(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.

(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)— 10.103; 10.205; 10.304; 10.603; 10.901; 10.903; 10.1005.

Approved means approved by the Coast Guard in accordance with § 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 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 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 § 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 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 §§ 10.404 to 10.407 of subpart D of this part and §§ 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.

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

(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.

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.

(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 § 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 § 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.

(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:

(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.

(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.

(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.

(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.

(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 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 § 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 § 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 § 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 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 § 1.03 of this chapter apply.

(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 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 § 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.

(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 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.

(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, 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 § 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 § 10.205 (l), (m), (n), (o), and (p), § 10.304, and § 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.

Table 10.203 provides a guide to the requirements for various licenses and certificates of registry. Provisions in the reference section are controlling.

(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 § 10.112, submit the evaluation fee set out in § 10.109.

(b) Minimum age. The applicant shall present satisfactory proof of age as prescribed in § 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 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 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 § 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 § 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 §§ 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 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 § 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 § 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 § 10.201(i).

(l) Basic safety training or instruction. After January 31, 1997, except as provided in § 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 § 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 § 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 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 § 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.

(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 § 10.112, submit the evaluation fee set out in § 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 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 § 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 § 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 § 10.205(d).

(f) Firefighting certificate. Applicants for raise of grade of license who have not previously met the requirements in § 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 § 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 § 10.201(h).

(i) National Driver Register. Each applicant for a raise of grade of a license shall consent to an NDR check under § 10.201(i) if the license is reissued with a new expiration date.

(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 § 10.109. An approved application is valid for 12 months.

(2) The applicant may apply in person at any Regional Examination Center listed in § 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 § 10.480.

(3) Additional qualification requirements for renewal of a license as pilot are contained in § 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.

(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 § 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 § 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 §§ 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 § 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 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 § 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 § 10.201(h).

(j) Each applicant for renewal of a license or certificate of registry shall consent to an NDR check under § 10.201(i).

(k) Except as otherwise provided by § 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 § 10.205 and shall meet the requirements of Section A-VI/2, paragraph 1 to 4 of the STCW Code.

(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 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.

(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 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.

(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.

(a)(1) The examinations for all deck and engineer unlimited licenses are administered at periodic intervals. The examination fee set out in § 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 § 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.

(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 OCMI. A duplicate license or certificate may be issued by an OCMI listed in the note following § 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 § 10.109 is required.

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.

(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.

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.

(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.

(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.

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.

(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 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 § 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 § 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.

(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).

(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 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 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.

(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.

(a) When the training and assessment of competence required by this part are not subject to Coast Guard approval under § 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) 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.

(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.

(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 engineer license, other than an increase in horsepower limitation, who have not previously done so must meet the requirements of § 10.205(g) of this part.

(a) Engineer licenses of all grades and types may be subject to horsepower limitations. Other than as provided in § 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.

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.

The following diagram illustrates the engineering license structure including cross over points. The section numbers on the diagram refer to the specific requirements applicable.

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.

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.

(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 months of the service requirements under paragraph (a)(1) of this section.

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.

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.

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.

(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 § 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.

(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 § 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.

(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.

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.

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 § 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.

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 § 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 service and completion of any additional required examination.

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.

(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.

(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.

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.

(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

(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.

(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 § 15.812 of this subchapter. Therefore, first class pilot endorsements will not be issued with tonnage limitations of 1600 gross tons or less.

(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 § 10.304. Additionally, round trips made during this training may apply toward the route familiarization requirements of § 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 section for an endorsement as first class pilot.

(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.

(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.

(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 § 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.

(e) Upon request, a first class pilot shall provide the Coast Guard with a copy of his or her most recent physical examination.

(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 § 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.

(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.

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.

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.

(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 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 § 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 § 10.209. The expiration date of a certificate of registry issued without an expiration date shall be determined in accordance with § 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 § 16.220 of this subchapter. An applicant who fails a chemical test for dangerous drugs will not be issued a certificate of 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.

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 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.

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 § 10.209.

(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 § 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 §§ 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.

(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.

(a) The following licenses require examinations for issuance:

(1) Master ocean/near coastal any gross tons;1

(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:

(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).

(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 § 10.910, or, 10.950, of this part.

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.

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 10.920-1 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.