherwise relating to paragraphs (a)(1) through 
(10) of this section.
    (b) The Coast Guard will maintain a list of training each of whose 
offerors submits a certificate, initially not less than 45 calendar days 
before offering training under this section, and annually thereafter, 
signed by the offeror or its authorized representatives, stating that 
the training fully complies with requirements of this section, and 
identifying the Coast Guard-accepted QSS being used for independent 
monitoring. Training programs on this list will offer the training 
necessary for licenses and STCW endorsements under this part. The Coast 
Guard will update this list periodically and make it available to 
members of the public on request.
    (c) If the Coast Guard determines, on the basis of observations or 
conclusions either of its own or of someone authorized by it to monitor 
the training, that particular training does not satisfy one or more of 
the conditions described in paragraph (a) of this section--
    (1) The Coast Guard will so notify the offeror of the training by 
letter, enclosing a report of the observations and conclusions;
    (2) The offeror may, within a period specified in the notice, either 
appeal the observations or conclusions to the Commandant (G-MOC) or 
bring the training into compliance; and
    (3) If the appeal is denied--or the deficiency is not corrected in 
the allotted time, or within any additional period judged by the Coast 
Guard to be appropriate, considering progress toward compliance--the 
Coast Guard will remove the training from the list maintained under 
paragraph (b) of this section until it can verify full compliance; and 
it may deny applications for licenses for STCW endorsement based in 
whole or in part on training not on the list, until additional training 
or assessment is documented.

[CGD 95-062, 62 FR 34531, June 26, 1997, as amended by USCG-1998-4442, 
63 FR 52189, Sept. 30, 1998]

[[Page 134]]



    Subpart D--Professional Requirements for Deck Officers' Licenses



Sec. 10.401  Ocean and near coastal licenses.

    (a) Any license issued for service as master or mate on ocean waters 
qualifies the licensee to serve in the same grade on any waters, subject 
to the limitations of the license, without additional endorsement.
    (b) A license issued for service as master or mate on near coastal 
waters qualifies the licensee to serve in the same grade on near 
coastal, Great Lakes, and inland waters, subject to the limitations of 
the license, without additional endorsement.
    (c) Near coastal licenses of any gross tons require the same number 
of years of service as the ocean unlimited licenses. The primary 
differences in these licenses are the nature of the service and the 
professional examination as explained in subpart I of this part.
    (d) A licensee having a master or mate near coastal license obtained 
with ocean service may have the license endorsed for ocean service by 
completing the appropriate examination deficiencies, provided that the 
additional service requirements of paragraph (e) of this section do not 
apply.
    (e) Master or third mate near coastal unlimited licenses may be 
obtained by completing the prescribed examination in subpart I of this 
part and satisfying the requirements of paragraph (g) while holding a 
license as unlimited master or mate, respectively, upon Great Lakes and 
inland waters. To have a near coastal unlimited license obtained in this 
manner endorsed for ocean service, the licensee must obtain 12 months of 
service as a deck watch officer or higher on ocean waters on vessels of 
1600 gross tons or over, in addition to completing the examination 
topics.
    (f) Masters and mates licenses for service on vessels of over 200 
gross tons may be endorsed for sail or auxiliary sail as appropriate. 
The applicant must present the equivalent total qualifying service 
required for conventional licenses including at least one year of deck 
experience on that specific type of vessel. For example, for a license 
as master of vessels of not more than 1600 gross tons endorsed for 
auxiliary sail, the applicant must meet the total experience 
requirements for the conventional license, including time as mate, and 
the proper tonnage experience, including at least one year of deck 
service on appropriately sized auxiliary sail vessels. For license 
endorsement for service on vessels of 200 gross tons or less see 
individual license requirements.
    (g) In order to obtain a master or mate license with a tonnage limit 
above 200 gross tons, or a license for 200 gross tons or less with an 
ocean route, whether an original, raise in grade, or increase in the 
scope of license authority to a higher tonnage category, the applicant 
must successfully complete the following training and examination 
requirements:
    (1) Approved firefighting course;
    (2) Approved radar observer course; and,
    (3) Qualification as an able seaman unlimited or able seaman limited 
(able seaman special or able seaman offshore supply vessels satisfy the 
able seaman requirement for licenses permitting service on vessels of 
1600 gross tons and less).
    (h) Each applicant for a deck license which authorizes service on 
vessels above 1600 gross tons on ocean or near coastal waters, whether 
original or raise of grade, must pass a practical signaling examination 
(flashing light). A license applicant who fails in practical signaling, 
but passes every other part of the examination, may be issued a license 
with a 1600 gross ton limitation. The tonnage limitation can be removed 
upon successful completion of the signaling examination.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
135, Jan. 4, 1989]



Sec. 10.402  Tonnage requirements for ocean or near coastal licenses for vessels of over 1600 gross tons.

    (a) To qualify for an ocean or near coastal license for vessels of 
any gross tons, all the required experience must be obtained on vessels 
of over 200 gross tons. At least one-half of the required

[[Page 135]]

experience must be obtained on vessels of over 1600 gross tons.
    (b) If the applicant for an original or raise of grade of a license 
as master or mate does not have the service on vessels over 1600 gross 
tons required by paragraph (a) of this section, or is qualifying for 
third mate under the provisions of paragraph Sec. 10.407(c) of this 
subpart, a tonnage limitation is placed on the license based on the 
applicant's qualifying experience. The license is limited to the maximum 
tonnage on which at least 25 percent of the required experience was 
obtained, or 150 percent of the maximum tonnage on which at least 50 
percent of the service was obtained, whichever is higher. Limitations 
are in multiples of 1000 gross tons, using the next higher figure when 
an intermediate tonnage is calculated. When the calculated limitation 
equals or exceeds 10,000 gross tons, the applicant is issued an 
unlimited tonnage license.
    (c) Tonnage limitations imposed under paragraph (b) of this section 
may be raised or removed in the following manner:
    (1) When the applicant has six months of service on vessels of over 
1600 gross tons in the highest grade licensed, all tonnage limitations 
are removed.
    (2) When the applicant has a total of six months of service on 
vessels of over 1600 gross tons in any licensed capacity other than the 
highest grade for which licensed, all tonnage limitations for the grade 
in which the service is performed are removed and the next higher grade 
license is raised to the tonnage of the vessel on which the majority of 
the service was performed. The total cumulative service before and after 
issuance of the limited license may be considered in removing all 
tonnage limitations.
    (3) When the applicant has 12 months of service as able seaman on 
vessels over 1600 gross tons while holding a license as third mate, all 
tonnage limitations on the third mate's license are removed.
    (d) Individuals holding licenses as master or mate of vessels of not 
more than 1600 gross tons, not more than 500 gross tons, or not more 
than 25-200 gross tons are prohibited from using the provisions of 
paragraph (c) of this section to increase the tonnages of their 
licenses.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
135, Jan. 4, 1989]



Sec. 10.403  Deck license structure.

    The following diagram illustrates the deck license structure, 
including cross over points. The section numbers on the diagram refer to 
the specific requirements applicable.

[[Page 136]]

[GRAPHIC] [TIFF OMITTED] TC01FE91.057

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
136, Jan. 4, 1989]

[[Page 137]]



Sec. 10.404  Service requirements for master of ocean or near coastal steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for license as 
master of ocean or near coastal steam or motor vessels of any gross tons 
is:
    (a) One year of service as chief mate on ocean steam or motor 
vessels; or,
    (b) One year of service on ocean steam or motor vessels while 
holding a license as chief mate of ocean steam or motor vessels as 
follows:
    (1) A minimum of six months of service as chief mate; and,
    (2) Service as officer in charge of a navigational watch accepted on 
a two-for-one basis (12 months as second or third mate equals six months 
of creditable service).



Sec. 10.405  Service requirements for chief mate of ocean or near coastal steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for license as 
chief mate of ocean or near coastal steam or motor vessels of any gross 
tons is one year of service as officer in charge of a navigational watch 
on ocean steam or motor vessels while holding a license as second mate.



Sec. 10.406  Service requirements for second mate of ocean or near coastal steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for license as 
second mate of ocean or near coastal steam or motor vessels of any gross 
tons is:
    (a) One year of service as officer in charge of a navigational watch 
on ocean steam or motor vessels while holding a license as third mate; 
or,
    (b) While holding a license as third mate of ocean steam or motor 
vessels of any gross tons, 12 months of service on deck as follows:
    (1) A minimum of six months service as officer in charge of a deck 
watch on ocean steam or motor vessels; in combination with,
    (2) Service on ocean steam or motor vessels as boatswain, able 
seaman, or quartermaster while holding a certificate as able seaman, 
which may be accepted on a two-for-one basis to a maximum allowable 
substitution of six months (12 months of experience equals 6 months of 
creditable service); or,
    (c) A licensed master of Great Lakes and inland steam or motor 
vessels of any gross tons or master of inland steam or motor vessels of 
any gross tons, may obtain a license as second mate of ocean or near 
coastal steam or motor vessels of any gross tons by completing the 
prescribed examination in subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
138, Jan. 4, 1989]



Sec. 10.407  Service requirements for third mate of ocean or near coastal steam or motor vessels of any gross tons.

    (a) The minimum service or training required to qualify an applicant 
for license as third mate of ocean or near coastal steam or motor 
vessels of any gross tons is:
    (1) Three years of service in the deck department on ocean steam or 
motor vessels, six months of which shall have been as able seaman, 
boatswain, or quartermaster, while holding a certificate as able seaman. 
Experience gained in the engine department on vessels of appropriate 
tonnage may be creditable for up to three months of the service 
requirements for this license; or,
    (2) Graduation from:
    (i) The U.S. Merchant Marine Academy (deck curriculum);
    (ii) The U.S. Coast Guard Academy and qualification as an underway 
officer in charge of a navigational watch;
    (iii) The U.S. Naval Academy and qualification as an underway 
officer in charge of a navigational watch; or,
    (iv) The deck class of a maritime academy approved by and conducted 
under rules prescribed by the Maritime Administrator and listed in part 
310 of this title, except the deck class of the Great Lakes Maritime 
Academy; or,
    (3) Satisfactory completion of a three year apprentice mate training 
program approved by the Commandant.
    (b) Graduation from the deck class of the Great Lakes Maritime 
Academy will qualify the graduate to be examined for a license as third 
mate near coastal steam or motor vessels of any gross tons.

[[Page 138]]

    (c) While holding a license as master of ocean or near coastal steam 
or motor vessels of not more than 1,600 gross tons, one year of service 
as master on vessels of over 200 gross tons operating on ocean or near 
coastal waters will qualify the applicant for a license as third mate of 
ocean or near coastal steam or motor vessels of any gross tons.



Sec. 10.410  Requirements for deck licenses for vessels of not more than 1600 gross tons.

    (a) Licenses as master and mate of vessels of not more than 1600 
gross tons are issued in the following tonnage categories:
    (1) Not more than 1,600 gross tons;
    (2) Not more than 500 gross tons; or,
    (3) Between 25-200 gross tons in 50 ton increments and with 
appropriate mode of propulsion such as steam or motor, sail, or 
auxiliary sail.
    (b) Experience gained in the engine department on vessels of 
appropriate tonnage may be creditable for up to 25 percent of the 
service requirements for any mate license in this category.
    (c) A license in this category obtained with an orally-assisted 
examination will be limited to 500 gross tons. In order to raise that 
tonnage limit to 1,600 gross tons, the written examination and service 
requirements must be satisfied.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
138, Jan. 4, 1989]



Sec. 10.412  Service requirements for master of ocean or near coastal steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for a license 
as master of ocean or near coastal steam or motor vessels of not more 
than 1600 gross tons is:
    (a) Four years total service on ocean or near coastal waters. 
Service on Great Lakes and inland waters may substitute for up to two 
years of the required service. Two years of the required service must 
have been on vessels of over 100 gross tons. Two years of the required 
service must have been as a master, mate, or equivalent supervisory 
position while holding a license as master, mate, operator of 
uninspected towing vessels, or operator of uninspected passenger 
vessels. One year of the service as master, mate, or equivalent 
supervisory position must have been on vessels of over 100 gross tons; 
or,
    (b) An applicant holding a license as chief mate or second mate of 
ocean or near coastal steam or motor vessels of over 1600 gross tons is 
eligible for this license upon completion of a limited examination.

[CGD 81-059, 54 FR 138, Jan. 4, 1989]



Sec. 10.414  Service requirements for mate of ocean steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for a license 
as mate of ocean steam or motor vessels of not more than 1600 gross tons 
is:
    (a) Three years total service in the deck department of ocean or 
near coastal steam or motor, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to 18 months of the 
required service. One year of the required service must have been on 
vessels of over 100 gross tons. One year of the required service must 
have been as a master, mate, or equivalent supervisory position while 
holding a license as master, mate, operator of uninspected towing 
vessels, or operator of uninspected passenger vessels. Six months of the 
required service as master, mate, or equivalent supervisory position 
must have been on vessels of over 100 gross tons; or,
    (b) Three years total service in the deck department on ocean or 
near coastal steam or motor, sail, or auxiliary sail vessels of over 200 
gross tons. Six months of the required service must have been as able 
seaman.

[CGD 81-059, 54 FR 138, Jan. 4, 1989]



Sec. 10.416  Service requirements for mate of near coastal steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for a license 
as mate of near coastal steam or motor vessels of not more than 1600 
gross tons is two years total service in the deck department of ocean or 
near coastal

[[Page 139]]

steam or motor, sail, or auxiliary sail vessels. Service on Great Lakes 
and inland waters may substitute for up to one year of the required 
service. One year of the required service must have been on vessels of 
over 100 gross tons. Six months of the required service must have been 
as able seaman, boatswain, quartermaster, or equivalent position on 
vessels of over 100 gross tons while holding a certificate as able 
seaman.

[CGD 81-059, 54 FR 138, Jan. 4, 1989]



Sec. 10.418  Service requirements for master of ocean or near coastal steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for a license 
as master of ocean or near coastal steam or motor vessels of not more 
than 500 gross tons is:
    (a) Three years total service on ocean or near coastal waters. 
Service on Great Lakes and inland waters may substitute for up to 18 
months of the required service. Two years of the required service must 
have been as a master, mate, or equivalent supervisory position while 
holding a license as master, mate, or operator of uninspected passenger 
vessels. One year of the required service as master, mate, or equivalent 
supervisory position must have been on vessels of over 50 gross tons.
    (b) An applicant holding a license as operator of uninspected towing 
vessels authorizing service on ocean or near coastal waters is eligible 
for this license after six months of service as operator of uninspected 
towing vessels on ocean or near coastal waters and completion of a 
limited examination. This requires three and one-half years of service. 
Two years of this service must have been served while holding a license 
as operator, second-class operator, or mate.

[CGD 81-059, 54 FR 138, Jan. 4, 1989]



Sec. 10.420  Service requirements for mate of ocean steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for a license 
as mate of ocean steam and motor vessels of not more than 500 gross tons 
is two years total service in the deck department of ocean or near 
coastal steam or motor, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to one year of the 
required service. One year of the required service must have been as a 
master, mate, or equivalent supervisory position while holding a license 
as master, mate, operator of uninspected towing vessels, or operator of 
uninspected passenger vessels. Six months of the required service as 
master, mate, or equivalent supervisory position must have been on 
vessels of over 50 gross tons.

[CGD 81-059, 54 FR 138, Jan. 4, 1989]



Sec. 10.421  Service requirements for mate of near coastal steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for a license 
as mate of near coastal steam or motor vessels of not more than 500 
gross tons is two years total service in the deck department of ocean or 
near coastal steam or motor, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to one year of the 
required service. One year of the required service must have been on 
vessels of over 50 gross tons. Three months of the required service must 
have been as able seaman, boatswain, quartermaster, or equivalent 
position on vessels of over 50 gross tons while holding a certificate as 
able seaman.

[CGD 81-059, 54 FR 138, Jan. 4, 1989]



Sec. 10.422  Tonnage limitations and qualifying requirements for licenses as master or mate of vessels of not more than 200 gross tons.

    (a) Except as noted in paragraph (e), all licenses issued for master 
or mate of vessels of not more than 200 gross tons are issued in 50 
gross ton increments based on the applicant's qualifying experience. The 
license is limited to the maximum tonnage on which at least 25 percent 
of the required experience was obtained, or 150 percent of the maximum 
tonnage on which at least 50 percent of the service was obtained, 
whichever is higher. Limitations are in multiples of 50 gross tons using 
the

[[Page 140]]

next higher figure when an intermediate tonnage is calculated.
    (b) The tonnage limitation on these licenses may be raised upon 
completion of:
    (1) At least 45 days of additional service on deck on a vessel of a 
higher tonnage for a tonnage increase on a mate's license; or,
    (2) At least 90 days of additional service on deck on a vessel of a 
higher tonnage for a tonnage increase on a master's license; or,
    (3) Additional service, which, when combined with all previously 
accumulated service, will qualify the applicant for a higher tonnage 
license under the basic formula; or,
    (4) Six months additional service in the deck department on vessels 
within the highest tonnage increment on the license. In this case, the 
tonnage limitation may be raised one increment.
    (c) When the service is obtained on vessels upon which licensed 
personnel are not required, the OCMI must be satisfied that the nature 
of this qualifying service (i.e., size of vessel, route, equipment, 
etc.) is a reasonable equivalent to the duties performed on vessels 
which are required to engage licensed individuals.
    (d) Service gained in the engineroom on vessels of not more than 200 
gross tons may be creditable for up to 25 percent of the deck service 
requirements for mate.
    (e) When the qualifying service is obtained upon vessels of five 
gross tons or less, the license will be limited to vessels of not more 
than 25 gross tons.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
139, Jan. 4, 1989]



Sec. 10.424  Service requirements for master of ocean steam or motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for a 
license as master of ocean steam or motor vessels of not more than 200 
gross tons is:
    (1) Three years total service on ocean or near coastal waters. 
Service on Great Lakes and inland waters may substitute for up to 18 
months of the required service. Two years of the required service must 
have been as master, mate, or equivalent supervisory position while 
holding a license as master, as mate, or as operator of uninspected 
passenger vessels; or,
    (2) Two years total service as a licensed operator or second-class 
operator of ocean or near coastal uninspected towing vessels. Completion 
of a limited examination is also required.
    (b) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of 12 months 
of service on sail or auxiliary sail vessels. The required 12 months of 
service may have been obtained prior to issuance of the master's 
license.
    (c) In addition to any required examination, the applicant must 
comply with the requirements listed in Sec. 10.401(g) of this subpart.

[CGD 81-059, 54 FR 139, Jan. 4, 1989]



Sec. 10.426  Service requirements for master of near coastal steam or motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for a 
license as master of near coastal steam or motor vessels of not more 
than 200 gross tons is:
    (1) Two years total service on ocean or near coastal waters. Service 
on Great Lakes and inland waters may substitute for up to one year of 
the required service. One year of the required service must have been as 
a master, mate, or equivalent supervisory position while holding a 
license as master, as mate, or as operator of uninspected passenger 
vessels; or,
    (2) One year of total service as a licensed operator or second-class 
operator of ocean or near coastal uninspected towing vessels. Completion 
of a limited examination is also required.
    (b) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of 12 months 
of service on sail or auxiliary sail vessels. The required 12 months of 
service may have been obtained prior to issuance of the master's 
license.

[CGD 81-059, 54 FR 139, Jan. 4, 1989]

[[Page 141]]



Sec. 10.427  Service requirements for mate of near coastal steam or motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for license 
as mate of near coastal steam or motor vessels of not more than 200 
gross tons is:
    (1) Twelve months total service in the deck department of ocean or 
near coastal steam or motor, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to six months of the 
required service; or,
    (2) Three months of service in the deck department of steam or motor 
vessels operating on ocean, near coastal, Great Lakes or inland waters 
while holding a license as master of inland steam or motor, sail or 
auxiliary sail vessels of not more than 200 gross tons.
    (b) The holder of a license as operator of uninspected passenger 
vessels with a near coastal route endorsement may obtain this license by 
successfully completing an examination on rules and regulations for 
small passenger vessels.
    (c) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of six months 
of deck service on sail or auxiliary sail vessels.
    (d) A license as master of near coastal steam or motor vessels may 
be endorsed as mate of sail or auxiliary sail vessels upon presentation 
of three months of service on sail or auxiliary sail vessels.
    (e) In order to obtain a tonnage endorsement of over 100 gross tons, 
the applicant must complete the additional examination topics indicated 
in subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 
81-059, 54 FR 139, Jan. 4, 1989]



Sec. 10.428  Service requirements for master of near coastal steam or motor vessels of not more than 100 gross tons.

    (a) The minimum service required to qualify an applicant for a 
license as master of near coastal steam or motor vessels of not more 
than 100 gross tons is two years total service in the deck department of 
steam or motor, sail, or auxiliary sail vessels on ocean or near coastal 
waters. Service on Great Lakes and inland waters may substitute for up 
to one year of the required service.
    (b) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of 12 months 
of service on sail or auxiliary sail vessels. The required 12 months of 
service may have been obtained prior to issuance of the license.

[CGD 81-059, 54 FR 139, Jan. 4, 1989]



Sec. 10.429  Service requirements for limited master of near coastal steam or motor vessels of not more than 100 gross tons.

    (a) Limited masters' licenses for near coastal vessels of not more 
than 100 gross tons may be issued to applicants to be employed by 
organizations such as yacht clubs, marinas, formal camps and educational 
institutions. A license issued under this section is limited to the 
specific activity and the locality of the yacht club, marina or camp. In 
order to obtain this restricted license, an applicant must:
    (1) Have four months of service on any waters in the operation of 
the type of vessel for which the license is requested;
    (2) Satisfactorily complete a safe boating course approved by the 
National Association of State Boating Law Administrators, or a safe 
boating course conducted by the U.S. Power Squadron or the American Red 
Cross, or a Coast Guard approved course. This course must have been 
completed within five years before the date of application; and,
    (3) Pass a limited examination appropriate for the activity to be 
conducted and the route authorized.
    (b) The first aid and cardiopulmonary resuscitation (CPR) course 
certificates required by Sec. 10.201(h) of this part will only be 
required when, in the opinion of the OCMI, the geographic area over 
which service is authorized precludes obtaining medical services within 
a reasonable time.
    (c) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of four 
months of service on sail or auxiliary sail vessels. The required four 
months of service may have been

[[Page 142]]

obtained prior to issuance of the license.

[CGD 81-059, 54 FR 139, Jan. 4, 1989]



Sec. 10.430  Licenses for the Great Lakes and inland waters.

    Any license issued for service on the Great Lakes and inland waters 
is valid on all of the inland waters of the United States as defined in 
this part. Any license issued for service on inland waters is valid for 
the inland waters of the United States, excluding the Great Lakes. 
Licenses with either a Great Lakes and inland or an inland route are 
valid for service on the sheltered waters of the Inside Passage between 
Puget Sound and Cape Spencer, Alaska. As these licenses authorize 
service on waters seaward of the International Regulations for 
Preventing Collisions at Sea (COLREGS) demarcation line as defined in 33 
CFR part 80, the applicant must complete an examination on the COLREGS 
or the license must be endorsed with an exclusion from such waters.

[CGD 81-059, 54 FR 139, Jan. 4, 1989]



Sec. 10.431  Tonnage requirements for Great Lakes and inland licenses for vessels of over 1600 gross tons.

    (a) All required experience for Great Lakes and inland unlimited 
licenses must be obtained on vessels of over 200 gross tons. At least 
one-half of the required experience must be obtained on vessels of 1600 
gross tons or over.
    (b) Tonnage limitations may be imposed on these licenses in 
accordance with Sec. 10.402 (b) and (c).



Sec. 10.433  Service requirements for master of Great Lakes and inland steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for license as 
master of Great Lakes and inland steam or motor vessels of any gross 
tons is:
    (a) One year of service as mate or first class pilot while acting in 
the capacity of first mate of Great Lakes steam or motor vessels of more 
than 1600 gross tons; or,
    (b) Two years of service as master of inland (excluding the Great 
Lakes) steam or motor vessels of more than 1600 gross tons; or,
    (c) One year of service upon Great Lakes waters while holding a 
license as mate or first class pilot of Great Lakes and inland steam or 
motor vessels of more than 1600 gross tons. A minimum of six months of 
this service must have been in the capacity of first mate. Service as 
second mate is accepted for the remainder on a two-for-one basis to a 
maximum of six months (12 months of service equals six months of 
creditable service).



Sec. 10.435  Service requirements for master of inland steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for license as 
master of inland (excluding the Great Lakes) steam or motor vessels of 
any gross tons is:
    (a) One year of service as first class pilot (of other than canal 
and small lakes routes) or mate of Great Lakes or inland steam or motor 
vessels of more than 1,600 gross tons; or,
    (b) Two years of service as wheelsman or quartermaster while holding 
a mate/first class pilot license.



Sec. 10.437  Service requirements for mate of Great Lakes and inland steam or motor vessels of any gross tons.

    (a) The minimum service required to qualify an applicant for license 
as mate of Great Lakes and inland steam or motor vessels of any gross 
tons is:
    (1) Three years of service in the deck department of steam or motor 
vessels, at least three months of which must have been on vessels on 
inland waters and at least six months of which must have been as able 
seaman, inland mate, boatswain, wheelsman, quartermaster, or equivalent 
position;
    (2) Graduation from the deck class of the Great Lakes Maritime 
Academy; or,
    (3) While holding a license as master of Great Lakes and inland 
steam or motor vessels of not more than 1600 gross tons, one year 
service as master on vessels of over 200 gross tons.
    (b) Service gained in the engine department on vessels of 
appropriate tonnage may be creditable for up to six months of the 
service requirements under paragraph (a)(1) of this section.

[[Page 143]]



Sec. 10.442  Service requirements for master of Great Lakes and inland steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for a license 
as master of Great Lakes and inland steam or motor vessels of not more 
than 1600 gross tons is:
    (a) Three years total service on vessels. Eighteen months of the 
required service must have been on vessels of over 100 gross tons. One 
year of the required service must have been as a master, mate, or 
equivalent supervisory position on vessels of over 100 gross tons while 
holding a license as master, as mate, or as operator of uninspected 
towing vessels; or,
    (b) Six months of service as operator on vessels of over 100 gross 
tons while holding a license as operator of uninspected towing vessels.

[CGD 81-059, 54 FR 140, Jan. 4, 1989]



Sec. 10.444  Service requirements for mate of Great Lakes and inland steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for license as 
mate of Great Lakes and inland steam or motor vessels of not more than 
1600 gross tons is:
    (a) Two years total service in the deck department of steam or 
motor, sail, or auxiliary sail vessels. One year of the required service 
must have been on vessels of over 100 gross tons. Six months of the 
required service must have been as able seaman, boatswain, 
quartermaster, or equivalent position on vessels of over 100 gross tons 
while holding a certificate as able seaman; or,
    (b) One year total service as master of steam or motor, sail, or 
auxiliary sail vessels, or operator of uninspected passenger vessels, of 
over 50 gross tons while holding a license as master steam or motor, 
sail, or auxiliary sail vessels of not more than 200 gross tons or 
operator of uninspected passenger vessels; or,
    (c) Six months total service as second-class operator of uninspected 
towing vessels on vessels of over 100 gross tons.

[CGD 81-059, 54 FR 140, Jan. 4, 1989]



Sec. 10.446  Service requirements for master of Great Lakes and inland steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for a license 
as master of Great Lakes and inland steam or motor vessels of not more 
than 500 gross tons is:
    (a) Three years total service on vessels. One year of the required 
service must have been as a master, mate, or equivalent supervisory 
position on vessels of over 50 gross tons while holding a license as 
master, as mate, or as operator of uninspected passenger vessels.
    (b) An applicant holding a license as operator of ocean, near 
coastal, or Great Lakes and inland uninspected towing vessels is 
eligible for this license after six months of service as operator of 
uninspected towing vessels and completion of a limited examination. This 
requires three and one-half years of service. Two years of this service 
must have been served while holding a license as operator or second-
class operator of uninspected towing vessels, or mate.

[CGD 81-059, 54 FR 140, Jan. 4, 1989]



Sec. 10.448  Service requirements for mate of Great Lakes and inland steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for a license 
as mate of Great Lakes and inland steam or motor vessels of not more 
than 500 gross tons is two years total service in the deck department of 
steam or motor, sail, or auxiliary sail vessels. One year of the 
required service must have been on vessels of over 50 gross tons. Three 
months of the required service must have been as able seaman, boatswain, 
quartermaster, or equivalent position on vessels of over 50 gross tons 
while holding a certificate as able seaman.

[CGD 81-059, 54 FR 140, Jan. 4, 1989]

[[Page 144]]



Sec. 10.450  Tonnage limitations and qualifying requirements for licenses as master or mate of Great Lakes and inland vessels of not more than 200 gross tons.

    (a) Except as noted in subparagraph (d), all licenses issued for 
master or mate of vessels of not more than 200 gross tons are issued in 
50 ton increments based on the applicants qualifying experience in 
accordance with the provisions of Sec. 10.422. See the tonnage and 
qualifying service discussion in Sec. 10.422 for further clarification.
    (b) Service gained in the engineroom on vessels of not more than 200 
gross tons may be creditable for up to 25 percent of the deck service 
requirements for mate.
    (c) When the service is obtained on vessels upon which licensed 
personnel are not required, the OCMI must be satisfied that the nature 
of this qualifying service (i.e., size of vessel, route, equipment, 
etc.) is a reasonable equivalent to the duties performed on vessels 
which are required to engage licensed individuals.
    (d) When the qualifying service is obtained upon vessels of five 
gross tons or less, the license will be limited to vessels of not more 
than 25 gross tons.



Sec. 10.452  Service requirements for master of Great Lakes and inland steam or motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for a 
license as master of Great Lakes and inland steam or motor vessels of 
not more than 200 gross tons is one year of service on vessels. Six 
months of the required service must have been as master, mate, or 
equivalent supervisory position while holding a license as master, mate, 
operator or second-class operator of uninspected towing vessels, or 
operator of uninspected passenger vessels. To obtain authority to serve 
on the Great Lakes, three months of the required service must have been 
on Great Lakes waters, otherwise the license will be limited to the 
inland waters of the United States (excluding the Great Lakes).
    (b) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must have six months of service on 
sail or auxiliary sail vessels. The required six months of service may 
have been obtained prior to issuance of the master's license.

[CGD 81-059, 54 FR 140, Jan. 4, 1989]



Sec. 10.454  Service requirements for mate of Great Lakes and inland steam or motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for a 
license as mate of Great Lakes and inland steam or motor vessels of not 
more than 200 gross tons is six months of service in the deck department 
of steam or motor, sail, or auxiliary sail vessels. To obtain authority 
to serve on the Great Lakes, three months of the required service must 
have been on Great Lakes waters, otherwise the license will be limited 
to the inland waters of the United States (excluding the Great Lakes).
    (b) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of three 
months of service on sail or auxiliary sail vessels.
    (c) A license as master of steam or motor vessels may be endorsed as 
mate of sail or auxiliary sail vessels upon presentation of three months 
service on sail or auxiliary sail vessels.
    (d) The holder of a license as operator of inland uninspected 
passenger vessels may obtain this license by successfully completing an 
examination on rules and regulations for small passenger vessels. To 
obtain authority to serve on the Great Lakes, three months of the 
required service must have been on Great Lakes waters, otherwise the 
license will be limited to the inland waters of the United States 
(excluding the Great Lakes).
    (e) In order to obtain a tonnage endorsement of over 100 gross tons, 
the applicant must complete the additional examination topics indicated 
in subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
140, Jan. 4, 1989]

[[Page 145]]



Sec. 10.455  Service requirements for master of Great Lakes and inland steam or motor vessels of not more than 100 gross tons.

    (a) The minimum service required to qualify an applicant for a 
license as master of Great Lakes and inland steam or motor vessels of 
not more than 100 gross tons is one year of total service in the deck 
department of steam or motor, sail, or auxiliary sail vessels. To obtain 
authority to serve on the Great Lakes, three months of the required 
service must have been on Great Lakes waters, otherwise the license will 
be limited to the inland waters of the United States (excluding the 
Great Lakes).
    (b) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of six months 
of service on sail or auxiliary sail vessels. The required six months of 
service may have been obtained prior to issuance of the license.

[CGD 81-059, 54 FR 140, Jan. 4, 1989]



Sec. 10.456  Service requirements for limited master of Great Lakes and inland steam or motor vessels of not more than 100 gross tons.

    Limited masters' licenses for vessels of not more than 100 gross 
tons upon Great Lakes and inland waters may be issued to applicants to 
be employed by organizations such as formal camps, educational 
institutions, yacht clubs, and marinas with reduced service 
requirements. A license issued under this paragraph is limited to the 
specific activity and the locality of the camp, yacht club or marina. In 
order to obtain this restricted license, an applicant must:
    (a) Have four months of service in the operation of the type of 
vessel for which the license is requested; and,
    (b) Satisfactorily complete a safe boating course approved by the 
National Association of State Boating Law Administrators, a public 
education course conducted by the U.S. Power Squadron or the American 
Red Cross, or a Coast Guard approved course. This course must have been 
completed within five years before the date of application; and,
    (c) Pass a limited examination appropriate for the activity to be 
conducted and the route authorized.
    (d) The first aid and cardiopulmonary resuscitation (CPR) course 
certificates required by Sec. 10.201(h) of this part will only be 
required when, in the opinion of the OCMI, the geographic area over 
which service is authorized precludes obtaining medical services within 
a reasonable time.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 
81-059, 54 FR 140, Jan. 4, 1989]



Sec. 10.457  Service requirements for master of inland steam or motor vessels of not more than 100 gross tons.

    (a) An applicant for a license as master of inland steam or motor 
vessels of not more than 100 gross tons must present one year of service 
on any waters. In order to raise the tonnage limitation over 100 gross 
tons, the examination topics indicated in subpart I of this part must be 
completed in addition to satisfying the experience requirements of 
Sec. 10.452(a).
    (b) In order to obtain an endorsement on this license for sail or 
auxiliary sail vessels, the applicant must submit evidence of six months 
of service on sail or auxiliary sail vessels. The required six months of 
service may have been obtained prior to issuance of the license.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 
81-059, 54 FR 141, Jan. 4, 1989]



Sec. 10.459  Service requirements for master or mate of rivers.

    (a) An applicant for a license as master of river steam or motor 
vessels of any gross tons must meet the same service requirements as 
master of inland steam or motor vessels of any gross tons.
    (b) An applicant for a license as master or mate of river steam or 
motor vessels, with a limitation of 25-1600 gross tons, must meet the 
same service requirements as those required by this subpart for the 
corresponding tonnage Great Lakes and inland steam or motor license. 
Service on the Great Lakes is not, however, required.

[CGD 81-059, 54 FR 141, Jan. 4, 1989]

[[Page 146]]



Sec. 10.462  Licenses for master or mate of uninspected fishing industry vessels.

    (a) This section applies to licenses for masters and mates of all 
vessels, however propelled, navigating the high seas, which are 
documented to engage in the fishing industry, with the exception of:
    (1) Wooden ships of primitive build;
    (2) Unrigged vessels; and,
    (3) Vessels of less than 200 gross tons.
    (b) Licenses as master or mate of uninspected fishing industry 
vessels are issued for either ocean or near coastal routes, depending on 
the examination completed. To qualify for an uninspected fishing 
industry vessel license, the applicant must satisfy the training and 
examination requirements of Sec. 10.401(g) of this subpart.
    (c) An applicant for a license as master of uninspected fishing 
industry vessels must have four years of total service on ocean or near 
coastal routes. Service on Great Lakes or inland waters may substitute 
for up to two years of the required service. One year of the required 
service must have been as licensed master, as unlicensed master, or as 
licensed mate or equivalent supervisory position while holding a license 
as master, mate, operator of uninspected towing vessels, or operator of 
uninspected passenger vessels.
    (1) To qualify for a license of not more than 500 gross tons, at 
least two years of the required service, including the one year as 
master, mate or equivalent, must have been on vessels of over 50 gross 
tons.
    (2) To qualify for a license of not more than 1600 gross tons, at 
least two years of the required service, including the one year as 
master, mate or equivalent, must have been on vessels of over 100 gross 
tons.
    (3) To qualify for a license of over 1600 gross tons, but not more 
than 5000 gross tons, the vessel tonnage upon which the four years of 
required service was obtained will be used to compute the tonnage. The 
license is limited to the maximum tonnage on which at least 25 percent 
of the required service was obtained, or 150 percent of the maximum 
tonnage on which at least 50 percent of the service was obtained, 
whichever is higher. Limitations are in multiples of 1000 gross tons, 
using the next higher figure when an intermediate tonnage is calculated. 
A license as master of uninspected fishing industry vessels authorizing 
service on vessels over 1600 gross tons also requires one year as 
master, mate or equivalent on vessels over 100 gross tons.
    (4) The tonnage limitation on this license may be raised using one 
of the following methods, but cannot exceed 5000 gross tons. Limitations 
are in multiples of 1000 gross tons, using the next higher figure when 
an intermediate tonnage is calculated.
    (i) Three months service as master on a vessel results in a 
limitation in that capacity equal to the tonnage of that vessel rounded 
up to the next multiple of 1000 gross tons;
    (ii) Six months service as master on a vessel results in a 
limitation in that capacity equal to 150% of the tonnage of that vessel;
    (iii) Six months service as master on vessels over 1600 gross tons 
results in raising the limitation to 5000 gross tons;
    (iv) Six months service as mate on vessels over 1600 gross tons 
results in raising the limitation for master to the tonnage on which at 
least 50 percent of the service was obtained;
    (v) Two years service as a deckhand on a vessel while holding a 
license as master results in a limitation on the master's license equal 
to 150% of the tonnage of that vessel up to 5000 gross tons; or,
    (vi) One year of service as deckhand on a vessel while holding a 
license as master results in a limitation on the master's license equal 
to the tonnage of that vessel.
    (d) An applicant for a license as mate of uninspected fishing 
industry vessels must have three years of total service on ocean or near 
coastal routes. Service on Great Lakes or inland waters may substitute 
for up to 18 months of the required service.
    (1) To qualify for a license of not more than 500 gross tons, at 
least one year of the required service must have been on vessels of over 
50 gross tons.
    (2) To qualify for a license of not more than 1600 gross tons, at 
least one year of the required service must have been on vessels of over 
100 gross tons.

[[Page 147]]

    (3) To qualify for a license of over 1600 gross tons, but not more 
than 5000 gross tons, the vessel tonnage upon which the three years of 
required service was obtained will be used to compute the tonnage. The 
license is limited to the maximum tonnage on which at least 25 percent 
of the required service was obtained, or 150 percent of the maximum 
tonnage on which at least 50 percent of the service was obtained, 
whichever is higher. Limitations are in multiples of 1000 gross tons, 
using the next higher figure when an intermediate tonnage is calculated.
    (4) The tonnage limitation on this license may be raised using one 
of the following methods, but cannot exceed 5000 gross tons. Limitations 
are in multiples of 1000 gross tons, using the next higher figure when 
an intermediate tonnage is calculated.
    (i) Three months service as mate on a vessel results in a limitation 
in that capacity equal to the tonnage of that vessel rounded up to the 
next multiple of 1000 gross tons;
    (ii) Six months service as mate on a vessel results in a limitation 
in that capacity equal to 150% of the tonnage of that vessel;
    (iii) Six months service as mate on vessels over 1600 gross tons 
results in raising the limitation to 5000 gross tons;
    (iv) One year of service as deckhand on vessels over 1600 gross tons 
while holding a license as mate, results in raising the limitation on 
the mate's license to 5000 gross tons;
    (v) Two years service as a deckhand on a vessel while holding a 
license as mate results in a limitation on the mate's license equal to 
150% of the tonnage of that vessel up to 5000 gross tons; or,
    (vi) One year of service as deckhand on a vessel while holding a 
license as mate results in a limitation on the mate's license equal to 
the tonnage of that vessel.
    (e) Applicants may request an oral examination on the subjects 
listed in subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
141, Jan. 4, 1989]



Sec. 10.464  Licenses for operator of uninspected towing vessels.

    (a) Licenses are issued as operator or second-class operator of 
uninspected towing vessels. These licenses do not authorize service 
aboard uninspected towing vessels on a foreign voyage nor on those of 
more than 200 gross tons in ocean or near coastal service.
    (b) Licenses as operator and second-class operator of uninspected 
towing vessels are endorsed for operation on one or more of the 
following geographic areas:
    (1) Oceans (domestic trade) waters;
    (2) Near coastal waters;
    (3) Great Lakes and inland waters;
    (4) Western rivers; or,
    (5) A limited local area designated by the Officer in Charge, Marine 
Inspection.
    (c) For a license as operator of uninspected towing vessels, an 
applicant must have one of the following:
    (1) Three years of service including the following:
    (i) Two years on deck of a vessel of 26 feet or over in length;
    (ii) One year on deck on a towing vessel, with at least six months 
of training or duty in the wheelhouse of the towing vessel; and,
    (iii) Three months of service in each particular geographic area for 
which application is made; or,
    (2) Three years of service on towing vessels including the 
following:
    (i) One year on deck, with at least six months of training or duty 
in the wheelhouse of the towing vessel; and,
    (ii) Three months of service in each particular geographic area for 
which application is made; or,
    (3) For a license endorsed for a limited local area, 18 months 
service on deck on a towings vessel within the local area, including at 
least three months of training or duty in the Wheelhouse of the towing 
vessel.
    (d) For a license as second-class operator of uninspected towing 
vessels, an applicant must have:
    (1) At least 18 months of service on deck, including 12 months on 
towing vessels. The service must include at least three months of 
training or duty in the wheelhouse of towing vessels and

[[Page 148]]

three months of service in each particular geographic area for which 
endorsement for the license is requested; or,
    (2) At least six months of service on towing vessels while holding a 
merchant mariner's document endorsed as able seaman unlimited, able 
seaman limited, or able seaman special. The service must include three 
months in each particular geographic area for which an endorsement is 
requested, and either two months of training or duty in the wheelhouse 
or one month training or duty in the wheelhouse combined with successful 
completion of a towboat operator course of training approved by the 
Commanding Officer, National Maritime Center under subpart C.
    (e) In order to obtain an operator or second-class operator license 
for ocean (domestic trade) waters, whether an original, raise in grade, 
or increase in scope, the applicant must complete the following training 
and examination requirements:
    (1) Approved firefighting course;
    (2) Approved radar observer course; and,
    (3) Qualification as able seaman unlimited, able seaman limited, 
able seaman special, or able seaman offshore supply vessels.
    (f) The examination for a license as operator of uninspected towing 
vessels endorsed for a local limited area is modified by deleting 
inappropriate questions.
    (g) A person holding a license as second-class operator of 
uninspected towing vessels who is 21 years old and possesses the service 
required in paragraph (c) of this section may be issued a license as 
operator without further examination.
    (h) A person holding a license as operator of uninspected towing 
vessels may have that license endorsed as second-class operator for a 
geographic area on which he or she has no operating experience, upon 
passing an examination for that area. Upon completion of three months of 
experience in that geographic area, the second-class restriction may be 
removed.
    (i) An applicant for a license as operator or second-class operator 
of uninspected towing vessels who intends to serve only in the vicinity 
of Puerto Rico, and who speaks Spanish only, may be issued a license 
restricted to the navigable waters of the United States in the vicinity 
of Puerto Rico.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
142, Jan. 4, 1989; CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-1998-
4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.466  Licenses for operators of uninspected passenger vessels.

    (a) This section applies to all applicants for the license to 
operate an uninspected vessel of less than 100 gross tons, equipped with 
propulsion machinery of any type, carrying six or less passengers.
    (b) Operator of uninspected passenger vessels licenses issued for 
ocean waters will be limited to near coastal waters not more than 100 
miles offshore. Licenses issued for inland waters will include all 
inland waters, except Great Lakes. Licenses may be issued for a 
particular local area under paragraph (f) of this section.
    (c) For a license as operator of an uninspected passenger vessel 
with a near coastal endorsement, an applicant must have a minimum of 12 
months experience in the operation of vessels, including at least three 
months service on vessels operating on ocean or near coastal waters.
    (d) For a license as operator of an uninspected passenger vessel 
with a Great Lakes and inland waters endorsement, an applicant must have 
12 months service on Great Lakes or inland waters, including at least 
three months service operating vessels on Great Lakes waters.
    (e) For a license as operator of an uninspected passenger vessel 
with an inland endorsement, an applicant must have a minimum of 12 
months experience in the operation of vessels.
    (f) An operator of uninspected passenger vessels license, limited on 
its face to undocumented vessels, may be issued to a person who is not a 
citizen of the United States.
    (g) Limited operator of uninspected passenger vessel licenses may be 
issued to applicants to be employed by organizations such as formal 
camps, yacht clubs, educational institutions, and marinas. A license 
issued under this

[[Page 149]]

paragraph will be limited to the specific activity and the locality of 
the camp, yacht club, or marina. In order to obtain this restricted 
license, an applicant must:
    (1) Have three months service in the operation of the type of vessel 
for which the license is requested; and,
    (2) Satisfactorily complete a safe boating course approved by the 
National Association of State Boating Law Administrators, or those 
public education courses conducted by the U.S. Power Squadron or the 
American National Red Cross or a Coast Guard approved course; and,
    (3) Pass a limited examination appropriate for the activity to be 
conducted and the route authorized.
    (4) The first aid and cardiopulmonary resuscitation (CPR) course 
certificates required by Sec. 10.201(h) of this part will only be 
required when, in the opinion of the OCMI, the geographic area over 
which service is authorized precludes obtaining medical services within 
a reasonable time.
    (h) An applicant for a license as operator of uninspected passenger 
vessels who intends to serve only in the vicinity of Puerto Rico, and 
who speaks Spanish only, may be issued a license restricted to the 
navigable waters of the United States in the vicinity of Puerto Rico.

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



Sec. 10.468  Licenses for mobile offshore drilling units.

    Licenses for service on mobile offshore drilling units (MODUs) 
authorize service on units of any gross tons upon ocean waters while on 
location or while underway, as restricted on the license, except when 
moving independently under their own power.

[CGD 81-059a, 55 FR 14799, Apr. 18, 1990]



Sec. 10.470  Licenses for offshore installation manager.

    (a) Licenses as offshore installation manager (OIM) are endorsed as:
    (1) OIM Unrestricted;
    (2) OIM Surface Units on Location;
    (3) OIM Surface Units Underway;
    (4) OIM Bottom Bearing Units on Location; or
    (5) OIM Bottom Bearing Units Underway.
    (b) To qualify for a license or endorsement as OIM Unrestricted, an 
applicant must:
    (1) Present evidence of the following experience:
    (i) Four years of employment assigned to MODUs including at least 
one year of service as driller, assistant driller, toolpusher, assistant 
toolpusher, barge supervisor, mechanical supervisor, electrician, crane 
operator, ballast control operator or equivalent supervisory position on 
MODUs, with a minimum of 14 days of that supervisory service on surface 
units; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give consideration to accepting education credentials from 
programs having other than ABET accreditation. An applicant qualifying 
through a degree program must also have at least 168 days of service as 
driller, assistant driller, toolpusher, assistant toolpusher, barge 
supervisor, mechanical supervisor, electrician, crane operator, ballast 
control operator, or equivalent supervisory position on MODUs, with a 
minimum of 14 days of that supervisory service on surface units;
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for an OIM Unrestricted license or endorsement;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course;
    (iii) A certificate from a U.S. Minerals Management Service approved 
blowout prevention and well control training program for the driller, 
toolpusher, or operator representative position;
    (iv) A certificate from a firefighting training course as required 
by Sec. 10.205(g) of this part; and
    (3) Provide a recommendation signed by a senior company official 
which:
    (i) Provides a description of the applicant's experience and 
qualifications;

[[Page 150]]

    (ii) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, two rig moves each of 
surface units and of bottom bearing units; and
    (iii) Certifies that one of the rig moves required under paragraph 
(b)(3)(ii) of this section was completed within one year preceding date 
of application.
    (c) An applicant for an endorsement as OIM Unrestricted who holds an 
unlimited license as master or chief mate must satisfy the requirements 
in paragraphs (b)(2) and (b)(3) of this section and have at least 84 
days of service on surface units and at least 28 days of service on 
bottom bearing units.
    (d) To qualify for a license or endorsement as OIM Surface Units on 
Location, and applicant must:
    (1) Present evidence of the following experience:
    (i) Four years of employment assigned to MODUs including at least 
one year of service as driller, assistant driller, toolpusher, assistant 
toolpusher, barge supervisor, mechanical supervisor, electrician, crane 
operator, ballast control operator or equivalent supervisory position on 
MODUs, with a minimum of 14 days of that supervisory service on surface 
units; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give consideration to accepting education credentials from 
programs having other than ABET accreditation. An applicant qualifying 
through a degree program must also have at least 168 days of service as 
driller, assistant driller, toolpusher, assistant toolpusher, barge 
supervisor, mechanical supervisor, electrician, crane operator, ballast 
control operator or equivalent supervisory position of MODUs, with a 
minimum of 14 days of that supervisory service on surface units; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for an OIM Surface Units license or endorsement;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course;
    (iii) A certificate from a U.S. Minerals Management Service approved 
blowout prevention and well control training program for the driller, 
toolpusher, or operator representative position; and
    (iv) A certificate from a firefighting training course as required 
by Sec. 10.205(g) of this part.
    (e) An applicant for an endorsement as OIM Surface Units on Location 
who holds an unlimited license as master or chief mate must satisfy the 
requirements of paragraph (d)(2) of this section and have at least 84 
days of service on surface units.
    (f) To qualify for a license as OIM Surface Units Underway, an 
applicant must:
    (1) Provide the following:
    (i) Evidence of the experience described in paragraph (d)(1) of this 
section and a recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and 
qualifications;
    (B) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves of 
surface units; and
    (C) Certifies that one of the rig moves required under paragraph 
(f)(1)(i)(B) of this section was completed within one year preceding 
date of application; or
    (ii) A recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and company 
qualifications program completed;
    (B) Certifies that the applicant has witnessed ten rig moves either 
as an observer in training or as a rig mover under supervision;
    (C) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, five rig moves of 
surface units; and
    (D) Certifies that one of the rig moves required under paragraph 
(f)(1)(ii)(C) of this section was completed within one year preceding 
date of application; and

[[Page 151]]

    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for an OIM Surface Units license or endorsement;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 10.205(g) of this part.
    (g) An applicant for endorsement as OIM Surface Units Underway who 
holds an unlimited license as master or chief mate must satisfy the 
requirements in paragraph (f)(2) of this section and provide a company 
recommendation signed by a senior company official which:
    (1) Provides a description of the applicant's experience and 
qualifications;
    (2) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves on 
surface units; and
    (3) Certifies that one of the rig moves required under paragraph 
(g)(2) of this section was completed within one year preceding date of 
application.
    (h) To qualify for a license or endorsement as OIM Bottom Bearing 
Units on Location, an applicant must:
    (1) Present evidence of the following experience:
    (i) Four years of employment assigned to MODUs including at least 
one year of service as driller, assistant driller, toolpusher, assistant 
toolpusher, barge supervisor, mechanical supervisor, electrician, crane 
operator, ballast control operator or equivalent supervisory position on 
MODUs; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give consideration to accepting education credentials from 
programs having other than ABET accreditation. An applicant qualifying 
through a degree program must also have at least 168 days of service as 
driller, assistant driller, toolpusher, assistant toolpusher, barge 
supervisor, mechanical supervisor, electrician, crane operator, ballast 
control operator or equivalent supervisory position on MODUs; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved survival suit and 
survival craft training course;
    (ii) A certificate from a U.S. Minerals Management Service approved 
blowout prevention and well control training program for the driller, 
toolpusher, or operator representative position; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 10.205(g) of this part.
    (i) An applicant for an endorsement as OIM Bottom Bearing Units on 
Location who holds an unlimited license as master or chief mate must 
satisfy paragraph (h)(2) of this section and have at least 28 days of 
service on bottom bearing units.
    (j) To qualify for a license or endorsement as OIM Bottom Bearing 
Units Underway, an applicant must:
    (1) Provide the following:
    (i) Evidence of the experience described in paragraph (h)(1) of this 
section with a recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and 
qualifications;
    (B) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves of 
bottom bearing units; and
    (C) Certifies that one of the rig moves required under paragraph 
(j)(1)(i)(B) of this section was completed within one year preceding 
date of application; or
    (ii) A recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and company 
qualifications program completed;
    (B) Certifies that the applicant has witnessed ten rig moves either 
as an observer in training or as a rig mover under supervision;
    (C) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, five rig moves of 
bottom bearing units; and
    (D) Certifies that one of the rig moves required under paragraph

[[Page 152]]

(j)(1)(ii)(C) of this section was completed within one year preceding 
date of application; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for OIM Bottom Bearing Units license or endorsement;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 10.205(g) of this part;
    (k) An applicant for endorsement as OIM Bottom Bearing Units 
Underway who holds an unlimited license as master or chief mate must 
satisfy the requirements in paragraph (j)(2) of this section and provide 
a company recommendation signed by a senior company official which:
    (1) Provides a description of the applicant's experience and 
qualifications;
    (2) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves of 
bottom bearing units; and
    (3) Certifies that one of the rig moves required under paragraph 
(k)(2) of this section was completed within one year preceding date of 
application.

[CGD 81-059a, 55 FR 14799, Apr. 18, 1990, as amended by CGD 95-072, 60 
FR 50460, Sept. 29, 1995; CGD 95-028, 62 FR 51195, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.472  License for barge supervisor.

    (a) To qualify for a license or endorsement as barge supervisor 
(BS), an applicant must:
    (1) Present evidence of the following experience:
    (i) Three years of employment assigned to MODUs including at least 
168 days of service as driller, assistant driller, toolpusher, assistant 
tool pusher, mechanic, electrician, crane operator, subsea specialist, 
ballast control operator or equivalent supervisory position on MODUs. At 
least 84 days of that service shall have been as a ballast control 
operator or barge supervisor trainee; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give consideration to accepting education credentials from 
programs having other than ABET accreditation. An applicant qualifying 
through a degree program must also have at least 168 days of service as 
driller, assistant driller, toolpusher, assistant toolpusher, mechanic, 
electrician, crane operator, subsea specialist, ballast control operator 
or equivalent supervisory position on MODUs. At least 84 days of that 
service shall have been as a ballast control operator or barge 
supervisor trainee; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for a barge supervisor license or endorsement;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 10.205(g) of this part.
    (b) An applicant for an endorsement as BS who holds an unlimited 
license as master or mate must satisfy the requirements in paragraph 
(a)(2) of this section and have at least 84 days of service as ballast 
control operator or barge supervisor trainee.

[CGD 81-059a, 55 FR 14801, Apr. 18, 1990, as amended by CGD 95-072, 60 
FR 50460, Sept. 29, 1995; CGD 95-028, 62 FR 51195, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.474  License for ballast control operator.

    (a) To qualify for a license or endorsement as ballast control 
operator (BCO), an applicant must:
    (1) Present evidence of the following experience:
    (i) One year of employment assigned to MODUs including at least 28 
days of service as a trainee under the supervision of a licensed ballast 
control operator; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give

[[Page 153]]

consideration to accepting education credentials from programs having 
other than ABET accreditation. An applicant qualifying through a degree 
program must also have at least 28 days of service as a trainee under 
the supervision of a licensed ballast control operator; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for a barge supervisor or ballast control operator license or 
endorsement;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 10.205(g) of this part.
    (b) An applicant for an endorsement as BCO who holds an unlimited 
license as master, mate, chief engineer, or assistant engineer must 
satisfy the requirements in paragraph (a)(2) of this section and have at 
least 28 days of service as a trainee under the supervision of a 
licensed ballast control operator.

[CGD 81-059a, 55 FR 14801, Apr. 18, 1990, as amended by CGD 95-072, 60 
FR 50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USDA-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.476  Acknowledgments of service and temporary licenses for mobile offshore drilling units.

    (a) Prior to January 1, 1991, unlicensed individuals who served in 
positions on MODUs equivalent to OIM, BS, or BCO may make application 
for a Coast Guard acknowledgment of service or a temporary license, both 
of which authorize a continuation of service in that position. To be 
eligible, these individuals must have served in that position between 
July 1, 1987 and June 30, 1990, and meet the following requirements:
    (1) Coast Guard acknowledgment of service.
    (i) To obtain a Coast Guard acknowledgment of service, the applicant 
must provide a letter from a senior company official of the company 
worked for. This letter must provide:
    (A) Name of vessel(s) served on;
    (B) MODU license which the individual's position is equivalent to; 
and
    (C) Period of service.
    (ii) The Coast Guard acknowledgment of service is valid for one year 
and is not renewable.
    (2) Temporary license.
    (i) To obtain a temporary license, the applicant must:
    (A) Provide a letter from a senior company official of the company 
worked for. This letter must provide:
    (1) Name of vessel(s) served on;
    (2) MODU license which the individual's position is equivalent to; 
and
    (3) Period of service; and
    (B) Provide evidence of 120 days of service in a position equivalent 
to the license endorsement sought.
    (ii) a temporary license is valid for five years and is not 
renewable.
    (b) Acknowledgments or temporary licenses obtained using the 
provisions of this section will restrict service authority to vessels 
operated by the company which has certified service.

[CGD 81-059a, 55 FR 14802, Apr. 18, 1990]



Sec. 10.480  Radar observer.

    (a) This section contains the requirements that an applicant must 
meet to qualify as a radar observer. (Part 15 of this chapter specifies 
who must qualify as a radar observer.)
    (b) If an applicant meets the requirements of this section, one of 
the following Radar-Observer endorsements will be added to his or her 
deck officer's license:
    (1) Radar Observer (Unlimited).
    (2) Radar Observer (Inland Waters and GIWW).
    (3) Radar Observer (Rivers).
    (c) Endorsement as Radar Observer (Unlimited) is valid on all 
waters. Endorsement as Radar Observer (Inland Waters and GIWW) is valid 
only for those waters other than the Great Lakes covered by the Inland 
Navigational Rules. Endorsement as Radar Observer (Rivers) is valid only 
on any river, canal, or similar body of water designated by the OCMI, 
but not beyond the boundary line.
    (d) Except as provided by paragraphs (e) and (f) of this section, 
each applicant for a Radar-Observer endorsement or for renewal of an 
endorsement must complete the appropriate course approved by the Coast 
Guard, receive the

[[Page 154]]

appropriate certificate of training, and present the certificate to the 
OCMI.
    (e) An applicant who possesses a Radar-Observer endorsement, resides 
in a remote geographic area, and can substantiate to the satisfaction of 
the OCMI that the applicant's absence will disrupt normal movement of 
commerce, or that the applicant cannot attend an approved Radar-Observer 
renewal course, may have his or her endorsement renewed upon successful 
completion of an examination administered by the Coast Guard, or by a 
third party acceptable to the Coast Guard.
    (f) Except as provided by paragraph (k) of this section, a Radar-
Observer endorsement issued under this section is valid for 5 years 
after the month of issuance of the certificate of training from a course 
approved by the Coast Guard. It is not terminated by the issuance of a 
new license during these 5 years.
    (g) The month and year of the expiration of the Radar-Observer 
endorsement are printed on the license.
    (h) A Radar-Observer endorsement may be renewed at any time.
    (i) An applicant for renewal of a license that does not need a 
Radar-Observer endorsement may renew the license without meeting the 
requirements for the endorsement.
    (j) An applicant seeking to raise the grade of a license or increase 
its scope, where the increased grade or scope requires a Radar-Observer 
certificate, may use an expired certificate to fulfill that requirement.
    (k) The renewal date of a Radar-Observer endorsement may be extended 
beyond the normal 5-year duration to coincide with the renewal date of 
the license to which it pertains. This extension may not exceed 2 years 
and will be necessary only once, to synchronize the two renewal dates.

[CGD 94-041, 62 FR 11305, Mar. 11, 1997]



Sec. 10.482  Assistance towing.

    (a) This section contains the requirements to qualify for an 
endorsement authorizing an individual to engage in assistance towing. 
The endorsement is applicable to all licenses except operator of 
uninspected towing vessels and master or mate licenses authorizing 
service on inspected vessels over 200 gross tons. Holders of these 
licenses are authorized to engage in assistance towing without 
endorsement on any vessel within the scope of the license.
    (b) An applicant for an assistance towing endorsement shall pass a 
written examination demonstrating his or her knowledge of assistance 
towing safety, equipment, and procedures.
    (c) An assistance towing endorsement on a license as master, mate, 
or operator authorizes the holder to engage in assistance towing on any 
vessel within the scope of the license.
    (d) The period of validity of the endorsement is the same as the 
license on which it is endorsed, and it may be renewed with the license.

[CGD 87-017, 53 FR 18562, May 24, 1988]



Sec. 10.491  Licenses for service on offshore supply vessels.

    Each license for service on offshore supply vessels (OSVs) 
authorizes service on OSVs as defined in 46 U.S.C. 2101(19) and as 
interpreted under 46 U.S.C. 14104(b), subject to any restrictions placed 
on the license.

[CGD 95-062, 62 FR 34532, June 26, 1997]



Sec. 10.493  Master (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Master (OSV), an applicant shall present evidence that 
he or she meets the appropriate requirements of STCW Regulation II/2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/2 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997]



Sec. 10.495  Chief Mate (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Chief Mate (OSV), an applicant shall present evidence 
that he or she meets the appropriate requirements of STCW Regulation II/
2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/2 that the OCMI determines to be inappropriate

[[Page 155]]

or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997]



Sec. 10.497  Mate (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Mate (OSV), an applicant shall present evidence that he 
or she meets the appropriate requirements of STCW Regulation II/1.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/1 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997]



  Subpart E--Professional Requirements for Engineer Officers' Licenses



Sec. 10.501  Grade and type of engineer licenses issued.

    (a) Licenses are issued in the grades of:
    (1) Chief engineer;
    (2) First assistant engineer;
    (3) Second assistant engineer;
    (4) Third assistant engineer;
    (5) Chief engineer (limited);
    (6) Assistant engineer (limited);
    (7) Designated duty engineer;
    (8) Chief engineer uninspected fishing industry vessels; and,
    (9) Assistant engineer uninspected fishing industry vessels.
    (b) Engineer licenses issued in the grades of chief engineer 
(limited) and assistant engineer (limited) of steam and/or motor vessels 
allow the holder to serve within any horsepower limitations on vessels 
of any gross tons on inland waters and of not more than 1600 gross tons 
in ocean, near coastal or Great Lakes service in the following manner:
    (1) Assistant engineer (limited--oceans) may serve on ocean waters;
    (2) Chief engineer (limited--near coastal) may serve on near coastal 
waters; and,
    (3) Chief engineer (limited-oceans) may serve on ocean waters.
    (c) Engineer licenses issued in the grades of designated duty 
engineer of steam and/or motor vessels allow the holder to serve within 
stated horsepower limitations on vessels of not more than 500 gross tons 
in the following manner:
    (1) Designated duty engineers limited to vessels of not more than 
1000 horsepower or 4000 horsepower may serve only on near coastal or 
inland waters;
    (2) Designated duty engineers with no horsepower limitations may 
serve on any waters.
    (d) Engineer licenses are endorsed to authorize service on either 
steam or motor vessels or may be endorsed for both modes of propulsion.
    (e) A person holding an engineer license which is restricted to near 
coastal waters may serve within the limitations of the license upon near 
coastal, Great Lakes, and inland waters.

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



Sec. 10.502  Additional requirements for engineer licenses.

    (a) For all original and raise of grade of engineer licenses, at 
least one-third of the minimum service requirements must have been 
obtained on the particular mode of propulsion for which applied.
    (b) If a licensed applicant desires to obtain an endorsement on an 
engineer license in the other propulsion mode (steam or motor), the 
following alternative methods, while holding a license in that grade, 
are acceptable:
    (1) Four months of service as an observer in the same licensed 
capacity on vessels of the other propulsion mode;
    (2) Four months of service as a licensed officer at a lower license 
level on vessels of the other propulsion mode;
    (3) Six months of service as oiler, watertender, or junior engineer 
on vessels of the other propulsion mode; or,
    (4) Completion of a Coast Guard approved training course for this 
endorsement.
    (c) Applicants for an original, raise in grade, or increase in the 
scope, of an

[[Page 156]]

engineer license, other than an increase in horsepower limitation, who 
have not previously done so must meet the requirements of Sec. 10.205(g) 
of this part.

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



Sec. 10.503  Horsepower limitations.

    (a) Engineer licenses of all grades and types may be subject to 
horsepower limitations. Other than as provided in Sec. 10.524 for the 
designated duty engineer license, the horsepower limitation placed on a 
license is based on the applicant's qualifying experience considering 
the total shaft horsepower of each vessel on which the applicant has 
served.
    (b) When an applicant for an original or raise of grade of an 
engineer license, other than a designated duty engineer license, has not 
obtained at least 50 percent of the required qualifying experience on 
vessels of 4,000 or more horsepower, a horsepower limitation is placed 
on the license based on the applicant's qualifying experience. The 
license is limited to the maximum horsepower on which at least 25 
percent of the required experience was obtained, or 150 percent of the 
maximum horsepower on which at least 50 percent of the service was 
obtained, whichever is higher. Limitations are in multiples of 1000 
horsepower, using the next higher figure when an intermediate horsepower 
is calculated. When the limitation as calculated equals or exceeds 
10,000 horsepower, an unlimited horsepower license is issued.
    (c) The following service on vessels of 4,000 horsepower or over 
will be considered qualifying for the raising or removing of horsepower 
limitations placed on engineer licenses:
    (1) Six months of service in the highest grade licensed: removal of 
all horsepower limitations.
    (2) Six months of service in any licensed capacity other than the 
highest grade for which licensed: Removal of all horsepower limitations 
for the grade in which service is performed and raise the next higher 
grade license to the horsepower of the vessel on which service was 
performed. The total cumulative service before and after issuance of the 
limited license may be considered in removing all horsepower 
limitations.
    (3) Twelve months of service as oiler or junior engineer while 
holding a license as third assistant engineer or assistant engineer 
(limited-oceans): removal of all horsepower limitations on third 
assistant engineer or assistant engineer's (limited-oceans) license.
    (4) Six months of service as oiler or junior engineer while holding 
a license as second assistant engineer: removal of all horsepower 
limitations on third assistant engineer's license.
    (d) Raising or removing horsepower limitations based on service 
required by paragraph (c) of this section may be granted without further 
written examination providing the Officer in Charge, Marine Inspection 
who issued the applicant's license, considers further examination 
unnecessary.



Sec. 10.504  Application of deck service for limited engineer licenses.

    Service gained in the deck department on vessels of appropriate 
tonnage may substitute for up to 25 percent or 6 months, whichever is 
less, of the service requirement for a license as chief engineer 
(limited), assistant engineer (limited), or designated duty engineer.

[CGD 81-059, 54 FR 142, Jan. 4, 1989]



Sec. 10.505  Engineer license structure.

    The following diagram illustrates the engineering license structure 
including cross over points. The section numbers on the diagram refer to 
the specific requirements applicable.

[[Page 157]]

[GRAPHIC] [TIFF OMITTED] TC01FE91.058

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

[[Page 158]]



Sec. 10.510  Service requirements for chief engineer of steam and/or motor vessels.

    The minimum service required to qualify an applicant for license as 
chief engineer of steam and/or motor vessels is:
    (a) One year of service as first assistant engineer; or,
    (b) One year of service while holding a license as first assistant 
engineer. A minimum of six months of this service must have been as 
first assistant engineer. Service as an assistant engineer is accepted 
on a two-for-one basis to a maximum of six months (12 months of service 
as a second or third assistant engineer equals six months of creditable 
service).



Sec. 10.512  Service requirements for first assistant engineer of steam and/or motor vessels.

    The minimum service required to qualify an applicant for license as 
first assistant engineer of steam and/or motor vessels is one year of 
service as an assistant engineer, while holding a license as second 
assistant engineer.



Sec. 10.514  Service requirements for second assistant engineer of steam and/or motor vessels.

    The minimum service required to qualify an applicant for license as 
second assistant engineer of steam and/or motor vessels is:
    (a) One year of service as an assistant engineer, while holding a 
license as third assistant engineer; or,
    (b) One year of service while holding a license as third assistant 
engineer which includes:
    (1) A minimum of six months of service as third assistant engineer; 
and,
    (2) Additional service as a qualified member of the engine 
department, calculated on a two-for-one basis; or,
    (c) One year of service as chief engineer (limited-oceans) of steam 
or motor vessels, and completing the appropriate examination described 
in subpart I of this part.



Sec. 10.516  Service requirements for third assistant engineer of steam and/or motor vessels.

    (a) The minimum service required to qualify an applicant for license 
as third assistant engineer of steam and/or motor vessels is:
    (1) Three years of service in the engineroom of vessels, two years 
of which must have been as a qualified member of the engine department;
    (2) Three years of service as an apprentice to the machinist trade 
engaged in the construction or repair of marine, locomotive, or 
stationary engines, together with one year service in the engineroom as 
oiler, watertender, or junior engineer;
    (3) Graduation from:
    (i) The U.S. Merchant Marine Academy (engineering curriculum);
    (ii) The U.S. Coast Guard Academy and completion of an on-board 
engineer officer qualification program required by the service;
    (iii) The U.S. Naval Academy and completion of an on-board engineer 
officer qualification program required by the service;
    (iv) The engineering class of a Maritime Academy approved by and 
conducted under the rules prescribed by the Maritime Administrator and 
listed in part 310 of this title;
    (4) Graduation from the marine engineering course of a school of 
technology accredited by the Accreditation Board for Engineering and 
Technology, together with three months of service in the engine 
department of steam or motor vessels;
    (5) Graduation from the mechanical or electrical engineering course 
of a school of technology accredited by the Accreditation Board for 
Engineering and Technology, together with six months of service in the 
engine department of steam or motor vessels;
    (6) Satisfactory completion of a three-year apprentice engineers 
training program approved by the Commanding Officer, National Maritime 
Center; or,
    (7) One year of service as chief engineer (limited-near coastal) of 
steam or motor vessels and completing the appropriate examination 
described in subpart I of this part.
    (b) Experience gained in the deck department on vessels of 100 gross 
tons or over can be credited for up to three

[[Page 159]]

months of the service requirements under paragraph (a)(1) of this 
section.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987 and CGD 81-059, 54 FR 132, Jan. 
4, 1989, as amended by CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.518  Service requirements for chief engineer (limited-oceans) of steam and/or motor vessels.

    The minimum service required to qualify an applicant for license as 
chief engineer (limited-oceans) of steam and/or motor vessels is five 
years total service in the engineroom of vessels. Two years of this 
service must have been as a licensed engineer. Thirty months of the 
service must have been as a qualified member of the engine department or 
equivalent supervisory position.



Sec. 10.520  Service requirements for chief engineer (limited-near coastal) of steam and/or motor vessels.

    The minimum service required to qualify an applicant for license as 
chief engineer (limited-near coastal) of steam and/or motor vessels is 
four years total service in the engineroom of vessels. One year of this 
service must have been as a licensed engineer. Two years of the service 
must have been as a qualified member of the engine department or 
equivalent supervisory position.



Sec. 10.522  Service requirements for assistant engineer (limited-oceans) of steam and/or motor vessels.

    The minimum service required to qualify an applicant for license as 
assistant engineer (limited-oceans) of steam and/or motor vessels is 
three years of service in the engineroom of vessels. Eighteen months of 
this service must have been as a qualified member of the engine 
department or equivalent supervisory position.



Sec. 10.524  Service requirements for designated duty engineer of steam and/or motor vessels.

    (a) Designated duty engineer licenses are issued in three levels of 
horsepower limitations dependent upon the total service of the applicant 
and completion of appropriate examination. These licenses are limited to 
vessels of not more than 500 gross tons on certain waters as specified 
in Sec. 10.501.
    (b) The service requirements for licenses as designated duty 
engineer are:
    (1) For designated duty engineer of steam and/or motor vessels of 
any horsepower, the applicant must have three years of service in the 
engineroom. Eighteen months of this service must have been as a 
qualified member of the engine department or equivalent supervisory 
position.
    (2) For designated duty engineer of steam and/or motor vessels of 
not more than 4,000 horsepower, the applicant must have two years of 
service in the engineroom. One year of this service must have been as a 
qualified member of the engine department or equivalent supervisory 
position.
    (3) For designated duty engineer of steam and/or motor vessels of 
not more than 1,000 horsepower, the applicant must have one year of 
service in the engineroom. Six months of this service must have been as 
a qualified member of the engine department or equivalent supervisory 
position.



Sec. 10.530  Licenses for engineers of uninspected fishing industry vessels.

    (a) This section applies to licenses for chief and assistant 
engineers of all vessels, however propelled, navigating the high seas, 
which are documented to engage in the fishing industry, with the 
exception of:
    (1) Wooden ships of primitive build;
    (2) Unrigged vessels; and,
    (3) Vessels of less than 200 gross tons.
    (b) Licenses as chief engineer and assistant engineer of uninspected 
fishing industry vessels are issued for ocean waters and with horsepower 
limitations in accordance with the provisions of Sec. 10.503.
    (c) For a license as chief engineer, the applicant must have served 
four years in the engineroom of vessels. One year of this service must 
have been as a licensed assistant engineer or equivalent supervisory 
position.
    (d) For a license as assistant engineer, an applicant must have 
served three years in the engineroom of vessels.

[[Page 160]]

    (e) Two-thirds of the service required under this section must have 
been on motor vessels.
    (f) Applicants may request an orally assisted examination on the 
subjects listed in subpart I of this part.



Sec. 10.540  Licenses for engineers of mobile offshore drilling units.

    Licenses as chief engineer (MODU) or assistant engineer (MODU) 
authorize service on certain self-propelled or non-self-propelled units 
of any horsepower where authorized by the vessel's certificate of 
inspection.

[CGD 81-059a, 55 FR 14802, Apr. 18, 1990]



Sec. 10.542  License for chief engineer (MODU).

    To qualify for a license as chief engineer (MODU) an applicant must:
    (a) Present evidence of the following experience:
    (1) Six years of employment assigned to MODUs including three years 
of employment as mechanic, motorman, subsea engineer, electrician, barge 
engineer, toolpusher, unit superintendent, crane operator or equivalent. 
Eighteen months of that employment must have been assigned to self-
propelled or propulsion assisted units; or
    (2) Two years of employment assigned to MODUs as an assistant 
engineer (MODU). Twelve months of that employment must have been 
assigned to self-propelled or propulsion assisted units; and
    (b) Present evidence of completion of a firefighting training course 
as required by Sec. 10.205(g) of this part.
    (c) If an applicant successfully completes a modified examination 
and possesses the total required sea service for a license as chief 
engineer (MODU), but does not possess the required sea service on board 
self-propelled or propulsion assisted units, the OCMI may issue the 
applicant a license limited to non-self-propelled units. The OCMI may 
remove the limitation upon presentation of satisfactory evidence of the 
required self-propelled sea service and completion of any additional 
required examination.

[CGD 81-059a, 55 FR 14802, Apr. 18, 1990, as amended by CGD 81-059a, 59 
FR 10756, Mar. 8, 1994]



Sec. 10.544  License for assistant engineer (MODU).

    To qualify for a license as assistant engineer (MODU) an applicant 
must:
    (a) Present evidence of the following experience:
    (1) Three years of employment assigned to MODUs including 18 months 
of employment as mechanic, motorman, subsea engineer, electrician, barge 
engineer, toolpusher, unit superintendent, crane operator or equivalent. 
Nine months of that employment must have been assigned to self-propelled 
or propulsion assisted units;
    (2) Three years of employment in the machinist trade engaged in the 
construction or repair of diesel engines and one year of employment 
assigned to MODUs in the capacity of mechanic, motorman, oiler, or 
equivalent. Nine months of that employment must have been assigned to 
self-propelled or propulsion assisted units; or
    (3) A degree from a program in marine, mechanical, or electrical 
engineering technology which is accredited by the Accreditation Board 
for Engineering and Technology (ABET). Commanding Officer, National 
Maritime Center will give consideration to accepting education 
credentials from programs having other than ABET accreditation. An 
applicant qualifying through a degree program must also have at least 
six months of employment in any of the capacities listed in paragraph 
(a)(1) of this section aboard self-propelled or propulsion assisted 
units; and
    (b) Present evidence of completion of a firefighting training course 
as required by Sec. 10.205(g) of this part.
    (c) If an applicant successfully completes a modified examination 
and possesses the total required sea service for a license as an 
assistant engineer (MODU), but does not possess the required sea service 
on board self-propelled or propulsion assisted units, the OCMI may issue 
the applicant a license limited to non-self-propelled units. The OCMI 
may remove the limitation upon presentation of the satisfactory evidence 
of the required self-propelled sea

[[Page 161]]

service and completion of any additional required examination.

[CGD 81-059a, 55 FR 14802, Apr. 18, 1990, as amended by CGD 81-059a, 59 
FR 10756, Mar. 8, 1994; CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.551  Licenses for service on offshore supply vessels.

    Each license for service on OSVs as Chief Engineer (OSV) or Engineer 
(OSV) authorizes service on OSVs as defined in 46 U.S.C. 2101(19) and as 
interpreted under 46 U.S.C. 14104(b), subject to any restrictions placed 
on the license.

[CGD 95-062, 62 FR 34532, June 26, 1997; CGD 95-062, 62 FR 40140, July 
25, 1997]



Sec. 10.553  Chief Engineer (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Chief engineer (OSV), an applicant shall present 
evidence that he or she meets the appropriate requirements of STCW 
Regulation III/2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation III/2 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997]



Sec. 10.555  Engineer (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Engineer (OSV), an applicant shall present evidence 
that he or she meets the appropriate requirements of STCW Regulation 
III/1.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation III/1 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34533, June 26, 1997]



                 Subpart F--Licensing of Radio Officers



Sec. 10.601  Applicability.

    This subpart provides for the licensing of radio officers for 
employment on vessels, and for the issue of STCW certificates or 
endorsements for those qualified to serve as radio operators on vessels 
subject to the provisions on the Global Maritime Distress and Safety 
System (GMDSS) of Chapter IV of SOLAS.

[CGD 95-062, 62 FR 34533, June 26, 1997]



Sec. 10.603  Requirements for radio officers' licenses, and STCW certificates or endorsements for GMDSS radio operators.

    (a) Each applicant for an original license or renewal of license 
shall present a current first or second class radiotelegraph operator 
license issued by the Federal Communications Commission. The applicant 
shall enter on the license application form the number, class, and date 
of issuance of his or her Federal Communications Commission license.
    (b) An applicant for license as radio officer shall apply for a 
merchant mariner's document under part 12. This document will be 
endorsed See License as Radio Officer.
    (c) The application must also include a completed form CG-2765 Coast 
Guard Intelligence Agency Check Request.
    (d) Each applicant who furnishes evidence that he or she meets the 
standard of competence set out in STCW Regulation IV/2, including the 
competence to transmit and receive information using subsystems of 
GMDSS, to fulfill the functional requirements of GMDSS, and to provide 
radio services in emergencies is entitled to hold an STCW certificate 
suitably endorsed for performing duties associated with GMDSS.
    (e) Evidence required by paragraph (d) of this section must include 
a certificate--
    (1) For operator of radio in the GMDSS issued by the Federal 
Communications Commission (FCC); and

[[Page 162]]

    (2) Of completion from a Coast Guard-approved course for operator of 
radio in the GMDSS, or other approved programs of training and 
assessment covering the same areas of competence.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95-062, 62 FR 
34533, June 26, 1997]



         Subpart G--Professional Requirements for Pilot Licenses

    Source: CGD 81-059b, 52 FR 38659, Oct. 16, 1987 unless otherwise 
noted.



Sec. 10.701  Scope of pilot licenses and endorsements.

    (a) An applicant for a license as first class pilot need not hold 
any other license issued under this part. An individual holding a 
license as master, mate, or operator of uninspected towing vessels may 
apply for an endorsement as first class pilot for a specific route or 
routes in lieu of applying for a first class pilot's license.
    (b) The issuance of a license or endorsement as first class pilot to 
an individual qualifies that individual to serve as pilot over the 
route(s) specified on the license, subject to any limitations imposed 
under paragraph (c) of this section.
    (c) The Officer in Charge, Marine Inspection, issuing a license or 
endorsement as first class pilot, imposes appropriate limitations 
commensurate with the experience of the applicant, with respect to class 
or type of vessel, tonnage, route, and waters.
    (d) A license issued for service as a master, mate, or operator of 
uninspected towing vessels authorizes service as a pilot under the 
provisions of Sec. 15.812 of this subchapter. Therefore, first class 
pilot endorsements will not be issued with tonnage limitations of 1600 
gross tons or less.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
144, Jan. 4, 1989]



Sec. 10.703  Service requirements.

    (a) The minimum service required to qualify an applicant for a 
license as first class pilot, or for an endorsement as first class pilot 
on a license as master, mate, or operator of uninspected towing vessels, 
is predicated upon the nature of the waters for which pilotage is 
desired.
    (1) General routes (routes not restricted to rivers, canals and 
small lakes). The applicant must have at least 36 months service in the 
deck department of steam or motor vessels navigating on oceans, 
coastwise, Great Lakes, or bays, sounds, and lakes other than the Great 
Lakes, as follows:
    (i) 18 months of the 36 months service must be as quartermaster, 
wheelsman, able seaman, apprentice pilot, or in an equivalent capacity, 
standing regular watches at the wheel or in the pilothouse as part of 
routine duties.
    (ii) At least 12 months of the 18 months service required in 
paragraph (a)(1)(i) of this section must be on vessels operating on the 
class of waters for which pilotage is desired.
    (2) River routes. The applicant must have at least 36 months service 
in the deck department of any vessel including at least 12 months 
service on vessels operating on the waters of rivers while the applicant 
is serving in the capacity of quartermaster, wheelsman, apprentice 
pilot, or deckhand who stands watches at the wheel as part of routine 
duties.
    (3) Canal and small lakes routes. The applicant must have at least 
24 months service in the deck department of any vessel including at 
least 8 months service on vessels operating on canals or small lakes.
    (b) A graduate of the Great Lakes Maritime Academy in the deck class 
meets the service requirements of this section for a license as first 
class pilot on the Great Lakes.
    (c) Completion of a course of pilot training approved by the 
Commanding Officer, National Maritime Center, under subpart C of this 
part may be substituted for a portion of the service requirements of 
this section in accordance with Sec. 10.304. Additionally, round trips 
made during this training may apply toward the route familiarization 
requirements of Sec. 10.705. An individual using substituted service 
must have at least nine months of shipboard service.
    (d) An individual holding a license as master or mate of inspected 
steam or motor vessels of over 1,600 gross tons meets the service 
requirements of this

[[Page 163]]

section for an endorsement as first class pilot.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
144, Jan. 4, 1989; CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-1998-
4442, 63 FR 52189, Sept. 30, 1998]



Sec. 10.705  Route familiarization requirements.

    (a) The Officer in Charge, Marine Inspection having jurisdiction 
determines, within the range limitations specified in this section, the 
number of round trips required to qualify an applicant for a particular 
route, considering the following:
    (1) The geographic configuration of the waterway;
    (2) The type and size of vessels using the waterway;
    (3) The abundance or absence of aids to navigation;
    (4) The background lighting effects;
    (5) The known hazards involved, including waterway obstructions or 
constrictions such as bridges, narrow channels, or sharp turns; and,
    (6) Any other factors unique to the route that the OCMI deems 
appropriate.
    (b) An applicant for an original license as first class pilot shall 
furnish evidence of having completed a minimum number of round trips, 
while serving as quartermaster, wheelsman, able seaman, apprentice 
pilot, or in an equivalent capacity, standing regular watches at the 
wheel or in the pilot house as part of routine duties, over the route 
sought. Evidence of having completed a minimum number of round trips 
while serving as an observer, properly certified by the master and/or 
pilot of the vessel, is also acceptable. The range of round trips for an 
initial license is a minimum of 12 round trips and a maximum of 20 round 
trips. An applicant may have additional routes added to the first class 
pilot license by meeting the requirements for obtaining an endorsement.
    (c) An applicant for an endorsement as first class pilot for a 
particular route shall furnish evidence of having completed the number 
of round trips over the route, specified by the Officer In Charge, 
Marine Inspection, within the range limitations of this paragraph, for 
the particular grade of existing license held. The range of round trips 
for an endorsement is a minimum of 8 round trips and a maximum of 15 
round trips.
    (d) Unless determined impracticable by the OCMI, 25% of the round 
trips required by the OCMI under this section must be made during the 
hours of darkness.
    (e) One of the round trips required by the OCMI under this section 
must be made over the route within the six months immediately preceding 
the date of application.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
144, Jan. 4, 1989]



Sec. 10.707  Examination requirements.

    (a) An applicant for a license as first class pilot is required to 
pass the examination described in subpart I of this part.
    (b) An applicant for an extension of route, or a licensed master or 
mate authorized to serve on vessels of over 1,600 gross tons seeking an 
endorsement as first class pilot, is required to pass those portions of 
the examination described in subpart I of this part that concern the 
specific route for which endorsement is sought.



Sec. 10.709  Annual physical examination requirements.

    (a) This section applies only to an individual who pilots a vessel 
of 1,600 gross tons and over.
    (b) Every person holding a license or endorsement as first class 
pilot shall have a thorough physical examination each year while holding 
the license or endorsement.
    (c) Each annual physical examination must meet the requirements 
specified in Sec. 10.205(d) except that the record of examination need 
not be submitted to the Coast Guard except as provided for in paragraph 
(e) of this section.
    (d) An individual's first class pilot license or endorsement becomes 
invalid on the first day of the month following the first anniversary of 
the individual's most recent physical examination satisfactorily 
completed; the individual may not operate under the authority of that 
license or endorsement until a physical examination has been 
satisfactorily completed.

[[Page 164]]

    (e) Upon request, a first class pilot shall provide the Coast Guard 
with a copy of his or her most recent physical examination.



Sec. 10.711  Tonnage requirements.

    (a) In order to obtain a first class pilot license or endorsement 
authorizing service on vessels of any gross tons over a particular 
route, the applicant must have sufficient experience on vessels of over 
1,600 gross tons.
    (b) If an applicant does not have sufficient experience on vessels 
of over 1,600 gross tons, the license or endorsement will be for a 
limited tonnage until the applicant completes a number of additional 
round trips, as determined by the OCMI, within the range contained in 
Sec. 10.705 (b) or (c), as appropriate, on vessels of over 1,600 gross 
tons.
    (c) For purposes of this section, an applicant is considered to have 
sufficient experience if the applicant has 18 months experience as 
master, mate, quartermaster, wheelsman, able seaman, apprentice pilot, 
or in an equivalent capacity, standing regular watches at the wheel or 
in the pilothouse as part of routine duties, on vessels of 1,600 gross 
tons or over, and two-thirds of the minimum number of round trips 
required for the route have been on vessels of 1,600 gross tons or over.
    (d) For purposes of this section, for experience with respect to 
tonnage on towing vessels, the combined gross tonnage of the towing 
vessel and the vessel(s) towed will be considered. However, the OCMI may 
require that all or a portion of the required number of round trips be 
obtained on self-propelled vessels of 1,600 gross tons or over, when the 
OCMI determines that due to the nature of the waters and the overall 
experience of the applicant, self-propelled vessel experience is 
necessary to obtain a first class pilot license or endorsement that is 
not restricted to tug and barge combinations.



Sec. 10.713  Requirements for maintaining current knowledge of waters to be navigated.

    (a) If a first class pilot has not served over a particular route 
within the past 60 months, that person's license or endorsement is 
invalid for that route, and remains invalid until the individual has 
made one re-familiarization round trip over that route, except as 
provided in paragraph (b) of this section. Whether this requirement is 
satisfied or not has no effect on the renewal of a license or 
endorsement. Round trips made within the 90 day period preceding renewal 
will be valid for the duration of the renewed license or endorsement.
    (b) For certain long or extended routes, the OCMI may, at his 
discretion, allow the re-familiarization requirement to be satisfied by 
reviewing appropriate navigation charts, coast pilots tide and current 
tables, local Notice to Mariners, and any other materials which would 
provide the pilot with current knowledge of the route. Persons using 
this method of re-familiarization shall certify, when applying for 
renewal of their license or endorsement, the material they have reviewed 
and the dates on which this was accomplished. Review within the 90 day 
period preceding renewal is valid for the duration of the renewed 
license or endorsement.



                Subpart H--Registration of Staff Officers



Sec. 10.801  Applicability.

    This subpart provides for the registration of staff officers for 
employment on vessels documented or numbered under the laws of the 
United States. Staff officers must be registered if serving on most 
vessels in ocean service or on the Great Lakes.



Sec. 10.803  Grades of certificates issued.

    Staff officers are registered in the following grades:
    (a) Chief purser.
    (b) Purser.
    (c) Senior assistant purser.
    (d) Junior assistant purser.
    (e) Medical doctor.
    (f) Professional nurse.



Sec. 10.805  General requirements.

    (a) The applicant for a certificate of registry as staff officer is 
not required to take any examination; however, the applicant shall 
present to the Officer in

[[Page 165]]

Charge, Marine Inspection a letter justifying the need for the 
certificate of registry.
    (b) The applicant must hold or apply for a merchant mariner s 
document.
    (c) Endorsements for a higher grade are not made on certificates of 
registry. An applicant for a higher grade in the staff department shall 
apply in the same manner as for an original certificate of registry and 
shall surrender the certificate upon issuance of the new certificate of 
registry. A person holding a certificate of registry as staff officer 
may serve in a lower grade of a service for which he or she is 
registered.
    (d) Title 46 U.S.C. 8302 addresses uniforms for staff officers who 
are members of the Naval Reserve.
    (e) A duplicate certificate of registry may be issued by the Officer 
in Charge, Marine Inspection. (See Sec. 10.219.)
    (f) A certificate of registry is valid for a term of 5 years from 
the date of issuance. Procedures for renewing certificates of registry 
are found in Sec. 10.209. The expiration date of a certificate of 
registry issued without an expiration date shall be determined in 
accordance with Sec. 10.811.
    (g) Each applicant for an original certificate of registry or a 
higher grade of certificate of registry, as described by paragraph (c) 
of this section, shall produce evidence of having passed a chemical test 
for dangerous drugs or of qualifying for an exception from testing in 
Sec. 16.220 of this subchapter. An applicant who fails a chemical test 
for dangerous drugs will not be issued a certificate of registry.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
144, Jan. 4, 1989; CGD 91-211, 59 FR 49300, Sept. 27, 1994; CGD 91-223, 
60 FR 4525, Jan. 23, 1995]



Sec. 10.807  Experience requirements for registry.

    (a) The applicant for a certificate of registry as staff officer 
shall submit evidence of experience as follows:
    (1) Chief purser. Two years of service aboard vessels performing 
duties relating to work in the purser's office.
    (2) Purser. One year of service aboard vessels performing duties 
relating to work in the purser's office.
    (3) Senior assistant purser. Six months of service aboard vessels 
performing duties relating to work in purser's office.
    (4) Junior assistant purser. Previous experience not required.
    (5) Medical doctor. A valid license as physician or surgeon issued 
under the authority of a state or territory of the United States, the 
Commonwealth of Puerto Rico, or the District of Columbia.
    (6) Professional nurse. A valid license as a registered nurse issued 
under authority of a state or territory of the United States, the 
Commonwealth of Puerto Rico, or the District of Columbia.
    (b) Employment on shore in connection with ship's business may be 
accepted in lieu of service aboard vessels. Related shore employment is 
accepted in the ratio of two months of shore service to count as one 
month of service aboard vessels.
    (c) In computing the length of service required of an applicant for 
a certificate of registry, service of one season on vessels on the Great 
Lakes is counted as service of one year.
    (d) In the event an applicant for a certificate of registry, other 
than medical doctor or professional nurse, presents evidence of other 
qualifications which, in the opinion of the Officer in Charge, Marine 
Inspection, is equivalent to the experience requirements of this section 
and is consistent with the duties of a staff officer, the Officer in 
Charge, Marine Inspection may issue the certificate of registry.



Sec. 10.809  Experience requirements for ratings endorsed on certificate of registry.

    An applicant for rating to be endorsed on a certificate of registry 
shall submit evidence of experience as follows:
    (a) Marine physician assistant. Successful completion of an 
accredited course of instruction for a physician's assistant or nurse 
practitioner program.
    (b) Hospital corpsman. A rating of at least hospital corpsman or 
health services technician, first class in the U.S. Navy, U.S. Coast 
Guard, U.S. Marine Corps, or an equivalent rating in the

[[Page 166]]

U.S. Army (not less than staff sergeant, Medical Department, U.S.A.), or 
in the U.S. Air Force (not less than technical sergeant, Medical 
Department, U.S.A.F.), and a period of satisfactory service of at least 
one month in a military hospital or U.S. Public Health Service Hospital.



Sec. 10.811  Expiration of existing certificates of registry.

    The expiration year of a certificate of registry issued without an 
expiration date is calculated by adding 5-year increments to the 
issuance date of the certificate of registry, up to first applicable 
year falling between 1995 and 1999, inclusive. The day and month of 
expiration are the same as that of issuance. Table 10.811 is provided as 
an aid for calculating the expiration date of a certificate of registry 
issued without an expiration date. A certificate of registry is not 
valid for use after the expiration date calculated under this section, 
but may be renewed in accordance with the requirements of Sec. 10.209.

  Table 10.811.--Expiration of Certificates of Registry Issued With No
                           Expiration Date \1\
------------------------------------------------------------------------
                             Expiration year
-------------------------------------------------------------------------
     1999           1998           1997           1996          1995
------------------------------------------------------------------------
                               Issue Year
 
------------------------------------------------------------------------
1994.........        1993           1992           1991          1990
1989.........        1988           1987           1986          1985
1984.........        1983           1982           1981          1980
1979.........        1978           1977           1976          1975
1974.........        1973           1972           1971          1970
1969.........        1968           1967           1966          1965
1964.........        1963           1962           1961          1960
1959.........        1958           1957           1956          1955
1954.........        1953           1952           1951          1950
1949.........        1948           1947           1946          1945
1944.........        1943           1942           1941          1940
1939.........        1938           1937     .............  ............
------------------------------------------------------------------------
\1\ Find the year in which the certificate of registry was issued (Issue
  Year), then move up the column to find the Expiration Year. Month and
  day of expiration correspond to the month and day of issue.


[CGD 91-211, 59 FR 49300, Sept. 27, 1994; CGD 91-211, 59 FR 50964, Oct. 
6, 1994]



Subpart I--Subjects of License Examinations and Practical Demonstrations 
                              of Competence



Sec. 10.901  General provisions.

    (a) Each applicant for any license listed in this part shall pass 
examinations on the appropriate subjects listed in this subpart, except 
as noted in Sec. 10.903(b).
    (b) If the license is to be limited in a manner which would render 
any of the subject matter unnecessary or inappropriate, the examination 
may be amended accordingly by the Officer in Charge, Marine Inspection. 
Limitations which may affect the examination content are:
    (1) Restricted routes for reduced service licenses (master or mate 
of vessels of not more than 200 gross tons, operator of uninspected 
passenger vessels or uninspected towing vessels); or,
    (2) Engineer licenses with horsepower restrictions.
    (c) Except as provided in Secs. 10.202 and 10.209, each applicant 
for an STCW certificate or endorsement, to be valid for service on or 
after February 1, 2002, in the following capacities on vessels that 
operate beyond the Boundary Line shall also furnish sufficient 
documentary evidence that he or she has made a practical 
demonstration(s) of competence as set out under the appropriate STCW 
Regulations:
    (1) Deck Department. (i) Officer in charge of the navigational watch 
on a seagoing vessel of 500 gross tons (GT) or more.
    (ii) Officer in charge of the navigational watch on a seagoing 
vessel of less than 500 GT not engaged on a near-coastal voyage.
    (iii) Officer in charge of the navigational watch on a seagoing 
vessel of less than 500 GT engaged on a near-coastal voyage.
    (iv) Master and chief mate on a seagoing vessel of 3,000 GT or more.
    (v) Master and chief mate on a seagoing vessel of between 500 and 
3,000 GT.

[[Page 167]]

    (vi) Master on a seagoing vessel of less than 500 GT not engaged on 
a near-coastal voyage.
    (vii) Master on a seagoing vessel of less than 500 gross tons 
engaged on a near-coastal voyage.
    (2) Engine Department. (i) Officer in charge of the engineering 
watch in a manned engine-room on a seagoing vessel.
    (ii) Designated duty engineer in a periodically unmanned engine-room 
on a seagoing vessel.
    (iii) Chief engineer officer of a seagoing vessel driven by main 
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or more.
    (iv) Second engineer officer of a seagoing vessel driven by main 
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or more.
    (v) Chief engineer officer of a seagoing vessel driven by main 
propulsion machinery of between 750 kW [1,000 hp] and 3,000 kW [4,000 
hp] of propulsion power.
    (vi) Second engineer officer of a seagoing vessel driven by main 
propulsion machinery of between 750 kW [1,000 hp] and 3,000 kW [4,000 
hp] of propulsion power.
    (d) Simulators used in assessment of competence under paragraph (c) 
of this section must meet the appropriate performance standards set out 
in Section A-I/12 of the STCW Code. However, simulators installed or 
brought into use before February 1, 2002, need not meet them so far as 
they fulfill the objectives of the assessment of competence or 
demonstration of proficiency.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
144, Jan. 4, 1989; CGD 94-029, 61 FR 47064, Sept. 6, 1996; CGD 95-062, 
62 FR 34533, June 26, 1997; USCG-1998-4442, 63 FR 52188, Sept. 30, 1998]



Sec. 10.903  Licenses requiring examinations.

    (a) The following licenses require examinations for issuance:
    (1) Master ocean/near coastal any gross tons;\1\
---------------------------------------------------------------------------

    \1\ Examination will vary depending upon route desired.
---------------------------------------------------------------------------

    (2) Chief mate ocean/near coastal any gross tons;\1\
    (3) Second mate ocean/near coastal any gross tons;\1\
    (4) Third mate ocean/near coastal any gross tons;\1\
    (5) Master ocean/near coastal not more than 500 or 1600 gross 
tons;\1\
    (6) Mate ocean/near coastal not more than 500 or 1600 gross tons;\1\
    (7) Mate near coastal not more than 200 gross tons;
    (8) Master near coastal not more than 100 gross tons;
    (9) Master Great Lakes and inland any gross tons;
    (10) Mate Great Lakes and inland any gross tons;
    (11) Master inland any gross tons;
    (12) Master river any gross tons;
    (13) Master Great Lakes and inland/river not more than 500 or 1600 
gross tons;\1\
    (14) Mate Great Lakes and inland/river not more than 500 or 1600 
gross tons;\1\
    (15) Mate Great Lakes and inland/inland/river not more than 200 
gross tons;\1\
    (16) Master Great Lakes and inland/inland/river not more than 100 
gross tons;\1\
    (17) First class pilot;
    (18) Operator or second-class operator uninspected towing vessels;
    (19) Operator uninspected passenger vessels;
    (20) Master uninspected fishing industry vessels;
    (21) Mate uninspected fishing industry vessels;
    (22) Chief engineer steam/motor vessels;
    (23) First assistant engineer steam/motor vessels;
    (24) Second assistant engineer steam/motor vessels;
    (25) Third assistant engineer steam/motor vessels;
    (26) Chief engineer (limited) steam/motor vessels;
    (27) Assistant engineer (limited) steam/motor vessels;
    (28) Designated duty engineer steam/motor vessels;
    (29) Chief engineer uninspected fishing industry vessels;
    (30) Assistant engineer uninspected fishing industry vessels.
    (b) The following licenses do not require examinations:

[[Page 168]]

    (1) Master ocean any gross tons when adding an endorsement as 
Offshore Installation Manager.
    (2) Master ocean or near coastal not more than 200 gross tons, when 
raising license grade from mate near coastal not more than 200 gross 
tons. Master ocean not more than 200 gross tons would, however, require 
an examination in celestial navigation.
    (3) Master Great Lakes and inland, inland, and rivers not more than 
200 gross tons when raising license grade from mate of the same route 
not more than 200 gross tons.
    (4) Operator of uninspected towing vessels, when raising license 
grade from second class operator of uninspected towing vessels (endorsed 
for same route).
    (c) Each candidate for any of the following licenses, who commences 
Coast Guard approved or accepted training or approved seagoing service 
on or after August 1, 1998, or who applies for the license on or after 
February 1, 2002, shall meet the requirements of the appropriate 
regulations and standards of competence in STCW and in part A of the 
STCW Code, as indicated in table 903-1:
    (1) Master, oceans and near coastal, any gross tons.
    (2) Chief mate, oceans and near coastal, any gross tons.
    (3) Master, oceans and near coastal, 500 to 1600 gross tons.
    (4) Second mate, oceans and near coastal, any gross tons.
    (5) Third mate, oceans and near coastal, any gross tons.
    (6) Mate, oceans and near coastal, 500 to 1600 gross tons.
    (7) Operator, uninspected towing vessel of over 200 gross tons, 
oceans (domestic trade) and near coastal.
    (8) Master (OSV).
    (9) Chief mate (OSV).
    (10) Mate (OSV).
    (11) Chief engineer, unlimited.
    (12) 1st Assistant engineer, unlimited.
    (13) 2nd Assistant engineer, unlimited.
    (14) 3rd Assistant engineer, unlimited.
    (15) Chief engineer, limited--oceans.
    (16) Assistant engineer, limited-oceans.
    (17) Chief engineer, limited-near coastal.
    (18) Chief engineer (OSV).
    (19) Engineer (OSV).

                                                                     Table 10.903-1
--------------------------------------------------------------------------------------------------------------------------------------------------------
                        STCW CODE                           1    2    3    4    5    6    7    8    9    10   11   12   13   14   15   16   17   18   19
--------------------------------------------------------------------------------------------------------------------------------------------------------
II/1.....................................................  ...  ...  ...   X    X    X   ...  ...  ...   X   ...  ...  ...  ...  ...  ...  ...  ...  ...
II/2, p. 1 & 2...........................................   X    X   ...  ...  ...  ...  ...   X    X   ...  ...  ...  ...  ...  ...  ...  ...  ...  ...
II/2, p. 3 & 4...........................................  ...  ...   X   ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...
II/3.....................................................  ...  ...  ...  ...  ...  ...   X   ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...
III/1....................................................  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...   X    X   ...   X   ...  ...   X
III/2....................................................  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...   X    X   ...  ...  ...  ...  ...   X   ...
III/3....................................................  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...   X   ...   X   ...  ...
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (d) After July 31, 1998, any candidate for a license listed in 
paragraph (c) of this section, who meets the requirements of the 
appropriate regulations and standards of competence in STCW and part A 
of the STCW code as indicated in table 10.903-1, need not comply with 
Sec. 10.910, or, 10.950, of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
144, Jan. 4, 1989; CGD 81-059a, 59 FR 10756, Mar. 8, 1994; CGD 95-062, 
62 FR 34533, June 26, 1997; USCG-1998-4442, 63 FR 52188, Sept. 30, 1998]



Sec. 10.910  Subjects for deck licenses.

    Table 10.910-1 gives the codes used in table 10.910-2 for all deck 
licenses. Table 10.910-2 indicates the examination subjects for each 
license, by code number. Figures in the body of the table, in place of 
the letter ``x'', refer to notes.

[[Page 169]]

                 Table 10.910-1 Codes for Deck Licenses

                             Deck Licenses:

    1. Master, Oceans/near coastal, any gross tons.
    2. Chief mate, oceans/near coastal, any gross tons.
    3. Master, oceans/near coastal, 500/1,600 gross tons.
    4. Second mate, oceans/near coastal, any gross tons.
    5. Third mate, oceans/near coastal, any gross tons.
    6. Mate, oceans/near coastal, 500/1,600 gross tons.
    7. Master, oceans/near coastal, and mate, near coastal, 200 gross 
tons (includes master, near coastal, 100 gross tons).
    8. Operator, uninspected passenger vessels, near coastal.
    9. Operator, uninspected passenger vessels, Great Lakes/inland.
    10. Operator, uninspected towing vessels, oceans (domestic trade)/
near coastal.
    11. Operator, uninspected towing vessels, Great Lakes/inland.
    12. Operator, uninspected towing vessels, Western rivers.
    13. Master, Great Lakes/inland, or master, inland, any gross tons.
    14. Mate, Great Lakes/inland, any gross tons.
    15. Master, Great Lakes/inland, 500/1,600 gross tons.
    16. Mate, Great Lakes/inland, 500/1,600 gross tons.
    17. Master or mate, Great Lakes/inland, 200 gross tons (includes 
master, Great Lakes/inland, 100 gross tons).
    18. Master, rivers, any gross tons.
    19. Master, rivers, 500/1,600 gross tons.
    20. Mate, rivers, 500/1,600 gross tons.
    21. Master or mate, rivers, 200 gross tons (includes master, rivers, 
100 gross tons).
    22. Master, uninspected fishing industry vessels, oceans/near 
coastal.
    23. Mate, uninspected fishing industry vessels, oceans/near coastal.
    24. First class pilot.


                                                              Table 10.910-2--License Codes
--------------------------------------------------------------------------------------------------------------------------------------------------------
                   Examination topics                      1   2   3   4   5   6   7   8   9  10  11  12  13  14  15  16  17  18  19  20  21  22  23  24
--------------------------------------------------------------------------------------------------------------------------------------------------------
Navigation and position determination:
  Ocean Track Plotting:
    Middle Latitude Sailing.............................   1   1       1   1
    Mercator Sailing....................................   X   X       1   1
    Great Circle Sailing................................   1   1       1
    Parallel Sailing....................................   1   1       1   1
    ETA.................................................   X   X   1   X   X
  Piloting:
    Distance Off........................................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
    Bearing Problems....................................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
    Fix or Running Fix..................................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
    Chart Navigation....................................       X   X   X   X   X   X   X   X   X   X   2   X   X   X   X   X   2   2   2   2   X   X   X
    Dead Reckoning......................................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
  Celestial Observations:
    Special Cases (hi/lo Alt., Backsight)...............   1
    Latitude by Polaris.................................   1   1   1   1
    Latitude by Meridian Transit........................   1
    Lat. by Meridian Transit (Sun Only).................   X   X   1   X   X   1   1           1                                               1   1
    Fix or Running Fix (Any Body).......................   X   X   1   X                                                                       1
    Fix or Running Fix (Sun Only).......................                   X   1   1           1                                                   1
    Star Identification.................................   1   1   1   1
    Star Selection......................................   1   X   1   X                                                                           1
  Times of Celestial Phenomena:
    Time of Meridian Transit............................   1
    Time of Meridian Transit (Sun Only).................   X   X   1   X   X   1   1           1                                               1   1
    Second Estimate Meridian Transit....................   1
      Zone Time Sun Rise/Set/Twilight...................   X   X   1   1   1   1   1           1                                                   1   1
      Zone Time Moon Rise/Set...........................   X   X       1
    Speed by RPM........................................   X   X       X                                   3
    Fuel Conservation...................................   X   X                                           3
    Electronic Navigation...............................   X   X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
    Instruments and Accessories.........................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Aids To Navigation..................................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Charts, Navigation Publications, and Notices to        X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
     Mariners...........................................
    Naut. Astronomy & Nav. Definitions..................   X   X       X   X
    Chart Sketch........................................                                                                                               4

[[Page 170]]

 
Seamanship:
  Marlinspike Seamanship................................               X   X   X   X   X   X   X   X   X       X       X   X   X   X   X   X   X   X   X
  Purchases, Blocks and Tackle..........................               X   X   X   X           X   X   X       X       X   X   X   X   X   X   X   X   X
  Small Boat Handling Under Oars or Sail................               X   X                               X   X
Watchkeeping:
  COLREGS...............................................   X   X   X   X   X   X   X   X   5   X   5       5   5   5   5   5                   X   X   5
  Inland Navigational Rules.............................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Basic Principles, Watchkeeping........................   X   X   X   X   X   X   X           X   X   X   X   X   X   X   X   X   X   X   X
  Navigation Safety Regs. (33 CFR 164)..................   X   X       X   X                               X   X               X               6   6   6
Radar Equipment:
  Radar Observer Certificate............................   X   X   X   X   X   X   1           1           X   X               X               X   X   X
Compass-Magnetic and Gyro:
  Principles of Gyro Compass............................   X   X   X   X   X   X                           X   X   X   X                       X   X
  Principles of Magnetic Compass........................   X   X   X   X   X   X                       X   X   X   X   X   X   X   X   X   X   X   X   X
  Magnetic Compass Adjustment...........................   X   X                                           X   X
  Gyro Compass Error/Correction.........................   X   X   X   X   X   X   7               X   X   X   X   X   X   7                   X   X   X
  Magnetic Compass Error/Correction.....................   X   X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
    Determination of Compass Error:
      Azimuth (Any Body)................................   X   X       1
      Azimuth (Sun Only)................................           1       X   1   1           1           3                                   1   1
      Amplitude (Any Body)..............................   X
      Amplitude (Sun Only)..............................       X   1   X   X   1   1           1           3                                   1   1
      Deviation Table Construction......................   X   X   1   X   X                               3
      Terrestrial Observation...........................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
    Gyro Controlled Systems.............................   X   X   X   X       X
    Operation & Care of Main Gyro Systems...............   X   X   X   X       X
Meteorology and Oceanography:
  Characteristics of Weather Systems....................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Ocean Current Systems.................................       X   X   X   X                                                                   X   X
  Weather Charts and Reports............................       X   X   X   X       X           X                                               X
    Tides and Tidal Currents:
      Extensive Tidal Effects...........................   X   X   X
      Terms and Definitions.............................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
      Publications......................................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
      Calculations......................................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X                   X   X   X
Ship Maneuvering and Handling:
  Approaching Pilot Vessel or Station...................   X   X   X           X                                                                       X
  Shiphandling in Rivers, Estuaries.....................   X   X   X           X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X       X
  Maneuvering in Shallow Water..........................   X   X   X           X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X       X
  Interaction with Bank/Passing Ship....................   X   X   X           X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X       X
  Berthing and Unberthing...............................   X   X   X           X   X   X   X   X           X   X   X       X   X   X       X   X       X
  Anchoring and Mooring.................................       X   X   X   X   X   X   X   X   X           X   X   X   X   X                   X   X   X
  Dragging, Clearing Fouled Anchors.....................       X   X   X   X   X   X                       X   X   X   X   X                   X
  Drydocking, with & without Prior Damage...............       X   X
  Heavy Weather Operations..............................       X   X               X   X   X                               X                   X   X
  Maneuvering for Launching of Lifeboats and Liferafts         X   X               X           X           X       X                           X   X
   in Heavy Weather.....................................
  Receiving Survivors From Lfbts/Lfrfts.................       X   X               X           X   X
  General: Turn Circle, Pivot Point, Advance and                       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
   Transfer.............................................
  Determine Maneuvering Characteristics of Major Vessel        X       X   X
   Types................................................
  Wake Reduction........................................       X   X               X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X       X
  Ice Operations/Ice Navigation.........................   X   X   X           X               X   X   X   X   3   X   3
  Towing Operations.....................................       X   X   X   X   X   X           X   X   X       X       X   X   X   X   X   X
Ship Stability, Construction, and Damage Control:
  Principles of Ship Construction.......................       X   X   X   X       X                       X   3   X   3   X   X   X
  Trim and Stability....................................   X   X   X   X   X   X   X           X   X   X   X   3   X   3   X   X   X       X   X   X
  Damage Trim and Stability.............................   X   X   X           X   7
  Stability, Trim, and Stress Calculation...............   X   X   X   X           7
  Vessel Structural Members.............................       X   X   X   X   X   7                           X   X   3   7
  IMO Ship Stability Recommendations....................   X   X
  Damage Control........................................   X   X   X           X       7                               7
  Change in Draft Due to Density........................   X   X
Ship Power Plants:
  Marine Power Plant Operating Principles...............       X   X               7                       X       X       7   X   X
  Ships' Auxiliary Machinery............................       X   X                                   X           X           X   X
  Marine Engineering Terms..............................       X   X               7                       X       X       7   X   X
  Small Engine Operations and Maintenance...............                           X   X   X                               X           X

[[Page 171]]

 
Cargo Handling and Stowage:
  Cargo Stowage and Security, Including Cargo Gear......       X   X   X   X   X   7                       X   X   X   X   7   X   X   X
  Loading and Discharging Operations....................       X   X   X   X   X                           X   X   X   X       X   X   X
  International Regulations for Cargoes, Especially IMDG   X   X   X
  Dangerous/Hazardous Cargo Regulations.................   X   X   X   X   X   X                           X   X   X   X       X   X   X
  Tank Vessel Safety....................................       X   X   X   X   X                           X   X   X   X       X   X   X
  Cargo Piping and Pumping Systems......................       X   X   X   X   X                           X   X   X   X       X   X   X
  Cargo Oil Terms and Definitions.......................       X   X   X   X   X                           X   X   X   X       X   X   X
  Ballasting, Tank Clean., & Gas Free Ops...............       X   X   X   X   X                       X   X   X   X       X   X   X
  Load on Top Procedures................................       X   X   X   X   X                       X   X   X   X       X   X   X
  Barge Regulations (Operations)........................                                       X   X   X
Fire Prevention and Firefighting Appliances:
  Organization of Fire Drills...........................       X   X   X   X   X   X           X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Classes and Chemistry of Fire.........................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Firefighting Systems..................................       X   X   X   X   X   X           X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Firefighting Equip. and Regulations...................       X   X   X   X   X   7           X   X   X   X   X   X   X   7   X   X   X   7   X   X
  Firefighting Equip. & Regs. for T-Boats...............                           X                                       X               X
  Basic Firefighting and Prevention.....................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Emergency Procedures:
  Ship Beaching Precautions.............................       X   X                                       X       X
  Actions Prior To/After Grounding......................       X   X                                       X       X           X   X
  Refloating a Grounded Ship............................       X   X                                       X       X           X   X
  Collision.............................................       X   X               X   X       X   X   X   X       X       X   X   X       X
  Temporary Repairs.....................................       X   X   X           X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Passenger/Crew Safety in Emergency....................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Fire or Explosion.....................................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Abandon Ship Procedures...............................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Emergency Steering....................................       X   X   X                                   X       X           X   X           X   X
  Rescuing Surv. From Ship/Airc. in Dist................       X   X   X   X   X   X           X           X   X   X   X   X   X   X
  Man Overboard Procedures..............................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Emergency Towing......................................   X   X   X               X           X
Medical Care:
  Knowledge and use of:
    Int'l. Medical Guide for Ships......................       X   X
    Ship Med. Chest and Med. Aid at Sea.................       X   X
    Medical Sec., Inter. Code of Signals................       X   X   X   X
    1st Aid Guide: Accidents with Dangerous Goods.......       X   X
    First Aid...........................................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Maritime Law:
  International Maritime Law:
    Int'l. Convention on Load Lines.....................   X   X   X
    SOLAS...............................................   X   X   X               7
    MARPOL 73/78........................................   X   X   X   X   X
    International Health Regulations....................   X   X   X
    Other International Instruments for Ship/Pass./Crew/   X   X   X
     Cargo Safety.......................................
  National Maritime Law:
    Load Lines..........................................   X   X   X           X   X           X   X       3   3   3   3   7
    Cert. and Documentation of Vessels..................   X   X   X               X   X   X   X   X   X   X       X       X   X   X       X   X
    Rules & Regs. for Inspected Vessels.................   X   X   X   X   X   X   7                       X   X   X   X   7   X   X   X   7
    Rules & Regs. for Inspected T-Boats.................                           X                                       X               X
    Rules and Regs for Uninsp. Vessels..................                           X   X   X   X   X   X                   X               X   X   X
    Pollution Prevention Regulations....................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Pilotage............................................   X   X   X                                                                                   X
    Licensing & Certification of Seamen.................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Shipment and Discharge, Manning.....................   X       X               X           X           X       X           X   X
    Title 46 U.S. Code..................................   X   X   X                                       X       X           X   X
    Captain of the Port Regulations, Vessel Traffic                                                                                                    X
     Service Procedures for the Route Desired...........
Shipboard Management and Training:
  Personnel Management..................................   X   X   X                                       X       X           X   X
  Shipboard Organization................................   X   X   X                                       X       X           X   X
  Required Crew Training................................   X   X   X                                       X       X           X   X
  Ship Sanitation.......................................   X   X   X               X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Vessel Alteration/Repair--Hot Work....................   X   X   X               X                       X       X           X   X
  Safety................................................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Ship's Business:
  Charters..............................................   X   X   X

[[Page 172]]

 
  Liens, Salvage........................................   X   X   X
  Insurance.............................................   X   X   X
  Entry, Clearance......................................   X   X   X
  Certificates and Documents Required...................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Communications:
  Flashing Light........................................   X   X       X   X
  Radiotelephone Communications.........................       X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
  Radiotelegraphy Emerg. Dist. Signals..................       X       X   X
  Signals: Storm/Wreck/Dist./Special....................       X   X   X   X   X   X   X   X   X   X       X   X   X   X   X   X   X   X   X   X   X
  International Code of Signals.........................       X   X   X   X
Lifesaving:
  Survival at Sea.......................................       X   X   X   X   X   X           X                                               X   X
  Lifesaving Appliance Regulations......................       X   X   X   X   X   7                       X   X   X       7   X   X   X   7
  Lifesaving Appliance Regs. for T-Boats................                           X                                       X               X
  Lifesaving Appliance Operation........................       X   X   X   X   X   7   X   X   X   X       X   X   X   X   7   X   X   X   7   X   X
  Lifesaving Appliance Ops. for T-Boats.................                           X                                       X               X
Search and Rescue:
  Search and Rescue Procedures..........................   X   X   X
  AMVER.................................................   X   X   X
SAIL/AUXILIARY SAIL VESSELS ADDENDUM (8):
  Any other subject considered necessary to establish      X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
   the applicant's proficiency..........................
--------------------------------------------------------------------------------------------------------------------------------------------------------
1--For ocean routes only.
2--River chart navigation only.
3--Topic covered only on Great Lakes specific module(s) taken for ``Great Lakes and inland'' routes.
4--Including recommended courses, distances, prominent aids to navigation, depths of waters in channels and over hazardous shoals, other important
  features of the route, such as character of the bottom. The OCMI may accept chart sketching of only a portion or portions of the route for long or
  extended routes.
5--Take COLREGS if license not limited to non-COLREG waters.
6--For licenses over 1600 gross tons.
7--For licenses over 100 gross tons.
8--Sail vessel safety precautions, rules of the road, operations, heavy weather procedures, navigation, maneuvering, and sailing terminology. Applicants
  for sail/auxiliary sail endorsements to master, mate or operator of uninspected passenger vessels licenses are also tested in the subjects contained
  in this addendum.


[CGD 81-059a, 55 FR 14802, Apr. 18, 1990]



Sec. 10.920  Subjects for MODU licenses.

    Table 10.920-1 gives the codes used in Table 10.920-2 for MODU 
licenses. Table 10.920-2 indicates the examination subjects for each 
license by the code number.

                 Table 10.920-1 Codes for MODU Licenses

1. OIM/Unrestricted
2. OIM/Surface Units Underway
3. OIM/Surface Units on Location
4. OIM/Bottom Bearing Units Underway
5. OIM/Bottom Bearing Units on Location
6. Barge Supervisor
7. Ballast Control Operator

               Table 10.920-2.--Subjects for MODU Licenses
------------------------------------------------------------------------
          Examination topics            1    2    3    4    5    6    7
------------------------------------------------------------------------
Watchkeeping
  COLREGS............................   X    X   ...   X   ...   X   ...
  ``Basic Principles for Navigational   X    X    X    X    X    X   ...
   Watch''...........................
  MODU obstruction lights............   X   ...   X   ...   X    X   ...
Meteorology and oceanography:
  Synoptic chart weather forecasting.   X    X    X    X    X    X   ...
  Characteristics of weather systems.   X    X    X    X    X    X    X
  Ocean current systems..............   X    X    X    X    X    X   ...
  Tide and tidal current publications   X    X    X    X    X    X   ...
Stability, ballasting, construction
 and damage control:
  Principles of ship construction,      X    X    X    X    X    X    X
   structural members................
  Trim and stability.................   X    X    X    X    X    X    X
  Damaged trim and stability            X    X    X    X   ...   X    X
   countermeasures...................
  Stability and trim calculations....   X    X    X    X         X    X
  Load line requirements.............   X    X    X    X    X    X    X
Operating manual:
  Rig characteristics and limitations   X    X    X    X    X    X    X
  Hydrostatics data..................   X    X    X    X   ...   X    X
  Tank tables........................   X    X    X    X    X    X    X
  KG limitations.....................   X    X    X    X   ...   X    X

[[Page 173]]

 
  Severe storm instructions..........   X    X    X    X    X    X    X
  Transit instructions...............   X    X   ...   X   ...   X    X
  On-station instructions............   X   ...   X   ...   X    X    X
  Unexpected list or trim............   X    X    X    X   ...   X    X
  Ballasting procedures..............   X    X    X   ...  ...   X    X
  Operation of bilge system..........   X    X    X    X   ...   X    X
  Leg loading calculations...........   X   ...  ...   X    X   ...  ...
  Completion of variable load form...   X    X    X    X    X    X    X
  Evaluation of variable load form...   X    X    X    X    X    X    X
  Emergency procedures...............   X    X    X    X    X    X    X
Maneuvering and handling:
  Anchoring and anchor handling......   X    X    X   ...  ...   X   ...
  Heavy weather operations...........   X    X    X    X    X    X    X
  Mooring, positioning...............   X    X    X    X   ...   X    X
  Moving, positioning................   X    X   ...   X   ...   X   ...
Fire prevention and firefighting
 appliances:
  Organization of fire drills........   X    X    X    X    X    X    X
  Classes and chemistry of fire......   X    X    X    X    X    X    X
  Firefighting systems...............   X    X    X    X    X    X    X
  Firefighting equipment and            X    X    X    X    X    X    X
   regulations.......................
  Basic firefighting and prevention     X    X    X    X    X    X    X
   of fires..........................
Emergency procedures and contingency
 plans:
  Temporary repairs..................   X    X    X    X   ...   X   ...
  Fire or explosion..................   X    X    X    X    X    X    X
  Abandon unit.......................   X    X    X    X    X    X    X
  Man overboard......................   X    X    X    X    X    X    X
  Heavy weather......................   X    X    X    X    X    X    X
  Collision..........................   X    X    X    X    X    X    X
  Failure of ballast control system..   X    X    X   ...  ...   X    X
  Mooring emergencies................   X   ...   X   ...  ...   X    X
  Blowouts...........................   X   ...   X   ...   X    X    X
  H2 S safety........................   X   ...   X   ...   X    X    X
General Engineering--Power plants and
 auxiliary systems:
  Marine engineering terminology.....   X    X    X    X    X    X    X
  Engineering equipment, operations     X    X    X    X    X    X   ...
   and failures......................
  Offshore drilling operations.......  ...  ...  ...  ...  ...  ...   X
Deck seamanship--general:
  Transfer of personnel..............   X    X    X    X    X    X   ...
  Support boats/helicopters..........   X    X    X    X    X    X   ...
  Cargo stowage and securing.........   X    X    X    X    X    X   ...
  Hazardous materials/dangerous goods   X    X    X    X    X    X   ...
   precautions.......................
  Mooring equipment..................   X    X    X    X    X    X   ...
  Crane use procedures and              X    X    X    X    X    X   ...
   inspections.......................
Medical care:
  Knowledge and use of:
    First aid........................   X    X    X    X    X    X    X
    First response medical action....   X    X    X    X    X    X    X
Maritime law and regulation:
  National maritime law:
    Certification and documentation     X    X    X    X    X   ...  ...
     of vessels......................
    Ship sanitation..................   X    X    X    X    X   ...  ...
    Regulations for vessel inspection   X    X    X    X    X   ...  ...
    Pollution prevention regulations.   X    X    X    X    X    X    X
    Licensing and certification         X    X    X    X    X   ...  ...
     regulations.....................
    Rules and regulations for MODUs..   X    X    X    X    X    X   ...
    International Maritime law:......  ...  ...  ...  ...  ...  ...  ...
    International Maritime              X    X    X    X    X   ...  ...
     Organization....................
    International Convention on Load    X    X    X    X   ...  ...   X
     Lines...........................
    MARPOL 73/78.....................   X    X    X    X    X   ...  ...
Personnel Management and Training:
  Ship's business including:
    Required logs and record keeping.   X    X    X    X    X    X   ...
    Casualty reports and records.....   X    X    X    X    X   ...
------------------------------------------------------------------------


------------------------------------------------------------------------
 
Communications:
  Radio communications and FCC permit   X    X    X    X    X    X
Radiotelephone procedures............   X    X    X    X    X    X
Lifesaving/Survival:
  Lifesaving appliance operation        X    X    X    X    X    X    X
   (launching, boat handling)........
  Procedures/rules for lifeboats,       X    X    X    X    X    X    X
   survival suits, PFDs, liferafts
   and emergency signals.............
  Emergency radio transmissions......   X    X    X    X    X    X    X
  Survival at sea....................   X    X    X    X    X    X    X
------------------------------------------------------------------------


[CGD 81-059a, 55 FR 14802, Apr. 18, 1990]

[[Page 174]]



Sec. 10.950  Subjects for engineer licenses.

                                                      Table 10.950.--Subjects for Engineer Licenses
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Unlimited      Unlimited    Unlimited    Unlimited      Chief     A/E Ltd &   Unin.   Fish.  DDE Ltd HP
                                    chief        1st asst.    2nd asst.    3rd asst.    engineer   DDE unlim.  ind. C/ vsl. A/------------  MODU   MODU
                                   engineer      engineer      engineer     engineer     limited  ------------    E       E                 ch.    asst.
                               -------------------------------------------------------------------            ----------------  STM   MTR   eng.   eng.
                                  STM    MTR     STM    MTR   STM    MTR   STM    MTR   STM   MTR   STM   MTR    MTR     MTR
--------------------------------------------------------------------------------------------------------------------------------------------------------
General Subjects:
  Prints and Tables...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Pipes, Fittings, Valves.....  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P
  Hydraulics..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P-T
  Bilge Systems...............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P
  Sanitary/Sewerage Systems...  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Freshwater Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P     P     P     P-T     P       P     P     P-T    P-T
  Lubricants..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Lubrication Systems.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P      P
  Automation Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P-T    P
  Control Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P-T    P-T
  Propellers/Shafting Systems.  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     .....  ......
  Machine Shop................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Distilling Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Pumps.......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Compressors.................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Administration..............  P-T     P-T    P-T     P-T   P-T    P-T   P      P     P     P     P     P     P       P       P     P     P-T    P
  Governors...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P     P     P     P       P       P     P     P-T    P-T
  Cooling Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Bearings....................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Instruments.................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Ship Construction and Repair  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Theory......................  T       T      T       T     T      T     T      T     T     T     T     T     T       T       T     T     T      T
  Steering Systems............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     .....  ......
  Deck Machinery..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Ventilation Systems.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P     P     P     P       P       P     P     P      P
  Thermodynamics..............  T       T      T       T     T      T     T      T     ....  ....  ....  ....  ......  ......  ....  ....  .....  ......
  Watch Duties................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P-T
Refrigeration and Air
 Conditioning:
  Theory......................  T       T      T       T     T      T     T      T     T     T     T     T     T       T       T     T     T      T
  Air Conditioning Systems....  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Refrigeration Systems.......  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Control Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
Electricity:
  Theory......................  T       T      T       T     T      T     T      T     T     T     T     T     T       T       T     T     T      T
  General Maintenance.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Generators..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Motors......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T

[[Page 175]]

 
  Motor Controllers...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Propulsion Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P     P     P-T     P-T     P     P     P      P
  Distribution Systems........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P      P
  Electronic Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P     P     P       P       P     P     P-T    P-T
  Batteries...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P      P
  Communications..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P     P     P       P-T     P     P     P      P
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
Steam Generators:
  Steam.......................  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  P       P       P     ....  P-T    ......
  Main Boilers................  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Auxiliary Boilers...........  ......  P-T    ......  P-T   .....  P-T   .....  P-T   ....  P-T   ....  P-T   P       P       ....  P     P-T    P-T
  Feedwater Systems...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   ....  P-T   ....  P       P       P-T   ....  P-T    P
  Condensate Systems..........  P-T     P-T    P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  P-T    P
  Recovery Systems............  P-T     P-T    P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  P       P       P-T   ....  P-T    P
  Fuel........................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P     P-T    P-T
  Fuel Systems................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P     P-T    P-T
  Boiler Water................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P     P-T   P     P       P       P-T   ....  P-T    P
  Control Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   ....  P       P       P-T   P-T   .....
  Automation Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   ....  P       P       P-T   ....  P-T    ......
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P     P       P       P-T   P     P-T    P
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P     P       P       P-T   P     P-T    P
Steam Engines:
  Main Turbine................  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Auxiliary Turbine...........  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Reciprocating Machines......  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Governor Systems............  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Control Systems.............  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Automation Systems..........  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Lubrication Systems.........  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....
  Drive Systems...............  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Safety......................  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Casualty Control............  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
Motor:
  Main Engines................  ......  P-T    ......  P-T   .....  P-T   .....  P-T   ....  P-T   ....  P-T   P-T     P-T     ....  P-T   .....  ......
  Auxiliary Engines...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P-T   P-T    P
  Starting Systems............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P-T    P
  Lubrication Systems.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P      P
  Fuel........................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P      P
  Fuel Systems................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P      P
  Combustion Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Intake Systems..............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Exhaust Systems.............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Cooling Systems.............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Supercharging Systems.......  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   .....  ......
  Drive Systems...............  P       P-T    P       P-T   P      P-T   P      P-T   ....  P-T   ....  P-T   P-T     P-T     ....  P-T   P      P
  Control Systems.............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P-T
  Automation Systems..........  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P-T    P-T
  Governors...................  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Turbines....................  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-    P      P

[[Page 176]]

 
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
Safety:
  Fire........................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Fire Prevention.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Fire Fighting...............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Flooding....................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Dewatering..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Stability and Trim..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Damage Control..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Emergency Equipment and       P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
   Lifesaving Appliances.
  General Safety..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  First Aid...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Dangerous Materials.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Pollution...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Inspections and Surveys.....  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  U.S. Rules and Regulations..  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  International Rules and       P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
   Regulations.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
    P=Practical Knowledge.
    T=Theoretical Knowledge.


[CGD 81-059, 52 FR 38623 and 38669, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 147, Jan. 4, 1989; CGD 81-
 059a, 55 FR 14804, Apr. 18, 1990]
 


[[Page 177]]



                    Subpart J--Ro-Ro Passenger Ships

    Source: CGD 95-062, 62 FR 34534, June 26, 1997, unless otherwise 
noted.



Sec. 10.1001  Purpose of regulations.

    The purpose of the regulations in this subpart is to establish 
requirements for officers serving on roll-on/roll-off (Ro-Ro) passenger 
ships.



Sec. 10.1003  Definition.

    Roll-on/roll-off (Ro-Ro) passenger ship means a passenger ship with 
Ro-Ro cargo spaces or special-category spaces as defined in the 
Convention for the Safety of Life at Sea, 1974, as amended (SOLAS), to 
which a SOLAS certificate is issued.



Sec. 10.1005  General requirement for license-holders.

    To serve on a Ro-Ro passenger ship after January 31, 1997, a person 
licensed as master, chief mate, licensed mate, chief engineer, or 
licensed engineer shall meet the appropriate requirements of STCW 
Regulation V/2 and Section A-V/2 of the STCW Code and shall hold 
documentary evidence to show his or her meeting these requirements.



PART 12--CERTIFICATION OF SEAMEN--Table of Contents




                         Subpart 12.01--General

Sec.
12.01-1  Purposes of regulations.
12.01-3  Incorporation by reference.
12.01-6  Definitions of terms used in this part.
12.01-7  Regional Examination Centers.
12.01-9  Paperwork approval.

          Subpart 12.02--General Requirements for Certification

12.02-3  Where documents are issued.
12.02-4  Basis for denial of documents.
12.02-5  Form in which documents are issued.
12.02-7  When documents are required.
12.02-9  Application for documents.
12.02-10  Applications for documents from aliens.
12.02-11  General provisions respecting merchant mariners' documents.
12.02-13  Citizenship requirements.
12.02-14  Nationality of aliens.
12.02-15  Oath requirement.
12.02-17  Rules for the preparation and issuance of documents.
12.02-18  Fees.
12.02-19  Suspension or revocation of documents.
12.02-21  Issuance of documents after revocation.
12.02-23  Issuance of duplicate documents.
12.02-24  Reporting loss or recovery of continuous discharge book, 
          merchant mariners document, or certificate of discharge.
12.02-25  Right of appeal.
12.02-27  Requirements for renewal of a merchant mariner's document.
12.02-29  Expiration of existing merchant mariner's documents.

              Subpart 12.03--Approved and Accepted Training

12.03-1  Coast Guard-accepted training other than approved courses.

                       Subpart 12.05--Able Seamen

12.05-1  Certification required.
12.05-3  General requirements.
12.05-5  Physical requirements.
12.05-7  Service or training requirements.
12.05-9  Examination and demonstration of ability.
12.05-11  General provisions respecting merchant mariner's document 
          endorsed for service as able seamen.

                        Subpart 12.07  [Reserved]

                       Subpart 12.10--Lifeboatman

12.10-1  Certification required.
12.10-3  General requirements.
12.10-5  Examination and demonstration of ability.
12.10-7  General provisions respecting merchant mariner's document 
          endorsed as lifeboatman.
12.10-9  Certificates of proficiency in fast rescue boats.

 Subpart 12.13--Persons Designated To Provide Medical Care on Board Ship

12.13-1  Documentary evidence required.
12.13-3  Basis of documentary evidence.

        Subpart 12.15--Qualified Member of the Engine Department

12.15-1  Certification required.
12.15-3  General requirements.
12.15-5  Physical requirements.
12.15-7  Service or training requirements.
12.15-9  Examination requirements.
12.15-11  General provisions respecting merchant mariner's documents 
          endorsed as qualified member of the engine department.

[[Page 178]]

12.15-13  Deck engine mechanic.
12.15-15  Engineman.

   Subpart 12.25--Certificates of Service for Ratings Other Than Able 
           Seaman or Qualified Member of the Engine Department

12.25-1  Certification required.
12.25-10  General requirements.
12.25-20  Food handler.
12.25-25  Members of Merchant Marine Cadet Corps.
12.25-30  Student observers.
12.25-35  Apprentice engineers.
12.25-40  Apprentice mate.
12.25-45  GMDSS At-sea Maintainer.

                  Subpart 12.30--Ro-Ro Passenger Ships

12.30-1  Purpose of regulations.
12.30-3  Definitions.
12.30-5  General requirements.

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301, 7302, 
7503, 7505, 7701; 49 CFR 1.46.

    Source: CGFR 65-50, 30 FR 16640, Dec. 30, 1965, unless otherwise 
noted.



                         Subpart 12.01--General



Sec. 12.01-1  Purposes of regulations.

    (a) The purposes of the regulations in this part are to provide--
    (1) A comprehensive and adequate means of determining the identity 
or the qualifications an applicant must possess to be eligible for 
certification to serve on merchant vessels of the United States; and
    (2) A means of determining that an applicant is competent to serve 
as a ``rating forming part of a navigational watch'' or a ``rating 
forming part of an engine-room watch'', or is otherwise ``designated to 
perform duties in a periodically unmanned engine-room'', on a seagoing 
ship, in accordance with the provisions of the International Convention 
on Standards of Training, Certification and Watchkeeping for Seafarers, 
1978, as amended (STCW), and to receive the certificate or endorsement 
required by STCW.
    (b) The regulations in subpart 12.03 of this part prescribe the 
requirements applicable to all training and assessment associated with 
meeting the standards of competence established by STCW.

[CGD 95-062, 62 FR 34534, June 26, 1997]



Sec. 12.01-3  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in paragraph (b) of this section, the Coast Guard must publish 
notice of change in the Federal Register and must ensure that the 
material is available to the public. All approved material is available 
for inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., suite 700, Washington, DC, and at the U.S. Coast Guard, 
Operating and Environmental Standards Division, 2100 Second Street SW., 
Washington, DC, and is available from the sources indicated in paragraph 
(b) of this section.
    (b) The material approved for incorporation by reference in this 
part and the sections affected are as follows:

    International Maritime Organization (IMO)
    4 Albert Embankment, London, SE1 7SR, England

    STCW--International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 
(STCW Convention), and Seafarer's Training, Certification and 
Watchkeeping Code (STCW Code)--12.01-1; 12.01-6; 12.02-7; 12.02-11; 
12.05-3; 12.05-7; 12.05-11; 12.10-3; 12.10-5; 12.10-7; 12.10-9; 12.10-
11; 12.15-3; 12.15-7; 12.25-45; 12.30-5.

[CGD 95-062, 62 FR 34534, June 26, 1997; CGD 95-062, 62 FR 40140, July 
25, 1997; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.01-6  Definitions of terms used in this part.

    Approved means approved by the Coast Guard in accordance with 46 CFR 
10.302.
    Coast Guard-accepted means that the Coast Guard has officially 
acknowledged in writing that the material or process at issue meets the 
applicable requirements; that the Coast Guard has issued an official 
policy statement listing or describing the material or process as 
meeting the applicable requirements; or that an entity acting on behalf 
of the Coast Guard under a

[[Page 179]]

Memorandum of Agreement has determined that the material or process 
meets the applicable requirements.
    Conviction means the applicant for a merchant mariner's document has 
been found guilty by judgment or plea by a court of record of the United 
States, the District of Columbia or any State or territory of the United 
States of a criminal felony or misdemeanor or of an offense described in 
section 205 of the National Driver Register Act of 1982 (49 U.S.C. 
30304). If an applicant pleads guilty or no contest, is granted deferred 
adjudication, or is required by the court to attend classes, make 
contributions of time or money, receive treatment, submit to any manner 
of probation or supervision, or forego appeal of a trial court's 
conviction, then the applicant will be considered to have received a 
conviction. A later expungement of the conviction will not negate a 
conviction unless it is proved to the OCMI that the expungement is based 
upon a showing that the court's earlier conviction was in error.
    Designated examiner means a person who has been trained or 
instructed in techniques of training or assessment and is otherwise 
qualified to evaluate whether a candidate for a license, document, or 
endorsement has achieved the level of competence required to hold the 
license, document, or endorsement. This person may be designated by the 
Coast Guard, or by a Coast Guard-approved or accepted program of 
training or assessment. A faculty member employed at a State maritime 
academy or the U.S. Merchant Marine Academy operated in accordance with 
regulations in 46 CFR part 310 and instructing in a navigation or 
engineering course is qualified to serve as a designated examiner in his 
or her area(s) of specialization without individual evaluation by the 
Coast Guard.
    Evaluation means processing an application, from the point of 
receipt to approval or rejection of the application, including review of 
all documents and records submitted with an application as well as those 
obtained from public records and databases.
    Fails a chemical test for dangerous drugs means that the result of a 
chemical test conducted in accordance with 49 CFR part 40 is reported as 
``positive'' for the presence of dangerous drugs or drug metabolites in 
an individual's system by a Medical Review Officer in accordance with 
that part.
    National Driver Register (NDR) means the nationwide repository of 
information on drivers maintained by the National Highway Traffic Safety 
Administration as provided under 49 U.S.C. Chapter 303.
    NDR listed convictions means a conviction of any of the following 
motor vehicle-related offenses or comparable offenses:
    (a) Operating a motor vehicle while under the influence of, or 
impaired by, alcohol or a controlled substance; or
    (b) A traffic violation arising in connection with a fatal traffic 
accident, reckless driving, or racing on the highways.
    Original document means the first merchant mariner's document issued 
to any person by the Coast Guard.
    Passes a chemical test for dangerous drugs means the result of a 
chemical test conducted in accordance with 49 CFR part 40 is reported as 
``negative'' by a Medical Review Officer in accordance with that part.
    Practical demonstration means the performance of an activity under 
the direct observation of a designated examiner for the purpose of 
establishing that the performer is sufficiently proficient in a 
practical skill to meet a specified standard of competence or other 
objective criterion.
    Qualified instructor means a person who has been trained or 
instructed in instructional techniques and is otherwise qualified to 
provide required training to candidates for licenses, documents, and 
endorsements. A faculty member employed or at a State maritime academy 
or the U.S. Merchant Marine Academy operated in accordance with 46 CFR 
part 310 and instructing in a navigation or engineering course is 
qualified to serve as a qualified instructor in his or her area(s) of 
specialization without individual evaluation by the Coast Guard.
    Qualified rating means various categories of Able Seaman, Qualified 
Member of the Engine Department, Lifeboatman, or Tankerman endorsements 
on merchant mariner's documents.

[[Page 180]]

    Standard of competence means the level of proficiency to be achieved 
for the proper performance of duties on board vessels in accordance with 
national and international criteria.
    STCW means the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995.
    STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code.
    STCW endorsement means a certificate or endorsement issued in 
accordance with STCW. An STCW endorsement issued by the Officer in 
Charge, Marine Inspection (OCMI), will be valid only when accompanied by 
the appropriate U.S. license or document; and, if the license or 
document is revoked, then the associated STCW endorsement will no longer 
be valid for any purpose. References to STCW placed on a U.S. license or 
merchant mariner's document will suffice as STCW endorsements for the 
mariner serving on a vessel operating exclusively on a domestic voyage 
(i.e., to and from U.S. ports or places subject to U.S. jurisdiction).

[CGD 91-002, 58 FR 15238, Mar. 19, 1993, as amended by CGD 91-223, 60 FR 
4525, Jan. 23, 1995; CGD 91-212, 60 FR 65487, Dec. 19, 1995; CGD 95-062, 
62 FR 34534, June 26, 1997; CGD 97-057, 62 FR 51042, Sept. 30, 1997]



Sec. 12.01-7  Regional Examination Centers.

    Licensing and Certification functions are performed only by the 
Officer in Charge, Marine Inspection, at the following locations:

Boston, MA
New York, NY
Baltimore, MD
Charleston, SC
Miami, FL
New Orleans, LA
Houston, TX
Memphis, TN
St. Louis, MO
Toledo, OH
Long Beach, CA
San Francisco, CA
Seattle, WA
Anchorage, AK
Juneau, AK
Honolulu, HI
Portland, OR


Where the term Officer in Charge, Marine Inspection, or Marine 
Inspection Office is used within the context of this part it is to mean 
that Officer or Office at one of the above listed locations.

[CGD 82-033, 47 FR 28679, July 1, 1982, as amended by CGD 91-002, 58 FR 
15239, Mar. 19, 1993]



Sec. 12.01-9  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget under the Paperwork Reduction Act of 1980 (Pub. L. 
96-511) for the reporting and record keeping requirements in this part.
    (b) The following control numbers have been assigned to the sections 
indicated:
    (1) OMB 2115-0624--46 CFR 12.02-17 and 12.03-1.
    (2) [Reserved]

[CGD 95-062, 62 FR 34535, June 26, 1997]



          Subpart 12.02--General Requirements for Certification



Sec. 12.02-3  Where documents are issued.

    (a) Certificates of identification, certificates of service, 
certificates of efficiency, and continuous discharge books are issued to 
applicants qualifying therefor at any Marine Inspection Office of the 
Coast Guard during usual business hours.
    (b)(1) Coast Guard Merchant Marine Details abroad are authorized to 
conduct examinations for upgrading of seamen, but are not prepared to 
conduct the physical examination where required. Merchant Marine Details 
will therefore not issue regular certificates, but temporary permits in 
lieu thereof. Merchant Marine Details will instruct the recipient of 
each temporary permit to present it to the Officer in Charge, Marine 
Inspection, upon arrival in the first port in the United States in which 
a Marine Inspection Office is located in order to exchange it for a 
permanent certificate.
    (2) The temporary permit shall be accepted in a Marine Inspection 
Office as proof that the bearer has complied with the rules and 
regulations governing the issuance of certificates, except as noted in 
the body of the temporary permit. The requirements noted in the 
exceptions will be complied with as in the case of other applicants.
    (3) The written examinations are forwarded to the Commanding 
Officer, National Maritime Center by Merchant Marine Details, and any 
Marine Inspection Office at which an applicant with a temporary permit 
appears may request and obtain the examination in

[[Page 181]]

the case from the Commanding Officer, National Maritime Center. Any 
Marine Inspection Office which doubts the propriety of issuing a 
permanent certificate in lieu of a temporary permit which has been 
issued by a foreign Merchant Marine Detail shall inform the Commanding 
Officer, National Maritime Center fully as to the circumstances.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.02-4  Basis for denial of documents.

    (a) No person who has been convicted by a court of record of a 
violation of the dangerous drug laws of the United States, the District 
of Columbia, or any State or territory of the United States is eligible 
for an original merchant mariner's document, except as provided by the 
provisions of paragraph (c) of this section. No person who has ever been 
the user of, or addicted to the use of, a dangerous drug, or has ever 
been convicted of an offense described in section 205 of the National 
Driver Register Act of 1982 (49 U.S.C. 30304) due to the addiction or 
abuse of alcohol is eligible for a merchant mariner's document unless he 
or she furnishes satisfactory evidence of suitability for service in the 
merchant marine as provided in paragraph (e) of this section.
    (b) An applicant who fails a chemical test for dangerous drugs 
required by Sec. 12.02-9 will not be issued a merchant mariner's 
document.
    (c) Criminal Record Review. The Officer in Charge, Marine 
Inspection, may require a criminal record check of an applicant for a 
merchant mariner's document issued as an original or reissued with a new 
expiration date. An applicant conducting simultaneous merchant mariner's 
credential transactions shall undergo only one criminal record check. 
Applicants must provide written disclosure of all prior convictions at 
the time of application.
    (1) If a criminal record check is required by the Officer in Charge, 
Marine Inspection, applicants shall provide fingerprints at the time of 
application. The fingerprints will be used to determine whether the 
applicant has a record of a criminal conviction. An application may be 
disapproved if the individual's criminal record leads the Officer in 
Charge, Marine Inspection to determine that the applicant cannot be 
entrusted with the duties and responsibilities of the merchant mariner's 
document for which application is made. If an application is 
disapproved, the Officer in Charge, Marine Inspection will notify the 
applicant in writing of the reason(s) for disapproval and advise the 
applicant that the appeal procedures in Sec. 1.03 of this chapter apply. 
No examination will be given pending decision on appeal.
    (2) The Officer in Charge, Marine Inspection will use table 12.02-
4(c) to evaluate applicants for merchant mariner's documents who have 
criminal convictions. The table lists major categories of criminal 
activity and is not to be construed as an all-inclusive list. If an 
applicant is convicted of an offense that does not appear on the list, 
the Officer in Charge, Marine Inspection will establish an appropriate 
assessment period using the list as a guide. The assessment period 
commences when an applicant is no longer incarcerated. The applicant 
must establish proof of the time incarcerated and periods of probation 
and parole to the satisfaction of the Officer in Charge, Marine 
Inspection. The assessment period may include supervised or unsupervised 
probation or parole. A conviction for a drug offense more than 10 years 
prior to the date of application will not alone be grounds for denial.
    (3) When an applicant has convictions for more than one offense, the 
minimum assessment period will be the longest minimum in table 12.02-
4(c) and table 12.02-4(d) based upon the applicant's convictions; the 
maximum assessment period will be the longest shown in table 12.02-4(c) 
and table 12.02-4(d) based upon the applicant's convictions.
    (4) If a person with a criminal conviction applies for a merchant 
mariner's document before the minimum assessment period shown in table 
12.02-4(c), or established by the Officer in Charge, Marine Inspection 
under paragraph (c)(2) of this section has elapsed, then the applicant 
must provide, as part of

[[Page 182]]

the application package, evidence of suitability for service in the 
merchant marine. Factors which are evidence of suitability for service 
in the merchant marine are listed in paragraph (e) of this section. The 
Officer in Charge, Marine Inspection will consider the applicant's 
evidence submitted with the application and may issue the merchant 
mariner's document in less than the listed minimum assessment period if 
the Officer in Charge, Marine Inspection is satisfied that the applicant 
is suitable to hold the merchant mariner's document for which he or she 
has applied. If an application filed before the minimum assessment 
period has elapsed does not include evidence of suitability for service 
in the merchant marine, then the application will be considered 
incomplete and will not be processed by the Officer in Charge, Marine 
Inspection until the applicant provides the necessary evidence as set 
forth in paragraph (e) of this section.
    (5) If a person with a criminal conviction applies for a merchant 
mariner's document during the time between the minimum and maximum 
assessment periods shown in table 12.02-4(c) or established by the 
Officer in Charge, Marine Inspection under paragraph (c)(2) of this 
section, then the Officer in Charge, Marine Inspection shall consider 
the conviction and, unless there are offsetting factors, shall grant the 
applicant the merchant mariner's document for which he or she has 
applied. Offsetting factors include such factors as multiple 
convictions, failure to comply with court orders (e.g., child support 
orders), previous failures at rehabilitation or reform, inability to 
maintain steady employment, or any connection between the crime and the 
safe operation of a vessel. If the Officer in Charge, Marine Inspection 
considers the applicant unsuitable for service in the merchant marine at 
the time of application, the Officer in Charge, Marine Inspection may 
disapprove the application.
    (6) If a person with a criminal conviction applies for a merchant 
mariner's document after the maximum assessment period shown in table 
12.02-4(c) or established by the Officer in Charge, Marine Inspection 
under paragraph (c)(2) of this section has elapsed, then the Officer in 
Charge, Marine Inspection will grant the applicant the merchant 
mariner's document for which he or she has applied unless the Officer in 
Charge, Marine Inspection considers the applicant still unsuitable for 
service in the merchant marine. If the Officer in Charge, Marine 
Inspection disapproves an applicant with a conviction older than the 
maximum assessment period listed in table 12.02-4(c), the Officer in 
Charge, Marine Inspection will notify the applicant in writing of the 
reason(s) for the disapproval including the Officer in Charge, Marine 
Inspection's reason(s) for considering a conviction older than the 
maximum assessment period listed in table 12.02-4(c). The Officer in 
Charge, Marine Inspection will also inform the applicant, in writing, 
that the reconsideration and appeal procedures contained in Sec. 1.03 of 
this chapter apply.

    Table 12.02-4(c)--Guidelines for Evaluating Applicants for Merchant Mariner's Documents Who Have Criminal
                                                   Convictions
----------------------------------------------------------------------------------------------------------------
                                                                      Assessment periods
                 Crime \1\                  --------------------------------------------------------------------
                                                          Minimum                            Maximum
----------------------------------------------------------------------------------------------------------------
           Crimes Against Persons
 
----------------------------------------------------------------------------------------------------------------
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.
Other crimes against persons \2\...........
 
----------------------------------------------------------------------------------------------------------------
                                                Vehicular Crimes
 
----------------------------------------------------------------------------------------------------------------
Conviction involving fatality..............  1 year...........................  5 years.
Reckless Driving...........................  1 year...........................  2 years.
Racing on the Highway......................  1 year...........................  2 years.

[[Page 183]]

 
Other vehicular crimes \2\.................
 
----------------------------------------------------------------------------------------------------------------
                                          Crimes Against Public Safety
 
----------------------------------------------------------------------------------------------------------------
Destruction of Property....................  5 years..........................  10 years.
Other crimes against public safety \2\.....
 
----------------------------------------------------------------------------------------------------------------
                                       Crimes Involving National Security
 
----------------------------------------------------------------------------------------------------------------
Terrorism, Acts of Sabotage, Espionage and   7 years..........................  20 years.
 related offenses.
 
----------------------------------------------------------------------------------------------------------------
                                          Dangerous Drug Offenses 3,4,5
 
----------------------------------------------------------------------------------------------------------------
Trafficking (sale, distribution, transfer).  5 years..........................  10 years.
Dangerous drugs (Use or possession)........  1 year...........................  10 years.
Other dangerous drug convictions \6\.......
----------------------------------------------------------------------------------------------------------------
\1\ Conviction of attempts, solicitations, aiding and abetting, accessory after the fact, and conspiracies to
  commit the criminal conduct listed in this table carry the same minimum and maximum assessment periods
  provided in the table.
\2\ Other crimes are to be reviewed by the Officer in Charge, Marine Inspection to determine the minimum and
  maximum assessment periods depending on the nature of the crime.
\3\ Applicable to original applications only. Any applicant who has ever been the user of, or addicted to the
  use of, a dangerous drug shall meet the requirements of paragraph (a) of this section. Note: Applicants for
  reissue of a merchant mariner's document with a new expiration date including a renewal or additional
  endorsement(s), who have been convicted of a dangerous drug offense while holding a merchant mariner's
  document, may have their application withheld until appropriate action has been completed by the Officer in
  Charge, Marine Inspection under the regulations which appear in 46 CFR part 5 governing the administrative
  actions against merchant mariner credentials.
\4\ The OCMI may consider dangerous drug convictions more than 10 years old only if there has been a dangerous
  drug conviction within the past 10 years.
\5\ Applicants must demonstrate rehabilitation under paragraph (e) of this section, including applicants with
  dangerous drug use convictions more than ten years old.
\6\ Other dangerous drug convictions are to be reviewed by the Officer in Charge, Marine Inspection on a case by
  case basis to determine the appropriate assessment period depending on the nature of the offense.

    (d) National Driver Register. A merchant mariner's document will not 
be issued or reissued with a new expiration date unless the applicant 
consents to a check of the NDR for offenses described in section 
205(a)(3)(A) or (B) of the NDR Act (i.e., operation of a motor vehicle 
while under the influence of, or impaired by, alcohol or a controlled 
substance; and any traffic violations arising in connection with a fatal 
traffic accident, reckless driving, or racing on the highways). The 
Officer in Charge, Marine Inspection will not consider NDR listed civil 
convictions that are more than 3 years old from the date of request 
unless that information relates to the current suspension or revocation 
of the applicant's license to operate a motor vehicle. The Officer in 
Charge Marine Inspection may determine minimum and maximum assessment 
periods for NDR listed criminal convictions using table 12.02-4(c). An 
applicant conducting simultaneous merchant mariner's credential 
transactions is subject to only one NDR check.
    (1) Any application may be disapproved if information from the NDR 
check leads the Officer in Charge, Marine Inspection to determine that 
the applicant cannot be entrusted with the duties and responsibilities 
of the merchant mariner's document for which the application is made. If 
an application is disapproved, the Officer in Charge, Marine Inspection 
will notify the applicant in writing of the reason(s) for disapproval 
and advise the applicant that the appeal procedures in Sec. 1.03 of this 
chapter apply. No examination will be given or merchant mariner's 
document issued pending decision on appeal.
    (2) Prior to disapproving an application because of information 
received from the NDR, the Officer in Charge, Marine Inspection will 
make the information available to the applicant for review and written 
comment. The applicant may submit reports from the

[[Page 184]]

applicable State concerning driving record and convictions to the Coast 
Guard Regional Examination Center (REC) processing the application. The 
REC will hold an application with NDR listed convictions pending the 
completion of the evaluation and delivery by the individual of the 
underlying State records.
    (3) The guidelines in table 12.02-4(d) will be used by the Officer 
in Charge, Marine Inspection when evaluating applicants for merchant 
mariner's documents who have drug or alcohol related NDR listed 
convictions. Non-drug or alcohol related NDR listed convictions will be 
evaluated by the Officer in Charge, Marine Inspection under table 12.02-
4(c) as applicable.
    (4) An applicant may request an NDR file check for personal use in 
accordance with the Federal Privacy Act of 1974 (Pub. L. 93-579) by 
contacting the NDR at the following address: National Driver Register, 
Nassif Building, 400 7th Street SW., Washington, DC 20590.
    (i) Applicants should request Form NDR-PRV or provide the following 
information on a notarized letter:
    (A) Full legal name;
    (B) Other names used;
    (C) Complete mailing address;
    (D) Driver license number;
    (E) Eye color;
    (F) Social security number;
    (G) Height;
    (H) Weight; and
    (I) Sex.
    (ii) The NDR will respond to every valid inquiry including requests 
which produce no record(s) on the NDR file. Records can be made 
available, within a reasonable amount of time after the request, for 
personal inspection and copying during regular working hours at 7:45 
a.m. to 4:15 p.m., each day except Federal holidays.

   Table 12.02-4(d)--Guidelines for Evaluating Applicants for Merchant Mariner's Documents Who Have NDR Motor
                          Vehicle Convictions Involving Dangerous Drugs or Alcohol \1\
----------------------------------------------------------------------------------------------------------------
        No. of convictions                      Date of conviction                      Assessment period
----------------------------------------------------------------------------------------------------------------
1................................  Less than 1 year...........................  1 year from date of conviction.
1................................  More than 1, less than 3 years.............  Application will be processed,
                                                                                 unless suspension, or
                                                                                 revocation \2\ is still in
                                                                                 effect. Applicant will be
                                                                                 advised that additional
                                                                                 conviction(s) may jeopardize
                                                                                 merchant mariner credentials.
1................................  More than 3 years old......................  Not necessary unless suspension
                                                                                 or revocation is still in
                                                                                 effect.
2 or more........................  Any less than 3 years old..................  1 year since last conviction and
                                                                                 at least 3 years from 2nd most
                                                                                 recent conviction, unless
                                                                                 suspension or revocation is
                                                                                 still in effect.
2 or more........................  All more than 3 years old..................  Application will be processed
                                                                                 unless suspension or revocation
                                                                                 is still in effect.
----------------------------------------------------------------------------------------------------------------
\1\ Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug shall meet the
  requirements of paragraph (a) of this section.
\2\ Suspension or revocation, when referred to in table 12.02-4(d), means a State suspension or revocation of a
  motor vehicle operator's license.

    (e) If an applicant for an original merchant mariner's document has 
one or more alcohol or dangerous drug related criminal or NDR listed 
convictions; if the applicant has ever been the user of, or addicted to 
the use of, a dangerous drug; or if the applicant applies before the 
minimum assessment period for his or her conviction has elapsed; the 
Officer in Charge, Marine Inspection may consider the following factors, 
as applicable, in assessing the applicant's suitability to hold a 
merchant mariner's document. This list is intended as a guideline. The 
Officer in Charge, Marine Inspection may consider other factors which he 
or she judges appropriate, such as:
    (1) Proof of completion of an accredited alcohol- or drug-abuse 
rehabilitation program.
    (2) Active membership in a rehabilitation or counseling group, such 
as Alcoholics or Narcotics Anonymous.
    (3) Character references from persons who can attest to the 
applicant's sobriety, reliability, and suitability for employment in the 
merchant marine including parole or probation officers.
    (4) Steady employment.

[[Page 185]]

    (5) Successful completion of all conditions of parole or probation.

[CGFR 69-116, 35 FR 6860, Apr. 30, 1970, as amended by CGD 91-223, Jan. 
23, 1995; CGD 95-072, 60 FR 50460, Sept. 29, 1995; CGD 91-212, 60 FR 
65487, Dec. 19, 1995]



Sec. 12.02-5  Form in which documents are issued.

    (a) Every certificate of service, certificate of efficiency, or 
certificate of identification issued or reissued after November 1, 1945, 
shall be in the form of a merchant mariner's document, Coast Guard Form 
CG-2838, and wherever such certificates are mentioned in this part they 
shall be deemed to include merchant mariner's documents representing 
such certificates.
    (b) Continuous discharge books are issued on Coast Guard Form CG-
719.



Sec. 12.02-7  When documents are required.

    (a) Every seaman employed on any merchant vessel of the United 
States of 100 gross tons or upward, except vessels employed exclusively 
in trade on the navigable rivers of the United States, shall be issued, 
at the option of the seaman, a continuous discharge book, a certificate 
of identification, or merchant mariner's document representing such 
certificate of identification, which shall be retained by him. This book 
or certificate of identification or merchant mariner's document will 
bear a number, and this same number shall be shown on all certificates 
of service or efficiency issued to the holder of the book or certificate 
or document. Provisions of this section are not applicable to unrigged 
vessels except seagoing barges and certain tank barges.
    (b) Every seaman, as referred to in paragraph (a) of this section, 
shall produce a continuous discharge book or certificate of 
identification or merchant mariner's document representing such a 
certificate to the United States shipping commissioner before signing 
Articles of Agreement, and where the seaman is not signed on before a 
shipping commissioner, one of these documents shall be exhibited to the 
master of the vessel at the time of his employment. Seamen who do not 
possess one of these documents may be employed at a foreign port or 
place.
    (c)(1) Every person employed on any merchant vessel of the United 
States of 100 gross tons and upward, except those navigating rivers 
exclusively and the smaller inland lakes, below the rank of licensed 
officer and registered staff officer, shall possess a valid certificate 
of service, or merchant mariner's document representing such 
certificate, issued by an Officer in Charge, Marine Inspection.
    (2) No certificate of service or efficiency is required of any 
person below the rank of licensed officer employed on any unrigged 
vessel except seagoing barges and certain tank barges.
    (3) No certificate of service or efficiency is required of any 
person below the rank of licensed officer employed on any sail vessel of 
less than 500 net tons while not carrying passengers for hire and while 
not operating outside the line dividing inland waters from the high 
seas, as defined in section 2 of the act of February 19, 1895, as 
amended (33 U.S.C. 151) and in 33 CFR part 82.
    (d) After January 31, 1997, each person serving as a rating forming 
part of a navigational watch on a seagoing ship of 500 gross tons or 
more shall hold an STCW endorsement certifying him or her as qualified 
to perform the navigational function at the support level, in accordance 
with STCW.
    (e) After January 31, 2002, each person serving as a rating forming 
part of a watch in a manned engine-room or designated to perform duties 
in a periodically unmanned engine-room, on a seagoing ship driven by 
main propulsion machinery of 750 kW [1,000 hp] of propulsion power or 
more, shall hold an STCW endorsement certifying him or her as qualified 
to perform the marine-engineering function at the support level, in 
accordance with STCW.
    (f) Notwithstanding any other rule in this part, no unlicensed 
person serving on any of the following vessels needs hold an STCW 
endorsement, either because he or she is exempt from application of the 
STCW, or because the vessels are not subject to further obligation under 
STCW, on account of their special operating conditions as small vessels 
engaged in domestic voyages:
    (1) Small passenger vessels subject to subchapter T or K of title 
46, CFR.

[[Page 186]]

    (2) Vessels of less than 200 GRT (other than passenger vessels 
subject to subchapter H of title 46, CFR).
    (3) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (4) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (5) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (6) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (7) Vessels operating exclusively on the Great Lakes.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-062, 62 FR 
34535, June 26, 1997]



Sec. 12.02-9  Application for documents.

    (a) An applicant for a certificate of service, certificate of 
efficiency, certificate of identification, continuous discharge book, or 
merchant mariner's document, shall make written application, in 
duplicate, on Coast Guard Form CG-719-b and shall appear in person 
before an Officer in Charge, Marine Inspection, or other person 
authorized to issue documents. This application may be for the 
certificates or the rating endorsement for which the seaman believes he 
is qualified. In the case of a seaman applying for his first 
certificate, other than certificate of identification, the application 
shall include a request for either a continuous discharge book or a 
merchant mariner's document representing a certificate of 
identification, at the option of the applicant.
    (b)(1) When the application is submitted for a certificate of 
identification, certificate of service, certificate of efficiency, 
merchant mariner's document, or any combination thereof, or a continuous 
discharge book, the seaman shall furnish three unmounted dull finish 
photographs of passport type (2 inches by 1\1/2\ inches) taken within 
one year and showing the full face at least one inch in height with head 
uncovered.
    (2) When the application requests a continuous discharge book in 
addition to a certificate of service or certificate of efficiency or 
merchant mariner's document one additional photograph shall be 
furnished.
    (c) An applicant for a document where sea service is required shall 
produce with his application discharges or other documentary evidence of 
his service, indicating the name of the vessels and dates on which he 
has had service, in what capacity and on what waters.
    (d) If the applicant possesses a continuous discharge book, 
certificate of identification, or merchant mariner's document 
representing such certificate, it shall be exhibited at the time of 
making application for any other document.
    (e) Approved applications are valid for 12 months.
    (f) Except for applicants requesting an inactive merchant mariner's 
document renewal under Sec. 12.02-27(g) of this part, to obtain an 
original issuance of a merchant mariner's document, the first 
endorsement as an able seaman, lifeboatman, qualified member of the 
engine department, or tankerman, or a reissuance of a merchant mariner's 
document with a new expiration date, each applicant shall present 
evidence of having passed a chemical test for dangerous drugs or of 
qualifying for an exception from testing in Sec. 16.220 of this 
subchapter.
    (g) Each applicant for an original merchant mariner's document may 
be required to submit to a criminal record check as required by 
Sec. 12.02-4(c).
    (h) Each applicant for an original merchant mariner's document or a 
merchant mariner's document reissued with a new expiration date shall 
comply with the NDR requirements in Sec. 12.02-4(d).

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 74-178, 40 FR 
57673, Dec. 11, 1975; CGD 91-211, 59 FR 49300, Sept. 27, 1994; CGD 91-
223, 60 FR 4525, Jan. 23, 1995; CGD 91-212, 60 FR 65489, Dec. 19, 1995]



Sec. 12.02-10  Applications for documents from aliens.

    (a) No application from an alien for a certificate of service, 
certificate of efficiency, certificate of identification, continuous 
discharge book, or merchant mariner's document shall be accepted unless 
the alien presents acceptable documentary evidence from the United 
States Immigration and Naturalization Service that he is lawfully

[[Page 187]]

admitted to the United States for permanent residence.
    (b) This evidence may be in the form of an alien registration 
receipt card issued by the Immigration and Naturalization Service 
bearing the certification that the alien was admitted to the United 
States as an immigrant, or a declaration of intention to become a 
citizen of the United States issued by a naturalization court.



Sec. 12.02-11  General provisions respecting merchant mariners' documents.

    (a) As provided in Sec. 12.02-5, every certificate of service, 
certificate of efficiency, or certificate of identification issued or 
reissued shall be in the form of a merchant mariner's document, Coast 
Guard Form CG-2838.
    (b) Any licensed officer or unlicensed seaman currently holding, in 
a valid status, any of the documents listed in paragraph (a) of this 
section may, upon request and without examination, be issued a merchant 
mariner's document.
    (c) A merchant mariner's document shall be a certificate of service 
authorizing the holder to serve in any rating endorsed thereon, or in 
any lower rating in the same department, or in any rating covered by a 
general endorsement thereon.
    (d)(1) A merchant mariner's document issued to a licensed deck 
officer will be endorsed for, any unlicensed rating in the deck 
department except able seaman, and will be a certificate of service 
authorizing the holder to serve in any unlicensed capacity in the deck 
department except able seaman without being required to present his 
license. If a licensed deck officer qualifies as able seaman the 
merchant mariner's document will be endorsed, any unlicensed rating in 
the deck department including able seaman, and such endorsement will be 
deemed to include a certificate of efficiency as lifeboatman.
    (2) A merchant mariner's document issued to an engineer officer 
licensed for inspected vessels of over 2,000 horsepower will be endorsed 
for any unlicensed rating in the engine department, and will be a 
certificate of service authorizing the holder to serve in any unlicensed 
capacity in the engine department without being required to present his 
license. If a licensed engineer qualifies as a lifeboatman, the further 
endorsement, lifeboatman, will be placed on the merchant mariner's 
document.
    (3) A merchant mariner's document issued to a licensed radio officer 
will be endorsed as follows: See License as Radio Officer. If a licensed 
radio officer qualifies as a lifeboatman, the further endorsement, 
Lifeboatman, will be placed on the merchant mariner's document. 
Qualifications for other ratings for which a radio officer is eligible 
may also be endorsed on the document.
    (e)(1) A merchant mariner's document issued to a staff officer will 
be endorsed as follows: See Certificate of Registry. The holder of a 
certificate of registry as chief purser, purser, senior assistant 
purser, or junior assistant purser may also serve in any capacity in the 
staff department not requiring a certificate of registry without 
obtaining an additional endorsement on his merchant mariner's document.
    (2) The authorized holder of any valid merchant mariner's document, 
however endorsed, may serve in any capacity in the staff department of a 
vessel, except in those capacities requiring registered staff officers: 
Provided, That whenever such service includes the handling of food no 
person may be so employed unless his document bears the food handler's 
endorsement ``(F.H.).''
    (f) A merchant mariner's document endorsed as able seaman or as 
lifeboatman shall be a certificate of efficiency as lifeboatman.
    (g) Every merchant mariner's document shall be a certificate of 
identification unless the holder also holds a continuous discharge book. 
The holder of a certificate of identification in the form issued before 
November 1, 1945, shall surrender that certificate before he is issued a 
merchant mariner's document.
    (h) When a merchant mariner's document is issued, renewed, or 
endorsed, the Officer in Charge, Marine Inspection, will determine 
whether the holder of the document is required to hold an STCW 
endorsement for service on a seagoing vessel, and then, if the holder is 
qualified, the Officer in Charge, Marine Inspection will issue the 
appropriate endorsement. The Officer in Charge, Marine Inspection will 
also

[[Page 188]]

issue an STCW endorsement at other times, if circumstances so require 
and if the holder of the document is qualified to hold the endorsement. 
The Officer in Charge, Marine Inspection will issue an STCW endorsement 
for the following ratings:
    (1) A rating forming part of a navigational watch on a seagoing ship 
of 500 GT or more if the holder of the document is qualified in 
accordance with STCW Regulation II/4 and Section A-II/4 of the STCW 
Code, to perform the navigational function at the support level.
    (2) A rating forming part of a watch in a manned engine-room, or 
designated to perform duties in a periodically unmanned engine-room, on 
a seagoing ship driven by main propulsion machinery of 750 kW [1,000 hp] 
of propulsion power or more, if the holder is qualified in accordance 
with STCW Regulation III/4 and Section A-III/4 of the STCW Code, to 
perform the marine-engineering function at the support level.
    (i) At the request of the holder of the document, the Officer in 
Charge, Marine Inspection may add an endorsement to indicate that a 
qualified holder has received basic safety-training or instruction 
required under Chapter VI of STCW.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-062, 62 FR 
34535, June 26, 1997]



Sec. 12.02-13  Citizenship requirements.

    (a) Any person making application for a continuous discharge book or 
a certificate of identification or a merchant mariner's document 
representing a certificate of identification and claiming to be a 
citizen of the United States shall present acceptable evidence of such 
citizenship at the time of making application. No original document 
shall be issued to any person claiming to be a citizen of the United 
States until such citizenship is established by acceptable evidence.
    (b) Any person who has been issued a continuous discharge book or 
certificate of identification or merchant mariner's document showing 
question marks prior to the effective date of this section may at any 
time produce additional evidence of citizenship to a shipping 
commissioner or Officer in Charge, Marine Inspection. If the additional 
evidence produced satisfies the shipping commissioner or the Officer in 
Charge, Marine Inspection, to whom it is presented that the same is 
acceptable evidence of the citizenship of the person, such official may 
draw lines through the question marks and note the citizenship of the 
person in the space provided therefor, attesting the change, or reissue 
the certificate or document. Whenever such changes are made the official 
making the change shall immediately thereafter notify the Commanding 
Officer, National Maritime Center.
    (c) Acceptable evidence of citizenship is set forth in Sec. 10.02-5 
of this subchapter.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended at 60 FR 50460, 
Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.02-14  Nationality of aliens.

    (a) Any alien making application for a continuous discharge book or 
certificate of identification or merchant mariner's document 
representing a certificate of identification shall present acceptable 
evidence of nationality at the time of making application. No original 
document shall be issued to any alien until nationality is established 
by acceptable evidence.
    (b) Any document of an official character showing the country of 
which the alien is a citizen or subject may be accepted as acceptable 
evidence of an alien's nationality. The following are examples of such a 
document:
    (1) Declaration of intention to become a citizen of the United 
States made by the alien after 1929.
    (2) A travel document in the nature of a passport issued by the 
government of the country of which the alien is a citizen or subject.
    (3) A certificate issued by the consular representative of the 
country of which the alien is a citizen or subject.
    (c) Should any doubt arise as to whether or not the document 
presented may be considered as acceptable evidence of the alien's 
nationality, the

[[Page 189]]

matter shall be referred to the Commanding Officer, National Maritime 
Center, for decision.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.02-15  Oath requirement.

    Applicants for a merchant mariner's document for any rating shall 
take an oath before an Officer in Charge, Marine Inspection, or other 
official authorized to give such oath, or a commissioned officer of the 
Coast Guard authorized to administer oaths under 10 U.S.C. 936 or 14 
U.S.C. 636, that they will faithfully and honestly perform all the 
duties required of them by law and carry out all lawful orders of 
superior officers on shipboard. Such an oath remains binding for all 
subsequent merchant mariner's documents issued to a person until the 
document is surrendered to the Officer in Charge, Marine Inspection.

[CGD 91-211, 59 FR 49300, Sept. 27, 1994]



Sec. 12.02-17  Rules for the preparation and issuance of documents.

    (a) Upon application of a person for a merchant mariner's document, 
any required examination will be given as soon as practicable.
    (b) Upon determining that the applicant satisfactorily meets all 
requirements for the document and any endorsements requested, the 
Officer in Charge, Marine Inspection, shall issue the appropriate 
document to the applicant. A merchant mariner's document is valid for a 
term of 5 years from the date of issuance. Any document which is renewed 
or reissued prior to its expiration date automatically becomes void upon 
issuance of the replacement document.
    (c) When a seaman applies for a merchant mariner's document, he 
must:
    (1) Sign the document; and
    (2) Impress his left thumbprint on the document; or
    (3) Impress his right thumbprint on the document if his left thumb 
is missing.
    (d) A seaman's social security number is placed on his document and 
is his official identification number for record purposes.
    (e) After July 31, 1998, an applicant for a merchant mariner's 
document who will be serving on a seagoing vessel of 200 GRT or more 
shall provide a document issued by a qualified medical practitioner 
attesting the applicant's medical fitness to perform the functions for 
which the document is issued.
    (f) An applicant for a certificate of service or efficiency who has 
been duly examined and refused a certificate by an Officer in Charge, 
Marine Inspection may come before the same Officer in Charge, Marine 
Inspection for reexamination at any time after the date of the initial 
examination. The Officer in Charge, Marine Inspection sets the time of 
reexamination based on the applicant's performance on the initial 
examination. However, the maximum waiting period after the initial 
failure will be 30 days, and the maximum waiting period after a second 
or subsequent failure will be 90 days.
    (g) An applicant who has been examined and refused a certificate by 
an Officer in Charge, Marine Inspection may not make application for 
examination to any other Officer in Charge, Marine Inspection until 30 
days after the applicant's last failure of an examination or 
reexamination. However, an applicant may apply for examination by 
another Officer in Charge, Marine Inspection before the expiration of 
the 30 day period if sanctioned by the Officer in Charge, Marine 
Inspection who refused the applicant.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 72-81R, 37 FR 
10834, May 31, 1972; 44 FR 21021, Apr. 9, 1979; CGD 91-211, 59 FR 49300, 
Sept. 27, 1994; CGD 95-062, 62 FR 34535, June 26, 1997]



Sec. 12.02-18  Fees.

    (a) The following fees are required for merchant mariner's document 
activities in this part:
    (1) For evaluation for an original document, (does not apply if 
applicant holds a license or certificate of registry issued under part 
10 of this chapter), $17.
    (2) For evaluation for a merchant mariner's document endorsed with a 
qualified rating:
    (i) For an original merchant mariner's document, $77.

[[Page 190]]

    (ii) For a merchant mariner's document other than original, $60.
    (iii) Where further evaluation is not required, such as when a 
merchant mariner's document is issued incident to a license transaction, 
no fee.
    (3) For administration of examination, $40.
    (4) For issuance of a document, $35.
    (5) For duplicate of a merchant mariner's document issued in this 
part where a fee is required in Sec. 12.02-23, $35.
    (6) For a duplicate continuous discharge book, record of sea 
service, or copies of certificates of discharge, $10.
    (7) For renewal of a merchant mariner's document:
    (i) For evaluation for renewal of a merchant mariner's document 
endorsed with a qualified rating, $45.
    (ii) For evaluation for renewal of a merchant mariner's document 
when submitted with a license where a renewal evaluation fee already 
applies, no fee.
    (iii) For evaluation for renewal of a merchant mariner's document 
without qualified rating endorsement, no fee.
    (iv) For administration of open-book exercises required by 
Sec. 12.02-27, $40.
    (v) For administration of MMD open-book exercises when required in 
addition to license open-book exercises for concurrent renewal of these 
documents, only the license exercise fee in Sec. 10.109(c)(2) will 
apply.
    (vi) For issuance of a renewal of a merchant mariner's document 
including those issued for continuity purposes only, $35.
    (b) Unless otherwise directed, the prescribed fee must be paid as 
follows:
    (1) If an evaluation fee, at the time of application.
    (2) If an examination fee, prior to taking the first examination 
section at a Regional Examination Center. For examinations administered 
at locations other than a Regional Examination Center, the examination 
fee must be received by the Regional Examination Center at least one 
week in advance of the scheduled examination date.
    (3) If an issuance fee, prior to receiving the document.
    (c) Prescribed fees must be paid by one of the following options:
    (1) Mail-in. Payment by check or money order only, made payable to 
one of the following:
    (i) U.S. Coast Guard;
    (ii) U.S. Government;
    (iii) U.S. Treasury;
    (iv) U.S. Department of Transportation.

Fee payment must be made by check or money order with the applicant's 
(payor's) social security number included thereon.
    (2) In-person. Fee payment will be accepted by cash, check, or money 
order at Coast Guard units where Regional Examination Centers are 
located. Where an applicant makes payment by cash, payment must be in 
the exact amount. A check or money order must be payable as specified in 
paragraph (c)(1) of this section.
    (d) The following applies to anyone failing to pay a fee or charge 
established under this subpart:
    (1) Anyone who fails to pay a fee or charge established under this 
subpart is liable to the United States Government for a civil penalty of 
not more than $5,000 for each violation.
    (2) The Coast Guard may assess additional charges to anyone to 
recover collection and enforcement costs associated with delinquent 
payments of, or failure to pay, a fee. Coast Guard merchant mariner's 
document services may also be withheld from anyone pending payment of 
outstanding fees owed to the Coast Guard for services already provided 
by Regional Examination Centers.

[CGD 91-002, 58 FR 15239, Mar. 19, 1993, as amended by CGD 91-211, 59 FR 
49301, Sept. 27, 1994]



Sec. 12.02-19  Suspension or revocation of documents.

    Any certificate of service or of efficiency or merchant mariner's 
document representing such certificate(s) is subject to suspension or 
revocation on the same grounds and in the same manner and with like 
procedure as is provided in the case of suspension or revocation of 
licenses of officers under the provisions of 46 U.S.C. Chapter 77.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-028, 62 FR 
51196, Sept. 30, 1997]

[[Page 191]]



Sec. 12.02-21  Issuance of documents after revocation.

    (a) An applicant who has had a certificate or other document revoked 
and who is applying for certification in the same or any other rating 
shall state in his application the date of revocation and number or type 
of the document revoked.
    (b) No applicant who has had a certificate or other document revoked 
will be certificated in the same or any other rating except upon 
approval of the Commanding Officer, National Maritime Center.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.02-23  Issuance of duplicate documents.

    (a) If a seaman loses his continuous discharge book, merchant 
mariner's document or certificate of discharge by shipwreck or other 
casualty, he shall be supplied with a reissue of such documents free of 
charge. The phrase or other casualty as used in this section is 
interpreted to mean any damage to a ship caused by collision, explosion, 
tornado, wreck or flooding of the ship, such as a tidal wave or a 
grounding of the ship on a sand bar, or a beaching of the ship on a 
shore or by fire or other causes in a category with these mentioned.
    (b) If a seaman loses a continuous discharge book, merchant 
mariner's document, or certificate of discharge otherwise than by 
shipwreck or other casualty and applies for a reissue, the appropriate 
fee set out in Sec. 12.02-18 is required.
    (c) A person entitled to a duplicate merchant mariner's document, 
duplicate continuous discharge book, copies of certificates of 
discharge, or record of sea service may obtain the documents by applying 
at any Regional Examination Center listed in Sec. 12.01-7 by:
    (1) Completing the application form provided by the Coast Guard; and
    (2) Paying the fee set out in Sec. 12.02-18.
    (d) Each person issued a document described in Sec. 12.02-5, shall 
report to an Officer in Charge, Marine Inspection, its loss.
    (e) If a seaman's document or service record is missing, he may 
obtain a duplicate by following the procedures in paragraph (c) of this 
section and by:
    (1) Signing an affidavit before the Officer in Charge, Marine 
Inspection, or his designated representative, that explains the loss of 
his document or service record; and
    (2) Submitting at least two photographs for each duplicate document.
    (f) No application from an alien for a duplicate merchant mariner's 
document shall be accepted unless the alien complies with the 
requirements of Sec. 12.02-10.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGFR 71-168, 36 
FR 23297, Dec. 8, 1971; CGD 72-81R, 37 FR 10834, May 31, 1972; CGD 91-
002, 58 FR 15239, Mar. 19, 1993]



Sec. 12.02-24  Reporting loss or recovery of continuous discharge book, merchant mariners document, or certificate of discharge.

    Whenever a continuous discharge book, merchant mariners document, or 
certificate of discharge is reported to an Officer in Charge, Marine 
Inspection (OCMI), as having been stolen, lost, or destroyed, the OCMI 
shall immediately report the fact by letter to the Commanding Officer, 
National Maritime Center giving all the facts incident to its loss or 
destruction. By the same procedure the OCMI shall report the recovery of 
a continuous discharge book, merchant mariners document or certificate 
of discharge with all the facts incident to its recovery, and shall 
forward the recovered book, document, or discharge to the Commanding 
Officer, National Maritime Center.

[CGD 79-161, 44 FR 70155, Dec. 6, 1979, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.02-25  Right of appeal.

    Any person directly affected by a decision or action taken under 
this part, by or on behalf of the Coast Guard, may appeal therefrom in 
accordance with subpart 1.03 of this chapter.

[CGD 88-033, 54 FR 50379, Dec. 6, 1989]

[[Page 192]]



Sec. 12.02-27  Requirements for renewal of a merchant mariner's document.

    (a) General. Except as provided in paragraph (g) of this section, an 
applicant for renewal of a merchant mariner's document shall establish 
possession of all of the necessary qualifications before a merchant 
mariner's document is issued.
    (1) Each application must be on a Coast Guard furnished form and 
accompanied by the evaluation fee established in Sec. 12.02-18. An 
approved application is valid for 12 months.
    (2) The applicant may apply in person at any Regional Examination 
Center listed in Sec. 12.01-7 or may renew the merchant mariner's 
document by mail under paragraph (e)(3) of this section.
    (3) The applicant shall submit the original or a photocopy of the 
merchant mariner's document to be renewed. A photocopy must include the 
front and back of the merchant mariner's document. If requested, the old 
document will be returned to the applicant.
    (4) The expiration date of a merchant mariner's document that was 
issued without an expiration date is determined in accordance with 
Sec. 12.02-29.
    (5) Each applicant shall comply with Sec. 12.02-09(b)(1) of this 
part.
    (b) Fitness. No merchant mariner's document will be renewed if it 
has been suspended without probation or revoked as a result of action 
under part 5 of this chapter, or facts which would render a renewal 
improper have come to the attention of the Coast Guard.
    (c) Professional requirements. (1) In order to renew a merchant 
mariner's document endorsed with a qualified rating, the applicant shall 
comply with one of the following:
    (i) Present evidence of at least 1 year of sea service during the 
past 5 years;
    (ii) Pass a comprehensive, open-book exercise covering the general 
subject matter required by this part for the applicable endorsement or 
pass an open-book license exercise that covers the same subject matter 
required for the MMD endorsement;
    (iii) Complete an approved refresher training course; or,
    (iv) Present evidence of employment in a position closely related to 
the operation, construction, or repair of vessels (either deck or 
engineer as appropriate for the endorsement) for at least 3 years during 
the past 5 years.
    (2) There are no professional requirements for renewal of a merchant 
mariner's document that is not endorsed with any qualified ratings.
    (d) Physical requirements. (1) An applicant for renewal of a 
merchant mariner's document endorsed with a qualified rating other than 
lifeboatman, shall submit a certification by a licensed physician or 
physician assistant that he or she is in good health and has no physical 
impairment or medical condition which would render him or her 
incompetent to perform the ordinary duties of that qualified rating(s). 
This certification must address visual acuity and hearing in addition to 
general physical condition, and must have been completed within the 
previous 12 months.
    (2) If the Officer in Charge, Marine Inspection has reason to 
believe that an applicant suffers from some physical impairment or 
medical condition which would render the applicant incompetent to 
perform the duties of the qualified rating(s) (other than lifeboatman), 
the applicant may be required to submit the results of an examination by 
a licensed physician or physician assistant that meets the requirements 
for originally obtaining the rating(s).
    (3) An applicant who has lost sight in one eye may renew a merchant 
mariner's document with qualified ratings, provided the applicant is 
qualified in all other respects and that the visual acuity in the 
remaining eye passes the test required in Sec. 10.205(d) of this 
chapter.
    (e) Special circumstances--(1) Reissuance after expiration, Period 
of grace. Except as provided in this paragraph, a merchant mariner's 
document may not be renewed more than 12 months after it has expired. To 
obtain a reissuance of a merchant mariner's document expired more than 
12 months, an applicant shall comply with the requirements of paragraph 
(f) of this section. When an applicant's merchant mariner's document 
expires during a time of service with the Armed Forces and there is no 
reasonable opportunity for renewal, including

[[Page 193]]

by mail, this 12-month period of grace may be extended. The period of 
military service following the date of merchant mariner's document 
expiration which precluded renewal may be added to the 12 month period 
of grace. The 12 month period of grace, and any extension, do not affect 
the expiration date of the document. A merchant mariner's document, and 
any endorsements that it contains, are not valid for use after the 
expiration date.
    (2) Renewal in advance. A merchant mariner's document may not be 
renewed more that 12 months before expiration unless it is being renewed 
in conjunction with a license or certificate of registry which is either 
due for renewal or being upgraded, or unless the Officer in Charge, 
Marine Inspection is satisfied that special circumstances exist to 
justify renewal.
    (3) Renewal by mail. (i) Applications for renewal of merchant 
mariner's documents by mail may be sent to any Coast Guard Regional 
Examination Center. The following documents must be submitted:
    (A) A properly completed application on a Coast Guard furnished 
form, and the evaluation fee required by Sec. 12.02-18.
    (B) The document to be renewed, or, if it has not expired, a 
photocopy of the document, including the back.
    (C) A certification from a licensed physician or physician assistant 
in accordance with paragraph (d) of this section.
    (D) Evidence of, or acceptable substitute for, sea service in 
accordance with paragraph (c) of this section.
    (ii) The open-book exercise, if required, may be administered 
through the mail.
    (4) Concurrent renewal of merchant mariner's documents, and 
licenses, or certificates of registry. An applicant for concurrent 
renewal of more than one merchant mariner credential shall satisfy the 
individual renewal requirements and pay the applicable fees required by 
Secs. 12.02-18 and 10.109 of this chapter for each merchant mariner's 
document, license, or certificate of registry being renewed.
    (f) Reissuance of expired merchant mariner's documents. (1) Whenever 
an applicant applies for reissuance of a merchant mariner's document 
endorsed with qualified rating(s) more than 12 months after expiration, 
in lieu of the requirements of paragraph (c) of this section the 
applicant shall demonstrate continued professional knowledge for each 
qualified rating for which reissuance is sought by completing a course 
approved for this purpose or, by passing the complete examination for 
each rating, or by passing the examination for a related license 
required by Sec. 10.209(f)(1) of this chapter. The fees listed in 
Secs. 12.02-18 and 10.109 apply to these examinations.
    (2) A merchant mariner's document without any qualified rating 
endorsements that has been expired more than 12 months shall be reissued 
in the same manner as a current merchant mariner's document. There are 
no additional requirements for reissuing merchant mariner's documents 
without qualified ratings that have been expired more than 12 months.
    (g) Inactive document renewal. (1) Applicants for renewal of 
merchant mariner's documents that are endorsed with qualified ratings, 
who are unwilling or otherwise unable to meet the requirements of 
paragraphs (c) or (d) of this section may renew the merchant mariner's 
document, with the following restrictive endorsement placed on the 
document: ``Continuity only; service under document prohibited.'' 
Holders of merchant mariner's documents with this continuity endorsement 
may have the prohibition rescinded at any time by satisfying the renewal 
requirements in paragraphs (c) and (d) of this section and Sec. 12.02-
9(f) of this part.
    (2) Applications for renewal of a document with the continuity 
endorsement must include:
    (i) The document to be renewed, or, if it is unexpired, a photocopy 
of the document including the back and,
    (ii) A signed statement from the applicant attesting to an awareness 
of the restriction to be placed on the renewed document and of the 
requirements for rescinding the continuity endorsement.

[CGD 91-211, 59 FR 49301, Sept. 27, 1994, as amended by CGD 91-223, 60 
FR 4525, Jan. 23, 1995]

[[Page 194]]



Sec. 12.02-29  Expiration of existing merchant mariner's documents.

    The expiration year of a merchant mariner's document issued without 
an expiration date is calculated by adding 5-year increments to the 
issuance date of the document, up to the first applicable year falling 
between 1995 and 1999, inclusive. The day and month of expiration are 
the same as that of issuance. Table 12.02-29 is provided as an aid for 
calculating the expiration date of a document issued without an 
expiration date. A merchant mariner's document is not valid for use 
after the expiration date calculated under this section, but may be 
renewed in accordance with the requirements of Sec. 12.02-27.

 Table 12.02-29.--Expiration of Merchant Mariner's Documents Issued With
                         No Expiration Date \1\
------------------------------------------------------------------------
                             Expiration year
-------------------------------------------------------------------------
     1999           1998           1997           1996          1995
------------------------------------------------------------------------
                               Issue Year
 
------------------------------------------------------------------------
1994.........        1993           1992           1991          1990
1989.........        1988           1987           1986          1985
1984.........        1983           1982           1981          1980
1979.........        1978           1977           1976          1975
1974.........        1973           1972           1971          1970
1969.........        1968           1967           1966          1965
1964.........        1963           1962           1961          1960
1959.........        1958           1957           1956          1955
1954.........        1953           1952           1951          1950
1949.........        1948           1947           1946          1945
1944.........        1943           1942           1941          1940
1939.........        1938           1937     .............  ............
------------------------------------------------------------------------
\1\ Find the year in which the merchant mariner's document was issued
  (Issue Year), then move up the column to find the Expiration Year.
  Month and day of expiration correspond to the month and day of issue.


[CGD 91-211, 59 FR 49302, Sept. 27, 1994]



              Subpart 12.03--Approved and Accepted Training



Sec. 12.03-1  Coast Guard-accepted training other than approved courses.

    (a) When the training and assessment of competence required by part 
10 of this chapter or by this part 12 are not subject to approval under 
Sec. 10.302 of this chapter, but are used to qualify to hold an STCW 
certificate or endorsement for service on or after February 1, 2002, the 
training and assessment must meet the following requirements:
    (1) The training and assessment must have written, clearly defined 
objectives that emphasize specific knowledge, skills, and abilities, and 
that include criteria to be used in establishing a student's successful 
achievement of the training objectives.
    (2) The training must be set out in a written syllabus that conforms 
to a Coast Guard-accepted outline for such training and includes--
    (i) The sequence of subjects to be covered;
    (ii) The number of hours to be devoted to instruction in relevant 
areas of knowledge;
    (iii) The identity and professional qualifications of the 
instructor(s) to be conducting the training or providing instruction;
    (iv) The identity of other media or facilities to be used in 
conducting the training; and
    (v) Measurements at appropriate intervals of each candidate's 
progress toward acquisition of the specific knowledge, skills, and 
abilities stated in the training objectives.
    (3) Except as provided in paragraph (a)(4) of this section, 
documentary evidence must be readily available to establish that all 
instructors--
    (i) Have experience, training, or instruction in effective 
instructional techniques;
    (ii) Are qualified in the task for which the training is being 
conducted; and
    (iii) Hold the level of license, endorsement, or other professional 
credential required of those who would apply, on board a vessel, the 
relevant level of knowledge, skills, and abilities described in the 
training objectives.
    (4) Neither a specialist in a particular field of non-maritime 
education, such as mathematics or first aid, nor a person with at least 
3 years of service as a member of the Armed Forces of the United States, 
specializing in a particular field, need hold a maritime license or 
document to conduct training in that field.
    (5) A simulator may be used in training if--
    (i) The simulator meets applicable performance standards;

[[Page 195]]

    (ii) The instructor has gained practical operational experience on 
the particular type of simulator being used; and
    (iii) The instructor has received appropriate guidance in 
instructional techniques involving the use of simulators.
    (6) Essential equipment and instructional materials must afford each 
student adequate opportunity to participate in exercises and acquire 
practice in performing required skills.
    (7) A process for routinely assessing the effectiveness of the 
instructors, including the use of confidential evaluations by students, 
is in place.
    (8) Documentary evidence is readily available to establish that any 
evaluation of whether a student is competent in accordance with 
standards, methods, and criteria set out in part A of the STCW Code is 
conducted by a designated examiner who has experience, training, or 
instruction in assessment techniques.
    (9) Records of the student's performance are maintained for at least 
1 year by the offeror of the training and assessment.
    (10) To ensure that the training is meeting its objectives, and the 
requirements of paragraphs (a) (1) through (9) of this section, its 
offeror must either--
    (i) Be regulated as a maritime academy or marine academy pursuant to 
46 CFR part 310; or
    (ii) Monitor it in accordance with a Coast Guard-accepted QSS, which 
must include the following features:
    (A) The training must be provisionally certified, on the basis of an 
initial independent evaluation conducted under a Coast Guard-accepted 
QSS, as being capable of meeting its stated objective.
    (B) The training must be periodically monitored in accordance with 
the schedule stipulated under the Coast Guard-accepted quality-standards 
system.
    (C) Each person conducting the initial evaluation or the subsequent 
periodic monitoring of the training shall be knowledgeable about the 
subjects being evaluated or monitored and about the national and 
international requirements that apply to the training, and shall not 
himself or herself be involved in the training and assessment of 
students.
    (D) Each person evaluating or monitoring the training shall enjoy 
convenient access to all appropriate documents and facilities, and 
opportunities both to observe all appropriate activities and to conduct 
confidential interviews when necessary.
    (E) Arrangements must be such as to ensure that no person evaluating 
or monitoring the training is penalized or rewarded, directly or 
indirectly, by the sponsor of the training for making any particular 
observations or for reaching any particular conclusions.
    (11) Each person conducting the initial evaluation under paragraph 
(a)(10)(ii)(A) of this section or the periodic monitoring of the 
training under paragraph (a)(10)(ii)(B) of this section shall 
communicate his or her conclusions to the Commanding Officer, National 
Maritime Center, NMC-4B, 4200 Wilson Boulevard, suite 510, Arlington, VA 
22203-1804, within 1 month of the completion or the evaluation of the 
monitoring.
    (12) Each offeror of the training shall let the Coast Guard or 
someone authorized by the Coast Guard observe the records of a student's 
performance and records otherwise relating to paragraphs (a) (1) through 
(10) of this section.
    (b) The Coast Guard will maintain a list of training each of whose 
offerors submits a certificate, initially not less than 45 calendar days 
before offering training under this section, and annually thereafter, 
signed by the offeror or its authorized representative, stating that the 
training fully complies with requirements of this section, and 
identifying the Coast Guard-accepted QSS being used for independent 
monitoring. Training on this list will offer the training necessary for 
licenses and STCW endorsements under this part. The Coast Guard will 
update this list periodically and make it available to members of the 
public on request.
    (c) If the Coast Guard determines, on the basis of observations or 
conclusions either of its own or of someone authorized by it to monitor 
the training, that particular training does not satisfy one

[[Page 196]]

or more of the conditions described in paragraph (a) of this section--
    (1) The Coast Guard will so notify the offeror of the training by 
letter, enclosing a report of the observations and conclusions;
    (2) The offeror may, within a period specified in the notice, either 
appeal the observations or conclusions to the Commandant (G-MS) or bring 
the training into compliance; and
    (3) If the appeal is denied--or the deficiency is not corrected in 
the allotted time, or within any additional period judged by the Coast 
Guard to be appropriate, considering progress towards compliance--the 
Coast Guard will remove the training from the list maintained under 
paragraph (b) of this section until it can verify full compliance; and 
it may deny applications for licenses for STCW endorsement based in 
whole or in part on training not on the list, until additional training 
or assessment is documented.

[CGD 95-062, 62 FR 34536, June 26, 1997, as amended by USCG-1998-4442, 
63 FR 52189, Sept. 30, 1998]



                       Subpart 12.05--Able Seamen



Sec. 12.05-1  Certification required.

    (a) Every person employed in a rating as able seaman on any United 
States vessel requiring certificated able seamen, before signing 
articles of agreement, shall present to the master, his or her 
certificate as able seaman (issued in the form of a merchant mariner's 
document).
    (b) No certificate as able seaman is required of any person employed 
on any tug or towboat on the bays and sounds connected directly with the 
seas, or on any unrigged vessel except seagoing barges or tank barges.
    (c) The following categories of able seaman are established:
    (1) Able Seaman--Any Waters, Unlimited.
    (2) Able Seaman--Limited.
    (3) Able Seaman--Special.
    (4) Able Seaman--Special (OSV).

[CGD 80-131, 45 FR 69240, Oct. 20, 1980]



Sec. 12.05-3  General requirements.

    (a) To qualify for certification as able seaman an applicant must:
    (1) Be at least 18 years of age;
    (2) Pass the prescribed physical examination;
    (3) Meet the sea service or training requirements set forth in this 
part;
    (4) Pass an examination demonstrating ability as an able seaman and 
lifeboatman; and,
    (5) Speak and understand the English language as would be required 
in performing the general duties of able seaman and during an emergency 
aboard ship.
    (b) An STCW endorsement valid for any period on or after February 1, 
2002, will be issued or renewed only when the candidate for 
certification as an able seaman also produces satisfactory evidence, on 
the basis of assessment of a practical demonstration of skills and 
abilities, of having achieved or maintained within the previous 5 years 
the minimum standards of competence for the following 4 areas of basic 
safety:
    (1) Personal survival techniques as set out in table A-VI/1-1 of the 
STCW Code.
    (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code.
    (c) An STCW endorsement valid for any period on or after February 1, 
2002, will be issued or renewed only when the candidate for 
certification as able seamen meets the requirements of STCW Regulation 
II/4 and of Section A-II/4 of the STCW Code, if the candidate will be 
serving as a rating forming part of the navigational watch on a seagoing 
ship of 500 GT or more.

[CGD 80-131, 45 FR 69240, Oct. 20, 1980, as amended by CGD 95-062, 62 FR 
34537, June 26, 1997; CGD 95-062, 62 FR 40140, July 25, 1997]



Sec. 12.05-5  Physical requirements.

    (a) All applicants for a certificate of service as able seaman shall 
be required to pass a physical examination given by a medical officer of 
the United States Public Health Service and present to the Officer in 
Charge, Marine Inspection, a certificate executed by the Public Health 
Service Officer.

[[Page 197]]

Such certificate shall attest to the applicant's acuity of vision, color 
sense, hearing, and general physical condition. In exceptional cases 
where an applicant would be put to great inconvenience or expense to 
appear before a medical officer of the United States Public Health 
Service, the physical examination and certification may be made by any 
other reputable physician.
    (b) The medical examination for an able seaman is the same as for an 
original license as a deck officer as set forth in Sec. 10.205 of this 
subchapter. If the applicant is in possession of an unexpired deck 
license, the Officer in Charge, Marine Inspection, may waive the 
requirement for a physical examination.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by USCG-1998-4442, 
63 FR 52189, Sept. 30, 1998]



Sec. 12.05-7  Service or training requirements.

    (a) The minimum service required to qualify an applicant for the 
various categories of able seaman is as listed in this paragraph.
    (1) Able Seaman--Any Waters, Unlimited. Three years service on deck 
on vessels operating on the oceans or the Great Lakes.
    (2) Able Seaman--Limited. Eighteen months service on deck in vessels 
of 100 gross tons or over which operate in a service not exclusively 
confined to the rivers and smaller inland lakes of the United States.
    (3) Able Seaman--Special. Twelve months service on deck on vessels 
operating on the oceans, or the navigable waters of the United States 
including the Great Lakes.
    (4) Able Seaman--Special (OSV). Six months service on deck on 
vessels operating on the oceans, or the navigable waters of the United 
States including the Great Lakes.
    (5) After July 31, 1998, to receive an STCW endorsement for service 
as a ``rating forming part of a navigational watch'' on a seagoing ship 
of 500 GT or more, the applicant's seagoing service must include 
training and experience associated with navigational watchkeeping and 
involve the performance of duties carried out under the direct 
supervision of the master, the officer in charge of the navigational 
watch, or a qualified rating forming part of a navigational watch. The 
training and experience must be sufficient to establish that the 
candidate has achieved the standard of competence prescribed in table A-
II/4 of the STCW Code, in accordance with the methods of demonstrating 
competence and the criteria for evaluating competence specified in that 
table.

    Note: Employment considerations for the various categories of able 
seaman are contained in Sec. 157.20-15 of this chapter.

    (b) Training programs approved by the Commanding Officer, National 
Maritime Center, may be substituted for the required periods of service 
on deck as follows:
    (1) A graduate of a school ship may be rated as able seaman upon 
satisfactory completion of the course of instruction. For this purpose, 
school ship is interpreted to mean an institution which offers a 
complete course of instruction, including a period of at sea training, 
in the skills appropriate to the rating of able seaman.
    (2) Training programs, other than those classified as a school ship, 
may be substituted for up to one third of the required service on deck. 
The service/training ratio for each program is determined by the 
Commanding Officer, National Maritime Center, who may allow a maximum of 
three days on deck service credit for each day of instruction.
    (c) A certificate of service as Able Seaman, Great Lakes--18 months' 
service, is considered equivalent to a certificate of service as Able 
Seaman--Limited.
    (d) A certificate of service as Able Seaman with the following 
route, vessel, or time restrictions is considered equivalent to a 
certificate of service as Able Seaman--Special:
    (1) Any waters--12 months.
    (2) Tugs and towboats--any waters.
    (3) Bays and sounds--12 months, vessels 500 gross tons or under not 
carrying passengers.
    (4) Seagoing barges--12 months.
    (e) An individual holding a certificate of service endorsed as noted 
in paragraphs (c) or (d) of this section

[[Page 198]]

may have his or her merchant mariner's document endorsed with the 
equivalent category, upon request.

[CGD 80-131, 45 FR 69240, Oct. 20, 1980, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-062, 62 FR 34537, June 26, 1997; CGD 95-
062, 62 FR 40140, July 25, 1997; USCG-1998-4442, 63 FR 52189, Sept. 30, 
1998]



Sec. 12.05-9  Examination and demonstration of ability.

    (a) Before an applicant is certified as an able seaman, he or she 
shall prove to the satisfaction of the Coast Guard by oral or other 
means of examination, and by actual demonstration, his or her knowledge 
of seamanship and the ability to carry out effectively all the duties 
that may be required of an able seaman, including those of a 
lifeboatman. The applicant shall demonstrate that he or she:
    (1) Has been trained in all the operations connected with the 
launching of lifeboats and liferafts, and in the use of oars;
    (2) Is acquainted with the practical handling of boats; and
    (3) Is capable of taking command of the boat's crew.
    (b) The examination, whether administered orally or by other means, 
must be conducted only in the English language and must consist of 
questions regarding:
    (1) Lifeboats and liferafts, the names of their essential parts, and 
a description of the required equipment;
    (2) The clearing away, swinging out, and lowering of lifeboats and 
liferafts, and handling of lifeboats under oars and sails, including 
questions relative to the proper handling of a boat in a heavy sea;
    (3) The operation and functions of commonly used types of davits;
    (4) The applicant's knowledge of nautical terms; boxing the compass, 
either by degrees or points according to his experience; running lights, 
passing signals, and fog signals for vessels on the high seas, in inland 
waters, or on the Great Lakes depending upon the waters on which the 
applicant has had service; and distress signals; and,
    (5) The applicant's knowledge of commands in handling the wheel by 
obeying orders passed to him as wheelsman, and knowledge of the use of 
engineroom telegraph or bell-pull signals.
    (c) In the actual demonstration, the applicant shall show his 
ability by taking command of a boat and directing the operation of 
clearing away, swinging out, lowering the boat into the water, and 
acting as coxswain in charge of the boat under oars. He shalldemonstrate 
his ability to row by actually pulling an oar in the boat. He shall also 
demonstrate knowledge of the principal knots, bends, splices, and 
hitches in common use by actually making them.
    (c-1) The applicant must demonstrate to the satisfaction of the 
Officer in Charge, Marine Inspection, his knowledge of pollution laws 
and regulations, procedures for discharge containment and cleanup, and 
methods for disposal of sludge and waste material from cargo and fueling 
operations.
    (d) Any person who is in valid possession of a certificate as able 
seaman endorsed, any waters--12 months and who can produce documentary 
evidence of sufficient service to qualify for a certificate as able 
seaman endorsed, any waters--unlimited, may be issued a new document 
bearing this endorsement without additional professional examination. 
The applicant shall surrender for cancellation the document bearing the 
limited endorsement. No physical examination will be required at the 
time of this exchange unless it is found that the applicant obviously 
suffers from some physical or mental infirmity to a degree that in the 
opinion of the Officer in Charge, Marine Inspection, would render him 
incompetent to perform the usual duties of an able seaman at sea. If 
such condition is believed to exist, the applicant shall be required to 
undergo an examination by a medical officer of the Public Health Service 
to determine his competency.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 71-161R, 37 
FR 28263, Dec. 21, 1972; CGD 94-029, 61 FR 47064, Sept. 6, 1996]



Sec. 12.05-11  General provisions respecting merchant mariner's document endorsed for service as able seamen.

    (a) The holder of a merchant mariner's document endorsed for the 
rating

[[Page 199]]

of able seamen may serve in any unlicensed rating in the deck department 
without obtaining an additional endorsement; provided, however, that the 
holder shall hold the appropriate STCW endorsement when serving in as a 
``rating forming part of a navigational watch'' on a seagoing ship of 
500 GT or more.
    (b) A merchant mariner's document endorsed as able seaman will also 
be considered a certificate of efficiency as lifeboatman without further 
endorsement.
    (c) This type of document will describe clearly the type of able 
seaman certificate which it represents, e.g.: able seaman--any waters; 
able seaman--any waters, 12 months; able seaman--Great Lakes, 18 months; 
able seaman--on freight vessels, 500 gross tons or less on bays or 
sounds, and on tugs, towboats, and barges on any waters.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-062, 62 FR 
34537, June 26, 1997]



                        Subpart 12.07  [Reserved]



                       Subpart 12.10--Lifeboatman



Sec. 12.10-1  Certification required.

    Every person employed in a rating as lifeboatman on any United 
States vessel requiring certificated lifeboatmen shall produce a 
certificate as lifeboatman or merchant mariner's document endorsed as 
lifeboatman or able seaman to the shipping commissioner, United States 
collector or deputy collector of customs, or master before signing 
articles of agreement. No certificate of efficiency as lifeboatman is 
required of any person employed on any unrigged vessel, except on a 
seagoing barge and on a tank barge navigating waters other than rivers 
and/or canals.



Sec. 12.10-3  General requirements.

    (a) An applicant to be eligible for certification as lifeboatman 
must meet one of the following requirements:
    (1) At least 1 year's sea service in the deck department, or at 
least 2 years' sea service in the other departments of ocean, coastwise, 
Great Lakes, and other lakes, bays, or sounds vessels.
    (2) Graduation from a schoolship approved by and conducted under 
rules prescribed by the Commanding Officer, National Maritime Center.
    (3) Satisfactory completion of basic training by a Cadet of the 
United States Merchant Marine Cadet Corps.
    (4) Satisfactory completion of 3 years' training at the U.S. Naval 
Academy or the U.S. Coast Guard Academy including two training cruises.
    (5) Satisfactory completion of a course of training approved by the 
Commanding Officer, National Maritime Center, and served aboard a 
training vessel.
    (6) Successful completion of a training course, approved by the 
Commanding Officer, National Maritime Center, such course to include a 
minimum of 30 hours' actual lifeboat training; provided, however, that 
the applicant produces satisfactory evidence of having served a minimum 
of 6 months at sea board ocean or coastwise vessels.
    (b) An applicant, to be eligible for certification as lifeboatman, 
shall be able to speak and understand the English language as would be 
required in the rating of lifeboatman and in an emergency aboard ship.
    (c) An applicant shall be 18 years old to be certified as proficient 
in survival craft under STCW Regulation VI/2.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-062, 62 FR 34537, June 26, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.10-5  Examination and demonstration of ability.

    (a) Before an applicant is certified as a lifeboatman, he or she 
shall prove to the satisfaction of the Coast Guard by oral or other 
means of examination, and by actual demonstration, his or her knowledge 
of seamanship and the ability to carry out effectively all the duties 
that may be required of a lifeboatman. The applicant shall demonstrate 
that he or she:
    (1) Has been trained in all the operations connected with the 
launching of lifeboats and liferafts, and in the use of oars;
    (2) Is acquainted with the practical handling of boats; and

[[Page 200]]

    (3) Is capable of taking command of the boat's crew.
    (b) The examination, whether administered orally or by other means, 
must be conducted only in the English language and must consist of 
questions regarding:
    (1) Lifeboats and liferafts, the names of their essential parts, and 
a description of the required equipment;
    (2) The clearing away, swinging out, and lowering of lifeboats and 
liferafts, the handling of lifeboats under oars and sails, including 
questions relative to the proper handling of a boat in a heavy sea; and,
    (3) The operation and functions of commonly used types of davits.
    (c) The practical examination shall consist of a demonstration of 
the applicant's ability to carry out the orders incident to launching 
lifeboats, and the use of the boat's sail, and to row.
    (d) After July 31, 1998, each applicant for a lifeboatman's 
certificate endorsed for proficiency in survival craft and rescue boats 
shall be not less than 18 years old and shall produce satisfactory 
evidence that he or she meets the requirements of STCW Regulation VI/2, 
paragraph 1, and the appropriate provisions of Section A-VI/2 of the 
STCW Code.

[CGFR 60-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 71-161R, 37 
FR 28263, Dec. 21, 1972; CGD 94-029, 61 FR 47064, Sept. 6, 1996; CGD 95-
062, 62 FR 34537, June 26, 1997]



Sec. 12.10-7  General provisions respecting merchant mariner's document endorsed as lifeboatman.

    A merchant mariner's document endorsed as able seaman is the 
equivalent of a certificate as lifeboatman or of an endorsement as 
lifeboatman and will be accepted as either of these wherever either is 
required by law; provided, however, that, when the holder documented as 
an able seaman has to be certificated as either proficient in survival 
craft and rescue boats or proficient in fast rescue boats, he or she 
shall hold an STCW endorsement.

[CGD 95-062, 62 FR 34537, June 26, 1997; CGD 95-062, 62 FR 40140, July 
25, 1997]



Sec. 12.10-9  Certificates of proficiency in fast rescue boats.

    (a) After July 31, 1998, each person engaged or employed as a 
lifeboatman proficient in fast rescue boats shall hold either a 
certificate of proficiency in these boats or a merchant mariner's 
document endorsed for proficiency in them.
    (b) To be eligible for either a certificate of proficiency in fast 
rescue boats or a merchant mariner's document endorsed for proficiency 
in them, an applicant shall--
    (1) Be qualified as a lifeboatman with proficiency in survival craft 
and fast rescue boats under this subpart; and
    (2) Furnish satisfactory proof that he or she has met the 
requirements for training and competence of STCW Regulation, VI/2, 
paragraph 2, and the appropriate requirements of Section A-VI/2 of the 
STCW Code.

[CGD 95-062, 62 FR 34537, June 26, 1997]



 Subpart 12.13--Persons Designated To Provide Medical Care on Board Ship

    Source: CGD 95-062, 62 FR 34537, June 26, 1997, unless otherwise 
noted.



Sec. 12.13-1  Documentary evidence required.

    After July 31, 1998, each person designated to provide medical first 
aid on board ship, or to take charge of medical care on board ship, 
shall hold documentary evidence attesting that the person has attended a 
course of training in medical first aid or medical care, as appropriate.



Sec. 12.13-3  Basis of documentary evidence.

    The Officer in Charge, Marine Inspection will issue such documentary 
evidence to the person, or endorse his or her license or document, on 
being satisfied that the training required under section 12.13-1 of this 
section establishes that he or she meets the standards of competence set 
out in STCW Regulation VI/4 and Section A-VI/4 of the STCW Code.

[[Page 201]]



        Subpart 12.15--Qualified Member of the Engine Department



Sec. 12.15-1  Certification required.

    (a) Every person employed in a rating as qualified member of the 
engine department on any United States vessel requiring certificated 
qualified members of the engine department shall produce a certificate 
as qualified member of the engine department to the shipping 
commissioner, United States Collector or Deputy Collector of Customs, or 
master before signing articles of agreement.
    (b) No certificate as qualified member of the engine department is 
required of any person employed on any unrigged vessel, except seagoing 
barges.



Sec. 12.15-3  General requirements.

    (a) A qualified member of the engine department is any person below 
the rating of licensed officer and above the rating of coal passer or 
wiper, who holds a certificate of service as such qualified member of 
the engine department issued by the Coast Guard or predecessor 
authority.
    (b) For purposes of administering this part the rating of assistant 
electrician is considered a rating not above that of coal passer or 
wiper, but equal thereto.
    (c) An applicant, to be eligible for certification as qualified 
member of the engine department, shall be able to speak and understand 
the English language as would be required in the rating of qualified 
member of the engine department and in an emergency aboard ship.
    (d) After July 31, 1998, an STCW endorsement valid for any period on 
or after February 1, 2002, will be issued or renewed only when the 
candidate for certification as a qualified member of the engine 
department also produces satisfactory evidence, on the basis of 
assessment of a practical demonstration of skills and abilities, of 
having achieved or maintained within the previous 5 years the minimum 
standards of competence for the following 4 areas of basis safety:
    (1) Personal survival techniques as set out in table A-VI/1-1 of the 
STCW Code.
    (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code.
    (e) After July 31, 1998 an STCW endorsement that is valid for any 
period on or after February 1, 2002, will be issued or renewed only when 
the candidate for certification as a qualified member of the engine 
department meets the standards of competence set out in STCW Regulation 
III/4 and Section A-III/4 of the STCW Code, if the candidate will be 
serving as a rating forming part of a watch in a manned engine-room, or 
designated to perform duties in a periodically unmanned engine-room, on 
a seagoing ship driven by main propulsion machinery of 750 kW [1,000 hp] 
propulsion power or more.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-062, 62 FR 
34538, June 26, 1997]



Sec. 12.15-5  Physical requirements.

    (a) An applicant for a certificate of service as a qualified member 
of the engine department shall present a certificate of a medical 
officer of the United States Public Health Service, or other reputable 
physician attesting that his eyesight, hearing, and physical condition 
are such that he can perform the duties required of a qualified member 
of the engine department.
    (b) The medical examination for qualified member of the engine 
department is the same as for an original license as engineer, as set 
forth in Sec. 10.205 of this subchapter. If the applicant is in 
possession of an unexpired license, the Officer in Charge, Marine 
Inspection, may waive the requirement for a physical examination.
    (c) An applicant holding a certificate of service for a particular 
rating as qualified member of the engine department and desiring 
certification for another rating covered by this same form of 
certificate may qualify therefor without a physical examination unless 
the Officer in Charge, Marine Inspection, finds that the applicant 
obviously suffers from some physical or mental infirmity to a degree 
that would render

[[Page 202]]

him incompetent to perform the ordinary duties of a qualified member of 
the engine department. In this event the applicant shall be required to 
undergo an examination to determine his competency.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by USCG-1998-4442, 
63 FR 52189, Sept. 30, 1998]



Sec. 12.15-7  Service or training requirements.

    (a) An applicant for a certificate of service as qualified member of 
the engine department shall furnish the Coast Guard proof of 
qualification based on six months' service in a rating at least equal to 
that of wiper or coal passer.
    (b) Training programs approved by the Commanding Officer, National 
Maritime Center, may be substituted for the required service at sea in 
accordance with the following:
    (1) A graduate of a school ship may be rated as qualified member of 
the engine department upon satisfactory completion of the course of 
instruction. For this purpose, school ship is interpreted to mean an 
institution which offers a complete course of instruction, including a 
period of sea training, in the skills appropriate to the rating of 
qualified member of the engine department.
    (2) Training programs other than those classified as a school ship 
may be substituted for up to one-half of the required service at sea.
    (c) To qualify to receive an STCW endorsement for service as a 
``rating forming part of a watch in a manned engine-room or designated 
to perform duties in a periodically unmanned engine-room'' on a seagoing 
vessel driven by main propulsion machinery 750 kW [1,000 hp] propulsion 
power or more, an applicant shall prove seagoing service that includes 
training and experience associated with engine-room watchkeeping and 
involves the performance of duties carried out under the direct 
supervision of a qualified engineer officer or a member of a qualified 
rating. The training must establish that the applicant has achieved the 
standard of competence prescribed in table A-III/4 of the STCW Code, in 
accordance with the methods of demonstrating competence and the criteria 
for evaluating competence specified in that table.

[CGD 80-131, 45 FR 69241, Oct. 20, 1980, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-062, 62 FR 34538, June 26, 1997; CGD 95-
062, 62 FR 40140, July 25, 1997; USCG-1998-4442, 63 FR 52189, Sept. 30, 
1998]



Sec. 12.15-9  Examination requirements.

    (a) Each applicant for certification as a qualified member of the 
engine department in the rating of oiler, watertender, fireman, deck 
engineer, refrigeration engineer, junior engineer, electrician, or 
machinist shall be examined orally or by other means and only in the 
English language on the subjects listed in paragraph (b) of this 
section. The applicant's general knowledge of the subjects must be 
sufficient to satisfy the examiner that he is qualified to perform the 
duties of the rating for which he makes application.
    (b) List of subjects required:

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

[[Page 203]]

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

    (c) Each applicant for certification as a qualified member of the 
engine department in the rating of pumpman shall, by oral or other 
examination, demonstrate sufficient knowledge of the subjects peculiar 
to that rating to satisfy the Officer in Charge, Marine Inspection, that 
he or she is qualified to perform the duties of that rating.
    (d) Applicants for certification as qualified members of the engine 
department in the rating of deck engine mechanic or engineman, who have 
proved eligibility for such endorsement under either Sec. 12.15-13 or 
Sec. 12.15-15, will

[[Page 204]]

not be required to take a written or oral examination for such ratings.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGFR 66-46, 31 FR 
13649, Oct. 22, 1966; CGD 71-161R, 37 FR 28263, Dec. 21, 1972; CGD 74-
75, 42 FR 24741, May 16, 1977; CGD 94-029, 61 FR 47064, Sept. 6, 1996]



Sec. 12.15-11  General provisions respecting merchant mariner's documents endorsed as qualified member of the engine department.

    The holder of a merchant mariner's document endorsed with one or 
more qualified member of the engine department ratings may serve in any 
unqualified rating in the engine department without obtaining an 
additional endorsement. This does not mean that an endorsement of one 
qualified member of the engine department rating authorizes the holder 
to serve in all qualified member of the engine department ratings. Each 
qualified member of the engine department rating for which a holder of a 
merchant mariner's document is qualified must be endorsed separately. 
When, however, the applicant qualifies for all ratings covered by a 
certificate as a qualified member of the engine department, the 
certification may read QMED--any rating. The ratings are as follows:

    (a) Refrigerating engineer.
    (b) Oiler.
    (c) Deck engineer.
    (d) Fireman/Watertender.
    (e) Junior engineer.
    (f) Electrician.
    (g) Machinist.
    (h) Pumpman.
    (i) Deck engine mechanic.
    (j) Engineman.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGFR 66-46, 31 FR 
13649, Oct. 22, 1966; CGD 74-45, 42 FR 24741, May 16, 1977]



Sec. 12.15-13  Deck engine mechanic.

    (a) An applicant for a certificate as deck engine mechanic shall be 
a person holding a merchant mariner's document endorsed as junior 
engineer. The applicant shall be eligible for such certification upon 
furnishing one of the following:
    (1) Satisfactory documentary evidence of sea service of 6 months in 
the rating of junior engineer on steam vessels of 4,000 horsepower or 
over; or,
    (2) Documentary evidence from an operator of an automated vessel 
that he has completed satisfactorily at least 4 weeks indoctrination and 
training in the engine department of an automated steam vessel of 4,000 
horsepower or over; or,
    (3) Satisfactory completion of a course of training for deck engine 
mechanic acceptable to the Commanding Officer, National Maritime Center.
    (b) The Officer in Charge, Marine Inspection, who is satisfied that 
an applicant for the rating of deck engine mechanic meets the 
requirements specified in this section, will endorse this rating on the 
current merchant mariner's document held by the applicant.
    (c) Any holder of a merchant mariner's document endorsed for any 
unlicensed rating in the engine department or QMED--any rating is 
qualified as a deck engine mechanic and that endorsement will not be 
entered on his document.

[CGFR 66-46, 31 FR 13649, Oct. 22, 1966, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.15-15  Engineman.

    (a) An applicant for a certificate as engineman shall be a person 
holding a merchant mariner's document endorsed as fireman/watertender 
and oiler, or junior engineer. The applicant shall be eligible for such 
certification upon furnishing one of the following:
    (1) Satisfactory documentary evidence of sea service of 6 months in 
any one or combination of junior engineer, fireman/watertender or oiler 
on steam vessels of 4,000 horsepower or over; or,
    (2) Documentary evidence from an operator of a partially automated 
steam vessel that he has completed satisfactorily at least 2 weeks 
indoctrination and training in the engine department of a partially 
automated steam vessel of 4,000 horsepower or over; or
    (3) Satisfactory completion of a course of training for engineman 
acceptable to the Commanding Officer, National Maritime Center.
    (b) The Officer in Charge, Marine Inspection, who is satisfied that 
an applicant for the rating of engineman meets the requirements 
specified in this section, will endorse this rating on the

[[Page 205]]

current merchant mariner's document held by the applicant.
    (c) Any holder of a merchant mariner's document endorsed for any 
unlicensed rating in the engine department, QMED--any rating or deck 
engine mechanic is qualified as an engineman and that endorsement will 
not be entered on his document.

[CGFR 66-46, 31 FR 13650, Oct. 22, 1966, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



   Subpart 12.25--Certificates of Service for Ratings Other Than Able 
           Seaman or Qualified Member of the Engine Department



Sec. 12.25-1  Certification required.

    Every person employed in a rating other than able seaman or 
qualified member of the engine department of U.S. merchant vessels 
requiring such certificated persons shall produce a merchant mariner's 
document to the master, or person in charge if appropriate, before 
signing a shipping articles agreement.

[CGD 95-028, 62 FR 51196, Sept. 30, 1997]



Sec. 12.25-10  General requirements.

    (a) Merchant mariner's documents shall be issued without 
professional examination to applicants for certificates of service as 
endorsements on merchant mariner's documents in capacities other than 
able seaman, lifeboatman, tankerman or qualified member of the engine 
department and shall be endorsed for one or more ratings. For example, 
ordinary seaman--wiper--steward's document (F.H.). Holders of documents 
endorsed for service as ordinary seaman may serve in any unqualified 
rating in the deck department. Holders of documents endorsed for service 
as wiper may serve in any unqualified rating in the engine department. 
Documents endorsed for steward's department (F.H.) will authorize the 
holder's service in any capacity in the steward's department. (See 
Sec. 12.02-11(e)(2) for unqualified ratings in the staff department.)
    (b) When the holder of a merchant mariner's document has qualified 
as a food handler, the endorsement of his rating will be followed by the 
further indorsement (F.H.).



Sec. 12.25-20  Food handler.

    No applicant for a rating authorizing the handling of food will be 
certificated unless he produces a certificate from a medical officer of 
the United States Public Health Service, or other reputable physician 
stating that the applicant is free from communicable disease.



Sec. 12.25-25  Members of Merchant Marine Cadet Corps.

    No ratings other than cadet (deck) or cadet (engine) as appropriate, 
and lifeboatman shall be shown on a merchant mariner's document issued 
to a member of the U.S. Merchant Marine Cadet Corps. The merchant 
mariner's document shall also be stamped Valid only while cadet in the 
U.S. Maritime Administration training program. The merchant mariner's 
document thus prepared shall be surrendered upon the holder being 
certified in any other rating or being issued a license and the rating 
of cadet (deck) or cadet (engine) shall be omitted from any new merchant 
mariner's document issued.



Sec. 12.25-30  Student observers.

    Students in technical schools who are enrolled in courses in marine 
management and ship operations who present a letter or other documentary 
evidence that they are so enrolled shall be issued a merchant mariner's 
document as student observers--any department and may be signed on ships 
as such. Students holding these documents or certificates will not take 
the place of any of the crew, or fill any of the regular ratings.



Sec. 12.25-35  Apprentice engineers.

    (a) Persons enrolled in an apprentice engineer training program 
approved by the Commanding Officer, National Maritime Center, and who 
present a letter or other documentary evidence that they are so enrolled 
may be issued a merchant mariner's document as apprentice engineer and 
may be signed on ships as such. The endorsement apprentice engineer may 
be in addition to

[[Page 206]]

other endorsements. However, this endorsement of apprentice engineer 
does not authorize the holder to fill any of the regular ratings.
    (b) Persons holding merchant mariner's documents with the 
endorsement apprentice engineer shall be deemed to be seamen.

[CGFR 66-69, 31 FR 15669, Dec. 13, 1966, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.25-40  Apprentice mate.

    A person enrolled in an apprentice mate training program approved by 
the Commanding Officer, National Maritime Center who presents a letter 
or other documentary evidence that he is so enrolled may be issued a 
merchant mariner's document as apprentice mate and may be signed on 
ships as apprentice mate. The endorsement apprentice mate may be in 
addition to other endorsements. However, this endorsement as apprentice 
mate does not authorize the holder to fill any of the regular ratings.

[CGD 74-226, 40 FR 33976, Aug. 13, 1975, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998]



Sec. 12.25-45  GMDSS At-sea Maintainer.

    An applicant is eligible to have his or her STCW certificate or 
endorsement include a statement of qualification as GMDSS At-sea 
Maintainer if he or she holds sufficient evidence of having completed a 
training program that covers at least the scope and content of training 
outlined in Section B-IV/2 of the STCW Code for training in maintenance 
of GMDSS installations on board vessels.

[CGD 95-062, 62 FR 34538, June 26, 1997]



                  Subpart 12.30--Ro-Ro Passenger Ships

    Source: CGD 95-062, 62 FR 34538, June 26, 1997, unless otherwise 
noted.



Sec. 12.30-1  Purpose of regulations.

    The purpose of the regulations in this subpart is to establish 
requirements for certification of seamen serving on roll-on/roll-off 
(Ro-Ro) passenger ships.

[CGD 95-062, 62 FR 34538, June 26, 1997, as amended by CGD 97-057, 62 FR 
51042, Sept. 30, 1997]



Sec. 12.30-3  Definitions.

    Roll-on/Roll-off (Ro-Ro) passenger ship means a passenger ship with 
Ro-Ro cargo spaces or special-category spaces as defined in the 
International Convention for the Safety of Life at Sea, 1974, as amended 
(SOLAS), to which ship a SOLAS Certificate is issued.
    MMD means merchant mariner's document.



Sec. 12.30-5  General requirements.

    To serve on a Ro-Ro passenger ship after January 31, 1997, a person 
holding an MMD and performing duties toward safety, cargo-handling, or 
care for passengers shall meet the appropriate requirements of STCW 
Regulation V/2 and of Section A-V/2 of the STCW Code, and hold 
documentary evidence to show his or her meeting these requirements.



PART 13--CERTIFICATION OF TANKERMEN--Table of Contents




                           Subpart A--General

Sec.
13.101   Purpose.
13.103   Definitions.
13.105   Paperwork approval.
13.107   Tankerman endorsement: General.
13.109   Tankerman endorsement: Authorized cargoes.
13.111   Restricted endorsement.
13.113   Tankermen certified under prior regulations.
13.115   Licensed engineer: Endorsement as Tankerman-Engineer based on 
          service on tankships or self-propelled tank vessels before 
          March 31, 1996.
13.117   Any person: Endorsement as Tankerman-Assistant based on 
          unlicensed deck service before March 31, 1996.
13.119   Expiration of endorsement.
13.120   Renewal of endorsement.
13.121   Courses for training tankerman.
13.123   Recency of service or experience for original tankerman 
          endorsement.
13.125   Physical requirements.
13.127   Service: General.
13.129   Quick-reference table for tankerman.

[[Page 207]]

        Subpart B--Requirements for ``Tankerman-PIC'' Endorsement

13.201   Original application for ``Tankerman-PIC'' endorsement.
13.203   Eligibility: Experience.
13.205   Proof of service for ``Tankerman-PIC'' endorsement.
13.207   Eligibility: Firefighting course.
13.209   Eligibility: Cargo course.

    Supart C--Requirements for ``Tankerman-PIC (Barge)'' Endorsement

13.301   Original application for ``Tankerman-PIC (Barge)'' endorsement.
13.303   Eligibility: Experience.
13.305   Proof of service for ``Tankerman-PIC (Barge)'' endorsement.
13.307   Eligibility: Firefighting course.
13.309   Eligibility: Cargo course.

     Subpart D--Requirements for ``Tankerman-Assistant'' Endorsement

13.401   Original application for ``Tankerman-Assistant'' endorsement.
13.403   Eligibility: Experience.
13.405   Proof of service for ``Tankerman-Assistant'' endorsement.
13.407   Eligibility: Firefighting course.
13.409   Eligibility: Cargo course.

     Subpart E--Requirements for ``Tankerman-Engineer'' Endorsement

13.501   Original application for ``Tankerman-Engineer'' endorsement.
13.503   Eligibility: Experience.
13.505   Proof of service for ``Tankerman-Engineer'' endorsement.
13.507   Eligibility: Firefighting course.
13.509   Eligibility: Cargo course.

    Authority: 46 U.S.C. 3703, 7317, 8105, 8703, 9102; 49 CFR 1.46.

    Source: CGD 79-116, 60 FR 17142, Apr. 4, 1995, unless otherwise 
noted.



                           Subpart A--General



Sec. 13.101  Purpose.

    This part describes the various tankerman endorsements issued by the 
Coast Guard and prescribes the requirements for obtaining an endorsement 
as a ``Tankerman-PIC,'' ``Tankerman-PIC (Barge),'' ``Tankerman-
Assistant,'' or ``Tankerman-Engineer'' to a merchant mariner's document.



Sec. 13.103  Definitions.

    As used in this part:
    Approved training means training that is approved by the Coast Guard 
or meets the requirements of Sec. 10.309 of this chapter.
    Cargo engineer means a licensed person on a dangerous-liquid 
tankship or a liquefied-gas tankship whose primary responsibility is 
maintaining the cargo system and cargo-handling equipment.
    Competent person means a person designated as such in accordance 
with 29 CFR 1915.7.
    Dangerous liquid means a liquid listed in 46 CFR 153.40 that is not 
a liquefied gas as defined in this part. Liquid cargoes in bulk listed 
in 46 CFR Part 153, Table 2, are not dangerous-liquid cargoes when 
carried by non-oceangoing barges.
    Directly supervised means being in the direct line of sight of the 
person in charge, or maintaining direct, two-way communications by a 
convenient, reliable means, such as a predetermined working frequency 
over a hand-held radio.
    DL means dangerous liquid.
    IMO means the International Maritime Organization.
    Liquefied gas means a cargo that has a vapor pressure of 172 kPa (25 
psia) or more at 37.8 C (100 F).
    LG means liquefied gas.
    Liquid cargo in bulk means a liquid or liquefied gas listed in 46 
CFR 153.40 and carried as a liquid cargo or liquid-cargo residue in 
integral, fixed, or portable tanks, except a liquid cargo carried in a 
portable tank actually loaded and discharged from a vessel with the 
contents intact.
    Marine chemist means a person certificated by the National Fire 
Protection Association.
    MMD means a merchant mariner's document issued by the Coast Guard.
    Officer in Charge, Marine Inspection (OCMI), means, for this part, 
the officer or individual so designated at one of the locations of the 
regional examination centers listed in Sec. 10.105.
    Participation, when used with regard to the service on transfers 
required for tankerman by Sec. 13.120, 13.203, or 13.303, means either 
actual participation in the transfers or close observation of how the 
transfers are conducted and supervised.
    PIC means a person in charge.

[[Page 208]]

    Regional examination center (REC) means an office of an OCMI that 
performs licensing and certification.
    Restricted Tankerman endorsement means a valid tankerman endorsement 
on an MMD restricting its holder as the OCMI deems appropriate--for 
instance, to one or a combination of the following: A specific cargo or 
cargoes; a specific vessel or vessels; a specific facility or 
facilities; a specific employer or employers; a specific activity or 
activities (such as loading or unloading in a cargo transfer); or a 
particular area of water.
    Self-propelled tank vessel means a self-propelled tank vessel other 
than a tankship.
    Simulated transfer means a transfer practiced in a course meeting 
the requirements of Sec. 13.121 that uses simulation supplying part of 
the service on transfers required for tankerman by Sec. 13.203 or 
13.303.
    Tank barge means a non-self-propelled tank vessel.
    Tankship means a self-propelled tank vessel constructed or adapted 
primarily to carry oil or hazardous material in bulk in the cargo 
spaces.
    Tank vessel means a vessel that is constructed or adapted to carry, 
or that carries, oil or hazardous material in bulk as cargo or cargo 
residue, and that--
    (a) Is a vessel of the United States;
    (b) Operates on the navigable waters of the United States; or
    (c) Transfers oil or hazardous material in a port or place subject 
to the jurisdiction of the United States.
    Tankerman-Assistant means a person holding a valid ``Tankerman-
Assistant'' endorsement to his or her MMD.
    Tankerman-Engineer means a person holding a valid ``Tankerman-
Engineer'' endorsement to his or her MMD.
    Tankerman-PIC means a person holding a valid ``Tankerman-PIC'' 
endorsement to his or her MMD.
    Tankerman-PIC (Barge) means a person holding a valid ``Tankerman-PIC 
(Barge)'' endorsement to his or her MMD.
    Tankship means any tank vessel constructed or adapted primarily to 
carry oil or hazardous material in bulk as cargo or as cargo residue and 
propelled by power or sail.
    Transfer means any movement of dangerous liquid or liquefied gas as 
cargo in bulk or as cargo residue to, from, or within a vessel by means 
of pumping, gravitation, or displacement. Section 13.127 describes what 
qualifies as participation in a creditable transfer.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25127, May 8, 1997]



Sec. 13.105  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1980 
[Pub. L. 96-511] for the reporting and recordkeeping requirements in 
this part.
    (b) OMB has assigned the following control numbers to the sections 
indicated:
    (1) OMB 2115-0514--46 CFR 13.113, 13.115, 13.117, 13.201, 13.203, 
13.205, 13.301, 13.303, 13.305, 13.401, 13.403, 13.405, 13.501, 13.503, 
13.505.
    (2) OMB 2115-0111--46 CFR 13.121, 13.207, 13.209, 13.307, 13.309, 
13.407, 13.409, 13.507, 13.509.



Sec. 13.107  Tankerman endorsement: General.

    (a) If an applicant meets the requirements of subpart B of this 
part, the OCMI at an REC may endorse his or her MMD as ``Tankerman-PIC'' 
with the appropriate cargo classification or classifications. A person 
holding this endorsement and meeting the other requirements of 33 CFR 
155.710(a) may act as a PIC of a transfer of fuel oil, of a transfer of 
liquid cargo in bulk, or of cargo-tank cleaning on any tank vessel. That 
person may also act as a Tankerman-Engineer, provided that he or she 
also holds an engineer's license.
    (b) If an applicant meets the requirements of subpart C of this 
part, the OCMI at an REC may endorse his or her MMD as ``Tankerman-PIC 
(Barge)'' with the appropriate cargo classification or classifications. 
A person holding this endorsement and meeting the other requirements of 
33 CFR 155.710(b) may act as a PIC of a transfer of liquid cargo in bulk 
only on a tank barge.
    (c) If an applicant meets the requirements of subpart D of this 
part, the OCMI at an REC may endorse his or

[[Page 209]]

her MMD as ``Tankerman-Assistant'' with the appropriate cargo 
classification or classifications. No person holding this endorsement 
may act as a PIC of any transfer of fuel oil, of any transfer of liquid 
cargo in bulk, or of cargo-tank cleaning unless he or she also holds an 
endorsement authorizing service as PIC. He or she may, however, without 
being directly supervised by the PIC, perform duties relative to cargo 
and cargo-handling equipment assigned by the PIC of transfers of fuel 
oil, of transfers of liquid cargo in bulk, or of cargo-tank cleaning. 
When performing these duties, he or she shall maintain continuous two-
way voice communications with the PIC.
    (d) If an applicant meets the requirements of subpart E of this 
part, the OCMI at an REC may endorse his or her MMD as Tankerman-
Engineer. No person holding this endorsement may act as a PIC or 
``Tankerman-Assistant'' of any transfer of fuel oil, of any transfer of 
liquid cargo in bulk, or of cargo-tank cleaning unless he or she also 
holds an endorsement authorizing such service. A person holding this 
endorsement and acting in this capacity has the primary responsibility, 
on his or her self-propelled tank vessel carrying DL or LG, for 
maintaining both the cargo systems and equipment for transfer of liquids 
in bulk and the bunkering systems and equipment. No person licensed 
under part 10 of this chapter may serve as a chief engineer, first 
assistant engineer, or cargo engineer aboard an inspected self-propelled 
tank vessel when liquid cargo in bulk or cargo residue is carried unless 
he or she holds this endorsement or equivalent.
    (e) If an applicant meets the requirements of Sec. 13.111, the OCMI 
at an REC may place on his or her MMD an endorsement as a ``Tankerman-
PIC'' restricted according to the definitions of ``restricted Tankerman 
endorsement'' in Sec. 13.103.
    (f) A tankerman wishing to obtain an endorsement that he or she does 
not hold shall apply at an REC listed in Sec. 10.105 of this chapter. If 
he or she meets all requirements for the new endorsement, the REC may 
issue a new MMD including the endorsement.
    (g) This section does not apply to any person solely by reason of 
his or her involvement in bunkering or fueling.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25127, May 8, 1997]



Sec. 13.109  Tankerman endorsement: Authorized cargoes.

    (a) Each tankerman endorsement described in Sec. 13.107 will 
expressly limit the holder's service under it to transfers involving one 
or both of the following cargo classifications:
    (1) Dangerous liquid (DL).
    (2) Liquefied gas (LG).
    (b) No tankerman endorsement is necessary to transfer the liquid 
cargoes in bulk listed in Table 2 of Part 153 of this chapter when those 
cargoes are carried on barges not certified for ocean service.
    (c) A tankerman having qualified in one cargo classification and 
wishing to qualify in another shall apply at an REC listed in 
Sec. 10.105 of this chapter. If he or she meets all requirements for the 
other, the REC may issue a new MMD including the endorsement.



Sec. 13.111  Restricted endorsement.

    (a) An applicant may apply at an REC listed in 46 CFR 10.105 for a 
tankerman endorsement restricted to specific cargoes, specific vessels 
or groups of vessels (such as uninspected towing vessels and Oil Spill 
Response Vessels), specific facilities, specific employers, or otherwise 
as the OCMI deems appropriate. The OCMI will evaluate each application 
and may modify the applicable requirements for the endorsement, allowing 
for special circumstances and for whichever restrictions the endorsement 
will state.
    (b) To qualify for a restricted ``Tankerman-PIC'' endorsement, an 
applicant shall meet Secs. 13.201, excluding paragraph (f); 13.203; and 
13.205.
    (1) Twenty-five percent of the service described in Sec. 13.203(a) 
must have occurred within the past five years.
    (2) Two of the transfers described in Sec. 13.203(b) must have 
occurred within the past five years.
    (c) To qualify for a restricted ``Tankerman-PIC (Barge)'' 
endorsement, an applicant shall meet Secs. 13.301, excluding paragraph 
(f); and 13.305.

[[Page 210]]

    (1) Twenty-five percent of the service described in Sec. 13.303(a) 
must have occurred within the past five years.
    (2) Two of the transfers described in Sec. 13.303(b) must have 
occurred within the past five years.
    (d) To qualify for a restricted ``Tankerman-PIC (Barge)'' 
endorsement restricted to a tank-cleaning and gas-freeing facility, an 
applicant shall--
    (1) Be at least 18 years old;
    (2) Apply on a Coast Guard form;
    (3) Present evidence of passing a physical examination in accordance 
with Sec. 13.125;
    (4) Present evidence in the form of a letter on company letterhead 
from the operator of the facility stating that OSHA considers the 
applicant a ``competent person'' for the facility and that the applicant 
has the knowledge necessary to supervise tank-cleaning and gas-freeing; 
and
    (5) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo, and of reading the English found in the Declaration of 
Inspection, vessel response plans, and Cargo Information Cards.
    (e) The restricted ``Tankerman-PIC (Barge)'' endorsement restricted 
to a tank-cleaning and gas-freeing facility is valid only while the 
applicant is employed by the operator of the facility that provided the 
letter of service required by paragraph (d)(4) of this section, and this 
and any other appropriate restrictions will appear in the endorsement.
    (f) Because the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978 (STCW), does not 
recognize restricted Tankerman-PIC endorsements, persons may act under 
these only aboard vessels conducting business inside the Boundary Line.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25128, May 8, 1997]



Sec. 13.113  Tankermen certified under prior regulations.

    (a) A person who holds a license issued under part 10 of this 
chapter, and who as a PIC transferred liquid cargoes in bulk before 
March 31, 1996, may continue to serve as a ``Tankerman-PIC'' under the 
license until the first renewal of his or her MMD under Sec. 12.02-27 of 
this chapter that occurs after March 31, 1997, or, if he or she holds no 
MMD, until the first renewal of his or her license that occurs after 
March 31, 1997, as follows:
    (1) A person holding a current license issued under part 10 of this 
chapter may act as a ``Tankerman-PIC'' if he or she can produce a letter 
on company letterhead from the owner, operator, master, or chief 
engineer of the vessel that proves his or her qualifying service as 
required by paragraph (d)(1)(iii) of this section.
    (2) A person that cannot produce a letter to prove his or her 
qualifying service may submit relevant evidence to an REC for 
evaluation. If the OCMI determines that the person does qualify under 
paragraph (a) of this section, the OCMI will issue a letter of 
acknowledgment as a substitute for a letter of service.
    (b) A person who holds a current ``Tankerman'' endorsement issued 
before March 31, 1996, may continue to serve as a Tankerman-PIC (Barge) 
until the first renewal of his or her MMD under Sec. 12.02-27 of this 
chapter that occurs after March 31, 1997. If a person with such an 
endorsement qualifies for a non-tankerman endorsement that requires a 
new MMD, he or she may bring the tankerman endorsement forward onto the 
new MMD.
    (c) A person who served as PIC for the transfer of liquid cargoes in 
bulk listed in subchapter O of this chapter but who did not require a 
tankerman endorsement, because the cargoes were non-flammable or non-
combustible, may act as a ``Tankerman-PIC (Barge)'' for those liquid 
cargoes until March 31, 2001, if he or she produces a letter--on company 
letterhead, from the owner or operator of a terminal or of a tank barge 
or from the owner, operator, or master of a self-propelled tank vessel--
that proves his or her qualifying service as required by paragraph 
(e)(1)(iii) of this section.
    (d) A person who qualifies under paragraph (a) of this section by 
holding a current license may apply for a ``Tankerman-PIC'' or a 
``Tankerman-

[[Page 211]]

PIC (Barge)'' endorsement under this subpart.
    (1) To qualify for a ``Tankerman-PIC'' endorsement, a licensed 
officer shall present--
    (i) A certificate of completion from a course in shipboard 
firefighting approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437(XI), ``Training of 
Crews in Fire Fighting,'' or a certificate of completion from a 
firefighting course before March 31, 1996, that the OCMI finds in 
substantial compliance with that section;
    (ii) Either--
    (A) A certificate of completion from a liquid-cargo course in DL or 
LG approved by the Commandant, appropriate to the endorsement applied 
for, or a certificate of completion from a liquid-cargo course in DL or 
LG up to ten years before March 31, 1996, that the OCMI finds acceptable 
under Sec. 13.121(d) and Table 13.121(f), appropriate to the endorsement 
applied for; or
    (B) A letter on company letterhead from the applicant's employer 
stating that the applicant has successfully completed the approved 
training discussed in Sec. 13.121 (i) or (j); and
    (iii) Evidence of service as follows:
    (A) A letter on company letterhead from the owner, operator, master, 
or chief engineer of the vessel attesting that the applicant--
    (1) Acted as the PIC of the transfer of DL or LG, appropriate to the 
endorsement applied for, on self-propelled tank vessels before March 31, 
1996; acted as the PIC of the transfer of DL or LG, appropriate to the 
endorsement applied for within the last 5 years; and accumulated two 
transfers on self-propelled tank vessels within the last 10 years; and
    (2) Served at least 90 days as a master or mate on self-propelled 
tank vessels certified to carry DL or LG, appropriate to the endorsement 
applied for, before March 31, 1996; and acted as a master or mate on 
self-propelled tank vessels certified to carry DL or LG within the last 
10 years.
    (B) Certificates of discharge proving at least 90 days of service as 
master or mate on self-propelled tank vessels certified to carry DL or 
LG, appropriate to the endorsement applied for, before March 31, 1996, 
with at least one discharge date within the last 5 years.
    (2) To qualify for a ``Tankerman-PIC (Barge)'' endorsement, a 
licensed officer shall present--
    (i) Either--
    (A) A certificate of completion from a course in shipboard 
firefighting described in paragraph (d)(1)(i) of this section, or from a 
course in tank-barge firefighting approved by the Commandant; or
    (B) A letter on company letterhead from the owner, operator, master, 
or chief engineer of a tank vessel attesting that before March 31, 1996, 
the applicant received training in awareness of hazards due to 
flammability and in firefighting through a program, lecture, or seminar 
that included hands-on firefighting that the OCMI finds in substantial 
compliance with Sec. 13.121(g);
    (ii) Either--
    (A) A certificate of completion from a liquid-cargo course in DL or 
LG for tankships or tank barges approved by the Commandant, appropriate 
to the endorsement applied for;
    (B) A certificate of completion from a liquid-cargo course in DL or 
LG for tankships or tank barges up to 10 years before March 31, 1996, 
that the OCMI determines substantially covers the material required by 
Table 13.121(f); or
    (C) A letter on company letterhead from the applicant's employer 
stating that the applicant has successfully completed the approved 
training discussed in Sec. 13.121(i) or (j); and
    (iii) Evidence either--
    (A) Of service that satisfies paragraph (d)(1)(iii) of this section, 
except that for paragraphs (d)(1)(iii) (A)(2) and (B) 60 days of service 
on any tank vessel are enough; or
    (B) On company letterhead, from the owner or operator of a terminal, 
or of a tank barge, of service attesting that the applicant both acted 
as the PIC of the transfer of DL or LG, appropriate to the endorsement 
applied for, on tank barges, before March 31, 1996, and accumulated two 
transfers on tank barges within the last 10 years.
    (3) To qualify for a restricted endorsement based on grades of cargo 
handled, a mariner shall--

[[Page 212]]

    (i) For a restricted ``Tankerman-PIC'' endorsement, meet paragraphs 
(d)(1) (i) and (iii) of this section; or
    (ii) For a restricted ``Tankerman-PIC (Barge)'' endorsement, meet 
paragraphs (e)(1) (i) and (iii) of this section.
    (e) A person who qualifies under paragraph (b) of this section by 
holding a current ``Tankerman'' endorsement or under paragraph (c) of 
this section by having served as PIC for the transfer of liquid cargoes 
in bulk that are listed in subchapter O but that did not require a 
tankerman endorsement may apply for a ``Tankerman-PIC (Barge)'' 
endorsement under this subpart.
    (1) To qualify for a ``Tankerman-PIC (Barge)'' endorsement, an 
applicant shall present--
    (i) Evidence of training in firefighting in the form of--
    (A) A certificate of completion from a course in shipboard 
firefighting approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437 (XI), ``Training of 
Crews in Fire Fighting'', or a certificate of completion from such a 
course before March 31, 1996, that the OCMI finds in substantial 
compliance with that section;
    (B) A certificate of completion from a training course meeting 
Sec. 13.121 in tank-barge firefighting or a certificate of completion 
from a course in tank-barge firefighting before March 31, 1996, that the 
OCMI finds in substantial compliance with Sec. 13.121; or
    (C) A letter on company letterhead from the owner, operator, master, 
or chief engineer attesting that before March 31, 1996, the applicant 
received training in awareness of flammability hazards and in 
firefighting through a program, lecture, or seminar that included hands-
on firefighting that the OCMI finds in substantial compliance with 
Sec. 13.121;
    (ii) Either--
    (A) A certificate of completion from a liquid-cargo course in DL or 
LG approved by the Commandant up to 10 years before March 31, 1996, 
appropriate to the endorsement applied for;
    (B) A certificate of completion from a liquid-cargo course in DL or 
LG up to 10 years before March 31, 1996, that the OCMI determines 
substantially covers the material required by Table 13.121(f); or
    (C) A letter on company letterhead from the applicant's employer 
stating that the applicant has successfully completed the approved 
training discussed in Sec. 13.121 (i) or (j); and
    (iii) Evidence on company letterhead from the owner, operator, 
master, or chief engineer of the vessel, or from the owner or operator 
of a terminal or of a tank barge, of service attesting that the 
applicant both acted as the PIC of the transfer of DL or LG, appropriate 
to the endorsement applied for on self-propelled tank vessels or on tank 
barges, before March 31, 1996, and accumulated two transfers on self-
propelled tank vessels or on tank barges within the last 10 years.
    (2) To qualify for a restricted ``Tankerman-PIC (Barge)'' 
endorsement, based on his or her cargo-handling experience for the 
grades handled, an applicant shall meet all the requirements of 
paragraphs (e)(1) (i) and (iii) of this section.
    (f) Each person qualifying under this section shall obtain a 
tankerman endorsement at the first renewal of his or her MMD under 
Sec. 12.02-27 of this chapter that occurs after March 31, 1997, except 
that each person qualifying under paragraph (c) of this section shall 
obtain the endorsement by March 31, 2001.
    (g) The following table relates the experience and training to the 
endorsement for tankerman certified under prior regulations. The section 
numbers on the table refer to the specific requirements applicable.

[[Page 213]]



                           Table 13.113.--Tankermen Certified Under Prior Regulations
----------------------------------------------------------------------------------------------------------------
                                 Service after
                                effective date
 Before effective date served     but before         Requirements for permanent      Requirements for RESTRICTED
             as:                   permanent           endorsement to an MMD:          endorsement to an MMD:
                                 endorsement:
----------------------------------------------------------------------------------------------------------------
Licensed Officer.............  May serve as      Section 13.113(d) (1), (2).......  Section 13.113(d)(3).
                                Tankerman-PIC
                                in accordance
                                with 13.113(a),
                                until first
                                renewal of MMD
                                or license
                                after March 31,
                                1997.
Tankerman with endorsement on  May serve as      Section 13.113(e)(1).............  Section 13.113(e)(2).
 MMD.                           Tankerman-PIC
                                (Barge) in
                                accordance with
                                13.113(B),
                                until first
                                renewal of MMD
                                after March 31,
                                1997.
PIC of non-flammable or non-   May serve as      Section 13.113(e)(1).............  Section 13.113(e)(2).
 combustible cargoes listed     Tankerman-PIC
 in Subchapter O.               (Barge) in
                                accordance with
                                13.113(c) until
                                March 31, 2001.
----------------------------------------------------------------------------------------------------------------

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25128, 25129, May 8, 1997]



Sec. 13.115  Licensed engineer: Endorsement as Tankerman-Engineer based on service on tankships or self-propelled tank vessels before March 31, 1996.

    A licensed person with at least 30 days of service as chief 
engineer, first assistant engineer, or cargo engineer on one or more 
tankships or self-propelled tank vessels before March 31, 1996, may, at 
any time until the first renewal of his or her MMD under Sec. 12.02-27 
of this chapter that occurs after March 31, 1997, apply for a 
``Tankerman-Engineer'' endorsement under this subpart if he or she 
presents--
    (a) Either--
    (1) A letter on company letterhead from the owner, operator, master, 
or chief engineer of the vessel attesting that the applicant served at 
least 30 days as chief engineer, first assistant engineer, or cargo 
engineer on tankships or self-propelled tank vessels certified to carry 
DL or LG, appropriate to the endorsement applied for, before March 31, 
1996, and has so served within the last 5 years; or
    (2) Certificates of Discharge proving at least 30 days of service as 
chief engineer, first assistant engineer, or cargo engineer on tankships 
or self-propelled tank vessels certified to carry DL or LG, appropriate 
to the endorsement applied for before March 31, 1996, with a discharge 
date within the last 5 years; and
    (b) Either--
    (1) A certificate of completion from a liquid-cargo course in DL or 
LG for tankships approved by the Commandant, appropriate to the 
endorsement applied for;
    (2) A certificate of completion from a liquid-cargo course in DL or 
LG for tankships up to 10 years before March 31, 1996, that the OCMI 
determines substantially covers the material covered by Table 13.121(f); 
or
    (3) A letter on company letterhead from the applicant's employer 
stating that the applicant has successfully completed the approved 
training discussed in Sec. 13.121 (i) or (j).

[CGD 79-116, 62 FR 25129, May 8, 1997]



Sec. 13.117  Any person: Endorsement as Tankerman-Assistant based on unlicensed deck service before March 31, 1996.

    An applicant with unlicensed deck service on tankships or self-
propelled tank vessels before March 31, 1996, may, at any time until the 
first renewal of his or her MMD under Sec. 12.02-27 of this chapter that 
occurs after March 31, 1997, apply for a ``Tankerman-Assistant'' 
endorsement under this subpart if he or she presents either--
    (a) A letter on company letterhead from the owner, operator, or 
master of

[[Page 214]]

the vessel attesting that the applicant performed at least 30 days of 
deck service or service as a pumpman of tankships or self-propelled tank 
vessels certified to carry DL or LG appropriate to the endorsement 
applied for before March 31, 1996, and has so performed within the last 
5 years;
    (b) Certificates of Discharge proving at least 30 days of deck 
service or of service as a pumpman on tankships or self-propelled tank 
vessels certified to carry DL or LG, appropriate to the endorsement 
applied for, before March 31, 1996, with a discharge date within the 
last 5 years; or
    (c) A certificate of completion from a tanker-familiarization course 
approved by the Commandant.

[CGD 79-116, 62 FR 25130, May 8, 1997]



Sec. 13.119  Expiration of endorsement.

    An endorsement as tankerman is valid for the duration of the MMD.



Sec. 13.120  Renewal of endorsement.

    An applicant wishing to renew a tankerman's endorsement shall meet 
the requirements of Sec. 12.02-27 of this chapter for renewing an MMD 
and prove either participation in at least two transfers within the last 
5 years in accordance with Sec. 13.127(b) or completion of an approved 
course as described in Sec. 10.304.

[CGD 79-116, 62 FR 25130, May 8, 1997]



Sec. 13.121  Courses for training tankerman.

    (a) This section prescribes the requirements, beyond those in 
Secs. 10.203 and 10.303 of this chapter, applicable to schools offering 
courses required for a tankerman endorsement and courses that are a 
substitute for experience with transfers of liquid cargo in bulk 
required for the endorsement.
    (b) Upon satisfactory completion of an approved course, each student 
shall receive a certificate, signed by the head of the school offering 
the course or by a designated representative, indicating the title of 
the course, the duration, and, if appropriate, credit allowed towards 
meeting the transfer requirements of this part.
    (c) A course that uses simulated transfers to train students in 
loading and discharging tank vessels may replace up to 2 loadings and 2 
discharges, 1 commencement and 1 completion of loading, and 1 
commencement and 1 completion of discharge required for a Tankerman-PIC 
or Tankerman-PIC (Barge) endorsement. The request for approval of the 
course must specify those segments of a transfer that the course will 
simulate. The letter from the Coast Guard approving the course will 
state the number and kind of segments that the course will replace.
    (d) The course in liquid cargo required for an endorsement as--
    (1) ``Tankerman-PIC DL'' is Tankship: Dangerous Liquids;
    (2) ``Tankerman-PIC (Barge) DL'' is Tank Barge: Dangerous Liquids;
    (3) ``Tankerman-PIC LG'' is Tankship: Liquefied Gases;
    (4) ``Tankerman-PIC (Barge) LG'' is Tank Barge: Liquefied Gases;
    (5) ``Tankerman-Assistant DL'' is Familiarization with DL Tankship; 
and
    (6) ``Tankerman-Assistant LG'' is Familiarization with LG Tankship.
    (e) The course in firefighting required for an endorsement as--
    (1) ``Tankerman-PIC (Barge)'' is Tank Barge: Firefighting; and
    (2) ``Tankerman-PIC'', ``Tankerman-Assistant'', and ``Tankerman-
Engineer'' is a firefighting course that meets the basic firefighting 
section of the IMO's Resolution A.437 (XI), ``Training of Crews in Fire 
Fighting''.
    (f) No school may issue a certificate unless the student has 
successfully completed an approved course with the appropriate 
curriculum outlined in Table 13.121(f) or Sec. 13.121(h).
    (g) An organization with a course in DL or LG or a course in tank-
barge firefighting taught before March 31, 1996, that substantially 
covered the material required by Table 13.121(f) for liquid cargoes, 
Table 13.121(g) for firefighting, or Sec. 13.121(h) for familiarization 
with tankships, may seek approval under Sec. 10.302 of this chapter from 
the Coast Guard for any course taught up to ten years before March 31, 
1996.
    (h) The Coast Guard will evaluate the curricula of courses for 
Familiarization with DL and LG Tankships to ensure adequate coverage of 
the required

[[Page 215]]

subjects. Training may employ classroom instruction, demonstrations, or 
simulated or actual operations.
    (1) The curricula of courses for Familiarization with DL Tankships 
must consist of the following:
    (i) General characteristics, compatibility, reaction, firefighting, 
and safety precautions for bulk liquid cargoes defined as DL in this 
part.
    (ii) Terminology of tankships carrying oil and other chemicals.
    (iii) General arrangement and construction of cargo tanks, vapor 
control, and venting.
    (iv) Cargo-piping systems and valves.
    (v) General operation of cargo pumps.
    (vi) General discussion of the following operations connected with 
the loading and discharging of cargo:
    (A) Pre-transfer inspection and conference and Declaration of 
Inspection.
    (B) Lining up of the cargo and vapor-control systems and starting of 
liquid flow.
    (C) Connecting and disconnecting of cargo hoses and loading arms.
    (D) Loading.
    (E) Ballasting and de-ballasting.
    (F) Discharging.
    (G) Tank-gauging (open and closed).
    (vii) Rules of the Coast Guard governing operations in general and 
prevention of pollution in particular.
    (viii) Prevention and control of pollution.
    (ix) Emergency procedures.
    (x) Safety precautions relative to:
    (A) Entering cargo tanks and pump room.
    (B) Dangers of contact with skin.
    (C) Inhalation of vapors.
    (D) Protective clothing and equipment.
    (E) Hot work.
    (F) Precautions respecting electrical hazards, including hazards of 
static electricity.
    (xi) General principles and procedures of Crude-Oil Washing (COW) 
Systems and inert-gas systems.
    (xii) Tank-cleaning procedures and precautions.
    (xiii) Principles and procedures of vapor-control systems.
    (xiv) Cargo-hazard-information systems.
    (2) To ensure adequate coverage of the required subjects, training 
may employ classroom instruction, demonstrations, or simulated or actual 
operations. The curricula of courses for Familiarization with LG 
Tankships must consist of the following:
    (i) General characteristics, compatibility, reaction, firefighting, 
and safety precautions for cargoes defined as LG in this part.
    (ii) Terminology of tankships carrying LG.
    (iii) Physical properties of LG.
    (iv) Potential hazards and safety precautions of LG:
    (A) Combustion characteristics.
    (B) Hot work.
    (C) Results of release of LG to the atmosphere.
    (D) Health hazards (skin contact, inhalation, and ingestion).
    (E) Protective clothing and equipment.
    (F) Tank-entry procedures and precautions.
    (G) Thermal stresses.
    (H) Precautions respecting electrical hazards, including hazards of 
static electricity.
    (v) Cargo-containment systems.
    (vi) General arrangement and construction of cargo tanks.
    (vii) Cargo-piping systems and valves.
    (viii) Instrumentation:
    (A) Cargo-level indicators.
    (B) Gas-detecting systems.
    (C) Systems for monitoring temperatures of hulls and cargoes.
    (D) Automatic shut-down systems.
    (ix) Heating systems for cofferdams and ballast tanks.
    (x) General discussion of the following operations connected with 
the loading and discharging of cargo:
    (A) Pre-transfer inspection and conference and Declaration of 
Inspection.
    (B) Lining up of the cargo and vapor-control systems and starting of 
liquid flow.
    (C) Connecting and disconnecting of cargo hoses and loading arms.
    (D) Loading.
    (E) Ballasting and de-ballasting.
    (F) Discharging.
    (xi) Disposal of boil-off.
    (xii) Emergency procedures.
    (xiii) Rules of the Coast Guard governing operations in general and 
prevention of pollution in particular.

[[Page 216]]

    (xiv) Principles and procedures of IGSs.
    (xv) Tank-cleaning procedures and precautions.
    (xvi) Principles and procedures of vapor-control systems.
    (xvii) Cargo-hazard-information systems.
    (i) A company that offers approved DL training for its employees 
shall ensure discussion of the following topics (further discussed in 
STCW Regulation V, Section A-V/1, paragraphs 9 through 21):
    (1) Treaties and rules.
    (2) Design and equipment.
    (3) Cargo characteristics.
    (4) Ship operations.
    (5) Repair and maintenance.
    (6) Emergency procedures.
    (j) A company that offers approved LG training for its employees 
shall ensure discussion of the following topics (further discussed in 
STCW Regulation V, Section A-V/1, paragraphs 22 through 34):
    (1) Treaties and rules.
    (2) Chemistry and physics.
    (3) Health hazards.
    (4) Cargo containment.
    (5) Pollution.
    (6) Cargo-handling systems.
    (7) Ship operations.
    (8) Safety practices and equipment.
    (9) Emergency procedures.
    (10) General principles of cargo operations.

                                                 Table 13.121(f)
----------------------------------------------------------------------------------------------------------------
                                Course topics                                    1        2        3        4
----------------------------------------------------------------------------------------------------------------
General characteristics, compatibility, reaction, firefighting procedures,
 and safety precautions for the cargoes of:
    Bulk liquids defined as Dangerous Liquids in 46 CFR Part 13.............       x        x
    Bulk liquefied gases & their vapors defined as Liquefied Gases in 46 CFR                         x        x
     Part 13................................................................
Physical phenomena of liquefied gas, including:
    Basic concept...........................................................                         x        x
    Compression and expansion...............................................                         x        x
    Mechanism of heat transfer..............................................                         x        x
Potential hazards of liquefied gas, including:
    Chemical and physical properties........................................                         x        x
    Combustion characteristics..............................................                         x        x
    Results of gas release to the atmosphere................................                         x        x
    Health hazards (skin contact, inhalation, and ingestion)................                         x        x
    Control of flammability range with inert gas............................                         x        x
    Thermal stress in structure and piping of vessel........................                         x        x
Cargo systems, including:
    Principles of containment systems.......................................       x        x        x        x
    Construction, materials, coating, & insulation of cargo tanks...........                         x        x
    General arrangement of cargo tanks......................................       x        x        x        x
    Venting and vapor-control systems.......................................       x        x        x        x
Cargo-handling systems, including:
    Piping systems, valves, pumps, and expansion systems....................       x        x        x        x
    Operating characteristics...............................................       x        x        x        x
Instrumentation systems, including:
    Cargo-level indicators..................................................       x        x        x        x
    Gas-detecting systems...................................................       x                 x        x
    Temperature-monitoring systems, cargo...................................       x                 x        x
    Temperature-monitoring systems, hull....................................                         x        x
    Automatic-shutdown systems..............................................       x                 x        x
Auxiliary systems, including:
    Ventilation, inerting...................................................       x        x        x        x
    Valves, including:
        Quick-closing.......................................................       x        x        x        x
        Remote-control......................................................       x        x        x        x
        Pneumatic...........................................................       x        x        x        x
        Excess-flow.........................................................       x        x        x        x
        Safety-relief.......................................................       x        x        x        x
        Pressure-vacuum.....................................................       x        x        x        x
    Heating-systems: cofferdams & ballast tanks.............................                         x        x
Operations connected with the loading and discharging of cargo, including:
    Lining up the cargo and vapor-control systems...........................       x        x        x        x
    Pre-transfer inspections and completion of the Declaration of Inspection       x        x        x        x
    Hooking up of cargo hose, loading arms, and grounding-strap.............       x        x        x        x
    Starting of liquid flow.................................................       x        x        x        x
    Calculation of loading rates............................................       x                 x
    Discussion of loading...................................................       x        x        x        x
    Ballasting and deballasting.............................................       x        x        x        x

[[Page 217]]

 
    Topping off of the cargo tanks..........................................       x        x        x        x
    Discussion of discharging...............................................       x        x        x        x
    Stripping of the cargo tanks............................................       x        x
    Monitoring of transfers.................................................       x        x        x        x
    Gauging of cargo tanks..................................................       x        x        x        x
    Disconnecting of cargo hoses or loading arms............................       x        x        x        x
    Cargo-tank-cleaning procedures and precautions..........................       x        x
Operating procedures and sequence for:
    Inerting of cargo tanks and void spaces.................................       x        x        x        x
    Cooldown and warmup of cargo tanks......................................                         x        x
    Gas-freeing.............................................................       x        x        x        x
    Loaded or ballasted voyages.............................................       x                 x
    Testing of cargo-tank atmospheres for oxygen & cargo vapor..............       x        x        x        x
Stability and stress considerations connected with loading and discharging         x        x        x        x
 of cargo...................................................................
Loadline, draft, and trim...................................................       x        x        x        x
Disposal of boil-off, including:
    System design...........................................................                         x        x
    Safety features.........................................................                         x        x
Stability-letter requirements...............................................       x                 x
Emergency procedures, including notice to appropriate authorities, for:
    Fire....................................................................       x        x        x        x
    Collision...............................................................       x        x        x        x
    Grounding...............................................................       x        x        x        x
    Equipment failure.......................................................       x        x        x        x
    Leaks and spills........................................................       x        x        x
    Structural failure......................................................       x        x        x        x
    Emergency discharge of cargo............................................       x        x        x        x
    Entering cargo tanks....................................................       x        x        x        x
    Emergency shutdown of cargo-handling....................................       x        x        x        x
    Emergency systems for closing cargo tanks...............................       x        x
Rules & regulations (international and Federal, for all tank vessels) on           x        x        x        x
 conducting operations and preventing pollution.............................
Pollution prevention, including:
    Procedures to prevent air and water pollution...........................       x        x        x        x
    Measures to take in event of spillage...................................       x        x        x        x
    Danger from drift of vapor cloud........................................       x        x        x        x
Terminology for tankships carrying oil and chemicals........................       x
Terminology for tank barges carrying oil and chemicals......................                x
Terminology for tankships carrying liquefied gases..........................                         x
Terminology for tank barges carrying liquefied gases........................                                  x
Principles & procedures of crude-oil-washing (COW) systems, including:
    Purpose.................................................................       x
    Equipment and design....................................................       x
    Operations..............................................................       x
    Safety precautions......................................................       x
    Maintenance of plant and equipment......................................       x
Principles & procedures of the inert-gas systems (IGSs), including:
    Purpose.................................................................       x                 x
    Equipment and design....................................................       x                 x
    Operations..............................................................       x                 x
    Safety precautions......................................................       x                 x
    Maintenance of plant and equipment......................................       x                 x
Principles & procedures of vapor-control systems, including:
    Purpose.................................................................       x        x        x        x
    Principles..............................................................       x        x        x        x
    Coast Guard regulations.................................................       x        x        x        x
    Hazards.................................................................       x        x        x        x
    Active system components................................................       x        x        x        x
    Passive system components...............................................       x        x        x        x
Operating procedures, including:
    Testing and inspection requirements.....................................       x        x        x        x
    Pre-transfer procedures.................................................       x        x        x        x
    Connecting sequence.....................................................       x        x        x        x
    Start-up sequence.......................................................       x        x        x        x
    Normal operations.......................................................       x        x        x        x
Emergency procedures........................................................       x        x        x        x
Cargo-hazard-information systems............................................       x        x        x        x
Safe entry into confined spaces, including:
    Testing tank atmospheres for oxygen & hydrocarbon vapors................       x        x
    Definition and hazards of confined spaces...............................       x        x        x        x
    Cargo tanks and pumprooms...............................................       x        x        x        x
    Evaluation and assessment of risks and hazards..........................       x        x        x        x

[[Page 218]]

 
    Safety precautions and procedures.......................................       x        x        x        x
    Personnel protective equipment (PPE) and clothing.......................       x        x        x        x
    Maintenance of PPE......................................................       x        x        x        x
    Dangers of skin contact.................................................       x        x        x        x
    Inhalation of vapors....................................................       x        x
    Electricity and static electricity--hazards and precautions.............       x        x        x        x
    Emergency procedures....................................................       x        x        x        x
    Federal regulations, national standards & industry guidelines...........       x        x        x        x
    Inspections by marine chemists & competent persons, including hot-work         x        x        x        x
     permits & procedures...................................................
Vessel response plans:
    Purpose, content, and location of information...........................       x        x        x        x
    Procedures for notice and mitigation of spills..........................       x        x        x        x
    Geographic-specific appendices..........................................       x        x        x        x
    Vessel-specific appendices..............................................       x        x        x        x
    Emergency-action checklist..............................................       x        x        x        x
----------------------------------------------------------------------------------------------------------------
Column 1--Tankerman-PIC DL.
Column 2--Tankerman-PIC (Barge) DL.
Column 3--Tankerman-PIC LG.
Column 4--Tankerman-PIC (Barge) LG.


                             Table 13.121(g)
------------------------------------------------------------------------
                     Course topics                         1        2
------------------------------------------------------------------------
Elements of fire (Fire triangle):
        Fuel..........................................       X        X
        Source of ignition............................       X        X
        Oxygen........................................       X        X
    Ignition sources (general):
        Chemical......................................  .......       X
        Biological....................................  .......       X
        Physical......................................  .......       X
    Ignition sources applicable to barges.............       X   .......
    Definitions of flammability and combustibility:
        Flammability..................................       X        X
        Ignition point................................       X        X
        Burning temperature...........................       X        X
        Burning speed.................................  .......       X
        Thermal value.................................  .......       X
        Lower flammable limit.........................       X        X
        Upper flammable limit.........................       X        X
        Flammable range...............................       X        X
        Inerting......................................  .......       X
        Static electricity............................       X        X
        Flash point...................................       X        X
        Auto-ignition.................................       X        X
    Spread of fire:
        By radiation..................................       X        X
        By convection.................................       X        X
        By conduction.................................       X        X
    Reactivity........................................       X        X
    Fire classifications and applicable extinguishing        X        X
     agents...........................................
    Main causes of fires:
        Oil leakage...................................       X        X
        Smoking.......................................       X        X
        Overheating pumps.............................       X        X
        Galley appliances.............................  .......       X
        Spontaneous ignition..........................       X        X
        Hot work......................................       X        X
        Electrical apparatus..........................  .......       X
        Reaction, self-heating, and auto-ignition.....  .......       X
    Fire prevention:
        General.......................................       X        X
        Fire hazards of DL and LG.....................       X        X
    Fire detection:
        Fire- and smoke-detection systems.............  .......       X
        Automatic fire alarms.........................  .......       X
    Firefighting equipment:
        Fire mains, hydrants..........................  .......       X
        International shore-connection................  .......       X
        Smothering-installations, carbon dioxide        .......       X
         (CO2), foam..................................
        Halogenated hydrocarbons......................  .......       X
        Pressure-water spray system in special-         .......       X
         category spaces..............................
        Automatic sprinkler system....................  .......       X
        Emergency fire pump, emergency generator......  .......       X
        Chemical-powder applicants....................  .......       X
        General outline of required and mobile          .......       X
         apparatus....................................
        Fireman's outfit, personal equipment..........  .......       X
        Breathing apparatus...........................  .......       X
        Resuscitation apparatus.......................  .......       X
        Smoke helmet or mask..........................  .......       X
        Fireproof life-line and harness...............  .......       X
        Fire hose, nozzles, connections, and fire axes  .......       X
        Fire blankets.................................  .......       X
        Portable fire extinguishers...................       X        X
        Limitations of portable and semiportable             X        X
         extinguishers................................
Emergency procedures:
    Arrangements:
        Escape routes.................................       X        X
        Means of gas-freeing tanks....................       X        X
        Class A, B, and C divisions...................  .......       X
        Inert-gas system..............................  .......       X
    Ship firefighting organization:
        General alarms................................  .......       X
        Fire-control plans, muster stations, and        .......       X
         duties.......................................
        Communications................................  .......       X
        Periodic shipboard drills.....................  .......       X
        Patrol system.................................  .......       X
    Basic firefighting techniques:
        Sounding alarm................................       X        X
        Locating and isolating fires..................       X        X
        Stopping leakage of cargo.....................       X        X
        Jettisoning...................................  .......       X
        Inhibiting....................................  .......       X
        Cooling.......................................  .......       X
        Smothering....................................  .......       X

[[Page 219]]

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


[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25130, 25131, 25133, May 8, 1997]



Sec. 13.123  Recency of service or experience for original tankerman endorsement.

    An applicant for an original tankerman endorsement in subpart B, C, 
D, or E of this part shall have obtained at least 25% of the qualifying 
service and, if the endorsement requires transfers, at least two of the 
qualifying transfers, within five years of the date of application.



Sec. 13.125  Physical requirements.

    Each applicant for an original tankerman endorsement shall meet the 
physical requirements of Sec. 10.205(d) of this chapter, excluding 
paragraph (d)(2) of that section.



Sec. 13.127  Service: General.

    (a) A service letter must be signed by the owner, operator, master, 
or chief engineer of the vessel and must specify--
    (1) The classification of cargo (DL, LG, or, for a restricted 
endorsement, a specific product) handled while the applicant accumulated 
the service;
    (2) The dates, the number and kinds of transfers the applicant has 
participated in, and the number of transfers that involved commencement 
or completion; and
    (3) That the applicant has demonstrated to the satisfaction of the 
signer that he or she is fully capable of supervising transfers of 
liquid cargo, including
    (i) Pre-transfer inspection;
    (ii) Pre-transfer conference and execution of the Declaration of 
Inspection;
    (iii) Connection of cargo hoses or loading-arms;
    (iv) Line-up of the cargo system for loading and discharge;
    (v) Start of liquid flow during loading;
    (vi) Start of cargo pump and increase of pressure to normal 
discharge pressure;
    (vii) Calculation of loading-rates;
    (viii) Monitoring;
    (ix) Topping-off of cargo tanks during loading;
    (x) Stripping of cargo tanks;
    (xi) Ballasting and deballasting, if appropriate;
    (xii) Disconnection of the cargo hoses or loading-arms; and
    (xiii) Securing of cargo systems.
    (b) In determining the numbers and kinds of transfers that the 
applicant has participated in under paragraph (a)(2) of this section, 
the following rules apply:
    (1) A transfer must involve the loading or discharge from at least 
one of the vessel's cargo tanks to or from a shore facility or another 
vessel. A shift of cargo from one tank to another tank is not a transfer 
for this purpose.
    (2) Regardless of how long the transfer lasts beyond four hours, it 
counts as only one transfer.
    (3) A transfer must include both a commencement and a completion.
    (4) Regardless of how many tanks or products are being loaded or 
discharged

[[Page 220]]

at the same time, a person may receive credit for only one transfer, one 
loading, and one discharge a watch.
    (5) Credit for a transfer during a watch of less than four hours 
accrues only if the watch includes either the connection and the 
commencement of transfer or the completion of transfer and the 
disconnection.
    (6) Credit for a commencement of loading accrues only if the 
applicant participates in the pre-transfer inspection, the pre-transfer 
conference including execution of the Declaration of Inspection, the 
connection of cargo hoses or loading-arms, the line-up of the cargo 
system for the loading, the start of liquid flow, and the calculation of 
loading-rates, where applicable.
    (7) Credit for a commencement of discharge accrues only if the 
applicant participates in the pre-transfer inspection, the pre-transfer 
conference including execution of the Declaration of Inspection, the 
connection of cargo hoses or loading-arms, the line-up of the cargo 
system for the discharge, the start of the cargo pump or pumps and 
increase of pressure to normal pressure for discharge, and the 
monitoring of discharge rates.
    (8) Credit for a completion of transfer, whether loading or 
discharge, accrues only if the applicant participates in the topping-off 
at the loading port, or in the stripping of cargo tanks and the 
commencement of ballasting, if required by the vessel's transfer 
procedures, at the discharge port.
    (9) Personnel desiring credit for transfers during off-duty hours 
may satisfy requirements of competence through incremental training 
periods that include segments of transfers. The cumulative number of 
transfers must equal the minimum specified in Sec. 13.203(b) or 
13.303(b).

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25133, May 8, 1997]



Sec. 13.129  Quick-reference table for tankerman.

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

[[Page 221]]



                                                                                          Table 13.129
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                            Certificate from
            Category                   Minimum age           Physical required          Service           Recency of        Proof of of       firefighting      Cargo course    English language
                                                                                                           service            service         course 13.207
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Tankerman-PIC Subpart B........  18; 13.201(a)..........  Yes; 13.125............  13.203             13.123             13.205             13.207            13.209            13.201(g)
Tankerman-PIC (Barge) Subpart C  18; 13.301(a)..........  Yes; 13.125............  13.303             13.123             13.305             13.307            13.309            13.301(g)
Tankerman-Assistant Subpart D..  18; 13.401(a)..........  Yes; 13.125............  13.403             13.123             13.405             13.407            13.409            13.401(f)
Tankerman-Engineer Subpart E...  18; 13.501(a)..........  Yes; 13.125............  13.503             13.123             13.505             13.507            13.509            13.501(g)
Restricted Tankerman-PIC.......  18; 13.111(b)..........  Yes; 13.111(b).........  13.111(b)          13.111(b)          13.111(b)          13.111(b)         No                13.111(b)
Restricted Tankerman-PIC         18; 13.111(c)..........  Yes; 13.111(c).........  13.111(c)          13.111(c)          13.111(c)          13.111(c)         No                13.111(c)
 (Barge).
Restricted Tankerman-PIC         18; 13.111(d)(1).......  Yes; 13.111(d)(3)......  13.111(d)(4)       No                 13.111(d)(4)       No                No                13.111(d)(5)
 (Barge), Facility.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25133, May 8, 1997]

[[Page 222]]



        Subpart B--Requirements for ``Tankerman-PIC'' Endorsement



Sec. 13.201  Original application for ``Tankerman-PIC'' endorsement.

    Each applicant for an original ``Tankerman-PIC'' endorsement shall--
    (a) Be at least 18 years old;
    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical examination in accordance 
with Sec. 13.125;
    (d) Present evidence of service on tankships in accordance with 
Sec. 13.203;
    (e) Meet the requirement of a course on firefighting in Sec. 13.207;
    (f) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for in Sec. 13.209; and
    (g) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo, and be capable of reading the English found in the Declaration of 
Inspection, vessel response plans, and Cargo Information Cards.



Sec. 13.203  Eligibility: Experience.

    Each applicant for a ``Tankerman-PIC'' endorsement for DL or LG 
shall meet the requirements of either paragraphs (a) and (b) or 
paragraph (c) of this section.
    (a) Each applicant shall present evidence of--
    (1) At least 90 days of service as a licensed deck officer or a 
licensed engineering officer on one or more tankships or self-propelled 
tank vessels certified to carry DL or LG appropriate to the endorsement 
applied for;
    (2) At least 90 days of unlicensed or cadet service on deck or in 
the engine department on one or more tankships or self-propelled tank 
vessels certified to carry DL or LG appropriate to the endorsement 
applied for; or
    (3) A combination of the service in paragraphs (a) (1) and (2) of 
this section.
    (b) Each applicant shall present evidence of participation, under 
the supervision of a ``Tankerman-PIC,'' in at least 10 transfers of 
liquid cargo in bulk of the classification desired on tankships or self-
propelled tank vessels, including at least--
    (1) Five loadings and five discharges;
    (2) Two commencements of loading and two completions of loading; and
    (3) Two commencements of discharge and two completions of discharge.
    (c) Each applicant already holding an MMD endorsed ``Tankerman-PIC'' 
for DL and seeking an endorsement for LG, or the converse, shall--
    (1) Provide evidence of at least half the service required by 
paragraph (a) of this section; and
    (2) Comply with paragraph (b) of this section, except that he or she 
need provide evidence of only three loadings and three discharges along 
with evidence of compliance with paragraphs (b)(2) and (3) of this 
section.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]



Sec. 13.205  Proof of service for ``Tankerman-PIC'' endorsement.

    Service must be proved by a letter on company letterhead from the 
owner, operator, or master of the vessel on which the applicant obtained 
the service. The letter must contain the information described in 
Sec. 13.127(a).



Sec. 13.207  Eligibility: Firefighting course.

    Each applicant for an original ``Tankerman-PIC'' endorsement shall 
present a certificate of successful completion from a course in 
shipboard firefighting, approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437 (XI), ``Training of 
Crews in Fire Fighting'', completed within five years of the date of 
application for the endorsement, unless he or she has previously 
submitted such a certificate for a license or a tankerman endorsement.



Sec. 13.209  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-PIC'' endorsement shall 
present a certificate of completion from a course in DL or LG 
appropriate for tankships and for the endorsement applied for, and 
approved by the Commandant. The date of the certificate may not be more 
than 5 years earlier than the date of application.

[CGD 79-116, 62 FR 25134, May 8, 1997]

[[Page 223]]



    Subpart C--Requirements for ``Tankerman-PIC (Barge)'' Endorsement



Sec. 13.301  Original application for ``Tankerman-PIC (Barge)'' endorsement.

    Each applicant for a ``Tankerman-PIC (Barge)'' endorsement shall--
    (a) Be at least 18 years old;
    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical examination in accordance 
with Sec. 13.125;
    (d) Present evidence of service on tank vessels in accordance with 
Sec. 13.303;
    (e) Meet the requirement of a firefighting course in Sec. 13.307;
    (f) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for in Sec. 13.309; and
    (g) Be capable of speaking, and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo, and be capable of reading the English found in the Declaration of 
Inspection, vessel response plans, and Cargo Information Cards.



Sec. 13.303  Eligibility: Experience.

    Each applicant for a ``Tankerman-PIC (Barge)'' endorsement for DL or 
LG shall meet the requirements of either paragraphs (a) and (b) or 
paragraph (c) of this section.
    (a) Each applicant shall present evidence of--
    (1) At least 60 days of service, whether by shore-based or by 
vessel-based personnel, on one or more tank vessels certified to carry 
DL or LG appropriate to the endorsement applied for; or
    (2) At least 6 months of closely related service directly involved 
with tank barges appropriate to the endorsement applied for; and
    (b) Participation, under the supervision of a ``Tankerman-PIC'' or 
``Tankerman-PIC (Barge),'' in at least 10 transfers of liquid cargo in 
bulk of the classification desired on any tank vessel, including at 
least--
    (1) Five loadings and five discharges;
    (2) Two commencements of loading and two completions of loading; and
    (3) Two commencements of discharge and two completions of discharge.
    (c) Each applicant already holding an MMD endorsed ``Tankerman-PIC 
(Barge)'' for DL and seeking an endorsement for LG, or the converse, 
shall--
    (1) Provide evidence of at least half the service required by 
paragraph (a) of this section; and
    (2) Comply with paragraph (b) of this section, except that he or she 
need provide evidence of only three loadings and three discharges along 
with evidence of compliance with paragraphs (b)(2) and (3) of this 
section.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]



Sec. 13.305  Proof of service for ``Tankerman-PIC (Barge)'' endorsement.

    Service must be proved by a letter on company letterhead from the 
owner or operator of a terminal; the owner or operator of a tank barge; 
the owner, operator, or master of a tank vessel; or the employer of 
shore-based tankermen. The letter must contain the information required 
by Sec. 13.127(a), excluding paragraph (a)(3)(vii).

[CGD 79-116, 62 FR 25134, May 8, 1997]



Sec. 13.307  Eligibility: Firefighting course.

    Each applicant for a ``Tankerman-PIC (Barge)'' endorsement shall 
present a certificate of successful completion from--
    (a) A course in shipboard firefighting, approved by the Commandant 
and meeting the basic firefighting section of th IMO's Resolution 
A.437(XI), ``Training of Crews in Firefighting,'' completed 5 years or 
less before the date of application for the endorsement, unless he or 
she has previously submitted such a certificate for a license or a 
tankerman endorsement; or
    (b) A course in tank-barge firefighting, approved by the Commandant 
and meeting Sec. 13.121, completed within five years of the date of 
application for the endorsement.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]

[[Page 224]]



Sec. 13.309  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-PIC (Barge)'' endorsement 
shall present a certificate of completion from a course in DL or LG 
appropriate for tank barges and for Tankerman-PIC or Tankerman-PIC 
(Barge), and approved by the Commandant. The date of the certificate may 
not be more than 5 years earlier than the date of application.

[CGD 79-116, 62 FR 25134, May 8, 1997]



     Subpart D--Requirements for ``Tankerman-Assistant'' Endorsement



Sec. 13.401  Original application for ``Tankerman-Assistant'' endorsement.

    Each applicant for a ``Tankerman-Assistant'' endorsement shall--
    (a) Be at least 18 years old;
    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical examination in accordance 
with Sec. 13.125;
    (d) Meet the requirement of a firefighting course in Sec. 13.407;
    (e) (1) Meet the requirement of a course in DL or LG appropriate for 
the endorsement applied for in Sec. 13.409; or
    (2) Present evidence of service on tankships or self-propelled tank 
vessels in accordance with Sec. 13.403; and
    (f) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]



Sec. 13.403  Eligibility: Experience.

    (a) Each applicant for a ``Tankerman-Assistant'' endorsement shall 
present--
    (1) Evidence of at least 90 days of deck service on tankships or 
self-propelled tank vessels certified to carry DL or LG appropriate to 
the endorsement applied for; or
    (2) A certificate of completion from a course in DL or LG 
appropriate for the endorsement applied for as prescribed in 
Sec. 13.409.
    (b) Each applicant already holding an MMD endorsed ``Tankerman-
Assistant'' for DL and seeking one for LG, or the converse, shall--
    (1) Provide evidence of at least half the service required in 
paragraph (a)(1) of this section; or
    (2) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for as prescribed in Sec. 13.409.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]



Sec. 13.405  Proof of service for ``Tankerman-Assistant'' endorsement.

    (a) Service must be proved by a letter on company letterhead from 
the owner, operator, or master of a tankship or self-propelled tank 
vessel. The letter must specify--
    (1) The classification of cargo (DL or LG) carried while the 
applicant accumulated the service;
    (2) The number of days of deck service the applicant accumulated on 
the tankship or self-propelled tank vessel; and
    (3) That the applicant has demonstrated an understanding of cargo 
transfer and a sense of responsibility that, in the opinion of the 
signer, will allow the applicant to safely carry out duties respecting 
cargo transfer and transfer equipment assigned by the PIC of the 
transfer without direct supervision by the PIC; or
    (b) Service must be proved by--
    (1) Certificates of Discharge from tankships with the appropriate 
classification of cargo (DL, LG, or both); and
    (2) A letter on company letterhead from the owner, operator, or 
master of one of the tankships or self-propelled tank vessel stating 
that he or she has demonstrated--
    (i) An understanding of cargo transfer; and
    (ii) A sense of responsibility that, in the opinion of the signer, 
will allow him or her to safely carry out duties respecting cargo and 
its equipment assigned by the PIC of the transfer without direct 
supervision by the PIC.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]

[[Page 225]]



Sec. 13.407  Eligibility: Firefighting course.

    Each applicant for a ``Tankerman-Assistant'' endorsement shall 
present a certificate of successful completion from a course in 
shipboard firefighting, approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437 (XI), ``Training of 
Crews in Fire Fighting'', completed within five years of the date of 
application for the endorsement, unless he or she has previously 
submitted such a certificate from one of these courses for a license or 
endorsement.



Sec. 13.409  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-Assistant'' endorsement 
who has not presented the required service on tankships or self-
propelled tank vessels shall present a certificate of completion from a 
course for Familiarization with DL or LG Tankships or from a tanker-
familiarization course appropriate to the endorsement applied for, and 
approved by the Commandant. The date of the certificate may not be more 
than 5 years earlier than the date of application.

[CGD 79-116, 62 FR 25134, May 8, 1997]



     Subpart E--Requirements for ``Tankerman-Engineer'' Endorsement



Sec. 13.501  Original application for ``Tankerman-Engineer'' endorsement.

    Each applicant for a ``Tankerman-Engineer'' endorsement shall--
    (a) Be at least 18 years old;
    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical examination in accordance 
with Sec. 13.125;
    (d) Present evidence of service on tankships and self-propelled tank 
vessels in accordance with Sec. 13.503;
    (e) Meet the requirement of a firefighting course in Sec. 13.507;
    (f) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for in Sec. 13.509; and
    (g) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]



Sec. 13.503  Eligibility: Experience.

    (a) Each applicant for a ``Tankerman-Engineer'' endorsement shall 
present evidence of at least--
    (1) 90 days of service as a licensed engineering officer of 
tankships or self-propelled tank vessels certified to carry DL or LG 
appropriate to the endorsement applied for;
    (2) 90 days of unlicensed or cadet service in the engine department 
on tankships or self-propelled tank vessels certified to carry DL or LG 
appropriate to the endorsement applied for; or
    (3) A combination of the service in paragraphs (a) (1) and (2) of 
this section.
    (b) Each applicant already holding an MMD endorsed as Tankerman-
Engineer for DL and seeking one for LG, or the converse, shall prove at 
least half the service required by paragraph (a) of this section.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]



Sec. 13.505  Proof of service for ``Tankerman-Engineer'' endorsement.

    (a) Service must be proved by a letter on company letterhead from 
the owner, operator, master, or chief engineer of a tankship or self-
propelled tank vessel. The letter must specify--
    (1) The classification of cargo (DL, LG, or both) carried while the 
applicant accumulated the service; and
    (2) The number of days of licensed and unlicensed service in the 
engine department on tankships or self-propelled tank vessels; or
    (b) Service must be proved by certificates of discharge from 
tankships or self-propelled tank vessels with the appropriate 
classification of cargo (DL, LG, or both).

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25135, May 8, 1997]

[[Page 226]]



Sec. 13.507  Eligibility: Firefighting course.

    Each applicant for a ``Tankerman-Engineer'' endorsement shall 
present a certificate of successful completion from a course in 
shipboard firefighting, approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437 (XI), ``Training of 
Crews in Fire Fighting'', completed within five years of the date of 
application for the endorsement, unless he or she has previously 
submitted such a certificate for a license or tankerman endorsement.



Sec. 13.509  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-Engineer'' endorsement 
shall present a certificate of completion from a course in DL or LG, 
appropriate for tankships and the endorsement applied for, approved by 
the Commandant. The date of the certificate may not be more than 5 years 
earlier than the date of application.

[CGD 79-116, 62 FR 25135, May 8, 1997]



PART 14--SHIPMENT AND DISCHARGE OF MERCHANT MARINERS--Table of Contents




                           Subpart A--General

Sec.
14.101  Purpose of part.
14.103  Addresses of Coast Guard.
14.105  Disclosure and privacy.

                Subpart B--Shipment of Merchant Mariners

14.201  Voyages upon which shipping articles are required.
14.203  Voyages upon which shipping articles are not required.
14.205  Production of credentials by merchant mariner signing shipping 
          articles.
14.207  Content and form of shipping articles.
14.209  Preparation of shipping articles at beginning of voyage.
14.211  Posting of copy of shipping articles.
14.213  Report of shipment of merchant mariner.

                Subpart C--Discharge of Merchant Mariners

14.301  Paying off of merchant mariner during or after voyage upon which 
          shipping articles are required.
14.303  Discharge of merchant mariner in foreign port.
14.305  Entries in continuous discharge book.
14.307  Entries on certificate of discharge.
14.309  Entries in shipping articles at end of voyage.
14.311  Report of discharge of merchant mariner.
14.313  Storage of shipping articles and of certificates of discharge.

                Subpart D--Oceanographic Research Vessels

14.401  General.
14.403  Exemptions.
14.405  Procedures.
14.407  Reports.

    Authority: 5 U.S.C. 552; 46 U.S.C. Chapters 103 and 104.

    Source: CGD 94-004, 61 FR 56637, Nov. 4, 1996, unless otherwise 
noted.



                           Subpart A--General



Sec. 14.101  Purpose of part.

    This part prescribes rules for the shipment and discharge of 
merchant mariners aboard certain vessels of the United States.



Sec. 14.103  Addresses of Coast Guard.

    (a) By mail: National Maritime Center (NMC-4A), U.S. Coast Guard, 
Suite 510, 4200 Wilson Boulevard, Arlington, VA 22203-1804.
    (b) By facsimile: 703-235-1062.



Sec. 14.105  Disclosure and privacy.

    The Coast Guard makes information available to the public in 
accordance with 49 CFR part 7, including appendix B.



                Subpart B--Shipment of Merchant Mariners



Sec. 14.201  Voyages upon which shipping articles are required.

    (a) Before proceeding either upon a foreign, intercoastal, or 
coastwise voyage (including a voyage on the Great Lakes) listed in 
paragraph (b) of this section or with the engagement or replacement of a 
merchant mariner for such a voyage, each master or individual in charge 
of a vessel or seagoing barge of the United States shall execute 
shipping articles however prepared, manually or electronically. The 
master or individual in charge and

[[Page 227]]

each mariner engaged or replaced shall sign the articles.
    (b) Except as provided by Sec. 14.203, articles are required upon 
each voyage by a vessel of the United States--
    (1) Of 100 gross tons or more, on a foreign voyage, which is a 
voyage from a port in the United States to any foreign port other than a 
port in--
    (i) Canada;
    (ii) Mexico; or
    (iii) The West Indies.
    (2) Of 75 gross tons or more on a voyage between a port of the 
United States on the Atlantic Ocean and a port of the United States on 
the Pacific Coast; or
    (3) Of 50 gross tons or more on a voyage between a port in one State 
and a port in another State other than an adjoining State.



Sec. 14.203  Voyages upon which shipping articles are not required.

    Although they may be used for the voyage; shipping articles are not 
required for any voyage by--
    (a) A yacht;
    (b) A vessel engaged exclusively in fishing or whaling;
    (c) A vessel aboard which the merchant mariners are by custom or 
agreement entitled to participate in the profits or results of a cruise 
or voyage;
    (d) A vessel employed exclusively in trade on the navigable rivers 
of the United States; or
    (e) A ferry, or a tug used in ferrying, if the vessel is employed 
exclusively in trade on the Great Lakes, other lakes, bays, sounds, 
bayous, canals, or harbors.



Sec. 14.205  Production of credentials by merchant mariner signing shipping articles.

    On engagement for a voyage upon which shipping articles are 
required, each merchant mariner shall present to the master or 
individual in charge of the vessel every document, certificate, or 
license required by law for the service the mariner would perform.



Sec. 14.207  Content and form of shipping articles.

    (a)(1) The content and form of shipping articles for each vessel of 
the United States of 100 gross tons or more upon a foreign or 
intercoastal voyage must conform to the present shipping articles, form 
CG-705A, which meets the requirements of 46 U.S.C. 10302, 10303, 10304, 
and 10305. The articles must identify the nature of the voyage and 
specify at least the name, the number of the license or merchant 
mariner's document, the capacity of service, the time due on board to 
begin work, and the name and address of the next of kin of, and the 
wages due to each merchant mariner, either who was discharged or whose 
services were otherwise terminated during the month.
    (2) The content and form of articles for each such vessel upon a 
coastwise voyage (including a voyage on the Great Lakes) must also 
conform to the present shipping articles, form CG-705A, which meet the 
requirements of 46 U.S.C. 10502. The articles must specify at least the 
matter identified by paragraph (a)(1) of this section, except that they 
must not specify the wages due to the mariner. The wages section of the 
form shall be left blank for coastwise voyages.
    (b) Any shipping company that manually prepares the articles may, 
upon request, obtain Shipping Articles, Form CG-705A, from any Officer 
in Charge, Marine Inspection (OCMI), of the Coast Guard.
    (c) Any company that electronically prepares the articles may, upon 
request submitted to either address in Sec. 14.103, obtain a copy of 
software developed by the Coast Guard to produce articles in the proper 
format. Alternatively, a company may develop its own software or buy it 
off the shelf; but, in either of these cases, it must secure approval of 
the software from the National Maritime Center at either address in 
Sec. 14.103.



Sec. 14.209  Preparation of shipping articles at beginning of voyage.

    Each master or individual in charge of a vessel when shipping 
articles are required shall prepare an original and two copies of the 
articles. The original and one copy must be signed by the master or 
individual in charge and by each merchant mariner; but the second copy 
must not be signed by any of them.

[[Page 228]]



Sec. 14.211  Posting of copy of shipping articles.

    On commencement of a foreign, intercoastal, or coastwise voyage 
(including a voyage on the Great Lakes), each master or individual in 
charge of a vessel when shipping articles are required shall ensure that 
a legible copy of the articles, unsigned by the mariner, and without the 
next of kin information, is posted at a place accessible to the crew.



Sec. 14.213  Report of shipment of merchant mariner.

    (a) When a vessel of the United States sails upon a foreign, 
intercoastal, or coastwise voyage (excluding a voyage on the Great 
Lakes), each master or individual in charge shall, at the commencement 
of the voyage, send one copy of shipping articles, signed by the master 
and by each merchant mariner, to the owner, charterer, or managing 
operator. The master shall keep the original throughout the voyage and 
enter in it all charges made to the crew during the voyage.
    (b) (1) When a vessel of the United States sails exclusively on the 
Great Lakes, each master or individual in charge shall, at the 
commencement of the season, or once the vessel is put into service, 
whichever occurs earlier, send one copy of articles, signed by the 
master and by each mariner, to the owner, charterer, or managing 
operator.
    (2) The master or individual in charge shall every 60 days send 
supplementary particulars of engagement covering each mariner engaged 
during this period, signed by the master and by each mariner, to the 
owner, charterer, or managing operator.
    (3) The master of individual in charge shall, at the close of the 
season, or once the vessel is withdrawn from service, whichever occurs 
later, send articles, signed by the master and by each mariner, to the 
owner, charterer, or managing operator.
    (c) When a vessel of the United States sales exclusively on bays or 
sounds, each master or individual in charge shall, at least every 60 
days, send articles, signed by the master and by each mariner, to the 
owner, charter, or managing operator.
    (d) Any person who fails to comply with the requirements of this 
section is subject to a civil penalty of $5,000.



                Subpart C--Discharge of Merchant Mariners



Sec. 14.301  Paying off of merchant mariner during or after voyage upon which shipping articles are required.

    Each master or individual in charge of a vessel when shipping 
articles are required shall complete and sign, and each merchant mariner 
paid off during or after such a voyage shall sign the articles and 
otherwise comply with the requirements of this subpart. When signed by 
the master or individual in charge and by the mariner, the articles 
constitute a release from the duties to which they bound their parties.



Sec. 14.303  Discharge of merchant mariner in foreign port.

    Upon the discharge of any mariner in a foreign port, the master 
shall make the required entries on the ship's articles. Upon the request 
of the master or a mariner, the consular officer shall discharge the 
mariner in accordance with the requirements of 46 U.S.C. 10318.



Sec. 14.305  Entries in continuous discharge book.

    If the merchant mariner holds a continuous discharge book, the 
master or individual in charge of the vessel shall make the proper 
entries in it.



Sec. 14.307  Entries on certificate of discharge.

    (a) Each master or individual in charge of a vessel shall, for each 
merchant mariner being discharged from the vessel, prepare a certificate 
of discharge and two copies; whether by writing or typing them on the 
prescribed form with permanent ink or generating them from computer in 
the prescribed format; and shall sign them with permanent ink. The 
prescribed format for a certificate of discharge is the same as the 
present form CG-719A (Rev. 8-80). The left portion of the form

[[Page 229]]

has the mariner's printed name, signature, citizenship, and merchant 
mariner's document number; the certification statement, date and the 
master's signature. The right portion of the form contains the rate/rank 
the mariner is serving on the voyage, date and place of shipment, date 
and place of discharge, name of the vessel, name of the operating 
company, official number of the vessel, class of the vessel, and the 
nature of the voyage.
    (b) Each mariner being discharged shall sign the certificate and 
both copies with permanent ink.
    (c) When the mariner leaves the vessel, the master or individual in 
charge shall give the original certificate to the mariner.
    (d) Except as directed by Sec. 14.313, the shipping company shall 
keep both copies of the certificate.
    (e) The company shall provide copies of certificates of discharge to 
the mariner and the Coast Guard upon request.



Sec. 14.309  Entries in shipping articles at end of voyage.

    (a) At the end of each voyage upon which shipping articles are 
required, the master or individual in charge of the vessel shall--
    (1) Complete the articles, conforming the pertinent entries in them 
to those on the certificate of discharge and its copies;
    (2) Note in the articles the execution of each Mutual Release;
    (3) Attach to the articles each Mutual Release and a copy of each 
certificate; and
    (4) Pay to each merchant mariner all wages due.
    (b) When paid off, each mariner shall sign the articles.



Sec. 14.311  Report of discharge of merchant mariner.

    (a) At the end of each foreign, intercoastal, and coastwise voyage 
by a vessel of the United States, or of each voyage by such a vessel 
that sails exclusively on bays or sounds (or by such a vessel at the 
close of the season on the Great Lakes, or once the vessel is withdrawn 
from service there, whichever occurs later), the shipping company shall 
electronically transmit the data from the certificates of discharge via 
modem to an electronic address which the shipping company may request 
from the National Maritime Center.
    (b) If the data is submitted manually, the shipping companies shall 
provide the data for foreign and intercoastal voyages at the end of each 
voyage. For coastwise voyages or of each voyage by such a vessel that 
sails exclusively on bays or sounds (or by such a vessel at the close of 
the season of the Great Lakes, or once the vessel is withdrawn from 
service there, whichever occurs later), the shipping companies shall 
submit a copy of each certificate of discharge to the address in 
Sec. 14.103(a) at least once per calendar month.



Sec. 14.313  Storage of shipping articles and of certificates of discharge.

    (a) Each shipping company shall keep all original shipping articles 
and copies of all certificates of discharge for 3 years. After 3 years 
the shipping companies shall prepare the original shipping articles in 
alphabetical order by vessel name and send to the address in 
Sec. 14.103(a) for storage at the Federal Records Center at Suitland, 
Maryland. The company may dispose of the copies of certificates of 
discharge. The Coast Guard will dispose of copies of certificates 
submitted manually, once the data are entered into its sea-service 
database and are validated.
    (b) Each shipping company that goes out of business or merges with 
another company shall send all original articles to the address in 
Sec. 14.103(a) within 30 days of the transaction.
    (c) The shipping company must provide copies of shipping articles 
and certificates of discharge to the mariner and the Coast Guard upon 
request.



                Subpart D--Oceanographic Research Vessels



Sec. 14.401  General.

    Unless otherwise provided by Title 46 United States Code, by any act 
amending or supplementing that Title, or by this subpart, that Title as 
far as it governs the employment of merchant mariners remains, and any 
act amending or supplementing that title becomes, applicable to 
oceanographic research vessels.

[[Page 230]]



Sec. 14.403  Exemptions.

    (a) Certain requirements of Title 46, United States Code do not 
apply to the employment of merchant mariners on oceanographic research 
vessels. These requirements are those concerned with, among other 
things, the shipment and discharge of mariners, their pay and 
allotments, and the adequacy of their clothing. 46 U.S.C. 2113(2) allows 
exemptions of oceanographic research vessels from certain requirements 
of parts B, C, F, or G of subtitle II of 46 U.S.C., upon such terms as 
the Secretary of the Department of Transportation deems suitable. The 
exemptions available under this subpart are subject to the following 
terms:
    (1) No use of any exemption relieves the owner, charterer, managing 
operator, master, or individual in charge of the vessel of other 
statutory responsibilities for the protection of every mariner under his 
or her command.
    (2) If it is presented at a reasonable time and in a reasonable 
manner, the master or individual in charge shall receive, consider, and 
appropriately address the legitimate complaint of any mariner.
    (b) For any oceanographic research vessel sailing with any mariner 
employed by any firm, association, corporation, or educational or 
governmental body or agency, the Commandant may grant exemptions from--
    (1) 46 U.S.C. 10301, Application;
    (2) 46 U.S.C. 10302, Shipping articles (for foreign and intercoastal 
voyages);
    (3) 46 U.S.C. 10307, Posting of articles;
    (4) 46 U.S.C. 10308, Foreign engagements;
    (5) 46 U.S.C. 10311, Certificates of discharge;
    (6) 46 U.S.C. 10313 and 10504, Wages;
    (7) 46 U.S.C. 10314 and 10505, Advances;
    (8) 46 U.S.C. 10315, Allotments;
    (9) 46 U.S.C. 10316 and 10506, Trusts;
    (10) 46 U.S.C. 10321 and 10508, General penalties;
    (11) 46 U.S.C. 10502, Shipping articles (for coastwise voyages); and
    (12) 46 U.S.C. 10509, Penalty for failure to begin coastwise 
voyages.



Sec. 14.405  Procedures.

    (a) Upon written request for the owner, charterer, managing 
operator, master, or individual in charge of the vessel to the OCMI of 
the Coast Guard in whose zone the vessel is located, the Commandant may 
grant an exemption of any oceanographic research vessel designated by 46 
U.S.C. 2113(2) from any requirement of any section listed by 
Sec. 14.403(b).
    (b) The request must state--
    (1) Any requirement of any section listed in Sec. 14.403(b) from 
which the applicant wishes an exemption; and
    (2) What business practices regarding, among other things, the 
shipment and discharge of merchant mariners, their pay and allotments, 
and the adequacy of their clothing would justify the exemption.
    (c) The OCMI will forward the request, along with his or her 
recommendation, to the Commandant, who will determine whether to grant 
any exemption of any vessel from any requirement. The OCMI will issue a 
letter indicating any exemption granted. The master or individual in 
charge of the vessel shall keep the letter aboard the vessel.
    (d) If operating conditions change, the owner, charterer, managing 
operator, master, or individual in charge of the vessel shall so advise 
the OCMI. The OCMI will forward pertinent information on how the 
conditions have changed, along with his or her recommendation, to the 
Commandant, who will determine whether any exemption should remain 
granted.



Sec. 14.407  Reports.

    (a) The owner, charterer, managing operator, master, or individual 
in charge of each oceanographic research vessel of 100 gross tons or 
more shall maintain a record of the employment, discharge, or 
termination of service of every merchant mariner in the crew. At least 
every 6 months, the person maintaining this record shall transmit it to 
the Coast Guard, either manually, in the form of a copy of a certificate 
of discharge, or electronically.
    (b) The owner, charterer, managing operator, master, or individual 
in charge of the vessel shall keep original shipping articles and a copy 
of each certificate ready for review by the Coast Guard or the concerned 
mariner upon request. After January 3, 1997, the

[[Page 231]]

Coast Guard will no longer keep either original articles or copies of 
certificates; it will keep only electronic records of employment.
    (c) The master or individual in charge of the vessel shall ensure 
that every entry made in the articles agrees with the corresponding 
entry made in a continuous discharge book, on a certificate, or in any 
other proof of sea service furnished to the mariner.
    (d) Each oceanographic company shall keep all original articles and 
copies of all certificates for 3 years. After that each such company 
shall send all articles to the address in Sec. 14.103(a).
    (e) Each oceanographic company that goes out of business or merges 
with another company shall send all original articles to the address in 
Sec. 14.103(a) within 30 days of the transaction.



PART 15--MANNING REQUIREMENTS--Table of Contents




                  Subpart A--Purpose and Applicability

Sec.
15.101  Purpose of regulations.
15.102  Paperwork approval.
15.103  General.
15.105  Incorporation by reference.

                     Subpart B--Definition of Terms

15.301  Definitions of terms used in this part.

              Subpart C--Manning Requirements; All Vessels

15.401  Employment and service within restrictions of license or 
          document.
15.405  Familiarity with vessel characteristics.
15.410  Licensed individuals for assistance towing vessels.

           Subpart D--Manning Requirements; Inspected Vessels

15.501  Certificate of inspection.
15.505  Changes in the certificate of inspection.
15.510  Right of appeal.
15.515  Compliance with certificate of inspection.
15.520  Mobile offshore drilling units.
15.525  Reference to other parts.

          Subpart E--Manning Requirements; Uninspected Vessels

15.601  General.
15.605  Licensed operators for uninspected passenger vessels.
15.610  Licensed operators for uninspected towing vessels.

              Subpart F--Limitations and Qualifying Factors

15.701  Officers' Competency Certificates Convention, 1936.
15.705  Watches.
15.710  Working hours.
15.715  Automated vessels.
15.720  Use of non-U.S. licensed and/or documented personnel.
15.725  Sailing short.
15.730  Language requirements.

                         Subpart G--Computations

15.801  General.
15.805  Master.
15.810  Mates.
15.812  Pilots.
15.815  Radar observers.
15.820  Chief engineer.
15.825  Engineers.
15.830  Radio officers.
15.835  Staff officers.
15.840  Able seamen.
15.845  Lifeboatmen.
15.850  Lookouts.
15.855  Cabin watchmen and fire patrolmen.
15.860  Tankerman.

                         Subpart H--Equivalents

15.901  Inspected vessels of less than 100 gross tons.
15.905  Uninspected passenger vessels.
15.910  Uninspected towing vessels.
15.915  Engineer licenses.

                   Subpart I--Vessels in Foreign Trade

15.1001  General.
15.1010  California.
15.1020  Hawaii.
15.1030  New York and New Jersey.
15.1040  Massachusetts.

           Subpart J--Vessels Subject to Requirements of STCW

15.1101  General.
15.1103  Employment and service within restrictions of license, 
          document, and STCW endorsement.
15.1105  Familiarization and basic safety-training.
15.1107  Maintenance of merchant mariners' records by owner or operator.
15.1109  Watches.
15.1111  Work hours and rest periods.

    Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8104, 8105, 
8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903, 8904, 8905(b), 
9102; 49 CFR 1.45 and 1.46.

[[Page 232]]


    Source: CGD 81-059, 52 FR 38652, Oct. 16, 1987, unless otherwise 
noted.



                  Subpart A--Purpose and Applicability



Sec. 15.101  Purpose of regulations.

    The purpose of the regulations in this part is to set forth uniform 
minimum requirements for the manning of vessels. In general, they 
implement, interpret, or apply the specific statutory manning 
requirements in title 46, U.S.C., parts E & F, implement various 
international conventions which affect merchant marine personnel, and 
provide the means for establishing the complement necessary for safe 
operation of vessels.



Sec. 15.102  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget under the Paper Reduction Act of 1980 (Pub. L. 96-
511) for the reporting and recordkeeping requirements in this part.
    (b) The following control numbers have been assigned to the sections 
indicated:
    (1) OMB 2115-0624--46 CFR 15.1107, and 15.111.
    (2) [Reserved]

[CGD 95-62, 62 FR 34538, June 26, 1997]



Sec. 15.103  General.

    (a) The regulations in this part apply to all vessels which are 
subject to the manning requirements contained in the navigation and 
shipping laws of the United States, including uninspected vessels (46 
U.S.C. 7101-9308).
    (b) The navigation and shipping laws state that a vessel may not be 
operated unless certain manning requirements are met. In addition to 
establishing a minimum of licensed individuals and members of the crew 
to be carried on board certain vessels, they establish minimum 
qualifications concerning licenses, citizenship, and conditions of 
employment. It is the responsibility of the owner, charterer, managing 
operator, master, or person in charge or command of the vessel to ensure 
that appropriate personnel are carried to meet the requirements of the 
applicable navigation and shipping laws and regulations.
    (c) Inspected vessels are issued a certificate of inspection which 
indicates the minimum complement of licensed individuals and crew 
(including lifeboatmen) considered necessary for safe operation. The 
certificate of inspection complements the statutory requirements but 
does not supersede them.
    (d) The regulations in subpart J of this part apply to seagoing 
vessels subject to the International Convention on Standards of 
Training, Certification and watchkeeping for Seafarers as amended in 
1995 (STCW ).
    (e) Neither any person serving on any of the following vessels, nor 
any owner or operator of any of these vessels, need meet the 
requirements of subpart J, because the vessels are exempt from 
application of STCW:
    (1) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (3) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (4) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (5) Vessels operating exclusively on the Great Lakes.
    (f) Personnel serving on the following vessels, and the owners and 
operators of these vessels, are in compliance with subpart J and are not 
subject to further obligation for the purposes of STCW, on account of 
the vessels' special operating conditions as small vessels engaged in 
domestic voyages:
    (1) Small passenger vessels subject to subchapter T or K of title 
46, CFR.
    (2) Vessels of less than 200 GRT (other than passenger vessels 
subject to subchapter H of title 46 CFR).
    (g) Licensed personnel serving on vessels identified in paragraphs 
(e)(5), (f)(1), and (f)(2) of this section will be issued, without 
additional proof of qualification, an appropriate STCW certificate or 
endorsement when the Officer in Charge, Marine Inspection determines 
that such an endorsement is necessary to enable the vessel to engage in 
an international voyage. The STCW certificate or endorsement will

[[Page 233]]

be expressly limited to service on the vessel or the class of vessels 
and will not establish qualification for any other purpose.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 95-062, 62 FR 
34538, June 26, 1997]



Sec. 15.105  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in paragraph (b) of this section, the Coast Guard must publish 
notice of change in the Federal Register and must ensure that the 
material is available to the public. All approved material is available 
for inspection at the Office of the Federal Register, 800 North Capitol 
Street NW., Suite 700, Washington, DC, and at the U.S. Coast Guard, 
Operating and Environmental Standards Division, 2100 Second Street SW., 
Washington, DC, and is available from the sources indicated in paragraph 
(b) of this section.
    (b) The material approved for incorporation by reference in this 
part and the sections affected are as follows:

    International Maritime Organization (IMO)

    4 Albert Embankment, London, SE1 7SR, England

    STCW--The International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995, 
(STCW Convention), and Seafarer's Training, Certification and 
Watchkeeping Code (STCW Code)--15.103; 15.1101; 15.1103; 15.1105; 
15.1109.

[CGD 95-062, 62 FR 34539, June 26, 1997]



                     Subpart B--Definition of Terms



Sec. 15.301  Definitions of terms used in this part.

    (a) The following terms defined in this subpart apply only to the 
manning of vessels subject to the manning provisions in the navigation 
and shipping laws of the United States:
    Assistance Towing means towing a disabled vessel for consideration.
    Coastwise seagoing vessel means a vessel that is authorized by its 
Certificate of Inspection to proceed beyond the Boundary Line 
established in part 7 of this chapter.
    Deck crew (excluding licensed individuals) means, as used in 46 
U.S.C. 8702, only the following members of the deck department below the 
grade of licensed individual: Able seamen and ordinary seamen.
    Designated areas means those areas within pilotage waters for which 
first class pilot's licenses or endorsements are issued under part 10, 
subpart G, of this Chapter, by the Officer in Charge, Marine Inspection 
(OCMI). The areas for which first class pilot's licenses or endorsements 
are issued within a particular Marine Inspection Zone and the specific 
requirements to obtain them may be obtained from the OCMI concerned.
    Directly supervised means being in the direct line of sight of the 
person in charge or maintaining direct, two-way communications by a 
convenient, reliable means, such as a predetermined working frequency 
over a hand-held radio.
    Officer in Charge, Marine Inspection (OCMI) for the purposes of part 
15 means any person designated as such by the Commandant and who under 
the Coast Guard District Commander is in charge of an inspection zone.
    Pilotage waters means the navigable waters of the United States, 
including all inland waters and offshore waters to a distance of three 
nautical miles from the baseline from which the Territorial Sea is 
measured.
    Staff officer means a person who holds a certificate of registry in 
the staff department such as a purser, a medical doctor or professional 
nurse, which is issued by the Coast Guard.
    Self-Propelled has the same meaning as the terms propelled by 
machinery and mechanically propelled. This term would also include 
vessels fitted with both sails and mechanical propulsion.
    Tank barge means a non-self-propelled tank vessel.
    Tank vessel means a vessel that is constructed or adapted to carry, 
or that carries, oil or hazardous material in bulk as cargo or cargo 
residue.

[[Page 234]]

    Tankship means any tank vessel constructed or adapted primarily to 
carry oil or hazardous material in bulk as cargo or cargo residue and 
propelled by power or sail.
    Transfer means any movement of dangerous liquid or liquefied gas as 
cargo in bulk or as cargo residue to, from, or within a vessel by means 
of pumping, gravitation, or displacement. Section 13.127 of this chapter 
describes what qualifies as participation in a creditable transfer.
    (b) The following categories of licensed individuals are established 
in part 10 of this chapter. When used in this part, the following terms 
mean an individual holding a valid license and/or endorsement to serve 
in that capacity issued under part 10 of this chapter.
    (1) Master;
    (2) Mate;
    (3) Pilot;
    (4) Engineer;
    (5) Radio officer;
    (6) Operator of uninspected towing vessels;
    (7) Operator of uninspected passenger vessels;
    (8) Offshore installation manager (OIM);
    (9) Barge supervisor (BS);
    (10) Ballast control operator (BCO); and
    (11) GMDSS radio operator.
    (c) The following ratings are established in part 12 of this 
chapter. When used in this part, terms for the ratings identify persons 
holding valid merchant mariners' documents for service in the ratings 
issued under that part:
    (1) Able seaman.
    (2) Ordinary seaman.
    (3) Qualified member of the engine department.
    (4) Lifeboatman.
    (5) Wiper.
    (6) Steward's department (F.H.).
    (7) GMDSS At-sea Maintainer.
    (d) The following ratings are established in part 13 of this 
chapter. When used in this part, the terms for the ratings identify 
persons holding valid merchant mariners' documents for service in the 
ratings issued under that part:
    (1) Tankerman-PIC.
    (2) Tankerman-PIC (Barge).
    (3) Restricted Tankerman-PIC.
    (4) Restricted Tankerman-PIC (Barge).
    (5) Tankerman-Assistant.
    (6) Tankerman-Engineer.

[CGD 81-059 and CGD 81-059a, 52 FR 38623 and 38670, Oct. 16, 1987, as 
amended by CGD 87-017, 53 FR 18562, May 24, 1988; CGD 81-059, 54 FR 149, 
Jan. 4, 1989; CGD 81-059a, 55 FR 14805, Apr. 18, 1990; CGD 84-060, 59 FR 
4841, Feb. 2, 1994; CGD 79-116, 60 FR 17154, Apr. 4, 1995; CGD 84-060, 
60 FR 20652, Apr. 27, 1995; CGD 79-116, 62 FR 25135, May 8, 1997; CGD 
95-062, 62 FR 34539, June 26, 1997]



              Subpart C--Manning Requirements; All Vessels



Sec. 15.401  Employment and service within restrictions of license or document.

    A person may not employ or engage an individual, and an individual 
may not serve, in a position in which an individual is required by law 
or regulation to hold a license, certificate of registry, or merchant 
mariner's document, unless the individual holds a valid license, 
certificate of registry, or merchant mariner's document, as appropriate, 
authorizing service in the capacity in which the individual is engaged 
or employed and the individual serves within any restrictions placed on 
the license, certificate of registry, or merchant mariner's document.

[CGD 81-059, 54 FR 149, Jan. 4, 1989]



Sec. 15.405  Familiarity with vessel characteristics.

    Each licensed, registered, or certificated individual must become 
familiar with the relevant characteristics of the vessel on which 
engaged prior to assuming his or her duties. As appropriate, these 
include but are not limited to: general arrangement of the vessel; 
maneuvering characteristics; proper operation of the installed 
navigation equipment; firefighting and lifesaving equipment; stability 
and loading characteristics; emergency duties; and main propulsion and 
auxiliary machinery, including steering gear systems and controls.



Sec. 15.410  Licensed individuals for assistance towing vessels.

    Every assistance towing vessel must be under the direction and 
control of a

[[Page 235]]

licensed individual authorized to engage in assistance towing under the 
provisions of 46 CFR 10.482.

[CGD 87-017, 53 FR 18562, May 24, 1988]



           Subpart D--Manning Requirements; Inspected Vessels



Sec. 15.501  Certificate of inspection.

    (a) The certificate of inspection (COI) issued by an Officer in 
Charge, Marine Inspection (OCMI), to a vessel required to be inspected 
under 46 U.S.C. 3301 specifies the minimum complement of officers and 
crew necessary for the safe operation of the vessel.
    (b) The manning requirements for a particular vessel are determined 
by the OCMI after consideration of the applicable laws, the regulations 
in this part, and all other factors involved, such as: Emergency 
situations, size and type of vessel, installed equipment, proposed 
routes of operation including frequency of port calls, cargo carried, 
type of service in which employed, degree of automation, use of labor 
saving devices, and the organizational structure of the vessel.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended at CGD 81-059, 54 FR 
149, Jan. 4, 1989]



Sec. 15.505  Changes in the certificate of inspection.

    All requests for changes in manning as indicated on the certificate 
of inspection must be made to the OCMI who last issued the certificate 
of inspection, unless the request is made in conjunction with an 
inspection for certification, in which case the request should be 
addressed to the OCMI conducting the inspection.



Sec. 15.510  Right of appeal.

    Any person directly affected by a decision or action taken under 
this part, by or on behalf of the Coast Guard, may appeal therefrom in 
accordance with subpart 1.03 of this chapter.

[CGD 88-033, 54 FR 50380, Dec. 6, 1989]



Sec. 15.515  Compliance with certificate of inspection.

    (a) Except as provided by Sec. 15.725, no vessel may be operated 
unless it has in its service and on board the complement required by the 
certificate of inspection.
    (b) Any vessel subject to inspection under 46 U.S.C. 3301 must, 
while on a voyage, be under the direction and control of an individual 
who holds an appropriate license issued by the Coast Guard. For the 
purposes of this paragraph:
    (1) A voyage is the period of time necessary to transit from the 
port of departure to the final port of arrival.
    (2) A port does not include an Outer Continental Shelf (OCS) 
facility as defined in 33 CFR part 140.



Sec. 15.520  Mobile offshore drilling units.

    (a) The requirements in this section for mobile offshore drilling 
units (MODUs) supplement other requirements in this part.
    (b) The OCMI determines the minimum number of licensed individuals 
and crew (including lifeboatmen) required for the safe operation of 
inspected MODUs. In addition to other factors listed in this part, the 
specialized nature of the MODU is considered in determining the specific 
manning levels.
    (c) A license as offshore installation manager (OIM), barge 
supervisor (BS), or ballast control operator (BCO) authorizes service 
only on MODUs. A license or endorsement as OIM is restricted to the MODU 
type and mode of operation specified on the license.
    (d) A self-propelled MODU other than a drillship must be under the 
command of an individual who holds a license as master endorsed as OIM.
    (e) A drillship must be under the command of an individual who holds 
a license as master. When a drillship is on location, the individual in 
command must hold a license as master endorsed as OIM.
    (f) A non-self-propelled MODU must be under the command of an 
individual who holds a license or endorsement as OIM.
    (g) An individual serving as mate on a self-propelled surface unit 
other than a drillship must hold an appropriate license as mate and an 
endorsement as BS or BCO. An individual holding a license or endorsement 
as barge supervisor or ballast control operator may be substituted for a 
required mate

[[Page 236]]

when a self-propelled surface unit other than a drillship is on location 
or under tow, under certain circumstances as determined by the cognizant 
OCMI.
    (h) An individual holding a license or endorsement as barge 
supervisor is required on a non-self-propelled surface unit other than a 
drillship.
    (i) An individual holding a license or endorsement as barge 
supervisor may serve as ballast control operator.
    (j) The OCMI issuing the MODU's certificate of inspection may 
authorize the substitution of chief or assistant engineer (MODU) for 
chief or assistant engineer, respectively, on self-propelled or 
propulsion assisted surface units, except drillships. The OCMI may also 
authorize the substitution of assistant engineer (MODU) for assistant 
engineer on drillships.
    (k) Requirements in this part concerning radar observers do not 
apply to non-self-propelled MODUs.
    (l) A surface mobile offshore drilling unit underway or on location, 
when afloat and equipped with a ballast control room, must have that 
ballast control room manned by an individual holding a license or 
endorsement authorizing service as ballast control operator.

[CGD 81-059a, 55 FR 14805, Apr. 18, 1990]



Sec. 15.525  Reference to other parts.

    Parts 31 and 35 of this chapter contain additional manning 
requirements applicable to tank vessels.



          Subpart E--Manning Requirements; Uninspected Vessels



Sec. 15.601  General.

    The following sections of subparts F, G, and H of this part contain 
provisions concerning manning of uninspected vessels; Secs. 15.701, 
15.705, 15.710, 15.720, 15.730, 15.801, 15.805, 15.810, 15.820, 15.825, 
15.840, 15.850, 15.855, 15.905, 15.910, and 15.915.



Sec. 15.605  Licensed operators for uninspected passenger vessels.

    Each self-propelled, uninspected vessel carrying not more than six 
passengers, as defined by 46 U.S.C. 2101(21)(D), must be under the 
direction and control of an individual licensed by the Coast Guard.



Sec. 15.610  Licensed operators for uninspected towing vessels.

    Every uninspected towing vessel which is at least 26 feet in length 
measured from end to end over the deck (excluding sheer) must be under 
the direction and control of an individual licensed by the Coast Guard. 
This does not apply to a vessel of less than 200 gross tons engaged in 
the offshore mineral and oil industry if the vessel has offshore mineral 
and oil industry sites or equipment as its ultimate destination or place 
of departure.



              Subpart F--Limitations and Qualifying Factors



Sec. 15.701  Officers Competency Certificates Convention, 1936.

    (a) This section implements the Officers Competency Certificates 
Convention, 1936, and applies to each vessel documented under the laws 
of the United States navigating seaward of the Boundary Lines in part 7 
of this chapter, except:
    (1) A public vessel;
    (2) A wooden vessel of primitive build, such as a dhow or junk;
    (3) A barge; and,
    (4) A vessel of less than 200 gross tons.
    (b) The master, mates and engineers on any vessel to which this 
section applies must hold a license to serve in that capacity issued by 
the Coast Guard under part 10 of this chapter.
    (c) A vessel to which this section applies, or a foreign flag vessel 
to which the Convention applies, may be detained by a designated 
official until that official is satisfied that the vessel is in 
compliance with the Convention. Designated official includes Coast Guard 
officers, Coast Guard petty officers and officers or employees of the 
Customs Service.
    (d) Whenever a vessel is detained, the owner, charterer, managing 
operator, agent, master, or individual in charge may appeal the 
detention within five days under the provisions of Sec. 2.01-70 of this 
chapter.

[[Page 237]]



Sec. 15.705  Watches.

    (a) Title 46 U.S.C. 8104 is the law applicable to the establishment 
of watches aboard certain U.S. vessels. The establishment of adequate 
watches is the responsibility of the vessel's master. The Coast Guard 
interprets the term watch to be the direct performance of vessel 
operations, whether deck or engine, where such operations would 
routinely be controlled and performed in a scheduled and fixed rotation. 
The performance of maintenance or work necessary to the vessel's safe 
operation on a daily basis does not in itself constitute the 
establishment of a watch. The minimal safe manning levels specified in a 
vessel's certificate of inspection takes into consideration routine 
maintenance requirements and ability of the crew to perform all 
operational evolutions, including emergencies, as well as those 
functions which may be assigned to persons in watches.
    (b) Subject to exceptions, 46 U.S.C. 8104 requires that when a 
master of a seagoing vessel of more than 100 gross tons establishes 
watches for the licensed individuals, sailors, coal passers, firemen, 
oilers and watertenders, the personnel shall be divided, when at sea, 
into at least three watches and shall be kept on duty successively to 
perform ordinary work incident to the operation and management of the 
vessel. The Coast Guard interprets sailors to mean those members of the 
deck department other than licensed officers, whose duties involve the 
mechanics of conducting the ship on its voyage, such as helmsman 
(wheelsman), lookout, etc., and which are necessary to the maintenance 
of a continuous watch. Sailors is not interpreted to include able seamen 
and ordinary seamen not performing these duties.
    (c) Subject to exceptions, 46 U.S.C. 8104(g) permits the licensed 
individuals and crew members (except the coal passers, firemen, oilers, 
and watertenders) to be divided into two watches when at sea and engaged 
on a voyage of less than 600 miles on the following categories of 
vessels:
    (1) Towing vessel;
    (2) Offshore supply vessel; or,
    (3) Barge.
    (d) Subject to exceptions, 46 U.S.C. 8104(h) permits a licensed 
individual operating an uninspected towing vessel that is at least 26 
feet in length measured from end to end over the deck (excluding sheer) 
to work not more than 12 hours in a consecutive 24 hour period except in 
an emergency. The Coast Guard interprets this, in conjunction with other 
provisions of the law, to permit licensed individuals serving as 
operators of uninspected towing vessels that are not subject to the 
provisions of the Officers' Competency Certificates Convention, 1936, to 
be divided into two watches regardless of the length of the voyage.
    (e) Fish processing vessels are subject to various provisions of 46 
U.S.C. 8104 concerning watches.
    (1) For fish processing vessels that entered into service before 
January 1, 1988, the following watch requirements apply to the licensed 
officers and deck crew:
    (i) If over 5000 gross tons--three watches.
    (ii) If more than 1600 gross tons and not more than 5000 gross 
tons--two watches.
    (iii) If not more than 1600 gross tons--no watch division specified.
    (2) For fish Processing vessels which enter into service after 
December 31, 1987, the following watch requirements apply to the 
licensed officers and deck crew:
    (i) If over 5000 gross tons--three watches.
    (ii) If not more than 5000 gross tons and having more than 16 
individuals on board primarily employed in the preparation of fish or 
fish products--two watches.
    (iii) If not more than 5000 gross tons and having not more than 16 
individuals on board primarily employed in the preparation of fish or 
fish products--no watch division specified.



Sec. 15.710  Working hours.

    In addition to prescribing watch requirements, 46 U.S.C. 8104 sets 
limitations on the working hours of licensed individuals and crew 
members, prescribes certain rest periods. and prohibits unnecessary work 
on Sundays and certain holidays when the vessel is in a safe harbor. It 
is the responsibilty of the master or person in charge to ensure that 
these limitations are met.

[[Page 238]]

However, under 46 U.S.C. 8104(f), the master or other licensed 
individual can require any part of the crew to work when, in his or her 
judgment, they are needed for:
    (a) Maneuvering, shifting berth, mooring, unmooring;
    (b) Performing work necessary for the safety of the vessel, or the 
vessel's passengers, crew, or cargo;
    (c) Saving of life on board another vessel in jeopardy; or,
    (d) Performing fire, lifeboat, or other drills in port or at sea.



Sec. 15.715  Automated vessels.

    (a) Coast Guard acceptance of automated systems to replace specific 
personnel or to reduce overall crew requirements is predicated upon the 
capabilities of the system, the system's demonstrated and continuing 
reliability, and a planned maintenance program that ensures continued 
safe operation of the vessel.
    (b) The OCMI considers the capabilities of an automated system in 
establishing initial manning levels; however, until the system is proven 
reliable, a manning level adequate to operate in a continuously attended 
mode will be specified on a vessel's COI. It remains the responsibility 
of the vessel's master to determine when a continuous watch is 
necessary.



Sec. 15.720  Use of non-U.S. licensed and/or documented personnel.

    (a) United States vessels which need to replace one or more persons 
while on a foreign voyage and outside the jurisdiction of the United 
States, in order to meet manning requirements, may utilize non-U.S. 
licensed and documented personnel, except for the positions of master 
and radio officer, until the vessel returns to a port at which in the 
most expeditious manner replacements who are citizens of the United 
States can be obtained.
    (b) The citizenship requirements of 46 U.S.C. 8103 (a) and (b) are 
waived, except for the requirement that the master must be a U.S. 
citizen, with respect to the following vessels:
    (1) A U.S.-documented offshore supply vessel (OSV) (as that term is 
defined in 46 U.S.C. 2101(19)) that is operating from a foreign port; 
and
    (2) A U.S.-documented mobile offshore drilling unit (MODU) (as that 
term is defined in 46 U.S.C. 2101(15a)) that is operating beyond the 
water above the U.S. Outer Continental Shelf.
    (c) The waiver provided in paragraph (b) of this section does not 
apply to any vessel operating in water above the U.S. Outer Continental 
Shelf (as that term is defined in 43 U.S.C. 1331(a)).
    (d) The master shall assure that any replacements of crewmembers by 
non-U.S. citizens made in accordance with this section will be with an 
individual who holds a license or document which is equivalent in 
experience, training, and other qualifications to the U.S. license or 
document required for the position and that the person possesses or will 
possess the training required to communicate to the extent required by 
Sec. 15.730.

[CGD 89-061, 55 FR 1212, Jan. 12, 1990]



Sec. 15.725  Sailing short.

    Whenever a vessel is deprived of the service of a member of its 
complement, and the master or person in charge is unable to find 
appropriate licensed or documented personnel to man the vessel, the 
master or person in charge may proceed on the voyage, having determined 
the vessel is sufficiently manned for the voyage. A report of sailing 
short must be filed in writing with the Officer in Charge, Marine 
Inspection (OCMI) having cognizance for inspection in the area in which 
the vessel is operating, or the OCMI within whose jurisdiction the 
voyage is completed. The report must explain the cause of each 
deficiency and be submitted within twelve hours after arrival at the 
next port. The actions of the master or person in charge in such 
instances are subject to review and it must be shown the vacancy was not 
due to the consent, fault or collusion of the master or other 
individuals specified in 46 U.S.C. 8101(e). A civil penalty may be 
assessed against the master or person in charge for failure to submit 
the report.



Sec. 15.730  Language requirements.

    (a) The provisions of 46 U.S.C. 8702 relating to language apply 
generally to vessels of at least 100 gross tons except:

[[Page 239]]

    (1) Vessels operating on rivers and lakes (except the Great Lakes);
    (2) A manned barge (except a seagoing barge or a barge to which 
chapter 37 of 46 U.S.C. applies);
    (3) A fishing vessel, fish tender vessel, whaling vessel, or yacht;
    (4) A sailing school vessel with respect to sailing school 
instructors and sailing school students;
    (5) An oceanographic research vessel with respect to scientific 
personnel;
    (6) A fish processing vessel which entered into service before 
January 1, 1988, and is not more than 1600 gross tons or which enters 
into service after December 31, 1987, and has not more than 16 
individuals on board primarily employed in the preparation of fish or 
fish products; and,
    (7) All fish processing vessels with respect to those personnel 
primarily employed in the preparation of fish or fish products or in a 
support position not related to navigation.
    (b) 46 U.S.C. 8702(b) requires that on board vessels departing U.S. 
ports 75 percent of the crew in each department on board is able to 
understand any order spoken by the officers.
    (c) The words able to understand any order spoken by the officers 
relates to any order to a member of the crew when directing the 
performance of that person's duties and orders relating to emergency 
situations such as used for response to a fire or in using lifesaving 
equipment. It is not expected that a member of the deck department 
understand terminology normally used only in the engineroom or vice 
versa.
    (d) Whenever information is presented to the Coast Guard that a 
vessel fails to comply with the specified language requirements the 
Coast Guard investigates the allegation to determine its validity. In 
determining if an allegation is factual, the Coast Guard may require a 
demonstration by the licensed individuals and crew that appropriate 
orders are understood. The demonstration will require that orders be 
spoken to the individual members of the crew by the licensed individuals 
in the language ordinarily and customarily used by the licensed 
individuals. The orders must be spoken directly by the licensed 
individual to the crew member and not through an interpreter. Signs, 
gestures, or signals may not be used in the test. The Coast Guard 
representative will specify the orders to be given and will include not 
only daily routine but orders involving emergencies, either of a 
departmental or of a general nature. This test will be conducted, if 
possible, at a time reasonably in advance of the vessel's departure, to 
avoid delays.



                         Subpart G--Computations



Sec. 15.801  General.

    The OCMI will determine the specific manning levels for vessels 
required to have certificates of inspection by part B of subtitle II of 
title 46 U.S.C. The masters or individuals in command of all vessels, 
whether required to be inspected under 46 U.S.C. 3301 or not, are 
responsible for properly manning vessels in accordance with the 
applicable laws, regulations, and international conventions.

[CGD 81-059, 54 FR 149, Jan. 4, 1989]



Sec. 15.805  Master.

    (a) There must be an individual holding an appropriate license as 
master in command of each of the following vessels:
    (1) Every self-propelled, seagoing documented vessel of 200 gross 
tons and over.
    (2) Every self-propelled inspected vessel.
    (3) Every inspected passenger vessel.
    (4) Every inspected small passenger vessel.
    (b) Every vessel documented under the laws of the United States must 
be under the command of a U.S. citizen.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
149, Jan. 4, 1989]



Sec. 15.810  Mates.

    (a) The OCMI determines the minimum number of licensed mates 
required for the safe operation of inspected vessels.
    (b) The minimum number of licensed mates required to be carried on 
every inspected, self-propelled, seagoing and Great Lakes vessel, and 
every inspected, seagoing, passenger vessel

[[Page 240]]

must not be less than the following, except when reductions are 
authorized under paragraph (e) of this section:
    (1) Vessels of 1000 gross tons or more (except MODUs)--three 
licensed mates (except when on a voyage of less than 400 miles from port 
of departure to port of final destination--two licensed mates).
    (2) MODUs of 1000 gross tons or more:
    (i) Three licensed mates when on a voyage of more than 72 hours.
    (ii) Two licensed mates when on a voyage of more than 16 but not 
more than 72 hours.
    (iii) One licensed mate when on a voyage of not more than 16 hours.
    (3) Vessels of 100 or more gross tons but less than 1000 gross 
tons--two licensed mates (except vessels of at least 100 but less than 
200 gross tons on voyages which do not exceed 24 hours in duration--one 
licensed mate).
    (4) All offshore supply vessels of 100 gross tons or more--two 
licensed mates (except when on a voyage of less than 600 miles-one 
licensed mate). A voyage includes the accrued distance from port of 
departure to port of arrival and does not include stops at offshore 
points.
    (5) All vessels of less than 100 gross tons--one licensed mate 
(except vessels on voyages not exceeding 12 hours in duration may, if 
the OCMI determines it to be safe, be operated without licensed mates).
    (c) An individual in charge of the navigation or maneuvering of a 
self-propelled, uninspected, documented, seagoing vessel of 200 gross 
tons or over must hold an appropriate license authorizing service as 
mate.
    (d) The OCMI may increase the minimum number of mates indicated in 
paragraph (b) of this section where he or she determines that the 
vessel's characteristics, route, or other operating conditions create 
special circumstances warranting an increase.
    (e) The Commandant will consider reductions to the number of mates 
required by this section when special circumstances allowing a vessel to 
be safely operated can be demonstrated.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
149, Jan. 4, 1989; CGD 81-059a, 55 FR 14805, Apr. 18, 1990]



Sec. 15.812  Pilots

    (a) Except as specified in paragraph (f) of this section, the 
following vessels, not sailing on register, when underway on the 
navigable waters of the United States, must be under the direction and 
control of an individual qualified to serve as pilot under paragraph (b) 
or (c) of this section as appropriate:
    (1) Coastwise seagoing vessels propelled by machinery and subject to 
inspection under 46 U.S.C. Chapter 33, and coastwise seagoing tank 
barges subject to inspection under 46 U.S.C. Chapter 37;
    (2) Vessels that are not authorized by their Certificate of 
Inspection to proceed beyond the Boundary Line established in part 7 of 
this Chapter which are in excess of 1,600 gross tons, propelled by 
machinery, and subject to inspection under 46 U.S.C. chapter 33; and
    (3) Vessels operating on the Great Lakes that are propelled by 
machinery and subject to inspection under 46 U.S.C. chapter 33, or are 
tank barges subject to inspection under 46 U.S.C. chapter 37.
    (b) The following individuals may serve as a pilot for a vessel 
subject to paragraph (a) of this section, when underway on the navigable 
waters of the United States that are designated areas.
    (1) An individual holding a valid first class pilot's license issued 
by the Coast Guard, operating within the restrictions of his or her 
license, may serve as pilot on any vessel to which this section applies.
    (2) An individual holding a valid license issued by the Coast Guard 
as master or mate, employed aboard a vessel within the restrictions of 
his or her license, may serve as pilot on a vessel of not more than 
1,600 gross tons propelled by machinery, described in paragraphs (a)(1) 
and (a)(3) of this section, provided he or she:
    (i) Is at least 21 years old;
    (ii) Complies with the currency of knowledge provisions of 
Sec. 10.713 of this chapter; and
    (iii) Has completed a minimum of four round trips over the route to 
be traversed while in the wheelhouse as watchstander or observer. At 
least one of the round trips must be made during

[[Page 241]]

the hours of darkness if the route is to be traversed during darkness.
    (3) An individual holding a valid license issued by the Coast Guard 
as master, mate, or operator employed aboard a vessel within the 
restrictions of his or her license, may serve as pilot on a tank barge 
or tank barges totalling not more than 10,000 gross tons, described in 
paragraphs (a)(1) and (a)(3) of this section, provided he or she:
    (i) Is at least 21 years old;
    (ii) Complies with the currency of knowledge provisions of 
Sec. 10.713 of this chapter;
    (iii) Has a current physical examination in accordance with the 
provisions of Sec. 10.709 of this chapter;
    (iv) Has at least six months service in the deck department on 
towing vessels engaged in towing operations; and
    (v) Has completed a minimum of twelve round trips over the route to 
be traversed, as an observer or under instruction in the wheelhouse. At 
least three of the round trips must be made during the hours of darkness 
if the route is to be traversed during darkness.
    (c) An individual holding a valid license issued by the Coast Guard 
as master, mate, or operator, employed aboard a vessel within the 
restrictions of his or her license, may serve as a pilot for a vessel 
subject to paragraph (a)(1) and (a)(2) of this section, when underway on 
the navigable waters of the United States that are not designated as 
first class pilotage areas, provided he or she:
    (1) Is at least 21 years old;
    (2) Complies with the currency of knowledge provisions of 
Sec. 10.713 of this chapter; and
    (3) Has a current physical examination in accordance with the 
provisions of Sec. 10.709 of this chapter.
    (d) In any instance when the qualifications of a person satisfying 
the requirements for pilotage through the provisions of this Subpart are 
questioned by the Coast Guard, the individual shall, within a reasonable 
time, provide the Coast Guard with documentation proving compliance with 
the applicable portion(s) of paragraphs (b) and (c) of this section.
    (e) Federal pilotage requirements contained in paragraphs (a) 
through (d) of this section are summarized in two quick reference 
tables.
    (1) Table 15.812(e)(1) provides a guide to the pilotage requirements 
for inspected, self-propelled vessels.

     Table 15.812(e)(1).--Quick Reference Table for Federal Pilotage
 Requirements for U.S. Inspected Self-Propelled Vessels, Not Sailing on
                                Register
------------------------------------------------------------------------
                                                         Nondesignated
                                   Designated areas    areas of pilotage
                                  of pilotage waters    waters (between
                                   (routes for which    the three mile
                                      First Class     line and the start
                                   Pilot's licenses     of traditional
                                      are issued)      pilotage routes)
------------------------------------------------------------------------
Inspected self-propelled vessels  First Class Pilot.  Master or Mate may
 greater than 1,600 GT,                                serve as pilot if
 authorized by their Certificate                       the individual:
 of Inspection (COI) to proceed                       1. Is at least 21
 beyond the Boundary Line, or                          years old.
 operating on the Great Lakes.                        2. Has an annual
                                                       physical exam.
                                                      3. Maintains
                                                       current knowledge
                                                       of the waters to
                                                       be navigated.\1\
Inspected self-propelled vessels  First Class Pilot,  Master or Mate may
 not more than 1,600 GT,           or Master or Mate   serve as pilot if
 authorized by their Certificate   may serve as        the individual:
 of Inspection to proceed beyond   pilot if the       1. Is at least 21
 the Boundary Line, or operating   individual:         years old.
 on the Great Lakes.              1. Is at least 21   2. Maintains
                                   years old..         current knowledge
                                  2. Maintains         of the waters to
                                   current knowledge   be navigated.\1\
                                   of the waters to
                                   be navigated.\1\.
                                  3. Has 4 round
                                   trips over the
                                   route.\2\.
Inspected self-propelled vessels  First Class Pilot.  Master or Mate may
 greater than 1,600 GT, not                            serve as pilot if
 authorized by their COI to                            the individual:
 proceed beyond the Boundary                          1. Is at least 21
 Line (Inland route vessels);                          years old.
 other than vessels operating on                      2. Has an annual
 the Great Lakes.                                      physical exam.
                                                      3. Maintains
                                                       current knowledge
                                                       of the waters to
                                                       be navigated.\1\
Inspected self-propelled vessels  No pilotage         No pilotage
 not more than 1,600 GT, not       requirement.        requirement.
 authorized by their COI to
 proceed beyond the Boundary
 Line (Inland route vessels);
 other than vessels operating on
 the Great Lakes.
------------------------------------------------------------------------
\1\ One round trip within the past 60 months.
\2\ If the route is to be traversed during darkness, 1 of the 4 round
  trips must be made during darkness.


[[Page 242]]

    (2) Table 15.812(e)(2) provides a guide to the pilotage requirements 
for tank barges.

     Table 15.812(e)(2).--Quick Reference Table for Federal Pilotage
  Requirements for U.S. Inspected Tank Barges, not Sailing on Register
------------------------------------------------------------------------
                                                         Nondesignated
                                   Designated areas    areas of pilotage
                                  of pilotage waters    waters (between
                                   (routes for which    the three mile
                                      First Class     line and the start
                                   Pilot's licenses     of traditional
                                      are issued)      pilotage routes)
------------------------------------------------------------------------
Tank Barges greater than 10,000   First Class Pilot.  Master, Mate, or
 GT, authorized by their                               Operator may
 Certificate of Inspection to                          serve as pilot if
 proceed beyond the Boundary                           the individual:
 Line, or operating on the Great                      1. Is at least 21
 Lakes.                                                years old.
                                                      2. Has an annual
                                                       physical exam.\1\
                                                      3. Maintains
                                                       current knowledge
                                                       of the waters to
                                                       be navigated.\2\
                                                      4. Has at least 6
                                                       months' service
                                                       in the deck
                                                       department on
                                                       towing vessels
                                                       engaged in
                                                       towing.
Tank Barges 10,000 GT or less,    First Class Pilot,  Master, Mate, or
 authorized by their Certificate   or Master, Mate,    Operator may
 of Inspection to proceed beyond   or Operator may     serve as pilot if
 the Boundary Line, or operating   serve as pilot if   the individual:
 on the Great Lakes.               the individual:    1. Is at least 21
                                  1. Is at least 21    years old.
                                   years old.         2. Has an annual
                                  2. Has an annual     physical exam.\1\
                                   physical exam.\1\. 3. Maintains
                                  3. Maintains         current knowledge
                                   current knowledge   of the waters to
                                   of the waters to    be navigated.\2\
                                   be navigated.\2\.  4. Has at least 6
                                  4. Has at least 6    months' service
                                   months' service     in the deck
                                   in the deck         department on
                                   department on       towing vessels
                                   towing vessels      engaged in towing
                                   engaged in towing   operations.
                                   operations..
                                  5. Has 12 round
                                   trips over the
                                   route.\3\.
Tank Barges authorized by their   No pilotage         No pilotage
 Certificate of Inspection for     requirement.        requirement.
 Inland routes only (Lakes,
 Bays, and Sounds/Rivers); other
 than vessels operating on the
 Great Lakes.
------------------------------------------------------------------------
\1\ Annual physical exam does not apply to an individual who will serve
  as a pilot of a Tank Barge of less than 1,600 gross tons.
\2\ One round trip within the past 60 months.
\3\ If the route is to be traversed during darkness, 3 of the 12 round
  trips must be made during darkness.

    (f) In Prince William Sound, Alaska, coastwise seagoing vessels over 
1,600 gross tons and propelled by machinery and subject to inspection 
under 46 U.S.C. Chapter 37 must:
    (1) When operating from 60 deg.49' North latitude to the Port of 
Valdez be under the direction and control of a federally licensed pilot 
who:
    (i) Is operating under the Federal license;
    (ii) Holds a license issued by the State of Alaska; and
    (iii) Is not a member of the crew of the vessel.
    (2) Navigate with either two licensed deck officers on the bridge or 
a federally licensed pilot when operating South of 60 deg.49' North 
latitude and in the approaches through Hinchinbrook Entrance and in the 
area bounded:
    (i) On the West by a line one mile west of the western boundary of 
the Traffic Separation Scheme;
    (ii) On the East by 146 deg.00' West longitude;
    (iii) On the North by 60 deg.49' North latitude; and
    (iv) On the South by that area of Hinchinbrook Entrance within the 
territorial sea bounded by 60 deg. 07' North latitude and 146 deg.31.5' 
West longitude.

[CGD 84-060, 59 FR 4842, Feb. 2, 1994, as amended by CGD 84-060, 60 FR 
20652, 20653, Apr. 27, 1995]



Sec. 15.815  Radar observers.

    (a) Each person in the required complement of licensed deck 
individuals, including the master, on inspected vessels of 300 gross 
tons or over which are radar equipped, shall hold a valid endorsement as 
radar observer.
    (b) Each person who is employed or serves as pilot in accordance 
with Federal law on board vessels of 300 gross tons or over which are 
radar equipped, shall hold a valid endorsement as radar observer.
    (c) Each person having to be licensed under 46 U.S.C. 8904(a) for 
employment

[[Page 243]]

or service as master, mate, or operator on board an uninspected towing 
vessel of 8 meters (approximately 26 feet) or more in length shall, if 
the vessel is equipped with radar, hold--
    (1) A valid endorsement as radar observer; or,
    (2) If the person holds a valid license dated before June 1, 1995, a 
valid certificate from a Radar-Operation course.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 94-041, 60 FR 
8309, Feb. 14, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997]



Sec. 15.820  Chief engineer.

    (a) There must be an individual holding an appropriate license as 
chief engineer or a license authorizing service as chief engineer 
employed on board the following inspected mechanically propelled 
vessels:
    (1) Seagoing or Great Lakes vessels of 200 gross tons and over.
    (2) Offshore supply vessels of more than 200 gross tons.
    (3) Inland (other than Great Lakes) vessels of 300 gross tons and 
over, if the OCMI determines that a licensed individual responsible for 
the vessel's mechanical propulsion is necessary.
    (b) An individual engaged or employed to perform the duties of chief 
engineer on a mechanically propelled, uninspected, seagoing, documented 
vessel of 200 gross tons or over must hold an appropriate license 
authorizing service as a chief engineer.



Sec. 15.825  Engineers.

    (a) An individual in charge of an engineering watch on a 
mechanically propelled, seagoing, documented vessel of 200 gross tons or 
over, other than an individual described in Sec. 15.820, must hold an 
appropriate license authorizing service as an assistant engineer.
    (b) The Officer in Charge, Marine Inspection determines the minimum 
number of licensed engineers required for the safe operation of 
inspected vessels.



Sec. 15.830  Radio officers.

    Radio officers are required on certain merchant vessels of the 
United States. The determination of when a radio officer is required is 
based on the Federal Communications Commission requirements.



Sec. 15.835  Staff officers.

    Staff officers, when carried, must be registered as specified in 
part 10 of this chapter.



Sec. 15.840  Able seamen.

    (a) With certain exceptions, 46 U.S.C. 8702 applies to all vessels 
of at least 100 gross tons. At 1east 65 percent of the deck crew of 
these vessels, excluding licensed individuals, must be able seamen. For 
vessels permitted to maintain a two watch system, the percentage of able 
seamen may be reduced to 50 percent.
    (b) Able seamen are rated as: unlimited, limited, special, offshore 
supply vessel, sail, and fishing industry, under the provisions of part 
12 of this chapter. 46 U.S.C. 7312 specifies the categories of able 
seamen (i.e., unlimited, limited, etc.) necessary to meet the 
requirements of 46 U.S.C. 8702.
    (c) It is the responsibility of the master or person in charge to 
ensure that the able seamen in the service of the vessel meet the 
requirements of 46 U.S.C. 7312 and 8702.



Sec. 15.845  Lifeboatmen.

    The number of lifeboatmen required for a vessel are specified in the 
parts of the regulations dealing with the inspection of that specific 
type of vessel.



Sec. 15.850  Lookouts.

    The requirements for the maintenance of a proper lookout are 
specified in Rule 5 of the International Regulations for Preventing 
Collisions at Sea, 1972, and Rule 5 of the Inland Navigational Rules Act 
of 1980 (33 U.S.C. 2005). Lookout is a function to be performed by a 
member of a navigational watch.



Sec. 15.855  Cabin watchmen and fire patrolmen.

    (a) On vessels carrying passengers at night, the master or person in 
charge shall ensure that a suitable number of watchmen are in the 
vicinity of the cabins or staterooms and on each deck, to guard against 
and give alarm in case of fire or other danger.
    (b) On a fish processing vessel of more than 100 gross tons, there 
must be a suitable number of watchmen trained in firefighting on board 
when hot work

[[Page 244]]

is being done, to guard against and give alarm in case of a fire.



Sec. 15.860  Tankerman.

    (a) The Officer in Charge, Marine Inspection, enters on the 
Certificate of Inspection issued to each manned tank vessel subject to 
the regulations in this chapter the number of crewmembers required to 
hold valid merchant mariners' documents with the proper tankerman 
endorsement. Table 15.860(a)(1) provides the minimal requirements for 
tankermen aboard manned tank vessels; Table 15.860(a)(2) provides the 
tankerman endorsements required for personnel aboard tankships.
    (b) For each tankship of more than 5,000 gross tons certified for 
voyages beyond the Boundary Line:
    (1) The number of ``Tankerman-PICs'' or restricted ``Tankerman-
PICs'' carried must be not fewer than two.
    (2) The number of ``Tankerman-Assistants'' carried must be not fewer 
than three.
    (3) The number of ``Tankerman-Engineers'' carried must be not fewer 
than two.
    (c) For each tankship of 5,000 gross tons or less certified for 
voyages beyond the Boundary Line:
    (1) The number of ``Tankerman-PICs'' or restricted ``Tankerman-
PICs'' carried must be not fewer than two.
    (2) The number of ``Tankerman-Engineers'' carried must be not fewer 
than two, unless only one engineer is required, in which case the number 
of ``Tankerman-Engineers'' carried may be just one.
    (d) For each tankship not certified for voyages beyond the Boundary 
Line, if the total crew complement is:
    (1) One or two, the number of ``Tankerman-PICs'' or restricted 
``Tankerman-PICs'' carried may be just one.
    (2) More than two, the number of ``Tankerman-PICs'' or restricted 
``Tankerman-PICs'' carried must be not fewer than two.
    (e) For each tank barge manned under Sec. 31.15-5 of this chapter, 
if the total crew complement is:
    (1) One or two, the number of ``Tankerman-PICs'', restricted 
``Tankerman-PICs'', ``Tankerman-PICs (Barge)'', or restricted 
``Tankerman-PICs (Barge)'' carried may be just one.
    (2) More than two, the number of ``Tankerman-PICs'', restricted 
``Tankerman-PICs'', ``Tankerman-PICs (Barge)'', or restricted 
``Tankerman-PICs (Barge)'' carried must be not fewer than two.
    (f) The following personnel aboard each tankship certified for 
voyages beyond the Boundary Line shall hold valid merchant mariners' 
documents, endorsed as follows:
    (1) The master and chief mate shall each hold a ``Tankerman-PIC'' or 
restricted ``Tankerman-PIC'' endorsement.
    (2) The chief, first assistant, and cargo engineers shall each hold 
a ``Tankerman-Engineer'' or ``Tankerman (PIC)'' endorsement.
    (3) Each licensed person acting as the PIC of a transfer of liquid 
cargo in bulk shall hold a ``Tankerman-PIC'' or restricted ``Tankerman-
PIC'' endorsement.
    (4) Each licensed or unlicensed person, who is assigned by the PIC 
duties and responsibilities related to the cargo or cargo-handling 
equipment during a transfer of liquid cargo in bulk but is not directly 
supervised by the PIC, shall hold a ``Tankerman-Assistant'' endorsement.
    (g) The endorsements required by this section must be for the 
classification of the liquid cargo in bulk or of the cargo residue being 
carried.
    (h) Because STCW does not recognize restricted Tankerman-PIC 
endorsements, persons may act under these only aboard vessels conducting 
business inside the Boundary Line.

               Table 15.860(a)(1).--Minimal Requirements for Tankermen Aboard Manned Tank Vessels
----------------------------------------------------------------------------------------------------------------
                                                                                                      Tankerman
                                                               Tankerman    Tankerman    Tankerman      PIC or
                        Tank vessels                              PIC       assistant     engineer    tankerman
                                                                                                     PIC (barge)
----------------------------------------------------------------------------------------------------------------
Tankship Certified for Voyages Beyond Boundary Line:
    Over 5000 GT............................................            2            3            2  ...........

[[Page 245]]

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


               Table 15.860(a)(2).--Tankermen Endorsements Required for Personnel Aboard Tankships
                [Endorsement for the Classification of the Bulk Liquid Cargo or Residues Carried]
----------------------------------------------------------------------------------------------------------------
                                                                  Tankerman             Tankerman     Tankerman
      Tankship certified for voyages beyond boundary line            PIC                engineer      assistant
----------------------------------------------------------------------------------------------------------------
Master........................................................      
Chief Mate....................................................      
Chief Engineer................................................            or       
First Assistant Engineer......................................            or       
Cargo Engineer................................................            or       
Licensed Person Acting as PIC of Transfer of Liquid Cargo in        
 Bulk.........................................................
Licensed or Unlicensed Person Not Directly Supervised by PIC..  ............  ......  ............      
----------------------------------------------------------------------------------------------------------------

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



                         Subpart H--Equivalents



Sec. 15.901  Inspected vessels of less than 100 gross tons.

    (a) An individual holding a license as mate or pilot of inspected, 
self-propelled vessels of over 200 gross tons is authorized to serve as 
master on inspected vessels of less than 100 gross tons within any 
restrictions on the individual's license.
    (b) An individual holding a license authorizing service as master or 
mate of inspected, self-propelled vessels is authorized to serve as 
master or mate, respectively, of non-self-propelled vessels other than 
sail vessels, within any restrictions on the individual's license.
    (c) An individual holding a license authorizing service as master or 
mate of inspected, sail vessels is authorized to serve as master or 
mate, respectively, of other non-self-propelled vessels, within any 
restrictions on the individual's license.
    (d) An individual holding a license authorizing service as master or 
mate of inspected, auxiliary sail vessels, is authorized to serve as 
master or mate, respectively, of self-propelled and non-self-propelled 
vessels, within any restrictions on the individual's license.

[CGD 81-059, 54 FR 150, Jan. 4, 1989]



Sec. 15.905  Uninspected passenger vessels.

    (a) An individual holding a license as master or pilot of inspected, 
self-propelled vessels is authorized to serve as operator of uninspected 
passenger vessels within any restrictions, other than gross tonnage 
limitations, on the individual's license.
    (b) An individual holding a license as mate of inspected, self-
propelled vessels, other than Great Lakes, inland, or river vessels of 
not more than 200 gross tons, is authorized to serve as operator of 
uninspected passenger vessels, within any restrictions, other than gross 
tonnage limitations, on the individual's license.

[CGD 81-059, 54 FR 150, Jan. 4, 1989]



Sec. 15.910  Uninspected towing vessels.

    (a) An individual of 21 years or more of age holding a license as 
master of inspected, self-propelled vessels, or a license as mate or 
pilot of inspected, self-propelled vessels of more than 200 gross tons, 
is authorized to serve as operator of uninspected towing vessels

[[Page 246]]

within any restrictions on the indivdual's license. A licensed mate or 
pilot authorized by this section to serve as operator of uninspected 
towing vessels may only be in command of the vessel on domestic routes.
    (b) Whenever an uninspected towing vessel is under the direction and 
control of a person holding a license for service only as second-class 
operator of uninspected towing vessels, a person holding a license 
authorizing service as operator of uninspected towing vessels must be on 
board as a member of the crew.
    (c) An individual of 19 years or more of age holding a license which 
authorizes service as mate of vessels of not more than 200 gross tons 
authorizes the holder to serve as second-class operator of uninspected 
towing vessels within any restrictions on the individual's license.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
150, Jan. 4, 1989]



Sec. 15.915  Engineer licenses.

    The following licenses authorize the holder to serve as noted, 
within any restrictions on the license:
    (a) A designated duty engineer license authorizes service as chief 
or assistant engineer on vessels of not more than 500 gross tons in the 
following manner:
    (1) A designated duty engineer limited to vessels of not more than 
1000 horsepower or 4000 horsepower may serve only on near coastal, Great 
Lakes, or inland waters;
    (2) A designated duty engineer with no horsepower limitations may 
serve on any waters.
    (b) A chief engineer (limited-oceans) license authorizes service as 
chief or assistant engineer on vessels of any gross tons on inland 
waters and of not more than 1600 gross tons on ocean, near coastal, or 
Great Lakes waters.
    (c) A chief engineer (limited-near coastal) license authorizes 
service as chief or assistant engineer on vessels of any gross tons on 
inland waters and of not more than 1600 gross tons on near coastal or 
Great Lakes waters.
    (d) An assistant engineer (limited-oceans) license authorizes 
service on vessels of any gross tons on inland waters and of not more 
than 1600 gross tons on ocean, near coastal, or Great Lakes waters.

[CGD 81-059, 54 FR 150, Jan. 4, 1989]



                   Subpart I--Vessels in Foreign Trade

    Source: CGD 92-061, 60 FR 24796, May 10, 1995, unless otherwise 
noted.



Sec. 15.1001  General.

    Self-propelled vessels engaged in foreign commerce are required to 
use a pilot holding an appropriately endorsed Federal first class 
pilot's license issued by the Coast Guard when operating in the 
navigable waters of the United States specified in this subpart.



Sec. 15.1010  California.

    The following offshore marine oil terminals located within U.S. 
navigable waters of the State of California:
    (a) Carlsbad, CA. The waters including the San Diego Gas and 
Electric, Encina Power Plant, lying within an area bounded by a line 
beginning at latitude 33 deg.10'06"N, longitude 117 deg.21'42"W, thence 
southwesterly to latitude 33 deg.08'54"N, longitude 117 deg.24'36"W, 
thence southwesterly to latitude 33 deg.04'30"N, longitude 
117 deg.21'42"W, thence northeasterly to latitude 33 deg.05'36"N, 
longitude 117 deg.18'54"W, thence northwesterly along the shoreline to 
latitude 33 deg.10'06"N, longitude 117 deg.21'42"W.
    (b) Huntington Beach, CA. The waters including the Golden West 
Refining Company, Huntington Beach Marine Terminal, lying within an area 
bounded by a line beginning at latitude 33 deg.39'06"N, longitude 
118 deg.00'0"W, thence westerly to latitude 33 deg.39'18"N, longitude 
118 deg.05'12"W, thence southeasterly along a line drawn three nautical 
miles from the baseline to latitude 33 deg.35'30"N, longitude 
118 deg.00'00"W, thence easterly to latitude 33 deg.35'30"N, longitude 
117 deg.52'30"W, thence northwesterly along the shoreline to latitude 
33 deg.39'06"N, longitude 118 deg.00'00"W.
    (c) El Segundo, CA. The waters including the Chevron USA, El Segundo 
Marine Terminal, lying within an area bounded by a line beginning at 
latitude 33 deg.56'18"N, longitude 118 deg.26'18"W, thence

[[Page 247]]

westerly to latitude 33 deg.56'18"N, longitude 118 deg.30'48"W, thence 
southeasterly along a line drawn three nautical miles from the baseline 
to latitude 33 deg.51'48"N, longitude 118 deg.27'54"W, thence easterly 
to latitude 33 deg.51'48"N, longitude 118 deg.24'00"W, thence 
northwesterly along the shoreline to latitude 33 deg.56'18"N, longitude 
118 deg.26'18"W.
    (d) Oxnard, CA. The waters including the Southern California Edison 
Company, Mandalay Generating Station, lying within an area bounded by a 
line beginning at latitude 34 deg.14'12"N, longitude 119 deg.16'00"W, 
thence westerly to latitude 34 deg.14'12"N, longitude 119 deg.19'36"W, 
thence southeasterly along a line drawn three nautical miles from the 
baseline to latitude 34 deg.09'24"N, longitude 119 deg.17'20"W, thence 
easterly to latitude 34 deg.09'24"N, longitude 119 deg.13'24"W, thence 
northwesterly along the shoreline to latitude 34 deg.14'24"N, longitude 
119 deg.16'00"W.
    (e) Goleta, CA. The waters including the ARCO, Ellwood Marine 
Terminal, lying within an area bounded by a line beginning at latitude 
34 deg.26'12"N, longitude 119 deg.57'00"W, thence southerly to latitude 
34 deg.22'48"N, longitude 119 deg.57'00"W, thence southeasterly along a 
line drawn three nautical miles from the baseline to latitude 
34 deg.21'06"N, longitude 119 deg.50'30.5"W, thence northerly to 
latitude 34 deg.24'18"N, longitude 119 deg.50'30"W, thence northwesterly 
along the shoreline to latitude 34 deg.26'12"N, longitude 
119 deg.57'00"W.
    (f) Gaviota, CA. The waters including the Texaco Trading and 
Transportation, Gaviota Marine Terminal, lying within an area bounded by 
a line beginning at latitude 34 deg.28'06"N, longitude 120 deg.16'00"W, 
thence southerly to latitude 34 deg.25'06"N, longitude 120 deg.16'00"W, 
thence easterly along a line drawn three nautical miles from the 
baseline to latitude 34 deg.25'24"N, longitude 120 deg.08'30"W, thence 
northerly to latitude 34 deg.28'24"N, longitude 120 deg.08'30"W, thence 
westerly along the shoreline to latitude 34 deg.28'06"N, longitude 
120 deg.16'00"W.
    (g) Moss Landing, CA. The waters including the Pacific Gas and 
Electric Company Power Plant, lying within an area bounded by a line 
beginning at latitude 36 deg.49'00"N, longitude 121 deg.47'42"W, thence 
westerly to latitude 36 deg.49'00"N, longitude 121 deg.51'00"W, thence 
southerly to latitude 36 deg.47'00"N, longitude 121 deg.51'00"W thence 
easterly to latitude 36 deg.47'00"N, longitude 121 deg.47'54"W, thence 
northerly along the shoreline to latitude 36 deg.49'00"N, longitude 
121 deg.47'42"W.
    (h) Estero Bay, CA. The waters including various moorings, including 
the Pacific Gas and Electric Company mooring and the two Chevron Oil 
Company Terminals lying within an area bounded by a line beginning at 
latitude 36 deg.25'00"N, longitude 120 deg.52'30"W, thence westerly to 
latitude 36 deg.25'00"N, longitude 120 deg.56'00"W, thence southerly to 
latitude 36 deg.22'00"N, longitude 120 deg.56'00"W, thence easterly to 
latitude 36 deg.22'00"N, longitude 120 deg.52'12"W, thence northerly 
along the shoreline to latitude 36 deg.25'00"N, longitude 
120 deg.52'30"W.
    (i) San Luis Obispo Bay, CA. The waters including the Unocal 
Corporation Avila Terminal and the approaches thereto, lying in an area 
bounded by a line beginning at latitude 35 deg.09'42"N, longitude 
120 deg.46'00"W, thence southerly to latitude 35 deg.07'00"N, longitude 
120 deg.46'00"W, thence easterly to latitude 35 deg.07'00"N, longitude 
120 deg.43'00"W, thence northerly to latitude 35 deg.10'24"N, longitude 
120 deg.43'00"W, thence westerly along the shoreline to latitude 
35 deg.09'42"N, longitude 120 deg.46'00"W.

[CGD 92-061, 60 FR 24796, Jan. 4, 1995, as amended by USCG-1998-4442, 63 
FR 52189, Sept. 30, 1998]



Sec. 15.1020  Hawaii.

    The following offshore marine oil terminals located within U.S. 
navigable waters of the State of Hawaii: Barbers Point, Island of Oahu. 
The waters including the Hawaiian Independent Refinery, Inc. and the 
Chevron moorings lying within an area bounded by a line bearing 180 
degrees true from Barbers Point Light to latitude 21 deg.14.8'N, 
longitude 158 deg.06.4'W, thence easterly to latitude 21 deg.14.8'N, 
longitude 158 deg.03.3'W, thence northeasterly to latitude 
21 deg.15.6'N, longitude 158 deg.01.1'W, thence northwesterly to 
latitude 21 deg.18.5'N, longitude 158 deg.02.0'W, thence westerly along 
the shoreline to latitude 21 deg.17.8'N, longitude 158 deg.06.4'W.

[[Page 248]]



Sec. 15.1030  New York and New Jersey.

    The following U.S. navigable waters located within the States of New 
York and New Jersey when the vessel is making an intra-port transit, to 
include, but not limited to, a movement from a dock to a dock, from a 
dock to an anchorage, from an anchorage to a dock, or from an anchorage 
to an anchorage, within the following listed operating areas:
    (a) East River from Execution Rocks to New York Harbor, Upper Bay;
    (b) Hudson River from Yonkers, New York to New York Harbor, Upper 
Bay;
    (c) Raritan River from Grossman Dock/Arsenal to New York Harbor, 
Lower Bay;
    (d) Arthur Kill Channel;
    (e) Kill Van Kull Channel;
    (f) Newark Bay;
    (g) Passaic River from Point No Point to Newark Bay;
    (h) Hackensack River from the turning basin to Newark Bay; and
    (i) New York Harbor, Upper and Lower Bay.



Sec. 15.1040  Massachusetts.

    The following U.S. navigable waters located within the State of 
Massachusetts when the vessel is in transit, but not bound to or 
departing from a port within the following listed operating areas:
    (a) Cape Cod Bay south of latitude 41 deg.48'54"N;
    (b) The Cape Cod Canal; and
    (c) Buzzards Bay east of a line extending from the southernmost 
point of Wilbur Point (latitude 41 deg.34'55"N longitude 70 deg.51'15"W) 
to the easternmost point of Pasque Island (latitude 41 deg.26'55"N 
longitude 70 deg.50'30"W).

[CGD 92-061, 60 FR 24796, May 10, 1995, as amended by USCG-1998-4442, 63 
FR 52189, Sept. 10, 1998]



           Subpart J--Vessels Subject to Requirements of STCW

    Source: CGD 95-062, 62 FR 34539, June 26, 1997, unless otherwise 
noted.



Sec. 15.1101  General.

    (a) Definitions. For purposes of this subpart, the term--
    (1) STCW means the International Convention on Standards of 
Training, Certification and Watchkeeping for Seafarers, 1978, as amended 
in 1995;
    (2) STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code;
    (3) Seagoing vessel means a self-propelled vessel in commercial 
service that operates beyond the Boundary Line established by 46 CFR 
part 7. It does not include a vessel that navigates exclusively on 
inland waters;
    (4) Rest means a period of time during which the person concerned is 
off duty, is not performing work (which includes administrative tasks 
such as chart corrections or preparation of port-entry documents), and 
is allowed to sleep without being interrupted; and
    (5) Overriding operational conditions means circumstances in which 
essential shipboard work cannot be delayed for safety or environmental 
reasons, or could not reasonably have been anticipated at the 
commencement of the voyage.
    (b) Except as otherwise provided in Sec. 15.1103(d), the regulations 
in this subpart apply to seagoing vessels subject to STCW.
    (c) A vessel that has on board a valid Safety Management Certificate 
and a copy of a Document of Compliance issued for that vessel in 
accordance with 46 U.S.C. 3205 is presumed in compliance with the 
regulations in this subpart.



Sec. 15.1103  Employment and service within restrictions of license, document, and STCW endorsement.

    (a) On board a seagoing vessel operating beyond the Boundary Line, 
no person may employ or engage any person to serve, and no person may 
serve, in a position requiring a person to hold an STCW endorsement, 
including master, chief mate, chief engineer, second engineer, officer 
of the navigational or engineering watch, or radio operator, unless the 
person serving holds an appropriate, valid STCW certificate or 
endorsement issued in accordance with part 10 or 12 of this chapter.
    (b) On board a seagoing vessel of 500 GT or more, no person may 
employ or engage any person to serve, and no person may serve, as a 
rating forming part

[[Page 249]]

of the navigational watch, except for training, unless the person 
serving holds an appropriate, valid STCW certificate or endorsement 
issued in accordance with part 12 of this chapter.
    (c) After January 31, 2002, on board a seagoing vessel driven by 
main propulsion machinery of 750 kW [1,000 hp] propulsion power or more, 
no person may employ or engage any person to serve, and no person may 
serve, in a rating forming part of a watch in a manned engine-room, nor 
may any person be designated to perform duties in a periodically 
unmanned engine-room, except for training or for the performance of 
duties of an unskilled nature, unless the person serving holds an 
appropriate, valid STCW certificate or endorsement issued in accordance 
with part 12 of this chapter.
    (d) After January 31, 1997, no person may either be engaged or 
employed to serve on board a roll-on/roll-off (Ro-Ro) passenger ship to 
which a certificate signifying compliance with the International 
Convention for the Safety of Life at Sea, 1974, as amended (SOLAS), has 
been issued, or perform duties on board such a ship, unless he or she 
holds documentary evidence to show he or she meets the requirements of 
Sec. 10.1005 or Sec. 12.30-5 of this chapter, whichever is appropriate 
to the service or the duties.
    (e) After January 31, 2002, on board a seagoing vessel required to 
comply with provisions of the Global Maritime Distress and Safety System 
(GMDSS) in Chapter IV of SOLAS, no person may employ or engage any 
person to serve, and no person may serve, as the master, chief mate, or 
officer of the navigational watch, unless the person serving holds the 
appropriate certificate for operator of radio in GMDSS.
    (f) After January 31, 1999, on board a seagoing vessel required to 
comply with provisions of the GMDSS in Chapter IV of SOLAS, no person 
may employ or engage any person to serve, and no person may serve, as 
the person designated to perform at-sea maintenance of GMDSS 
installations, when such designation is used to meet the maintenance 
requirements of SOLAS Regulation IV/15, which allows for capability of 
at-sea electronic maintenance to ensure that radio equipment is 
available for radio communication, unless the person serving holds 
documentary evidence that he or she is competent to maintain GMDSS 
equipment.
    (g) After January 31, 2002, on board a seagoing vessel fitted with 
an Automatic Radar-Plotting Aid (ARPA), no person may employ or engage 
any person to serve, and no person may serve, as the master, chief mate, 
or officer of the navigational watch, unless the person serving has been 
trained in the use of ARPA in accordance with Sec. 10.205 or Sec. 10.209 
of this chapter.



Sec. 15.1105  Familiarization and basic safety-training.

    (a) After January 31, 1997, on board a seagoing vessel, no person 
may assign any person to perform shipboard duties, and no person may 
perform those duties, unless the person performing them has received--
    (1) Training in personal survival techniques as set out in the 
standard of competence under STCW Regulation VI/1; or
    (2) Sufficient familiarization training or instruction that he or 
she--
    (i) Can communicate with other persons on board about elementary 
safety matters and understand informational symbols, signs, and alarm 
signals concerning safety;
    (ii) Knows what to do if a person falls overboard; if fire or smoke 
is detected; or if the firm alarm or abandon-ship alarm sounds;
    (iii) Can identify stations for muster and embarkation, and 
emergency-escape routes;
    (iv) Can locate and don life-jackets;
    (v) Can raise the alarm and knows the use of portable fire 
extinguishers;
    (vi) Can take immediate action upon encountering an accident or 
other medical emergency before seeking further medical assistance on 
board; and
    (vii) Can close and open the fire doors, weather-tight doors, and 
watertight doors fitted in the vessel other than those for hull 
openings.
    (b) After January 31, 1997, on board a seagoing vessel, no person 
may assign a shipboard duty or responsibility to any person who is 
serving in a position that must be filled as part of the required crew 
complement, and no person may

[[Page 250]]

perform any such duty or responsibility, unless he or she is familiar 
with it and with all vessel's arrangements, installations, equipment, 
procedures, and characteristics relevant to his or her routine or 
emergency duties or responsibilities, in accordance with STCW Regulation 
I/14.
    (c) After January 31, 1997, on board a seagoing vessel, no person 
may assign a shipboard duty or responsibility to any person who is 
serving in a position that must be filled as part of the required crew 
complement or who is assigned a responsibility on the muster list, and 
no person may perform any such duty or responsibility, unless the person 
performing it can produce evidence of having--
    (1) Received appropriate approved basic safety training or 
instruction as set out in the standards of competence under STCW 
Regulation VI/1, with respect to personal survival techniques, fire 
prevention and fire-fighting, elementary first aid, and personal safety 
and social responsibilities; and
    (2) Achieved or, if training has been completed, maintained 
competence within the last 5 years, in accordance with STCW regulation 
VI/1.
    (d) Subject to training requirements that may apply for issue or 
renewal of a license or document under part 10 or 12 of this chapter, a 
person who is serving on a seagoing vessel immediately before February 
1, 1997, and has not received training or instruction in basic safety 
training, may continue to serve until February 1, 2002, without 
receiving such training or instruction, if he or she can produce 
evidence of having participated in well-organized drills and other 
structured exercises or in on-board safety-training programs during 
which his or her performance was evaluated and weaknesses were brought 
to his or her attention.
    (e) Fish-processing vessels in compliance with the provisions of 46 
CFR part 28 on instructions, drills, and safety orientation are deemed 
to be in compliance with the requirements of this section on 
familiarization and basic safety-training.



Sec. 15.1107  Maintenance of merchant mariners' records by owner or operator.

    Each owner or operator of a U.S.-documented seagoing vessel shall 
ensure that procedures are in place, in respect of each merchant mariner 
holding a license or merchant mariner's document and serving on any such 
vessel, to ensure that the following information is maintained 
throughout his or her service, and is readily accessible to those in 
management responsible for the safety of the vessel and for the 
prevention of marine pollution:
    (a) Medical fitness (such as results of a recent evaluation by a 
medical professional certifying that the mariner is physically able to 
perform the tasks and duties normally associated with a particular 
shipboard position or does not have an apparent medical condition that 
disqualifies him or her from the requirements of a particular shipboard 
position).
    (b) Experience and training relevant to assigned shipboard duties 
(i.e., record of training completed, and of relevant on-the-job 
experience acquired).
    (c) Competency in assigned shipboard duties (evidenced by copies of 
current licenses, documents, or endorsements that the mariner holds, as 
well as by a record of the most recent basic safety assessment and by 
instances where ship-specific familiarization has been achieved and 
maintained).



Sec. 15.1109  Watches.

    Each master of a vessel that operates beyond the Boundary Line shall 
ensure observance of the principles concerning watchkeeping set out in 
STCW Regulation VIII/2 and section A-VIII/2 of the STCW Code.



Sec. 15.1111  Work hours and rest periods.

    (a) After January 31, 1997, each person assigned duty as officer in 
charge of a navigational or engineering watch, or duty as a rating 
forming part of a navigational or engineering watch, on board any vessel 
that operates beyond the Boundary Line shall receive a minimum of 10 
hours of rest in any 24-hour period.

[[Page 251]]

    (b) The hours of rest required under paragraph (a) of this section 
may be divided into no more than two periods, of which one must be at 
least 6 hours in length.
    (c) The requirements of paragraphs (a) and (b) of this section need 
not be maintained in the case of an emergency or drill or in other 
overriding operational conditions.
    (d) The minimum period of 10 hours of rest required under paragraph 
(a) of this section may be reduced to not less than 6 consecutive hours 
as long as--
    (1) No reduction extends beyond 2 days; and
    (2) Not less than 70 hours of rest are provided each 7-day period.
    (e) The minimum period of rest required under paragraph (a) of this 
section may not be devoted to watchkeeping or other duties.
    (f) Watchkeeping personnel remain subject to the work-hour limits in 
46 U.S.C. 8104 and to the conditions when crew members may be required 
to work.
    (g) The Master shall post watch schedules where they are easily 
accessible. They must cover each affected member of the crew and must 
take into account the rest requirements of this section as well as port 
rotations and changes in the vessel's itinerary.



PART 16--CHEMICAL TESTING--Table of Contents




                           Subpart A--General

Sec.
16.101  Purpose of regulations.
16.105  Definitions of terms used in this part.

                  Subpart B--Required Chemical Testing

16.201  Application.
16.205  Implementation of chemical testing programs.
16.207  Conflict with foreign laws.
16.210  Pre-employment testing requirements.
16.220  Periodic testing requirements.
16.230  Random testing requirements.
16.240  Serious marine incident testing requirements.
16.250  Reasonable cause testing requirements.
16.260  Records.

      Subpart C--Standards for Chemical Testing for Dangerous Drugs

16.301  Procedures for Transportation Workplace Drug Testing Programs.
16.310  General.
16.320  Chain of custody.
16.330  Specimen handling and shipping.
16.340  Test laboratory requirements.
16.350  Specimen analyses.
16.360  Specimen analysis reports.
16.370  Medical Review Officer.
1