[Title 46 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2010 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          46


          Parts 1 to 40

          Revised as of October 1, 2010


          Shipping
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2010
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

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                            Table of Contents



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

  Title 46:
          Chapter I--Coast Guard, Department of Homeland 
          Security                                                   3
  Finding Aids:
      Table of CFR Titles and Chapters........................     487
      Alphabetical List of Agencies Appearing in the CFR......     507
      List of CFR Sections Affected...........................     517

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

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

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

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                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 2010), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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citations for the regulations are referred to by volume number and page 
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Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
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inserted following the text.

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in eleven separate 
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Sections Affected'' is published at the end of each CFR volume.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
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INCORPORATION BY REFERENCE

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established by statute and allows Federal agencies to meet the 
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This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
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    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
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this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
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the revision dates of the 50 CFR titles.

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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    October 1, 2010.







[[Page ix]]



                               THIS TITLE

    Title 46--Shipping is composed of nine volumes. The parts in these 
volumes are arranged in the following order: Parts 1-40, 41-69, 70-89, 
90-139, 140-155, 156-165, 166-199, 200-499, and 500 to end. The first 
seven volumes containing parts 1-199 comprise chapter I--Coast Guard, 
DHS. The eighth volume, containing parts 200-- 499, includes chapter 
II--Maritime Administration, DOT and chapter III--Coast Guard (Great 
Lakes Pilotage), DHS. The ninth volume, containing part 500 to end, 
includes chapter IV--Federal Maritime Commission. The contents of these 
volumes represent all current regulations codified under this title of 
the CFR as of October 1, 2010.

    For this volume, Bonnie Fritts was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Michael L. 
White, assisted by Ann Worley.

[[Page 1]]



                           TITLE 46--SHIPPING




                   (This book contains parts 1 to 40)

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

chapter i--Coast Guard, Department of Homeland Security.....           1

[[Page 3]]



         CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY




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


  Editorial Note: Nomenclature changes to chapter I appear at 69 FR 
18803, Apr. 9, 2004.

            SUBCHAPTER A--PROCEDURES APPLICABLE TO THE PUBLIC
Part                                                                Page
1               Organization, general course and methods 
                    governing marine safety functions.......           5
2               Vessel inspections..........................          14
3               Designation of oceanographic research 
                    vessels.................................          41
4               Marine casualties and investigations........          42
5               Marine investigation regulations--personnel 
                    action..................................          60
6               Waivers of navigation and vessel inspection 
                    laws and regulations....................          72
7               Boundary lines..............................          75
8               Vessel inspection alternatives..............          83
9               Extra compensation for overtime services....          95
            SUBCHAPTER B--MERCHANT MARINE OFFICERS AND SEAMEN
10              Merchant mariner credential.................          98
11              Requirements for officer endorsements.......         126
12              Requirements for rating endorsements........         191
13              Certification of tankermen..................         210
14              Shipment and discharge of merchant mariners.         225
15              Manning requirements........................         231
16              Chemical testing............................         253
                    SUBCHAPTER C--UNINSPECTED VESSELS
24              General provisions..........................         262
25              Requirements................................         273
26              Operations..................................         284
27              Towing vessels..............................         288

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28              Requirements for commercial fishing industry 
                    vessels.................................         294
                       SUBCHAPTER D--TANK VESSELS
30              General provisions..........................         341
31              Inspection and certification................         370
32              Special equipment, machinery, and hull 
                    requirements............................         387
34              Firefighting equipment......................         417
35              Operations..................................         436
36              Elevated temperature cargoes................         457
38              Liquefied flammable gases...................         459
39              Vapor control systems.......................         474

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            SUBCHAPTER A_PROCEDURES APPLICABLE TO THE PUBLIC





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



         Subpart 1.0_Organization and General Flow of Functions

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

                      Subpart 1.03_Rights of Appeal

1.03-10 Definition of terms used in this subpart.
1.03-15 General.
1.03-20 Appeals from decisions or actions of an OCMI.
1.03-25 Appeals from decisions or actions of a District Commander.
1.03-30 Appeals from decisions or actions of the Marine Safety Center.
1.03-35 Appeals from decisions or actions of a recognized classification 
          society acting on behalf of the Coast Guard.
1.03-40 Appeals from decisions or actions of the National Maritime 
          Center.
1.03-45 Appeals from decisions or actions involving documentation of 
          vessels.
1.03-50 Appeals from decisions or actions of the Director, Great Lakes 
          Pilotage.

    Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 46 U.S.C. 
Chapter 93; Pub. L. 107-296, 116 Stat. 2135; Department of Homeland 
Security Delegation No. 0170.1; Sec. 1.01-35 also issued under the 
authority of 44 U.S.C. 3507.

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



         Subpart 1.01_Organization and General Flow of Functions



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

    (a) The term Commandant means the Commandant of the Coast Guard.
    (b) The term District Commander means an officer of the Coast Guard 
designated as such by the Commandant to command all Coast Guard 
activities within a district.
    (c) The term Area Commander means an officer of the Coast Guard 
designated as such by the Commandant to command all Coast Guard 
activities within an Area.
    (d) The term Credential means any or all of the following:
    (1) Merchant mariner's document.
    (2) Merchant mariner's license.
    (3) STCW endorsement.
    (4) Certificate of registry.
    (5) Merchant mariner credential.
    (e) The term Merchant mariner credential or MMC means the credential 
issued by the Coast Guard under 46 CFR part 10. It combines the 
individual merchant mariner's document, license, and certificate of 
registry enumerated in 46 U.S.C. subtitle II part E as well as the STCW 
endorsement into a single credential that serves as the mariner's 
qualification document, certificate of identification, and certificate 
of service.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by USCG-2006-24520, 
71 FR 35818, June 22, 2006; USCG-2006-24371, 74 FR 11213, Mar. 16, 2009]



Sec. 1.01-10  Organization.

    (a) The Commandant is the head of the agency and exercises overall 
direction over the policy and administration of the Coast Guard.
    (b) To carry out the regulatory and enforcement aspects of marine 
safety, the staff officers designated in this paragraph are assigned to 
the Commandant. The chain of military command is directly from the 
Commandant to the District Commanders, except for marine safety 
regulatory and enforcement matters within the area of responsibility of 
Coast Guard Activities Europe. For Activities Europe, the chain of 
command is from the Commandant to the Atlantic Area Commander. The staff 
officers at Headquarters act only on the basis of the Commandant's 
authority and direction.
    (1) The Assistant Commandant for Marine Safety, Security, and 
Stewardship (CG-5), under the general direction

[[Page 6]]

of the Commandant, directs, supervises, and coordinates the activities 
of: The Commercial Regulations and Standards Directorate (CG-52), 
consisting of the Office of Design and Engineering Standards (CG-521), 
the Office of Operating and Environmental Standards (CG-522), and the 
Office of Standards Evaluation and Development (CG-523); the Response 
Policy Directorate (CG-53), consisting of the Office of Law Enforcement 
(CG-531), the Office of Counterterrorism and Defense Operations (CG-
532), the Office of Incident Management and Preparedness (CG-533), the 
Office of Search and Rescue (CG-534), and the Office of Contingency 
Exercises (CG-535); the Prevention Policy Directorate (CG-54), 
consisting of the Office of International and Domestic Port Security 
(CG-541), the Office of Auxiliary and Boating Safety (CG-542), the 
Office of Vessel Activities (CG-543), the Office of Port and Facility 
Activities (CG-544), the Office of Investigations and Casualty Analysis 
(CG-545); and the Marine Transportation and Systems Management 
Directorate (CG-55), consisting of the Office of Bridge Programs (CG-
551), the Office of Marine Transportation Systems (CG-552), and the 
Office of Navigation Systems (CG-553). The Deputy Commandant for 
Operations (CG-DCO), under the general direction of the Commandant, 
directs, supervises, and coordinates the activities of the Operations 
Resource Management Directorate (CG-DCO-R), consisting of the Office of 
Workforce Management (CG-DCO-R-1), the Office of Budget Development (CG-
DCO-R-2), the Office of Budget Execution (CG-DCO-R-3), and the Office of 
Information Resources (CG-DCO-R-6). The Port Safety and Security 
programs administered by the Chief, Office of Vessel Activities (CG-
543), and the Marine Environmental Response programs administered by the 
Chief, Office of Incident Management and Preparedness (CG-533), are 
guided by regulations contained in 33 CFR chapter I. The Assistant 
Commandant for Marine Safety, Security, and Stewardship (CG-5) exercises 
technical control over the Commanding Officer, National Maritime Center 
(NMC), and, through the District Commander, supervises the 
administration of the Marine Safety Division of District Offices and 
Officers in Charge, Marine Inspection.
    (i) The Director of Commercial Regulations and Standards (CG-52), 
under the general direction and supervision of the Assistant Commandant 
for Marine Safety, Security, and Stewardship (CG-5), establishes federal 
policies for development of marine safety, security, and environmental 
protection treaties, laws, and regulations; develops safety, security, 
and environmental protection standards for the maritime industry; 
integrates all marine safety, security, and environmental protection 
regulatory programs; prepares legislation, regulations, and industry 
guidance for new safety and environmental protection programs; and 
maintains an active program for development of third party consensus 
industry standards.
    (A) The Chief, Office of Design and Engineering Standards (CG-521), 
at Headquarters, under the direction of the Assistant Commandant for 
Marine Safety, Security, and Stewardship (CG-5) and the Director of 
Commercial Regulations and Standards (CG-52), manages the program for 
defining the overall regulatory approach for vessels, offshore 
structures, and other marine systems incorporating safety considerations 
regarding the role of the human element; develops policies and 
regulations on load line matters and supervises classification societies 
authorized to assign load lines on behalf of the Coast Guard; oversees 
the development and maintenance of programs that incorporate risk-based 
methods in making safety determinations and policies; and oversees 
technical research and development for safety and environmental 
protection associated with marine vessels, structures and facilities.
    (B) The Chief, Office of Operating and Environmental Standards (CG-
522), at Headquarters, under the direction of the Assistant Commandant 
for Marine Safety, Security, and Stewardship (CG-5) and the Director of 
Commercial Regulations and Standards (CG-52), coordinates and integrates 
program standards for personnel qualification, vessel manning, vessel 
and facility operations, cargo systems and handling,

[[Page 7]]

and environmental protection; develops and maintains standards, 
regulations, and industry guidance for maritime industry operations to 
prevent deaths, injuries, property damage, and environmental harm; 
develops and maintains safety standards and regulations for commercial 
fishing industry vessels and uninspected commercial vessels; and 
develops and maintains health and safety standards and regulations for 
U.S.-inspected vessels.
    (C) The Chief, Office of Standards Evaluation and Development (CG-
523), at Headquarters, under the Direction of the Assistant Commandant 
for Marine Safety, Security, and Stewardship (CG-5) and the Director of 
Commercial Regulations and Standards (CG-52), coordinates the 
development of new standards, programs, and regulations across all 
technical and operational areas of marine safety and environmental 
protection; provides comprehensive analytical support for all standards 
assessment and development efforts; coordinates development of measures 
of effectiveness for assessing regulatory programs and consensus 
standards; and oversees the Coast Guard's rulemaking development 
program.
    (D) The Commanding Officer, Marine Safety Center, under the 
Direction of the Assistant Commandant for Marine Safety, Security, and 
Stewardship (CG-5) and the Director of Commercial Regulations and 
Standards (CG-52), conducts reviews and approvals of plans, 
calculations, and other materials concerning the design, construction, 
alterations, and repair of commercial vessels to determine conformance 
with the marine inspection laws, regulations, and implementing 
directions, and administers the U.S. Tonnage Measurement program.
    (ii) The Director of Prevention Policy (CG-54), under the general 
direction and supervision of the Assistant Commandant for Marine Safety, 
Security, and Stewardship (CG-5), acts as Program Manager for the Marine 
Safety, Security, and Environmental Protection Programs; directs, 
coordinates, and integrates the Coast Guard's marine safety and 
environmental protection compliance programs, contingency planning, 
response operations, and investigations programs; establishes and 
coordinates field implementation policies and priorities for all marine 
safety commands and units; serves as the focal point for field support 
and technical guidance; and provides oversight of marine documentation 
and marine personnel administration matters.
    (A) The Chief, Office of Vessel Activities (CG-543), at 
Headquarters, under the direction of the Assistant Commandant for Marine 
Safety, Security, and Stewardship (CG-5) and the Director of Prevention 
Policy (CG-54), administers and balances all marine safety and 
environmental protection compliance programs, including direction of 
Coast Guard activities and oversight of third parties and industry 
programs; develops, publishes, and maintains program policies for vessel 
compliance, interprets standards and regulations, and provides field 
guidance for execution and enforcement; administers the marine 
inspection program, commercial fishing vessel examination program, and 
foreign vessel boarding program for the enforcement of commercial vessel 
material and operational safety standards; and supervises the 
administration of the manning of U.S. vessels and credentialing of U.S. 
mariners.
    (B) The Chief, Office of Incident Management and Preparedness (CG-
533), at Headquarters, under the Direction of the Assistant Commandant 
for Marine Safety, Security, and Stewardship (CG-5) and the Director of 
Response Policy (CG-53), coordinates and integrates field planning, 
preparedness, and response operations for pollution incidents, natural 
disasters, marine accidents, terrorism, and other threats to public 
safety, the marine environment, or marine transportation and commerce; 
develops, publishes, and maintains program policies for preparedness and 
response, interprets laws and regulations, and provides field guidance 
for execution; provides guidance regarding emergency authorities of the 
Captain of the Port (COTP); and administers Office programs for ports 
and waterway management, bridging compliance, and response efforts with 
an active presence in the marine environment.

[[Page 8]]

    (C) The Chief, Office of Investigations and Analyses (CG-545), at 
Headquarters, under the direction of the Assistant Commandant for Marine 
Safety, Security, and Stewardship (CG-5) and the Director of Prevention 
Policy (CG-54), reviews investigations of marine casualties; manages, 
develops policy for and evaluates domestic and international programs 
and processes associated with investigations of marine casualties and 
injuries; manages analysis of casualties and casualty data, civil 
penalties and other remedial programs (including proceedings to suspend 
or revoke Coast Guard credentials held by mariners); and manages marine 
employer drug and alcohol testing programs.
    (D) The Commanding Officer, Coast Guard National Maritime Center 
(NMC), under technical control of the Assistant Commandant for Marine 
Safety, Security, and Stewardship (CG-5), administers the mariner 
credentialing program; evaluates merchant mariners for suitability for 
service; issues merchant mariner credentials; evaluates and conducts 
oversight of approved courses; and exercises operational and 
administrative control over the 17 Regional Examination Centers.
    (iii) The Director of Operations Resource Management (CG-DCO-R), 
under the general direction and supervision of the Deputy Commandant for 
Operations (CG-DCO), serves as Facility Manager for the marine safety 
programs; coordinates and integrates financial, informational, and human 
resources; plans, acquires, develops, and allocates resources for 
development and execution of the Coast Guard's marine safety programs; 
provides the focal point for all resource issues in support of the 
Standards and Operations Directorates; and oversees the development and 
management of the Coast Guard's direct user fee program.
    (2) The Judge Advocate General and Chief Counsel of the Coast Guard 
(CG-094), under the general direction of and in coordination with the 
General Counsel, Department of Homeland Security, is the senior legal 
advisor to the Commandant, Vice Commandant, and senior staff officers. 
The Judge Advocate General advises on all cases and controversies 
arising under the various authorities of the Coast Guard involving 
alleged violations of international, maritime, navigation, and vessel 
inspection laws, or regulations prescribed there under and published in 
this chapter or in 33 CFR chapter I, and reviews appeals to the 
Commandant from actions derived from these authorities. On completion of 
such a review, the Judge Advocate General prepares a proposed action for 
the Commandant's consideration or, in appropriate cases, takes final 
action on behalf of, and as directed by, the Commandant.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989]

    Editorial Note: For Federal Register citations affecting Sec. 1.01-
10, see the List of CFR Sections Affected, which appears in the Finding 
Aids section of the printed volume and on GPO Access.



Sec. 1.01-15  Organization; Districts; National Maritime Center.

    (a) To assist the District Commander, and the Atlantic Area 
Commander with respect to Activities Europe, in carrying out the 
regulatory and enforcement aspects of marine safety, there is assigned 
to each District Commander and to the Atlantic Area Commander a staff 
officer designated as Chief, Marine Safety Division. The chain of 
military command is from the District Commander to each Officer in 
Charge, Marine Inspection, within the district and from the Atlantic 
Area Commander to the Officer in Charge, Activities Europe. The Chief of 
the Marine Safety Division is a staff officer assigned to the District 
Commanders and Atlantic Area Commander, and acts only on the basis of 
the authority and direction of the District Commanders, and the Atlantic 
Area Commanders with respect to Activities Europe.
    (1) The Chiefs, Marine Safety Division, in the District Offices, 
under the supervision of their respective District Commanders, direct 
the activities of their district relative to vessel, factory and 
shipyard inspections; reports and investigations of marine casualties 
and accidents; processing of violations of navigation and vessel 
inspection laws; the credentialiing, shipment and discharge of seamen; 
the investigation and institution of proceedings looking

[[Page 9]]

to suspension and revocation under 46 U.S.C. chapter 77 of credentials 
held by persons; and all other marine safety regulatory activities 
except those functions related to recreational boating when under the 
supervision of the Chiefs, Boating Safety Division, in the District 
Offices.
    (2) Unless otherwise provided for, the Chiefs, Boating Safety 
Division, in the District Offices, under the supervision of their 
respective District Commanders, direct the activities in their districts 
relative to administration of the law enforcement program applicable to 
uninspected vessels used for recreational purposes and the imposition 
and collection of penalties in connection therewith; maintain liaison 
with Federal and State agencies having related interests; develop and 
coordinate agreements and arrangements with Federal and State agencies 
for cooperation in the enforcement of State and Federal laws related to 
recreational boating; and review investigative reports of recreational 
boating accidents.
    (b) The Officers in Charge, Marine Inspection, in the Coast Guard 
districts, under the supervision of the District Commanders, and the 
Officer in Charge, Activities Europe, under the supervision of the 
Atlantic Area Commander are in charge of the marine inspection offices 
in the various ports and have command responsibilities with assigned 
marine safety zones for the performance of duties with respect to the 
inspection, enforcement and administration of navigation and vessel 
inspection laws, and rules and regulations governing marine safety. The 
Officer in Charge, Marine Inspection, has been designated and delegated 
to give immediate direction to Coast Guard activities relating to marine 
safety functions consisting of inspection of vessels in order to 
determine that they comply with the applicable laws, rules, and 
regulations relating to construction, equipment, manning and operation, 
and to be satisfied that such vessels are in seaworthy condition for the 
services in which such vessels are to be operated; shipyard inspections; 
factory inspections of materials and equipment for vessels; 
credentialing shipment and discharge of seaman; investigations of marine 
casualties and accidents; investigations of violations of law; 
negligence, misconduct, unskillfullness, incompetence or misbehavior of 
persons holding credentials issued by the Coast Guard; initiations of 
actions seeking suspension or revocation under 46 U.S.C. chapter 77 of 
credentials held by persons, and presentation of cases at hearings 
before Administrative Law Judges; and the enforcement of navigation, 
vessel inspection and seaman laws in general.
    (c) The Commanding Officer of the National Maritime Center has been 
designated and delegated to:
    (1) Give direction to Coast Guard activities relating to marine 
safety functions consisting of the licensing, credentialing, 
certificating, shipment and discharge of seamen;
    (2) Refer to the processing Regional Examination Center (REC), the 
Suspension and Revocation National Center of Expertise, or cognizant 
OCMI potential violations of law, negligence, misconduct, 
unskillfulness, incompetence or misbehavior of persons holding merchant 
mariner's documents, licenses, certificates or credentials issued by the 
Coast Guard, and recommend suspension or revocation under 46 U.S.C. 
Chapter 77 when deemed appropriate; and
    (3) Grant, withhold, suspend, or withdraw course approvals.
    (d) The Commanding Officer of the National Maritime Center has the 
same authority as an OCMI for the purpose of carrying out the marine 
safety functions listed in paragraph (c) of this section pursuant to the 
provisions of Subchapter B of this chapter.
    (e) Applicants for merchant mariner's documents, licenses, 
certificates or credentials may apply to the Coast Guard National 
Maritime Center or any of the Regional Examination Centers. Applicants 
may contact the National Maritime Center at 100 Forbes Drive, 
Martinsburg, West Virginia 25404, or by telephone at 1-888-I-ASK-NMC (1-
888-427-5662). A list of Regional Examination Locations is available 
through the Coast Guard Web site at http://www.uscg.mil.
    (f) For descriptions of Coast Guard districts and marine inspection 
zones, see 33 CFR part 3.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989]

[[Page 10]]


    Editorial Note: For Federal Register citations affecting Sec. 1.01-
15, see the List of CFR Sections Affected, which appears in the Finding 
Aids section of the printed volume and on GPO Access.



Sec. 1.01-20  Suspension and revocation proceedings.

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



Sec. 1.01-25  General flow of functions.

    (a) The Officer in Charge, Marine Inspection, has final authority 
with respect to the functions described in Sec. 1.01-15(b) of this 
subpart, subject to the rights of appeal set forth in subpart 1.03 of 
this part.
    (b)(1) The general course and method by which the functions (other 
than those dealing with suspension and revocation of credentials 
described in paragraph (c) of this section) concerning marine safety 
activities are channeled, begins with the Officer in Charge, Marine 
Inspection, at the local Sector Office. From this Officer the course is 
to the Chief, Marine Safety Division, on the staff of the District 
Commander, and then to the District Commander. From the District 
Commander, the course is to the Chief of one of the offices with Marine 
Safety and Environmental Protection at Headquarters.
    (2) For Activities Europe, the course is from the Officer in Charge, 
Activities Europe to the staff of the Atlantic Area Commander, then to 
the Atlantic Area Commander, and then to the Chief of one of the offices 
with Marine Safety and Environmental Protection at Headquarters.
    (c) In proceedings involving the suspension or revocation of a Coast 
Guard credential issued to an individual, the course and method by which 
such proceedings are channeled are as follows:
    (1) In the United States, the Commonwealth of Puerto Rico, Territory 
of Guam, the Virgin Islands, and other possessions, the proceedings are 
initiated by the issuance of a complaint against the holder of the Coast 
Guard credential. A Coast Guard Investigating Officer, as defined in 46 
CFR 5.15, causes the complaint to be served on the person described 
therein (respondent) who is a holder of a Coast Guard credential. At a 
hearing the Coast Guard submits evidence to support the allegations of 
the complaint, while the respondent may submit evidence in rebuttal or 
mitigation. The Administrative Law Judge renders a decision on the basis 
of the evidence adduced at the hearing and the law. The Administrative 
Law Judge's decision is given to the respondent.
    (i) In a case where an appeal is made by either party (Coast Guard 
or respondent), the notice of appeal is filed in accordance with the 
procedures of 33 CFR 20.1001(a).
    (ii) [Reserved]

[[Page 11]]

    (2) [Reserved]
    (d) In the performance of their duties, all Coast Guard 
Administrative Law Judges are bound by law and the regulations in this 
chapter or in 33 CFR chapter I. Statements of policy, clarification of 
points of procedure, and general administrative instructions are 
published in Administrative Law Judges' Circulars and Administrative Law 
Judges' Internal Practices and Procedures Series. The Chief 
Administrative Law Judge, located in the Office of the Commandant, U.S. 
Coast Guard, maintains a complete file of these publications for reading 
purposes during normal working hours.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 96-041, 61 FR 
50725, Sept. 27, 1996; CGD 97-057, 62 FR 51040, 51041, Sept. 30, 1997; 
USCG-2004-18884, 69 FR 58341, Sept. 30, 2004; USCG-2006-24520, 71 FR 
35818, June 22, 2006, USCG-2006-25556, 72 FR 36329, July 2, 2007; USCG-
2006-24371, 74 FR 11214, Mar. 16, 2009; USCG-2009-0314, 74 FR 30937, 
June 29, 2009]



Sec. 1.01-30  Judicial review.

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



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

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

------------------------------------------------------------------------
46 CFR part or section where identified or
                 described                     Current OMB control No.
------------------------------------------------------------------------
Sec. 2.01...............................  1625-0002
Sec. 2.95-10............................  1625-0035
Sec. 3.10...............................  1625-0014
Part 4....................................  1625-0001
Part 6....................................  1625-0002
------------------------------------------------------------------------


[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by USCG-2004-18884, 
69 FR 58341, Sept. 30, 2004]



                      Subpart 1.03_Rights of Appeal

    Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 46 U.S.C. 
Chapter 93; Public Law 107-296, 116 Stat. 2135; Department of Homeland 
Security Delegation No. 1070; Sec. 1.01-35 also issued under the 
authority of 44 U.S.C. 3507.



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

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



Sec. 1.03-15  General.

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

[[Page 12]]

days after the decision is rendered or the action is taken.
    (c) When making a formal appeal of a decision or action, as 
permitted by this subpart, such appeal must be submitted in writing and 
received by the authority to whom the appeal is required to be made 
within 30 days after the decision or action being appealed, or within 30 
days after the last administrative action required by this subpart. Upon 
written request and for good cause, the 30 day time limit may be 
extended by the authority to whom the appeal is required to be made.
    (d) A formal appeal must contain a description of the decision or 
action being appealed and the appellant's reason(s) why the decision or 
action should be set aside or revised.
    (e) When considering an appeal, the Commandant or a District 
Commander may stay the effect of a decision or action being appealed 
pending determination of the appeal.
    (f) While a request for reconsideration or review or a formal appeal 
is pending, the original decision or action remains in effect, unless 
otherwise stayed under paragraph (e) of this section.
    (g) The Commandant may delegate authority to act on administrative 
appeals under this subpart to the Assistant Commandant for Marine Safety 
and Environmental Protection, and appropriate office chiefs within 
Marine Safety and Environmental Protection.
    (h) Formal appeals made to the Commandant shall be addressed to:
    (1) Commandant (CG-543) for appeals involving vessel inspection 
issues, load line issues, and vessel manning issues;
    (2) Commandant (CG-52) for appeals involving vessel plan review or 
tonnage measurement issues;
    (3) Commandant (CG-54) for all appeals involving suspension or 
withdrawal of course approvals, all marine personnel issues appealed 
from the National Maritime Center or from an OCMI through a District 
Commander, and all appeals regarding the documentation of a vessel under 
part 67 or part 68 of this title. All appeals regarding the 
documentation of a vessel under part 67 or part 68 of this title must be 
addressed to Commandant (CG-54d), Coast Guard Headquarters, 21002nd St. 
SW., Stop 7581, Washington, DC 20593-7581, and a copy of each such 
appeal must be sent to the National Vessel Documentation Center, 792 T J 
Jackson Drive; Falling Waters, WV 25419;
    (4) Commandant (CG-521), for appeals involving the recognition of a 
classification society; or
    (5) Commandant (CG-5) for appeals involving decisions or actions of 
the Director, Great Lakes Pilotage.
    (i) Failure to submit a formal appeal in accordance with the 
procedures and time limits contained in this subpart results in the 
decision or action becoming final agency action.
    (j) Any decision made by the Commandant, or by the Assistant 
Commandant for Marine Safety and Environmental Protection, or by an 
office chief pursuant to authority delegated by the Commandant is final 
agency action on the appeal.

[CGD 88-033, 54 FR 50376, Dec. 6, 1989]

    Editorial Note: For Federal Register citations affecting Sec. 1.03-
15, see the List of CFR Sections Affected, which appears in the Finding 
Aids section of the printed volume and on GPO Access.



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

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

[USCG-2006-24520, 71 FR 35818, June 22, 2006]



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

    Any person directly affected by a decision or action of a District 
Commander made pursuant to Sec. 1.03-20 of this subpart, may make a 
formal appeal of that decision or action, via the

[[Page 13]]

office of the cognizant District Commander, to the Commandant, in 
accordance with the procedures contained in Sec. 1.03-15 of this 
subpart.



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

    (a) Any person directly affected by a decision or action of the 
Marine Safety Center involving tonnage measurement or which otherwise 
affects a new vessel or plans for a vessel to be built may, after 
requesting reconsideration of the decision or action by the Commanding 
Officer, Marine Safety Center, make a formal appeal, of that decision or 
action, via the Commanding Officer, Marine Safety Center, to the 
Commandant, in accordance with the procedures contained in Sec. 1.03-15 
of this subpart.
    (b) Any person directly affected by a decision or action of the 
Marine Safety Center not involving tonnage measurement but which 
otherwise affects an existing vessel, prior to initiating a formal 
appeal, must request review of that decision or action by the cognizant 
OCMI. Following review by the cognizant OCMI, the decision or action 
under review may be appealed to the District Commander, in accordance 
with the procedures contained in Sec. 1.03-20 of this subpart.

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



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

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

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



Sec. 1.03-40  Appeals from decisions or actions of the National 
Maritime Center.

    Any person directly affected by a decision or action of an officer 
or employee of the National Maritime Center (NMC) involving any of the 
marine safety functions listed in Sec. 1.01-15(c) of this subpart may, 
after requesting reconsideration of the decision or action by the NMC, 
make a formal appeal of that decision or action, via the NMC, to the 
Director of Prevention Policy, Commandant (CG-54), in accordance with 
the procedures contained in Sec. 1.03-15 of this subpart. The decision 
of the Director of Prevention Policy, Commandant (CG-54), on such an 
appeal will constitute final agency action.

[USCG-2006-25535, 71 FR 48482, Aug. 21, 2006. Redesignated by USCG-2006-
25535, 72 FR 7930, Feb. 22, 2007; USCG-2008-0906, 73 FR 56507, Sept. 29, 
2008]



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

    Any person directly affected by a decision or action of an officer 
or employee of the Coast Guard acting on or in regard to the 
documentation of a vessel under part 67 or part 68 of this title, may 
make a formal appeal of that decision or action to the Director of 
Prevention Policy, Commandant (CG-54), in accordance with the procedures 
contained in Sec. 1.03-15 of this subpart. The decision of the Director 
of Prevention Policy, Commandant (CG-54), on such an appeal will 
constitute final agency action.

[USCG-2006-25535, 72 FR 7930, Feb. 22, 2007, as amended by USCG-2008-
0906, 73 FR 56507, Sept. 29, 2008]

[[Page 14]]



Sec. 1.03-50  Appeals from decisions or actions of the Director,
Great Lakes Pilotage.

    Any person directly affected by a decision or action of the 
Director, Great Lakes Pilotage, may make a formal appeal of that 
decision or action to Commandant (CG-5), in accordance with the 
procedures contained in Sec. 1.03-15 of this subpart.

[USCG 2003-15137, 68 FR 37093, June 23, 2003, as amended by USCG-2008-
0906, 73 FR 56507, Sept. 29, 2008]



PART 2_VESSEL INSPECTIONS--Table of Contents



          Subpart 2.01_Inspecting and Certificating of Vessels

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

                            Subpart 2.10_Fees

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

                     Subpart 2.20_Reports and Forms

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

Subpart 2.45 [Reserved]

                         Subpart 2.50_Penalties

2.50-1 Penalty procedures.

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

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

                         Subpart 2.85_Load Lines

2.85-1 Assignment of load lines.

               Subpart 2.90_Plans, Drawings or Blueprints

2.90-1 General requirements.

             Subpart 2.95_Retention of Records by the Public

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

    Authority: 33 U.S.C. 1903; 43 U.S.C. 1333; 46 U.S.C. 2110, 3103, 
3205, 3306, 3307, 3703; 46 U.S.C. Chapter 701; E.O. 12234, 45 FR 58801, 
3 CFR, 1980 Comp., p. 277; Department of Homeland Security Delegation 
No. 0170.1. Subpart 2.45 also issued under the Act Dec. 27, 1950, Ch. 
1155, secs. 1, 2, 64 Stat. 1120 (see 46 U.S.C. App. Note prec. 1).

    Editorial Note: Nomenclature changes to part 2 appear at 74 FR 
49223, Sept. 25, 2009.

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

[[Page 15]]



          Subpart 2.01_Inspecting and Certificating of Vessels



Sec. 2.01-1  Applications for inspections.

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

[CG FR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 79-023, 48 
FR 51006, Nov. 4, 1983; CGD 91-030, 60 FR 13563, Mar. 13, 1995; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; CGD 95-028, 62 FR 51194, Sept. 30, 
1997; USCG-2006-25556, 72 FR 36329, July 2, 2007]



Sec. 2.01-3  Notification of inspection.

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

[CGD 85-015, 51 FR 19340, May 29, 1986, as amended by USCG-1999-4976, 65 
FR 6498, Feb. 9, 2000; USCG-2006-25556, 72 FR 36329, July 2, 2007]



Sec. 2.01-5  Certificate of inspection.

    (a) Issuance of certificates. Upon completion of the inspection of a 
United States vessel, and on condition that the vessel and its equipment 
are approved by the inspector, a certificate of one or more of the 
following Coast Guard forms is issued by the Officer in Charge, Marine 
Inspection:

[[Page 16]]

    (1) CG-841--Certificate of Inspection.
    (2) CG-854--Temporary Certificate of Inspection.
    (b) Description of certificates. The certificates of inspection 
issued to United States vessels describe the vessel, the route the 
vessel may travel, the minimum manning requirements, the safety 
equipment and appliances required to be on board, the total number of 
persons that may be carried, and the names of the owners and operators. 
The period of validity is stated on the certificate. The certificate may 
be renewed by applying for inspection under Sec. 2.01-1.
    (c) Amending certificates. When, because of a change in the 
character of the vessel or vessel's route, equipment, etc., the vessel 
does not comply with the requirements of the Certificate of Inspection 
previously issued, an amended certificate may be issued at the 
discretion of the Officer in Charge, Marine Inspection, to whom a 
request is made.

[CGD 77-014, 44 FR 5316, Jan. 25, 1979, as amended by USCG-1999-4976, 65 
FR 6498, Feb. 9, 2000; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004; 
USCG-2010-0759, 75 FR 60000, Sept. 29, 2010]



Sec. 2.01-6  Certificates issued to foreign vessels.

    (a) Issuance of a Certificate of Compliance (COC). Foreign vessels 
of countries which are signatory to the International Convention for the 
Safety of Life at Sea, 1974, are issued a Certificate of Compliance (CG-
3585) upon satisfactory completion of a compliance examination by the 
Officer in Charge, Marine Inspection:
    (1) A foreign passenger vessel that is registered in a country which 
is signatory to the International Convention for the Safety of Life at 
Sea, 1974, visits U.S. ports with U.S. citizens as passengers or embarks 
passengers in U.S. ports, and holds a valid Passenger Ship Safety 
Certificate;
    (2) A foreign vessel that is suitable for carriage of hazardous 
cargoes in bulk as defined in 46 CFR subchapter 0 and is in compliance 
with Tankship Cargo Venting and Handling Systems and Minimum Pollution 
Prevention Regulations and Transfer Procedures (33 CFR parts 155, 156, 
157, and 159), and Navigation Safety Inspection Regulations (33 CFR part 
164);
    (3) A foreign Mobile Offshore Drilling Unit that complies with 
standards listed in 33 CFR 143.207 and is engaged in U.S. Outer 
Continental Shelf activities;
    (4) A foreign vessel that is suitable for carriage of cargoes as 
defined in 46 CFR subchapter D and is in compliance with Tankship Cargo 
Venting and Handling Systems and Minimum Safety Standards (SOLAS 74--46 
CFR part 35), Pollution Prevention Regulations and Transfer Procedures 
(33 CFR parts 155, 156, 157, and 159), and Navigation Safety Regulations 
(33 CFR part 164).
    (b) Foreign vessels of countries which are non-signatory to the 
International Convention for the Safety of Life at Sea, 1974, are issued 
a Temporary Certificate of Inspection (CG-854) and a Certificate of 
Inspection (CG-841), respectively, as described in Sec. 2.01-5. Any 
amendments to these certificates shall be accomplished in accordance 
with Sec. 2.01-5(c).
    (c) Description of COC. CG-3585 describes the vessel's particulars, 
type of vessel examined, type of certificate(s) required by the 
International Convention for Safety of Life at Sea, 1974, the period of 
validity, subsequent exams required to maintain the certificates 
validity, the Officer in Charge, Marine Inspection zone where the exam 
was completed in and if there are any deficiencies as to applicable 
regulations at the time the vessel was examined. If there are 
deficiencies issued, they are listed in the examination record section 
of the COC.

[USCG-2010-0759, 75 FR 60000, Sept. 29, 2010]



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

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

[[Page 17]]

[GRAPHIC] [TIFF OMITTED] TR04DE09.000


[[Page 18]]


[GRAPHIC] [TIFF OMITTED] TR04DE09.001


[[Page 19]]


[GRAPHIC] [TIFF OMITTED] TR04DE09.002


[[Page 20]]


[GRAPHIC] [TIFF OMITTED] TR04DE09.003


[[Page 21]]


[GRAPHIC] [TIFF OMITTED] TR04DE09.004


[[Page 22]]


[GRAPHIC] [TIFF OMITTED] TR04DE09.005


[[Page 23]]


[GRAPHIC] [TIFF OMITTED] TR04DE09.006


[[Page 24]]


[GRAPHIC] [TIFF OMITTED] TR04DE09.007

    (b) The specific application of regulations concerning inspecting 
and certificating vessels is set forth in the specific subchapter 
governing a particular class of vessels.

[[Page 25]]

    (1) For passenger vessels see part 70 of subchapter H (Passenger 
Vessels) of this chapter.
    (2) For cargo and miscellaneous vessels see part 90 of subchapter I 
(Cargo and Miscellaneous Vessels) of this chapter.
    (3) For tank vessels see part 30 of subchapter D (Tank Vessels) of 
this chapter.
    (4) For small passenger vessels see part 114 of subchapter K (Small 
Passenger Vessels Carrying More Than 150 Passengers or with Overnight 
Accommodations for More Than 49 Passengers) and part 175 of subchapter T 
(Small Passenger Vessels) of this chapter.
    (5) For uninspected vessels see part 24 of subchapter C (Uninspected 
Vessels) of this chapter.
    (6) For vessels carrying certain bulk dangerous cargoes see 
subchapter O of this chapter.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGFR 67-83, 33 FR 
1102, Jan. 27, 1968; CGFR 70-10, 35 FR 3706, Feb. 25, 1970; CGD 73-96, 
42 FR 49022, Sept. 26, 1977; CGD 86-033, 53 FR 36023, Sept. 16, 1988; 53 
FR 46871, Nov. 21, 1988; CGD 90-008, 55 FR 30659, July 26, 1990; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; USCG-1999-5040, 67 FR 34760, May 15, 
2002; USCG-2008-1107; 74 FR 63619, Dec. 4, 2009]



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

    (a) Where, in various places or portions in this chapter, 
requirements are stipulated specifically for vessels on an international 
voyage or tankships on an international voyage, it is intended that 
these requirements apply only to vessels or tankships, as applicable, 
which are subject to the International Convention for Safety of Life at 
Sea, 1974.
    (b) For details regarding application of Convention requirements to 
tankships, see Sec. 30.01-6 of this chapter; to passenger vessels, see 
Sec. 70.05-10 of this chapter; to cargo ships other than tankships, see 
Sec. 90.05-10 of this chapter; and to small passenger vessels, see 
Sec. Sec. 115.900 and 176.900 of this chapter. (E.O. 11239, 30 FR 9671, 
3 CFR, 1965 Supp.).

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 90-008, 55 FR 
30659, July 26, 1990; USCG-1999-4976, 65 FR 6499, Feb. 9, 2000]



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

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

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR 
51194, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]



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

    (a) Foreign vessels registered in countries which are parties to the 
effective International Convention for Safety of Life at Sea are 
normally subject to the examination provided for in Chapter I of that 
Convention. However, in the case of any vessel involving novel features 
of design or construction, upon which that Convention is silent or which 
involve potential unusual operating risks, a more extensive inspection 
may be required when considered necessary to safeguard the life or 
property in United States ports where such vessel may enter. In such a 
case, pertinent plans and/or calculations may be required to be 
submitted sufficiently in advance to permit evaluation before 
inspection.
    (b) Foreign vessels registered in countries which are not parties to 
the effective International Convention for Safety of Life at Sea, or 
foreign vessels

[[Page 26]]

registered in countries which are parties to the effective Convention 
but which vessels are exempted from part or all of the Convention, may 
under conditions specified in applicable inspection laws be subject to 
inspection and certification as specified in regulations governing 
specific categories of vessels.
    (c) For details concerning application of regulations to foreign 
vessels, see part 30 (Tank Vessels), part 70 (Passenger Vessels), part 
90 (Cargo and Miscellaneous Vessels), Sec. 147.1 (Dangerous Cargoes), 
part 148 (Bulk Solid Hazardous Materials), parts 153 and 154 (Certain 
Bulk Dangerous Cargoes), and part 175 (Small Passenger Vessels) of this 
chapter.

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



Sec. 2.01-15  Vessel repairs.

    (a) No repairs or alterations affecting the safety of the vessel or 
its machinery shall be made unless applicable requirements in this 
chapter are met. The procedures to be followed in notifying the Coast 
Guard about vessel repairs vary according to the type of vessel and 
service in which engaged. The requirements are set forth in the 
subchapter governing a particular class of vessels or in a subchapter 
governing a particular subject as follows:
    (1) For passenger vessels that are 100 gross tons or more, see 
Sec. Sec. 71.55-1 and 71.60-1 of subchapter H (Passenger Vessels) of 
this chapter.
    (2) For small passenger vessels under 100 gross tons, see either 
Sec. 176.700 of subchapter T (Small Passenger Vessels) or Sec. 115.700 
of subchapter K (Small Passenger Vessels Carrying More than 150 
Passengers or with Overnight Accommodations for more than 49 Passengers) 
of this chapter.
    (3) For cargo and miscellaneous vessels, see Sec. Sec. 91.45-1 and 
91.50-1 of subchapter I (Cargo and Miscellaneous Vessels) of this 
chapter.
    (4) For tank vessels, see Sec. Sec. 31.10-25 and 35.01-1 of 
subchapter D (Tank Vessels) of this chapter.
    (5) For public nautical schoolships, see Sec. Sec. 167.30-1 and 
167.30-10 of subchapter R (Nautical Schools) of this chapter.
    (6) For oceanographic vessels, see Sec. Sec. 189.45-1 and 189.50-1 
of subchapter U (Oceanographic Vessels) of this chapter.
    (7) For repairs to a vessel after it has been surveyed, see Sec. 
42.09-50 of subchapter E (Load Lines) of this chapter.
    (8) For repairs to boilers, pressure vessels, and appurtenances, see 
part 59 of subchapter F (Marine Engineering) of this chapter.
    (9) For repairs to electrical installations or equipment, see 
Sec. Sec. 111.05-5(e), 111.05-10(e), and 111.90-5 of subchapter J 
(Electrical Engineering) of this chapter.
    (10) For vessels carrying compressed gases regulated by subchapter O 
(Certain Bulk Dangerous Cargoes), see Sec. 151.50 30(c) of this 
chapter.
    (11) For repairs to a vessel that affects its subdivision or 
stability, see Sec. 170.005 of this chapter.
    (b) If repairs to a vessel are necessary, such a vessel may be 
permitted to proceed to another port for repairs, if, in the opinion of 
the marine inspector, it can be done with safety. The permit is granted 
by the Officer in Charge, Marine Inspection, upon request in writing by 
the master or owner of the vessel and is issued on Coast Guard Form CG-
948, Permit to Proceed to Another Port for Repairs. The requirements for 
such permits are set forth in the subchapter governing a particular 
class of vessels as follows:
    (1) For passenger vessels that are 100 gross tons or more, see 
subpart 71.05 of subchapter H (Passenger Vessels) of this chapter.
    (2) For small passenger vessels under 100 gross tons, see subpart B 
of subchapter T (Small Passenger Vessels) of this chapter.
    (3) For cargo and miscellaneous vessels, see subpart 91.05 of 
subchapter I (Cargo and Miscellaneous Vessels) of this chapter.
    (4) For tank vessels, see Sec. 31.10-35 of subchapter D (Tank 
Vessels) of this chapter.
    (5) For public nautical schoolships, see Sec. 167.30-5 of 
subchapter R (Nautical Schools) of this chapter.

[[Page 27]]

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

[CGFR 68-126, 34 FR 9010, June 5, 1969, as amended by CGD 73-96, 42 FR 
49023, Sept. 26, 1977; CGD 79-023, 48 FR 51006, Nov. 4, 1983; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 
30, 2004]



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

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

[CGD 95-028, 62 FR 51195, Sept. 30, 1997, as amended by USCG-1998-4442, 
63 FR 52188, Sept. 30, 1998; USCG-2004-18884, 69 FR 58341, Sept. 30, 
2004]



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

    (a) Certificates required. (1) The International Convention for 
Safety of Life at Sea, 1974, requires one or more of the following 
certificates to be carried on board certain passenger, cargo or 
tankships engaged in international voyages:
    (i) Passenger Ship Safety Certificate.
    (ii) Cargo Ship Safety Construction Certificate.
    (iii) Cargo Ship Safety Equipment Certificate.
    (iv) Cargo Ship Safety Radio Certificate.
    (v) Nuclear Passenger Ship Safety Certificate.
    (vi) Nuclear Cargo Ship Safety Certificate.
    (vii) Safety Management Certificate.
    (viii) International Ship Security Certificate.
    (ix) High-Speed Craft Safety Certificate
    (2) The U.S. Coast Guard will issue through the Officer In Charge, 
Marine Inspection, the following certificates after performing an 
inspection or safety management audit of the vessel's systems and 
determining the vessel meets the applicable requirements:
    (i) Passenger Ship Safety Certificate.
    (ii) Cargo Ship Safety Construction Certificate, except when issued 
to cargo ships by a Coast Guard recognized classification society at the 
option of the owner or agent.
    (iii) Cargo Ships Safety Equipment Certificate.
    (iv) Exemption Certificate.
    (v) Nuclear Passenger Ship Safety Certificate.
    (vi) Nuclear Cargo Ship Safety Certificate.
    (vii) Safety Management Certificate, except when issued by a 
recognized organization authorized by the Coast Guard.
    (viii) International Ship Security Certificate (ISSC).
    (ix) High-Speed Craft Safety Certificate
    (3) When authorized by the Commandant, U.S. Coast Guard, an 
authorized classification society may issue international convention 
certificates as permitted under part 8, subpart C, of this title.
    (4) The Federal Communications Commission will issue the following 
certificates:
    (i) Cargo Ship Safety Radio Certificate.
    (ii) Exemption Certificate.
    (b) Applications. (1) The application for inspection and issuance of 
a certificate or certificates is made on the appropriate form listed in 
Sec. 2.01-1, or by letter, to the Officer in Charge, Marine Inspection, 
in or nearest the port at which the inspection is to be made and shall 
be signed by the master or agent of the vessel. The certificates 
previously issued are surrendered at the time the inspection is 
performed. Further details are set forth in subchapter D (Tank Vessels), 
subchapter H (Passenger Vessels), subchapter I (Cargo and Miscellaneous 
Vessels), subchapter K (Small Passenger Vessels Carrying more than 150 
Passengers or with overnight accommodations for more than 49 
Passengers), subchapter L (Offshore Supply Vessels), subchapter O 
(Certain Bulk Dangerous Cargoes), subchapter T (Small Passenger 
Vessels), and Subchapter U (Oceanographic Research Vessels), of this 
chapter.
    (2) For vessels other than passenger vessels, you must contact the 
local office of the Federal Communications Commission to apply for the 
inspection concerning the issuance of a Cargo Ship Safety Radio 
Certificate.

[[Page 28]]

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

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965]

    Editorial Note: For Federal Register citations affecting Sec. 2.01-
25, see the List of CFR Sections Affected, which appears in the Finding 
Aids section of the printed volume and on GPO Access.



Sec. 2.01-30  Delegation of OCMI signature authority.

    The Officer in Charge, Marine Inspection, may redelegate signature 
authority for documents issued under this subpart to: one individual on 
his or her staff; and each Marine Safety Unit Commanding Officer within 
his or her Sector.

[USCG-2009-0702, 74 FR 49223, Sept. 25, 2009]



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

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

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

[[Page 29]]



Sec. 2.01-45  Excursion permit.

    (a) Under 46 U.S.C. 2113, the Coast Guard may issue a permit to the 
owner, operator, or agent of a passenger vessel, allowing the vessel to 
engage in excursions that carry additional numbers of passengers, extend 
an existing route, or both. Details concerning the application process 
for excursion permits for inspected passenger vessels are contained in 
Sec. Sec. 71.10, 115.204, or 176.204 of this chapter. Details 
concerning the application process for special permits for uninspected 
passenger vessels are contained in Sec. 26.03-6 of this chapter.
    (b) For Marine Events of National Significance, as determined by the 
Commandant, U.S. Coast Guard, a vessel may be permitted to engage in 
these events while carrying passengers-for-hire for the duration of the 
event. Event sponsors must request this determination in writing from 
the Commandant (CG-54) at least 1 year prior to the event. Details 
concerning the application process for special permits for Marine Events 
of National Significance are contained in Sec. 26.03-8 of this chapter.
    (c) The application for an excursion permit is made by the master, 
owner, or agent of the vessel to the Officer in Charge, Marine 
Inspection, on Coast Guard Form CG-950, Application for Excursion 
Permit. If, after inspection, permission is granted, it is given on 
Coast Guard form CG-949, Permission to Carry Excursion Party. The permit 
describes the vessel, the route over which and the period during which 
the excursions may be made, and the safety equipment required for the 
additional persons indicated.

[USCG-1999-5040, 67 FR 34767, May 15, 2002]



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

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

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



Sec. 2.01-60  Overtime compensation.

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

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997; USCG-2000-7790, 65 FR 58458, Sept. 29, 2000]



Sec. 2.01-70  Right of appeal.

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

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



Sec. 2.01-80  Vessel inspections in Alaska.

    (a) The waters of southeastern Alaska inside of the general trend of 
the shore from Cape Spencer, southeasterly to Cape Muzon, and thence 
easterly to Sitklan Island, shall be considered as

[[Page 30]]

bays, sounds, and lakes other than the Great Lakes, for the purpose of 
administering the vessel inspection laws and applicable regulations in 
this chapter.



                            Subpart 2.10_Fees

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



Sec. 2.10-1  Applicability.

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

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR 
19232, Apr. 21, 1997; USCG-2010-0759, 75 FR 60001, Sept. 29, 2010]



Sec. 2.10-5  Exemptions.

    (a) Vessels owned or operated by a non-profit organization may be 
exempted from payment of the fees required by this subpart, only if the 
vessel is used exclusively for one or more of the following:
    (1) Training youth in boating, seamanship, or navigation skills;
    (2) Educating youth in a course of marine environmental studies;
    (3) Providing excursions for persons with disabilities as defined 
under the Americans with Disabilities Act (ADA) [42 U.S.C. 12102(2)]; or
    (4) Providing medical services.
    (b) Vessels owned or operated by the Federal government or the 
government of any State or political subdivision thereunder may be 
exempted from the fees required by this subpart provided the vessel is 
used exclusively for one or more of the purposes listed in paragraph (a) 
of this section.
    (c) The term used exclusively in paragraphs (a) and (b) of this 
section does not preclude:
    (1) The carriage of adult volunteers or crew, or
    (2) The vessel's use for fundraising activities without regard to 
the age of the participants aboard the vessel, provided revenues raised 
are for the operation and maintenance of the vessel and that such 
fundraising activities do not exceed one day of fundraising for each 
month of the vessel's operating season.
    (d) Vessel owners or operators may submit a written request for 
exemption to the Officer in Charge, Marine Inspection, of the Marine 
Inspection Zone in which the vessel normally operates. The exemption 
request must provide the vessel name, the vessel identification number, 
and evidence that the organization and the vessel meet the criteria set 
forth in this section. The Officer in Charge, Marine Inspection will 
endorse and forward the request to Commandant (CG-DCO-83) for decision.

[CGD 96-067, 62 FR 19232, Apr. 21, 1997, as amended by CDG 96-067, 63 FR 
59474, Nov. 4, 1998; USCG-2010-0759, 75 FR 60001, Sept. 29, 2010]



Sec. 2.10-10  Waivers.

    The Commandant (CG-DCO-83) will waive collection of vessel 
inspection fees in this subpart for a Federally-owned or operated vessel 
if the fee would be directly paid by an agency acting as the vessel 
owner using Federal appropriated funds. By October 1 of each year, 
Federal agencies shall provide Commandant (CG-DCO-83) with a list of the 
names and vessel identification numbers of vessels for which a fee 
waiver is requested.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
2010-0759, 75 FR 60001, Sept. 29, 2010]



Sec. 2.10-20  General requirements.

    (a) Unless otherwise specified, vessel owners must pay the fees 
required by this subpart before inspection or examination services are 
provided.
    (b) Fees required by this subpart must be paid in U.S. currency by 
check or money order, drawn on a U.S. bank, and made payable to the U.S. 
Treasury.

[[Page 31]]

Payment may also be made by credit card or wire transfer.
    (c) All payments must be accompanied by the vessel name and its 
vessel identification number.
    (d) Unless otherwise specified, fees required by this subpart must 
be mailed to the following addresses: For payment by credit card, U.S. 
Coast Guard Finance Center (OGR), 1430A Kristina Way, Chesapeake, VA 
23326; For payment by check, made payable to U.S. Treasury, with 
delivery by postal service, USCG Inspection Fees, P.O. Box 70952, 
Charlotte, NC 28272-0952; or by overnight courier, Wachovia QLP Lockbox-
D1113-022, Lockbox 70952, 1525 West WT Harris Blvd., Charlotte, NC 
28262.
    (e) For purposes of this subpart, the address for Commandant (CG-
DCO-83) is: Commandant (CG-DCO-83), United States Coast Guard, 2100 2nd 
St. SW., Stop 7681, Washington, DC 20593-7681.
    (f) Information concerning a vessel's user fee anniversary date may 
be obtained from any Coast Guard Coast Guard Sector, Officer in Charge, 
Marine Inspection, or Marine Safety Detachment.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
2010-0759, 75 FR 60001, Sept. 29, 2010]



Sec. 2.10-25  Definitions.

    The following definitions apply to this subpart:
    Drill ship MODU means a mobile offshore drilling unit with a ship 
shape displacement hull intended for operation in the floating 
condition.
    Ferry means a vessel that is used on a regular schedule--
    (1) To provide transportation only between places that are not more 
than 300 miles apart; and
    (2) To transport only--
    (i) Passengers; or
    (ii) Vehicles, or railroad cars, that are being used, or have been 
used, in transporting passengers or goods.
    Freight barge means a non-self-propelled vessel carrying freight for 
hire.
    Freight ship means a self-propelled freight vessel.
    Freight vessel means a motor vessel of more than 15 gross tons that 
carries freight for hire, except an oceanographic research vessel or an 
offshore supply vessel.
    Industrial vessel means a vessel which, by reason of its special 
outfit, purpose, design, or function engages in certain industrial 
ventures. For the purposes of this subpart, this classification includes 
such vessels as dredges, cable layers, derrick barges, and construction 
and wrecking barges, but does not include vessels which carry passengers 
or freight for hire, OSVs, oceanographic research vessels, or vessels 
engaged in the fisheries.
    Liquefied gas tankship means a self-propelled vessel equipped with 
cargo tanks primarily designed to carry liquefied or compressed gases in 
bulk.
    Mobile offshore drilling unit (MODU) means a vessel capable of 
engaging in drilling operations for the exploration or exploitation of 
subsea resources that is: seagoing and 300 or more gross tons and self-
propelled by machinery; Seagoing and 100 or more gross tons and non-
self-propelled; or more than 65 feet in length and propelled by steam.
    Nautical school vessel means a vessel operated by or in connection 
with a nautical school or an educational institution under section 13 of 
the Coast Guard Authorization Act of 1986, Public Law 99-640.
    Non-profit organization means an organization under Internal Revenue 
Code (I.R.C.) section 501(c) which is exempt for the purposes of federal 
income taxation.
    Oceanographic research vessel means a vessel that is being employed 
only in instruction in oceanography or limnology, or both, or only in 
oceanographic or limnological research, including those studies about 
the sea such as seismic, gravity meter, and magnetic exploration and 
other marine geophysical or geological surveys, atmospheric research, 
and biological research.
    Offshore supply vessel or OSV means a vessel that--
    (1) Is propelled by machinery other than steam;
    (2) Does not meet the definition of a passenger-carrying vessel in 
46 U.S.C. 2101(22) or 46 U.S.C. 2101(35);
    (3) Is more than 15 but less than 500 gross tons (as measured under 
the

[[Page 32]]

Standard, Dual, or Simplified Measurement System under part 69, subpart 
C, D or E of this chapter) or less than 6,000 gross tons (as measured 
under the Convention Measurement System under part 69, subpart B of this 
chapter); and
    (4) Regularly carries goods, supplies, individuals in addition to 
the crew, or equipment in support of exploration, exploitation, or 
production of offshore mineral or energy resources.
    Passenger barge means a non-self-propelled passenger vessel, 
including a prison barge or a barge which carries occupied recreational 
vehicles.
    Passenger ship means a self-propelled passenger vessel.
    Passenger vessel means a vessel of at least 100 gross tons:
    (1) Carrying more than 12 passengers, including at least one 
passenger for hire;
    (2) That is chartered and carrying more than 12 passengers;
    (3) That is a submersible vessel carrying at least one passenger for 
hire; or
    (4) That is a ferry carrying a passenger.
    Political subdivision means a county, district, parish, township, 
city or similar governmental entity established within a State.
    Publicly owned means, owned by (1) the federal government, or (2) 
the government of any State or political subdivision thereunder.
    Sailing school vessel means a vessel of less than 500 gross tons, 
carrying more than 6 individuals who are sailing school instructors or 
sailing school students, principally equipped for propulsion by sail 
even if the vessel has an auxiliary means of propulsion, and owned or 
demise chartered and operated by a qualified organization during such 
times as the vessel is operated exclusively for the purposes of sailing 
instruction.
    Sea-going towing vessel means a sea-going commercial vessel engaged 
in or intending to engage in the service of pulling, pushing or hauling 
alongside, or any combination of pulling, pushing or hauling alongside.
    Self-elevating MODU means a mobile offshore drilling unit with 
movable legs capable of raising its hull above the surface of the sea.
    Semi-submersible MODU means a mobile offshore drilling unit with the 
main deck connected to an underwater hull by columns or caissons, that 
is intended for drilling operations in the floating condition.
    Small passenger vessel means a vessel of less than 100 gross tons:
    (1) Carrying more than 6 passengers, including at least 1 passenger 
for hire;
    (2) That is chartered with the crew provided or specified by the 
owner or the owner's representative and carrying more than 6 passengers;
    (3) That is chartered with no crew provided or specified by the 
owner or the owner's representative and carrying more than 12 
passengers;
    (4) That is a submersible vessel carrying at least one passenger for 
hire; or
    (5) That is a ferry carrying more than 6 passengers.
    State means a State of the United States, Guam, Puerto Rico, the 
Virgin Islands, American Samoa, the District of Columbia, the Northern 
Mariana Islands and any other territory or possession of the United 
States.
    Submersible MODU means a mobile offshore drilling unit intended for 
drilling operations in the bottom-bearing condition, having the main 
deck connected to an underwater hull or pontoons by way of columns or 
caissons.
    Submersible vessel means a vessel that is capable of operating below 
the surface of the water.
    Tank barge means any tank vessel not equipped with means of 
propulsion.
    Tank vessel means a vessel that is constructed or adapted to carry, 
or that carries, oil or hazardous material in bulk as cargo or cargo 
residue.
    Tankship means any tank vessel propelled by power or sail, including 
an integrated tug and barge designed to operate together only in the 
pushing mode.
    User fee anniversary date means the date on which a vessel's annual 
inspection fee is due each year. Once established by the Coast Guard, a 
vessel's user fee anniversary date remains fixed for as long as the 
vessel remains in service.
    Vessel identification number (VIN) means a U.S. official number, a 
number assigned by a State, a number assigned

[[Page 33]]

by the Coast Guard, or a Lloyd's Register of Shipping identification 
number issued to a U.S. or foreign commercial vessel for purposes of 
vessel identification. For U.S. vessels, VIN means the number listed on 
the Certificate of Inspection. For foreign vessels, VIN means either the 
Lloyd's Register of Shipping identification number or the number 
assigned by the Coast Guard.
    Youth means an individual 21 years of age or younger.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR 
19232, Apr. 21, 1997; CGD 97-057, 62 FR 51041, Sept. 30, 1997; CDG 96-
067, 63 FR 59474, Nov. 4, 1998; USCG-2008-1107; 74 FR 63628, Dec. 4, 
2009]



Sec. 2.10-101  Annual vessel inspection fee.

    (a)(1) Unless otherwise provided by this subpart, each vessel 
required to have a Certificate of Inspection is subject to the annual 
vessel inspection fee listed in table 2.10-101 for its vessel category.
    (2) A vessel certificated for more than one service must pay only 
the higher of the two applicable fees in table 2.10-101 of this section.
    (b) The vessel owner or operator must pay the annual vessel 
inspection fee each year on or before the vessel's user fee anniversary 
date, unless the fee has been prepaid under Sec. 2.10-105 of this 
subpart.
    (c) Payment of the annual vessel inspection fee entitles a vessel to 
all inspection services related to compliance with its Certificate of 
Inspection, including but not limited to the inspection for renewal of 
the Certificate of Inspection, reinspections (annual and periodic 
inspections), hull (drydock) inspections, deficiency inspections, damage 
surveys, repair and modification inspections, change in vessel service 
inspections, permit to proceed inspections, drydock extension 
inspections, and all inspections required for the issuance of 
international certificates.
    (d) Entitlement to inspection services for the current year remains 
with the vessel if it is sold. The entitlement to inspection services 
may not be transferred to any other vessel.

   Table 2.10-101--Annual Vessel Inspection Fees for U.S. and Foreign
              Vessels Requiring a Certificate of Inspection
------------------------------------------------------------------------
 
Any inspected vessel not listed in this table................     $1,030
Freight Barges:
    Length not greater than 150 feet.........................        495
    More than 150 feet but not more than 300 feet............        610
    More than 300 feet.......................................        955
Freight Ships:
    Length not greater than 100 feet.........................      1,425
    More than 100 feet but no more than 300 feet.............      1,870
    More than 300 feet.......................................      5,410
Industrial Vessels:
    Length not greater than 200 feet.........................      1,435
    More than 200 feet.......................................      2,550
Mobile Offshore Drilling Units (MODUs):
    Drill ship MODUs.........................................      6,710
    Submersible MODUs........................................      4,695
    Self-elevating MODUs.....................................      4,695
    Semi-submersible MODUs...................................      8,050
Nautical School Vessels:
    Length not greater than 100 feet.........................        835
    More than 100 feet but not more than 200 feet............      1,450
    More than 200 feet.......................................      7,205
Oceanographic Research Vessels:
    Length not greater than 170 feet.........................        840
    More than 170 feet but not more than 240 feet............      1,980
    More than 240 feet.......................................      3,610
Offshore Supply Vessels:
    Length not greater than 140 feet.........................      1,135
    More than 140 feet.......................................      1,470
Offshore Supply Vessels: Alternate Reinspection Program *:
    Length not greater than 140 feet.........................        940

[[Page 34]]

 
    More than 140 feet.......................................      1,260
Passenger Barges:
    Less than 100 gross tons and:
        Less than 65 feet in length..........................        300
        65 feet or more in length............................        600
    100 gross tons or more and:
        Certified for fewer than 150 passengers..............      2,215
        Certified for 150 or more passengers.................      2,525
Passenger Ships:
    Length not greater than 250 feet:
        Certified for fewer than 150 passengers..............      3,600
        Certified for 150 or more passengers.................      4,050
    More than 250 feet but not more than 350 feet............      5,330
    More than 350 feet but not more than 450 feet............      6,835
    More than 450 feet.......................................     14,650
Sailing School Vessels:
    Length not greater than 30 feet..........................        530
    More than 30 feet but not more than 65 feet..............        560
    More than 65 feet........................................        980
Sea-going Towing Vessels.....................................      2,915
Small Passenger Vessels:
    Less than 65 feet in length..............................        300
    65 feet or more in length................................        600
Tank Barges..................................................        500
Tankships:
    Length not greater than 100 feet.........................      1,295
    More than 100 feet but not more than 300 feet............      2,310
    More than 300 feet.......................................      5,805
Liquefied Gas Tankships......................................    12,120
------------------------------------------------------------------------
* Note: Eligibility for the reduced annual vessel inspection fee for
  Offshore Supply Vessels is contingent upon the vessel's continued
  acceptance in the alternative reinspection program by the cognizant
  Officer in Charge, Marine Inspection.


[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR 
19232, Apr. 21, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004; 
USCG-2010-0759, 75 FR 60001, Sept. 29, 2010]



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

    (a) Vessel owners may prepay the annual vessel inspection fee for 
any period of not less than three years, and not more than the design 
life or remaining expected service life of the vessel.
    (b) To prepay the annual vessel inspection fee for a period of three 
or more years, the owner must submit a written request to Commandant 
(CG-DCO-83) specifying the vessel identification number and the period 
for which prepayment is to be made.
    (c) The total of the annual fees for the requested prepayment period 
will be discounted to its net present value using the following formula:
[GRAPHIC] [TIFF OMITTED] TR13MR95.000

Where:

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

    (d) When the annual vessel inspection fee has been prepaid, the 
entitlement to inspection services for the prepayment period attaches to 
the vessel and

[[Page 35]]

remains with the vessel if it is sold. The entitlement to inspection 
services may not be transferred to any other vessel.
    (e) If a vessel is removed from Coast Guard certification and the 
vessel owner surrenders the vessel's Certificate of Inspection, the 
owner may request a refund of the remaining prepayment amount. The 
annual vessel inspection fee will not be refunded for the year in which 
the Certificate of Inspection is surrendered. The request for refund 
must be submitted to the Officer in Charge, Marine Inspection to whom 
the Certificate of Inspection is surrendered. The Officer in Charge, 
Marine Inspection will endorse and forward the request to Commandant 
(CG-DCO-83) for decision.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
1999-6216, 64 FR 53223, Oct. 1, 1999; USCG-2010-0759, 75 FR 60001, Sept. 
29, 2010]



Sec. 2.10-115  Changes in vessel service.

    (a) If a vessel certificated for a single service, changes service, 
the annual vessel inspection fee is not adjusted during the year in 
which a change in service occurs. The annual vessel inspection fee for 
the new vessel category is payable on the vessel's user fee anniversary 
date immediately following the date of the change in service.
    (b) If a change in service occurs and the annual vessel inspection 
fee has been prepaid, Commandant (CG-DCO-83) will recalculate the 
prepayment amount based on the new vessel category and advise the owner 
of available prepayment options.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR 
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
2004-18884, 69 FR 58341, Sept. 30, 2004 ; USCG-2010-0759, 75 FR 60000, 
Sept. 29, 2010]



Sec. 2.10-120  Overseas inspection and examination fees.

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



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

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

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by USCG-2010-0759, 
75 FR 60001, Sept. 29, 2010]



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

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

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by USCG-2010-0759, 
75 FR 60001, Sept. 29, 2010]



Sec. 2.10-135  Penalties.

    (a) A vessel owner or operator who fails to pay a fee or charge 
established under this subpart is liable to the United States Government 
for a civil penalty.

[[Page 36]]

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

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



                     Subpart 2.20_Reports and Forms



Sec. 2.20-40  Chief engineer's reports.

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

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGFR 68-82, 33 FR 
18804, Dec. 18, 1968; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]



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

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

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]

Subpart 2.45 [Reserved]



                         Subpart 2.50_Penalties



Sec. 2.50-1  Penalty procedures.

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

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



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



Sec. 2.75-1  Approvals.

    (a) Certain navigation and vessel inspection laws, or regulations in 
this chapter or in 33 CFR chapter I, require the Commandant's approval 
before specific types of safety equipment, materials, or installations 
may be installed or used on vessels subject to Coast Guard inspection, 
or on other described vessels, motorboats, artificial islands, and fixed 
structures.
    (b) The Commandant's approvals are issued to persons, partnerships, 
companies, or corporations who offer for sale specific items of safety 
equipment, materials, or installations, or intend them for their own or 
others' use. These approvals are intended to provide a control over the 
quality of such approved items. The Commandant's approvals

[[Page 37]]

apply only to those items constructed or installed in accordance with 
applicable requirements, and the details as described in the documents 
granting specific approval. If a specific item when manufactured does 
not comply with these details, then it is not considered to be approved 
and the approval issued does not apply to such modified item. For 
example, if an item is manufactured with changes in design or material 
not previously approved, the approval does not apply to such modified 
item. The failure to comply with applicable requirements and details 
specified in the approval subjects the holder to immediate suspension of 
approval as described in Sec. 2.75-40, and if necessary, to a public 
hearing seeking withdrawal of approval and removal of all such items 
from use or installation as provided in Sec. 2.75-50.
    (c) The Commandant's approvals are issued to qualified holders in 
the form of certificates of approval (Form CGHQ-10030), by appropriate 
description and identification in documents filed with the Office of the 
Federal Register and published in the Federal Register, or by letters, 
or by appropriate markings on drawings, plans, etc. Under the direction 
of the Commandant, the Assistant Commandant for Marine Safety, Security 
and Stewardship is delegated the authority to exercise the necessary 
actions relating to the granting, suspension, cancellation or revocation 
of approvals for special items of safety equipment, materials or 
installations required by law in regulation in this chapter or in 33 CFR 
chapter I to have the Commandant's approval. The authority delegated to 
the Assistant Commandant for Marine Safety, Security and Stewardship may 
be further delegated by him.
    (d) The approvals granted to holders qualifying under the 
regulations in this chapter or in specifications, copies of which may be 
obtained from the Commandant (CG-521), and to which official Coast Guard 
numbers are assigned, will be in the form of certificates of approval. 
Unless specifically provided otherwise, the approval shall be valid for 
a period of five years from the date on the certificate of approval, but 
subject to suspension and/or cancellation if it is found the item 
offered, sold, or used as Coast Guard approved differs in any detail 
from the item as described in the certificate of approval and referenced 
material.
    (e) A specific Commandant's approval granted to anyone, which is 
described in a certificate of approval, or a letter, or marked plans, 
etc., cannot be transferred to another without a specific prior 
authorization from the Commandant. Such a transfer without the 
Commandant's authorization normally terminates such approval.
    (f) A listing of current and formerly approved equipment and 
materials may be found on the internet at: http://cgmix.uscg.mil/
equipment. Each OCMI may be contacted for information concerning 
approved equipment.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48 
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 95-
072, 60 FR 50459, Sept. 29, 1995; CGD 93-055, 61 FR 13927, Mar. 28, 
1996; CGD 96-041, 61 FR 50725, Sept. 27, 1996; CGD 97-057, 62 FR 51041, 
Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004; USCG-2010-
0759, 75 FR 60001, Sept. 29, 2010]



Sec. 2.75-5  Certificates of approval.

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

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48 
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 96-
041, 61 FR 50725, Sept. 27, 1996; CGD 97-057, 62 FR 51041, Sept. 30, 
1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]



Sec. 2.75-10  Procedures for obtaining approvals.

    (a) The requirements for obtaining approvals of items covered by 
specifications and bearing official Coast Guard approval numbers are set 
forth

[[Page 38]]

in parts 159 through 164 of this chapter. For other items, the 
requirements are described in the regulations governing such items.
    (b) Unless otherwise specified, correspondence concerning approvals 
should be addressed to the Commandant (CG-521), 2100 2nd St., SW., Stop 
7126, Washington, DC 20593-7126. When plans, drawings, test data, etc., 
are required to be submitted by the manufacturer, the material being 
transmitted with the application should be clearly identified.

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



Sec. 2.75-15  Requirements and tests.

    (a) Approved items described in certificates of approval are usually 
required to meet specific requirements and/or tests, prior to obtaining 
the approval. Additional factory tests to determine that proper 
uniformity and quality controls are followed during the manufacture of 
the specific items may be required. These requirements governing the 
manufacturer in particular are set forth in the regulations in this 
chapter or in specifications, copies of which may be obtained from the 
Commandant (CG-521). If the requirements are met, a certificate of 
approval will be issued.
    (b) When the specific item described in an application, together 
with accompanying drawings, plans, etc., does not meet applicable 
requirements or fails to meet specified tests, the applicant will be 
notified accordingly. The Coast Guard may suggest changes in order for 
the item to qualify and permit the issuance of an approval.
    (c) For items not covered by specification requirements in parts 160 
to 164, inclusive (subchapter Q--Specifications) of this chapter, the 
requirements in the navigation and vessel inspection laws, and 
applicable regulations in this chapter or in 33 CFR chapter I apply and 
shall be met before approvals may be issued.

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



Sec. 2.75-25  Portable fire extinguishers.

    (a) The portable fire extinguishers listed and labeled as marine 
type by a recognized laboratory, as provided in subpart 162.028 of part 
162 of subchapter Q (Specifications) of this chapter, will be accepted 
as approved for use on merchant vessels, motorboats, etc., whenever 
required by the regulations in this chapter, and for use on artificial 
islands and fixed structures on the Outer Continental Shelf whenever 
required by the regulations in 33 CFR parts 140 to 146, inclusive.
    (b) The procedures for manufacturers to follow and the requirements 
governing portable fire extinguishers to qualify being listed and 
labeled as marine type by a recognized laboratory are set forth in 
subpart 162.028 of part 162 of subchapter Q (Specifications) of this 
chapter.
    (c) The procedures for a laboratory to qualify as a recognized 
laboratory and to be listed in Sec. 162.028-5 of subchapter Q 
(Specifications) of this chapter are as follows:
    (1) The laboratory shall submit an informal application in writing 
on its usual letterhead paper to the Commandant (CG-52), United States 
Coast Guard, Washington, DC 20593, requesting recognition and listing, 
as a recognized laboratory.
    (2) Accompanying the informal application, as identified enclosures, 
shall be:
    (i) A certification that it is a laboratory which has been and is 
regularly engaged in the examination, testing, and evaluation of 
portable fire extinguishers.
    (ii) A certification that it has an established factory inspection, 
listing, and labeling program, together with a complete description of 
it and how it works.
    (iii) A description of its facilities used in the examination, 
testing, and

[[Page 39]]

evaluation of portable fire extinguishers, together with its name (if 
different from that of submitter), and location (city, street, and 
state).
    (iv) A list of the names and home and office addresses of its 
principal officers and its managing directors (if any).
    (v) A description of its special standards for listing and labeling 
portable fire extinguishers as marine type, as contemplated by the 
specification in subpart 162.028 of part 162 of subchapter Q 
(Specifications) of this chapter.
    (3) If the Commandant finds that a laboratory qualifies as a 
recognized laboratory, and it is subject to Coast Guard jurisdiction, 
the approval and listing will be published in the Federal Register and 
will be in effect until suspended, canceled or terminated by proper 
authority. The failure of a recognized laboratory to maintain its 
established factory inspection, listing and labeling program as approved 
by the Commandant shall be cause for terminating a listing as a 
recognized laboratory.

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



Sec. 2.75-40  Suspension of approval.

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



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

    (a) The Commandant may withdraw approval for any item which is found 
not to be in compliance with the conditions of approval, found to be 
unsuitable for its intended purpose, or does not meet the requirements 
of applicable regulations.
    (b) Approvals of equipment are terminated when the manufacturer is 
no longer in business, or when the item is no longer being manufactured, 
or when the approval expires.
    (c) Any person directly affected by a decision to deny, withdraw, or 
terminate an approval may appeal the decision to Director of Commercial 
Regulations & Standards (CG-52) as provided in Sec. 1.03-15 of this 
chapter.

[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 93-055, 61 FR 
13927, Mar. 28, 1996; CGD 96-041, 61 FR 50725, Sept. 27, 1996; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 
30, 2004]



Sec. 2.75-60  Hazardous ships' stores.

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

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



Sec. 2.75-70  Welding procedure and performance qualifications.

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

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

[[Page 40]]



                         Subpart 2.85_Load Lines



Sec. 2.85-1  Assignment of load lines.

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

[CGD 95-028, 62 FR 51195, Sept. 30, 1997, as amended by USCG-1998-4442, 
63 FR 52188, Sept. 30, 1998; USCG-2004-18884, 69 FR 58341, Sept. 30, 
2004]



               Subpart 2.90_Plans, Drawings or Blueprints



Sec. 2.90-1  General requirements.

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

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



             Subpart 2.95_Retention of Records by the Public



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

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



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

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

[[Page 41]]

    (3) If the certificate or documents is evidence of a person's 
qualifications, it shall be retained for so long as it is valid unless 
it is required to be surrendered.



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

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



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



                   Subpart 3.01_Authority and Purpose

Sec.
3.01-1 Purpose of regulations.

                        Subpart 3.03_Application

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

           Subpart 3.05_Definition of Terms Used in This Part

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

                        Subpart 3.10_Designation

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

    Authority: 46 U.S.C. 2113, 3306; Department of Homeland Security 
Delegation No. 0170.1.

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



                   Subpart 3.01_Authority and Purpose



Sec. 3.01-1  Purpose of regulations.

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

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



                        Subpart 3.03_Application



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

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

[CGD 77-081, 46 FR 56202, Nov. 16, 1981, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997; USCG-2005-22329, 70 FR 57183, Sept. 30, 2005]



           Subpart 3.05_Definition of Terms Used in This Part



Sec. 3.05-1  Letter of designation.

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



Sec. 3.05-3  Oceanographic research vessel.

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



                        Subpart 3.10_Designation



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

    (a) Upon written request by the owner, master, or agent of a vessel, 
a determination will be made by the Officer in Charge, Marine 
Inspection, of the zone in which the vessel is located, whether the 
vessel may be designated as an oceanographic research vessel.

[[Page 42]]

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

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



Sec. 3.10-5  Renewal of letter of designation.

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



Sec. 3.10-10  Right of appeal.

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

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



PART 4_MARINE CASUALTIES AND INVESTIGATIONS--Table of Contents



             Subpart 4.01_Authority and Scope of Regulations

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

                        Subpart 4.03_Definitions

4.03-1 Marine casualty or accident.
4.03-2 Serious marine incident.
4.03-4 Individual directly involved in a serious marine incident.
4.03-5 Medical facility.
4.03-6 Qualified medical personnel.
4.03-7 Chemical test.
4.03-10 Party in interest.
4.03-15 Commandant.
4.03-20 Coast Guard district.
4.03-25 District Commander.
4.03-30 Investigating officer.
4.03-35 Nuclear vessel.
4.03-40 Public vessels.
4.03-45 Marine employer.
4.03-50 Recreational vessel.
4.03-55 Law enforcement officer.
4.03-60 Noxious liquid substance (NLS).
4.03-65 Significant harm to the environment.
4.03-70 Tank vessel.
4.03-75 Merchant mariner credential and credential.

            Subpart 4.04_Notice of Potential Vessel Casualty

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

        Subpart 4.05_Notice of Marine Casualty and Voyage Records

4.05-1 Notice of marine casualty.
4.05-2 Incidents involving foreign tank vessels.
4.05-5 Substance of marine casualty notice.
4.05-10 Written report of marine casualty.
4.05-12 Alcohol or drug use by individuals directly involved in 
          casualties.
4.05-15 Voyage records, retention of.
4.05-20 Report of accident to aid to navigation.

[[Page 43]]

4.05-25 Reports when state of war exists.
4.05-30 Incidents involving hazardous materials.
4.05-35 Incidents involving nuclear vessels.
4.05-40 Alternate electronic means of reporting.

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

4.06-1 Responsibilities of the marine employer.
4.06-3 Requirements for alcohol and drug testing following a serious 
          marine incident.
4.06-5 Responsibility of individuals directly involved in serious marine 
          incidents.
4.06-15 Accessibility of chemical testing devices.
4.06-20 Specimen collection requirements.
4.06-30 Specimen collection in incidents involving fatalities.
4.06-40 Specimen handling and shipping.
4.06-50 Specimen analysis and follow-up procedures.
4.06-60 Submission of reports and test results.
4.06-70 Penalties.

                       Subpart 4.07_Investigations

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

               Subpart 4.09_Marine Board of Investigation

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

                 Subpart 4.11_Witnesses and Witness Fees

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

        Subpart 4.12_Testimony by Interrogatories and Depositions

4.12-1 Application, procedure, and admissibility.

                  Subpart 4.13_Availability of Records

4.13-1 Public availability of records.

     Subpart 4.19_Construction of Regulations and Rules of Evidence

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

                    Subpart 4.21_Computation of Time

4.21-1 Computation of time.

               Subpart 4.23_Evidence of Criminal Liability

4.23-1 Evidence of criminal liability.

  Subpart 4.40_Coast Guard_National Transportation Safety Board Marine 
                         Casualty Investigations

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

    Authority: 33 U.S.C. 1231; 43 U.S.C. 1333; 46 U.S.C. 2103, 2303a, 
2306, 6101, 6301, and 6305; 50 U.S.C. 198; Department of Homeland 
Security Delegation No. 0170.1. Subpart 4.40 issued under 49 U.S.C. 
1903(a)(1)(E).

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



             Subpart 4.01_Authority and Scope of Regulations



Sec. 4.01-1  Scope of regulation.

    The regulations in this part govern the reporting of marine 
casualties, the investigation of marine casualties and

[[Page 44]]

the submittal of reports designed to increase the likelihood of timely 
assistance to vessels in distress.

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



Sec. 4.01-3  Reporting exclusion.

    (a) Vessels subject to 33 CFR 173.51 are excluded from the 
requirements of subpart 4.05.
    (b) Vessels which report diving accidents under 46 CFR 197.484 
regarding deaths, or injuries which cause incapacitation for greater 
than 72 hours, are not required to give notice under Sec. 4.05-1(a)(5) 
or Sec. 4.05-1(a)(6).
    (c) Vessels are excluded from the requirements of Sec. 4.05-1(a)(5) 
and (a)(6) with respect to the death or injury of shipyard or harbor 
workers when such accidents are not the result of either a vessel 
casualty (e.g., collision) or a vessel equipment casualty (e.g., cargo 
boom failure) and are subject to the reporting requirements of 
Occupational Safety and Health Administration (OSHA) under 29 CFR 1904.
    (d) Except as provided in subpart 4.40, public vessels are excluded 
from the requirements of this part.

[CGD 76-170, 45 FR 77441, Nov. 24, 1980; 46 FR 19235, Mar. 30, 1981, as 
amended by CGD 76-170, 47 FR 39684, Sept. 9, 1982; CGD 95-028, 62 FR 
51195, Sept. 30, 1997; USCG-2000-7790, 65 FR 58458, Sept. 29, 2000]



                        Subpart 4.03_Definitions



Sec. 4.03-1  Marine casualty or accident.

    Marine casualty or accident means--
    (a) Any casualty or accident involving any vessel other than a 
public vessel that--
    (1) Occurs upon the navigable waters of the United States, its 
territories or possessions;
    (2) Involves any United States vessel wherever such casualty or 
accident occurs; or
    (3) With respect to a foreign tank vessel operating in waters 
subject to the jurisdiction of the United States, including the 
Exclusive Economic Zone (EEZ), involves significant harm to the 
environment or material damage affecting the seaworthiness or efficiency 
of the vessel.
    (b) The term ``marine casualty or accident'' applies to events 
caused by or involving a vessel and includes, but is not limited to, the 
following:
    (1) Any fall overboard, injury, or loss of life of any person.
    (2) Any occurrence involving a vessel that results in--
    (i) Grounding;
    (ii) Stranding;
    (iii) Foundering;
    (iv) Flooding;
    (v) Collision;
    (vi) Allision;
    (vii) Explosion;
    (viii) Fire;
    (ix) Reduction or loss of a vessel's electrical power, propulsion, 
or steering capabilities;
    (x) Failures or occurrences, regardless of cause, which impair any 
aspect of a vessel's operation, components, or cargo;
    (xi) Any other circumstance that might affect or impair a vessel's 
seaworthiness, efficiency, or fitness for service or route; or
    (xii) Any incident involving significant harm to the environment.
    (3) Any occurrences of injury or loss of life to any person while 
diving from a vessel and using underwater breathing apparatus.
    (4) Any incident described in Sec. 4.05-1(a).

[USCG-2000-6927, 70 FR 74675, Dec. 16, 2005]



Sec. 4.03-2  Serious marine incident.

    The term serious marine incident includes the following events 
involving a vessel in commercial service:
    (a) Any marine casualty or accident as defined in Sec. 4.03-1 which 
is required by Sec. 4.05-1 to be reported to the Coast Guard and which 
results in any of the following:
    (1) One or more deaths;
    (2) An injury to a crewmember, passenger, or other person which 
requires professional medical treatment beyond first aid, and, in the 
case of a person employed on board a vessel in commercial service, which 
renders the individual unfit to perform routine vessel duties;
    (3) Damage to property, as defined in Sec. 4.05-1(a)(7) of this 
part, in excess of $100,000;
    (4) Actual or constructive total loss of any vessel subject to 
inspection under 46 U.S.C. 3301; or

[[Page 45]]

    (5) Actual or constructive total loss of any self-propelled vessel, 
not subject to inspection under 46 U.S.C. 3301, of 100 gross tons or 
more.
    (b) A discharge of oil of 10,000 gallons or more into the navigable 
waters of the United States, as defined in 33 U.S.C. 1321, whether or 
not resulting from a marine casualty.
    (c) A discharge of a reportable quantity of a hazardous substance 
into the navigable waters of the United States, or a release of a 
reportable quantity of a hazardous substance into the environment of the 
United States, whether or not resulting from a marine casualty.

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



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

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

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



Sec. 4.03-5  Medical facility.

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

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



Sec. 4.03-6  Qualified medical personnel.

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

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



Sec. 4.03-7  Chemical test.

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

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



Sec. 4.03-10  Party in interest.

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



Sec. 4.03-15  Commandant.

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



Sec. 4.03-20  Coast Guard district.

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



Sec. 4.03-25  District Commander.

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



Sec. 4.03-30  Investigating officer.

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

[[Page 46]]



Sec. 4.03-35  Nuclear vessel.

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

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



Sec. 4.03-40  Public vessels.

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

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



Sec. 4.03-45  Marine employer.

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

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



Sec. 4.03-50  Recreational vessel.

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

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



Sec. 4.03-55  Law enforcement officer.

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

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



Sec. 4.03-60  Noxious liquid substance (NLS).

    Noxious liquid substance (NLS) means--
    (a) Each substance listed in 33 CFR 151.47 or 151.49;
    (b) Each substance having an ``A,'' ``B,'' ``C,'' or ``D'' beside 
its name in the column headed ``IMO Annex II pollution category'' in 
table 1 of part 153 of this chapter; and
    (c) Each substance that is identified as an NLS in a written 
permission issued under Sec. 153.900(d) of this chapter.

[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]



Sec. 4.03-65  Significant harm to the environment.

    Significant harm to the environment means--
    (a) In the navigable waters of the United States, a discharge of oil 
as set forth in 40 CFR 110.3 or a discharge of hazardous substances in 
quantities equal to or exceeding, in any 24-hour period, the reportable 
quantity determined in 40 CFR part 117;
    (b) In other waters subject to the jurisdiction of the United 
States, including the EEZ--
    (1) A discharge of oil in excess of the quantities or instantaneous 
rate permitted in 33 CFR 151.10 or 151.13 during operation of the ship; 
or
    (2) A discharge of noxious liquid substances in bulk in violation of 
Sec. Sec. 153.1126 or 153.1128 of this chapter during the operation of 
the ship; and
    (c) In waters subject to the jurisdiction of the United States, 
including the EEZ, a probable discharge of oil, hazardous substances, 
marine pollutants, or noxious liquid substances. The factors you must 
consider to determine whether a discharge is probable include, but are 
not limited to--
    (1) Ship location and proximity to land or other navigational 
hazards;
    (2) Weather;
    (3) Tide current;
    (4) Sea state;
    (5) Traffic density;
    (6) The nature of damage to the vessel; and
    (7) Failure or breakdown aboard the vessel, its machinery, or 
equipment.

[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]



Sec. 4.03-70   Tank vessel.

    Tank vessel means a vessel that is constructed or adapted to carry, 
or that carries, oil, hazardous substances, marine pollutants, or 
noxious liquid substances, in bulk as cargo or cargo residue.

[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]

[[Page 47]]



Sec. 4.03-75  Merchant mariner credential and credential.

    The following definitions apply to this part:
    Credential means any or all of the following:
    (1) Merchant mariner's document.
    (2) Merchant mariner's license.
    (3) STCW endorsement.
    (4) Certificate of registry.
    (5) Merchant mariner credential.
    Merchant mariner credential or MMC means the credential issued by 
the Coast Guard under 46 CFR part 10. It combines the individual 
merchant mariner's document, license, and certificate of registry 
enumerated in 46 U.S.C. subtitle II part E as well as the STCW 
endorsement into a single credential that serves as the mariner's 
qualification document, certificate of identification, and certificate 
of service.

[USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]



            Subpart 4.04_Notice of Potential Vessel Casualty

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



Sec. 4.04-1  Reports of potential vessel casualty.

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

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



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

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

(Information collection requirements approved by the Office of 
Management and Budget under control number 1625-0048)

[CGD 85-015, 51 FR 19341, May 29, 1986, as amended by USCG-2006-25697, 
71 FR 55745, Sept. 25, 2006]



Sec. 4.04-5  Substance of reports.

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

(Information collection requirements approved by the Office of 
Management and Budget under control number 1625-0048)

[CGD 85-015, 51 FR 19341, May 29, 1986, as amended by USCG-2006-25697, 
71 FR 55745, Sept. 25, 2006]



        Subpart 4.05_Notice of Marine Casualty and Voyage Records



Sec. 4.05-1  Notice of marine casualty.

    (a) Immediately after the addressing of resultant safety concerns, 
the owner, agent, master, operator, or person in charge, shall notify 
the nearest Sector Office, Marine Inspection Office or Coast Guard Group 
Office whenever a vessel is involved in a marine casualty consisting 
in--
    (1) An unintended grounding, or an unintended strike of (allison 
with) a bridge;
    (2) An intended grounding, or an intended strike of a bridge, that 
creates a hazard to navigation, the environment, or the safety of a 
vessel, or that

[[Page 48]]

meets any criterion of paragraphs (a) (3) through (8);
    (3) A loss of main propulsion, primary steering, or any associated 
component or control system that reduces the maneuverability of the 
vessel;
    (4) An occurrence materially and adversely affecting the vessel's 
seaworthiness or fitness for service or route, including but not limited 
to fire, flooding, or failure of or damage to fixed fire-extinguishing 
systems, lifesaving equipment, auxiliary power-generating equipment, or 
bilge-pumping systems;
    (5) A loss of life;
    (6) An injury that requires professional medical treatment 
(treatment beyond first aid) and, if the person is engaged or employed 
on board a vessel in commercial service, that renders the individual 
unfit to perform his or her routine duties; or
    (7) An occurrence causing property-damage in excess of $25,000, this 
damage including the cost of labor and material to restore the property 
to its condition before the occurrence, but not including the cost of 
salvage, cleaning, gas-freeing, drydocking, or demurrage.
    (8) An occurrence involving significant harm to the environment as 
defined in Sec. 4.03-65.
    (b) Notice given as required by 33 CFR 160.215 satisfies the 
requirement of this section if the marine casualty involves a hazardous 
condition as defined by 33 CFR 160.203.
    (c) Except as otherwise required under this subpart, if the marine 
casualty exclusively involves an occurrence or occurrences described by 
paragraph (a)(8) of this section, a report made pursuant to 33 CFR 
153.203, 40 CFR 117.21, or 40 CFR 302.6 satisfies the immediate 
notification requirement of this section.

[CGD 94-030, 59 FR 39471, Aug. 3, 1994, as amended by USCG-2000-6927, 70 
FR 74676, Dec. 16, 2005; USCG-2006-25556, 72 FR 36330, July 2, 2007]



Sec. 4.05-2  Incidents involving foreign tank vessels.

    (a) Within the navigable waters of the United States, its 
territories, or possessions. The marine casualty reporting and 
investigation criteria of this part apply to foreign tank vessels 
operating on the navigable waters of the United States, its territories, 
or possessions. A written marine casualty report must be submitted under 
Sec. 4.05-10 of this chapter.
    (b) Outside the U.S. navigable waters and within the Exclusive 
Economic Zone (EEZ). The owner, agent, master, operator, or person in 
charge of a foreign tank vessel involved in a marine casualty must 
report under procedures detailed in 33 CFR 151.15, immediately after 
addressing resultant safety concerns, whenever the marine casualty 
involves, or results in--
    (1) Material damage affecting the seaworthiness or efficiency of the 
vessel; or
    (2) An occurrence involving significant harm to the environment as a 
result of a discharge, or probable discharge, resulting from damage to 
the vessel or its equipment. The factors you must consider to determine 
whether a discharge is probable include, but are not limited to--
    (i) Ship location and proximity to land or other navigational 
hazards;
    (ii) Weather;
    (iii) Tide current;
    (iv) Sea state;
    (v) Traffic density;
    (vi) The nature of damage to the vessel; and
    (vii) Failure or breakdown aboard the vessel, its machinery, or 
equipment.

[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]



Sec. 4.05-5  Substance of marine casualty notice.

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

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



Sec. 4.05-10  Written report of marine casualty.

    (a) The owner, agent, master, operator, or person in charge shall, 
within five days, file a written report of any

[[Page 49]]

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

[CGD 94-030, 63 FR 19192, Apr. 17, 1998, as amended by USCG-2006-25556, 
72 FR 36330, July 2, 2007]



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

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

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



Sec. 4.05-15  Voyage records, retention of.

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



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

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

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



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

    During the period when a state of war exists between the United 
States and any foreign nation, communications in regard to casualties or 
accidents shall

[[Page 50]]

be handled with caution and the reports shall not be made by radio or by 
telegram.



Sec. 4.05-30  Incidents involving hazardous materials.

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

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



Sec. 4.05-35  Incidents involving nuclear vessels.

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

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



Sec. 4.05-40  Alternate electronic means of reporting.

    The Commandant may approve alternate electronic means of submitting 
notices and reports required under this subpart.

[USCG-1999-6216, 64 FR 53223, Oct. 1, 1999]



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

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



Sec. 4.06-1  Responsibilities of the marine employer.

    (a) At the time of occurrence of a marine casualty, a discharge of 
oil into the navigable waters of the United States, a discharge of a 
hazardous substance into the navigable waters of the United States, or a 
release of a hazardous substance into the environment of the United 
States, the marine employer shall make a timely, good faith 
determination as to whether the occurrence currently is, or is likely to 
become, a serious marine incident.
    (b) When a marine employer determines that a casualty or incident 
is, or is likely to become, a serious marine incident, the marine 
employer shall take all practicable steps to have each individual 
engaged or employed on board the vessel who is directly involved in the 
incident chemically tested for evidence of drug and alcohol use as 
required in this part.
    (c) The marine employer determines which individuals are directly 
involved in a serious marine incident (SMI). A law enforcement officer 
may determine that additional individuals are directly involved in the 
SMI. In these cases, the marine employer must take all practical steps 
to have these additional individuals tested according to this part.
    (d) The requirements of this subpart do not prevent personnel who 
are required to be tested from performing duties in the aftermath of an 
SMI when their performance is necessary to respond to safety concerns 
directly related to the incident.
    (e) The marine employer shall ensure that all individuals engaged or 
employed on board a vessel are fully indoctrinated in the requirements 
of this subpart, and that appropriate vessel personnel are trained as 
necessary in the practical applications of these requirements.

[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by USCG-2000-7759, 
66 FR 42967, Aug. 16, 2001; USCG-2001-8773, 70 FR 75960, Dec. 22, 2005]



Sec. 4.06-3  Requirements for alcohol and drug testing following a 
serious marine incident.

    When a marine employer determines that a casualty or incident is, or 
is likely to become, an SMI, the marine employer must ensure that the 
following alcohol and drug testing is conducted:
    (a) Alcohol testing. (1) Alcohol testing must be conducted on each 
individual engaged or employed on board the vessel who is directly 
involved in the SMI.
    (i) The alcohol testing of each individual must be conducted within 
2 hours of when the SMI occurred, unless precluded by safety concerns 
directly related to the incident.

[[Page 51]]

    (ii) If safety concerns directly related to the SMI prevent the 
alcohol testing from being conducted within 2 hours of the occurrence of 
the incident, then alcohol testing must be completed as soon as the 
safety concerns are addressed.
    (iii) Alcohol testing is not required to be conducted more than 8 
hours after the occurrence of the SMI.
    (2) Alcohol-testing devices must be used according to the procedures 
specified by the manufacturer of the testing device and by this part.
    (3) If the alcohol testing required in paragraphs (a)(1)(i) and 
(a)(1)(ii) of this section is not conducted, the marine employer must 
document on form CG-2692B the reason why the testing was not conducted.
    (4) The marine employer may use alcohol-testing results from tests 
conducted by Coast Guard or local law enforcement personnel to satisfy 
the alcohol testing requirements of this part only if the alcohol 
testing meets all of the requirements of this part.
    (b) Drug testing. (1) Drug testing must be conducted on each 
individual engaged or employed on board the vessel who is directly 
involved in the SMI.
    (i) The collection of drug-test specimens of each individual must be 
conducted within 32 hours of when the SMI occurred, unless precluded by 
safety concerns directly related to the incident.
    (ii) If safety concerns directly related to the SMI prevent the 
collection of drug-test specimens from being conducted within 32 hours 
of the occurrence of the incident, then the collection of drug-test 
specimens must be conducted as soon as the safety concerns are 
addressed.
    (2) If the drug-test specimens required in paragraphs (b)(1)(i) and 
(b)(1)(ii) of this section were not collected, the marine employer must 
document on form CG-2692B the reason why the specimens were not 
collected.

[USCG-2001-8773, 70 FR 75960, Dec. 22, 2005]



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

    (a) Any individual engaged or employed on board a vessel who is 
determined to be directly involved in an SMI must provide a blood, 
breath, saliva, or urine specimen for chemical testing when directed to 
do so by the marine employer or a law enforcement officer.
    (b) If the individual refuses to provide a blood, breath, saliva, or 
urine specimen, this refusal must be noted on form CG-2692B and in the 
vessel's official log book, if a log book is required. The marine 
employer must remove the individual as soon as practical from duties 
that directly affect the safe operation of the vessel.
    (c) Individuals subject to alcohol testing after an SMI are 
prohibited from consuming alcohol beverages for 8 hours following the 
occurrence of the SMI or until after the alcohol testing required by 
this part is completed.
    (d) No individual may be compelled to provide specimens for alcohol 
and drug testing required by this part. However, refusal to provide 
specimens is a violation of this subpart and may subject the individual 
to suspension and revocation proceedings under part 5 of this chapter, a 
civil penalty, or both.

[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]



Sec. 4.06-15  Accessibility of chemical testing devices.

    (a) Alcohol testing. (1) The marine employer must have a sufficient 
number of alcohol testing devices readily accessible on board the vessel 
to determine the presence of alcohol in the system of each individual 
who was directly involved in the SMI.
    (2) All alcohol testing devices used to meet the requirements of 
this part must be currently listed on either the Conforming Products 
List (CPL) titled ``Modal Specifications for Devices To Measure Breath 
Alcohol'' or ``Conforming Products List of Screening Devices To Measure 
Alcohol in Bodily Fluids,'' which are published periodically in the 
Federal Register by National Highway Traffic Safety Administration 
(NHTSA).
    (3) The alcohol testing devices need not be carried on board each 
vessel if obtaining the devices and conducting the required alcohol 
tests can be accomplished within 2 hours from the time of occurrence of 
the SMI.

[[Page 52]]

    (b) Drug testing. (1) The marine employer must have a sufficient 
number of urine-specimen collection and shipping kits meeting the 
requirements of 49 CFR part 40 that are readily accessible for use 
following SMIs.
    (2) The specimen collection and shipping kits need not be carried on 
board each vessel if obtaining the kits and collecting the specimen can 
be completed within 32 hours from the time of the occurrence of the SMI.

[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]



Sec. 4.06-20  Specimen collection requirements.

    (a) Alcohol testing. (1) When conducting alcohol testing required in 
Sec. 4.06-3(a), an individual determined under this part to be directly 
involved in the SMI must provide a specimen of their breath, blood, or 
saliva to the marine employer as required in this subpart.
    (2) Collection of an individual's blood to comply with Sec. 4.06-
3(a) must be taken only by qualified medical personnel.
    (3) Collection of an individual's saliva or breath to comply with 
Sec. 4.06-3(a) must be taken only by personnel trained to operate the 
alcohol-testing device in use and must be conducted according to this 
subpart.
    (b) Drug testing. (1) When conducting drug testing required in Sec. 
4.06-3(b), an individual determined under this part to be directly 
involved in the SMI must provide a specimen of their urine according to 
46 CFR part 16 and 49 CFR part 40.
    (2) Specimen collection and shipping kits used to conduct drug 
testing must be used according to 49 CFR part 40.

[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]



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

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



Sec. 4.06-40  Specimen handling and shipping.

    (a) The marine employer shall ensure that blood specimens collected 
in accordance with Sec. Sec. 4.06-20 and 4.06-30 are promptly shipped 
to a testing laboratory qualified to conduct tests on such specimens. A 
proper chain of custody must be maintained for each specimen from the 
time of collection through the authorized disposition of the specimen. 
Blood specimens must be shipped to the laboratory in a cooled condition 
by any means adequate to ensure delivery within twenty-four (24) hours 
of receipt by the carrier.
    (b) The marine employer shall ensure that the urine specimen 
collection procedures of Sec. 16.113 of this chapter and the chain of 
custody requirements of 49 CFR part 40, subpart D, are complied with. 
The marine employer shall ensure that urine specimens required by 
Sec. Sec. 4.06-20 and 4. 06-30 are promptly shipped to a laboratory 
complying with the requirements of 49 CFR part 40. Urine specimens must 
be shipped by an expeditious means, but need not be shipped in a cooled 
condition for overnight delivery.

[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by USCG-2000-7759, 
66 FR 42967, Aug. 16, 2001]



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

    (a) Each laboratory will provide prompt analysis of specimens 
collected under this subpart, consistent with the

[[Page 53]]

need to develop all relevant information and to produce a complete 
analysis report.
    (b) Reports shall be sent to the Medical Review Officer meeting the 
requirements of 49 CFR 40.121, as designated by the marine employer 
submitting the specimen for testing. Wherever a urinalysis report 
indicates the presence of a dangerous drug or drug metabolite, the 
Medical Review Officer shall review the report as required by 49 CFR 
part 40, subpart G, and submit his or her findings to the marine 
employer. Blood test reports indicating the presence of alcohol shall be 
similarly reviewed to determine if there is a legitimate medical 
explanation.
    (c) Analysis results which indicate the presence of alcohol, 
dangerous drugs, or drug metabolites shall not be construed by 
themselves as constituting a finding that use of drugs or alcohol was 
the probable cause of a serious marine incident.

[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 90-053, 58 FR 
31107, May 28, 1993; USCG-2000-7759, 66 FR 42967, Aug. 16, 2001]



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

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

[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 97-057, 62 FR 
51041, Sept. 30, 1997; USCG-1999-6216, 64 FR 53223, Oct. 1, 1999]



Sec. 4.06-70  Penalties.

    Violation of this part is subject to the civil penalties set forth 
in 46 U.S.C. 2115.

[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]



                       Subpart 4.07_Investigations



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

    (a) The Commandant or District Commander upon receipt of information 
of a marine casualty or accident, will immediately cause such 
investigation as may be necessary in accordance with the regulations in 
this part.
    (b) The investigations of marine casualties and accidents and the 
determinations made are for the purpose of taking appropriate measures 
for promoting safety of life and property at sea, and are not intended 
to fix civil or criminal responsibility.
    (c) The investigation will determine as closely as possible:
    (1) The cause of the accident;
    (2) Whether there is evidence that any failure of material (either 
physical or design) was involved or contributed to the casualty, so that 
proper recommendations for the prevention of the recurrence of similar 
casualties may be made;
    (3) Whether there is evidence that any act of misconduct, 
inattention to duty, negligence or willful violation of

[[Page 54]]

the law on the part of any person holding a Coast Guard credential 
contributed to the casualty, so that appropriate proceedings against the 
credential of such person may be recommended and taken under 46 U.S.C. 
6301;
    (4) Whether there is evidence that any Coast Guard personnel or any 
representative or employee of any other government agency or any other 
person caused or contributed to the cause of the casualty; or,
    (5) Whether the accident shall be further investigated by a Marine 
Board of Investigation in accordance with regulations in subpart 4.09.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 97-057, 62 
FR 51041, Sept. 30, 1997; USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]



Sec. 4.07-5  Investigating officers, powers of.

    (a) An investigating officer investigates each marine casualty or 
accident reported under Sec. Sec. 4.05-1 and 4.05-10.
    (b) Such investigating officer shall have the power to administer 
oaths, subpoena witnesses, require persons having knowledge of the 
subject matter of the investigation to answer questionnaires and require 
the production of relevant books, papers, documents and other records.
    (c) Attendance of witnesses or the production of books, papers, 
documents or any other evidence shall be compelled by a similar process 
as in the United States District Court.

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



Sec. 4.07-7  Opening statement.

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



Sec. 4.07-10  Report of investigation.

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

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 75-196, 41 
FR 18655, May 6, 1976; CGD 97-057, 62 FR 51042, Sept. 30, 1997; USCG-
2006-24371, 74 FR 11214, Mar. 16, 2009]



Sec. 4.07-15  Recommendations, action on.

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

[[Page 55]]



Sec. 4.07-20  Transfer of jurisdiction.

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



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

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



Sec. 4.07-30  Testimony of witnesses under oath.

    (a) Witnesses to marine casualties or accidents appearing before an 
investigating officer may be placed under oath and their testimony may 
be reduced to writing.
    (b) Written statements and reports submitted as evidence by 
witnesses shall be sworn to before an officer authorized to administer 
oaths and such statements and/or reports shall be signed.



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

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



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

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



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

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



               Subpart 4.09_Marine Board of Investigation



Sec. 4.09-1  Commandant to designate.

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

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



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

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

[[Page 56]]



Sec. 4.09-10  Witnesses, payment of.

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



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

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



Sec. 4.09-17  Sessions to be public.

    (a) All sessions of a Marine Board of Investigation for the purpose 
of obtaining evidence shall normally be open to the public, subject to 
the provision that the conduct of any person present shall not be 
allowed to interfere with the proper and orderly functioning of the 
Board. Sessions will not be open to the public when evidence of a 
classified nature or affecting national security is to be received.



Sec. 4.09-20  Record of proceedings.

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



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

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



Sec. 4.09-30  Action on report.

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



Sec. 4.09-35  Preferment of charges.

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



                 Subpart 4.11_Witnesses and Witness Fees



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

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



Sec. 4.11-5  Coercion of witnesses.

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



Sec. 4.11-10  Witness fees and allowances.

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

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

[[Page 57]]



        Subpart 4.12_Testimony by Interrogatories and Depositions



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

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

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



                  Subpart 4.13_Availability of Records



Sec. 4.13-1  Public availability of records.

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

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



     Subpart 4.19_Construction of Regulations and Rules of Evidence



Sec. 4.19-1  Construction of regulations.

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



Sec. 4.19-5  Adherence to rules of evidence.

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

[[Page 58]]



                    Subpart 4.21_Computation of Time



Sec. 4.21-1  Computation of time.

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



               Subpart 4.23_Evidence of Criminal Liability



Sec. 4.23-1  Evidence of criminal liability.

    If, as a result of any investigation or other proceeding conducted 
hereunder, evidence of criminal liability on the part of any licensed 
officer or certificated person or any other person is found, such 
evidence shall be referred to the U.S. Attorney General.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by USCG-2004-18884, 
69 FR 58341, Sept. 30, 2004]



  Subpart 4.40_Coast Guard_National Transportation Safety Board Marine 
                         Casualty Investigations

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



Sec. 4.40-1  Purpose.

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

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



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

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

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



Sec. 4.40-5  Definitions.

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

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



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

    (a) The Coast Guard conducts the preliminary investigation of marine 
casualties.

[[Page 59]]

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

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



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

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

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



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

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



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

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

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



Sec. 4.40-30  Procedures for Coast Guard investigation.

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

[[Page 60]]

probable cause of a major marine casualty using the record of the 
proceedings provided by the Commandant under paragraph (d) of this 
section, and any additional evidence the Board may acquire under its own 
authority.
    (f) An investigation by the Coast Guard under this section is both 
an investigation under the Act and under 46 U.S.C. Chapter 63.

[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 95-028, 62 FR 
51195, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]



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

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



PART 5_MARINE INVESTIGATION REGULATIONS_PERSONNEL ACTION--
Table of Contents



                            Subpart A_Purpose

Sec.
5.3 Purpose of regulations.
5.5 Purpose of administrative actions.

                          Subpart B_Definitions

5.11 Officer in Charge, Marine Inspection.
5.15 Investigating Officer.
5.19 Administrative Law Judge.
5.27 Misconduct.
5.29 Negligence.
5.31 Incompetence.
5.33 Violation of law or regulation.
5.35 Conviction for a dangerous drug law violation, use of, or addiction 
          to the use of dangerous drugs.
5.40 Credential and merchant mariner credential.

            Subpart C_Statement of Policy and Interpretation

5.51 Construction of regulations.
5.55 Time limitations for service of a complaint.
5.57 Acting under authority of Coast Guard credential or endorsement.
5.59 Offenses for which revocation of credentials or endorsements is 
          mandatory.
5.61 Acts or offenses for which revocation of credentials is sought.
5.65 Commandant's decisions in appeal or review cases.
5.67 Physician-patient privilege.
5.69 Evidence of criminal liability.
5.71 Maritime labor disputes.

                        Subpart D_Investigations

5.101 Conduct of investigations.
5.103 Powers of investigating officer.
5.105 Course of action available.
5.107 Service of complaints.

 Subpart E_Deposit or Surrender of Coast Guard Credential or Endorsement

5.201 Voluntary deposits in event of mental or physical incompetence.
5.203 Voluntary surrender to avoid hearing.
5.205 Return or issuance of a credential or endorsement.

                           Subpart F_Subpoenas

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

                         Subpart G_Witness Fees

5.401 Payment of witness fees and allowances.

                           Subpart H_Hearings

5.501 General.
5.521 Verification of credential or endorsement.
5.567 Order.
5.569 Selection of an appropriate order.

Subpart I [Reserved]

                            Subpart J_Appeals

5.701 Appeals in general.
5.707 Stay of effect of decision and order of Administrative Law Judge 
          on appeal to the Commandant; temporary credential or 
          endorsement.
5.713 Appeals to the National Transportation Safety Board.
5.715 Stay of effect of Decision of the Commandant on Appeal: Temporary 
          credential and/or endorsement pending appeal to National 
          Transportation Safety Board.

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

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

[[Page 61]]

Subpart L_Issuance of New Credential or Endorsement After Revocation or 
                                Surrender

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

    Authority: 46 U.S.C. 2103, 7101, 7301, 7701; Department of Homeland 
Security Delegation No. 0170.1.

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



                            Subpart A_Purpose



Sec. 5.3  Purpose of regulations.

    The regulations in this part establish policies for administrative 
actions against mariners' credentials or endorsements issued by the 
Coast Guard.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64 
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]



Sec. 5.5  Purpose of administrative actions.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11214, Mar. 16, 2009]



                          Subpart B_Definitions



Sec. 5.11  Officer in Charge, Marine Inspection.

    Officer in Charge, Marine Inspection (OCMI) for the purposes of part 
5 means the officer or individual so designated at one of the Regional 
Examination Centers, or any person so designated by the Commandant.

[USCG-2006-25535, 71 FR 48482, Aug. 21, 2006]



Sec. 5.15  Investigating Officer.

    An investigating officer is a Coast Guard official designated by the 
Commandant, a District Commander, or the Officer in Charge, Marine 
Inspection, for the purpose of conducting investigations of marine 
casualties or matters pertaining to the conduct of persons applying for 
or holding merchant mariner's documents, licenses, certificates or 
credentials issued by the Coast Guard. An Officer in Charge, Marine 
Inspection is an investigating officer without further designation.

[USCG-2006-25535, 71 FR 48482, Aug. 21, 2006]



Sec. 5.19  Administrative Law Judge.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2004-18884, 
69 FR 58341, Sept. 30, 2004; USCG-2006-24371, 74 FR 11214, Mar. 16, 
2009]



Sec. 5.27  Misconduct.

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



Sec. 5.29  Negligence.

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



Sec. 5.31  Incompetence.

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

[[Page 62]]



Sec. 5.33  Violation of law or regulation.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64 
FR 28075, May 24, 1999; USCG-2004-18884, 69 FR 58342, Sept. 30, 2004]



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

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64 
FR 28075, May 24, 1999]



Sec. 5.40  Credential and merchant mariner credential.

    Credential means any or all of the following:
    (1) Merchant mariner's document.
    (2) Merchant mariner's license.
    (3) STCW endorsement.
    (4) Certificate of registry.
    (5) Merchant mariner credential.
    Merchant mariner credential or MMC means the credential issued by 
the Coast Guard under 46 CFR part 10. It combines the individual 
merchant mariner's document, license, and certificate of registry 
enumerated in 46 U.S.C. subtitle II part E as well as the STCW 
endorsement into a single credential that serves as the mariner's 
qualification document, certificate of identification, and certificate 
of service.

[USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]



            Subpart C_Statement of Policy and Interpretation



Sec. 5.51  Construction of regulations.

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



Sec. 5.55  Time limitations for service of a complaint.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64 
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]



Sec. 5.57  Acting under authority of Coast Guard credential or endorsement.

    (a) A person employed in the service of a vessel is considered to be 
acting under the authority of a credential or endorsement when the 
holding of such credential or endorsement is:
    (1) Required by law or regulation; or
    (2) Required by an employer as a condition for employment.

[[Page 63]]

    (b) A person is considered to be acting under the authority of the 
credential or endorsement while engaged in official matters regarding 
the credential or endorsement. This includes, but is not limited to, 
such acts as applying for renewal, taking examinations for raises of 
grade, requesting duplicate or replacement credentials, or when 
appearing at a hearing under this part.
    (c) A person does not cease to act under the authority of a 
credential or endorsement while on authorized or unauthorized shore 
leave from the vessel.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11214, Mar. 16, 2009]



Sec. 5.59  Offenses for which revocation of credentials or endorsements
is mandatory.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



Sec. 5.61  Acts or offenses for which revocation of credentials is sought.

    (a) An investigating officer seeks revocation of a respondent's 
credential or endorsements when one of the following acts or offenses is 
found proved:
    (1) Assault with a dangerous weapon.
    (2) Misconduct resulting in loss of life or serious injury.
    (3) Rape or sexual molestation.
    (4) Murder or attempted murder.
    (5) Mutiny.
    (6) Perversion.
    (7) Sabotage.
    (8) Smuggling of aliens.
    (9) Incompetence.
    (10) Interference with master, ship's officers, or government 
officials in performance of official duties.
    (11) Wrongful destruction of ship's property.
    (b) An investigating officer may seek revocation of a respondent's 
credential or endorsements when the circumstances of an act or offense 
found proved or consideration of the respondent's prior record indicates 
that permitting such person to serve under the credential or 
endorsements would be clearly a threat to the safety of life or 
property, or detrimental to good discipline.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



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

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



Sec. 5.67  Physician-patient privilege.

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



Sec. 5.69  Evidence of criminal liability.

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



Sec. 5.71  Maritime labor disputes.

    Under no circumstances will the Coast Guard exercise its authority 
for the purpose of favoring any party to a

[[Page 64]]

maritime labor controversy. However, if the situation affecting the 
safety of the vessel or persons on board is presented, the matter shall 
be thoroughly investigated and when a violation of existing statutes or 
regulations is indicated, appropriate action will be taken.



                        Subpart D_Investigations



Sec. 5.101  Conduct of investigations.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



Sec. 5.103  Powers of investigating officer.

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



Sec. 5.105  Course of action available.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64 
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11215, Mar. 16, 2009]



Sec. 5.107  Service of complaints.

    (a) When the investigating officer determines that an S&R proceeding 
is appropriate, he or she shall prepare and serve a complaint in 
accordance with 33 CFR part 20.
    (b) When the investigating officer serves the complaint, he or she 
shall also advise the respondent--
    (1) Of the nature of S&R proceedings and their possible results;
    (2) Of the right to be represented at the hearing by another person, 
who may, but need not, be a lawyer;
    (3) Of the right to obtain witnesses, records, and other evidence by 
subpoena; and
    (4) That failure or refusal to answer the complaint or to appear at 
the time, date, and place specified for the hearing may result in a 
finding of default, which will constitute an admission of the facts 
alleged in the complaint and

[[Page 65]]

the waiver of his or her right to a hearing.

[USCG-1998-3472, 64 FR 28075, May 24, 1999]



 Subpart E_Deposit or Surrender of Coast Guard Credential or Endorsement



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

    (a) A holder may deposit a credential or endorsement with the Coast 
Guard in any case where there is evidence of mental or physical 
incompetence. A voluntary deposit is accepted on the basis of a written 
agreement, the original of which will be given to the holder, which 
specifies the conditions upon which the Coast Guard will return the 
credential or endorsement to the holder.
    (b) Where the mental or physical incompetence of a holder of a 
credential or endorsement is caused by use of or addiction to dangerous 
drugs, a voluntary deposit will only be accepted contingent on the 
following circumstances:
    (1) The holder is enrolled in a bona fide drug abuse rehabilitation 
program;
    (2) The holder's incompetence did not cause or contribute to a 
marine casualty,
    (3) The incompetence was reported to the Coast Guard by the 
individual or any other person and was not discovered as a result of a 
Federal, State or local government investigation; and
    (4) The holder has not voluntarily deposited or surrendered a 
credential or endorsement, or had a credential or endorsement revoked 
for a drug related offense on a prior occasion.
    (c) Where the mental or physical incompetence of a holder of a 
credential or endorsement is caused by use or addiction to alcohol, a 
voluntary deposit will only be accepted contingent on the following 
circumstances:
    (1) The holder is enrolled in a bona fide alcohol abuse 
rehabilitation program;
    (2) The holder's incompetence did not cause or contribute to a 
marine casualty; and
    (3) The incompetence was reported to the Coast Guard by the 
individual or any other person and was not discovered as a result of a 
Federal, State, or local government investigation.
    (d) Where the conditions of paragraphs (b) and (c) of this section 
are not met, the holder may only surrender such credential or 
endorsement in accordance with Sec. 5.203.

[CGD 84-099, 52 FR 47535, Dec. 14, 1987, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



Sec. 5.203  Voluntary surrender to avoid hearing.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



Sec. 5.205  Return or issuance of a credential or endorsement.

    (a) A person may request the return of a voluntarily deposited 
credential or endorsement at any time, provided he or she can 
demonstrate a satisfactory rehabilitation or cure of the condition which 
caused the incompetence; has complied with any other conditions of the 
written agreement executed at the time of deposit; and complies with the 
physical and professional requirements for issuance of a credential or 
endorsement.
    (b) Where the voluntary deposit is based on incompetence due to drug

[[Page 66]]

abuse, the deposit agreement shall provide that the credential or 
endorsement will not be returned until the person:
    (1) Successfully completes a bona fide drug abuse rehabilitation 
program;
    (2) Demonstrates complete non-association with dangerous drugs for a 
minimum of six months after completion of the rehabilitation program; 
and
    (3) Is actively participating in a bona fide drug abuse monitoring 
program.
    (c) Where the voluntary deposit is based on incompetence due to 
alcohol abuse, the deposit agreement shall provide that the credential 
or endorsement will not be returned until the person:
    (1) Successfully completes a bona fide alcohol abuse rehabilitation 
program; and
    (2) Is actively participating in a bona fide alcohol abuse 
monitoring program.
    (d) The voluntary surrender of a credential or endorsement is the 
equivalent of revocation of such papers. A holder who voluntarily 
surrenders a credential or endorsement must comply with provisions of 
Sec. Sec. 5.901 and 5.903 when applying for the issuance of a new 
credential or endorsement.

[CGD 84-099, 52 FR 47535, Dec. 14, 1987, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



                           Subpart F_Subpoenas



Sec. 5.301  Issuance of subpoenas.

    (a) Every subpoena shall command the person to whom it is directed 
to appear at a specified time and place to give testimony or to produce 
books, papers, documents, or any other evidence, which shall be 
described with such particularity as necessary to identify what is 
desired.
    (b) The investigating officer may issue subpoenas for the attendance 
of witnesses or for the production of books, papers, documents, or any 
other relevant evidence needed by the investigating officer or by the 
respondent.
    (c) After charges have been served upon the respondent the 
Administrative Law Judge may, either on the Administrative Law Judge's 
own motion or the motion of the investigating officer or respondent, 
issue subpoenas for the attendance and the giving of testimony by 
witnesses or for the production of books, papers, documents, or any 
other relevant evidence.



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

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



Sec. 5.305  Quashing a subpoena.

    Any person subpoenaed to appear to produce evidence at a hearing may 
request that the subpoena be quashed or modified using the procedures in 
33 CFR 20.609.

[USCG-1998-3472, 64 FR 28075, May 24, 1999]



Sec. 5.307  Enforcement.

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



Sec. 5.309  Proof of service.

    (a) The person serving a subpoena shall make a written statement 
setting forth the date, time and manner of service and shall return such 
report with or on a copy of the subpoena to the investigating officer or 
Administrative Law Judge who issued it. In case of failure to make 
service of a subpoena, the person assigned to serve

[[Page 67]]

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



                         Subpart G_Witness Fees



Sec. 5.401  Payment of witness fees and allowances.

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

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



                           Subpart H_Hearings



Sec. 5.501  General.

    A hearing concerning the suspension or revocation of a merchant 
mariner's credential or endorsement is a formal adjudication under the 
Administrative Procedure Act (APA) (5 U.S.C. 551, et seq.). It is 
presided over by, and conducted under the exclusive control of, an ALJ 
in accordance with applicable requirements in the APA, the rules in this 
part, and the rules of administrative practice at 33 CFR part 20. The 
ALJ shall regulate and conduct the hearing so as to bring out all the 
relevant and material facts and to ensure a fair and impartial hearing.

[USCG-1998-3472, 64 FR 28075, May 24, 1999, as amended by USCG-2006-
24371, 74 FR 11215, Mar. 16, 2009]



Sec. 5.521  Verification of credential or endorsement.

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

[CGD82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 97-057, 62 FR 
51042, Sept. 30, 1997; USCG-2006-24371, 74 FR 11215, Mar. 16, 2009]



Sec. 5.567  Order.

    (a) The Administrative Law Judge enters an order which recites the 
disposition of the case. When the finding is not proved, the 
Administrative Law Judge issues an order dismissing the proceeding with 
or without prejudice to refile. When the finding is proved, the 
Administrative Law Judge may order an admonition, suspension with or 
without probation, or revocation.
    (b) The order is directed against all credentials or endorsements, 
except

[[Page 68]]

that in cases of negligence or professional incompetence, the order is 
made applicable to specific credentials or endorsements. If the 
Administrative Law Judge determines that the respondent is 
professionally incompetent in the grade of the license, certificate or 
document held, but is considered competent in a lower grade, the 
credential or endorsement may be revoked and the issuance of one of a 
lower grade ordered.
    (c) An order must specify whether the credential or endorsement 
affected is:
    (1) Revoked;
    (2) Suspended outright for a specified period after surrender;
    (3) Suspended for a specified period, but placed on probation for a 
specific period; or
    (4) Suspended outright for a specified period, followed by a 
specified period of suspension on probation.
    (d) The order will normally state, that the credential or 
endorsement is to be surrendered to the Coast Guard immediately, if the 
order is one of revocation or includes a period of outright suspension. 
In cases involving special circumstances, the order may provide for 
surrender on a certain date.
    (e) The time of any period of outright suspension ordered does not 
commence until the credential or endorsement is surrendered to the Coast 
Guard. The time of any period of suspension on probation begins at the 
end of any period of outright suspension or the effective date of the 
order if there is no outright suspension.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64 
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11215, Mar. 16, 2009]



Sec. 5.569  Selection of an appropriate order.

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

          Table 5.569--Suggested Range of an Appropriate Order
------------------------------------------------------------------------
           Type of offense                 Range of order (in months)
------------------------------------------------------------------------
Misconduct:
  Failure to obey master's/ship        1-3.
   officer's order.
  Failure to comply with U.S. law or   1-3.
   regulations.
  Possession of intoxicating liquor..  1-4.
  Failure to obey master's written     2-4.
   instruction.
  Improper performance of duties       2-5.
   related to vessel safety.

[[Page 69]]

 
  Failure to join vessel (required     2-6.
   crew member).
  Violent acts against other persons   2-6.
   (without injury).
  Failure to perform duties related    3-6.
   to vessel safety.
  Theft..............................  3-6.
  Violent acts against other persons   4-Revocation.
   (injury).
  Use, possession, or sale of          Revocation (Note: see Sec.
   dangerous drugs.                     5.59).
Negligence:
  Negligently performing duties        2-6.
   related to vessel navigation.
  Negligently performing non-          1-3.
   navigational duties related to
   vessel safety.
  Neglect of vessel navigation duties  3-6.
  Neglect of non-navigational safety   2-4.
   related duties.
Incompetence.........................  The only proper order for a
                                        charge of incompetence found
                                        proved is revocation.
Violation of Regulation:
  Refusal to take chemical drug test.  12-24
  Refusal to take required alcohol     12-24
   test.
Dangerous drugs (46 U.S.C. 7704).....  The only proper order for a
                                        charge under 46 U.S.C. 7704
                                        found proved is revocation.
------------------------------------------------------------------------


[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 86-067, 53 FR 
47079, Nov. 21, 1989; USCG-2000-7759, 66 FR 42967, Aug. 16, 2001]

Subpart I [Reserved]



                            Subpart J_Appeals



Sec. 5.701  Appeals in general.

    A party may appeal the decision of an ALJ under the procedures in 
subpart J of 33 CFR part 20. A party may appeal only the following 
issues:
    (a) Whether each finding of fact rests on substantial evidence.
    (b) Whether each conclusion of law accords with applicable law, 
precedent, and public policy.
    (c) Whether the ALJ committed any abuses of discretion.
    (d) The ALJ's denial of a motion for his or her disqualification.

[USCG-1998-3472, 64 FR 28075, May 24, 1999]



Sec. 5.707  Stay of effect of decision and order of Administrative Law Judge
on appeal to the Commandant; temporary credential or endorsement.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2004-18884, 
69 FR 58342, Sept. 30, 2004; USCG-2006-24371, 74 FR 11215, Mar. 16, 
2009]

[[Page 70]]



Sec. 5.713  Appeals to the National Transportation Safety Board.

    (a) The rules of procedure for appeals to the National 
Transportation Safety Board from decisions of the Commandant, U.S. Coast 
Guard, affirming orders of suspension or revocation of credentials or 
endorsements are in 49 CFR part 825. These rules give the party 
adversely affected by the Commandant's decision 10 days after service 
upon him or his attorney of the Commandant's decision to file a notice 
of appeal with the Board.
    (b) In all cases under this part which are appealed to the National 
Transportation Safety Board under 49 CFR part 825, the Chief Counsel of 
the Coast Guard is designated as the representative of the Commandant 
for service of notices and appearances. Communications should be 
addressed to Commandant (CG-094), U.S. Coast Guard, 2100 2nd St. SW., 
Stop 7121, Washington, DC 20593-7121.
    (c) In cases before the National Transportation Safety Board the 
Chief Counsel of the Coast Guard may be represented by others designated 
of counsel.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009; USCG-2009-0702, 74 FR 49224, Sept. 25, 2009]



Sec. 5.715  Stay of effect of Decision of the Commandant on Appeal:
Temporary credential and/or endorsement pending appeal to

National Transportation Safety  Board.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



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



Sec. 5.801  Commandant's review.

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



Sec. 5.803  Record for decision on review.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2004-18884, 
69 FR 58342, Sept. 30, 2004]



Sec. 5.805  Action on review.

    (a) The Commandant may adopt, in whole or in part, the findings, 
conclusions, and basis therefor stated by the Administrative Law Judge, 
may make entirely new findings on the record, or may remand the case to 
the Administrative Law Judge for further proceedings.
    (b) In no case will the review by the Commandant be followed by any 
order increasing the severity of the Administrative Law Judge's original 
order.

[[Page 71]]

    (c) The Decision of the Commandant on Review, shall be the final 
agency action in the absence of a remand.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2004-18884, 
69 FR 58342, Sept. 30, 2004]



Sec. 5.807  Commandant's Decision on Review.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended byUSCG-2006-25556, 72 
FR 36330, July 2, 2007]



Subpart L_Issuance of New Credential or Endorsement After Revocation or 
                                Surrender



Sec. 5.901  Time limitations.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 84-099, 52 FR 
47535, Dec. 14, 1987; USCG-2006-24371, 74 FR 11215, Mar. 16, 2009]



Sec. 5.903  Application procedures.

    (a) An application form for a new credential or endorsement may be 
obtained from any Officer in Charge, Marine Inspection.
    (b) The completed application and letter must be addressed to the 
Commandant, U.S. Coast Guard, 2100 2nd St. SW., Stop 7121, Washington, 
DC 20593-7121, and must be delivered in person to the nearest Officer in 
Charge, Marine Inspection.
    (c) The letter is an informal request for the issuance of a new 
credential or endorsement and should include the following:
    (1) A letter from each employer during the last three years 
attesting to the individual's work record;
    (2) Information supportive of rehabilitation or cure when the 
credential or endorsement was revoked because of incompetency or 
association with dangerous drugs; and
    (3) Any other information which may be helpful in arriving at a 
determination in the matter.
    (d) The Officer in Charge, Marine Inspection, forwards the letter 
and application, together with an evaluation

[[Page 72]]

and recommendation, to the Commandant.

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009; USCG-2009-0702, 74 FR 49224, Sept. 25, 2009]



Sec. 5.905  Commandant's decision on application.

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

[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371, 
74 FR 11215, Mar. 16, 2009]



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


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

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

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

    Authority: Act Dec. 27, 1950, Ch. 1155, secs. 1, 2, 64 Stat. 1120 
(see 46 U.S.C. App. note prec. 1); Department of Homeland Security 
Delegation No. 0170.1.



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

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

[[Page 73]]

application and if he reaches the conclusion that the urgency of the 
situation outweighs the marine hazard involved, then such waiver shall 
be made effective in regard to such vessel to the extent and under the 
circumstances specified by him.
    (c) The Coast Guard officer making such a waiver effective pursuant 
to paragraph (b) of this section shall immediately prepare, in 
triplicate, an order setting forth the name of the vessel involved, the 
laws (also regulations, if any) with respect to which the waiver is 
effective, the extent to which compliance with such laws (also 
regulations, if any) is waived, and the period for which the waiver 
shall be effective. If practicable, one copy of this order shall be 
delivered to the master of the vessel involved before such vessel sails. 
In any case where the order is not delivered to the master, it shall be 
delivered to the owner, operator, or agent of the vessel without delay. 
One copy of the order shall be transmitted to the Commandant and the 
remaining copy kept on file.
    (d) In any case of extreme urgency the application for a waiver may 
be made orally, and if the Coast Guard District Commander (or his 
designated representative or the designated representative of the 
Commandant, as the case may be) reaches the conclusion referred to in 
paragraph (b) of this section, the waiver shall be made effective 
without further delay, subject to the condition that the application be 
reduced to writing and delivered within such period after the date of 
the oral request as the Coast Guard officer making the waiver effective 
shall specify in the order.
    (e) No penalty shall be imposed because of failure to comply with 
any provision of law (or regulation, if any), the waiver of which has 
been made effective pursuant to the requirements in this section.

[CGFR 51-10, 16 FR 1959, Mar. 1, 1951. Redesignated by CGFR 69-123, 34 
FR 19076, Dec. 2, 1969; CGD 96-041, 61 FR 50726, Sept. 27, 1996; USCG-
2004-18884, 69 FR 58342, Sept. 30, 2004]



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

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

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



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

    (a) Pursuant to the request of the Deputy Secretary of Defense, 
dated August 6, 1958, and to the request of the Assistant Secretary of 
Defense, Installations and Logistics, dated May 23, 1964, made under the 
provisions of section 1 of Public Law 891, 81st Congress, approved 
December 27, 1950 (64 Stat. 1120; 46 U.S.C., note preceding section 1), 
and their findings that a waiver is necessary in the interest of 
national defense, compliance with the provisions of the navigation and 
vessel inspection laws administered by the United States Coast Guard, as 
well as the regulations issued thereunder and contained in 33 CFR 
chapter I, or in this chapter, is hereby waived to the extent and upon 
the terms and conditions as set forth in this section, in order to 
permit vessels operated by or chartered to the Military Sealift Command 
to carry out their assigned missions.
    (b) An application requesting that this waiver be made effective 
with respect to a particular vessel may be made by the Commander, 
Military Sealift Command, or any one of his duly designated 
representatives. Except as provided in paragraph (e) of this section, 
the application shall be in writing. The application shall be delivered

[[Page 74]]

to the Coast Guard District Commander or to his designated 
representative at the port or place where the vessel is located. In the 
case of a vessel in any foreign port or place, the application shall be 
made to the designated representative of the Commandant at such port or 
place, or if the Coast Guard has not established facilities in such port 
or place, to the nearest designated representative of the Commandant at 
a port or place where such facilities have been established, or to the 
Commandant (CG-543), U.S. Coast Guard, 2100 2nd St. SW., Stop 7581, 
Washington, DC 20593-7581. Every application shall:
    (1) Describe the laws and/or regulations by appropriate references 
and/or subjects with respect to which the waiver of compliance is 
desired;
    (2) Contain a certification that the waiver of compliance with such 
laws and/or regulations with respect to the vessel involved is necessary 
in the interest of national defense and is necessary for the Military 
Sea Transportation Service to carry out an assigned mission;
    (3) The name and official number of the vessel involved (including 
the names of master, agent, and owner of the vessel involved); and,
    (4) For how long the waiver is needed.
    (c) The Coast Guard officer making the waiver in paragraph (a) of 
this section, effective for a particular vessel, shall immediately 
prepare, in quadruplicate, an order setting forth:
    (1) The name and official number of the vessel involved;
    (2) The laws and/or regulations with respect to which the waiver is 
effective;
    (3) The extent to which compliance with such laws and/or regulations 
is waived; and,
    (4) The period for which the waiver shall be effective.
    (d) If practicable, one copy of this waiver order shall be delivered 
to the master of the vessel involved before such vessel sails. In any 
case where the waiver order is not delivered to the master, it shall be 
delivered to the owner, operator, or agent of the vessel without delay. 
One copy of the waiver order shall be delivered to the Commander, 
Military Sealift Command, or his duly designated representative, who 
submitted the application. One copy of the waiver order shall be 
transmitted to the Commandant (G-MOC) and the remaining copy kept on 
file.
    (e) In any case of extreme urgency, the application for a waiver 
order may be made orally and if the Coast Guard District Commander (or 
his designated representative, or the designated representative of the 
Commandant, or the Commandant, as the case may be), determines that the 
conditions in this section have been met, the waiver order shall be made 
effective without further delay, subject to the condition that the 
application be reduced to writing and delivered within such period after 
the date of the oral request as the Coast Guard officer making the 
waiver effective shall specify in the confirming written waiver order.
    (f) No penalty shall be imposed because of failure to comply with 
any provision of law and/or regulation, the waiver of which has been 
made effective pursuant to the requirements of this section.
    (g) This waiver order shall remain in effect until terminated by 
proper authority and notice of cancellation is published in the Federal 
Register.

[CGFR 64-86, 30 FR 89, Jan. 6, 1965. Redesignated by CGFR 69-123, 34 FR 
19076, Dec. 2, 1969, and amended by CGD 88-070, 53 FR 34533, Sept. 7, 
1988; CGD 88-070, 54 FR 3038, Jan. 23, 1989; CGD 95-072, 60 FR 50459, 
Sept. 29, 1995; CGD 96-041, 61 FR 50726, Sept. 27, 1996; USCG-2004-
18884, 69 FR 58342, Sept. 30, 2004; USCG-2009-0702, 74 FR 49224, Sept. 
25, 2009]



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

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

[[Page 75]]

10311(c), is necessary in the interest of national defense.

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



PART 7_BOUNDARY LINES--Table of Contents



                                 General

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

                             Atlantic Coast

7.10 Eastport, ME to Cape Ann, MA.
7.15 Massachusetts Bay, MA.
7.20 Nantucket Sound, Vineyard Sound, Buzzards Bay, Narragansett Bay, 
          MA, Block Island Sound and easterly entrance to Long Island 
          Sound, NY.
7.25 Montauk Point, NY to Atlantic Beach, NY.
7.30 New York Harbor, NY.
7.35 Sandy Hook, NJ to Cape May, NJ.
7.40 Delaware Bay and tributaries.
7.45 Cape Henlopen, DE to Cape Charles, VA.
7.50 Chesapeake Bay and tributaries.
7.55 Cape Henry, VA to Cape Fear, NC.
7.60 Cape Fear, NC to Sullivans Island, SC.
7.65 Charleston Harbor, SC.
7.70 Folly Island, SC to Hilton Head Island, SC.
7.75 Savannah River/Tybee Roads.
7.80 Tybee Island, GA to St. Simons Island, GA.
7.85 St. Simons Island, GA to Little Talbot Island, FL.
7.90 St. Johns River, FL.
7.95 St. Johns Point, FL to Miami Beach, FL.
7.100 Florida Reefs and Keys from Miami, FL to Marquesas Keys, FL.

                               Gulf Coast

7.105 Marquesas Keys, FL to Rio Grande, TX.

                                 Hawaii

7.110 Mamala Bay, HI.

                              Pacific Coast

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

                                 Alaska

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

    Authority: 14 U.S.C. 633; 33 U.S.C. 151, 1222; Department of 
Homeland Security Delegation No. 0170.1.

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

                                 General



Sec. 7.1  General purpose of boundary lines.

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

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



Sec. 7.5  Rules for establishing boundary lines.

    (a) For application of the Vessel Bridge-to-Bridge Radiotelephone 
Act, 33 U.S.C. 1201 et seq., the line is 12 nautical miles seaward of 
the baseline from which the territorial sea is measured.

[[Page 76]]

    (b) Barges of 100 gross tons and over operating on the sheltered 
waters of British Columbia as defined in the United States-Canada treaty 
of 1933 (49 Stat. 2685, TS 869) are not required to be inspected as 
seagoing barges under 46 U.S.C. 3301.
    (c) Except as otherwise described in this part, Boundary Lines are 
lines drawn following the general trend of the seaward, highwater 
shorelines and lines continuing the general trend of the seaward, 
highwater shorelines across entrances to small bays, inlets and rivers.

[CGD 81-058, 50 FR 25230, June 18, 1985, as amended by USCG-2001-9044, 
68 FR 42602, July 18, 2003]

                             Atlantic Coast



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

    (a) A line drawn from the easternmost extremity of Kendall Head to 
latitude 44[deg]54[min]45[sec] N. longitude 66[deg]58[min]30[sec] W.; 
thence to the range marker located in approximate position latitude 
44[deg]51[min]45[sec] N. longitude 66[deg]59[sec] W.
    (b) A line drawn from West Quoddy Head Light to latitude 
44[deg]48.5[min] N. longitude 66[deg]56.4[min] W. (Sail Rock Lighted 
Whistle Buoy ``1''); thence to latitude 44[deg]37.5[min] N. longitude 
67[deg]09.8[min] W. (Little River Lighted Whistle Buoy ``2LR''); thence 
to latitude 44[deg]14.5[min] N. longitude 67[deg]57.2[min] W. (Frenchman 
Bay Approach Lighted Whistle Buoy ``FB''); thence to Mount Desert Light; 
thence to Matinicus Rock Light; thence to Monhegan Island Light; thence 
to latitude 43[deg]31.6[min] N. longitude 70[deg]05.5[min] W. (Portland 
Lighted Horn Buoy ``P''); thence to Boon Island Light; thence to 
latitude 42[deg]37.9[min] N. longitude 70[deg]31.2[min] W. (Cape Ann 
Lighted Whistle Buoy ``2'').



Sec. 7.15  Massachusetts Bay, MA.

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



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

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



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

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



Sec. 7.30  New York Harbor, NY.

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



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

    (a) A line drawn from Shark River Inlet North Breakwater Light ``2'' 
to Shark River Inlet South Breakwater Light ``1''.
    (b) A line drawn from Manasquan Inlet North Breakwater Light to 
Manasquan Inlet South Breakwater Light.
    (c) A line drawn along the submerged Barnegat Inlet North Breakwater 
to Barnegat Inlet North Breakwater Light ``2''; thence to Barnegat Inlet 
Light ``5''; thence along the submerged

[[Page 77]]

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



Sec. 7.40  Delaware Bay and tributaries.

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



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

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



Sec. 7.50  Chesapeake Bay and tributaries.

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



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

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

[[Page 78]]

W.; thence to the beach in approximate position latitude 34[deg]10[min] 
N. longitude 77[deg]49.4[min] W.

[CGD 81-058, 50 FR 25230, June 18, 1985, as amended by USCG-2009-0702, 
74 FR 49224, Sept. 25, 2009]



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

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



Sec. 7.65  Charleston Harbor, SC.

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

[USCG-2010-0759, 75 FR 60001, Sept. 29, 2010]



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

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



Sec. 7.75  Savannah River/Tybee Roads.

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



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

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

[[Page 79]]

the easternmost extremity of Blackbeard Island at Northeast Point.
    (d) A line drawn from the southernmost extremity of Blackbeard 
Island to latitude 31[deg]19.4[min] N. longitude 81[deg]11.5[min] W. 
(Doboy Sound Lighted Buoy ``D''); thence to latitude 31[deg]04.1[min] N. 
longitude 81[deg]16.7[min] W. (St. Simons Lighted Whistle Buoy ``ST 
S'').



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

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



Sec. 7.90  St. Johns River, FL.

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



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

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



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

    (a) A line drawn from the tower located in approximate position 
latitude 25[deg]46.7[min] N. longitude 80[deg]08[min] W. to latitude 
25[deg]46.1[min] N. longitude 80[deg]05.0[min] W.

[[Page 80]]

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

                               Gulf Coast



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

    A line drawn from Marquesas Keys, Florida at approximate position 
latitude 24[deg]47.5[min] N, longitude 82[deg]11.2[min] W; along the 12-
mile line which marks the seaward limits of the territorial sea (as 
defined in 33 CFR 2.22(a)(1)) to Rio Grande, Texas at approximate 
position latitude 25[deg]58.6[min] N, longitude 96[deg]55.5[min] W.

[USCG-2001-9044, 68 FR 42602, July 18, 2003]

                                 Hawaii



Sec. 7.110  Mamala Bay, HI.

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

                              Pacific Coast



Sec. 7.115  Santa Catalina Island, CA.

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



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

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



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

    (a) A line drawn from Redondo Beach East Jetty Light ``2'' to 
Redondo Beach West Jetty Light ``3''.
    (b) A line drawn from Marina Del Rey Light ``4'' to Marina Del Rey 
Breakwater South Light ``1''. A line drawn from Marina Del Rey 
Breakwater North Light ``2'' to Marina Del Rey Light ``3''.
    (c) A line drawn from Port Hueneme East Jetty Light ``4'' to Port 
Hueneme West Jetty Light ``3''.
    (d) A line drawn from Channel Islands Harbor South Jetty Light ``2'' 
to Channel Islands Harbor Breakwater South Light ``1''. A line drawn 
from Channel Islands Harbor Breakwater North Light to Channel Islands 
Harbor North Jetty Light ``5''.
    (e) A line drawn from Ventura Marina South Jetty Light ``6'' to 
Ventura Marina Breakwater South Light ``3''. A line drawn from Ventura 
Marina Breakwater North Light to Ventura Marina North Jetty Light ``7''.

[[Page 81]]

    (f) A line drawn from Santa Barbara Harbor Light ``4'' to latitude 
34[deg]24.1[min] N. longitude 119[deg]40.7[min] W. (Santa Barbara Harbor 
Lighted Bell Buoy ``1''); thence to Santa Barbara Harbor Breakwater 
Light.



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

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



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

    (a) A line drawn from Monterey Harbor Light ``6'' to latitude 
36[deg]36.5[min] N. longitude 121[deg]53.2[min] W. (Monterey Harbor 
Anchorage Buoy ``A''); thence to the northernmost extremity of Monterey 
Municipal Wharf No. 2.
    (b) A line drawn from seaward extremity of the pier located 0.3 mile 
south of Moss Landing Harbor Entrance to the seaward extremity of the 
Moss Landing Harbor North Breakwater.
    (c) A line drawn from Santa Cruz Light to the southernmost 
projection of Soquel Point.
    (d) A straight line drawn from Point Bonita Light across Golden Gate 
through Mile Rocks Light to the shore.
    (e) A line drawn from the northwestern tip of Tomales Point to 
latitude 38[deg]15.1[min] N. longitude 123[deg]00.1[min] W. (Tomales 
Point Lighted Horn Buoy ``2''); thence to latitude 38[deg]17.2[min] N. 
longitude 123[deg]02.3[min] W. (Bodega Harbor Approach Lighted Gong Buoy 
``BA''); thence to the southernmost extremity of Bodega Head.
    (f) A line drawn from Humboldt Bay Entrance Light ``4'' to Humboldt 
Bay Entrance Light ``3''.
    (g) A line drawn from Crescent City Outer Breakwater Light ``5'' to 
the southeasternmost extremity of Whaler Island at longitude 
124[deg]11[min] W.



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

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



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

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

                                 Alaska



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

    (a) A line drawn from the northeasternmost extremity of Point 
Mansfield, Sitklan Island 040[deg] true to the mainland.
    (b) A line drawn from the southeasternmost extremity of Island 
Point, Sitklan Island to the southernmost extremity of Garnet Point, 
Kanagunut Island; thence to Lord Rock Light;

[[Page 82]]

thence to Barren Island Light; thence to Cape Chacon Light; thence to 
Cape Muzon Light.
    (c) A line drawn from Point Cornwallis Light to Cape Bartolome 
Light; thence to Cape Edgecumbe Light; thence to the westernmost 
extremity of Cape Cross.
    (d) A line drawn from Surge Bay Entrance Light to Cape Spencer 
Light.



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

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



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

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



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

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



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

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



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

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



Sec. 7.180  Kotzebue Sound, AK.

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

[[Page 83]]



PART 8_VESSEL INSPECTION ALTERNATIVES--Table of Contents



                            Subpart A_General

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

            Subpart B_Recognition of a Classification Society

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

         Subpart C_International Convention Certificate Issuance

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

                 Subpart D_Alternate Compliance Program

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

                Subpart E_Streamlined Inspection Program

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

    Authority: 46 U.S.C. 3103, 3306, 3316, 3703; Department of Homeland 
Security Delegation No. 0170.1.

    Editorial Note: Nomenclature changes to part 8 appear at 74 FR 
49224, Sept. 25, 2009.

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



                            Subpart A_General



Sec. 8.100  Definitions.

    Authorized Classification Society means a recognized classification 
society that has been delegated the authority to conduct certain 
functions and certifications on behalf of the Coast Guard.
    Class Rules means the standards developed and published by a 
classification society regarding the design, construction and 
certification of commercial vessels.
    Classed means that a vessel meets the classification society 
requirements that embody the technical rules, regulations, standards, 
guidelines and associated surveys and inspections covering the design, 
construction and through-life compliance of a ship's structure and 
essential engineering and electrical systems.
    Commandant means the Commandant of the Coast Guard.
    Delegated Function means a function related to Coast Guard 
commercial vessel inspection which has been delegated to a 
classification society. Delegated functions may include issuance of 
international convention certificates and participation in the Alternate 
Compliance Program under this part.
    Delegated Function Related to General Vessel Safety Assessment means 
issuance of the SOLAS Cargo Ship Safety Construction Certificate or 
issuance of the SOLAS Cargo Ship Safety Equipment Certificate.
    Exclusive Surveyor means a person who is employed solely by a 
classification society and is authorized to conduct vessel surveys. 
Independent surveyors, hired on a case-by-case basis, or surveyors of 
another classification society are not considered exclusive

[[Page 84]]

surveyors for the performance of delegated functions on behalf of the 
Coast Guard.
    Gross Tons means vessel tonnage measured in accordance with the 
International Convention on Tonnage Measurement of Ships, 1969. Vessels 
not measured by this convention must be measured in accordance with the 
method utilized by the flag state administration of that vessel.
    MARPOL 73/78 means the Protocol of 1978 relating to the 
International Convention for the Prevention of Pollution from Ships, 
1973, and includes the Convention which means the International 
Convention for the Prevention of Pollution from Ships, 1973, including 
Protocols I and II and Annexes I, II, and V thereto, including any 
modification or amendments to the Convention, Protocols or Annexes which 
have entered into force for the United States.
    Officer in Charge, Marine Inspection (OCMI) means any person from 
the civilian or military branch of the Coast Guard designated as such by 
the Commandant and who, under the superintendence and direction of a 
Coast Guard District Commander, is in charge of an inspection zone for 
the performance of duties with respect to the inspection, enforcement, 
and administration of 46 U.S.C., Revised Statutes, and acts amendatory 
thereof or supplemental thereto, and rules and regulations thereunder.
    Recognized Classification Society means the American Bureau of 
Shipping or other classification society recognized by the Commandant 
under this part.
    SOLAS means International Convention for the Safety of Life at Sea, 
1974, as amended.



Sec. 8.110  Incorporation by reference.

    (a) Certain material is incorporated by reference into this 
subchapter with the approval of the Director of the Federal Register 
under 5 U.S.C. 552(a) and 1 CFR Part 51. To enforce any edition other 
than that specified in paragraph (b) of this section, the Coast Guard 
must publish notice of the change in the Federal Register and the 
material must be available to the public. All material is available for 
inspection at the U.S. Coast Guard, Office of Design and Engineering 
Standards, (CG-521), 2100 2nd St. SW., Stop 7126, Washington, DC 20593-
7126, or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. All material is available from 
the sources listed in paragraph (b).
    (b) The material incorporated by reference in this subchapter and 
the sections affected are as follows:

American Bureau of Shipping (ABS)--ABS Plaza, 16855 Northchase Drive, 
          Houston, TX 77060.
    Rules for Building and Classing Steel Vessels, 1996--31.01-3(b), 
71.15-5(b), 91.15-5(b)
    Rules for Building and Classing Steel Vessels, 1997--31.01-3(b), 
71.15-5(b), 91.15-5(b)
    Rules for Building and Classing Steel Vessels, 1998--31.01-3(b), 
71.15-5(b), 91.15-5(b)
    Rules for Building and Classing Mobile Offshore Drilling Units, 
1998--107.205(b)
    U. S. Supplement to ABS Rules for Steel Vessels for Vessels on 
International Voyages, 21 October 1996--31.01-3(b), 71.15-5(b), 91.15-
5(b)
    U.S. Supplement to ABS Rules for Steel Vessels for Vessels on 
International Voyages, 1 August 1997--31.01-3(b), 71.15-5(b), 91.15-5(b)
    U.S. Supplement to ABS Rules for Mobile Offshore Drilling Units, 1 
June 1998--107.205(b)
American National Standards Institute (ANSI)--11 West 42nd St., New 
          York, NY 10036.
    ANSI/ASQC Q9001--1994, Quality Assurance in Design, Development, 
Production and Servicing, 1994--8.230
Lloyd's Register of Shipping (LR)--100 Leadenhall Street, London EC3A 
          3BP.
    Rules and Regulations for the Classification of Ships, 1998--31.01-
3(b), 71.15-5(b), 91.15-5(b)
Lloyd's Register of Shipping Supplemental Requirements, 19 September 
          1998--31.01-3(b), 71.15-5(b), 91.15-5(b)

[CGD 95-010, 62 FR 67532, Dec. 24, 1997, as amended by USCG-1999-5004, 
64 FR 30439, June 8, 1999; USCG-2000-7790, 65 FR 58458, Sept. 29, 2000]



Sec. 8.120  Reciprocity.

    (a) The Commandant may delegate authority to a classification 
society that has its headquarters in a country other than the United 
States only to the extent that the flag state administration of that 
country delegates authority and provides access to the

[[Page 85]]

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



Sec. 8.130  Agreement conditions.

    (a) Delegated functions performed by, and statutory certificates 
issued by, an authorized classification society will be accepted as 
functions performed by, or certificates issued by, the Coast Guard, 
provided that the classification society maintains compliance with all 
provisions of its agreement with the Commandant. Any agreement between 
the Commandant and a recognized classification society authorizing the 
performance of delegated functions will be written and will require the 
classification society to comply with each of the following:
    (1) Issue any certificates related to a delegated function in the 
English language.
    (2) Maintain a corporate office in the United States that has 
adequate resources and staff to support all delegated functions and to 
maintain required associated records.
    (3) Maintain all records in the United States related to delegated 
functions conducted on behalf of the Coast Guard.
    (4) Make available to appropriate Coast Guard representatives vessel 
status information and records, including outstanding vessel 
deficiencies or classification society recommendations, in the English 
language, on all vessels for which the classification society has 
performed any delegated function on behalf of the Coast Guard.
    (5) Report to the Commandant (CG-543) the names and official numbers 
of any vessels removed from class for which the classification society 
has performed any delegated function on behalf of the Coast Guard and 
include a description of the reason for the removal.
    (6) Report to the Commandant (CG-543) all port state detentions on 
all vessels for which the classification society has performed any 
delegated function on behalf of the Coast Guard when aware of such 
detention.
    (7) Annually provide the Commandant (CG-543) with its register of 
classed vessels.
    (8) Ensure vessels meet all requirements for class of the accepting 
classification society prior to accepting vessels transferred from 
another classification society.
    (9) Suspend class for vessels that are overdue for special renewal 
or annual survey.
    (10) Attend any vessel for which the classification society has 
performed any delegated function on behalf of the Coast Guard at the 
request of the appropriate Coast Guard officials, without regard to the 
vessel's location--unless prohibited to do so under the laws of the 
United States, the laws of the jurisdiction in which the vessel is 
located, the classification society's home country domestic law, or 
where the

[[Page 86]]

classification society considers an unacceptable hazard to life and/or 
property exists.
    (11) Honor appeal decisions made by the Commandant (CG-521) or 
Commandant (CG-543) on issues related to delegated functions.
    (12) Apply U.S. flag administration interpretations, when they 
exist, to international conventions for which the classification society 
has been delegated authority to certificate or perform other functions 
on behalf of the Coast Guard.
    (13) Obtain approval from the Commandant (CG-543) prior to granting 
exemptions from the requirements of international conventions, class 
rules, and the U.S. supplement to class rules.
    (14) Make available to the Coast Guard all records, in the English 
language, related to equivalency determinations or approvals made in the 
course of delegated functions conducted on behalf of the Coast Guard.
    (15) Report to the Coast Guard all information specified in the 
agreement at the specified frequency and to the specified Coast Guard 
office or official.
    (16) Grant the Coast Guard access to all plans and documents, 
including reports on surveys, on the basis of which certificates are 
issued or endorsed by the classification society.
    (17) Identify a liaison representative to the Coast Guard.
    (18) Provide regulations, rules, instructions and report forms in 
the English language.
    (19) Allow the Commandant (CG-5) to participate in the development 
of class rules.
    (20) Inform the Commandant (CG-52) of all proposed changes to class 
rules.
    (21) Provide the Commandant (CG-5) the opportunity to comment on any 
proposed changes to class rules and to respond to the classification 
society's disposition of the comments made by the Coast Guard.
    (22) Furnish information and required access to the Coast Guard to 
conduct oversight of the classification society's activities related to 
delegated functions conducted on behalf of the Coast Guard.
    (23) Allow the Coast Guard to accompany them on internal and 
external quality audits and provide written results of such audits to 
appropriate Coast Guard representatives.
    (24) Provide the Coast Guard access necessary to audit the 
authorized classification society to ensure that it continues to comply 
with the minimum standards for a recognized classification society.
    (25) Use only exclusive surveyors of that classification society to 
accomplish all work done on behalf of, or under any delegation from, the 
Coast Guard. For tonnage-related measurement service only, however, 
classification societies may use part-time employees or independent 
contractors in place of exclusive surveyors.
    (26) Allow its surveyors to participate in training with the Coast 
Guard regarding delegated functions.
    (b) Amendments to an agreement between the Coast Guard and an 
authorized classification society will become effective only after 
consultation and written agreement between parties.
    (c) Agreements may be terminated by one party only upon written 
notice to the other party. Termination will occur sixty days after 
written notice is given.



            Subpart B_Recognition of a Classification Society



Sec. 8.200  Purpose.

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



Sec. 8.210  Applicability.

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



Sec. 8.220  Recognition of a classification society.

    (a) A classification society must be recognized by the Commandant 
before it may receive statutory authority delegated by the Coast Guard.
    (b) In order to become recognized, a classification society must 
meet the requirements of Sec. 8.230.

[[Page 87]]

    (c) A classification society found to meet the criteria for 
recognition will be notified in writing by the Commandant.
    (d) If the Coast Guard determines that a classification society does 
not meet the criteria for recognition, the Coast Guard will provide the 
reason for this determination.
    (e) A classification society may reapply for recognition upon 
correction of the deficiencies identified by the Coast Guard.



Sec. 8.230  Minimum standards for a recognized classification society.

    (a) In order to receive recognition by the Coast Guard a 
classification society must:
    (1) Establish that it has functioned as an international 
classification society for at least 30 years with its own class rules;
    (2) Establish that is has a history of appropriate corrective 
actions in addressing vessel casualties and cases of nonconformity with 
class rules;
    (3) Establish that it has a history of appropriate changes to class 
rules based on their application and the overall performance of its 
classed fleet;
    (4) Have a total classed tonnage of at least 10 million gross tons;
    (5) Have a classed fleet of at least 1,500 ocean-going vessels over 
100 gross tons;
    (6) Have a total classed tonnage of ocean-going vessels over 100 
gross tons totaling no less than 8 million gross tons;
    (7) Publish and maintain class rules in the English language for the 
design, construction and certification of ships and their associated 
essential engineering systems;
    (8) Maintain written survey procedures in the English language;
    (9) Have adequate resources, including research, technical, and 
managerial staff, to ensure appropriate updating and maintaining of 
class rules and procedures;
    (10) Have adequate resources and geographical coverage to carry out 
all plan review and vessel survey activities associated with delegated 
functions as well as classification society requirements;
    (11) Employ a minimum of 150 exclusive surveyors;
    (12) Have adequate criteria for hiring and qualifying surveyors and 
technical staff;
    (13) Have an adequate program for continued training of surveyors 
and technical staff;
    (14) Have a corporate office in the United States that provides a 
continuous management and administrative presence;
    (15) Maintain an internal quality system based on ANSI/ASQC Q9001 or 
an equivalent quality standard;
    (16) Determine classed vessels comply with class rules, during 
appropriate surveys and inspection;
    (17) Determine that attended vessels comply with all statutory 
requirements related to delegated functions, during appropriate surveys 
and inspection;
    (18) Monitor all activities related to delegated functions for 
consistency and required end-results;
    (19) Maintain and ensure compliance with a Code of Ethics that 
recognizes the inherent responsibility associated with delegation of 
authority;
    (20) Not be under the financial control of shipowners or 
shipbuilders, or of others engaged commercially in the manufacture, 
equipping, repair or operation of ships;
    (21) Not be financially dependent on a single commercial enterprise 
for its revenue;
    (22) Not have any business interest in, or share of ownership of, 
any vessel in its classed fleet; and
    (23) Not be involved in any activities which could result in a 
conflict of interest.
    (b) Recognition may be granted after it is established that the 
classification society has an acceptable record of vessel detentions 
attributed to classification society performance under the Coast Guard 
Port State Control Program.



Sec. 8.240  Application for recognition.

    (a) A classification society must apply for recognition in writing 
to the Commandant (CG-521).
    (b) An application must indicate which specific authority the 
classification society seeks to have delegated.

[[Page 88]]

    (c) Upon verification from the Coast Guard that the conditions of 
reciprocity have been met in accordance with Sec. 8.120, the requesting 
classification society must submit documentation to establish that it 
meets the requirements of Sec. 8.230.



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

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



Sec. 8.260  Revocation of classification society recognition.

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



         Subpart C_International Convention Certificate Issuance



Sec. 8.300  Purpose.

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



Sec. 8.310  Applicability.

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



Sec. 8.320  Classification society authorization to issue international
certificates.

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

[CGD 95-010, 62 FR 67532, Dec. 24, 1997, as amended by USCG-2004-18884, 
69 FR 58342, Sept. 30, 2004; USCG-2004-19823; 74 FR 20419, May 4, 2009; 
USCG-2008-1014, 74 FR 21558, May 8, 2009]

[[Page 89]]



Sec. 8.330  Termination of classification society authority.

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



                 Subpart D_Alternate Compliance Program



Sec. 8.400  Purpose.

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



Sec. 8.410  Applicability.

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



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

    (a) The Commandant may authorize a recognized classification society 
to participate in the ACP. Authorization will be based on a satisfactory 
review of:
    (1) Applicable class rules; and
    (2) Applicable classification society procedures.
    (b) Authorization for a recognized classification society to 
participate in the ACP will require development of a U.S. Supplement to 
the society's class rules that meets the requirements of Sec. 8.430 of 
this part, which must be accepted by the Coast Guard.
    (c) A recognized classification society:
    (1) Will be eligible to receive authorization to participate in the 
ACP only after the Coast Guard has delegated to it the authority to 
issue the following certificates:
    (i) International Load Line Certificate;
    (ii) International Tonnage Certificate;
    (iii) Cargo Ship Safety Construction Certificate;
    (iv) Cargo Ship Safety Equipment Certificate; and
    (v) International Oil Pollution Prevention Certificate; and
    (2) Must have performed a delegated function related to general 
vessel safety assessment, as defined in Sec. 8.100 of this part, for a 
two-year period.
    (d) If, after this two-year period, the Coast Guard finds that the 
recognized classification society has not demonstrated the necessary 
satisfactory performance or lacks adequate experience, the recognized 
classification society will not be eligible to participate in the ACP. 
The Coast Guard will provide the reason for this determination to the 
recognized classification society. A classification society may appeal 
the decision of the Coast Guard concerning recognition to the Commandant 
in writing in accordance with 46 CFR 1.03-15(h)(4).
    (e) The Coast Guard will enter into a written agreement with a 
recognized classification society authorized to participate in the ACP. 
This agreement will define the scope, terms, conditions and requirements 
of the necessary delegation. Conditions of this agreement are presented 
in Sec. 8.130.

[CGD 95-010, 62 FR 67532, Dec. 24, 1997, as amended by USCG-2004-19823; 
74 FR 20419, May 4, 2009]

[[Page 90]]



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

    Prior to receiving authorization to participate in the ACP, a 
recognized classification society must prepare, and receive Commandant 
(CG-521) approval of, a U.S. Supplement to the recognized classification 
society's class rules. This supplement must include all regulations 
applicable for issuance of a Certificate of Inspection (COI) which are 
not, in the opinion of the Commandant, adequately established by either 
the class rules of that classification society or applicable 
international regulations.



Sec. 8.440  Vessel enrollment in the Alternate Compliance Program.

    (a) In place of compliance with other applicable provisions of this 
title, the owner or operator of a vessel subject to plan review and 
inspection under this subchapter for initial issuance or renewal of a 
COI may submit the vessel for classification, plan review and inspection 
by a recognized classification society authorized by the Coast Guard to 
determine compliance with applicable international treaties and 
agreements, the classification society's class rules, and the U.S. 
Supplement prepared by the classification society and accepted by the 
Coast Guard.
    (b) A vessel owner or operator wishing to have a vessel inspected 
under paragraph (a) of this section shall submit an Application for 
Inspection of U.S. Vessel (CG-3752) to the cognizant OCMI, and indicate 
on the form that the inspection will be conducted by an authorized 
classification society under the ACP.
    (c) Based on reports from an authorized classification society that 
a vessel complies with applicable international treaties and agreements, 
the classification society's class rules, and the U.S. Supplement 
prepared by the classification society and accepted by the Coast Guard, 
the cognizant OCMI may issue a certificate of inspection to the vessel. 
If the OCMI declines to issue a certificate of inspection even though 
the reports made by the authorized classification society indicate that 
the vessel meets applicable standards, the vessel owner or operator may 
appeal the OCMI decision as provided in subpart 1.03 of this chapter.
    (d) If reports from an authorized classification society indicate 
that a vessel does not comply with applicable international treaties and 
agreements, the classification society's class rules, and the U.S. 
Supplement prepared by the classification society and accepted by the 
Coast Guard, the cognizant OCMI may decline to issue a certificate of 
inspection. If the OCMI declines to issue a certificate of inspection, 
the vessel owner or operator may:
    (1) Correct the reported deficiencies and make arrangements with the 
classification society for an additional inspection;
    (2) Request inspection by the Coast Guard under other provisions of 
this subchapter; or
    (3) Appeal via the authorized classification society to the Chief, 
Office of Compliance, Commandant (CG-543), U.S. Coast Guard, 2100 2nd 
St. SW., Stop 7581 Washington, DC 20593-7581.



Sec. 8.450  Termination of classification society authority.

    (a) The Coast Guard may terminate an authorization agreement with a 
classification society to participate in the Alternate Compliance 
Program if:
    (1) The Commandant revokes the classification society's recognition, 
as specified in Sec. 8.260; or
    (2) The classification society fails to comply with the conditions 
of the authorization agreement as specified in Sec. 8.130.
    (b) In the event that a flag administration of a country changes 
conditions related to the authority that is delegated to ABS, the 
Commandant may modify or revoke the Coast Guard's authorization of that 
classification society that has its headquarters in that country.
    (c) Certificates issued by a classification society which has had 
its authorization to participate in the Alternate Compliance Program 
terminated, will be subject to the provisions of Sec. 8.330.
    (d) Owners or operators of vessels enrolled in the ACP and classed 
by a classification society that has its authority to participate in the 
ACP terminated, must:

[[Page 91]]

    (1) Change the classification society for the vessel to a 
classification society that is authorized to participate in the ACP; or
    (2) Disenroll the vessel from the ACP.
    (e) The Coast Guard will provide guidance to a vessel owner affected 
by the revocation of a classification society's authority to participate 
in the ACP. This will include notification of when the action required 
under paragraph (d) of this section must be completed.

[CGD 95-010, 62 FR 67532, Dec. 24, 1997, as amended by USCG-2004-18884, 
69 FR 58342, Sept. 30, 2004]



                Subpart E_Streamlined Inspection Program

    Source: CGD 96-055, 63 FR 44353, Aug. 18, 1998, unless otherwise 
noted.



Sec. 8.500  Purpose.

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



Sec. 8.505  Scope and applicability.

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



Sec. 8.510  Definitions.

    The following definitions apply to this subpart:
    Civil penalty means a final assessment under the provisions of 33 
CFR part 1, subpart 1.07 or part 20 of this chapter.
    Coast Guard SIP Advisor means the Coast Guard marine inspector 
assigned by the Officer in Charge, Marine Inspection (OCMI), to assist 
in the development of an action plan.
    Company means the owner of the vessel or any other organization or 
person, such as the manager or the bareboat charterer, who operates a 
vessel under the SIP.
    Company Action Plan (CAP) means the document describing a company's 
organization, policies, and responsibilities required for participation 
in the SIP.
    Company SIP Agent means the individual who is responsible for the 
Company Action Plan and the Vessel Action Plan development and 
implementation and who has the authority to bind the company to the 
terms of these plans.
    Correction Report means a document which sets out specific vessel 
deficiencies and is used to record their correction by the company.
    Documented deficiency means an incident documented in a Coast Guard 
record in which the condition of a vessel, its equipment, or its 
operation was not in compliance with Coast Guard regulations.
    Examination Checklist means any document or form approved in the 
VAP, that may be used by company employees to record the periodic 
examinations required by the VAP.
    Inspection Criteria References (ICR) means the individual pages in 
the VAP that list each item on the vessel required by regulation to be 
periodically inspected.
    Inspection Schedule and Verification (ISV) means the document that 
lists the items to be inspected and the intervals for their inspection, 
and on which is recorded the completion of required examinations and 
tests conducted by designated company employees.
    Prototype SIP plan means the SIP plans developed for a company or 
vessel participating in a Coast Guard District-or OCMI-endorsed SIP 
before August 18, 1998.

[[Page 92]]

    Reportable casualty means a marine casualty or accident required to 
be reported under 46 CFR part 4, subpart 4.05 of this chapter.
    Streamlined Inspection Program (SIP) means the alternative 
inspection program set out in this subpart.
    Vessel Action Plan (VAP) means the document that prescribes 
procedures for maintenance, examination, and inspection of a vessel 
enrolled in the SIP.



Sec. 8.515  Eligibility.

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



Sec. 8.520  Application.

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



Sec. 8.525  OCMI review and action.

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



Sec. 8.530  Plan development and approval.

    The Company SIP Agent will develop the CAP and VAP with guidance 
from the Coast Guard SIP Advisor for OCMI approval.
    (a) Company Action Plan. The CAP shall include at least the 
following:
    (1) A copy of the OCMI CAP approval letter (once the CAP is 
approved).
    (2) An organization commitment statement.
    (3) A company organization chart that includes the name(s) of the 
designated SIP support personnel who will be responsible for 
implementation and oversight of the approved CAP and VAP(s).

[[Page 93]]

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



Sec. 8.535  Training and operational evaluation.

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



Sec. 8.540  Enrollment in SIP.

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



Sec. 8.545  Scope of inspection for enrolled vessels.

    (a) A Coast Guard marine inspector will conduct required periodic 
and follow-on inspections necessary to ensure compliance with Coast 
Guard regulations.
    (b) A Coast Guard marine inspector will conduct the inspections in 
paragraph (a) of this section in accordance with the procedures set out 
in the VAP. These inspections will normally include the following:
    (1) Administrative review. This portion of the inspection consists 
of a review of prior Coast Guard SIP inspection forms, the contents of 
the VAP, and other certifications of equipment and vessel systems.
    (2) SIP performance review. This portion of the inspection consists 
of a review of vessel SIP documentation and records, review of the SIP 
procedures, and a company evaluation of their SIP.
    (3) Materiel review. This portion of the inspection consists of a 
general examination of the vessel, witnessing the examination of 
selected items under the

[[Page 94]]

VAP by company designated SIP support personnel, inspection of selected 
items, and witnessing crew performance in drills.
    (4) Conclusion and recommendations. This portion of the inspection 
contains the Coast Guard marine inspector's evaluation of regulatory 
compliance of the vessel under its VAP.
    (c) A Coast Guard marine inspector may conduct any additional tests 
or examinations of vessel equipment or systems necessary to ensure 
compliance with Coast Guard regulations during an inspection covered in 
paragraph (a) of this section.



Sec. 8.550  Plan review and revisions.

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



Sec. 8.555  Disenrollment.

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



Sec. 8.560  Waiver.

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



Sec. 8.565  Appeal.

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



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

    (a) A company operating under an approved prototype SIP company or 
vessel plan must apply in writing by November 1, 1998, to the cognizant 
OCMI for approval to continue operating under the plans while revisions 
are developed to bring the prototype SIP company or vessel plan into 
conformance with this subpart. The OCMI may approve the request for a 
period of up to 3 years.
    (b) A company that does not request approval as required by 
paragraph (a)

[[Page 95]]

of this section or does not obtain approval to continue operating under 
a prototype SIP company or vessel plan by February 1, 1999, may no 
longer operate under the plans and will be inspected in accordance with 
the requirements of 46 CFR part 2, subpart 2.01 of this chapter.



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



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

    Authority: 46 U.S.C. 2103; Department of Homeland Security 
Delegation No. 0170.1.

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



Sec. 9.1  Extra compensation; Coast Guard civilian personnel.

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

[CGD 74-119, 39 FR 33336, Sept. 17, 1974, as amended by USCG-2000-7790, 
65 FR 58458, Sept. 29, 2000]



Sec. 9.2  Payment although no actual service performed.

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



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

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



Sec. 9.4  Waiting time; actual report for duties.

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



Sec. 9.5  Night, Sunday, and holiday defined.

    (a) For the purpose of this part the word night shall mean the time 
between 5 p.m. of any day and 8 a.m. of the following day.
    (b) The term holiday shall mean only national legal public holidays, 
viz., January 1, February 22, May 30, July 4, the 1st Monday in 
September, November 11, the 4th Thursday in November, December 25, and 
such other days as may be declared legal public holidays by an act of 
Congress or by an Executive order of the President of the United States.
    (c) The term Sunday shall include the first day of each calendar 
week.



Sec. 9.6  Rate for night service.

    The rate of extra compensation for authorized overtime services 
performed at night on any week day is hereby fixed at one half the gross 
daily rate of regular pay of the employee who performs the services for 
each 2 hours of compensable time, any fraction of 2 hours amounting to 
at least one hour to be counted as 2 hours. In computing the amount 
earned, each 2 hours is the time period for the purpose of computation, 
at least one hour means the minimum service in each period for which 
extra pay may be granted. If

[[Page 96]]

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



Sec. 9.7  Rate for Sunday or holiday services.

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



Sec. 9.8  Broken periods.

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



Sec. 9.9  Two hours between broken periods.

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



Sec. 9.10  Waiting time.

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



Sec. 9.11  Proration of charges.

    If services are performed for two or more applicants during one 
continuous tour of overtime duty, the charge for the extra compensation 
earned shall be prorated equitably according to the time attributable to 
the services performed for each applicant.



Sec. 9.12  Travel status overtime.

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



Sec. 9.13  Congressional appropriations necessary.

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



Sec. 9.14  Assessment and collection of fees.

    Assessment and collection of fees against companies for overtime 
services shall be made even though the

[[Page 97]]

payment to employees for such services may not be made until funds are 
appropriated for that purpose.

[CGD 74-119, 39 FR 33336, Sept. 17, 1974, as amended by USCG-2010-0759, 
75 FR 60001, Sept. 29, 2010]



Sec. 9.15  Application form.

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



Sec. 9.16  Billing for services.

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



Sec. 9.17  Protests.

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

[[Page 98]]



            SUBCHAPTER B_MERCHANT MARINE OFFICERS AND SEAMEN





PART 10_MERCHANT MARINER CREDENTIAL--Table of Contents



                            Subpart A_General

Sec.
10.101 Purpose of rules in this part.
10.103 Incorporation by reference.
10.105 Paperwork approval. [Reserved]
10.107 Definitions in subchapter B.
10.109 Classification of endorsements.

   Subpart B_General Requirements for All Merchant Mariner Credentials

10.201 General characteristics of the merchant mariner credential.
10.203 Requirement to hold a TWIC and a merchant mariner credential.
10.205 Validity of a merchant mariner credential.
10.207 Identification number.
10.209 General application procedures.
10.211 Criminal record review.
10.213 National Driver Register.
10.214 Security Check.
10.215 Medical and physical requirements.
10.217 Merchant mariner credential application and examination 
          locations.
10.219 Fees.
10.221 Citizenship.
10.223 Modification or removal of limitations or scope.
10.225 Requirements for original merchant mariner credentials.
10.227 Requirements for renewal.
10.229 Issuance of duplicate merchant mariner credentials.
10.231 Requirements for raises of grade or new endorsements.
10.233 Obligations of the holder of a merchant mariner credential.
10.235 Suspension or revocation of merchant mariner credentials.
10.237 Right of appeal.
10.239 Quick reference table for MMC requirements.

    Authority: 14 U.S.C. 633; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 
2110; 46 U.S.C. chapter 71; 46 U.S.C. chapter 72; 46 U.S.C. chapter 75; 
46 U.S.C. 7701, 8906 and 70105; Executive Order 10173; Department of 
Homeland Security Delegation No. 0170.1.

    Source: USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, unless 
otherwise noted.



                            Subpart A_General



Sec. 10.101  Purpose of rules in this part.

    The regulations in this part provide:
    (a) A means of determining and verifying the qualifications an 
applicant must possess to be eligible for certification to serve on 
merchant vessels;
    (b) A means of determining that an applicant is competent to serve 
under the authority of their merchant mariner credential (MMC);
    (c) A means of confirming that an applicant does not pose a threat 
to national security through the requirement to hold a Transportation 
Worker Identification Credential (TWIC); and
    (d) A means of determining whether the holder of an MMC is a safe 
and suitable person.



Sec. 10.103  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Coast Guard must publish notice of change 
in the Federal Register and the material must be available to the 
public. All approved material is available for inspection at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030 or go to 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. Also, it is available for inspection at 
the Coast Guard, Office of Operating and Environmental Standards (CG-
5221), 2100 2nd St. SW., Stop 7126, Washington, DC 20593-7126, 202-372-
1405 and is available from the sources indicated in this section.
    (b) International Maritime Organization (IMO), 4 Albert Embankment, 
London SE1 7SR, England, telephone: + 44 (0)20 7735 7611, http://
www.imo.org:
    (1) The STCW--International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers,

[[Page 99]]

1978, as amended 1995 (the STCW Convention or the STCW), incorporation 
by reference approved for Sec. Sec. 10.107, 10.109, and 10.231.
    (2) The Seafarers' Training, Certification and Watchkeeping Code, as 
amended 1995 (the STCW Code), incorporation by reference approved for 
Sec. Sec. 10.107, 10.109, 10.227, and 10.231.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2009-
0702, 74 FR 49224, Sept. 25, 2009]



Sec. 10.105  Paperwork approval. [Reserved]



Sec. 10.107  Definitions in subchapter B.

    (a) With respect to part 16 and Sec. 15.1101 of this title only, if 
the definitions in paragraph (b) of this section differ from those set 
forth in either Sec. 16.105 or Sec. 15.1101, the definition set forth 
in either Sec. 16.105 or Sec. 15.1101, as appropriate, applies.
    (b) As used in this subchapter, the following terms apply only to 
merchant marine personnel credentialing and the manning of vessels 
subject to the manning provisions in the navigation and shipping laws of 
the United States:
    Apprentice mate (steersman) of towing vessels means a mariner 
qualified to perform watchkeeping on the bridge, while in training 
onboard a towing vessel under the direct supervision and in the presence 
of a master or mate (pilot) of towing vessels.
    Approved means approved by the Coast Guard according to Sec. 11.302 
of this chapter.
    Approved training means training that is approved by the Coast Guard 
or meets the requirements of Sec. 11.309 of this chapter.
    Assistance towing means towing a disabled vessel for consideration.
    Assistant engineer means a qualified officer in the engine 
department.
    Authorized official includes, but is not limited to, a Federal, 
State or local law enforcement officer.
    Ballast control operator or BCO means an officer restricted to 
service on mobile offshore drilling units (MODUs) whose duties involve 
the operation of the complex ballast system found on many MODUs. When 
assigned to a MODU, a ballast control operator is equivalent to a mate 
on a conventional vessel.
    Barge supervisor or BS means an officer restricted to service on 
MODUs whose duties involve support to the offshore installation manager 
(OIM) in marine-related matters including, but not limited to, 
maintaining watertight integrity, inspecting and maintaining mooring and 
towing components, and maintaining emergency and other marine-related 
equipment. A barge supervisor, when assigned to a MODU, is equivalent to 
a mate on a conventional vessel.
    Boatswain means the leading seaman and immediate supervisor of deck 
crew who supervises the maintenance of deck gear.
    Cargo engineer means a person holding an officer endorsement on a 
dangerous-liquid tankship or a liquefied-gas tankship whose primary 
responsibility is maintaining the cargo system and cargo-handling 
equipment.
    Chief engineer means any person responsible for the mechanical 
propulsion of a vessel and who is the holder of a valid officer 
endorsement 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 
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.
    Coastwise seagoing vessel means a vessel that is authorized by its 
Certificate of Inspection to proceed beyond the Boundary Line 
established in part 7 of this chapter.
    Competent person as used in part 13 only, means a person designated 
as such under 29 CFR 1915.7.
    Conviction means that the applicant for a merchant mariner 
credential has been found guilty, by judgment or plea

[[Page 100]]

by a court of record of the United States, the District of Columbia, any 
State, territory, or possession of the United States, a foreign country, 
or any military court, of a criminal felony or misdemeanor or of an 
offense described in section 205 of the National Driver Register Act of 
1982, as amended (49 U.S.C. 30304). If an applicant pleads guilty or no 
contest, is granted deferred adjudication, or is required by the court 
to attend classes, make contributions of time or money, receive 
treatment, submit to any manner of probation or supervision, or forgo 
appeal of a trial court's conviction, then the Coast Guard will consider 
the applicant to have received a conviction. A later expungement of the 
conviction will not negate a conviction unless the Coast Guard is 
satisfied that the expungement is based upon a showing that the court's 
earlier conviction was in error.
    Credential means any or all of the following:
    (1) Merchant mariner's document.
    (2) Merchant mariner's license.
    (3) STCW endorsement.
    (4) Certificate of registry.
    (5) Merchant mariner credential.
    Criminal record review means the process or action taken by the 
Coast Guard to determine whether an applicant for, or holder of, a 
credential is a safe and suitable person to be issued such a credential 
or to be employed on a vessel under the authority of such a credential.
    Dangerous drug means a narcotic drug, a controlled substance, or a 
controlled-substance analogue (as defined in section 102 of the 
Comprehensive Drug Abuse and Control Act of 1970 (21 U.S.C. 802)).
    Dangerous liquid or DL means a liquid listed in 46 CFR 153.40 of 
this chapter that is not a liquefied gas as defined in this part. Liquid 
cargoes in bulk listed in 46 CFR part 153, table 2, of this chapter are 
not dangerous-liquid cargoes when carried by non-oceangoing barges.
    Day means, for the purpose of complying with the service 
requirements of this subchapter, eight hours of watchstanding or day-
working not to include overtime. On vessels where a 12-hour working day 
is authorized and practiced, each work day may be creditable as one and 
one-half days of service. On vessels of less than 100 gross register 
tons, a day is considered as eight hours unless the Coast Guard 
determines that the vessel's operating schedule makes this criteria 
inappropriate, in no case will this period be less than four hours. When 
computing service required for MODU endorsements, a day is a minimum of 
four hours, and no additional credit is received for periods served over 
eight hours.
    Deck crew (excluding individuals serving under their officer 
endorsement) means, as used in 46 U.S.C. 8702, only the following 
members of the deck department: able seamen, boatswains, and ordinary 
seamen.
    Designated areas means those areas within pilotage waters for which 
first class pilot's endorsements are issued under part 11, subpart G, of 
this chapter, by the Officer in Charge, Marine Inspection (OCMI). The 
areas for which first class pilot's endorsements are issued within a 
particular Marine Inspection Zone and the specific requirements to 
obtain them may be obtained from the OCMI concerned.
    Designated duty engineer or DDE 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 an applicant has achieved the level of 
competence required to hold a merchant mariner credential (MMC) 
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 under 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.
    Directly supervised, only when referring to issues related to 
tankermen, means being in the direct line of sight of the person-in-
charge or maintaining

[[Page 101]]

direct, two-way communications by a convenient, reliable means, such as 
a predetermined working frequency over a handheld radio.
    Disabled vessel means a vessel that needs assistance, whether 
docked, moored, anchored, aground, adrift, or underway, but does not 
mean a barge or any other vessel not regularly operated under its own 
power.
    Drug test means a chemical test of an individual's urine for 
evidence of dangerous drug use.
    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 is a statement of a mariner's qualifications, which may 
include the categories of officer, staff officer, ratings, and/or STCW 
appearing on a merchant mariner credential.
    Entry-level mariner means those mariners holding no rating other 
than ordinary seaman, wiper, or steward's department (F.H.)
    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 under 49 CFR part 40 was reported as 
``positive'' by a Medical Review Officer because the chemical test 
indicated the presence of a dangerous drug at a level equal to or 
exceeding the levels established in 49 CFR part 40.
    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 for the purpose of calculating service requirements for 
an officer endorsement, 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. For purposes of requiring merchant 
mariner credentials with rating endorsements, the connecting and 
tributary waters are not part of the Great Lakes.
    Harbor assist means the use of a towing vessel during maneuvers to 
dock, undock, moor, or unmoor a vessel, or to escort a vessel with 
limited maneuverability.
    Horsepower means, for the purpose of this subchapter, the total 
maximum continuous shaft horsepower of all the vessel's main propulsion 
machinery.
    IMO means the International Maritime Organization.
    Inland waters means the navigable waters of the United States 
shoreward of the Boundary Lines as described in part 7 of this chapter, 
excluding the Great Lakes, and, for towing vessels, excluding the 
Western Rivers. For establishing credit for sea service, the waters of 
the Inside Passage between Puget Sound and Cape Spencer, Alaska, are 
inland waters.
    Invalid credential means a merchant mariner credential, merchant 
mariner's document, merchant mariner's license, STCW endorsement, or 
certificate of registry that has been suspended or revoked, or has 
expired.
    Large passenger vessel means a vessel of more than 70,000 gross 
tons, as measured under 46 U.S.C. 14302 and documented under the laws of 
the United States, with capacity for at least 2,000 passengers and a 
coastwise endorsement under 46 U.S.C. chapter 121.
    Liquefied gas or LG means a cargo that has a vapor pressure of 172 
kPa (25 psia) or more at 37.8 [deg]C (100 [deg]F).
    Liquid cargo in bulk means a liquid or liquefied gas listed in Sec. 
153.40 of this chapter and carried as a liquid cargo or liquid-cargo 
residue in integral, fixed, or portable tanks, except a liquid cargo 
carried in a portable tank actually loaded and discharged from a vessel 
with the contents intact.
    Lower level is used as a category of deck and engineer officer 
endorsements established for assessment of fees. Lower-level officer 
endorsements are other than those defined as upper level, for which the 
requirements are listed in subparts D, E, and G of part 11.

[[Page 102]]

    Marine chemist means a person certificated by the National Fire 
Protection Association.
    Master means the officer having command of a vessel.
    Mate means a qualified officer in the deck department other than the 
master.
    Merchant mariner credential or MMC means the credential issued by 
the Coast Guard under 46 CFR part 10. It combines the individual 
merchant mariner's document, license, and certificate of registry 
enumerated in 46 U.S.C. subtitle II part E as well as the STCW 
endorsement into a single credential that serves as the mariner's 
qualification document, certificate of identification, and certificate 
of service.
    MMC application means the application for the MMC, as well as the 
application for any endorsement on an MMC.
    Mobile offshore drilling unit or MODU means a vessel capable of 
engaging in drilling operations for the exploration for or exploitation 
of subsea resources. MODU designs include the following:
    (1) Bottom bearing units, which include:
    (i) Self-elevating (or jack-up) units with moveable, bottom bearing 
legs capable of raising the hull above the surface of the sea; and
    (ii) Submersible units of ship-shape, barge-type, or novel hull 
design, other than a self-elevating unit, intended for operating while 
bottom bearing.
    (2) 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 drill ships.
    Month means 30 days, for the purpose of complying with the service 
requirements of this subchapter.
    National Driver Register or NDR means the nationwide repository of 
information on drivers maintained by the National Highway Traffic Safety 
Administration 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:
    (1) Operating a motor vehicle while under the influence of, or 
impaired by, alcohol or a controlled substance; or
    (2) 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.
    Non-resident alien means an alien, as defined under Section 
101(a)(3) of the Immigration and Nationality Act (8 U.S.C. 1101 et seq.) 
(the Act), who is not lawfully admitted for permanent residence, as 
defined by Section 101(a)(20) of the Act, but who is employable in the 
United States under the Act and its implementing regulations, including 
an alien crewman described in section 101(a)(15)(D)(i) of the Act who 
meets the requirements of 46 U.S.C. 8103(k)(3)(A).
    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 endorsement means an annotation on a merchant mariner 
credential that allows a mariner to serve in the capacities in Sec. 
10.109(a). The officer endorsement serves as the license and/or 
certificate of registry pursuant to 46 U.S.C. subtitle II part E.
    Officer in Charge, Marine Inspection or OCMI means, for the purposes 
of this subchapter, the individual so designated at one of the Regional 
Examination Centers, or any person designated as such by the Commandant.
    Offshore installation manager or OIM means an officer restricted to 
service on MODUs. An assigned offshore installation manager is 
equivalent to a master on a conventional vessel 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.
    Operate, operating, or operation, as applied to the manning 
requirements of vessels carrying passengers, refers to a vessel any time 
passengers are embarked whether the vessel is underway,

[[Page 103]]

at anchor, made fast to shore, or aground.
    Operator means an individual qualified to operate certain 
uninspected vessels.
    Orally assisted examination means an examination as described in 
part 11, subpart I of this chapter verbally administered and documented 
by an examiner.
    Participation, when used with regard to the service on transfers 
required for tankerman by Sec. Sec. 13.120, 13.203, or 13.303 of this 
chapter, means either actual participation in the transfers or close 
observation of how the transfers are conducted and supervised.
    Passes a chemical test for dangerous drugs means that the result of 
a chemical test conducted according to 49 CFR part 40 is reported as 
``negative'' by a Medical Review Officer according to that part.
    PIC means a person in charge.
    Pilot of towing vessels means a qualified officer of a towing vessel 
operated only on inland routes.
    Pilotage waters means the navigable waters of the United States, 
including all inland waters and offshore waters to a distance of three 
nautical miles from the baseline from which the Territorial Sea is 
measured.
    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 a merchant mariner 
credential endorsement. A faculty member employed at a State maritime 
academy or the U.S. Merchant Marine Academy operated under 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 of specialization 
without individual evaluation by the Coast Guard.
    Qualified rating means various categories of able seaman, qualified 
member of the engine department, lifeboatman, or tankerman endorsements 
formerly issued on merchant mariner's documents.
    Raise of grade means an increase in the level of authority and 
responsibility associated with an officer or rating endorsement.
    Rating endorsement is an annotation on a merchant mariner credential 
that allows a mariner to serve in those capacities set out in Sec. 
10.109(b) and (c). The rating endorsement serves as the merchant 
mariner's document pursuant to 46 U.S.C. subtitle II part E.
    Regional examination center or REC means a Coast Guard office that 
issues merchant mariners' credentials and endorsements.
    Restricted tankerman endorsement means a valid tankerman endorsement 
on a merchant mariner credential restricting its holder as the Coast 
Guard deems appropriate. For instance, the endorsement may restrict the 
holder to one or a combination of the following: A specific cargo or 
cargoes; a specific vessel or vessels; a specific facility or 
facilities; a specific employer or employers; a specific activity or 
activities (such as loading or unloading in a cargo transfer); or a 
particular area of water.
    Rivers means a river, canal, or other similar body of water 
designated as such by the Coast Guard.
    Safe and suitable person means a person whose prior record, 
including but not limited to criminal record and/or NDR record, provides 
no information indicating that his or her character and habits of life 
would support the belief that permitting such a person to serve under 
the MMC and/or endorsement sought would clearly be a threat to the 
safety of life or property, detrimental to good discipline, or adverse 
to the interests of the United States. See 46 CFR 10.211 and 10.213 for 
the regulations associated with this definition.
    Self propelled has the same meaning as the terms ``propelled by 
machinery'' and ``mechanically propelled.'' This term includes vessels 
fitted with both sails and mechanical propulsion.
    Self-propelled tank vessel means a self-propelled tank vessel, other 
than a tankship.

[[Page 104]]

    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 these individuals for the purpose of certifying employment and 
whose signature is on file at the REC at which application is made.
    Service as, used when computing the required service for MODU 
endorsements, means the time period, in days, a person is assigned to 
work on MODUs, excluding time spent ashore as part of crew rotation. A 
day is a minimum of four hours, and no additional credit is received for 
periods served over eight hours.
    Simulated transfer means a transfer practiced in a course meeting 
the requirements of Sec. 13.121 of this chapter that uses simulation 
supplying part of the service on transfers required for tankerman by 
Sec. 13.203 or 13.303 of this chapter.
    Staff officer means a person who holds an MMC with an officer 
endorsement listed in Sec. 10.109(a)(31).
    Standard of competence means the level of proficiency to be achieved 
for the proper performance of duties onboard vessels according to 
national and international criteria.
    Steward's department means the department that includes 
entertainment personnel and all service personnel, including wait staff, 
housekeeping staff, and galley workers, as defined in the vessel 
security plan approved by the Secretary under 46 U.S.C. 70103(c). These 
personnel may also be referred to as members of the hotel department on 
a large passenger vessel.
    STCW means the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended 1995 
(incorporated by reference in Sec. 10.103).
    STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code, as amended 1995 (incorporated by reference in Sec. 
10.103).
    STCW endorsement means an annotation on a merchant mariner 
credential that allows a mariner to serve in those capacities under 
Sec. 10.109(d). The STCW endorsement serves as evidence that a mariner 
has met the requirements of STCW.
    Tank barge means a non-self-propelled tank vessel.
    Tank vessel means a vessel that is constructed or adapted to carry, 
or that carries, oil or hazardous material in bulk as cargo or cargo 
residue, and that:
    (1) Is a vessel of the United States;
    (2) Operates on the navigable waters of the United States; or
    (3) Transfers oil or hazardous material in a port or place subject 
to the jurisdiction of the United States.
    Tankerman assistant means a person holding a valid ``Tankerman-
Assistant'' endorsement to his or her merchant mariner credential.
    Tankerman engineer means a person holding a valid ``Tankerman-
Engineer'' endorsement to his or her merchant mariner credential.
    Tankerman PIC means a person holding a valid ``Tankerman-PIC'' 
endorsement on his or her merchant mariner credential.
    Tankerman PIC (Barge) means a person holding a valid ``Tankerman-PIC 
(Barge)'' endorsement to his or her merchant mariner credential.
    Tankship means any tank vessel constructed or adapted primarily to 
carry oil or hazardous material in bulk as cargo or as cargo residue and 
propelled by power or sail.
    Transfer means any movement of dangerous liquid or liquefied gas as 
cargo in bulk or as cargo residue to, from, or within a vessel by means 
of pumping, gravitation, or displacement. Section 13.127 of this chapter 
describes what qualifies as participation in a creditable transfer.
    Transportation Worker Identification Credential or TWIC means an 
identification credential issued by the Transportation Security 
Administration under 49 CFR part 1572.
    Underway means that a vessel is not at anchor, made fast to the 
shore, or aground. When referring to a mobile offshore drilling unit 
(MODU), underway means that the MODU is not in an on-location or laid-up 
status and includes that period of time when the MODU is deploying or 
recovering its mooring system.

[[Page 105]]

    Undocumented vessel means a vessel not required to have a 
certificate of documentation issued under the laws of the United States.
    Upper level is used as a category of deck and engineer officer 
endorsements established for assessment of fees. Upper-level 
endorsements are those for which the requirements are listed in 
Sec. Sec. 11.404 to 11.407 of this subchapter and Sec. Sec. 11.510, 
11.512, 11.514, and 11.516 of this subchapter.
    Vessel Security Officer (VSO) means a person onboard the vessel 
accountable to the Master, designated by the Company as responsible for 
security of the vessel, including implementation and maintenance of the 
Vessels Security Plan, and for liaison with the Facility Security 
Officer and the vessel's Company Security Officer.
    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 subchapter.



Sec. 10.109  Classification of endorsements.

    (a) The following officer endorsements are established in part 11 of 
this subchapter. The endorsements indicate that an individual holding a 
valid MMC with this endorsement is qualified to serve in that capacity 
and the endorsement has been issued under the requirements contained in 
part 11 of this subchapter:
    (1) Master;
    (2) Chief mate;
    (3) Second mate;
    (4) Third mate;
    (5) Mate;
    (6) Master of towing vessel;
    (7) Mate (pilot) of towing vessel;
    (8) Apprentice mate (Steersman);
    (9) Offshore installation manager (OIM);
    (10) Barge supervisor (BS);
    (11) Ballast control operator (BCO);
    (12) Operator of uninspected passenger vessels (OUPV);
    (13) Master of uninspected fishing industry vessels;
    (14) Mate of uninspected fishing industry vessels;
    (15) Master of offshore supply vessels;
    (16) Chief mate of offshore supply vessels;
    (17) Mate of offshore supply vessels;
    (18) Chief engineer;
    (19) Chief engineer (limited);
    (20) Chief engineer (limited-ocean);
    (21) Chief engineer (limited-near-coastal);
    (22) First assistant engineer;
    (23) Second assistant engineer;
    (24) Third assistant engineer;
    (25) Assistant engineer (limited);
    (26) Designated duty engineer (DDE);
    (27) Chief engineer offshore supply vessel;
    (28) Engineer offshore supply vessel;
    (29) Chief engineer MODU;
    (30) Assistant engineer MODU;
    (31) Chief engineer uninspected fishing industry vessels;
    (32) Assistant engineer uninspected fishing industry vessels;
    (33) Radio officer;
    (34) First class pilot
    (35) Chief purser;
    (36) Purser;
    (37) Senior assistant purser;
    (38) Junior assistant purser;
    (39) Medical doctor;
    (40) Professional nurse;
    (41) Marine physician assistant;
    (42) Hospital corpsman; and
    (43) Radar observer.
    (b) The following rating endorsements are established in part 12 of 
this subchapter. The endorsements indicate that an individual holding a 
valid MMC with this endorsement is qualified to serve in that capacity 
and the endorsement has been issued under the requirements contained in 
part 12 of this subchapter:
    (1) Able seaman:
    (i) Any waters, unlimited;
    (ii) Limited;
    (iii) Special; and
    (iv) Special (OSV).
    (2) Ordinary seaman.
    (3) Qualified member of the engine department (QMED):

[[Page 106]]

    (i) Refrigerating engineer;
    (ii) Oiler;
    (iii) Deck engineer;
    (iv) Fireman/Watertender;
    (v) Junior engineer;
    (vi) Electrician;
    (vii) Machinist;
    (viii) Pumpman;
    (ix) Deck engine mechanic; and
    (x) Engineman.
    (4) Lifeboatman.
    (5) Wiper.
    (6) Steward's department
    (7) Steward's department (F.H.).
    (8) Cadet.
    (9) Student observer.
    (10) Apprentice engineer.
    (11) Apprentice mate.
    (c) The following ratings are established in part 13 of this 
subchapter. The endorsements indicate that an individual holding a valid 
MMC with this endorsement is qualified to serve in that capacity and the 
endorsement has been issued under the requirements contained in part 13 
of this subchapter:
    (1) Tankerman PIC.
    (2) Tankerman PIC (Barge).
    (3) Restricted tankerman PIC.
    (4) Restricted tankerman PIC (Barge).
    (5) Tankerman assistant.
    (6) Tankerman engineer.
    (d) The following STCW endorsements are established by STCW and 
issued according to the STCW Code, STCW Convention and parts 11 and 12 
of this subchapter. The endorsements indicate that an individual holding 
a valid MMC with this endorsement is qualified to serve in that capacity 
and the endorsement has been issued under the requirements contained in 
parts 11 or 12 of this subchapter as well as the STCW Code and STCW 
Convention (incorporated by reference see Sec. 10.103):
    (1) Master.
    (2) Chief mate.
    (3) Officer in charge of a navigational watch (OICNW).
    (4) Chief engineer.
    (5) Second engineer officer.
    (6) Officer in charge of an engineering watch in a manned engineroom 
or designated duty engineer in a periodically unmanned engineroom 
(OICEW).
    (7) Rating forming part of a navigational watch (RFPNW).
    (8) Rating forming part of a watch in a manned engineroom or 
designated to perform duties in a periodically unmanned engineroom 
(RFPEW).
    (9) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC).
    (10) Proficiency in fast rescue boats.
    (11) Person in charge of medical care.
    (12) Medical first aid provider.
    (13) GMDSS at-sea maintainer.
    (14) GMDSS operator.
    (15) Tankerman PIC.
    (16) Tankerman assistant.
    (17) Tankerman engineer.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2006-
24371, 74 FR 39218, Aug. 6, 2009]



   Subpart B_General Requirements for All Merchant Mariner Credentials



Sec. 10.201  General characteristics of the merchant mariner credential.

    (a) A merchant mariner credential (MMC) (Coast Guard Form CG-4610), 
is a credential combining the elements of the merchant mariner's 
document (MMD), merchant mariner's license (license), and certificate of 
registry (COR) enumerated in 46 U.S.C. subtitle II part E as well as the 
STCW endorsement issued pursuant to the STCW Convention and STCW Code 
incorporated by reference in Sec. 10.103. MMDs, licenses, STCW 
endorsements and CORs are no longer issued as separate documents and all 
qualifications formerly entered on those separate documents appear in 
the form of an endorsement(s) on an MMC.
    (b) An MMC authorizes the holder to serve in any capacity endorsed 
thereon, or in any lower capacity in the same department, or in any 
capacity covered by a general endorsement.
    (c) An MMC may be issued to qualified applicants by the National 
Maritime Center or at any Regional Examination Center during usual 
business hours, or through the mail.



Sec. 10.203  Requirement to hold a TWIC and a merchant mariner credential.

    (a) Any mariner required to hold a license, MMD, COR, and/or an STCW 
endorsement by a regulation in 33 CFR chapter I or 46 CFR chapter I must 
hold an MMC. A mariner may continue to serve under the authority of and 
within

[[Page 107]]

any restriction on their license, MMD, COR, and/or STCW endorsement 
until the first renewal or upgrade of that credential, but not later 
than April 15, 2014.
    (b) Failure to obtain or hold a valid TWIC serves as a basis for the 
denial of an application for an original, renewal, new endorsement, 
duplicate, or raise of grade of a mariner's credential and may serve as 
a basis for suspension and revocation under 46 U.S.C. 7702 and 7703.
    (c) An MMC, license, MMD, COR, or STCW endorsement must be retained 
by the mariner to whom it was issued and, while valid, must be produced 
to verify qualifications when requested by an authorized official as 
identified in 33 CFR 101.515(d). Posting of the officer endorsement may 
be necessary as required in 46 U.S.C. 7110.
    (d) Although an MMD and an MMC serve as certificates of 
identification, a TWIC must be retained by the mariner to whom it was 
issued and, while valid, serves as the mariner's primary identification 
document. The TWIC must be produced to verify identity when required by 
an authorized official as identified in 33 CFR 101.515(d).



Sec. 10.205  Validity of a merchant mariner credential.

    (a) An MMC is valid for a term of five years from the date of 
issuance.
    (b) All endorsements are valid until the expiration date of the MMC 
on which they appear.
    (c) A mariner may not serve under the authority of an MMC past its 
expiration date. An expired MMC may be renewed during an administrative 
grace period of up to one year beyond its expiration date as per Sec. 
10.227(f) of this part.
    (d) When an MMC is renewed or re-issued before its expiration date 
in accordance with Sec. 10.227, the MMC that has been replaced becomes 
invalid.
    (e) An MMC is not valid until signed by the applicant and a duly 
authorized Coast Guard official.
    (f) A mariner's STCW endorsement is valid only when the related 
officer or rating endorsement is valid.
    (g) A mariner's endorsements authorize the holder to serve in any 
capacity endorsed on the MMC, or in any lower capacity in the same 
department, or in any capacity covered by a general endorsement thereon.
    (h) If a mariner chooses to renew his or her license, MMD, COR, or 
STCW endorsement and receive their first MMC, the Coast Guard may also 
renew all other credentials for which the mariner is qualified.



Sec. 10.207  Identification number.

    For recordkeeping purposes only, a mariner's official MMC 
identification number is the individual's social security number. 
However, a unique serial number, and not the social security number, 
will appear on the credential.



Sec. 10.209  General application procedures.

    (a) The applicant for an MMC, whether original, renewal, duplicate, 
raise of grade, or a new endorsement on a previously issued MMC, must 
establish to the Coast Guard that he or she satisfies all the 
requirements for the MMC and endorsement(s) sought before the Coast 
Guard will issue the MMC. This section contains the general requirements 
for all applicants. Additional requirements for duplicates, renewals, 
new endorsements, and raises of grade appear later in this part.
    (b) The Coast Guard may refuse to process an incomplete MMC 
application. The requirements for a complete application for an original 
MMC are contained in Sec. 10.225, the requirements for a renewal MMC 
application are in Sec. 10.227, the requirements for a duplicate MMC 
application are contained in Sec. 10.229, and the requirements for an 
application for a new endorsement or raise of grade are contained in 
Sec. 10.231.
    (c) Applications are valid for 12 months from the date that the 
Coast Guard approves the application.
    (d) The portions of the application that may be submitted by mail, 
fax, or other electronic means may include:
    (1) The application, consent for NDR check, and notarized oath on 
Coast Guard-furnished forms, and the evaluation fee required by Sec. 
10.219 of this part;

[[Page 108]]

    (2) The applicant's continuous discharge book, certificate of 
identification, MMD, MMC, license, STCW endorsement, COR, or, if it has 
not expired, a photocopy of the credential, including the back and all 
attachments;
    (3) Proof, documented on a form provided by the Coast Guard, that 
the applicant passed the applicable vision, hearing, medical or physical 
exam as required by Sec. 10.215 of this part;
    (4) If the applicant desires a credential with a radar-observer 
endorsement in accordance with Sec. 11.480 of this chapter, either the 
radar-observer certificate or a certified copy;
    (5) Evidence of, or acceptable substitute for, sea service, if 
required;
    (6) For an endorsement as a medical doctor or professional nurse as 
required in Sec. 11.807, evidence that the applicant 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. Any MMC 
issued will retain any limitation associated with the medical license;
    (7) Any certificates or other supplementary materials required to 
show that the mariner meets the mandatory requirements for the specific 
endorsement sought, as established in parts 11, 12 or 13 of this 
chapter; and
    (8) An open-book exercise, in accordance with Sec. 10.227(d)(8)(i) 
of this part.
    (e) The following requirements must be satisfied before an original 
or renewal MMC, or new endorsement or a raise of grade added to a 
previously issued MMC, will be issued. These materials will be added to 
the individual's record by the Coast Guard:
    (1) Determination of safety and suitability. No MMC will be issued 
as an original or reissued with a new expiration date, and no new 
officer endorsement will be issued if the applicant fails the criminal 
record review as set forth in Sec. 10.211 of this part;
    (2) NDR review. No MMC will be issued as an original or reissued 
with a new expiration date, and no new officer endorsement will be 
issued until the applicant has passed an NDR review as set forth in 
Sec. 10.213 of this part; and
    (3) Information supplied by the Transportation Security 
Administration (TSA). (i) Beginning on April 15, 2009, no MMC or 
endorsement will be issued until the Coast Guard receives the following 
information from the applicant's TWIC application: the applicant's 
fingerprints, FBI number and criminal record (if applicable), 
photograph, proof of United States citizenship, or Nationality with 
proof of legal resident status (if applicable). If the information is 
not available from TSA, the mariner may be required to visit a Regional 
Exam Center to provide this information.
    (ii) Until April 15, 2009, no application for an MMC or endorsement 
will be considered complete until the applicant appears at a Regional 
Exam Center to provide the following information: the applicant's 
fingerprints, photograph, proof of United States citizenship, or 
Nationality with proof of legal resident status (if applicable).
    (f) Upon determining that the applicant satisfactorily meets all 
requirements for an MMC or an endorsement thereon, the Coast Guard will 
issue the properly endorsed MMC to the applicant. Beginning April 15, 
2009, the Coast Guard will not issue an MMC until it has received proof 
that the mariner holds a valid TWIC.
    (g) When a new MMC is issued, the mariner must return the previously 
issued MMC, license, MMD, COR, or STCW endorsement to the Coast Guard, 
unless the new MMC is being issued to replace a lost or stolen 
credential. Upon written request at the time of application, the 
cancelled, previously issued credential(s) will be returned to the 
applicant.
    (h) Unless otherwise stated in this Part, an applicant who fails a 
chemical test for dangerous drugs will not be issued an MMC.



Sec. 10.211  Criminal record review.

    (a) The Coast Guard may conduct a criminal record review to 
determine the safety and suitability of an applicant for an MMC and any 
endorsements. An applicant conducting simultaneous MMC transactions will 
undergo a single criminal record review. At the time of application, 
each applicant must provide written disclosure of all convictions not 
previously disclosed to the Coast Guard on an application.

[[Page 109]]

    (b) A criminal record review is not required for applicants seeking 
a duplicate MMC under Sec. 10.229.
    (c) Fingerprints. Beginning April 15, 2009, the Transportation 
Security Administration (TSA) will provide to the Coast Guard the 
applicant's fingerprints submitted by the applicant with his or her TWIC 
application and, if applicable, the applicant's FBI number and criminal 
record generated in the TWIC review process. This information, or the 
fingerprints taken by the Coast Guard at an REC, will be used by the 
Coast Guard to determine whether the applicant has a record of any 
criminal convictions.
    (d) When a criminal record review leads the Coast Guard to determine 
that an applicant is not a safe and suitable person or cannot be 
entrusted with the duties and responsibilities of the MMC or endorsement 
applied for, the application may be disapproved.
    (e) If an application is disapproved, the applicant will be notified 
in writing of that fact, the reason or reasons for disapproval, and 
advised that the appeal procedures in subpart 1.03 of part 1 of this 
chapter apply. No examination will be given pending decision on appeal.
    (f) No person who has been convicted of a violation of the dangerous 
drug laws of the United States, the District of Columbia, any State, 
territory, or possession of the United States, or a foreign country, by 
any military or civilian court, is eligible for an MMC, except as 
provided elsewhere in 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, as amended (49 U.S.C. 30304) because of addiction 
to or abuse of alcohol is eligible for an MMC, unless he or she 
furnishes satisfactory evidence of suitability for service in the 
merchant marine as provided in paragraph (l) of this section. A 
conviction for a drug offense more than 10 years before the date of 
application will not alone be grounds for denial.
    (g) The Coast Guard will use table 10.211(g) to evaluate applicants 
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 Coast Guard 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 Coast Guard. The assessment period may include 
supervised or unsupervised probation or parole.

          Table 10.211(g)--Guidelines for Evaluating Applicants for MMCs Who Have Criminal Convictions
----------------------------------------------------------------------------------------------------------------
                                                                    Assessment periods
                Crime \1\                -----------------------------------------------------------------------
                                                        Minimum                             Maximum
----------------------------------------------------------------------------------------------------------------
                             Assessment Periods for Officer and Rating Endorsements
----------------------------------------------------------------------------------------------------------------
Crimes Against Persons:
    Homicide (intentional)..............  7 years...........................  20 years.
    Homicide (unintentional)............  5 years...........................  10 years.
    Assault (aggravated)................  5 years...........................  10 years.
    Assault (simple)....................  1 year............................  5 years.
    Sexual Assault (rape, child           5 years...........................  10 years.
     molestation).
    Robbery.............................  5 years...........................  10 years.
Other crimes against persons \2\
----------------------------------------------------------------------------------------------------------------
                                                Vehicular Crimes
----------------------------------------------------------------------------------------------------------------
Conviction involving fatality...........  1 year............................  5 years.
Reckless Driving........................  1 year............................  2 years.
Racing on the Highways..................  1 year............................  2 years.
Other vehicular crimes \2\
----------------------------------------------------------------------------------------------------------------
                                          Crimes Against Public Safety
----------------------------------------------------------------------------------------------------------------
Destruction of Property.................  5 years...........................  10 years.

[[Page 110]]

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

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

[[Page 111]]

as multiple convictions, failure to comply with court orders (e.g., 
child support orders), previous failures at rehabilitation or reform, 
inability to maintain steady employment, or any connection between the 
crime and the safe operation of a vessel. If the Coast Guard considers 
the applicant unsuitable for service in the merchant marine at the time 
of application, the Coast Guard may disapprove the application.
    (k) If a person with a criminal conviction submits their MMC 
application after the maximum assessment period shown in table 10.211(g) 
or established by the Coast Guard under paragraph (g) of this section 
has elapsed, then the Coast Guard will grant the applicant the MMC or 
endorsement for which he or she has applied unless the Coast Guard 
considers the applicant still unsuitable for service in the merchant 
marine. If the Coast Guard disapproves an applicant with a conviction 
older than the maximum assessment period listed in table 10.211(g), the 
Coast Guard will notify the applicant in writing of the reason(s) for 
the disapproval. The Coast Guard will also inform the applicant, in 
writing, that the reconsideration and appeal procedures contained in 
subpart 1.03 of this chapter apply.
    (l) 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 has elapsed for 
his or her conviction, the Coast Guard may consider the following 
factors, as applicable, in assessing the applicant's suitability to hold 
an MMC. This list is intended as a guide for the Coast Guard. The Coast 
Guard may consider other factors 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; and
    (5) Successful completion of all conditions of parole or probation.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2006-
24371, 74 FR 39218, Aug. 6, 2009]



Sec. 10.213  National Driver Register.

    (a) No MMC will be issued as an original or reissued with a new 
expiration date, and no new officer endorsement will be issued, 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).
    (b) The Coast Guard will not consider NDR-listed civil convictions 
that are more than three years old from the date of request unless that 
information relates to a current suspension or revocation of the 
applicant's license to operate a motor vehicle. The Coast Guard may 
determine minimum and maximum assessment periods for NDR-listed criminal 
convictions using table 10.213(c). An applicant conducting simultaneous 
MMC transactions is subject to only one NDR check.
    (c) The guidelines in table 10.213(c) will be used by the Coast 
Guard in evaluating applicants who have drug or alcohol related NDR-
listed convictions. Non-drug or alcohol related NDR-listed convictions 
will be evaluated by the Coast Guard under table 10.211(g) of Sec. 
10.211 as applicable. The Coast Guard will consider non-drug or alcohol 
related NDR-listed convictions that are more than three years old from 
the date of the request when the information relates to a current 
suspension or revocation of the applicant's license to operate a motor 
vehicle.

[[Page 112]]



 Table 10.213(c)--Guidelines for Evaluating Applicants for MMCs Who Have
 NDR Motor Vehicle Convictions Involving Dangerous Drugs or Alcohol \1\
------------------------------------------------------------------------
                                     Date of
     Number of convictions          conviction       Assessment period
------------------------------------------------------------------------
1.............................  Less than 1 year.  1 year from date of
                                                    conviction.
1.............................  More than 1, less  Application will be
                                 than 3 years.      processed, unless
                                                    suspension, or
                                                    revocation \2\ is
                                                    still in effect.
                                                    Applicant will be
                                                    advised that
                                                    additional
                                                    conviction(s) may
                                                    jeopardize merchant
                                                    mariner credentials.
1.............................  More than 3 years  Not necessary unless
                                 old.               suspension or
                                                    revocation is still
                                                    in effect.
2 or more.....................  Any less than 3    1 year since last
                                 years old.         conviction and at
                                                    least 3 years from
                                                    2nd most recent
                                                    conviction, unless
                                                    suspension or
                                                    revocation is still
                                                    in effect.
2 or more.....................  All more than 3    Application will be
                                 years old.         processed unless
                                                    suspension or
                                                    revocation is still
                                                    in effect.
------------------------------------------------------------------------
\1\ Any applicant who has ever been the user of, or addicted to the use
  of, a dangerous drug shall meet the requirements of paragraph (f) of
  this section.
\2\ Suspension or revocation, when referred to in table 10.213, means a
  State suspension or revocation of a motor vehicle operator's license.

    (d) Any application may be disapproved if information from the NDR 
check leads the Coast Guard to determine that the applicant cannot be 
entrusted with the duties and responsibilities of the MMC or endorsement 
for which the application is made. If an application is disapproved, the 
Coast Guard will notify the applicant in writing of the reason(s) for 
disapproval and advise the applicant that the appeal procedures in 
subpart 1.03 of part 1 of this chapter apply. No examination will be 
given pending decision on appeal.
    (e) Before disapproving an application because of information 
received from the NDR, the Coast Guard 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 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.
    (f) 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 Coast Guard may consider the following 
factors, as applicable, in assessing the applicant's suitability to hold 
an MMC. This list is intended as a guide for the Coast Guard. The Coast 
Guard may consider other factors, which it 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; and
    (5) Successful completion of all conditions of parole or probation.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2006-
24371, 74 FR 39218, Aug. 6, 2009]



Sec. 10.214  Security Check.

    Until April 15, 2009, the Coast Guard may conduct a security check 
on an applicant for an MMC, utilizing the criminal record review 
discussed in Sec. 10.211 of this part.



Sec. 10.215  Medical and physical requirements.

    (a) Medical and Physical Exams. To qualify for an MMC an applicant 
must meet the medical and physical standards in this section. Columns 2 
through 5 of table 10.215(a) provide the specific exam, test, or 
demonstrations required to obtain the corresponding credential

[[Page 113]]

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

                   Table 10.215(a)--Medical and Physical Requirements for Mariner Endorsements
----------------------------------------------------------------------------------------------------------------
                                                                             General medical    Demonstration of
            Credential                 Vision test        Hearing test            exam          physical ability
----------------------------------------------------------------------------------------------------------------
(i) Deck officer, including pilot  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(1)                            10.215(d)(1)        10.215(e)(1)
(ii) Engineering officer.........  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(2)                            10.215(d)(1)        10.215(e)(1)
(iv) Radio officer...............  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(2)                            10.215(d)(1)        10.215(e)(1)
(v) Offshore installation          Sec. Sec. 10.215(c)    Sec. Sec.
 manager, barge supervisor, or      10.215(b)(2)                            10.215(d)(1)        10.215(e)(1)
 ballast control operator.
(vi) Able seaman.................  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(1)                            10.215(d)(1)        10.215(e)(1)
(vii) QMED.......................  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(2)                            10.215(d)(1)        10.215(e)(1)
(viii) RFPNW.....................  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(1)                            10.215(d)(1)        10.215(e)(1)
(ix) RFPEW.......................  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(2)                            10.215(d)(1)        10.215(e)(1)
(x) Tankerman....................  Sec. Sec. 10.215(c)    Sec. Sec.
                                    10.215(b)(2)                            10.215(d)(1)        10.215(e)(1)
(xi) Food handler serving on       ..................  ..................  Sec.
 vessels to which STCW does not                                             10.215(d)(2)
 apply.
(xii) Food handler serving on      ..................  ..................  Sec. Sec.
 vessels to which STCW applies.                                             10.215(d)(2)        10.215(e)(1)
(xiii) Ratings, including entry    ..................  ..................  ..................  Sec.
 level, serving on vessels to                                                                   10.215(e)(2)
 which STCW applies, other than
 those listed above.
----------------------------------------------------------------------------------------------------------------

    (b) Vision Test--(1) Deck Standard. An applicant must have 
correctable vision to at least 20/40 in one eye and uncorrected vision 
of at least 20/200 in the same eye. An applicant having lost vision in 
one eye must wait six months before application and provide a statement 
of demonstrated ability on his or her medical examination. The color 
sense must be determined to be satisfactory when tested by any of the 
following methods or an alternative test approved by the Coast Guard, 
without the use of color-sensing lenses:
    (i) Pseudoisochromatic Plates (Dvorine, 2nd Edition; AOC; revised 
edition or AOC-HRR; Ishihara 14-, 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.
    (2) Engineering, radio operator, tankerman, and MODU standard. An 
applicant must have correctable vision of at least 20/50 in one eye and 
uncorrected vision of at least 20/200 in the same eye and need only have 
the ability to distinguish the colors red, green, blue and yellow.
    (3) Any applicant whose uncorrected vision does not meet the 
standards listed above, and is granted a waiver in accordance with 
paragraph (g) of this section, may not serve under the authority of the 
endorsement unless corrective lenses are worn and spare lenses are 
carried onboard a vessel.
    (c) Hearing test. If the medical practitioner conducting the general 
medical exam has concerns that an applicant's ability to hear may impact 
maritime safety, the examining medical practitioner, if not qualified to 
conduct the appropriate examinations, must refer the applicant to an 
audiologist or other hearing specialist to conduct an audiometer test 
and/or a speech discrimination test, as appropriate.

[[Page 114]]

    (1) The audiometer test should include testing at the following 
thresholds: 500 Hz; 1,000 Hz; 2,000 Hz; and 3,000 Hz. The frequency 
responses for each ear should be averaged to determine the measure of an 
applicant's hearing ability. Applicants must demonstrate an unaided 
threshold of 20 decibels or less in each ear.
    (2) The functional speech discrimination test should be carried out 
at a level of 55 decibels. For issuance of an original MMC or 
endorsement the applicant must demonstrate functional speech 
discrimination of at least 90%. For renewal or raise of grade, the 
applicant must demonstrate functional speech discrimination of at least 
80%. An applicant who is unable to meet the standards of the audiometer 
test, but who can pass the functional speech discrimination test, may be 
eligible for a medical waiver in accordance with paragraph (g) of this 
section.
    (d) General medical exam. (1) This exam must be documented and of 
such scope to ensure that there are no conditions that pose an 
inordinate risk of sudden incapacitation or debilitating complication. 
This exam must also document any condition requiring medication that 
impairs judgment or reaction time. Examples of physical impairment or 
medical conditions that could lead to disqualification include, but are 
not limited to, poorly controlled diabetes, myocardial infarctions, 
psychiatric disorders, and convulsive disorders.
    (2) Food handlers are not required to submit to a general medical 
exam, but must obtain a statement from a licensed physician, physician 
assistant, or nurse practitioner attesting that they are free of 
communicable diseases.
    (e) Demonstration of physical ability. (1) A demonstration of 
physical ability is required only if the medical practitioner conducting 
the general medical exam is concerned that an applicant's physical 
ability may impact maritime safety or if table 10.215(a) shows that the 
mariner must pass a demonstration of physical ability, but he or she is 
not required to pass a general medical exam.
    (2) For an applicant to satisfactorily pass a demonstration of 
physical ability, the examiner must be satisfied that the applicant:
    (i) Has no disturbance in the sense of balance;
    (ii) Is able, without assistance, to climb up and down vertical 
ladders and inclined stairs;
    (iii) Would be able, without assistance, to step over a door sill or 
coaming;
    (iv) Would be able to grasp, lift, and manipulate various common 
shipboard tools; move hands and arms to open and close valve wheels in 
vertical and horizontal directions, and rotate wrists to turn handles;
    (v) Does not have any impairment or disease that could prevent 
normal movement and physical activities;
    (vi) Is able to stand and walk for extended periods;
    (vii) Does not have any impairment or disease that could prevent 
response to a visual or audible alarm; and
    (viii) Is capable of normal conversation.
    (f) Reports of medical and physical exams, demonstrations, and 
tests. These reports must be submitted within 12 months from the date 
signed by the licensed medical professional. When submitted with a 
complete application package these reports remain valid for 12 months 
from the date of the application approval.
    (g) Medical waivers. Where an applicant does not possess the vision, 
hearing, or general physical condition necessary, the Coast Guard, after 
consultation with the examining licensed physician, licensed physician 
assistant, or licensed nurse practitioner may grant a waiver if 
extenuating circumstances warrant special consideration. An applicant 
may submit to the Coast Guard additional correspondence, records, and 
reports in support of a waiver. In this regard, recommendations from 
agencies of the Federal Government operating government vessels, as well 
as owners and operators of private vessels, made on 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 officers or 20/50 for engineer officers.

[[Page 115]]

    (h) Individuals holding only a staff officer endorsement need not 
meet the medical and physical requirements of this section.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2010-
0759, 75 FR 60001, Sept. 29, 2010]



Sec. 10.217  Merchant mariner credential application and examination
locations.

    (a) Applicants may apply to any of the Regional Examination Centers. 
Applicants may contact the National Maritime Center at 100 Forbes Drive, 
Martinsburg, WV 25404, or by telephone 1-888-427-5662 or 304-433-3400. A 
list of Regional Examination Center locations is available through the 
Coast Guard Web site at http://www.uscg.mil/stcw.
    (b) Coast Guard-designated facilities. The Coast Guard may designate 
additional locations to provide services to applicants for MMCs.
    (c) Exam Locations Abroad. (1) Coast Guard Merchant Marine Details 
abroad may conduct exams for ratings at locations other than the RECs, 
but are not prepared to conduct the physical examination where required. 
Merchant Marine Details may not issue regular rating endorsements, but 
temporary permits in lieu thereof. Merchant Marine Details will instruct 
the recipient of each temporary permit to present it to the OCMI, upon 
arrival in the first port in the United States in order to exchange it 
for a permanent credential.
    (2) The temporary permit must be accepted by the OCMI as proof that 
the bearer has complied with the rules and regulations governing the 
issuance of credentials, except as noted in the body of the temporary 
permit. The requirements noted in the exceptions will be complied with 
as in the case of other applicants.
    (3) The written examinations are forwarded to the National Maritime 
Center by Merchant Marine Details. When an applicant with a temporary 
permit appears before an OCMI, that OCMI may request and obtain the 
examination from the National Maritime Center. Any OCMI who doubts the 
propriety of issuing a permanent credential instead of a temporary 
permit which has been issued by an overseas Merchant Marine Detail must 
inform the National Maritime Center fully as to the circumstances.



Sec. 10.219  Fees.

    (a) Use table 10.219(a) of this section to calculate the mandatory 
fees for MMCs and associated endorsements.

                                              Table 10.219(a) Fees
----------------------------------------------------------------------------------------------------------------
                                                                  And you need . . .
                                     ---------------------------------------------------------------------------
          If you apply for             Evaluation then the fee    Examination then the    Issuance then the fee
                                              is . . .                fee is . . .               is . . .
----------------------------------------------------------------------------------------------------------------
MMC with officer endorsement:
    Original:.......................
        Upper level.................  $100....................  $110...................  $45
        Lower level.................  100.....................  95.....................  45
    Renewal.........................  50......................  45.....................  45
    Raise of grade..................  100.....................  45.....................  45
    Modification or removal of        50......................  45.....................  45
     limitation or scope.
Radio officer endorsement:
    Original........................  50......................  45.....................  45
    Renewal.........................  50......................  n/a....................  45
Staff officer endorsements:
    Original........................  90......................  n/a....................  45
    Renewal.........................  50......................  n/a....................  45
MMC with rating endorsement:
Original endorsement for ratings      95......................  n/a....................  45
 other than qualified ratings.
Original endorsement for qualified    95......................  140....................  45
 rating.
Upgrade or Raise of Grade...........  95......................  140....................  45
Renewal endorsement for ratings       50......................  n/a....................  45
 other than qualified ratings.
Renewal endorsement for qualified     50......................  45.....................  45
 rating.
STCW certification:
    Original........................  No fee..................  No fee.................  No fee
    Renewal.........................  No fee..................  No fee.................  No fee
Reissue, replacement, and duplicate.  n/a.....................  n/a....................  \1\ $45
----------------------------------------------------------------------------------------------------------------
\1\ Duplicate for MMC lost as result of marine casualty--No Fee.


[[Page 116]]

    (b) Fee payment procedures. Applicants may pay:
    (1) All fees required by this section at the time the application is 
submitted; or
    (2) A fee for each phase at the following times:
    (i) An evaluation fee when the application is submitted.
    (ii) An examination fee before the first examination section is 
taken.
    (iii) An issuance fee before receipt of the MMC.
    (c) If the examination is administered at a place other than an REC, 
the examination fee must be paid to the REC at least one week before the 
scheduled examination date.
    (d) Unless the REC provides additional payment options, fees must be 
paid as follows:
    (1) Fee payment(s) must be for the exact amount.
    (2) Payments may be made by cash, check, money order, or credit 
card.
    (3) Payments submitted by mail may not be made in cash. Mailed 
payments should specify the type of credential sought and the type of 
fee (e.g., evaluation, examination, issuance) being paid. The address 
for sending payment by mail can be found at http://www.uscg.mil/stcw/
ldcr-userfees.htm.
    (4) Checks or money orders are to be made payable to the U.S. Coast 
Guard, and the full legal name and last four digits of applicant's 
security number must appear on the front of each check or money order.
    (5) Fee payment may be made by electronic payment in a manner 
specified by the Coast Guard. For information regarding current forms of 
electronic payment, go to http://www.uscg.mil/stcw/ldcr-userfees.htm.
    (e) Unless otherwise specified in this part, when two or more 
endorsements are processed on the same application:
    (1) Evaluation fees. If an applicant simultaneously applies for a 
rating endorsement and a deck or engineer officer's endorsement, only 
the evaluation fee for the officer's endorsement will be charged. If an 
applicant simultaneously applies for a staff officer or radio officer 
endorsement along with the deck or engineer officer's endorsement, only 
the evaluation fee for the deck or engineer officer's endorsement will 
be charged. No evaluation fee is charged for an STCW endorsement.
    (2) Examination fees. One examination fee will be charged for each 
exam or series of exams for an original, raise of grade, or renewal of 
an endorsement on an MMC taken within one year from the date of the 
application approval. An examination fee will also be charged to process 
an open-book exercise used to renew an MMC. If an officer endorsement 
examination under part 11 of this chapter also fulfills the examination 
requirements in part 12 of this chapter for rating endorsements, only 
the fee for the officer endorsement examination is charged.
    (3) Issuance fees. Only one issuance fee will be charged for each 
MMC issued, regardless of the number of endorsements placed on the 
credential. There is no fee for a Document of Continuity.
    (f) The Coast Guard may assess additional charges to anyone to 
recover collection and enforcement costs associated with delinquent 
payments, failure to pay a fee, or returned checks. The Coast Guard will 
not provide credentialing services to a mariner who owes money for 
credentialing services previously provided.
    (g) 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 $6,500 for each violation.
    (h) No-fee MMC for certain applicants. (1) For the purpose of this 
section, a no-fee MMC applicant is a person who is a volunteer, or a 
part-time or full-time employee of an organization that is:
    (i) Charitable in nature;
    (ii) Not for profit; and
    (iii) Youth oriented.
    (2) Determination of eligibility. (i) An organization may submit a 
written request to U.S. Coast Guard National Maritime Center, 100 Forbes 
Drive, Martinsburg, WV 25404, in order to be considered an eligible 
organization under the criteria set forth in paragraph (h)(1) of this 
section. With the written request, the organization must provide 
evidence of its status as a youth-oriented, not-for-profit, charitable 
organization.

[[Page 117]]

    (ii) The following organizations are accepted by the Coast Guard as 
meeting the requirements of paragraph (h)(1) of this section and need 
not submit evidence of their status: Boy Scouts of America, Sea Explorer 
Association, Girl Scouts of the United States of America, and Young 
Men's Christian Association of the United States of America.
    (3) A letter from an organization determined eligible under 
paragraph (h)(2) of this section must also accompany the person's MMC 
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 MMC if other requirements for the MMC 
are met.
    (4) An MMC issued to a person under this section is endorsed 
restricting its use to vessels owned or operated by the sponsoring 
organization.
    (5) The holder of a no-fee MMC issued under this section may have 
the restriction removed by paying the appropriate evaluation, 
examination, and issuance fees that would have otherwise applied.



Sec. 10.221  Citizenship.

    (a)(1) MMCs with officer Endorsements. Only individuals with valid 
U.S. citizenship may apply for officer endorsements, except individuals 
applying for endorsements as operators of uninspected passenger vessels 
authorizing service on undocumented vessels in accordance with Sec. 
11.201(d) of this part.
    (2) All other MMCs. All other applicants, except as noted in Sec. 
12.40-11 of this subchapter, must be either:
    (i) A citizen of the United States;
    (ii) An alien, as defined under Section 101(a)(3) of the Immigration 
and Nationality Act (8 U.S.C. 1101 et seq.) (the Act), who is lawfully 
admitted to the United States for permanent residence, as defined by 
Section 101(a)(20) of the Act.; or
    (iii) A foreign national who is enrolled in the United States 
Merchant Marine Academy (USMMA).
    (b) Beginning April 15, 2009, proof of citizenship or alien status 
must be submitted to the Transportation Security Administration (TSA) 
with the applicant's TWIC application in accordance with 49 CFR 
1572.17(a)(11). Until April 15, 2009, proof of citizenship or alien 
status must be submitted by appearing at a Regional Exam Center.
    (c) TSA and the Coast Guard may reject any evidence of citizenship 
that is not believed to be authentic. Acceptable evidence of citizenship 
may be an original or a copy certified as true by the agency responsible 
for issuing the document of the following:
    (1) If the individual is applying for an officer endorsement (with 
the exception of those applying for an MMC endorsed only as Operator of 
an Uninspected Passenger Vehicle (OUPV) of an undocumented vessel), the 
individual must provide an original of any one of the following 
documents:
    (i) Certified copy of a birth certificate, issued by a State, 
county, municipality or outlying possession of the U.S. bearing an 
official seal;
    (ii) U.S. passport (expired or unexpired);
    (iii) Certificate of Citizenship issued by U.S. Citizenship and 
Immigration Services or the Immigration and Naturalization Service;
    (iv) Certificate of Naturalization issued by U.S. Citizenship and 
Immigration Services or the Immigration and Naturalization Service; or
    (v) Merchant mariner's document issued by the Coast Guard after 
February 3, 2003, that shows that the holder is a citizen of the United 
States.
    (2) If the individual is applying for a rating endorsement and they 
hold one of the documents listed in paragraph (c)(1)(i) through (v) of 
this section, these documents are also acceptable as evidence of 
citizenship. If the individual does not hold any one of those documents 
listed in paragraph (c)(1)(i) through (v), the individual must provide 
an original unexpired foreign passport and an original of any one of the 
following documents:
    (i) Permanent resident card (form I-551) issued by U.S. Citizenship 
and Immigration Services bearing the certification that the alien was 
admitted to the United States as an immigrant,

[[Page 118]]

    (ii) A declaration of intention to become a citizen of the United 
States issued by a naturalization court; or
    (iii) A certificate issued by the consular representative of the 
country of which the alien is a citizen or subject.
    (3) If the individual is the holder of or applying for a rating 
endorsement and the individual does not hold any of the documents listed 
in paragraphs (c)(1) or (2) of this section, proof of enrollment in the 
United States Merchant Marine Academy (USMMA) in the form of an original 
letter from the USMMA, signed by the Superintendent attesting to the 
individual's enrollment along with an unexpired foreign passport issued 
by the government of the country in which the alien is a citizen or 
subject, with a valid U.S. visa affixed to the passport, will be 
acceptable evidence of lawful status in the United States.
    (4) If the individual is applying for an MMC endorsed only as OUPV 
of an undocumented vessel, the individual must provide an original of 
any one of the documents enumerated in paragraphs (c)(1)(i) through (v) 
or (c)(2)(i) or (ii) of this section, or proof of acceptable alien 
status as provided in 49 CFR 1572.105.



Sec. 10.223  Modification or removal of limitations or scope.

    (a) If the Coast Guard 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 MMC held, 
any limitations that were previously placed upon the MMC by the Coast 
Guard may be changed or removed. Such an increase in scope may include a 
change in horsepower or tonnage limitations, or geographic route 
restrictions.
    (b) Modifications or removal of limitations or scope to MMC 
endorsement(s) under this section will not change the expiration date of 
the mariner's MMC unless the applicant renews all endorsements that 
would appear on the MMC under Sec. 10.227 of this part.
    (c) A complete application for modification or removal of limitation 
of scope must contain the following:
    (1) A completed signed application;
    (2) Beginning April 15, 2009, proof that the mariner holds a valid 
TWIC;
    (3) All supplementary materials required to show that the mariner 
meets the mandatory requirements for the transaction sought:
    (i) The mandatory requirements for officer endorsements are 
contained in part 11 of this chapter.
    (ii) The mandatory requirements for rating endorsements are 
contained in part 12 of this chapter.
    (iii) The mandatory requirements for tankerman rating endorsements 
are contained in part 13 of this chapter.
    (iv) The mandatory requirements for STCW endorsements are contained 
in parts 11 and 12 of this chapter and in the STCW Convention and Code 
(incorporated by reference, see Sec. 10.103).
    (4) The appropriate fee as set forth in Sec. 10.219 of this part; 
and
    (5) Any uncanceled MMD, MMC, license, STCW endorsement, or COR held 
by the applicant. If one or more of these credentials are still valid at 
the time of application, a photocopy, front and back of all pages, and 
all attachments, will satisfy this requirement. If the applicant submits 
a photocopy, upon the issuance of the new MMC, the applicant must 
surrender the old, original credential to the Coast Guard. If requested 
in writing at the time of submission, the old MMD, MMC, license, COR, or 
STCW endorsement may be returned to the applicant after cancellation.
    (d) No limitation on any endorsement may be changed before the 
applicant has made up any deficiency in the experience prescribed for 
the endorsement or endorsement desired and passed any necessary 
examination.



Sec. 10.225  Requirements for original merchant mariner credentials.

    (a) An applicant must apply as an original if the MMC sought is:
    (1) The first credential issued to the applicant;
    (2) The first credential issued to an applicant after their previous 
credential has expired and they do not hold a document of continuity 
under Sec. 10.227(e) of this part or an equivalent unexpired continuity 
endorsement on their license or MMD; or

[[Page 119]]

    (3) The first credential issued to an applicant after their previous 
credential was revoked pursuant to Sec. 10.235 of this part.
    (b) A complete application for an original MMC must contain the 
following:
    (1) A completed, signed application;
    (2) Beginning April 15, 2009, proof that the mariner either holds a 
valid TWIC or has applied for a TWIC;
    (3) All supplementary materials required to show that the mariner 
meets the mandatory requirements for all endorsements sought;
    (i) The mandatory requirements for officer endorsements are 
contained in part 11 of this chapter.
    (ii) The mandatory requirements for rating endorsements are 
contained in part 12 of this chapter.
    (iii) For a tankerman rating endorsement, the applicant must also 
provide those documents or proofs required in part 13 of this chapter.
    (iv) The mandatory requirements for STCW Endorsements are contained 
in parts 11 and 12 of this chapter and in the STCW Convention and Code 
(incorporated by reference, see Sec. 10.103).
    (4) The appropriate fee as set forth in Sec. 10.219 of this part;
    (5) Evidence of having passed a chemical test for dangerous drugs or 
of qualifying for an exemption from testing in Sec. 16.220 of this 
subchapter;
    (6) Discharges or other documentary evidence of service indicating 
the name, tonnage, and propulsion power of the vessels, dates of 
service, capacity in which the applicant served, and on what waters, 
where sea service is required;
    (7) Proof, documented on a form provided by the Coast Guard, that 
the applicant passed all applicable vision, hearing, medical, and/or 
physical exams as required by Sec. 10.215 of this part.
    (8) Consent to a Coast Guard check of the NDR for offenses described 
in section 205(a)(3)(A) or (B) of the National Driver Register Act of 
1982, as amended; and
    (9) The oath as required in paragraph (c) of this section.
    (c) Oath. Every person who receives an original MMC must first take 
an oath, before an official authorized to give such an oath, 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. An oath 
may be administered by any Coast Guard-designated individual or any 
person legally permitted to administer oaths in the jurisdiction where 
the person taking the oath resides. An oath administered at a location 
other than those listed in Sec. 10.217 must be verified in writing by 
the administering official and submitted to the same REC where the 
applicant applied for his or her MMC. This oath remains binding for any 
subsequently issued MMC and endorsements added to the MMC, unless 
specifically renounced in writing.



Sec. 10.227  Requirements for renewal.

    (a) Except as provided in paragraph (e) of this section, an 
applicant for renewal of a credential must establish possession of all 
of the necessary qualifications before the renewal MMC will be issued.
    (b) A credential may be renewed at any time during its validity and 
for one year after expiration.
    (c) No credential will be renewed if it has been suspended without 
probation or revoked as a result of action under part 5 of this chapter 
or if facts that would render a renewal improper have come to the 
attention of the Coast Guard.
    (d) Except as provided in paragraph (e) of this section, a complete 
application for renewal must contain the following:
    (1) A completed, signed application;
    (2) Beginning April 15, 2009, proof that the mariner holds a valid 
TWIC;
    (3) The appropriate fee as set forth in Sec. 10.219 of this part;
    (4) Any uncanceled MMD, MMC, license, STCW endorsement, or COR held 
by the applicant. If one or more of these credentials are still valid at 
the time of application, a photocopy--front, back, and all attachments--
will satisfy this requirement. If the applicant submits a photocopy, 
upon the issuance of the new MMC, the applicant must surrender the old 
original

[[Page 120]]

credential to the Coast Guard. If requested in writing at the time of 
submission, the old MMD, MMC, license, COR, or STCW endorsement may be 
returned to the applicant after cancellation;
    (5) Evidence of having passed a chemical test for dangerous drugs or 
of qualifying for an exemption from testing in Sec. 16.220 of this 
subchapter;
    (6) Proof, documented on a form provided by the Coast Guard, that 
the applicant passed all applicable vision, hearing, medical, and/or 
physical exams as required by Sec. 10.215 of this part;
    (7) Consent to a Coast Guard check of the NDR for offenses described 
in section 205(a)(3)(A) or (B) of the National Driver Register Act of 
1982, as amended;
    (8) Except as provided in paragraph (d)(8)(viii) of this section, 
the applicant must meet the following professional requirements for 
renewal:
    (i) The applicant must either--
    (A) Present evidence of at least one year of sea service during the 
past five years;
    (B) Pass a comprehensive, open-book exercise covering the general 
subject matter contained in appropriate sections of subpart (I) of this 
part;
    (C) Complete an approved refresher training course; or
    (D) 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 three years during the past five 
years. An applicant for a deck license or officer endorsement with this 
type of employment must also demonstrate knowledge on an applicable 
Rules of the Road open-book exercise.
    (ii) The qualification requirements for renewal of radar observer 
endorsement are in Sec. 11.480 of this chapter.
    (iii) Additional qualification requirements for renewal of an 
officer endorsement as first-class pilot are contained in Sec. 11.713 
of this chapter.
    (iv) An applicant for renewal of a radio officer's endorsement must, 
in addition to meeting the requirements of this section, present 
evidence of a currently valid license as first or second-class 
radiotelegraph operator issued by the Federal Communications Commission. 
If submitted, the original license will be returned to the applicant.
    (v) An applicant for renewal of an endorsement as medical doctor or 
professional nurse must, in addition to meeting the requirements 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. Any such 
renewal will retain the limitations placed upon the medical license by 
the issuing body. There are no professional requirements for renewal of 
an endorsement as marine physician assistant or hospital corpsman.
    (vi) An applicant for renewal of an endorsement as master or mate 
(pilot) of towing vessels must submit satisfactory evidence of:
    (A) Having completed a practical demonstration of maneuvering and 
handling a towing vessel to the satisfaction of a designated examiner; 
or
    (B) Ongoing participation in training and drills during the validity 
of the license or MMC being renewed.
    (vii) An applicant seeking to renew a tankerman endorsement must 
meet the additional requirements listed in Sec. 13.120 of this chapter.
    (viii) There are no professional requirements for renewal for the 
following endorsements:
    (A) Radio officer;
    (B) Staff officers (all types);
    (C) Ordinary seaman;
    (D) Wiper;
    (E) Steward's department (F.H.);
    (F) Cadet;
    (G) Student observer;
    (H) Apprentice engineer;
    (I) Apprentice mate (issued under part 12 of this subchapter);
    (J) Person in charge of medical care;
    (K) Medical first-aid provider;
    (L) GMDSS at-sea maintainer; and
    (M) GMDSS operator.
    (9) Except as otherwise provided, each candidate for a renewal of an 
STCW endorsement must meet the applicable requirements of Sec. 11.202 
of this chapter and must meet the requirements of section A-VI/2, 
paragraphs 1

[[Page 121]]

to 4 of the STCW Code (incorporated by reference in Sec. 10.103).
    (e) Document of continuity. (1) Applicants for renewal who are 
unwilling or otherwise unable to meet the requirements of paragraph (d) 
of this section, including but not limited to the medical and physical 
standards of Sec. 10.215, drug tests, and TWIC, may apply for a 
document of continuity issued by the Coast Guard. Documents of 
continuity do not expire and are issued solely to maintain an 
individual's eligibility for renewal. A document of continuity does not 
entitle an individual to serve as a merchant mariner. A holder of a 
document of continuity may obtain a properly endorsed, valid MMC at any 
time by satisfying the requirements for renewal as provided in paragraph 
(d).
    (2) Applications for a document of continuity must include:
    (i) The credential to be renewed. Upon written request, the Coast 
Guard will return the credential to the applicant after it has been 
cancelled; and
    (ii) An application including a signed statement from the applicant 
attesting to an awareness of the limited purpose of the Document of 
Continuity, their inability to serve, and the requirements to obtain an 
MMC.
    (f) Administrative grace period. Except as provided herein, a 
credential may not be renewed more than 12 months after it has expired. 
To obtain a re-issuance of the credential, an applicant must comply with 
the requirements of paragraph (g) of this section. When an applicant's 
credential 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 expiration which precluded renewal may be added to the 12-month 
grace period. The 12-month grace period and any extensions do not affect 
the expiration date of the credential. A license, MMD, COR, STCW 
endorsement, MMC, and any endorsements thereon, are not valid for use 
after the expiration date.
    (g) Re-issuance of expired credentials. (1) Whenever an applicant 
applies for re-issuance of an endorsement as deck officer, engineer 
officer, or qualified rating more than 12 months after expiration, 
instead of the requirements of paragraph (d)(8) of this section, the 
applicant must demonstrate continued professional knowledge by 
completing a course approved for this purpose, or by passing the 
complete examination. The examination may be oral-assisted if the 
expired credential was awarded on an oral exam. The fees set forth in 
Sec. 10.219 apply to these examinations. In the case of an expired 
radio officer's endorsement, the endorsement may be issued upon 
presentation of a valid first or second-class radiotelegraph operator 
license issued by the Federal Communications Commission.
    (2) An endorsement for chief purser, purser, senior assistant 
purser, junior assistant purser, hospital corpsman, marine physician 
assistant, medical doctor, or professional nurse that has been expired 
for more than 12 months shall be renewed in the same way as a current 
endorsement of that type. There are no additional requirements for re-
issuing endorsements for chief purser, purser, senior assistant purser, 
junior assistant purser, hospital corpsman, marine physician assistant, 
medical doctor, or professional nurse that have been expired for more 
than 12 months.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2006-
24371, 74 FR 39218, Aug. 6, 2009]



Sec. 10.229  Issuance of duplicate merchant mariner credentials.

    (a) Upon request and without examination, a mariner may be issued a 
duplicate credential after submitting an application with an affidavit 
describing the circumstances of the loss. The Coast Guard will only 
issue the duplicate credential after confirming the validity of the 
mariner's credential and, beginning April 15, 2009, the validity of the 
mariner's TWIC.
    (b) The duplicate will have the same authority, wording, and 
expiration date as the lost credential. A duplicate credential will 
reference the serial number, type, place of issue, and date of issue of 
the replaced credential(s). The duplicate issued will be in the form of 
an MMC. Until April 15, 2014, if a mariner seeks a duplicate of more 
than one credential, the MMC issued will reflect endorsements for all 
credentials lost, and the expiration date will

[[Page 122]]

match the earliest expiration date of the credentials lost.
    (c) If a person loses a credential by shipwreck or other casualty, a 
duplicate will be issued free of charge. The term ``other casualty'' 
includes any damage to a ship caused by collision, explosion, tornado, 
wreck, flooding, beaching, grounding, or fire; or personal loss 
associated with a federally declared natural disaster.
    (d) If a person loses a credential by means other than those noted 
in paragraph (c) of this section and applies for a duplicate, the 
appropriate fee set out in Sec. 10.219 must be paid.
    (e) No application from an alien for a duplicate credential will be 
accepted unless the alien complies with the requirements of Sec. 10.221 
of this part.
    (f) Applications for duplicate credentials will not be subject to a 
criminal record review.



Sec. 10.231  Requirements for raises of grade or new endorsements.

    (a) This section applies to applicants who already hold a valid 
credential and want to make the following transaction(s):
    (1) Add a new endorsement; or
    (2) Raise of grade of an existing endorsement.
    (b) New endorsements or raises of grade of existing endorsements on 
an MMC under this section will not change the expiration date of the MMC 
unless the applicant renews all endorsements that appear on the MMC 
under Sec. 10.227 of this part.
    (c) A complete application for a new endorsement or raise of grade 
must contain the following:
    (1) A completed, signed application;
    (2) Beginning April 15, 2009, proof that the mariner holds a valid 
TWIC;
    (3) All supplementary materials required to show that the mariner 
meets the mandatory requirements for the new endorsement(s) sought;
    (i) The mandatory requirements for officer endorsements are 
contained in part 11 of this chapter and paragraph (d) of this section.
    (ii) The mandatory requirements for rating endorsements are 
contained in part 12 of this chapter.
    (iii) The mandatory requirements for tankerman rating endorsements 
are contained in part 13 of this chapter.
    (iv) The mandatory requirements for STCW endorsements are contained 
in parts 11 and 12 of this chapter and in the STCW Convention and Code 
(incorporated by reference, see Sec. 10.103).
    (4) The appropriate fee as set forth in Sec. 10.219 of this part;
    (5) Any uncanceled MMD, MMC, license, STCW endorsement, or COR held 
by the applicant. If one or more of these credentials are still valid at 
the time of application, a photocopy--front, back, and all attachments--
will satisfy this requirement. If the applicant submits a photocopy, 
upon the issuance of the new MMC, the applicant must surrender the old 
original credential to the Coast Guard. If requested in writing at the 
time of submission, the old MMD, MMC, license, COR, or STCW endorsement 
may be returned to the applicant after cancellation;
    (6) Applicants for the following endorsements must produce evidence 
of having passed a chemical test for dangerous drugs or of qualifying 
for an exemption from testing in Sec. 16.220 of this subchapter:
    (i) Any officer endorsement; and
    (ii) The first endorsement as able seaman, lifeboatman, qualified 
member of the engine department, or tankerman.
    (7) An applicant for an endorsement where sea service is required 
must produce discharges or other documentary evidence of service, 
indicating the name, tonnage, and horsepower of the vessels, dates of 
service, capacity in which the applicant served, and on what waters;
    (8) Applicants who have not submitted evidence within the past three 
years that they have passed all applicable vision, hearing, medical, 
and/or physical exams required in Sec. 10.215 for the particular 
endorsement sought must submit proof, on a Coast Guard-approved form, 
that the applicant has passed those medical/physical tests and exams; 
and
    (9) Consent to a Coast Guard check of the NDR for offenses described 
in section 205(a)(3)(A) or (B) of the National

[[Page 123]]

Driver Register Act of 1982, as amended.
    (d) Additional requirements for an applicant seeking a raise of 
grade of an officer endorsement:
    (1) Sea service acquired before the issuance of an officer 
endorsement is generally not accepted as any part of the service 
required for a raise of grade of that endorsement. However, service 
acquired before issuance of an officer endorsement will be accepted for 
certain crossovers, endorsements, or increases in scope of an MMC, as 
appropriate. In the limited tonnage categories for deck officers, total 
accumulated service is a necessary criterion for most raises of grade; 
service acquired before the issuance of such officer endorsements will, 
therefore, be accepted.
    (2) No raise of grade 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.
    (3) Experience and service acquired on foreign vessels while holding 
a valid U.S. officer endorsement is creditable for establishing 
eligibility for a raise of grade, subject to evaluation by the Coast 
Guard 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)(7) of this section.
    (4) An applicant remains eligible for a raise of grade while on 
probation as a result of action under part 5 of this chapter. A raise of 
grade issued to a person on probation will be subject to the same 
probationary conditions imposed against the applicant's other 
credentials. 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 endorsement applied for. No applicant will be examined for a 
raise of grade during any period when a suspension without probation or 
a revocation imposed under part 5 of this chapter is effective against 
the applicant's credential or while an appeal from these actions is 
pending.
    (5) Professional examination. (i) When the Coast Guard finds an 
applicant's experience and training for raise of grade to be 
satisfactory, and the applicant is eligible in all other respects, the 
Coast Guard will authorize a professional examination.
    (ii) Oral-assisted examinations may be administered in accordance 
with Sec. 11.205(f) of this chapter. The Coast Guard will place in the 
applicant's file a record indicating the subjects covered.
    (iii) The general instructions for administration of examinations 
and the lists of subjects for all officer endorsements appear in part 
11, subpart I of this chapter.



Sec. 10.233  Obligations of the holder of a merchant mariner credential.

    (a) The holder of a credential may not voluntarily part with it or 
place it beyond his or her personal control by pledging or depositing it 
with any other person, except as required by regulation or as necessary 
to safeguard the credential. If the holder violates this section, the 
Coast Guard may pursue suspension or revocation of the license, MMD, 
COR, or MMC under the provisions of part 5 of this chapter.
    (b) Whenever a mariner loses a credential, he or she must 
immediately report the loss to the Coast Guard. The report must be made 
in writing, giving the facts incident to its loss.
    (c) Invalid credentials must be returned to the Coast Guard. Upon 
written request, the Coast Guard will return the cancelled credential to 
the mariner.



Sec. 10.235  Suspension or revocation of merchant mariner credentials.

    (a) Any MMC or endorsement is subject to suspension or revocation on 
the same grounds, in the same manner, and with like procedure as 
provided in 46 U.S.C. chapter 77.
    (b) When any individual's credential is revoked, it is no longer 
valid for any purpose, and any MMC subsequently requested must be 
applied for as an original following the procedures of

[[Page 124]]

Sec. Sec. 5.901-5.905 of this subchapter. When an endorsement on an 
individual's MMC is revoked, it is no longer valid, and any endorsement 
of the same type subsequently requested must be applied for as an 
original following the procedures of Sec. Sec. 5.901-5.905 of this 
subchapter. When an officer's endorsement is revoked, the Coast Guard 
will issue an MMC containing any rating endorsement for which the holder 
is qualified.
    (c) An applicant who has had a TWIC, credential, or endorsement 
revoked, and who is applying for a subsequent MMC or endorsement, must 
state in his or her application the date of revocation, the serial 
number of the document revoked, and the type of document or endorsement 
revoked.
    (d) A person whose credential or endorsement has been revoked or 
suspended without probation may not be issued a replacement credential 
or endorsement without approval of the Commandant. If a mariner has 
multiple endorsements and one or more, but not all, of those 
endorsements are suspended or revoked, the mariner will be issued a 
replacement MMC reflecting those endorsements for which the mariner 
remains qualified.
    (e) When a credential or endorsement that is about to expire has 
been suspended, the renewal of the credential or endorsement will be 
withheld until expiration of the suspension period.
    (f) An applicant for renewal or return of a credential with 
endorsement as master or mate (pilot) of towing vessels whose most 
recent credential has been suspended or revoked by an administrative law 
judge for incompetence must complete the practical demonstration 
required under Sec. 10.227(d)(8)(vi)(A).
    (g) Beginning April 15, 2009, if the Coast Guard is advised by the 
Transportation Security Administration (TSA) that a mariner has either 
been denied a TWIC or their TWIC has been revoked, the Coast Guard may 
initiate suspension and revocation action against the mariner's MMC, 
license, MMD, and COR under 46 U.S.C. 7702 and 7703. During the 
subsequent suspension and revocation proceeding, the TSA decision to 
deny issuance of, or to revoke, a mariner's TWIC will not be subject to 
review, and the mariner's failure to hold a TWIC will be treated by the 
Coast Guard as proof that the mariner is not eligible for an MMC, 
license, MMD or COR.
    (h) Beginning April 15, 2009, a mariner that has either been denied 
issuance of a TWIC or whose TWIC has been revoked for a reason, other 
than administrative reasons (e.g., being lost or stolen, not 
functioning, or having a misspelling) will be deemed ineligible for an 
MMC, license, MMD or COR.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2006-
24371, 74 FR 39218, Aug. 6, 2009]



Sec. 10.237  Right of appeal.

    (a) If the Coast Guard refuses to grant an applicant an MMC or 
endorsement, a written statement listing the reason(s) for denial will 
be provided to the applicant.
    (b) Any person directly affected by a decision or action taken under 
this subchapter, by or on behalf of the Coast Guard, may appeal under 
the provisions of subpart 1.03 of part 1 of this chapter.
    (c) The Coast Guard will not review decisions made by the 
Transportation Security Administration to suspend, revoke, or deny a 
mariner's TWIC.



Sec. 10.239  Quick reference table for MMC requirements.

    Table 10.239 provides a guide to the requirements for officer 
endorsements. Provisions in the reference section are controlling.

[[Page 125]]

[GRAPHIC] [TIFF OMITTED] TR16MR09.000


[[Page 126]]


[GRAPHIC] [TIFF OMITTED] TR16MR09.001



PART 11_REQUIREMENTS FOR OFFICER ENDORSEMENTS--Table of Contents



                            Subpart A_General

Sec.
11.101 Purpose of regulations.
11.102 Incorporation by reference.
11.103-11.105 [Reserved]
11.107 Paperwork approval.
11.109-11.113 [Reserved]

         Subpart B_General Requirements for Officer Endorsements

11.201 Eligibility for officer endorsements and STCW endorsements, 
          general.
11.202 STCW endorsements.
11.203-204 [Reserved]
11.205 Requirements for original officer endorsements and STCW 
          endorsements.

[[Page 127]]

11.207-11.210 [Reserved]
11.211 Creditable service and equivalents for officer endorsements.
11.213 Sea service as a member of the Armed Forces of the United States 
          and on vessels owned by the United States as qualifying 
          experience.
11.215 [Reserved]
11.217 Examination procedures and denial of officer endorsements.
11.219-11.223 [Reserved]

            Subpart C_Training Schools With Approved Courses

11.301 Applicability.
11.302 Course approval.
11.303 General standards.
11.304 Substitution of training for required service, use of training-
          record books, and use of towing officer assessment records.
11.305 Radar-Observer certificates and qualifying courses.
11.306 [Reserved]
11.307 Training schools with approved radar observer courses.
11.309 Coast Guard-accepted training other than approved courses.

          Subpart D_Professional Requirements for Deck Officers

11.401 Ocean and near-coastal officer or STCW endorsements.
11.402 Tonnage requirements for ocean or near coastal endorsements for 
          vessels of over 1600 gross tons.
11.403 Structure of deck officer endorsements.
11.404 Service requirements for master of ocean or near coastal steam or 
          motor vessels of any gross tons.
11.405 Service requirements for chief mate of ocean or near coastal 
          steam or motor vessels of any gross tons.
11.406 Service requirements for second mate of ocean or near coastal 
          steam or motor vessels of any gross tons.
11.407 Service requirements for third mate of ocean or near coastal 
          steam or motor vessels of any gross tons.
11.410 Requirements for deck officer endorsements for vessels of not 
          more than 1600 gross tons.
11.412 Service requirements for master of ocean or near coastal steam or 
          motor vessels of not more than 1600 gross tons.
11.414 Service requirements for mate of ocean steam or motor vessels of 
          not more than 1600 gross tons.
11.416 Service requirements for mate of near coastal steam or motor 
          vessels of not more than 1600 gross tons.
11.418 Service requirements for master of ocean or near coastal steam or 
          motor vessels of not more than 500 gross tons.
11.420 Service requirements for mate of ocean steam or motor vessels of 
          not more than 500 gross tons.
11.421 Service requirements for mate of near coastal steam or motor 
          vessels of not more than 500 gross tons.
11.422 Tonnage limitations and qualifying requirements for endorsements 
          as master or mate of vessels of not more than 200 gross tons.
11.424 Service requirements for master of ocean steam or motor vessels 
          of not more than 200 gross tons.
11.426 Service requirements for master of near coastal steam or motor 
          vessels of not more than 200 gross tons.
11.427 Service requirements for mate of near coastal steam or motor 
          vessels of not more than 200 gross tons.
11.428 Service requirements for master of near coastal steam or motor 
          vessels of not more than 100 gross tons.
11.429 Service requirements for limited master of near coastal steam or 
          motor vessels of not more than 100 gross tons.
11.430 Endorsements for the Great Lakes and inland waters.
11.431 Tonnage requirements for Great Lakes and inland endorsements for 
          vessels of over 1600 gross tons.
11.433 Service requirements for master of Great Lakes and inland steam 
          or motor vessels of any gross tons.
11.435 Service requirements for master of inland steam or motor vessels 
          of any gross tons.
11.437 Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of any gross tons.
11.442 Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 1600 gross tons.
11.444 Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of not more than 1600 gross tons.
11.446 Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 500 gross tons.
11.448 Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of not more than 500 gross tons.
11.450 Tonnage limitations and qualifying requirements for endorsements 
          as master or mate of Great Lakes and inland vessels of not 
          more than 200 gross tons.
11.452 Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 200 gross tons.
11.454 Service requirements for mate of Great Lakes and inland steam or 
          motor vessels of not more than 200 gross tons.
11.455 Service requirements for master of Great Lakes and inland steam 
          or motor vessels of not more than 100 gross tons.
11.456 Service requirements for limited master of Great Lakes and inland 
          steam

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          or motor vessels of not more than 100 gross tons.
11.457 Service requirements for master of inland steam or motor vessels 
          of not more than 100 gross tons.
11.459 Service requirements for master or mate of rivers.
11.462 Endorsements for master or mate of uninspected fishing industry 
          vessels.
11.463 General requirements for endorsements as master, mate (pilot), 
          and apprentice mate (steersman) of towing vessels.
11.464 Requirements for endorsements as master of towing vessels.
11.465 Requirements for endorsements as mate (pilot) of towing vessels.
11.466 Requirements for endorsements as apprentice mate (steersman) of 
          towing vessels.
11.467 Endorsement as operators of uninspected passenger vessels of less 
          than 100 gross tons.
11.468 Officer endorsements for mobile offshore drilling units.
11.470 Officer endorsements as offshore installation manager.
11.472 Officer endorsements as barge supervisor.
11.474 Officer endorsements as ballast control operator.
11.476 [Reserved]
11.480 Radar observer.
11.482 Assistance towing.
11.491 Officer endorsements for service on offshore supply vessels.
11.493 Master (OSV).
11.495 Chief Mate (OSV).
11.497 Mate (OSV).

        Subpart E_Professional Requirements for Engineer Officer

11.501 Grade and type of engineer endorsements issued.
11.502 Additional requirements for engineer endorsements.
11.503 Horsepower limitations.
11.504 Application of deck service for limited engineer endorsements.
11.505 Engineer officer structure.
11.510 Service requirements for chief engineer of steam and/or motor 
          vessels.
11.512 Service requirements for first assistant engineer of steam and/or 
          motor vessels.
11.514 Service requirements for second assistant engineer of steam and/
          or motor vessels.
11.516 Service requirements for third assistant engineer of steam and/or 
          motor vessels.
11.518 Service requirements for chief engineer (limited-oceans) of steam 
          and/or motor vessels.
11.520 Service requirements for chief engineer (limited near coastal) of 
          steam and/or motor vessels.
11.522 Service requirements for assistant engineer (limited oceans) of 
          steam and/or motor vessels.
11.524 Service requirements for designated duty engineer of steam and/or 
          motor vessels.
11.530 Endorsements for engineers of uninspected fishing industry 
          vessels.
11.540 Endorsements for engineers of mobile offshore drilling units.
11.542 Endorsement as chief engineer (MODU).
11.544 Endorsement as assistant engineer (MODU).
11.551 Endorsements for service on offshore supply vessels.
11.553 Chief Engineer (OSV).
11.555 Engineer (OSV).

                Subpart F_Credentialing of Radio Officers

11.601 Applicability.
11.603 Requirements for radio officers' endorsements and STCW 
          endorsements for GMDSS radio operators.

             Subpart G_Professional Requirements for Pilots

11.701 Scope of pilot endorsements.
11.703 Service requirements.
11.705 Route familiarization requirements.
11.707 Examination requirements.
11.709 Annual physical examination requirements.
11.711 Tonnage requirements.
11.713 Requirements for maintaining current knowledge of waters to be 
          navigated.

                Subpart H_Registration of Staff Officers

11.801 Applicability.
11.803 [Reserved]
11.805 General requirements.
11.807 Experience requirements for registry.
11.809 [Reserved]
11.811 Requirements to qualify for an STCW endorsement as vessel 
          security officer.

   Subpart I_Subjects of Examinations and Practical Demonstrations of 
                               Competence

11.901 General provisions.
11.903 Licenses requiring examinations.
11.910 Subjects for deck officer endorsements.
11.920 Subjects for MODU endorsements.
11.950 Subjects for engineer endorsements.

                     Subpart J_Ro-Ro Passenger Ships

11.1001 Purpose of regulations.
11.1003 Definition.

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11.1005 General requirements for officers.

  Subpart K_Officers on a Passenger Ship, Other Than a Ro-Ro Passenger 
                  Ship, When on an International Voyage

11.1101 Purpose of rules.
11.1103 Definitions.
11.1105 General requirements for officer's endorsements.

    Authority: 14 U.S.C. 633; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, and 
2110; 46 U.S.C. chapter 71; 46 U.S.C. 7502, 7505, 7701, 8906, and 70105; 
Executive Order 10173; Department of Homeland Security Delegation No. 
0170.1. Section 11.107 is also issued under the authority of 44 U.S.C. 
3507.

    Source: CGD 81-059, 52 FR 38623, Oct. 16, 1987, unless otherwise 
noted. Redesignated by USCG-2006-24371, 74 FR 11216, Mar. 16, 2009.



                            Subpart A_General



Sec. 11.101  Purpose of regulations.

    (a) These regulations provide--
    (1) A means of determining the qualifications an applicant must 
possess to be eligible for an officer endorsement as a staff officer, 
deck officer, engineer, pilot, or radio officer on merchant vessels, or 
for an endorsement to operate uninspected passenger vessels; 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 (STCW), and other laws, and 
to receive the appropriate endorsement as required by STCW.
    (b) With few exceptions, these regulations do not specify or 
restrict officer endorsements to particular types of service such as 
tankships, freight vessels or passenger vessels. However, each officer 
credentialed under this part must become familiar with the relevant 
characteristics of a 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 officer 
endorsement; and
    (2) All training and assessment associated with meeting the 
standards of competence established by STCW.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95-062, 62 FR 
34528, June 26, 1997; USCG-2006-24371, 74 FR 11235, Mar. 16, 2009]



Sec. 11.102  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Coast Guard must publish a notice of 
change in the Federal Register and the material must be available to the 
public. All approved material is available for inspection at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030 or go to 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. Also, it is available for inspection at 
the Coast Guard, Office of Operating and Environmental Standards (CG-
5221), 2100 2nd St. SW., Stop 7126, Washington, DC 20593-7126, 202-372-
1405 and is available from the sources indicated in this section.
    (b) International Maritime Organization (IMO), 4 Albert Embankment, 
London SE1 7SR, England, telephone: + 44 (0)20 7735 7611, http://
www.imo.org:
    (1) The International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended 1995 (the 
STCW Convention

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or the STCW), approved for incorporation by reference in Sec. Sec. 
11.202, 11.304, 11.901, 11.903, 11.1005, and 11.1105.
    (2) The Seafarers' Training, Certification and Watchkeeping Code, as 
amended 1995 (the STCW Code), approved for incorporation by reference in 
Sec. Sec. 11.202, 11.304, 11.603, 11.901, 11.903, 11.1005, and 11.1105.

[USCG-2006-24371, 74 FR 11235, Mar. 16, 2009, as amended by USCG-2006-
24371, 74 FR 39218, Aug. 6, 2009; USCG-2009-0702, 74 FR 49224, Sept. 25, 
2009]



Sec. Sec. 11.103-11.105  [Reserved]



Sec. 11.107  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget under the Paperwork Reduction Act of 1980 (Pub. L. 
96-511) for the reporting and record keeping requirements in this part.
    (b) The following control numbers have been assigned to the sections 
indicated:
    (1) OMB 1625-0040-46 CFR 11.201, 11.202, 11.205, 11.470, 11.472, 
11.474, 11.542, and 11.544.
    (2) OMB 1625-028-46 CFR 11.302, 11.303, 11.304, 11.480.
    (3) OMB 1625-0079-46 CFR 11.304 and 11.309.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 133, Jan. 
4, 1989; CGD 81-059a, 55 FR 14799, Apr. 18, 1990; CGD 95-062, 62 FR 
34529, June 26, 1997; USCG-2004-18884, 69 FR 58342, Sept. 30, 2004; 
USCG-2006-24371, 74 FR 11235, Mar. 16, 2009]



Sec. Sec. 11.109-11.113  [Reserved]



         Subpart B_General Requirements for Officer Endorsements



Sec. 11.201  Eligibility for officer endorsements and STCW endorsements, general.

    (a) In addition to the requirements of part 10 of this chapter, the 
applicant for an officer endorsement, whether original, renewal, 
duplicate, or raise of grade, must establish to the satisfaction of the 
Coast Guard that he or she possesses all the qualifications necessary 
(including but not limited to age, experience, character references and 
recommendations, physical health, citizenship, approved training, 
passage of a professional examination, a test for dangerous drugs, and 
when required by this part, a practical demonstration of skills) before 
the Coast Guard will issue a merchant mariner credential (MMC).
    (b) Except as provided in Sec. 11.467(h) of this part, an applicant 
for an officer endorsement 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.
    (c) An applicant for an officer endorsement must have at least three 
months of qualifying service on vessels of appropriate tonnage or 
horsepower within the three years immediately preceding the date of 
application.
    (d) No officer endorsement may be issued to any person who is not a 
citizen of the United States with the exception of operators of 
uninspected passenger vessels that are not documented under the laws of 
the United States.
    (e) Except as specified in this paragraph, no officer endorsement 
may be issued to a person who has not attained the age of 21 years. The 
required evidence of age may be established using any of the items 
submitted to establish citizenship set out in 49 CFR 1572.17 of this 
chapter:
    (1) An endorsement may be granted to an applicant who has reached 
the age of 19 years as:
    (i) Master of near coastal, Great Lakes and inland, inland, or river 
vessels of 25-200 GRT;
    (ii) Third mate;
    (iii) Third assistant engineer;
    (iv) Mate of vessels of 200-1,600 GRT;
    (v) Ballast control operator (BCO);
    (vi) Assistant engineer (MODU);
    (vii) Assistant engineer of fishing industry vessels;
    (viii) Mate (pilot) of towing vessels;
    (ix) Radio officer;
    (x) Assistant engineer (limited oceans); or
    (xi) Designated duty engineer of vessels of not more than 4,000 
horsepower.
    (2) An endorsement may be granted to an applicant who has reached 
the age of 18 years as:

[[Page 131]]

    (i) Limited master of near-coastal vessels of not more than 100 GRT;
    (ii) Limited master of Great Lakes and inland vessels of not more 
than 100 GRT;
    (iii) Mate of Great Lakes and inland vessels of 25-200 GRT;
    (iv) Mate of near coastal vessels of 25-200 GRT;
    (v) Operator of uninspected passenger vessels (OUPV);
    (vi) Designated duty engineer of vessels of not more than 1,000 
horsepower; or
    (vii) Apprentice mate (steersman) of towing vessels.
    (f) Persons serving or intending to serve in the merchant marine 
service are encouraged to take the earliest opportunity to ascertain, 
through examination, whether their visual acuity, color vision, hearing, 
and general physical condition 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 required of an officer at sea is cause for denial of an 
officer endorsement.
    (g) Applications for an original officer's endorsement, raises of 
grade, extensions of route, or STCW endorsements must be current and up 
to date with respect to service and the physical examination, as 
appropriate. Physical examinations and applications are valid for 12 
months from the date the application is approved.
    (h) Applicants for an endorsement as OUPV must meet the requirements 
for an officer endorsement.
    (i) The Officer in Charge, Marine Inspection (OCMI), may modify the 
service and examination requirements in this part to satisfy the unique 
qualification requirements of an applicant. The OCMI may also lower the 
age requirement for OUPV applicants. The authority granted by an officer 
endorsement will be restricted to reflect any modifications made under 
the authority of this paragraph. These restrictions may not be removed 
without the approval of the OCMI issuing the license or officer 
endorsement.

[USCG-2006-24371, 74 FR 11235, Mar. 16, 2009]



Sec. 11.202  STCW endorsements.

    (a) General. When an original MMC is issued, renewed, upgraded, or 
otherwise modified, the OCMI will determine whether the applicant needs 
to have an STCW endorsement for service on a seagoing vessel and then, 
if the applicant is qualified, will issue the appropriate endorsement. 
The OCMI will also issue an STCW endorsement at other times, if 
circumstances so require and if the applicant is qualified to hold the 
endorsement.
    (b) Basic safety training or instruction. Except as provided in 
paragraph (f) of this section, an STCW endorsement 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 four areas of basic safety within the 
previous five 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 (incorporated by reference, see Sec. 11.102).
    (2) Fire prevention and firefighting as set out in table A-VI/1-2 of 
the STCW Code (incorporated by reference, see Sec. 11.102).
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code (incorporated by reference, see Sec. 11.102).
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code (incorporated by reference, see Sec. 11.102).
    (c) Competence in the use of Automatic Radar-Plotting Aids (ARPA). 
(1) Subject to paragraphs (c)(2) and (f) of this section, each candidate 
for an STCW endorsement as master or mate for service on vessels in 
ocean or near-coastal service must 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

[[Page 132]]

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 (incorporated by 
reference, see Sec. 11.102).
    (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 
endorsement will indicate this limitation.
    (d) Endorsement for operator of radio in the Global Maritime 
Distress and Safety System (GMDSS). (1) Subject to paragraphs (d)(2) and 
(f) of this section, each candidate for an STCW endorsement as master or 
mate for service on vessels in ocean or near-coastal service shall 
present:
    (i) A certificate for operator of radio in the GMDSS issued by the 
Federal Communications 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 (incorporated by reference, see Sec. 
11.102).
    (2) Paragraph (d)(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). 
SOLAS is available from the International Maritime Organization (IMO), 4 
Albert Embankment, London SE1 7SR, England, telephone: + 44 (0)20 7735 
7611, http://www.imo.org.
    (3) Each candidate presenting a certificate described in paragraph 
(d)(1) of this section may receive a GMDSS endorsement.
    (e) Procedures for bridge team work. Except as otherwise provided in 
paragraph (f) of this section, each candidate for an STCW endorsement as 
master or mate for service on vessels in ocean or near-coastal service 
must 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.
    (f) Notwithstanding paragraph (b) through (e) of this section, Sec. 
11.304, and Sec. 11.901, each mariner found qualified to hold any of 
the following officer endorsements will also be entitled to hold an STCW 
endorsement corresponding to the service or other limitations on the 
MMC, because the vessels concerned are not subject to further obligation 
under STCW because of their special operating conditions as small 
vessels engaged in domestic voyages:
    (1) Masters, mates, or engineers endorsed for service on small 
passenger vessels that are subject to subchapter T or K of this chapter 
and that operate beyond the boundary line.
    (2) Masters, mates, or engineers endorsed for service on seagoing 
vessels of less than 200 gross register tons (GRT), other than passenger 
vessels subject to subchapter H of this chapter.
    (g) No mariner serving on, and no owner or operator of any of the 
following vessels, need hold an STCW endorsement, 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 on the 
inland waters of the U.S. in the Straits of Juan de Fuca inside passage.

[USCG-2006-24371, 74 FR 11236, Mar. 16, 2009]

[[Page 133]]



Sec. Sec. 11.203-11.204  [Reserved]



Sec. 11.205  Requirements for original officer endorsements and 
STCW endorsements.

    (a) General. In addition to the requirements in part 10 of this 
chapter and Sec. Sec. 11.201 through 11.203 of this part, the applicant 
for an original officer endorsement must also satisfy the requirements 
of this section.
    (b) Experience or training. (1) All applicants for original officer 
or STCW endorsements 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, is filed with the application. An MMC is not considered as 
satisfactory evidence of any qualifying experience.
    (2) No original officer or STCW endorsement may be issued to any 
naturalized citizen based 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 officer or STCW 
endorsement, 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 (b)(1) of 
this section.
    (4) No applicant for an original officer or STCW endorsement who is 
a naturalized citizen, and who has obtained experience on foreign 
vessels, will be given an original officer endorsement in a grade higher 
than that upon which he or she has actually served while acting under 
the authority of a foreign credential.
    (c) Character check and references. (1) Each applicant for an 
original officer or STCW endorsement must submit written recommendations 
concerning the applicant's suitability for duty from a master and two 
other individuals holding officer endorsements or licenses on vessels on 
which the applicant has served.
    (i) For an officer endorsement as engineer or as pilot, at least one 
of the recommendations must be from the chief engineer or pilot, 
respectively, of a vessel on which the applicant has served.
    (ii) For an officer endorsement as engineer where service was 
obtained on vessels not carrying a credentialed engineer and for an 
officer endorsement as master or mate (pilot) of 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.
    (iii) For an officer endorsement 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.
    (iv) Where an applicant qualifies for an endorsement through an 
approved training school or program, one of the character references 
must be an official of that school or program.
    (v) For an endorsement for which no commercial experience may be 
required, such as master or mate 25-200 gross tons, OUPV, 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.
    (vi) A person may apply for an original officer or STCW endorsement, 
or officer or STCW endorsement 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

[[Page 134]]

endorsement applied for. An officer or STCW endorsement issued to an 
applicant on probation will be subject to the same probationary 
conditions as were imposed against the applicant's other credential. An 
applicant may not take an examination for an officer or STCW endorsement 
during any period when a suspension without probation or a revocation is 
effective against the applicant's currently held license, merchant 
mariner's document, or MMC, or while an appeal from these actions is 
pending.
    (vii) If an original license, certificate of registry, or officer 
endorsement has 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, 
certificate of registry, or endorsement issued, or if such information 
indicates that the application for the license, certificate of registry, 
or endorsement was false or incomplete, the OCMI may notify the holder 
in writing that the license, certificate of registry, or endorsement is 
considered null and void, direct the holder to return the credential to 
the OCMI, and advise the holder that, upon return of the credential, the 
appeal procedures of Sec. 10.237 of this chapter apply.
    (d) Firefighting certificate. Applicants for officer endorsements 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. (Available from the International 
Maritime Organization (IMO), 4 Albert Embankment, London SE1 7SR, 
England, telephone: + 44 (0)20 7735 7611, http://www.imo.org). The 
course must have been completed within five years before the date of 
application for the officer endorsement requested.
    (1) Officer endorsement as master on vessels of 200 GRT or less in 
ocean service.
    (2) Officer endorsements as master or mate on vessels of more than 
200 GRT.
    (3) All officer endorsements for master or mate (pilot) of towing 
vessels, except apprentice mate (steersman) of the vessels, on oceans.
    (4) All officer endorsements for MODUs.
    (5) All officer endorsements for engineers.
    (e) First aid and cardiopulmonary resuscitation (CPR) course 
certificates. All applicants for an original officer endorsement, except 
as provided in Sec. Sec. 11.429, 11.456, and 11.467 of this part, must 
present to the OCMI:
    (1) A certificate indicating completion of a first aid course not 
more than one year from the date of application 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 
either:
    (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.
    (f) 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 officer endorsement limited 
to vessels not exceeding 500 GRT, or an officer endorsement 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 officer endorsement based on an oral-assisted examination

[[Page 135]]

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 officer endorsements 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 application of any person has been approved, the 
applicant should take the required examination as soon as practicable. 
If the applicant cannot be examined without delay at the office where 
the application is made, the applicant may request that the examination 
be given at another office.
    (3) The qualification requirements for radar observer are contained 
in Sec. 11.480 of this part.
    (4) An examination is not required for a staff officer or radio 
officer endorsement.
    (g) Practical demonstration of skills. Each candidate for an 
original STCW endorsement must successfully complete any practical 
demonstrations required under this part and appropriate to the 
particular endorsement concerned, to prove that he or she is 
sufficiently proficient in skills required under subpart I of this part. 
The OCMI must be satisfied with 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 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 in the file of each candidate.

[USCG-2006-24371, 74 FR 11237, Mar. 16, 2009]



Sec. Sec. 11.207-11.210  [Reserved]



Sec. 11.211  Creditable service and equivalents for officer endorsements.

    (a) Sea service may be documented for the purposes of this part 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 individuals holding an 
officer endorsement or license as master. 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 officer 
endorsement, 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 officer endorsement. 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 an officer 
endorsement or 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 officer licenses or endorsements 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 officer 
endorsement. 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

[[Page 136]]

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 officer endorsement. The remaining required service on vessels 
of over 1600 gross tons must be obtained on conventional vessels or Push 
Mode ITBs.
    (e) Other experience in a marine related area, other than at sea, or 
sea service performed on unique vessels, will be evaluated by the OCMI 
and forwarded to the Commandant for a determination of equivalence to 
traditional service.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 135, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11238, Mar. 16, 2009]



Sec. 11.213  Sea service as a member of the Armed Forces of the 
United States and on vessels owned by the United States as

qualifying experience.

    (a) Sea service as a member of the Armed Forces of the United States 
will be accepted as qualifying experience for an original, raise of 
grade, or increase in scope of all officer endorsements. 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 officer endorsement 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 officer endorsement, 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 the purposes of this part. 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 the purposes of 
this part. 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 officer endorsements under 
the provision of paragraph (a) of this section. For application to deck 
officer endorsements, submarine service may be creditable if at least 25 
percent of all service submitted for the endorsement was obtained on 
surface vessels (e.g. If four years' total service were submitted for an 
original officer endorsement, 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 or officer 
endorsement as master, mate, engineer, or pilot was

[[Page 137]]

not required at the time of such service, is evaluated by the OCMI and 
forwarded to the National Maritime Center for a determination of 
equivalence.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by USCG-2008-0906, 
73 FR 56508, Sept. 29, 2008; USCG-2006-24371, 74 FR 11238, Mar. 16, 
2009]



Sec. 11.215  [Reserved]



Sec. 11.217  Examination procedures and denial of officer endorsements.

    (a)(1) The examinations for all deck and engineer unlimited officer 
endorsements are administered at periodic intervals. The examination fee 
set out in table 10.219(a) in Sec. 10.219 of this chapter 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 officer 
endorsement examinations will be at the discretion of the OCMI. The 
examination fee set out in table 10.219(a) in Sec. 10.219 of this 
chapter 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 endorsement for 
which applied due to failing to pass a required examination, the Coast 
Guard will provide the applicant a written statement setting forth the 
portions of the examination which must be retaken and the date by which 
the examination must be completed.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 135, Jan. 
4, 1989; CGD 91-002, 58 FR 15238, Mar. 19, 1993; CGD 94-029, 61 FR 
47064, Sept. 6, 1996; USCG-1997-2799, 64 FR 42815, Aug. 5, 1999; USCG-
2006-24371, 74 FR 11239, Mar. 16, 2009]



Sec. Sec. 11.219-11.223  [Reserved]



            Subpart C_Training Schools with Approved Courses



Sec. 11.301  Applicability.

    This subpart prescribes the general requirements applicable to all 
approved courses which may be accepted in lieu of service experience or 
examination required by the Coast Guard, or which satisfy course 
completion requirements.



Sec. 11.302  Course approval.

    (a) The Coast Guard approves courses satisfying regulatory 
requirements and those that substitute for a Coast Guard examination or 
a portion of a sea service requirement. The owner or operator of a 
training school desiring to have a course approved by the Coast Guard 
shall submit a written request to the Commanding Officer, National 
Maritime Center, NMC-42, 100 Forbes Drive, Martinsburg WV 25404, 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;

[[Page 138]]

    (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 withdrawn, 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, when the school 
closes, when the school gives notice that it will no longer offer the 
course, 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 withdrawn, a renewal of the approval expires 60 months after the 
month it is issued, when the school closes, when the school gives notice 
that it will no longer offer the course, or on the date of any change in 
ownership of the school for which it is issued, whichever occurs first.
    (e) Suspension of approval. If the Coast Guard determines that a 
specific course does not comply with the provisions of 46 CFR parts 10, 
11, 12, 13 or 15, or the requirements specified in the course approval; 
or substantially deviates from the course curriculum package as 
submitted for approval; or if the course is being presented in a manner 
that is insufficient to achieve learning objectives; the cognizant OCMI 
may suspend the approval, may require the holder to surrender the 
certificate of approval, if any, and may direct the holder to cease 
claiming the course is Coast Guard approved. The Cognizant OCMI will 
notify the approval holder in writing of its intention to suspend the 
approval and the reasons for suspension. If the approval holder fails to 
correct the reasons for suspension, the course will be suspended and the 
matter referred to the Commanding Officer, National Maritime Center. The 
Commanding Officer, National Maritime Center, will notify the approval 
holder that the specific course fails to meet applicable requirements, 
and explain how those deficiencies can be corrected. The Commanding 
Officer, National Maritime Center, may grant the approval holder up to 
60 days in which to correct the deficiencies.
    (f) Withdrawal of approval. (1) The Commanding Officer, National 
Maritime Center, may withdraw approval for any course when the approval 
holder fails to correct the deficiency(ies) of a suspended course within 
a time period allowed under paragraph (e) of this section.
    (2) The Commanding Officer, National Maritime Center, may withdraw 
approval of any or all courses by an approval holder upon a 
determination that the approval holder has demonstrated a pattern or 
history of:
    (i) Failing to comply with the applicable regulations or the 
requirements of course approvals;
    (ii) Substantial deviations from their approved course curricula; or
    (iii) Presenting courses in a manner that is insufficient to achieve 
learning objectives.
    (g) Appeals of suspension or withdrawal of approval. Anyone directly 
affected by a decision to suspend or withdraw an approval may appeal the 
decision to the Commandant via the Commanding Officer, National Maritime 
Center, as provided in Sec. 1.03-40 of this chapter.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998; 
USCG-1998-3824, 64 FR 4984, Feb. 2, 1999; USCG-2004-18884, 69 FR 58342, 
Sept. 30, 2004; USCG-2008-0906, 73 FR 56508, Sept. 29, 2008; USCG-2006-
24371, 74 FR 11239, Mar. 16, 2009; USCG-2010-0759, 75 FR 60002, Sept. 
29, 2010]



Sec. 11.303  General standards.

    Each school with an approved course must:
    (a) Have a well maintained facility that accommodates the students 
in a

[[Page 139]]

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 to the 
Commanding Officer, National Maritime Center (NMC-42).
    (f) At any time the Officer in Charge, Marine Inspection directs, 
allow the Coast Guard to:
    (1) Inspect its facilities, equipment, and records, including 
scholastic records;
    (2) Conduct interviews and surveys of students to aid in course 
evaluation and improvement;
    (3) Assign personnel to observe or participate in the course of 
instruction; and
    (4) Supervise or administer the required examinations or practical 
demonstrations.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 132, Jan. 
4, 1989; CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 
52189, Sept. 30, 1998; USCG-1998-3824, 64 FR 4984, Feb. 2, 1999; USCG-
2004-18884, 69 FR 58342, Sept. 30, 2004; USCG-2008-0906, 73 FR 56508, 
Sept. 29, 2008]



Sec. 11.304  Substitution of training for required service, use of 
training-record books, and use of towing officer assessment records.

    (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 officer endorsements and for qualified rating 
endorsements. The list of all currently approved courses of instruction, 
including the equivalent service and applicable endorsements, is 
maintained by the National Maritime Center. 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 officer endorsements, respectively, and qualified 
rating endorsements.
    (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 before receiving an officer endorsement 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 officer endorsement transaction.
    (e) Except as provided in Sec. 11.202 of this part, when a 
candidate both applies for an STCW endorsement as OICNW, on the basis of 
training or sea service, and uses completion of approved training to 
substitute for required service, then not less than one year of the 
remaining service must be part of approved training that meets the 
appropriate requirements of Chapter II of STCW (incorporated by 
reference, see Sec. 11.102) and the requirements of subpart C of this 
part. The training of a candidate must be documented in a Coast Guard-
accepted training-record book.
    (f) Except as provided in Sec. 11.202 of this part, each candidate 
who applies

[[Page 140]]

for an STCW endorsement as an OICEW on the basis of training or sea 
service for service on seagoing vessels, shall complete onboard training 
as part of approved training that meets the appropriate requirements of 
Chapter III of STCW (incorporated by reference, see Sec. 11.102) 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 (incorporated by 
reference, see Sec. 11.102).
    (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 (incorporated by reference, see Sec. 11.102).
    (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 MMC 
endorsements, 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 MMC endorsement, 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) Each applicant for an endorsement as master or mate (pilot) of 
towing vessels, and each master or mate of self-propelled vessels of 
greater than 200 GRT seeking an endorsement for towing vessels, shall 
complete a towing officers' assessment record that contains at least the 
following:
    (1) Identification of the candidate, including full name, home 
address, photograph or photo-image, and personal signature.
    (2) Objectives of the training and assessment.
    (3) Tasks to perform or skills to demonstrate.
    (4) Criteria to use in determining that the tasks or skills have 
been performed properly.
    (5) A place for a qualified instructor or credentialed officer (with 
authority to operate a towing vessel) to indicate by his or her initials 
that the candidate has received training in the proper performance of 
the tasks or skills.
    (6) 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 proficient in the task or skill under the 
criteria.
    (7) Identification of each qualified instructor or credentialed 
officer (with authority to operate a towing vessel) by full name, home 
address, employer, job title, ship name or business address, MMC, 
license, or document held, and personal signature.
    (8) Identification of each designated examiner by full name, home 
address, employer, job title, ship name or business address, serial 
number of the TWIC, MMC, license, or document held, and personal 
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.
    (i) 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.
    (j) Substitution of a training program in lieu of required service 
for an endorsement as mate (pilot) of towing vessels is governed by 
Sec. 11.465(a) and Table 11.465-1 of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987]

[[Page 141]]


    Editorial Note: For Federal Register citations affecting Sec. 
11.304, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 11.305  Radar-Observer certificates and qualifying courses.

    (a) A student who takes an approved course of training, which 
includes passing both a radar-theory examination and a practical 
demonstration on a simulator, and who meets the requirements of this 
section is entitled to an appropriate Radar-Observer certificate--
    (1) In a form prescribed by the school and acceptable to the Coast 
Guard; and
    (2) Signed by the head of the school.
    (b) The following Radar-Observer certificates are issued under this 
section:
    (1) Radar Observer (Unlimited).
    (2) Radar Observer (Inland Waters and Gulf-Intracoastal Waterway 
[GIWW]).
    (3) Radar Observer (Rivers).
    (4) Radar Observer (Unlimited: Renewal).
    (5) Radar Observer (Inland Waters and GIWW: Renewal).
    (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:

[[Page 142]]

    (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.

[[Page 143]]

    (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.

[CGD 94-041, 62 FR 11303, Mar. 11, 1997]



Sec. 11.306  [Reserved]



Sec. 11.307  Training schools with approved radar observer courses.

    The Commanding Officer, National Maritime Center, NMC-42, 100 Forbes 
Drive, Martinsburg WV 25404 maintains the list of approved schools and 
specific courses. This information is available upon request by writing 
the aforementioned address or calling (202) 493-1025 (also available on 
the internet at: http://www.uscg.mil/STCW//).

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 132, Jan. 
4, 1989; CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 
52189, Sept. 30, 1998; USCG-2004-18884, 69 FR 58342, Sept. 30, 2004; 
USCG-2007-29018, 72 FR 53964, Sept. 21, 2007; USCG-2008-0906, 73 FR 
56508, Sept. 29, 2008]



Sec. 11.309  Coast Guard-accepted training other than approved courses.

    (a) When the training and assessment of competence required by this 
part are not subject to Coast Guard approval under Sec. 11.302, but are 
used to qualify to hold an STCW endorsement, 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;

[[Page 144]]

    (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, officer 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, MMC, 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

[[Page 145]]

shall communicate his or her conclusions to the Commanding Officer, 
National Maritime Center, NMC-42, 100 Forbes Drive, Martinsburg WV 
25404, 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 officer 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 (CG-543) 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 officer or STCW endorsements 
based in whole or in part on training not on the list, until additional 
training or assessment is documented.

[CGD 95-062, 62 FR 34531, June 26, 1997, as amended by USCG-1998-4442, 
63 FR 52189, Sept. 30, 1998; USCG-2004-18884, 69 FR 58342, Sept. 30, 
2004; USCG-2007-29018, 72 FR 53964, Sept. 21, 2007; USCG-2008-0906, 73 
FR 56508, Sept. 29, 2008; USCG-2006-24371, 74 FR 11239, Mar. 16, 2009]



          Subpart D_Professional Requirements for Deck Officers



Sec. 11.401  Ocean and near-coastal officer or STCW endorsements.

    (a) Any license or MMC endorsement for service as master or mate on 
ocean waters qualifies the mariner to serve in the same grade on any 
waters, subject to the limitations of the endorsement.
    (b) A license or MMC endorsement issued for service as master or 
mate on near-coastal waters qualifies the mariner to serve in the same 
grade on near-coastal, Great Lakes, and inland waters, subject to the 
limitations of the endorsement.
    (c) Near-coastal endorsements for any gross tons require the same 
number of years of service as the ocean-unlimited endorsements. The 
primary differences in these endorsements are the nature of the service 
and the professional examination as explained in subpart I of this part.
    (d) A mariner having a master or mate near-coastal license or MMC 
endorsement obtained with ocean service may have an MMC endorsed for 
ocean service by completing the appropriate examination deficiencies, 
provided that the additional service requirements of paragraph (e) of 
this section do not apply.
    (e) Master or third mate near-coastal unlimited endorsements may be 
obtained by completing the prescribed examination in subpart I of this 
part and satisfying the requirements of paragraph (g) of this section 
while holding a license or MMC endorsement as unlimited master or mate, 
respectively, upon Great Lakes and inland waters. To have a near-
coastal-unlimited endorsement obtained in this manner endorsed for ocean 
service, the mariner must obtain 12 months of service as a deck-watch 
officer or higher on ocean waters on vessels of 1,600 GRT or over,

[[Page 146]]

in addition to completing the examination topics.
    (f) Masters and mates endorsements for service on vessels of more 
than 200 gross tons may be endorsed for sail or auxiliary sail as 
appropriate. The applicant must present the equivalent total qualifying 
service required for conventional officer endorsements including at 
least one year of deck experience on that specific type of vessel. For 
example, for an officer endorsement as a master of vessels of not more 
than 1,600 gross tons endorsed for auxiliary sail, the applicant must 
meet the total experience requirements for the conventional officer 
endorsement, including time as mate and the proper tonnage experience, 
including at least one year of deck service on appropriately sized 
auxiliary-sail vessels. For an endorsement to serve on vessels of 200 
gross tons or less, see individual endorsement requirements.
    (g) In order to obtain a master or mate endorsement with a tonnage 
limit above 200 gross tons, or an endorsement for 200 gross tons or less 
with an ocean route, whether an original, raise in grade, or increase in 
the scope of the endorsement authority to a higher tonnage category, the 
applicant must successfully complete the following training and 
examination requirements:
    (1) Approved firefighting course;
    (2) Approved radar-observer course; and
    (3) Qualification as an able seaman unlimited or able seaman limited 
(able seaman special or able seaman offshore supply vessels satisfy the 
able seaman requirement for endorsements permitting service on vessels 
of 1,600 gross tons or less).
    (h) Each applicant for a deck officer endorsement, which authorizes 
service on vessels above 1,600 gross tons on ocean or near-coastal 
waters, whether original or raise of grade, must pass a practical-
signaling examination (flashing light). An applicant who fails in 
practical signaling, but passes every other part of the examination, may 
be issued an endorsement with a 1,600 gross ton limitation. The tonnage 
limitation can be removed upon successful completion of the signaling 
examination.

[USCG-2006-24371, 74 FR 11240, Mar. 16, 2009]



Sec. 11.402  Tonnage requirements for ocean or near coastal endorsements
for vessels of over 1600 gross tons.

    (a) To qualify for an ocean or near coastal endorsement for vessels 
of any gross tons, all the required experience must be obtained on 
vessels of over 200 gross tons. At least one-half of the required 
experience must be obtained on vessels of over 1600 gross tons.
    (b) If the applicant for an endorsement as master or mate does not 
have the service on vessels over 1600 gross tons required by paragraph 
(a) of this section, or is qualifying for third mate under the 
provisions of Sec. 11.407(c) of this subpart, a tonnage limitation is 
placed on the endorsement based on the applicant's qualifying 
experience. The endorsement is limited to the maximum tonnage on which 
at least 25 percent of the required experience was obtained, or 150 
percent of the maximum tonnage on which at least 50 percent of the 
service was obtained, whichever is higher. Limitations are in multiples 
of 1000 gross tons, using the next higher figure when an intermediate 
tonnage is calculated. When the calculated limitation equals or exceeds 
10,000 gross tons, the applicant is issued an unlimited tonnage 
endorsement.
    (c) Tonnage limitations imposed under paragraph (b) of this section 
may be raised or removed in the following manner:
    (1) When the applicant has six months of service on vessels of over 
1600 gross tons in the highest grade endorsed, all tonnage limitations 
are removed.
    (2) When the applicant has a total of six months of service on 
vessels of over 1600 gross tons in any capacity as an officer other than 
the highest grade for which endorsed, all tonnage limitations for the 
grade in which the service is performed are removed and the next higher 
grade endorsement is raised to the tonnage of the vessel on which the 
majority of the service was performed. The total cumulative service 
before and after issuance of the limited license or MMC endorsement may 
be

[[Page 147]]

considered in removing all tonnage limitations.
    (3) When the applicant has 12 months of service as able seaman on 
vessels over 1600 gross tons while holding a license or endorsement as 
third mate, all tonnage limitations on the third mate's license or MMC 
endorsement are removed.
    (d) Individuals holding licenses or endorsements as master or mate 
of vessels of not more than 1600 gross tons, not more than 500 gross 
tons, or not more than 25-200 gross tons are prohibited from using the 
provisions of paragraph (c) of this section to increase the tonnages of 
their licenses or endorsements.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 135, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11240, Mar. 16, 2009]



Sec. 11.403  Structure of deck officer endorsements.

    The following diagram illustrates the deck officer endorsement 
structure, including cross over points. The section numbers on the 
diagram refer to the specific requirements applicable.
[GRAPHIC] [TIFF OMITTED] TR16MR09.002


[USCG-2006-24371, 74 FR 11240, Mar. 16, 2009]



Sec. 11.404  Service requirements for master of ocean or near 
coastal steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as master of ocean or near coastal steam or motor vessels of 
any gross tons is:
    (a) One year of service as chief mate on ocean steam or motor 
vessels; or,
    (b) One year of service on ocean steam or motor vessels while 
holding a license or MMC endorsement as chief mate of ocean steam or 
motor vessels as follows:
    (1) A minimum of six months of service as chief mate; and,
    (2) Service as officer in charge of a navigational watch accepted on 
a two-for-one basis (12 months as second or third mate equals six months 
of creditable service).

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11241, Mar. 16, 2009]

[[Page 148]]



Sec. 11.405  Service requirements for chief mate of ocean or near
coastal steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as chief mate of ocean or near coastal steam or motor 
vessels of any gross tons is one year of service as officer in charge of 
a navigational watch on ocean steam or motor vessels while holding a 
license or MMC endorsement as second mate.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11241, Mar. 16, 2009]



Sec. 11.406  Service requirements for second mate of ocean or near
coastal steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as second mate of ocean or near coastal steam or motor 
vessels of any gross tons is:
    (a) One year of service as officer in charge of a navigational watch 
on ocean steam or motor vessels while holding a license or endorsement 
as third mate; or,
    (b) While holding a license or MMC endorsement as third mate of 
ocean steam or motor vessels of any gross tons, 12 months of service on 
deck as follows:
    (1) A minimum of six months service as officer in charge of a deck 
watch on ocean steam or motor vessels; in combination with,
    (2) Service on ocean steam or motor vessels as boatswain, able 
seaman, or quartermaster while holding a certificate or MMC endorsement 
as able seaman, which may be accepted on a two-for-one basis to a 
maximum allowable substitution of six months (12 months of experience 
equals 6 months of creditable service); or,
    (c) An individual holding an endorsement or license as master of 
Great Lakes and inland steam or motor vessels of any gross tons or 
master of inland steam or motor vessels of any gross tons, may obtain an 
endorsement as second mate of ocean or near coastal steam or motor 
vessels of any gross tons by completing the prescribed examination in 
subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 138, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11241, Mar. 16, 2009]



Sec. 11.407  Service requirements for third mate of ocean or near coastal
steam or motor vessels of any gross tons.

    (a) The minimum service or training required to qualify an applicant 
for an endorsement as third mate of ocean or near coastal steam or motor 
vessels of any gross tons is:
    (1) Three years of service in the deck department on ocean steam or 
motor vessels, six months of which shall have been as able seaman, 
boatswain, or quartermaster, while holding a certificate or endorsement 
as able seaman. Experience gained in the engine department on vessels of 
appropriate tonnage may be creditable for up to three months of the 
service requirements for this officer endorsement; or,
    (2) Graduation from:
    (i) The U.S. Merchant Marine Academy (deck curriculum);
    (ii) The U.S. Coast Guard Academy and qualification as an underway 
officer in charge of a navigational watch;
    (iii) The U.S. Naval Academy and qualification as an underway 
officer in charge of a navigational watch; or,
    (iv) The deck class of a maritime academy approved by and conducted 
under rules prescribed by the Maritime Administrator and listed in part 
310 of this title, including the ocean option program in the deck class 
of the Great Lakes Maritime Academy; or,
    (3) Satisfactory completion of a three year apprentice mate training 
program approved by the Commandant.
    (b) Graduation from the deck class of the Great Lakes Maritime 
Academy with no ocean sea service will qualify the graduate to be 
examined for an endorsement as third mate near coastal steam or motor 
vessels of any gross tons.
    (c) While holding a license or MMC endorsement as master of ocean or 
near coastal steam or motor vessels of not more than 1,600 gross tons, 
one year of service as master on vessels of over 200 gross tons 
operating on ocean or near coastal waters will qualify the applicant for 
an endorsement as third

[[Page 149]]

mate of ocean or near coastal steam or motor vessels of any gross tons.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by USCG 2002-13213, 
67 FR 64315, Oct. 18, 2002; USCG-2006-24371, 74 FR 11241, Mar. 16, 2009]



Sec. 11.410  Requirements for deck officer endorsements for vessels
of not more than 1600 gross tons.

    (a) Endorsements as master and mate of vessels of not more than 1600 
gross tons are issued in the following tonnage categories:
    (1) Not more than 1,600 gross tons;
    (2) Not more than 500 gross tons; or,
    (3) Between 25-200 gross tons in 50 ton increments and with 
appropriate mode of propulsion such as steam or motor, sail, or 
auxiliary sail.
    (b) Experience gained in the engine department on vessels of 
appropriate tonnage may be creditable for up to 25 percent of the 
service requirements for any mate endorsement in this category.
    (c) An officer's endorsement in this category obtained with an 
orally-assisted examination will be limited to 500 gross tons. In order 
to raise that tonnage limit to 1,600 gross tons, the written examination 
and service requirements must be satisfied.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 138, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11241, Mar. 16, 2009]



Sec. 11.412  Service requirements for master of ocean or near coastal
steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as master of ocean or near coastal steam or motor vessels of 
not more than 1600 gross tons is:
    (a) Four years total service on ocean or near coastal waters. 
Service on Great Lakes and inland waters may substitute for up to two 
years of the required service. Two years of the required service must 
have been on vessels of over 100 gross tons. Two years of the required 
service must have been as a master, mate master or mate (pilot) of 
towing vessels, or equivalent supervisory position while holding a 
license or MMC endorsement as master, mate, master or mate (pilot) of 
towing vessels. One year of the service as master, mate, master or mate 
(pilot) of towing vessels, or equivalent supervisory position must have 
been on vessels of over 100 gross tons; or,
    (b) An applicant holding a license or MMC endorsement as chief mate 
or second mate of ocean or near coastal steam or motor vessels of over 
1600 gross tons is eligible for this endorsement upon completion of a 
limited examination.

[CGD 81-059, 54 FR 138, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; 66 FR 20936, Apr. 26, 2001; USCG-2006-24371, 74 
FR 11241, Mar. 16, 2009]



Sec. 11.414  Service requirements for mate of ocean steam or motor 
vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as mate of ocean steam or motor vessels of not more than 
1600 gross tons is:
    (a) Three years total service in the deck department of ocean or 
near coastal steam or motor, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to 18 months of the 
required service. One year of the required service must have been on 
vessels of over 100 gross tons. One year of the required service must 
have been as a master, mate master or mate (pilot) of towing vessels, or 
equivalent supervisory position while holding a license or MMC 
endorsement as master, mate, master or mate (pilot) of towing vessels. 
Six months of the required service as master, mate, master or mate 
(pilot) of towing vessels, or equivalent supervisory position must have 
been on vessels of over 100 gross tons; or,
    (b) Three years total service in the deck department on ocean or 
near coastal steam or motor, sail, or auxiliary sail vessels of over 200 
gross tons. Six months of the required service must have been as able 
seaman.

[CGD 81-059, 54 FR 138, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; 66 FR 20936, Apr. 26, 2001; USCG-2006-24371, 74 
FR 11241, Mar. 16, 2009]

[[Page 150]]



Sec. 11.416  Service requirements for mate of near coastal steam or 
motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as mate of near coastal steam or motor vessels of not more 
than 1600 gross tons is two years total service in the deck department 
of ocean or near coastal steam or motor, sail, or auxiliary sail 
vessels. Service on Great Lakes and inland waters may substitute for up 
to one year of the required service. One year of the required service 
must have been on vessels of over 100 gross tons. Six months of the 
required service must have been as able seaman, boatswain, 
quartermaster, or equivalent position on vessels of over 100 gross tons 
while holding a certificate or endorsement as able seaman.

[CGD 81-059, 54 FR 138, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11242, Mar. 16, 2009]



Sec. 11.418  Service requirements for master of ocean or near coastal 
steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as master of ocean or near coastal steam or motor vessels of 
not more than 500 gross tons is:
    (a) Three years total service on ocean or near coastal waters. 
Service on Great Lakes and inland waters may substitute for up to 18 
months of the required service. Two years of the required service must 
have been as a master, mate, or equivalent supervisory position while 
holding a license or MMC endorsement as master, mate, or operator of 
uninspected passenger vessels. One year of the required service as 
master, mate, or equivalent supervisory position must have been on 
vessels of over 50 gross tons.
    (b) The holder of a license or MMC endorsement as master or mate 
(pilot) of towing vessels authorizing service on oceans or near-coastal 
routes is eligible for an endorsement as master of ocean or near-coastal 
steam or motor vessels of not more than 500 gross tons after both 1 year 
of service as master or mate of towing vessels on oceans or near-coastal 
routes and completion of a limited examination.

[CGD 81-059, 54 FR 138, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11242, Mar. 16, 2009]



Sec. 11.420  Service requirements for mate of ocean steam or
motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as mate of ocean steam and motor vessels of not more than 
500 gross tons is two years total service in the deck department of 
ocean or near coastal steam or motor, sail, or auxiliary sail vessels. 
Service on Great Lakes and inland waters may substitute for up to one 
year of the required service. One year of the required service must have 
been as a master, mate, or equivalent supervisory position while holding 
a license or endorsement as master, mate, or operator of uninspected 
passenger vessels. Six months of the required service as master, mate, 
or equivalent supervisory position must have been on vessels of over 50 
gross tons.

[CGD 81-059, 54 FR 138, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11242, Mar. 16, 2009]



Sec. 11.421  Service requirements for mate of near coastal steam or 
motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as mate of near coastal steam or motor vessels of not more 
than 500 gross tons is two years total service in the deck department of 
ocean or near coastal steam or motor, sail, or auxiliary sail vessels. 
Service on Great Lakes and inland waters may substitute for up to one 
year of the required service. One year of the required service must have 
been on vessels of over 50 gross tons. Three months of the required 
service must have been as able seaman, boatswain, quartermaster, or 
equivalent position on vessels of over 50 gross tons while holding a 
certificate or endorsement as able seaman.

[CGD 81-059, 54 FR 138, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11242, Mar. 16, 2009]

[[Page 151]]



Sec. 11.422  Tonnage limitations and qualifying requirements for endorsements
as master or mate of vessels of not more than 200 gross tons.

    (a) Except as noted in paragraph (e), all endorsements issued for 
master or mate of vessels of not more than 200 gross tons are issued in 
50 gross ton increments based on the applicant's qualifying experience. 
The endorsement is limited to the maximum tonnage on which at least 25 
percent of the required experience was obtained, or 150 percent of the 
maximum tonnage on which at least 50 percent of the service was 
obtained, whichever is higher. Limitations are in multiples of 50 gross 
tons using the next higher figure when an intermediate tonnage is 
calculated.
    (b) The tonnage limitation on these endorsements may be raised upon 
completion of:
    (1) At least 45 days of additional service on deck on a vessel of a 
higher tonnage for a tonnage increase on a mate's endorsement; or,
    (2) At least 90 days of additional service on deck on a vessel of a 
higher tonnage for a tonnage increase on a master's endorsement; or,
    (3) Additional service, which, when combined with all previously 
accumulated service, will qualify the applicant for a higher tonnage 
officer endorsement under the basic formula; or,
    (4) Six months additional service in the deck department on vessels 
within the highest tonnage increment on the officer's license or MMC 
endorsement. In this case, the tonnage limitation may be raised one 
increment.
    (c) When the service is obtained on vessels upon which no personnel 
need an officer endorsement or license, the OCMI must be satisfied that 
the nature of this qualifying service (i.e., size of vessel, route, 
equipment, etc.) is a reasonable equivalent to the duties performed on 
vessels which are required to engage individuals with officer 
endorsements.
    (d) Service gained in the engine room on vessels of not more than 
200 gross tons may be creditable for up to 25 percent of the deck 
service requirements for mate.
    (e) When the qualifying service is obtained upon vessels of five 
gross tons or less, the officer endorsement will be limited to vessels 
of not more than 25 gross tons.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
139, Jan. 4, 1989; USCG-2006-24371, 74 FR 11242, Mar. 16, 2009]



Sec. 11.424  Service requirements for master of ocean steam or
motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for an 
officer endorsement as master of ocean steam or motor vessels of not 
more than 200 gross tons is:
    (1) Three years total service on ocean or near coastal waters. 
Service on Great Lakes and inland waters may substitute for up to 18 
months of the required service. Two years of the required service must 
have been as master, mate, or equivalent supervisory position while 
holding a license or MMC endorsement as master, as mate, or as operator 
of uninspected passenger vessels; or,
    (2) Two years total service as a master or mate of ocean or near-
coastal towing vessels. Completion of a limited examination is also 
required.
    (b) In order to obtain an officer endorsement for sail or auxiliary 
sail vessels, the applicant must submit evidence of 12 months of service 
on sail or auxiliary sail vessels. The required 12 months of service may 
have been obtained prior to issuance of the master's license or MMC 
endorsement.
    (c) In addition to any required examination, the applicant must 
comply with the requirements listed in Sec. 11.401(g).

[CGD 81-059, 54 FR 139, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11242, Mar. 16, 2009]



Sec. 11.426  Service requirements for master of near coastal steam or
motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of near coastal steam or motor vessels of not more 
than 200 gross tons is:
    (1) Two years total service on ocean or near coastal waters. Service 
on

[[Page 152]]

Great Lakes and inland waters may substitute for up to one year of the 
required service. One year of the required service must have been as a 
master, mate, or equivalent supervisory position while holding a license 
or endorsement as master, as mate, or as operator of uninspected 
passenger vessels; or,
    (2) One year of total service as master or mate of towing vessels on 
oceans or near-coastal routes. Completion of a limited examination is 
also required.
    (b) In order to obtain an this officer endorsement for sail or 
auxiliary sail vessels, the applicant must submit evidence of 12 months 
of service on sail or auxiliary sail vessels. The required 12 months of 
service may have been obtained prior to issuance of the master's license 
or MMC endorsement.

[CGD 81-059, 54 FR 139, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11242, Mar. 16, 2009]



Sec. 11.427  Service requirements for mate of near coastal steam or 
motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for 
endorsement as mate of near coastal steam or motor vessels of not more 
than 200 gross tons is:
    (1) Twelve months total service in the deck department of ocean or 
near coastal steam or motor, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to six months of the 
required service; or,
    (2) Three months of service in the deck department of steam or motor 
vessels operating on ocean, near coastal, Great Lakes or inland waters 
while holding a license or MMC endorsement as master of inland steam or 
motor, sail or auxiliary sail vessels of not more than 200 gross tons.
    (b) The holder of a license or MMC endorsement as operator of 
uninspected passenger vessels with a near coastal route endorsement may 
obtain this endorsement by successfully completing an examination on 
rules and regulations for small passenger vessels.
    (c) In order to obtain this officer endorsement for sail or 
auxiliary sail vessels, the applicant must submit evidence of six months 
of deck service on sail or auxiliary sail vessels.
    (d) A license or MMC endorsement as master of near coastal steam or 
motor vessels may be endorsed as mate of sail or auxiliary sail vessels 
upon presentation of three months of service on sail or auxiliary sail 
vessels.
    (e) In order to obtain a tonnage endorsement for over 100 gross 
tons, the applicant must complete the additional examination topics 
indicated in subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 
81-059, 54 FR 139, Jan. 4, 1989; USCG-2006-24371, 74 FR 11242, Mar. 16, 
2009]



Sec. 11.428  Service requirements for master of near coastal steam or 
motor vessels of not more than 100 gross tons.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of near coastal steam or motor vessels of not more 
than 100 gross tons is two years total service in the deck department of 
steam or motor, sail, or auxiliary sail vessels on ocean or near coastal 
waters. Service on Great Lakes and inland waters may substitute for up 
to one year of the required service.
    (b) In order to obtain an endorsement for sail or auxiliary sail 
vessels, the applicant must submit evidence of 12 months of service on 
sail or auxiliary sail vessels. The required 12 months of service may 
have been obtained prior to issuance of the license or MMC endorsement.

[CGD 81-059, 54 FR 139, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11242, Mar. 16, 2009]



Sec. 11.429  Service requirements for limited master of near coastal
steam or motor vessels of not more than 100 gross tons.

    (a) Limited masters' endorsements for near coastal vessels of not 
more than 100 gross tons may be issued to applicants to be employed by 
organizations such as yacht clubs, marinas, formal camps and educational 
institutions. An endorsement issued under this section is limited to the 
specific activity and the locality of the yacht

[[Page 153]]

club, marina or camp. In order to obtain this restricted endorsement, an 
applicant must:
    (1) Have four months of service on any waters in the operation of 
the type of vessel for which the endorsement is requested;
    (2) Satisfactorily complete a safe boating course approved by the 
National Association of State Boating Law Administrators, or a safe 
boating course conducted by the U.S. Power Squadron or the American Red 
Cross, or a Coast Guard approved course. This course must have been 
completed within five years before the date of application; and,
    (3) Pass a limited examination appropriate for the activity to be 
conducted and the route authorized.
    (b) The first aid and cardiopulmonary resuscitation (CPR) course 
certificates required by Sec. 11.205(e) will only be required when, in 
the opinion of the OCMI, the geographic area over which service is 
authorized precludes obtaining medical services within a reasonable 
time.
    (c) In order to obtain an endorsement for sail or auxiliary sail 
vessels, the applicant must submit evidence of four months of service on 
sail or auxiliary sail vessels. The required four months of service may 
have been obtained prior to issuance of the license or MMC endorsement.

[CGD 81-059, 54 FR 139, Jan. 4, 1989, as amended by USCG-2000-7790, 65 
FR 58458, Sept. 29, 2000; USCG-2006-24371, 74 FR 11242, Mar. 16, 2009]



Sec. 11.430  Endorsements for the Great Lakes and inland waters.

    Any license or MMC endorsement issued for service on the Great Lakes 
and inland waters is valid on all of the inland waters of the United 
States as defined in this part. Any license or MMC endorsement issued 
for service on inland waters is valid for the inland waters of the 
United States, excluding the Great Lakes. Licenses and MMC endorsements 
with either a Great Lakes and inland or an inland route are valid for 
service on the sheltered waters of the Inside Passage between Puget 
Sound and Cape Spencer, Alaska. As these licenses and MMC endorsements 
authorize service on waters seaward of the International Regulations for 
Preventing Collisions at Sea (COLREGS) demarcation line as defined in 33 
CFR part 80, the applicant must complete an examination on the COLREGS 
or the endorsement must exclude such waters.

[CGD 81-059, 54 FR 139, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11242, Mar. 16, 2009]



Sec. 11.431  Tonnage requirements for Great Lakes and inland endorsements
for vessels of over 1600 gross tons.

    (a) All required experience for Great Lakes and inland unlimited 
endorsements must be obtained on vessels of over 200 gross tons. At 
least one-half of the required experience must be obtained on vessels of 
1600 gross tons or over.
    (b) Tonnage limitations may be imposed on these endorsements in 
accordance with Sec. 11.402 (b) and (c).

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11242, Mar. 16, 2009]



Sec. 11.433  Service requirements for master of Great Lakes and inland 
steam or motor vessels of any gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland steam or motor vessels 
of any gross tons is:
    (a) One year of service as mate or first class pilot while acting in 
the capacity of first mate of Great Lakes steam or motor vessels of more 
than 1600 gross tons; or,
    (b) Two years of service as master of inland (excluding the Great 
Lakes) steam or motor vessels of more than 1600 gross tons; or,
    (c) One year of service upon Great Lakes waters while holding a 
license or MMC endorsement as mate or first class pilot of Great Lakes 
and inland steam or motor vessels of more than 1600 gross tons. A 
minimum of six months of this service must have been in the capacity of 
first mate. Service as second mate is accepted for the remainder on a 
two-for-one basis to a maximum of six months (12 months of

[[Page 154]]

service equals six months of creditable service).

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11243, Mar. 16, 2009]



Sec. 11.435  Service requirements for master of inland steam or
motor vessels of any gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as master of inland (excluding the Great Lakes) steam or 
motor vessels of any gross tons is:
    (a) One year of service as first class pilot (of other than canal 
and small lakes routes) or mate of Great Lakes or inland steam or motor 
vessels of more than 1,600 gross tons; or,
    (b) Two years of service as wheelsman or quartermaster while holding 
a mate/first class pilot license or MMC endorsement.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11243, Mar. 16, 2009]



Sec. 11.437  Service requirements for mate of Great Lakes and 
inland steam or motor vessels of any gross tons.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland steam or motor vessels of 
any gross tons is:
    (1) Three years of service in the deck department of steam or motor 
vessels, at least three months of which must have been on vessels on 
inland waters and at least six months of which must have been as able 
seaman, inland mate, boatswain, wheelsman, quartermaster, or equivalent 
position;
    (2) Graduation from the deck class of the Great Lakes Maritime 
Academy; or,
    (3) While holding a license or MMC endorsement as master of Great 
Lakes and inland steam or motor vessels of not more than 1600 gross 
tons, one year service as master on vessels of over 200 gross tons.
    (b) Service gained in the engine department on vessels of 
appropriate tonnage may be creditable for up to six months of the 
service requirements under paragraph (a)(1) of this section.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11243, Mar. 16, 2009]



Sec. 11.442  Service requirements for master of Great Lakes and 
inland steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland steam or motor vessels 
of not more than 1600 gross tons is:
    (a) Three years total service on vessels. Eighteen months of the 
required service must have been on vessels of over 100 gross tons. One 
year of the required service must have been as a master, mate, or 
equivalent supervisory position on vessels of over 100 gross tons while 
holding a license or MMC endorsement as master, as mate, or as master of 
towing vessels; or,
    (b) Six months of service as operator on vessels of over 100 gross 
tons while holding a license or MMC endorsement as master of towing 
vessels.

[CGD 81-059, 54 FR 140, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11243, Mar. 16, 2009]



Sec. 11.444  Service requirements for mate of Great Lakes and inland 
steam or motor vessels of not more than 1600 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland steam or motor vessels of 
not more than 1600 gross tons is:
    (a) Two years total service in the deck department of steam or 
motor, sail, or auxiliary sail vessels. One year of the required service 
must have been on vessels of over 100 gross tons. Six months of the 
required service must have been as able seaman, boatswain, 
quartermaster, or equivalent position on vessels of over 100 gross tons 
while holding a certificate or endorsement as able seaman; or,
    (b) One year total service as master of steam or motor, sail, or 
auxiliary sail vessels, or operator of uninspected passenger vessels, of 
over 50 gross tons

[[Page 155]]

while holding a license or MMC endorsement as master steam or motor, 
sail, or auxiliary sail vessels of not more than 200 gross tons or 
operator of uninspected passenger vessels; or,
    (c) Six months total service as mate (pilot) of towing vessels on 
vessels of over 100 gross tons.

[CGD 81-059, 54 FR 140, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11243, Mar. 16, 2009]



Sec. 11.446  Service requirements for master of Great Lakes and inland
steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland steam or motor vessels 
of not more than 500 gross tons is:
    (a) Three years total service on vessels. One year of the required 
service must have been as a master, mate, or equivalent supervisory 
position on vessels of over 50 gross tons while holding a license or MMC 
endorsement as master, as mate, or as operator of uninspected passenger 
vessels.
    (b) An applicant holding a license or MMC endorsement as master of 
ocean, near coastal, or Great Lakes and inland towing vessels is 
eligible for this endorsement after six months of service as master of 
towing vessels and completion of a limited examination. This requires 
three and one-half years of service. Two years of this service must have 
been served while holding a license or MMC endorsement as master or mate 
(pilot) of towing vessels, or mate.

[CGD 81-059, 54 FR 140, Jan. 4, 1989, as amended by USCG 1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11243, Mar. 16, 2009]



Sec. 11.448  Service requirements for mate of Great Lakes and inland
steam or motor vessels of not more than 500 gross tons.

    The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland steam or motor vessels of 
not more than 500 gross tons is two years total service in the deck 
department of steam or motor, sail, or auxiliary sail vessels. One year 
of the required service must have been on vessels of over 50 gross tons. 
Three months of the required service must have been as able seaman, 
boatswain, quartermaster, or equivalent position on vessels of over 50 
gross tons while holding a certificate or endorsement as able seaman.

[CGD 81-059, 54 FR 140, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11243, Mar. 16, 2009]



Sec. 11.450  Tonnage limitations and qualifying requirements for 
endorsements as master or mate of Great Lakes and inland vessels of

not more than 200 gross  tons.

    (a) Except as noted in subparagraph (d), all endorsements issued for 
master or mate of vessels of not more than 200 gross tons are issued in 
50 ton increments based on the applicants qualifying experience in 
accordance with the provisions of Sec. 11.422. See the tonnage and 
qualifying service discussion in Sec. 11.422 for further clarification.
    (b) Service gained in the engineroom on vessels of not more than 200 
gross tons may be creditable for up to 25 percent of the deck service 
requirements for mate.
    (c) When the service is obtained on vessels upon which personnel 
with licenses or endorsements are not required, the OCMI must be 
satisfied that the nature of this qualifying service (i.e., size of 
vessel, route, equipment, etc.) is a reasonable equivalent to the duties 
performed on vessels which are required to engage individuals with 
endorsements.
    (d) When the qualifying service is obtained upon vessels of five 
gross tons or less, the endorsement will be limited to vessels of not 
more than 25 gross tons.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11243, Mar. 16, 2009]



Sec. 11.452  Service requirements for master of Great Lakes and 
inland steam or motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland steam or motor vessels 
of not more than 200 gross tons is one year of service on vessels. Six 
months of the

[[Page 156]]

required service must have been as master, mate, or equivalent 
supervisory position while holding a license or MMC endorsement as 
master, mate, master or mate (pilot) of towing vessels, or operator of 
uninspected passenger vessels. To obtain authority to serve on the Great 
Lakes, three months of the required service must have been on Great 
Lakes waters, otherwise the endorsement will be limited to the inland 
waters of the United States (excluding the Great Lakes).
    (b) In order to obtain an endorsement for sail or auxiliary sail 
vessels, the applicant must have six months of service on sail or 
auxiliary sail vessels. The required six months of service may have been 
obtained prior to issuance of the master's license or MMC endorsement.

[CGD 81-059, 54 FR 140, Jan. 4, 1989, as amended by USCG-1999-6224, 64 
FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 FR 11243, Mar. 16, 2009]



Sec. 11.454  Service requirements for mate of Great Lakes and inland 
steam or motor vessels of not more than 200 gross tons.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland steam or motor vessels of 
not more than 200 gross tons is six months of service in the deck 
department of steam or motor, sail, or auxiliary sail vessels. To obtain 
authority to serve on the Great Lakes, three months of the required 
service must have been on Great Lakes waters, otherwise the endorsement 
will be limited to the inland waters of the United States (excluding the 
Great Lakes).
    (b) In order to obtain an endorsement for sail or auxiliary sail 
vessels, the applicant must submit evidence of three months of service 
on sail or auxiliary sail vessels.
    (c) An endorsement as master of steam or motor vessels may be 
endorsed as mate of sail or auxiliary sail vessels upon presentation of 
three months service on sail or auxiliary sail vessels.
    (d) The holder of a license or MMC endorsement as operator of inland 
uninspected passenger vessels may obtain this endorsement by 
successfully completing an examination on rules and regulations for 
small passenger vessels. To obtain authority to serve on the Great 
Lakes, three months of the required service must have been on Great 
Lakes waters, otherwise the endorsement will be limited to the inland 
waters of the United States (excluding the Great Lakes).
    (e) In order to obtain a tonnage endorsement of over 100 gross tons, 
the applicant must complete the additional examination topics indicated 
in subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 140, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11243, Mar. 16, 2009]



Sec. 11.455  Service requirements for master of Great Lakes and inland
steam or motor vessels of not more than 100 gross tons.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland steam or motor vessels 
of not more than 100 gross tons is one year of total service in the deck 
department of steam or motor, sail, or auxiliary sail vessels. To obtain 
authority to serve on the Great Lakes, three months of the required 
service must have been on Great Lakes waters, otherwise the endorsement 
will be limited to the inland waters of the United States (excluding the 
Great Lakes).
    (b) In order to obtain an endorsement for sail or auxiliary sail 
vessels, the applicant must submit evidence of six months of service on 
sail or auxiliary sail vessels. The required six months of service may 
have been obtained prior to issuance of the endorsement.

[CGD 81-059, 54 FR 140, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11243, Mar. 16, 2009]



Sec. 11.456  Service requirements for limited master of Great Lakes and 
inland steam or motor vessels of not more than 100 gross tons.

    Limited masters' endorsements for vessels of not more than 100 gross 
tons upon Great Lakes and inland waters may be issued to applicants to 
be employed by organizations such as formal camps, educational 
institutions, yacht clubs, and marinas with reduced service 
requirements. An endorsement

[[Page 157]]

issued under this paragraph is limited to the specific activity and the 
locality of the camp, yacht club or marina. In order to obtain this 
restricted endorsement, an applicant must:
    (a) Have four months of service in the operation of the type of 
vessel for which the endorsement is requested; and,
    (b) Satisfactorily complete a safe boating course approved by the 
National Association of State Boating Law Administrators, a public 
education course conducted by the U.S. Power Squadron or the American 
Red Cross, or a Coast Guard approved course. This course must have been 
completed within five years before the date of application; and,
    (c) Pass a limited examination appropriate for the activity to be 
conducted and the route authorized.
    (d) The first aid and cardiopulmonary resuscitation (CPR) course 
certificates required by Sec. 11.205(e) of this part will only be 
required when, in the opinion of the OCMI, the geographic area over 
which service is authorized precludes obtaining medical services within 
a reasonable time.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 
81-059, 54 FR 140, Jan. 4, 1989; USCG-2000-7790, 65 FR 58458, Sept. 29, 
2000; USCG-2006-24371, 74 FR 11243, Mar. 16, 2009]



Sec. 11.457  Service requirements for master of inland steam or
motor vessels of not more than 100 gross tons.

    (a) An applicant for an endorsement as master of inland steam or 
motor vessels of not more than 100 gross tons must present one year of 
service on any waters. In order to raise the tonnage limitation over 100 
gross tons, the examination topics indicated in subpart I of this part 
must be completed in addition to satisfying the experience requirements 
of Sec. 11.452(a).
    (b) In order to obtain an endorsement for sail or auxiliary sail 
vessels, the applicant must submit evidence of six months of service on 
sail or auxiliary sail vessels. The required six months of service may 
have been obtained prior to issuance of the license or MMC endorsement.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 
81-059, 54 FR 141, Jan. 4, 1989; USCG-2006-24371, 74 FR 11243, Mar. 16, 
2009]



Sec. 11.459  Service requirements for master or mate of rivers.

    (a) An applicant for an endorsement as master of river steam or 
motor vessels of any gross tons must meet the same service requirements 
as master of inland steam or motor vessels of any gross tons.
    (b) An applicant for an endorsement as master or mate of river steam 
or motor vessels, with a limitation of 25-1600 gross tons, must meet the 
same service requirements as those required by this subpart for the 
corresponding tonnage Great Lakes and inland steam or motor endorsement. 
Service on the Great Lakes is not, however, required.

[CGD 81-059, 54 FR 141, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11244, Mar. 16, 2009]



Sec. 11.462  Endorsements for master or mate of uninspected fishing 
industry vessels.

    (a) This section applies to endorsements for masters and mates of 
all vessels, however propelled navigating the high seas, which are 
documented to engage in the fishing industry, with the exception of:
    (1) Wooden ships of primitive build;
    (2) Unrigged vessels; and,
    (3) Vessels of less than 200 gross tons.
    (b) Endorsements as master or mate of uninspected fishing industry 
vessels are issued for either ocean or near-coastal routes, depending on 
the examination completed. To qualify for an uninspected fishing 
industry vessel endorsement, the applicant must satisfy the training and 
examination requirements of Sec. 11.401(g) of this subpart.
    (c) An applicant for an endorsement as master of uninspected fishing 
industry vessels must have four years of total service on ocean or near 
coastal routes. Service on Great Lakes or inland waters may substitute 
for up to two years of the required service. One year of the required 
service must have

[[Page 158]]

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

[[Page 159]]

vessel rounded up to the next multiple of 1000 gross tons;
    (ii) Six months service as mate on a vessel results in a limitation 
in that capacity equal to 150% of the tonnage of that vessel;
    (iii) Six months service as mate on vessels over 1600 gross tons 
results in raising the limitation to 5000 gross tons;
    (iv) One year of service as deckhand on vessels more than 1,600 
gross tons while holding a license or MMC endorsement as mate, results 
in raising the limitation on the MMC to 5,000 gross tons;
    (v) Two years of service as a deckhand on a vessel while holding a 
license or MMC endorsed as mate results in a limitation on the MMC equal 
to 150 percent of the tonnage of that vessel up to 5,000 gross tons; or
    (vi) One year of service as deckhand on a vessel while holding a 
license or MMC endorsement as mate results in a limitation on the MMC 
equal to the tonnage of that vessel.
    (e) Applicants may request an oral examination on the subjects 
listed in subpart I of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 141, Jan. 
4, 1989; USCG-1999-6224, 64 FR 63228, Nov. 19, 1999; USCG-2006-24371, 74 
FR 11244, Mar. 16, 2009]



Sec. 11.463  General requirements for endorsements as master, mate 
(pilot), and apprentice mate (steersman) of towing vessels.

    (a) The Coast Guard issues the following endorsements:
    (1) Master of towing vessels.
    (2) Master of towing vessels, limited.
    (3) Mate (pilot) of towing vessels.
    (4) Mate (pilot) of towing vessels, limited.
    (5) Apprentice mate (steersman).
    (6) Apprentice mate (steersman), limited.
    (b) An endorsement as master of towing vessels means an endorsement 
to operate towing vessels not restricted to local areas designated by 
OCMIs. This also applies to a mate (pilot) of towing vessels.
    (c) For this section, limited means an endorsement to operate a 
towing vessel of less than 200 gross tons limited to a local area within 
the Great Lakes, inland waters, or Western Rivers designated by the 
OCMI.

[USCG-1999-6224, 64 FR 63228, Nov. 19, 1999, as amended at 66 FR 20936, 
Apr. 26, 2001; 68 FR 35812, June 17, 2003; USCG-2006-24371, 74 FR 11244, 
Mar. 16, 2009]



Sec. 11.464  Requirements for endorsements as master of towing vessels.

    (a) If you would like to obtain an endorsement as master of towing 
vessels with a route listed in column 1 of table 11.464(a) of this 
section, then you must complete the service requirements indicated in 
columns 2 through 5. You may serve on the subordinate routes listed in 
column 6 without further endorsement.

                  Table 11.464(a)--Requirements for Endorsement as Master of Towing Vessels \1\
----------------------------------------------------------------------------------------------------------------
                                  Total                        TOS \3\ on T/V as    TOS \3\ on      Subordinate
        Route endorsed           service    TOS \3\ on T/V as   mate (pilot) not    particular         route
                                   \2\        mate (pilot)      as harbor assist       route        authorized
1                                       2  3.................  4................  5.............  6
----------------------------------------------------------------------------------------------------------------
(1) OCEANS (O)................         48  18 of 48..........  12 of 18.........  3 of 18.......  NC, GL-I
(2) NEAR-COASTAL (NC).........         48  18 of 48..........  12 of 18.........  3 of 18.......  GL-I
(3) GREAT LAKES--INLAND (GL-I)         48  18 of 48..........  12 of 18.........  3 of 18.......
(4) WESTERN RIVERS (WR).......         48  18 of 48..........  12 of 18.........  3 of 18.......
----------------------------------------------------------------------------------------------------------------
\1\ If you hold an endorsement as master of towing vessels you may have an endorsement-as mate (pilot) of towing
  vessels for a route superior to your current route on which you have no operating experience--placed on your
  MMC after passing an examination for that additional route. After you complete 90 days of experience and
  complete a Towing Officer's Assessment Record on that route, we will add it to your endorsement as master of
  towing vessels and remove the one for mate (pilot) of towing vessels.
\2\ Service is in months.
\3\ TOS is time of service.


[[Page 160]]

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

                    Table 11.464(b)--Requirements for Endorsement as Master of Towing Vessels
                                                    [Limited]
----------------------------------------------------------------------------------------------------------------
                                                 TOS \2\ on T/V  as
        Route endorsed          Total service   limited  apprentice   TOAR or an  approved       TOS \2\ on
                                     \1\          mate (steersman)           course           particular route
1                                           2  3....................  4...................  5
----------------------------------------------------------------------------------------------------------------
LIMITED LOCAL AREA (LLA).....              36  18 of 48.............  12 of 18............  3 of 18.
----------------------------------------------------------------------------------------------------------------
\1\ Service is in months.
\2\ TOS is time of service.

    (c) If you hold a license or MMC endorsement as mate (pilot) of 
towing vessels, you may have master of towing vessels (limited) added to 
your MMC for a limited local area within the scope of your current 
route.
    (d) Before you serve as master of towing vessels on the Western 
Rivers, you must possess 90 days of observation and training and have 
your MMC include an endorsement for Western Rivers.
    (e) Each company must maintain evidence that every vessel it 
operates is under the direction and control of a mariner with the 
appropriate endorsement and experience, including 30 days of observation 
and training on the intended route other than Western Rivers.
    (f) If you hold a license or MMC endorsement as a master of steam or 
motor vessels of greater than 200 gross register tons, you may operate 
towing vessels within any restrictions on your endorsement if you:
    (1) Have a minimum of 30 days of training and observation on towing 
vessels for the route being assessed, except as noted in paragraph (e) 
of this section; and
    (2) Either--
    (i) Hold a completed Towing Officer's Assessment Record (TOAR) 
described in Sec. 11.304(h) that shows evidence of assessment of 
practical demonstration of skills; or
    (ii) Complete an approved training course.
    (3) Your license or MMC does not need to include a towing 
endorsement if you hold a TOAR or complete an approved training course.
    (g) If you began your service or training in the towing industry 
before May 21, 2001, you may receive a license as master of towing 
vessels if before May 21, 2004, you complete the examination required by 
46 CFR 10.903(a)(18)(i) and meet either of the following two 
requirements:
    (1) Three years of service, including--
    (i) Two years on deck aboard a vessel 8 meters (26 feet) or more in 
length;
    (ii) One year on deck aboard a towing vessel, with at least 6 months 
of training or duty in the wheelhouse of the towing vessel; and
    (iii) Three months in each particular geographic area for which you 
are seeking authority; or
    (2) Three years of service aboard towing vessels, including--
    (i) One year on deck, with at least 6 months of training or duty in 
the wheelhouse of the towing vessel; and
    (ii) Three months in each particular geographic area for which you 
are seeking authority.
    Your license does not need a towing endorsement if you hold a TOAR 
or a course completion certificate.

[USCG-1999-6224, 64 FR 63228, Nov. 19, 1999, as amended at 66 FR 20937, 
Apr. 26, 2001; 68 FR 35812, June 17, 2003; USCG-2008-0906, 73 FR 56508, 
Sept. 29, 2008; USCG-2006-26202, 73 FR 52794, Sept. 11, 2008; USCG-2006-
24371, 74 FR 11244, Mar. 16, 2009]



Sec. 11.465  Requirements for endorsements as mate (pilot) of towing vessels.

    (a) If you would like to obtain an endorsement as mate (pilot) of 
towing vessels endorsed with a route listed in

[[Page 161]]

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

               Table 11.465-1--Requirements for Endorsement as Mate (Pilot \1\) of Towing Vessels
----------------------------------------------------------------------------------------------------------------
                                                                                     30 days of
                                          TOS \3\ on T/                            observation and
                                  Total        V as       TOS \3\ on    TOAR \4\   training while    Subordinate
        Route endorsed           service    apprentice    particular     or an     holding master       route
                                   \2\         mate          route      approved   (limited)  and    authorized
                                           (steersman)                   course    pass a limited
                                               \5\                                   examination
1                                      2  3............  4...........  5........  6...............  7
----------------------------------------------------------------------------------------------------------------
(1) OCEANS (O)................        30  12 of 30.....  3 of 12.....  YES......  YES.............  NC, GL-I
(2) NEAR-COASTAL (NC).........        30  12 of 30.....  3 of 12.....  YES......  YES.............  GL-I
(3) GREAT LAKES-INLAND (GL-I).        30  12 of 30.....  3 of 12.....  YES......  YES.............  ............
(5) WESTERN RIVERS (WR).......        30  12 of 30.....  3 of 12.....  YES......  NO (90 days       ............
                                                                                   service
                                                                                   required).
----------------------------------------------------------------------------------------------------------------
\1\ For all inland routes, as well as Western Rivers, the endorsement as pilot of towing vessels is equivalent
  to that as mate of towing vessels. All qualifications and equivalencies are the same.
\2\ Service is in months unless otherwise indicated.
\3\ TOS is time of service.
\4\ TOAR is Towing Officers' Assessment Record.
\5\ Time of service requirements as an apprentice mate (steersman of towing vessels may be reduced by an amount
  equal to the time specified in the approval letter for a completed Coast Guard-approved training program.

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

[[Page 162]]

(dependent upon route) required by Sec. 11.910-2 for apprentice mate 
(steersman), towing vessels on ocean and near coastal routes; apprentice 
mate (steersman), towing vessels on Great Lakes and inland routes; or, 
steersman, towing vessels on Western Rivers routes.
    (g) If you began your service or training before May 21, 2001, you 
may receive a license as mate of towing vessels if before November 21, 
2003, you complete the examination required by Sec. 10.903(a)(18)(i) 
and meet the requirements in either paragraph (f)(1)(i) or (f)(1)(ii) of 
this section:
    (1) You must have served at least 18 months on deck, including 12 
months on towing vessels. This service must have included--
    (i) At least 3 months of training or duty in the wheelhouse of 
towing vessels, and 3 months of service in each particular geographic 
area for which you seek endorsement on the license; and
    (ii) At least 6 months on towing vessels while holding a merchant 
mariner's document endorsed as able seaman unlimited, able seaman 
limited, or able seaman special, including 3 months in each particular 
geographic area for which you seek an endorsement; and either--
    (A) Two months of training or duty in the wheelhouse; or
    (B) One month of training or duty in the wheelhouse combined with 
completion of a course of training as towboat operator approved by the 
Commanding Officer, National Maritime Center, under subpart C of this 
part.

[USCG-1999-6224, 64 FR 63232, Nov. 19, 1999, as amended at 66 FR 20940, 
Apr. 26, 2001; 68 FR 35814, June 17, 2003; USCG-2006-26202, 73 FR 52794, 
Sept. 11, 2008; USCG-2006-24371, 74 FR 11245, Mar. 16, 2009]



Sec. 11.466  Requirements for endorsements as apprentice mate 
(steersman) of towing vessels.

    (a) As Table 11.466(a) shows, if you would like to obtain an 
endorsement as apprentice mate (steersman) of towing vessels listed in 
column 1, endorsed with a route listed in column 2, then you must 
complete the service requirements indicated in columns 3 through 6.

         Table 11.466(a)--Requirements for Endorsement as Apprentice Mate (Steersman) of Towing Vessels
----------------------------------------------------------------------------------------------------------------
                                                         Total                     TOS \2\ on
           Endorsement               Route endorsed     service  TOS \2\ on T/V    particular          Pass
                                                          \1\                         route      examination \3\
1                                 2..................         3  4.............  5.............  6
----------------------------------------------------------------------------------------------------------------
(1) APPRENTICE MATE (STEERSMAN).  OCEANS (0).........        18  12 of 18......  3 of 18.......  YES.
                                  NEAR-COASTAL (NC)..        18  12 of 18......  3 of 18.......  YES.
                                  GREAT LAKES........        18  12 of 18......  3 of 18.......  YES.
                                  INLAND (GL-I)......        18  12 of 18......  3 of 18.......  YES.
                                  WESTERN RIVERS (WR)        18  12 of 18......  3 of 18.......  YES.
(2) APPRENTICE MATE (STEERSMAN)   NOT APPLICABLE.....        18  12 of 18......  3 of 18.......  YES.
 (LIMITED).
----------------------------------------------------------------------------------------------------------------
\1\ Service is in months.
\2\ TOS is time of service.
\3\ The examination for apprentice mate is specified in subpart I of this part. The examination for apprentice
  mate (limited) is a limited examination.
\4\ For all inland routes, as well as Western Rivers, the endorsement as steersman is equivalent to that as
  apprentice mate. All qualifications and equivalencies are the same.

    (b) If you hold a license or endorsement as apprentice mate 
(steersman) of towing vessels you may obtain a restricted endorsement as 
limited apprentice mate (steersman). This endorsement will go on your 
MMC after you pass an examination for a route that is not included in 
the current endorsements and on which you have no operating experience. 
Upon completion of 3 months of experience on that route, you may have 
the restriction removed.

[USCG-1999-6224, 64 FR 63234, Nov. 19, 1999, as amended at 66 FR 20942, 
Apr. 26, 2001; 68 FR 35816, June 17, 2003; USCG-2006-24371, 74 FR 11246, 
Mar. 16, 2009]

[[Page 163]]



Sec. 11.467  Endorsement as operators of uninspected passenger vessels 
of less than 100 gross tons.

    (a) This section applies to an applicant for the endorsement to 
operate an uninspected vessel of less than 100 gross tons, equipped with 
propulsion machinery of any type, carrying six or less passengers.
    (b) An endorsement for OUPV issued for ocean waters will be limited 
to near-coastal waters not more than 100 miles offshore. An endorsement 
issued for inland waters will include all inland waters, except Great 
Lakes. An endorsement may be issued for a particular local area under 
paragraph (g) of this section.
    (c) For an endorsement as OUPV on near-coastal waters, an applicant 
must have a minimum of 12-months experience in the operation of vessels, 
including at least three-months service on vessels operating on ocean or 
near-coastal waters.
    (d) For an endorsement as OUPV on the Great Lakes and inland waters, 
an applicant must have 12-months service on Great Lakes or inland 
waters, including at least three-months service operating vessels on 
Great Lakes waters.
    (e) For an endorsement as OUPV on inland waters, an applicant must 
have a minimum of 12-months experience in the operation of vessels.
    (f) An endorsement as OUPV, limited to undocumented vessels, may be 
issued to a person who is not a citizen of the United States.
    (g) Limited OUPV endorsements may be issued to applicants to be 
employed by organizations such as formal camps, yacht clubs, educational 
institutions, and marinas. An endorsement issued under this paragraph 
will be limited to the specific activity and the locality of the camp, 
yacht club, or marina. In order to obtain this restricted endorsement, 
an applicant must:
    (1) Have three-months service in the operation of the type of vessel 
for which the endorsement is requested;
    (2) Satisfactorily complete a safe-boating course approved by the 
National Association of State Boating Law Administrators, or those 
public education courses conducted by the U.S. Power Squadron or the 
American National Red Cross or a Coast Guard-approved course;
    (3) Pass a limited examination appropriate for the activity to be 
conducted and the route authorized; and
    (4) The first aid and cardiopulmonary resuscitation (CPR) course 
certificates required by Sec. 11.205(e) of this part will only be 
required when, in the opinion of the OCMI, the geographic area over 
which service is authorized precludes obtaining medical services within 
a reasonable time.

[USCG-2006-24371, 74 FR 11247, Mar. 16, 2009]



Sec. 11.468  Officer endorsements for mobile offshore drilling units.

    Officer endorsements for service on mobile offshore drilling units 
(MODUs) authorize service on units of any gross tons upon ocean waters 
while on location or while underway, as restricted on the endorsement, 
except when moving independently under their own power.

[CGD 81-059a, 55 FR 14799, Apr. 18, 1990, as amended by USCG-2006-24371, 
74 FR 11244, Mar. 16, 2009]



Sec. 11.470  Officer endorsements as offshore installation manager.

    (a) Officer endorsements as offshore installation manager (OIM) 
include:
    (1) OIM Unrestricted;
    (2) OIM Surface Units on Location;
    (3) OIM Surface Units Underway;
    (4) OIM Bottom Bearing Units on Location; or
    (5) OIM Bottom Bearing Units Underway.
    (b) To qualify for an endorsement as OIM unrestricted, an applicant 
must:
    (1) Present evidence of the following experience:
    (i) Four years of employment assigned to MODUs including at least 
one year of service as driller, assistant driller, toolpusher, assistant 
toolpusher, barge supervisor, mechanical supervisor, electrician, crane 
operator, ballast control operator or equivalent supervisory position on 
MODUs, with a minimum of 14 days of that supervisory service on surface 
units; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer,

[[Page 164]]

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

[[Page 165]]

    (f) To qualify for an endorsement as OIM surface units underway, an 
applicant must:
    (1) Provide the following:
    (i) Evidence of the experience described in paragraph (d)(1) of this 
section and a recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and 
qualifications;
    (B) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves of 
surface units; and
    (C) Certifies that one of the rig moves required under paragraph 
(f)(1)(i)(B) of this section was completed within one year preceding 
date of application; or
    (ii) A recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and company 
qualifications program completed;
    (B) Certifies that the applicant has witnessed ten rig moves either 
as an observer in training or as a rig mover under supervision;
    (C) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, five rig moves of 
surface units; and
    (D) Certifies that one of the rig moves required under paragraph 
(f)(1)(ii)(C) of this section was completed within one year preceding 
date of application; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard-approved stability course 
approved for an OIM surface units endorsement;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 11.205(d) of this part.
    (g) An applicant for endorsement as OIM surface units underway who 
holds an unlimited license or MMC endorsement as master or chief mate 
must satisfy the requirements in paragraph (f)(2) of this section and 
provide a company recommendation signed by a senior company official 
which:
    (1) Provides a description of the applicant's experience and 
qualifications;
    (2) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves on 
surface units; and
    (3) Certifies that one of the rig moves required under paragraph 
(g)(2) of this section was completed within one year preceding date of 
application.
    (h) To qualify for an endorsement as OIM bottom bearing units on 
location, an applicant must:
    (1) Present evidence of the following experience:
    (i) Four years of employment assigned to MODUs including at least 
one year of service as driller, assistant driller, toolpusher, assistant 
toolpusher, barge supervisor, mechanical supervisor, electrician, crane 
operator, ballast control operator or equivalent supervisory position on 
MODUs; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give consideration to accepting education credentials from 
programs having other than ABET accreditation. An applicant qualifying 
through a degree program must also have at least 168 days of service as 
driller, assistant driller, toolpusher, assistant toolpusher, barge 
supervisor, mechanical supervisor, electrician, crane operator, ballast 
control operator or equivalent supervisory position on MODUs; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved survival suit and 
survival craft training course;
    (ii) A certificate from a U.S. Minerals Management Service approved 
blowout prevention and well control training program for the driller, 
toolpusher, or operator representative position; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 11.205(d) of this part.
    (i) An applicant for an endorsement as OIM bottom bearing units on 
location who holds an unlimited license or

[[Page 166]]

MMC endorsement as master or chief mate must satisfy paragraph (h)(2) of 
this section and have at least 28 days of service on bottom bearing 
units.
    (j) To qualify for an endorsement as OIM bottom bearing units 
underway, an applicant must:
    (1) Provide the following:
    (i) Evidence of the experience described in paragraph (h)(1) of this 
section with a recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and 
qualifications;
    (B) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves of 
bottom bearing units; and
    (C) Certifies that one of the rig moves required under paragraph 
(j)(1)(i)(B) of this section was completed within one year preceding 
date of application; or
    (ii) A recommendation signed by a senior company official which:
    (A) Provides a description of the applicant's experience and company 
qualifications program completed;
    (B) Certifies that the applicant has witnessed ten rig moves either 
as an observer in training or as a rig mover under supervision;
    (C) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, five rig moves of 
bottom bearing units; and
    (D) Certifies that one of the rig moves required under paragraph 
(j)(1)(ii)(C) of this section was completed within one year preceding 
date of application; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard-approved stability course 
approved for a license or MMC endorsement as OIM bottom bearing units;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 11.205(d) of this part.
    (k) An applicant for endorsement as OIM bottom bearing units 
underway who holds an unlimited license or MMC endorsement as master or 
chief mate must satisfy the requirements in paragraph (j)(2) of this 
section and provide a company recommendation signed by a senior company 
official, which:
    (1) Provides a description of the applicant's experience and 
qualifications;
    (2) Certifies that the individual has successfully directed, while 
under the supervision of an experienced rig mover, three rig moves of 
bottom bearing units; and
    (3) Certifies that one of the rig moves required under paragraph 
(k)(2) of this section was completed within one year preceding date of 
application.

[CGD 81-059a, 55 FR 14799, Apr. 18, 1990, as amended by CGD 95-072, 60 
FR 50460, Sept. 29, 1995; CGD 95-028, 62 FR 51195, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11247, 
Mar. 16, 2009]



Sec. 11.472  Officer endorsements as barge supervisor.

    (a) To qualify for an endorsement as barge supervisor (BS), an 
applicant must:
    (1) Present evidence of the following experience:
    (i) Three years of employment assigned to MODUs including at least 
168 days of service as driller, assistant driller, toolpusher, assistant 
tool pusher, mechanic, electrician, crane operator, subsea specialist, 
ballast control operator or equivalent supervisory position on MODUs. At 
least 84 days of that service shall have been as a ballast control 
operator or barge supervisor trainee; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give consideration to accepting education credentials from 
programs having other than ABET accreditation. An applicant qualifying 
through a degree program must also have at least 168 days of service as 
driller, assistant driller, toolpusher, assistant toolpusher, mechanic, 
electrician, crane operator, subsea specialist, ballast control operator 
or equivalent supervisory position on MODUs. At least 84 days of that 
service shall have been as a ballast control operator or barge 
supervisor trainee; and

[[Page 167]]

    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for a license or MMC endorsement as barge supervisor;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 11.205(d) of this part.
    (b) An applicant for an endorsement as BS who holds an unlimited 
license or MMC endorsement as master or mate must satisfy the 
requirements in paragraph (a)(2) of this section and have at least 84 
days of service as ballast control operator or barge supervisor trainee.

[CGD 81-059a, 55 FR 14801, Apr. 18, 1990, as amended by CGD 95-072, 60 
FR 50460, Sept. 29, 1995; CGD 95-028, 62 FR 51195, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11248, 
Mar. 16, 2009]



Sec. 11.474  Officer endorsements as ballast control operator.

    (a) To qualify for an endorsement as ballast control operator (BCO), 
an applicant must:
    (1) Present evidence of the following experience:
    (i) One year of employment assigned to MODUs including at least 28 
days of service as a trainee under the supervision of an individual 
holding a license or MMC endorsement as ballast control operator; or
    (ii) A degree from a program in engineering or engineering 
technology which is accredited by the Accreditation Board for 
Engineering and Technology (ABET). Commanding Officer, National Maritime 
Center will give consideration to accepting education credentials from 
programs having other than ABET accreditation. An applicant qualifying 
through a degree program must also have at least 28 days of service as a 
trainee under the supervision of an individual holding a license or MMC 
endorsement as ballast control operator; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard approved stability course 
approved for a license or MMC endorsement as barge supervisor or ballast 
control operator;
    (ii) A certificate from a Coast Guard approved survival suit and 
survival craft training course; and
    (iii) A certificate from a firefighting training course as required 
by Sec. 11.205(d) of this part.
    (b) An applicant for an endorsement as BCO who holds an unlimited 
license or MMC endorsement as master, mate, chief engineer, or assistant 
engineer must satisfy the requirements in paragraph (a)(2) of this 
section and have at least 28 days of service as a trainee under the 
supervision of an individual holding an endorsement as ballast control 
operator.

[CGD 81-059a, 55 FR 14801, Apr. 18, 1990, as amended by CGD 95-072, 60 
FR 50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USDA-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11248, 
Mar. 16, 2009]



Sec. 11.476  [Reserved]



Sec. 11.480  Radar observer.

    (a) This section contains the requirements that an applicant must 
meet to qualify as a radar observer. (Part 15 of this chapter specifies 
who must qualify as a radar observer.)
    (b) If an applicant meets the requirements of this section, one of 
the following Radar-Observer endorsements will be added to his or her 
MMC:
    (1) Radar Observer (Unlimited).
    (2) Radar Observer (Inland Waters and GIWW).
    (3) Radar Observer (Rivers).
    (c) Radar Observer (Unlimited) is valid on all waters. Radar 
Observer (Inland Waters and GIWW) is valid only for those waters other 
than the Great Lakes covered by the Inland Navigational Rules. Radar 
Observer (Rivers) is valid only on any river, canal, or similar body of 
water designated by the OCMI, but not beyond the boundary line.
    (d) Except as provided by paragraphs (e) and (f) of this section, 
each applicant for a Radar-Observer endorsement or for renewal of an 
endorsement must complete the appropriate course approved by the Coast 
Guard, receive the appropriate certificate of training, and present the 
certificate to the OCMI.

[[Page 168]]

    (e) An applicant who possesses a Radar-Observer endorsement, resides 
in a remote geographic area, and can substantiate to the satisfaction of 
the OCMI that the applicant's absence will disrupt normal movement of 
commerce, or that the applicant cannot attend an approved Radar-Observer 
renewal course, may have his or her endorsement renewed upon successful 
completion of an examination administered by the Coast Guard, or by a 
third party acceptable to the Coast Guard.
    (f) A Radar-Observer endorsement issued under this section is valid 
for 5 years after the month of issuance of the certificate of training 
from a course approved by the Coast Guard.
    (g) A Radar-Observer endorsement may be renewed at any time.
    (h) An applicant for renewal of a license or MMC that does not need 
a Radar-Observer endorsement may renew without meeting the requirements 
for the endorsement.
    (i) An applicant seeking to raise the grade of a license or MMC 
endorsement or increase its scope, where the increased grade or scope 
requires a Radar-Observer certificate, may use an expired certificate to 
fulfill that requirement.

[CGD 94-041, 62 FR 11305, Mar. 11, 1997, as amended by USCG-2006-26202, 
73 FR 52795, Sept. 11, 2008; USCG-2006-24371, 74 FR 11248, Mar. 16, 
2009]



Sec. 11.482  Assistance towing.

    (a) This section contains the requirements to qualify for an 
endorsement authorizing a mariner to engage in assistance towing. The 
endorsement applies to all MMCs except master and mate (pilot) of towing 
vessels and master or mate authorizing service on inspected vessels over 
200 gross tons. Holders of any of these endorsements may engage in 
assistance towing within the scope of their MMC or license.
    (b) An applicant for an assistance towing endorsement shall pass a 
written examination demonstrating his or her knowledge of assistance 
towing safety, equipment, and procedures.
    (c) The holder of a license or MMC for master, mate, or operator 
endorsed for assistance towing is authorized to engage in assistance 
towing on any vessel within the scope of the license or MMC.
    (d) The period of validity of the endorsement is the same as the 
license or MMC on which it is included, and it may be renewed with the 
MMC.

[CGD 87-017, 53 FR 18562, May 24, 1988, as amended by USCG-1999-6224, 64 
FR 63235, Nov. 19, 1999; USCG-2006-24371, 74 FR 11248, Mar. 16, 2009]



Sec. 11.491   Officer endorsements for service on offshore supply vessels.

    Each officer endorsements for service on offshore supply vessels 
(OSVs) authorizes service on OSVs as defined in 46 U.S.C. 2101(19) and 
as interpreted under 46 U.S.C. 14104(b), subject to any restrictions 
placed on the license or MMC.

[CGD 95-062, 62 FR 34532, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11248, Mar. 16, 2009]



Sec. 11.493  Master (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for an endorsement as Master (OSV), an applicant shall present evidence 
that he or she meets the appropriate requirements of STCW Regulation II/
2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/2 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11248, Mar. 16, 2009]



Sec. 11.495  Chief Mate (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for an endorsement as Chief Mate (OSV), an applicant shall present 
evidence that he or she meets the appropriate requirements of STCW 
Regulation II/2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/2 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the

[[Page 169]]

equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11248, Mar. 16, 2009]



Sec. 11.497  Mate (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for an endorsement as Mate (OSV), an applicant shall present evidence 
that he or she meets the appropriate requirements of STCW Regulation II/
1.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/1 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11248, Mar. 16, 2009]



        Subpart E_Professional Requirements for Engineer Officer



Sec. 11.501  Grade and type of engineer endorsements issued.

    (a) Engineer endorsements 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 endorsements 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 or MMC endorsements 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) An engineer officer's license or MMC endorsement authorizes 
service on either steam or motor vessels or may authorize both modes of 
propulsion.
    (e) A person holding an engineer license or MMC endorsement which is 
restricted to near coastal waters may serve within the limitations of 
the license or MMC upon near coastal, Great Lakes, and inland waters.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 142, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11248, Mar. 16, 2009]



Sec. 11.502  Additional requirements for engineer endorsements.

    (a) For all original and raise of grade of engineer licenses or MMC 
endorsements, at least one-third of the minimum service requirements 
must have been obtained on the particular mode of propulsion for which 
applied.
    (b) If an applicant desires to add a propulsion mode to his or her 
endorsement, the following alternative methods, while holding a license 
or MMC endorsement in that grade, are acceptable:
    (1) Four months of service as an observer in the same capacity as 
their endorsement on vessels of the other propulsion mode;
    (2) Four months of service as an engineer officer at a lower 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.

[[Page 170]]

    (c) Applicants for an original, raise in grade, or increase in the 
scope, of an engineer license or MMC endorsement, other than an increase 
in horsepower limitation, who have not previously done so must meet the 
requirements of Sec. 11.205(d) of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 142, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11249, Mar. 16, 2009]



Sec. 11.503  Horsepower limitations.

    (a) Engineer licenses and endorsements of all grades and types may 
be subject to horsepower limitations. Other than as provided in Sec. 
11.524 of this part for the designated duty engineer (DDE), the 
horsepower limitation placed on a license or MMC endorsement 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 or MMC endorsement, other than a DDE, 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 MMC 
based on the applicant's qualifying experience. The endorsement 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 1,000 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 endorsement 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 an engineer license or MMC endorsement:
    (1) Six months of service in the highest-grade endorsed: removal of 
all horsepower limitations.
    (2) Six months of service as an officer in any capacity other than 
the highest grade for which licensed or endorsed: Removal of all 
horsepower limitations for the grade in which service is performed and 
raise the next higher grade endorsement to the horsepower of the vessel 
on which service was performed. The total cumulative service before and 
after issuance of the limited license or MMC endorsement may be 
considered in removing all horsepower limitations.
    (3) Twelve months of service as oiler or junior engineer while 
holding a license or MMC endorsement as third assistant engineer or 
assistant engineer (limited oceans): removal of all horsepower 
limitations on third assistant engineer or assistant engineer's (limited 
oceans) endorsement.
    (4) Six months of service as oiler or junior engineer while holding 
a license or MMC endorsement as second assistant engineer: removal of 
all horsepower limitations on third assistant engineer's endorsement.
    (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 OCMI who issued the applicant's 
license or MMC endorsement, considers further examination unnecessary.

[USCG-2006-24371, 74 FR 11249, Mar. 16, 2009]



Sec. 11.504  Application of deck service for limited engineer endorsements.

    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 an endorsement as chief engineer 
(limited), assistant engineer (limited), or designated duty engineer.

[CGD 81-059, 54 FR 142, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11249, Mar. 16, 2009]



Sec. 11.505  Engineer officer structure.

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

[[Page 171]]

[GRAPHIC] [TIFF OMITTED] TR16MR09.003


[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 
81-059, 54 FR 142, Jan. 4, 1989; USCG-2006-24371, 74 FR 11249, Mar. 16, 
2009]



Sec. 11.510  Service requirements for chief engineer of steam 
and/or motor vessels.

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

[[Page 172]]

an assistant engineer is accepted on a two-for-one basis to a maximum of 
six months (12 months of service as a second or third assistant engineer 
equals six months of creditable service).

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11251, Mar. 16, 2009]



Sec. 11.512  Service requirements for first assistant engineer of 
steam and/or motor vessels.

    The minimum service required to qualify an applicant for endorsement 
as first assistant engineer of steam and/or motor vessels is one year of 
service as an assistant engineer, while holding a license or MMC 
endorsement as second assistant engineer.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11251, Mar. 16, 2009]



Sec. 11.514  Service requirements for second assistant engineer of 
steam and/or motor vessels.

    The minimum service required to qualify an applicant for endorsement 
as second assistant engineer of steam and/or motor vessels is:
    (a) One year of service as an assistant engineer, while holding a 
license or MMC endorsement as third assistant engineer; or,
    (b) One year of service while holding a license or MMC endorsement 
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.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11251, Mar. 16, 2009]



Sec. 11.516  Service requirements for third assistant engineer of 
steam and/or motor vessels.

    (a) The minimum service required to qualify an applicant for 
endorsement as third assistant engineer of steam and/or motor vessels 
is:
    (1) Three years of service in the engineroom of vessels, two years 
of which must have been as a qualified member of the engine department;
    (2) Three years of service as an apprentice to the machinist trade 
engaged in the construction or repair of marine, locomotive, or 
stationary engines, together with one year service in the engineroom as 
oiler, watertender, or junior engineer;
    (3) Graduation from:
    (i) The U.S. Merchant Marine Academy (engineering curriculum);
    (ii) The U.S. Coast Guard Academy and completion of an on-board 
engineer officer qualification program required by the service;
    (iii) The U.S. Naval Academy and completion of an on-board engineer 
officer qualification program required by the service;
    (iv) The engineering class of a Maritime Academy approved by and 
conducted under the rules prescribed by the Maritime Administrator and 
listed in part 310 of this title;
    (4) Graduation from the marine engineering course of a school of 
technology accredited by the Accreditation Board for Engineering and 
Technology, together with three months of service in the engine 
department of steam or motor vessels;
    (5) Graduation from the mechanical or electrical engineering course 
of a school of technology accredited by the Accreditation Board for 
Engineering and Technology, together with six months of service in the 
engine department of steam or motor vessels;
    (6) Satisfactory completion of a three-year apprentice engineers 
training program approved by the Commanding Officer, National Maritime 
Center; or,
    (7) One year of service as chief engineer (limited-near coastal) of 
steam or motor vessels and completing the appropriate examination 
described in subpart I of this part.
    (b) Experience gained in the deck department on vessels of 100 gross 
tons or over can be credited for up to three

[[Page 173]]

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

[CGD 81-059, 52 FR 38623, Oct. 16, 1987 and CGD 81-059, 54 FR 132, Jan. 
4, 1989, as amended by CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11251, 
Mar. 16, 2009]



Sec. 11.518  Service requirements for chief engineer (limited oceans) 
of steam and/or motor vessels.

    The minimum service required to qualify an applicant for endorsement 
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 an engineer officer. Thirty months of the 
service must have been as a qualified member of the engine department 
(QMED) or equivalent supervisory position.

[USCG-2006-24371, 74 FR 11251, Mar. 16, 2009]



Sec. 11.520  Service requirements for chief engineer (limited near coastal)
of steam and/or motor vessels.

    The minimum service required to qualify an applicant for endorsement 
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 an engineer officer. Two years of the 
service must have been as a QMED or equivalent supervisory position.

[USCG-2006-24371, 74 FR 11251, Mar. 16, 2009]



Sec. 11.522  Service requirements for assistant engineer (limited oceans)
of steam and/or motor vessels.

    The minimum service required to qualify an applicant for endorsement 
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 QMED or equivalent supervisory 
position.

[USCG-2006-24371, 74 FR 11251, Mar. 16, 2009]



Sec. 11.524  Service requirements for designated duty engineer of
steam and/or motor vessels.

    (a) DDE endorsements are issued in three levels of horsepower 
limitations dependent upon the total service of the applicant and 
completion of appropriate examination. These MMCs are limited to vessels 
of not more than 500 gross tons on certain waters as specified in Sec. 
11.501 of this part.
    (b) The service requirements for endorsements as DDE 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.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11251, Mar. 16, 2009]



Sec. 11.530  Endorsements for engineers of uninspected fishing 
industry vessels.

    (a) This section applies to endorsements 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) Endorsements as chief engineer and assistant engineer of 
uninspected fishing industry vessels are issued for ocean waters and 
with horsepower limitations in accordance with the provisions of Sec. 
11.503 of this part.
    (c) For an endorsement as chief engineer, the applicant must have 
served four years in the engineroom of vessels. One year of this service 
must have been as an assistant-engineer officer or equivalent 
supervisory position.

[[Page 174]]

    (d) For an endorsement as assistant engineer, an applicant must have 
served three years in the engine room 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.

[USCG-2006-24371, 74 FR 11251, Mar. 16, 2009]



Sec. 11.540  Endorsements for engineers of mobile offshore drilling units.

    Endorsements 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.

[USCG-2006-24371, 74 FR 11251, Mar. 16, 2009]



Sec. 11.542  Endorsement as chief engineer (MODU).

    To qualify for an endorsement as chief engineer (MODU) an applicant 
must:
    (a) Present evidence of the following experience:
    (1) Six years of employment assigned to MODUs including three years 
of employment as mechanic, motorman, subsea engineer, electrician, barge 
engineer, toolpusher, unit superintendent, crane operator or equivalent. 
Eighteen months of that employment must have been assigned to self-
propelled or propulsion assisted units; or
    (2) Two years of employment assigned to MODUs as an assistant 
engineer (MODU). Twelve months of that employment must have been 
assigned to self-propelled or propulsion assisted units; and
    (b) Present evidence of completion of a firefighting training course 
as required by Sec. 11.205(d) of this part.
    (c) If an applicant successfully completes a modified examination 
and possesses the total required sea service for an endorsement 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 an endorsement limited to non-self-propelled units. The OCMI 
may remove the limitation upon presentation of satisfactory evidence of 
the required self-propelled sea service and completion of any additional 
required examination.

[CGD 81-059a, 55 FR 14802, Apr. 18, 1990, as amended by CGD 81-059a, 59 
FR 10756, Mar. 8, 1994; USCG-2006-24371, 74 FR 11251, Mar. 16, 2009]



Sec. 11.544  Endorsement as assistant engineer (MODU).

    To qualify for an endorsement 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). The National Maritime Center will 
give consideration to accepting education credentials from programs 
having other than ABET accreditation. An applicant qualifying through a 
degree program must also have at least six months of employment in any 
of the capacities listed in paragraph (a)(1) of this section aboard 
self-propelled or propulsion assisted units; and
    (b) Present evidence of completion of a firefighting training course 
as required by Sec. 11.205(d) of this part.
    (c) If an applicant successfully completes a modified examination 
and possesses the total required sea service for an endorsement as an 
assistant engineer (MODU), but does not possess the required sea service 
on board self-propelled or propulsion assisted units, the

[[Page 175]]

OCMI may issue the applicant an endorsement 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.

[CGD 81-059a, 55 FR 14802, Apr. 18, 1990, as amended by CGD 81-059a, 59 
FR 10756, Mar. 8, 1994; CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11251, 
Mar. 16, 2009]



Sec. 11.551  Endorsements for service on offshore supply vessels.

    Each endorsement 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 MMC.

[USCG-2006-24371, 74 FR 11251, Mar. 16, 2009]



Sec. 11.553  Chief Engineer (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for an endorsement as Chief engineer (OSV), an applicant shall present 
evidence that he or she meets the appropriate requirements of STCW 
Regulation III/2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation III/2 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34532, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11251, Mar. 16, 2009]



Sec. 11.555  Engineer (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for an endorsement as Engineer (OSV), an applicant shall present 
evidence that he or she meets the appropriate requirements of STCW 
Regulation III/1.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation III/1 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.

[CGD 95-062, 62 FR 34533, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11251, Mar. 16, 2009]



                Subpart F_Credentialing of Radio Officers



Sec. 11.601  Applicability.

    This subpart provides for endorsement as radio officers for 
employment on vessels, and for the issue of STCW 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. SOLAS is available from the International Maritime 
Organization (IMO), 4 Albert Embankment, London SE1 7SR, England, 
telephone: +44 (0)20 7735 7611, http://www.imo.org.

[USCG-2006-24371, 74 FR 39218, Aug. 6, 2009]



Sec. 11.603  Requirements for radio officers' endorsements and
STCW endorsements for GMDSS radio operators.

    (a) Each applicant for an original endorsement 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 endorsement application form the number, class, and 
date of issuance of his or her Federal Communications Commission 
license.
    (b) [Reserved]
    (c) Each applicant who furnishes evidence that he or she meets the 
standard of competence set out in STCW Regulation IV/2 (incorporated by 
reference, see Sec. 11.102), 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 endorsement suitable for performing duties 
associated with GMDSS.

[USCG-2006-24371, 74 FR 11252, Mar. 16, 2009]

[[Page 176]]



             Subpart G_Professional Requirements for Pilots

    Source: CGD 81-059b, 52 FR 38659, Oct. 16, 1987 unless otherwise 
noted.



Sec. 11.701  Scope of pilot endorsements.

    (a) An applicant for an endorsement as first-class pilot need not 
hold any other officer endorsement issued under this part.
    (b) The issuance of an endorsement as first-class pilot to an 
individual qualifies that individual to serve as pilot over the route(s) 
specified on the endorsement, subject to any limitations imposed under 
paragraph (c) of this section.
    (c) The OCMI issuing an 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 or MMC endorsement issued for service as a master, 
mate, or operator of uninspected towing vessels authorizes service as a 
pilot under the provisions of Sec. 15.812 of this subchapter. 
Therefore, first-class pilot endorsements will not be issued with 
tonnage limitations of 1,600 gross tons or less.

[USCG-2006-24371, 74 FR 11252, Mar. 16, 2009]



Sec. 11.703  Service requirements.

    (a) The minimum service required to qualify an applicant for an 
endorsement as first-class pilot 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 
National Maritime Center under subpart C of this part may be substituted 
for a portion of the service requirements of this section in accordance 
with Sec. 11.304 of this part. Additionally, round trips made during 
this training may apply toward the route familiarization requirements of 
Sec. 11.705 of this part. An individual using substituted service must 
have at least nine months of shipboard service.
    (d) An individual holding a license or MMC endorsement 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.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 144, Jan. 
4, 1989; CGD 95-072, 60 FR 50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 
52189, Sept. 30, 1998; USCG-1999-6224, 64 FR 63235, Nov. 19, 1999; USCG-
2006-24371, 74 FR 11252, Mar. 16, 2009]



Sec. 11.705  Route familiarization requirements.

    (a) The Officer in Charge, Marine Inspection having jurisdiction 
determines, within the range limitations specified in this section, the 
number of round trips required to qualify an applicant for a particular 
route, considering the following:
    (1) The geographic configuration of the waterway;

[[Page 177]]

    (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 holding no other deck officer endorsement seeking 
an endorsement 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 endorsement 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 endorsement by 
meeting the requirements in paragraph (c) of this section.
    (c) An applicant who currently holds a deck officer license or MMC 
endorsement seeking 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 OCMI, within the range 
limitations of this paragraph, for the particular grade of existing 
license or MMC endorsement held. The range of round trips for an 
endorsement is a minimum of eight round trips and a maximum of 15 round 
trips.
    (d) Unless determined impracticable by the OCMI, 25% of the round 
trips required by the OCMI under this section must be made during the 
hours of darkness.
    (e) One of the round trips required by the OCMI under this section 
must be made over the route within the six months immediately preceding 
the date of application.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 144, Jan. 
4, 1989; USCG-2006-24371, 74 FR 11252, Mar. 16, 2009]



Sec. 11.707  Examination requirements.

    (a) An applicant for an endorsement as first-class pilot, except as 
noted in paragraph (b) of this section, is required to pass the 
examination described in subpart I of this part.
    (b) An applicant for an extension of route, or an applicant holding 
a license or MMC endorsement as 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.

[USCG-2006-24371, 74 FR 11252, Mar. 16, 2009]



Sec. 11.709  Annual physical examination requirements.

    (a) This section applies only to an individual who pilots a vessel 
of 1,600 gross tons and over.
    (b) Every person holding a license or MMC endorsement as first-class 
pilot shall have a thorough physical examination each year.
    (c) Each annual physical examination must meet the requirements 
specified in Sec. 10.215 of this chapter.
    (d) An individual's first class pilot credential 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 credential 
until a physical examination has been satisfactorily completed.
    (e) A first class pilot must provide the Coast Guard with a copy of 
his or her most recent physical examination.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11252, Mar. 16, 2009]



Sec. 11.711  Tonnage requirements.

    (a) In order to obtain a first class pilot endorsement authorizing 
service on vessels of any gross tons over a particular route, the 
applicant must have

[[Page 178]]

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 endorsement will be for a limited tonnage 
until the applicant completes a number of additional round trips, as 
determined by the OCMI, within the range contained in Sec. 11.705 (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 endorsement that is not 
restricted to tug and barge combinations.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11253, Mar. 16, 2009]



Sec. 11.713  Requirements for maintaining current knowledge of 
waters to be navigated.

    (a) If a first class pilot has not served over a particular route 
within the past 60 months, that person's license or MMC 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 MMC 
endorsement. Round trips made within the 90 day period preceding renewal 
will be valid for the duration of the renewed license or MMC 
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 MMC 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 
MMC endorsement.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11253, Mar. 16, 2009]



                Subpart H_Registration of Staff Officers



Sec. 11.801  Applicability.

    This subpart provides for the registration of staff officers for 
employment on vessels documented or numbered under the laws of the 
United States. Staff officers must be registered if serving on most 
vessels in ocean service or on the Great Lakes.



Sec. 11.803  [Reserved]



Sec. 11.805  General requirements.

    (a) The applicant for an endorsement as staff officer is not 
required to take any examination; however, the applicant shall present 
to the OCMI a letter justifying the need for the endorsement.
    (b) [Reserved]
    (c) An applicant for a higher grade in the staff department shall 
apply in the same manner as for an original endorsement and shall 
surrender the previous Coast Guard-issued credentials upon issuance of 
the new MMC. A staff officer may serve in a lower grade of 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.

[[Page 179]]

    (e) A duplicate MMC may be issued by the OCMI. (See Sec. 10.229 of 
this chapter.)
    (f) An MMC is valid for a term of five years from the date of 
issuance. Procedures for renewing endorsements are found in Sec. 10.227 
of this chapter.
    (g) Each applicant for an original or a higher grade of endorsement, 
as described by paragraph (c) of this section, shall produce evidence of 
having passed a chemical test for dangerous drugs or of qualifying for 
an exception from testing in Sec. 16.220 of this subchapter. An 
applicant who fails a chemical test for dangerous drugs will not be 
issued an MMC.

[USCG-2006-24371, 74 FR 11253, Mar. 16, 2009]



Sec. 11.807  Experience requirements for registry.

    (a) The applicant for a certificate of registry as staff officer 
shall submit evidence of experience as follows:
    (1) Chief purser. Two years of service aboard vessels performing 
duties relating to work in the purser's office.
    (2) Purser. One year of service aboard vessels performing duties 
relating to work in the purser's office.
    (3) Senior assistant purser. Six months of service aboard vessels 
performing duties relating to work in purser's office.
    (4) Junior assistant purser. Previous experience not required.
    (5) Medical doctor. A valid license as physician or surgeon issued 
under the authority of a state or territory of the United States, the 
Commonwealth of Puerto Rico, or the District of Columbia.
    (6) Professional nurse. A valid license as a registered nurse issued 
under authority of a state or territory of the United States, the 
Commonwealth of Puerto Rico, or the District of Columbia.
    (7) Marine physician assistant. Successful completion of an 
accredited course of instruction for a physician's assistant or nurse 
practitioner program.
    (8) 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.
    (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 
an endorsement, service of one season on vessels on the Great Lakes is 
counted as service of one year.
    (d) In the event an applicant for an endorsement, 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 MMC.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by 
USCG-2006-24371, 74 FR 11216 and 11253, Mar. 16, 2009]



Sec. 11.809  [Reserved]



Sec. 11.811  Requirements to qualify for an STCW endorsement as 
vessel security officer.

    (a) The applicant for an endorsement as vessel security officer must 
present satisfactory documentary evidence in accordance with the 
requirements in 33 CFR 104.215.
    (b) All applicants for an endorsement must meet the physical 
examination requirements in Sec. 10.205(d)(1)-(2) of this chapter.

[USCG-2008-0028, 73 FR 29071, May 20, 2008]



   Subpart I_Subjects of Examinations and Practical Demonstrations of 
                               Competence



Sec. 11.901  General provisions.

    (a) Each applicant for any endorsement listed in this part shall 
pass examinations on the appropriate subjects

[[Page 180]]

listed in this subpart, except as noted in Sec. 11.903(b).
    (b) If the endorsement 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 OCMI. Limitations which 
may affect the examination content are:
    (1) MMCs endorsed for restricted routes for reduced service (master 
or mate of vessels of not more than 200 gross tons, OUPV or master or 
mate (pilot) of towing vessels); or
    (2) Engineer endorsements with horsepower restrictions.
    (c) Except as provided in Sec. Sec. 11.202 and 10.227, each 
applicant for an STCW certificate or endorsement 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 (incorporated by reference in Sec. 
11.102):
    (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.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 144, Jan. 
4, 1989; CGD 94-029, 61 FR 47064, Sept. 6, 1996; CGD 95-062, 62 FR 
34533, June 26, 1997; USCG-1998-4442, 63 FR 52188, Sept. 30, 1998; USCG-
1999-6224, 64 FR 63235, Nov. 19, 1999; USCG-1999-5610, 67 FR 66068, Oct. 
30, 2002; USCG-2004-18884, 69 FR 58342, Sept. 30, 2004; USCG-2006-24371, 
74 FR 11253, Mar. 16, 2009]



Sec. 11.903  Licenses requiring examinations.

    (a) The following endorsements require examinations for issuance:
    (1) Master ocean/near coastal any gross tons;\1\
---------------------------------------------------------------------------

    \1\ Examination will vary depending upon route desired.
---------------------------------------------------------------------------

    (2) Chief mate ocean/near coastal any gross tons;\1\
    (3) Second mate ocean/near coastal any gross tons;\1\
    (4) Third mate ocean/near coastal any gross tons;\1\
    (5) Master ocean/near coastal not more than 500 or 1600 gross 
tons;\1\
    (6) Mate ocean/near coastal not more than 500 or 1600 gross tons;\1\
    (7) Mate near coastal not more than 200 gross tons;
    (8) Master near coastal not more than 100 gross tons;

[[Page 181]]

    (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)(i) Apprentice mate (steersman) of towing vessels;
    (ii) Apprentice mate (steersman) of towing vessels, limited;
    (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 endorsements 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 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 grade from mate of the same route not more 
than 200 gross tons.
    (4) Master or mate (pilot) of towing vessels (endorsed for the same 
route).
    (c) Each candidate for any of the following endorsements shall meet 
the requirements of the appropriate STCW regulations and standards of 
competence and those in part A of the STCW Code (incorporated by 
reference, see Sec. 11.102), as indicated in table 11.903(c) of this 
section:
    (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) Master or mate of towing vessels of over 200 gross tons, oceans 
and near-coastal.
    (8) Master (OSV).
    (9) Chief mate (OSV).
    (10) Mate (OSV).
    (11) Chief engineer, unlimited.
    (12) 1st Assistant engineer, unlimited.
    (13) 2nd Assistant engineer, unlimited.
    (14) 3rd Assistant engineer, unlimited.
    (15) Chief engineer, limited--oceans.
    (16) Assistant engineer, limited-oceans.
    (17) Chief engineer, limited-near coastal.
    (18) Chief engineer (OSV).
    (19) Engineer (OSV).

                                                                     Table 11.903(c)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                        STCW CODE                           1    2    3    4    5    6    7    8    9    10   11   12   13   14   15   16   17   18   19
--------------------------------------------------------------------------------------------------------------------------------------------------------
II/1.....................................................  ...  ...  ...   X    X    X   ...  ...  ...   X   ...  ...  ...  ...  ...  ...  ...  ...  ...
II/2, p. 1 & 2...........................................   X    X   ...  ...  ...  ...  ...   X    X   ...  ...  ...  ...  ...  ...  ...  ...  ...  ...

[[Page 182]]

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

    (d) Any candidate for an endorsement 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 
(incorporated by reference, see Sec. 11.102) as indicated in table 
11.903(c) of this section, need not comply with Sec. Sec. 11.910 or 
11.950, of this part.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987]

    Editorial Note: For Federal Register citations affecting Sec. 
11.903, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 11.910  Subjects for deck officer endorsements.

    Table 11.910-1 gives the codes used in table 11.910-2 for all deck 
officers. Table 11.910-2 indicates the examination subjects for each 
endorsement, by code number. Figures in the body of the table, in place 
of the letter ``x'', refer to notes.

           Table 11.910-1 Codes for Deck Officer Endorsements

                       Deck Officer Endorsements:

    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. Apprentice mate, towing vessels, ocean (domestic trade) and 
near-coastal routes.
    11. Apprentice mate (steersman), towing vessels, Great Lakes and 
inland routes.
    12. Steersman, 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 11.910-2--Endorsement Codes
--------------------------------------------------------------------------------------------------------------------------------------------------------
                   Examination topics                      1   2   3   4   5   6   7   8   9  10  11  12  13  14  15  16  17  18  19  20  21  22  23  24
--------------------------------------------------------------------------------------------------------------------------------------------------------
Navigation and position determination:
    Ocean Track Plotting:
        Middle Latitude Sailing.........................   1   1  ..   1   1
        Mercator Sailing................................   X   X  ..   1   1
        Great Circle Sailing............................   1   1  ..   1
        Parallel Sailing................................   1   1  ..   1   1
        ETA.............................................   X   X   1   X   X
    Piloting:
        Distance Off....................................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
        Bearing Problems................................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
        Fix or Running Fix..............................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
        Chart Navigation................................  ..   X   X   X   X   X   X   X   X   X   X   2   X   X   X   X   X   2   2   2   2   X   X   X
        Dead Reckoning..................................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X

[[Page 183]]

 
    Celestial Observations:
        Special Cases (hi/lo Alt., Backsight)...........   1
        Latitude by Polaris.............................   1   1   1   1
        Latitude by Meridian Transit....................   1
        Lat. by Meridian Transit (Sun Only).............   X   X   1   X   X   1   1  ..  ..   1  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   1   1
        Fix or Running Fix (Any Body)...................   X   X   1   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   1
        Fix or Running Fix (Sun Only)...................  ..  ..  ..  ..   X   1   1  ..  ..   1  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   1
        Star Identification.............................   1   1   1   1
        Star Selection..................................   1   X   1   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   1
    Times of Celestial Phenomena:
        Time of Meridian Transit........................   1
        Time of Meridian Transit (Sun Only).............   X   X   1   X   X   1   1  ..  ..   1  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   1   1
        Second Estimate Meridian Transit................   1
            Zone Time Sun Rise/Set/Twilight.............   X   X   1   1   1   1   1  ..  ..   1  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   1   1
            Zone Time Moon Rise/Set.....................   X   X  ..   1
        Speed by RPM....................................   X   X  ..   X  ..  ..  ..  ..  ..  ..  ..  ..   3
        Fuel Conservation...............................   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   3
        Electronic Navigation...........................   X   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
        Instruments and Accessories.....................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
        Aids to Navigation..............................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
        Charts, Navigation Publications, and Notices to    X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
         Mariners.......................................
        Naut. Astronomy & Nav. Definitions..............   X   X  ..   X   X
        Chart Sketch....................................  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   4
Seamanship:
    Marlinspike Seamanship..............................  ..  ..  ..   X   X   X   X   X   X   X   X   X  ..   X  ..   X   X   X   X   X   X   X   X   X
    Purchases, Blocks and Tackle........................  ..  ..  ..   X   X   X   X  ..  ..   X   X   X  ..   X  ..   X   X   X   X   X   X   X   X   X
    Small Boat Handling Under Oars or Sail..............  ..  ..  ..   X   X  ..  ..  ..  ..  ..  ..  ..   X   X
Watchkeeping:
    COLREGS.............................................   X   X   X   X   X   X   X   X   5   X   5  ..   5   5   5   5   5  ..  ..  ..  ..   X   X   5
    Inland Navigational Rules...........................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Basic Principles, Watchkeeping......................   X   X   X   X   X   X   X  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X
    Navigation Safety Regs. (33 CFR 164)................   X   X  ..   X   X  ..  ..  ..  ..  ..  ..  ..   X   X  ..  ..  ..   X  ..  ..  ..   6   6   6
Radar Equipment:
    Radar Observer Certificate..........................   X   X   X   X   X   X   1  ..  ..   1  ..  ..   X   X  ..  ..  ..   X  ..  ..  ..   X   X   X
Compass-Magnetic and Gyro:
    Principles of Gyro Compass..........................   X   X   X   X   X   X  ..  ..  ..  ..  ..  ..   X   X   X   X  ..  ..  ..  ..  ..   X   X
    Principles of Magnetic Compass......................   X   X   X   X   X   X  ..  ..  ..  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X
    Magnetic Compass Adjustment.........................   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   X   X
    Gyro Compass Error/Correction.......................   X   X   X   X   X   X   7  ..  ..  ..   X   X   X   X   X   X   7  ..  ..  ..  ..   X   X   X
    Magnetic Compass Error/Correction...................   X   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
        Determination of Compass Error:
            Azimuth (Any Body)..........................   X   X  ..   1
            Azimuth (Sun Only)..........................  ..  ..   1  ..   X   1   1  ..  ..   1  ..  ..   3  ..  ..  ..  ..  ..  ..  ..  ..   1   1
            Amplitude (Any Body)........................   X
            Amplitude (Sun Only)........................  ..   X   1   X   X   1   1  ..  ..   1  ..  ..   3  ..  ..  ..  ..  ..  ..  ..  ..   1   1
            Deviation Table Construction................   X   X   1   X   X  ..  ..  ..  ..  ..  ..  ..   3
            Terrestrial Observation.....................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
        Gyro Controlled Systems.........................   X   X   X   X  ..   X
        Operation & Care of Main Gyro Systems...........   X   X   X   X  ..   X
Meteorology and Oceanography:
    Characteristics of Weather Systems..................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Ocean Current Systems...............................  ..   X   X   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   X   X
    Weather Charts and Reports..........................  ..   X   X   X   X  ..   X  ..  ..   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   X
        Tides and Tidal Currents:
            Extensive Tidal Effects.....................   X   X   X
            Terms and Definitions.......................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
            Publications................................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
            Calculations................................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X
Ship Maneuvering and Handling:
    Approaching Pilot Vessel or Station.................   X   X   X  ..  ..   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   X
    Shiphandling in Rivers, Estuaries...................   X   X   X  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X  ..   X
    Maneuvering in Shallow Water........................   X   X   X  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X  ..   X
    Interaction with Bank/Passing Ship..................   X   X   X  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X  ..   X
    Berthing and Unberthing.............................   X   X   X  ..  ..   X   X   X   X   X  ..  ..   X   X   X  ..   X   X   X  ..   X   X  ..   X
    Anchoring and Mooring...............................  ..   X   X   X   X   X   X   X   X   X  ..  ..   X   X   X   X   X  ..  ..  ..  ..   X   X   X

[[Page 184]]

 
    Dragging, Clearing Fouled Anchors...................  ..   X   X   X   X   X   X  ..  ..  ..  ..  ..   X   X   X   X   X  ..  ..  ..  ..   X
    Drydocking, with & without Prior Damage.............  ..   X   X
    Heavy Weather Operations............................  ..   X   X  ..  ..  ..   X   X   X  ..  ..  ..  ..  ..  ..  ..   X  ..  ..  ..  ..   X   X
    Maneuvering for Launching of Lifeboats and Liferafts  ..   X   X  ..  ..  ..   X  ..  ..   X  ..  ..   X  ..   X  ..  ..  ..  ..  ..  ..   X   X
     in Heavy Weather...................................
    Receiving Survivors From Lfbts/Lfrfts...............  ..   X   X  ..  ..  ..   X  ..  ..   X   X
    General: Turn Circle, Pivot Point, Advance and        ..  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
     Transfer...........................................
    Determine Maneuvering Characteristics of Major        ..   X  ..   X   X
     Vessel Types.......................................
    Wake Reduction......................................  ..   X   X  ..  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X  ..   X
    Ice Operations/Ice Navigation.......................   X   X   X  ..  ..   X  ..  ..  ..   X   X   X   X   3   X   3
    Towing Operations...................................  ..   X   X   X   X   X   X  ..  ..   X   X   X  ..   X  ..   X   X   X   X   X   X
Ship Stability, Construction, and Damage Control:
    Principles of Ship Construction.....................  ..   X   X   X   X  ..   X  ..  ..   X   3   X   3   X   X   X
    Trim and Stability..................................   X   X   X   X   X   X   X  ..  ..   X   X   X   X   3   X   3   X   X   X  ..   X   X   X
    Damage Trim and Stability...........................   X   X   X  ..  ..   X   7
    Stability, Trim, and Stress Calculation.............   X   X   X   X  ..  ..   7
    Vessel Structural Members...........................  ..   X   X   X   X   X   7  ..  ..  ..  ..  ..  ..   X   X   3   7
    IMO Ship Stability Recommendations..................   X   X
    Damage Control......................................   X   X   X  ..  ..   X  ..   7  ..  ..  ..  ..  ..  ..  ..   7
    Change in Draft Due to Density......................   X   X
Ship Power Plants:
    Marine Power Plant Operating Principles.............  ..   X   X  ..  ..  ..   7  ..  ..  ..  ..  ..   X  ..   X  ..   7   X   X
    Ships' Auxiliary Machinery..........................  ..   X   X  ..  ..  ..  ..  ..  ..  ..  ..   X  ..  ..   X  ..  ..   X   X
    Marine Engineering Terms............................  ..   X   X  ..  ..   7  ..  ..  ..  ..  ..   X  ..   X  ..   7   X   X
    Small Engine Operations and Maintenance.............  ..  ..  ..  ..  ..  ..   X   X   X  ..  ..  ..  ..  ..  ..  ..   X  ..  ..   X
Cargo Handling and Stowage:
    Cargo Stowage and Security, Including Cargo Gear....  ..   X   X   X   X   X   7  ..  ..  ..  ..  ..   X   X   X   X   7   X   X   X
    Loading and Discharging Operations..................  ..   X   X   X   X   X  ..  ..  ..  ..  ..  ..   X   X   X   X  ..   X   X   X
    International Regulations for Cargoes, Especially      X   X   X
     IMDG...............................................
    Dangerous/Hazardous Cargo Regulations...............   X   X   X   X   X   X  ..  ..  ..  ..  ..  ..   X   X   X   X  ..   X   X   X
    Tank Vessel Safety..................................  ..   X   X   X   X   X  ..  ..  ..  ..  ..  ..   X   X   X   X  ..   X   X   X
    Cargo Piping and Pumping Systems....................  ..   X   X   X   X   X  ..  ..  ..  ..  ..  ..   X   X   X   X  ..   X   X   X
    Cargo Oil Terms and Definitions.....................  ..   X   X   X   X   X  ..  ..  ..  ..  ..  ..   X   X   X   X  ..   X   X   X
    Ballasting, Tank Clean., & Gas Free Ops.............  ..   X   X   X   X   X  ..  ..  ..  ..  ..   X   X   X   X  ..   X   X   X
    Load on Top Procedures..............................  ..   X   X   X   X   X  ..  ..  ..  ..  ..   X   X   X   X  ..   X   X   X
    Barge Regulations (Operations)......................  ..  ..  ..  ..  ..  ..  ..  ..  ..   X   X   X
Fire Prevention and Firefighting Appliances:
    Organization of Fire Drills.........................  ..   X   X   X   X   X   X  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Classes and Chemistry of Fire.......................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Firefighting Systems................................  ..   X   X   X   X   X   X  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Firefighting Equip. and Regulations.................  ..   X   X   X   X   X   7  ..  ..   X   X   X   X   X   X   X   7   X   X   X   7   X   X
    Firefighting Equip. & Regs. for T-Boats.............  ..  ..  ..  ..  ..  ..   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..  ..  ..   X
    Basic Firefighting and Prevention...................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Emergency Procedures:
    Ship Beaching Precautions...........................  ..   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X
    Actions Prior To/After Grounding....................  ..   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X
    Refloating a Grounded Ship..........................  ..   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X
    Collision...........................................  ..   X   X  ..  ..  ..   X   X  ..   X   X   X   X  ..   X  ..   X   X   X  ..   X
    Temporary Repairs...................................  ..   X   X   X  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Passenger/Crew Safety in Emergency..................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Fire or Explosion...................................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Abandon Ship Procedures.............................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Emergency Steering..................................  ..   X   X   X  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X  ..  ..   X   X
    Rescuing Surv. From Ship/Airc. in Dist..............  ..   X   X   X   X   X   X  ..  ..   X  ..  ..   X   X   X   X   X   X   X
    Man Overboard Procedures............................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Emergency Towing....................................   X   X   X  ..  ..  ..   X  ..  ..   X
Medical Care:
    Knowledge and use of:
        Int'l. Medical Guide for Ships..................  ..   X   X
        Ship Med. Chest and Med. Aid at Sea.............  ..   X   X
        Medical Sec., Inter. Code of Signals............  ..   X   X   X   X

[[Page 185]]

 
        1st Aid Guide: Accidents with Dangerous Goods...  ..   X   X
        First Aid.......................................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Maritime Law:
    International Maritime Law:
        Int'l. Convention on Load Lines.................   X   X   X
        SOLAS...........................................   X   X   X  ..  ..  ..   7
        MARPOL 73/78....................................   X   X   X   X   X
        International Health Regulations................   X   X   X
        Other International Instruments for Ship/Pass./    X   X   X
         Crew/Cargo Safety..............................
    National Maritime Law:
        Load Lines......................................   X   X   X  ..  ..   X   X  ..  ..   X   X  ..   3   3   3   3   7
        Cert. and Documentation of Vessels..............   X   X   X  ..  ..  ..   X   X   X   X   X   X   X  ..   X  ..   X   X   X  ..   X   X
        Rules & Regs. for Inspected Vessels.............   X   X   X   X   X   X   7  ..  ..  ..  ..  ..   X   X   X   X   7   X   X   X   7
        Rules & Regs. for Inspected T-Boats.............  ..  ..  ..  ..  ..  ..   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..  ..  ..   X
        Rules and Regs for Uninsp. Vessels..............  ..  ..  ..  ..  ..  ..   X   X   X   X   X   X  ..  ..  ..  ..   X  ..  ..  ..   X   X   X
        Pollution Prevention Regulations................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
        Pilotage........................................   X   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   X
        Credentialing Seamen............................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
        Shipment and Discharge, Manning.................   X  ..   X  ..  ..  ..   X  ..  ..   X  ..  ..   X  ..   X  ..  ..   X   X
        Title 46 U.S. Code..............................   X   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X
        Captain of the Port Regulations, Vessel Traffic   ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   X
         Service Procedures for the Route Desired.......
Shipboard Management and Training:
    Personnel Management................................   X   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X
    Shipboard Organization..............................   X   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X
    Required Crew Training..............................   X   X   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X
    Ship Sanitation.....................................   X   X   X  ..  ..  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Vessel Alteration/Repair--Hot Work..................   X   X   X  ..  ..  ..   X  ..  ..  ..  ..  ..   X  ..   X  ..  ..   X   X
    Safety..............................................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Ship's Business:
    Charters............................................   X   X   X
    Liens, Salvage......................................   X   X   X
    Insurance...........................................   X   X   X
    Entry, Clearance....................................   X   X   X
    Certificates and Documents Required.................   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
Communications:
    Flashing Light......................................   X   X  ..   X   X
    Radiotelephone Communications.......................  ..   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
    Radiotelegraphy Emerg. Dist. Signals................  ..   X  ..   X   X
    Signals: Storm/Wreck/Dist./Special..................  ..   X   X   X   X   X   X   X   X   X   X  ..   X   X   X   X   X   X   X   X   X   X   X
    International Code of Signals.......................  ..   X   X   X   X
Lifesaving:
    Survival at Sea.....................................  ..   X   X   X   X   X   X  ..  ..   X  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..  ..   X   X
    Lifesaving Appliance Regulations....................  ..   X   X   X   X   X   7  ..  ..  ..  ..  ..   X   X   X  ..   7   X   X   X   7
    Lifesaving Appliance Regs. for T-Boats..............  ..  ..  ..  ..  ..  ..   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..  ..  ..   X
    Lifesaving Appliance Operation......................  ..   X   X   X   X   X   7   X   X   X   X  ..   X   X   X   X   7   X   X   X   7   X   X
    Lifesaving Appliance Ops. for T-Boats...............  ..  ..  ..  ..  ..  ..   X  ..  ..  ..  ..  ..  ..  ..  ..  ..   X  ..  ..  ..   X
Search and Rescue:
    Search and Rescue Procedures........................   X   X   X
    Amver...............................................   X   X   X
SAIL/AUXILIARY SAIL VESSELS ADDENDUM (8):
    Any other subject considered necessary to establish    X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X   X
     the applicant's proficiency........................
--------------------------------------------------------------------------------------------------------------------------------------------------------
1--For ocean routes only.
2--River chart navigation only.
3--Topic covered only on Great Lakes specific module(s) taken for ``Great Lakes and inland'' routes.
4--Including recommended courses, distances, prominent aids to navigation, depths of waters in channels and over hazardous shoals, other important
  features of the route, such as character of the bottom. The OCMI may accept chart sketching of only a portion or portions of the route for long or
  extended routes.
5--Take COLREGS if license not limited to non-COLREG waters.
6--For officer endorsements over 1600 gross tons.
7--For officer endorsements over 100 gross tons.
8--Sail vessel safety precautions, rules of the road, operations, heavy weather procedures, navigation, maneuvering, and sailing terminology. Applicants
  for sail/auxiliary sail endorsements to master, mate or operator of uninspected passenger vessels are also tested in the subjects contained in this
  addendum.


[[Page 186]]


[CGD 81-059a, 55 FR 14802, Apr. 18, 1990, as amended by USCG-1999-6224, 
64 FR 63235, Nov. 19, 1999; USCG-2001-10224, 66 FR 48619, Sept. 21, 
2001; USCG-2006-24371, 74 FR 11254, Mar. 16, 2009]



Sec. 11.920  Subjects for MODU endorsements.

    Table 11.920-1 gives the codes used in table 11.920-2 for MODU 
endorsements. Table 11.920-2 indicates the examination subjects for each 
endorsement by the code number.

               Table 11.920-1 Codes for MODU Endorsements

1. OIM/Unrestricted
2. OIM/Surface Units Underway
3. OIM/Surface Units on Location
4. OIM/Bottom Bearing Units Underway
5. OIM/Bottom Bearing Units on Location
6. Barge Supervisor
7. Ballast Control Operator

               Table 11.920-2--Subjects for MODU Licenses
------------------------------------------------------------------------
          Examination topics            1    2    3    4    5    6    7
------------------------------------------------------------------------
Watchkeeping
  COLREGS............................   X    X   ...   X   ...   X   ...
  ``Basic Principles for Navigational   X    X    X    X    X    X   ...
   Watch''...........................
  MODU obstruction lights............   X   ...   X   ...   X    X   ...
Meteorology and oceanography:
  Synoptic chart weather forecasting.   X    X    X    X    X    X   ...
  Characteristics of weather systems.   X    X    X    X    X    X    X
  Ocean current systems..............   X    X    X    X    X    X   ...
  Tide and tidal current publications   X    X    X    X    X    X   ...
Stability, ballasting, construction
 and damage control:
  Principles of ship construction,      X    X    X    X    X    X    X
   structural members................
  Trim and stability.................   X    X    X    X    X    X    X
  Damaged trim and stability            X    X    X    X   ...   X    X
   countermeasures...................
  Stability and trim calculations....   X    X    X    X   ...   X    X
  Load line requirements.............   X    X    X    X    X    X    X
Operating manual:
  Rig characteristics and limitations   X    X    X    X    X    X    X
  Hydrostatics data..................   X    X    X    X   ...   X    X
  Tank tables........................   X    X    X    X    X    X    X
  KG limitations.....................   X    X    X    X   ...   X    X
  Severe storm instructions..........   X    X    X    X    X    X    X
  Transit instructions...............   X    X   ...   X   ...   X    X
  On-station instructions............   X   ...   X   ...   X    X    X
  Unexpected list or trim............   X    X    X    X   ...   X    X
  Ballasting procedures..............   X    X    X   ...  ...   X    X
  Operation of bilge system..........   X    X    X    X   ...   X    X
  Leg loading calculations...........   X   ...  ...   X    X   ...  ...
  Completion of variable load form...   X    X    X    X    X    X    X
  Evaluation of variable load form...   X    X    X    X    X    X    X
  Emergency procedures...............   X    X    X    X    X    X    X
Maneuvering and handling:
  Anchoring and anchor handling......   X    X    X   ...  ...   X   ...
  Heavy weather operations...........   X    X    X    X    X    X    X
  Mooring, positioning...............   X    X    X    X   ...   X    X
  Moving, positioning................   X    X   ...   X   ...   X   ...
Fire prevention and firefighting
 appliances:
  Organization of fire drills........   X    X    X    X    X    X    X
  Classes and chemistry of fire......   X    X    X    X    X    X    X
  Firefighting systems...............   X    X    X    X    X    X    X
  Firefighting equipment and            X    X    X    X    X    X    X
   regulations.......................
  Basic firefighting and prevention     X    X    X    X    X    X    X
   of fires..........................
Emergency procedures and contingency
 plans:
  Temporary repairs..................   X    X    X    X   ...   X   ...
  Fire or explosion..................   X    X    X    X    X    X    X
  Abandon unit.......................   X    X    X    X    X    X    X
  Man overboard......................   X    X    X    X    X    X    X
  Heavy weather......................   X    X    X    X    X    X    X
  Collision..........................   X    X    X    X    X    X    X
  Failure of ballast control system..   X    X    X   ...  ...   X    X
  Mooring emergencies................   X   ...   X   ...  ...   X    X
  Blowouts...........................   X   ...   X   ...   X    X    X
  H2 S safety........................   X   ...   X   ...   X    X    X
General Engineering--Power plants and
 auxiliary systems:
  Marine engineering terminology.....   X    X    X    X    X    X    X
  Engineering equipment, operations     X    X    X    X    X    X   ...
   and failures......................
  Offshore drilling operations.......  ...  ...  ...  ...  ...  ...   X
Deck seamanship--general:
  Transfer of personnel..............   X    X    X    X    X    X   ...

[[Page 187]]

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


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


[[Page 188]]



Sec. 11.950  Subjects for engineer endorsements.

                                                    Table 11.950--Subjects for Engineer Endorsements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Unlimited      Unlimited    Unlimited    Unlimited      Chief     A/E Ltd &   Unin.   Fish.  DDE Ltd HP
                                    chief        1st asst.    2nd asst.    3rd asst.    engineer   DDE unlim.  ind. C/ vsl. A/------------  MODU   MODU
                                   engineer      engineer      engineer     engineer     limited  ------------    E       E                 ch.    asst.
                               -------------------------------------------------------------------            ----------------  STM   MTR   eng.   eng.
                                  STM    MTR     STM    MTR   STM    MTR   STM    MTR   STM   MTR   STM   MTR    MTR     MTR
--------------------------------------------------------------------------------------------------------------------------------------------------------
General Subjects:
  Prints and Tables...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Pipes, Fittings, Valves.....  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P
  Hydraulics..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P-T
  Bilge Systems...............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P
  Sanitary/Sewerage Systems...  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Freshwater Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P     P     P     P-T     P       P     P     P-T    P-T
  Lubricants..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Lubrication Systems.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P      P
  Automation Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P-T    P
  Control Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P-T    P-T
  Propellers/Shafting Systems.  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     .....  ......
  Machine Shop................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Distilling Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Pumps.......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Compressors.................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Administration..............  P-T     P-T    P-T     P-T   P-T    P-T   P      P     P     P     P     P     P       P       P     P     P-T    P
  Governors...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P     P     P     P       P       P     P     P-T    P-T
  Cooling Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Bearings....................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Instruments.................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Ship Construction and Repair  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P
  Theory......................  T       T      T       T     T      T     T      T     T     T     T     T     T       T       T     T     T      T
  Steering Systems............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     .....  ......
  Deck Machinery..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Ventilation Systems.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P     P     P     P       P       P     P     P      P
  Thermodynamics..............  T       T      T       T     T      T     T      T     ....  ....  ....  ....  ......  ......  ....  ....  .....  ......
  Watch Duties................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P-T    P-T
Refrigeration and Air
 Conditioning:
  Theory......................  T       T      T       T     T      T     T      T     T     T     T     T     T       T       T     T     T      T
  Air Conditioning Systems....  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Refrigeration Systems.......  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Control Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P       P       P     P     P      P
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P       P     P     P      P
Electricity:
  Theory......................  T       T      T       T     T      T     T      T     T     T     T     T     T       T       T     T     T      T
  General Maintenance.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Generators..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Motors......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T

[[Page 189]]

 
  Motor Controllers...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Propulsion Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P     P     P-T     P-T     P     P     P      P
  Distribution Systems........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P      P
  Electronic Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P     P     P       P       P     P     P-T    P-T
  Batteries...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P      P
  Communications..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P     P     P       P-T     P     P     P      P
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
Steam Generators:
  Steam.......................  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  P       P       P     ....  P-T    ......
  Main Boilers................  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Auxiliary Boilers...........  ......  P-T    ......  P-T   .....  P-T   .....  P-T   ....  P-T   ....  P-T   P       P       ....  P     P-T    P-T
  Feedwater Systems...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   ....  P-T   ....  P       P       P-T   ....  P-T    P
  Condensate Systems..........  P-T     P-T    P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  P-T    P
  Recovery Systems............  P-T     P-T    P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  P       P       P-T   ....  P-T    P
  Fuel........................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P     P-T    P-T
  Fuel Systems................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P     P-T    P-T
  Boiler Water................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P     P-T   P     P       P       P-T   ....  P-T    P
  Control Systems.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   ....  P       P       P-T   P-T   .....
  Automation Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   ....  P       P       P-T   ....  P-T    ......
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P     P       P       P-T   P     P-T    P
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P     P       P       P-T   P     P-T    P
Steam Engines:
  Main Turbine................  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Auxiliary Turbine...........  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Reciprocating Machines......  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Governor Systems............  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Control Systems.............  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Automation Systems..........  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Lubrication Systems.........  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....
  Drive Systems...............  P-T     .....  P-T     ....  P-T    ....  P-T    ....  P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Safety......................  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
  Casualty Control............  P-T     P      P-T     P     P-T    P     P-T    P     P-T   ....  P-T   ....  ......  ......  P-T   ....  .....  ......
Motor:
  Main Engines................  ......  P-T    ......  P-T   .....  P-T   .....  P-T   ....  P-T   ....  P-T   P-T     P-T     ....  P-T   .....  ......
  Auxiliary Engines...........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P-T   P-T    P
  Starting Systems............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P-T    P
  Lubrication Systems.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P      P
  Fuel........................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P      P
  Fuel Systems................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P      P
  Combustion Systems..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Intake Systems..............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Exhaust Systems.............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Cooling Systems.............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Supercharging Systems.......  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   .....  ......
  Drive Systems...............  P       P-T    P       P-T   P      P-T   P      P-T   ....  P-T   ....  P-T   P-T     P-T     ....  P-T   P      P
  Control Systems.............  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P-T
  Automation Systems..........  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P-T    P-T
  Governors...................  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-T   P      P
  Turbines....................  P       P-T    P       P-T   P      P-T   P      P-T   P     P-T   P     P-T   P-T     P-T     ....  P-    P      P

[[Page 190]]

 
  Safety......................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Casualty Control............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
Safety:
  Fire........................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Fire Prevention.............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Fire Fighting...............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P-T   P-T   P-T    P-T
  Flooding....................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Dewatering..................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Stability and Trim..........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Damage Control..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Emergency Equipment and       P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
   Lifesaving Appliances.
  General Safety..............  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  First Aid...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Dangerous Materials.........  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Pollution...................  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  Inspections and Surveys.....  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  U.S. Rules and Regulations..  P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
  International Rules and       P-T     P-T    P-T     P-T   P-T    P-T   P-T    P-T   P-T   P-T   P-T   P-T   P-T     P-T     P     P     P-T    P-T
   Regulations.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
 P=Practical Knowledge.
 T=Theoretical Knowledge.


[CGD 81-059, 52 FR 38623 and 38669, Oct. 16, 1987, as amended by CGD 81-
059, 54 FR 147, Jan. 4, 1989; CGD 81-059a, 55 FR 14804, Apr. 18, 1990; 
USCG-2006-24371, 74 FR 11254, Mar. 16, 2009]

[[Page 191]]



                     Subpart J_Ro-Ro Passenger Ships

    Source: CGD 95-062, 62 FR 34534, June 26, 1997, unless otherwise 
noted.



Sec. 11.1001  Purpose of regulations.

    The purpose of the regulations in this subpart is to establish 
requirements for officers serving on roll-on/roll-off (Ro-Ro) passenger 
ships.



Sec. 11.1003  Definition.

    Roll-on/roll-off (Ro-Ro) passenger ship means a passenger ship with 
Ro-Ro cargo spaces or special-category spaces as defined in the 
Convention for the Safety of Life at Sea, 1974, as amended (SOLAS), to 
which a SOLAS certificate is issued.



Sec. 11.1005  General requirements for officers.

    To serve on a Ro-Ro passenger ship, a person endorsed as master, 
chief mate, mate, chief engineer, or engineer shall meet the appropriate 
requirements of STCW Regulation V/2 and Section A-V/2 of the STCW Code 
(incorporated by reference, see Sec. 11.102) and shall hold documentary 
evidence to show his or her meeting these requirements.

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



  Subpart K_Officers on a Passenger Ship, Other Than a Ro-Ro Passenger 
                  Ship, When on an International Voyage

    Source: USCG-1999-5610, 67 FR 66068, Oct. 30, 2002, unless otherwise 
noted.



Sec. 11.1101  Purpose of rules.

    The rules in this subpart establish requirements for officers 
serving on passenger ships as defined in Sec. 10.1103.



Sec. 11.1103  Definitions.

    Passenger ship in this subpart means a ship, other than a Ro-Ro 
passenger ship, carrying more than 12 passengers when on an 
international voyage.



Sec. 11.1105  General requirements for officer's endorsements.

    If you are a master, mate, chief mate, engineer, or chief engineer, 
then, before you may serve on a passenger ship, you must--
    (a) Meet the appropriate requirements of the STCW Regulation V/3 and 
of section A-V/3 of the STCW Code (incorporated by reference, see Sec. 
11.102); and
    (b) Hold documentary evidence to show that you meet these 
requirements through approved or accepted training.

[USCG-1999-5610, 67 FR 66068, Oct. 30, 2002, as amended by USCG-2006-
24371, 74 FR 11254, Mar. 16, 2009]



PART 12_REQUIREMENTS FOR RATING ENDORSEMENTS--Table of Contents



                          Subpart 12.01_General

Sec.
12.01-1 Purpose of rules in this part.
12.01-3 Incorporation by reference.
12.01-6-12.01-7 [Reserved]
12.01-9 Paperwork approval.
12.01-11 [Reserved]

          Subpart 12.02_General Requirements for Certification

12.02-3-12.02-5 [Reserved]
12.02-7 When documents are required.
12.02-9-12.02-10 [Reserved]
12.02-11 General provisions respecting rating endorsements.
12.02-12-12.02-15 [Reserved]
12.02-17 Examination procedures and denial of rating endorsements.
12.02-18-12.02-29 [Reserved]

              Subpart 12.03_Approved and Accepted Training

12.03-1 Coast Guard-accepted training other than approved courses.

                        Subpart 12.05_Able Seamen

12.05-1 Certification required.
12.05-3 General requirements.
12.05-5 [Reserved]
12.05-7 Service or training requirements.
12.05-9 Examination and demonstration of ability.
12.05-11 General provisions respecting merchant mariner's document 
          endorsed for service as able seamen.

Subpart 12.07 [Reserved]

                        Subpart 12.10_Lifeboatman

12.10-1 Credentials required.
12.10-3 General requirements.
12.10-5 Examination and demonstration of ability.

[[Page 192]]

12.10-7 General provisions respecting an MMC or MMD endorsed as 
          lifeboatman.
12.10-9 Endorsement for proficiency in fast rescue boats.

 Subpart 12.13_Persons Designated To Provide Medical Care on Board Ship

12.13-1 Documentary evidence required.
12.13-3 Basis of documentary evidence.

         Subpart 12.15_Qualified Member of the Engine Department

12.15-1 Credentials required.
12.15-3 General requirements.
12.15-5 Physical and medical requirements.
12.15-7 Service or training requirements.
12.15-9 Examination requirements.
12.15-11 General provisions respecting an endorsement as qualified 
          member of the engine department.
12.15-13 Deck engine mechanic.
12.15-15 Engineman.

Subpart 12.25_Certificates of Service for Ratings Other Than Able Seaman 
              or Qualified Member of the Engine Department

12.25-1 Credentials required.
12.25-10 General requirements.
12.25-20 Physical and medical requirements.
12.25-25 Members of Merchant Marine Cadet Corps.
12.25-30 Student observers.
12.25-35 Apprentice engineers.
12.25-40 Apprentice mate.
12.25-45 GMDSS At-sea Maintainer.

                   Subpart 12.30_Ro-Ro Passenger Ships

12.30-1 Purpose of regulations.
12.30-3 [Reserved]
12.30-5 General requirements.

   Subpart 12.35_Crewmembers on a Passenger Ship, Other Than a Ro-Ro 
             Passenger Ship, When on an International Voyage

12.35-1 Purpose of rules.
12.35-3 [Reserved]
12.35-5 General requirements.

 Subpart 12.40_-Non-resident Alien Unlicensed Members of the Steward's 
             Department on U.S. Flag Large Passenger Vessels

12.40-1 Purpose of rules.
12.40-3 [Reserved]
12.40-5 General application requirements.
12.40-7 Employer requirements.
12.40-9 Basis for denial.
12.40-11 Citizenship and identity.
12.40-13 Restrictions.
12.40-15 Alternative means of compliance.

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301, 7302, 
7503, 7505, 7701, and 70105; Department of Homeland Security Delegation 
No. 0170.1.

    Source: CGFR 65-50, 30 FR 16640, Dec. 30, 1965, unless otherwise 
noted.



                          Subpart 12.01_General



Sec. 12.01-1  Purpose of rules in this part.

    (a) The purposes of the regulations in this part are to provide--
    (1) A comprehensive and adequate means of determining and verifying 
the identity, citizenship, nationality, and professional qualifications 
an applicant must possess to be eligible for certification to serve on 
merchant vessels of the United States;
    (2) A means of determining that an applicant is competent to serve 
as a ``rating forming part of a navigational watch'' or a ``rating 
forming part of an engine-room watch'', or is otherwise ``designated to 
perform duties in a periodically unmanned engine-room'', on a seagoing 
ship, in accordance with the provisions of the International Convention 
on Standards of Training, Certification and Watchkeeping for Seafarers, 
1978, as amended (STCW), and to receive the endorsement required by 
STCW; and
    (b) The regulations in subpart 12.03 of this part prescribe the 
requirements applicable to all training and assessment associated with 
meeting the standards of competence established by STCW.

[CGD 95-062, 62 FR 34534, June 26, 1997, as amended by USCG-1999-5610, 
67 FR 66068, Oct. 30, 2002; USCG-2003-14500, 69 FR 531, Jan. 6, 2004; 
USCG-2006-24371, 74 FR 11254, Mar. 16, 2009]



Sec. 12.01-3  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Coast Guard must publish a notice of 
change in the Federal Register and the material must be available to the 
public. All approved material is available for inspection at the

[[Page 193]]

National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030 or go to 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. Also, it is available for inspection at 
the Coast Guard, Office of Operating and Environmental Standards (CG-
5221), 2100 2nd St. SW., Stop 7126, Washington, DC 20593-7126, 202-372-
1405 and is available from the sources indicated in this section.
    (b) International Maritime Organization (IMO), 4 Albert Embankment, 
London, SE1 7SR, England, telephone: + 44 (0)20 7735 7611, http://
www.imo.org.
    (1) The International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended 1995 (the 
STCW Convention or the STCW), incorporation by reference approved for 
Sec. Sec. 12.02-7, 12.02-11, 12.05-3, 12.05-11, 12.10-3; 12.10-5, 
12.10-7, 12.10-9, 12.15-3, 12.30-5, and 12.35-5.
    (2) The Seafarers' Training, Certification and Watchkeeping Code, as 
amended 1995 (the STCW Code), incorporation by reference approved for 
Sec. Sec. 12.02-11, 12.03-1, 12.05-3, 12.05-7, 12.10-5, 12.10-9, 12.15-
3, 12.15-7, 12.25-45, 12.30-5, and 12.35-5.

[USCG-2006-24371, 74 FR 11254, Mar. 16, 2009, as amended by USCG-2009-
0702, 74 FR 49225, Sept. 25, 2009]



Sec. Sec. 12.01-6-12.01-7  [Reserved]



Sec. 12.01-9  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget under the Paperwork Reduction Act of 1980 (Pub. L. 
96-511) for the reporting and record keeping requirements in this part.
    (b) The following control numbers have been assigned to the sections 
indicated:
    (1) OMB 1625-0079--46 CFR 12.02-17 and 12.03-1.
    (2) [Reserved]

[CGD 95-062, 62 FR 34535, June 26, 1997, as amended by USCG-2004-18884, 
69 FR 58343, Sept. 30, 2004]



Sec. 12.01-11  [Reserved]



          Subpart 12.02_General Requirements for Certification



Sec. Sec. 12.02-3-12.02-5  [Reserved]



Sec. 12.02-7  When documents are required.

    (a) Every seaman employed on any merchant vessel of the United 
States of 100 gross tons or upward, except vessels employed exclusively 
in trade on the navigable rivers of the United States, must carry a 
valid merchant mariner credential (MMC) or merchant mariner's document 
(MMD) with all appropriate endorsements for the position served and, 
beginning on April 15, 2009, a valid Transportation Worker 
Identification Credential (TWIC). Provisions of this section are not 
applicable to unrigged vessels except seagoing barges and certain tank 
barges.
    (b) Every seaman, as referred to in paragraph (a) of this section, 
shall produce a valid MMC or MMD with all applicable rating endorsements 
for the position sought and, beginning on April 15, 2009, a valid TWIC 
to the master of the vessel at the time of his or her employment before 
signing articles of agreement. Seamen who do not possess one of these 
credentials may be employed at a foreign port or place.
    (c)(1) Every person employed on any merchant vessel of the United 
States of 100 gross tons and upward, except those navigating rivers 
exclusively and the smaller inland lakes, below the grades of officer 
and staff officer, must possess a valid MMC or MMD with all appropriate 
endorsements for the positions served;
    (2) No endorsements are required of any person below the rank of 
officer employed on any unrigged vessel except seagoing barges and 
certain tank barges.
    (3) No endorsements are required of any person below the rank of 
officer employed on any sail vessel of less than 500 net tons while not 
carrying passengers for hire and while not operating outside the line 
dividing inland waters from the high seas, as defined in section 2 of 
the act of February 19, 1895, as amended (33 U.S.C. 151) and in 33 CFR 
part 82.

[[Page 194]]

    (d) Each person serving as an able seaman or a rating forming part 
of a navigational watch on a seagoing ship of 500 gross tonnage (200 
GRT) or more shall hold an STCW endorsement certifying him or her as 
qualified to perform the navigational function at the support level, in 
accordance with STCW (incorporated by reference, see Sec. 12.01-3).
    (e) Each person serving as a qualified member of the engine 
department (QMED) or a rating forming part of a watch in a manned 
engine-room or designated to perform duties in a periodically unmanned 
engine-room, on a seagoing ship driven by main propulsion machinery of 
750 kW [1,000 hp] of propulsion power or more, shall hold an STCW 
endorsement certifying him or her as qualified to perform the marine-
engineering function at the support level, in accordance with STCW.
    (f) Notwithstanding any other rule in this part, no person subject 
to this part serving on any of the following vessels needs to hold an 
STCW endorsement, either because he or she is exempt from application of 
the STCW, or because the vessels are not subject to further obligation 
under STCW, on account of their special operating conditions as small 
vessels engaged in domestic voyages:
    (1) Small passenger vessels subject to subchapter T or K of title 
46, CFR.
    (2) Vessels of less than 200 GRT (other than passenger vessels 
subject to subchapter H of title 46, CFR).
    (3) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (4) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (5) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (6) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (7) Vessels operating exclusively on the Great Lakes.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-062, 62 FR 
34535, June 26, 1997; USCG-1999-5610, 67 FR 66068, Oct. 30, 2002; USCG-
2006-24371, 74 FR 11254, Mar. 16, 2009]



Sec. Sec. 12.02-9-12.02-10  [Reserved]



Sec. 12.02-11  General provisions respecting rating endorsements.

    (a)(1) An MMC with a deck officer endorsement will authorize the 
holder to serve in any rating capacity in the deck department, except 
able seaman. If a deck officer qualifies as able seaman, the MMC will be 
endorsed with the appropriate able seaman and lifeboatman endorsement. 
STCW endorsements as RFPNW and PSC will also be entered upon 
qualification.
    (2) An MMC issued to an engineer officer endorsed for inspected 
vessels of over 2,000 horsepower will authorize the holder to serve in 
any rating capacity in the engine department. If an engineer officer 
qualifies as a lifeboatman, the appropriate lifeboatman endorsement will 
be placed on the MMC. STCW endorsements as RFPEW and PSC will also be 
entered upon qualification.
    (b) The authorized holder of any valid rating endorsement may serve 
in any capacity in the staff department of a vessel, except in those 
capacities requiring a staff officer; except that whenever the service 
includes the handling of food, no person may be so employed unless his 
or her credential bears the food handler's endorsement ``(F.H.)''.
    (c) A rating endorsement as able seaman or lifeboatman authorizes 
service as lifeboatman.
    (d) The OCMI will issue an STCW endorsement if the applicant for or 
holder of an MMC is qualified for the endorsement. The OCMI will issue 
an STCW endorsement for the following ratings:
    (1) A rating forming part of a navigational watch on a seagoing ship 
of 500 GT or more if the holder of the credential is qualified according 
to STCW Regulation II/4 of the STCW Code (incorporated by reference, see 
Sec. 12.01-3) to perform the navigational function at the support 
level.
    (2) A rating forming part of a watch in a manned engineroom, or 
designated to perform duties in a periodically unmanned engineroom, on a 
seagoing ship driven by main propulsion machinery of 750 kW (1,000 hp) 
of propulsion power or more, if the holder is qualified in according to 
STCW Regulation III/4 and

[[Page 195]]

Section A-III/4 of the STCW Code, (incorporated by reference, see Sec. 
12.01-3) to perform the marine-engineering function at the support 
level.
    (e) At the request of the holder of the document, the OCMI may add 
an endorsement to indicate that a qualified holder has received basic-
safety training or instruction required under Chapter VI of STCW 
(incorporated by reference, see Sec. 12.01-3).

[USCG-2006-24371, 74 FR 11255, Mar. 16, 2009]



Sec. Sec. 12.02-12-12.02-15  [Reserved]



Sec. 12.02-17  Examination procedures and denial of rating endorsements.

    (a) Upon application for a rating endorsement, any required 
examination will be given as soon as practicable.
    (b) An applicant for a rating endorsement who has been duly examined 
and refused a certificate by the Coast Guard may come before the Coast 
Guard for reexamination at any time after the date of the initial 
examination. The Coast Guard sets the time of reexamination based on the 
applicant's performance on the initial examination. However, the maximum 
waiting period after the initial failure will be 30 days, and the 
maximum waiting period after a second or subsequent failure will be 90 
days.
    (c) An applicant who has been examined and refused a certificate by 
the Coast Guard may not again make application for examination until 30 
days after the applicant's last failure of an examination or 
reexamination.

[USCG-2006-24371, 74 FR 11255, Mar. 16, 2009]



Sec. Sec. 12.02-18-12.02-29  [Reserved]



              Subpart 12.03_Approved and Accepted Training



Sec. 12.03-1  Coast Guard-accepted training other than approved courses.

    (a) When the training and assessment of competence required by parts 
10 or 12 of this subchapter are not subject to approval under Sec. 
11.302 of this chapter, but are used to qualify an applicant to hold an 
STCW or rating endorsement, the training and assessment must meet the 
following requirements:
    (1) The training and assessment must have written, clearly defined 
objectives that emphasize specific knowledge, skills, and abilities, and 
that include criteria to be used in establishing a student's successful 
achievement of the training objectives.
    (2) The training must be set out in a written syllabus that conforms 
to a Coast Guard-accepted outline for such training and includes--
    (i) The sequence of subjects to be covered;
    (ii) The number of hours to be devoted to instruction in relevant 
areas of knowledge;
    (iii) The identity and professional qualifications of the 
instructor(s) to be conducting the training or providing instruction;
    (iv) The identity of other media or facilities to be used in 
conducting the training; and
    (v) Measurements at appropriate intervals of each candidate's 
progress toward acquisition of the specific knowledge, skills, and 
abilities stated in the training objectives.
    (3) Except as provided in paragraph (a)(4) of this section, 
documentary evidence must be readily available to establish that all 
instructors--
    (i) Have experience, training, or instruction in effective 
instructional techniques;
    (ii) Are qualified in the task for which the training is being 
conducted; and
    (iii) Hold the level of Coast Guard credential or other professional 
credential required of those who would apply, on board a vessel, the 
relevant level of knowledge, skills, and abilities described in the 
training objectives.
    (4) Neither a specialist in a particular field of non-maritime 
education, such as mathematics or first aid, nor a person with at least 
3 years of service as a member of the Armed Forces of the United States, 
specializing in a particular field, need hold a Coast Guard credential 
to conduct training in that field.
    (5) A simulator may be used in training if--
    (i) The simulator meets applicable performance standards;

[[Page 196]]

    (ii) The instructor has gained practical operational experience on 
the particular type of simulator being used; and
    (iii) The instructor has received appropriate guidance in 
instructional techniques involving the use of simulators.
    (6) Essential equipment and instructional materials must afford each 
student adequate opportunity to participate in exercises and acquire 
practice in performing required skills.
    (7) A process for routinely assessing the effectiveness of the 
instructors, including the use of confidential evaluations by students, 
is in place.
    (8) Documentary evidence is readily available to establish that any 
evaluation of whether a student is competent in accordance with 
standards, methods, and criteria set out in part A of the STCW Code 
(incorporated by reference in Sec. 12.01-3) is conducted by a 
designated examiner who has experience, training, or instruction in 
assessment techniques.
    (9) Records of the student's performance are maintained for at least 
1 year by the offeror of the training and assessment.
    (10) To ensure that the training is meeting its objectives, and the 
requirements of paragraphs (a) (1) through (9) of this section, its 
offeror must either--
    (i) Be regulated as a maritime academy or marine academy pursuant to 
46 CFR part 310; or
    (ii) Monitor it in accordance with a Coast Guard-accepted QSS, which 
must include the following features:
    (A) The training must be provisionally certified, on the basis of an 
initial independent evaluation conducted under a Coast Guard-accepted 
QSS, as being capable of meeting its stated objective.
    (B) The training must be periodically monitored in accordance with 
the schedule stipulated under the Coast Guard-accepted quality-standards 
system.
    (C) Each person conducting the initial evaluation or the subsequent 
periodic monitoring of the training shall be knowledgeable about the 
subjects being evaluated or monitored and about the national and 
international requirements that apply to the training, and shall not 
himself or herself be involved in the training and assessment of 
students.
    (D) Each person evaluating or monitoring the training shall enjoy 
convenient access to all appropriate documents and facilities, and 
opportunities both to observe all appropriate activities and to conduct 
confidential interviews when necessary.
    (E) Arrangements must be such as to ensure that no person evaluating 
or monitoring the training is penalized or rewarded, directly or 
indirectly, by the sponsor of the training for making any particular 
observations or for reaching any particular conclusions.
    (11) Each person conducting the initial evaluation under paragraph 
(a)(10)(ii)(A) of this section or the periodic monitoring of the 
training under paragraph (a)(10)(ii)(B) of this section shall 
communicate his or her conclusions to the Commanding Officer, National 
Maritime Center, NMC-2, 100 Forbes Drive, Martinsburg, West Virginia 
25404, within 1 month of the completion or the evaluation of the 
monitoring.
    (12) Each offeror of the training shall let the Coast Guard or 
someone authorized by the Coast Guard observe the records of a student's 
performance and records otherwise relating to paragraphs (a) (1) through 
(10) of this section.
    (b) The Coast Guard will maintain a list of training each of whose 
offerors submits a certificate, initially not less than 45 calendar days 
before offering training under this section, and annually thereafter, 
signed by the offeror or its authorized representative, stating that the 
training fully complies with requirements of this section, and 
identifying the Coast Guard-accepted QSS being used for independent 
monitoring. Training on this list will offer the training necessary for 
both officer 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 the particular training does not satisfy

[[Page 197]]

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 National Maritime Center 
(NMC) or bring the training into compliance; and
    (3) If the appeal is denied--or the deficiency is not corrected in 
the allotted time, or within any additional period judged by the Coast 
Guard to be appropriate, considering progress towards compliance--the 
Coast Guard will remove the training from the list maintained under 
paragraph (b) of this section until it can verify full compliance; and 
it may deny applications for licenses for STCW endorsement based in 
whole or in part on training not on the list, until additional training 
or assessment is documented.

[CGD 95-062, 62 FR 34536, June 26, 1997, as amended by USCG-1998-4442, 
63 FR 52189, Sept. 30, 1998; USCG-1999-5610, 67 FR 66068, Oct. 30, 2002; 
USCG-2004-18884, 69 FR 58343, Sept. 30, 2004; USCG-2008-0906, 73 FR 
56508, Sept. 29, 2008; USCG-2006-24371, 74 FR 11256, Mar. 16, 2009]



                        Subpart 12.05_Able Seamen



Sec. 12.05-1  Certification required.

    (a) Every person serving under the authority of a rating endorsement 
as able seaman on any United States vessel requiring certificated able 
seamen, before signing articles of agreement, shall present to the 
master, his or her certificate as able seaman (issued in the form of an 
MMC or MMD endorsement).
    (b) No MMD or MMC endorsed as able seaman is required of any person 
employed on any tug or towboat on the bays and sounds connected directly 
with the seas, or on any unrigged vessel except seagoing barges or tank 
barges.
    (c) The following categories of able seaman are established:
    (1) Able Seaman--Any Waters, Unlimited.
    (2) Able Seaman--Limited.
    (3) Able Seaman--Special.
    (4) Able Seaman--Special (OSV).

[CGD 80-131, 45 FR 69240, Oct. 20, 1980, as amended by USCG-2006-24371, 
74 FR 11256, Mar. 16, 2009]



Sec. 12.05-3  General requirements.

    (a) To qualify for an endorsement as able seaman an applicant must:
    (1) Be at least 18 years of age;
    (2) Pass the prescribed physical and medical examination in Sec. 
10.215 of this subchapter;
    (3) Meet the sea service or training requirements set forth in this 
part;
    (4) Pass an examination demonstrating ability as an able seaman and 
lifeboatman; and,
    (5) Speak and understand the English language as would be required 
in performing the general duties of able seaman and during an emergency 
aboard ship.
    (b) An STCW endorsement, will be issued or renewed only when the 
candidate for certification as an able seaman also produces satisfactory 
evidence, on the basis of assessment of a practical demonstration of 
skills and abilities, of having achieved or maintained within the 
previous 5 years the minimum standards of competence for the following 4 
areas of basic safety:
    (1) Personal survival techniques as set out in table A-VI/1-1 of the 
STCW Code (incorporated by reference in Sec. 12.01-3).
    (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code.
    (c) An STCW endorsement as rating forming part of the navigational 
watch will be issued or renewed when the candidate for an endorsement 
meets the requirements of STCW Regulation II/4 and of Section A-II/4 of 
the STCW Code (incorporated by reference, see Sec. 12.01-3).

[CGD 80-131, 45 FR 69240, Oct. 20, 1980, as amended by CGD 95-062, 62 FR 
34537, June 26, 1997; CGD 95-062, 62 FR 40140, July 25, 1997; USCG-1999-
5610, 67 FR 66068, Oct. 30, 2002; USCG-2006-24371, 74 FR 11256, Mar. 16, 
2009]

[[Page 198]]



Sec. 12.05-5  [Reserved]



Sec. 12.05-7  Service or training requirements.

    (a) The minimum service required to qualify an applicant for the 
various categories of endorsement as able seaman are listed in this 
paragraph.
    (1) Able Seaman--Any Waters, Unlimited. Three years service on deck 
on vessels operating on the oceans or the Great Lakes.
    (2) Able Seaman--Limited. Eighteen months service on deck in vessels 
of 100 gross tons or over which operate in a service not exclusively 
confined to the rivers and smaller inland lakes of the United States.
    (3) Able Seaman--Special. Twelve months service on deck on vessels 
operating on the oceans, or the navigable waters of the United States 
including the Great Lakes.
    (4) Able Seaman--Special (OSV). Six months service on deck on 
vessels operating on the oceans, or the navigable waters of the United 
States including the Great Lakes.
    (5) After July 31, 1998, to receive an STCW endorsement for service 
as a ``rating forming part of a navigational watch'' on a seagoing ship 
of 500 GT or more, the applicant's seagoing service must include 
training and experience associated with navigational watchkeeping and 
involve the performance of duties carried out under the direct 
supervision of the master, the officer in charge of the navigational 
watch, or a qualified rating forming part of a navigational watch. The 
training and experience must be sufficient to establish that the 
candidate has achieved the standard of competence prescribed in table A-
II/4 of the STCW Code (incorporated by reference in Sec. 12.01-3), in 
accordance with the methods of demonstrating competence and the criteria 
for evaluating competence specified in that table.

    Note: Employment considerations for the various categories of able 
seaman are contained in Sec. 157.20-15 of this chapter.

    (b) Training programs approved by the National Maritime Center, may 
be substituted for the required periods of service on deck as follows:
    (1) A graduate of a school ship may be rated as able seaman upon 
satisfactory completion of the course of instruction. For this purpose, 
school ship is interpreted to mean an institution which offers a 
complete course of instruction, including a period of at sea training, 
in the skills appropriate to the rating of able seaman.
    (2) Training programs, other than those classified as a school ship, 
may be substituted for up to one third of the required service on deck. 
The service/training ratio for each program is determined by the 
Commanding Officer, National Maritime Center, who may allow a maximum of 
three days on deck service credit for each day of instruction.

[CGD 80-131, 45 FR 69240, Oct. 20, 1980, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-062, 62 FR 34537, June 26, 1997; CGD 95-
062, 62 FR 40140, July 25, 1997; USCG-1998-4442, 63 FR 52189, Sept. 30, 
1998; USCG-1999-5610, 67 FR 66068, Oct. 30, 2002; USCG-2006-24371, 74 FR 
11256, Mar. 16, 2009]



Sec. 12.05-9  Examination and demonstration of ability.

    (a) Before an applicant is issued an endorsement as an able seaman, 
he or she shall prove to the satisfaction of the Coast Guard by oral or 
other means of examination, and by actual demonstration, his or her 
knowledge of seamanship and the ability to carry out effectively all the 
duties that may be required of an able seaman, including those of a 
lifeboatman. The applicant shall demonstrate that he or she:
    (1) Has been trained in all the operations connected with the 
launching of lifeboats and liferafts, and in the use of oars;
    (2) Is acquainted with the practical handling of boats; and
    (3) Is capable of taking command of the boat's crew.
    (b) The examination, whether administered orally or by other means, 
must be conducted only in the English language and must consist of 
questions regarding:
    (1) Lifeboats and liferafts, the names of their essential parts, and 
a description of the required equipment;
    (2) The clearing away, swinging out, and lowering of lifeboats and 
liferafts, and handling of lifeboats under oars

[[Page 199]]

and sails, including questions relative to the proper handling of a boat 
in a heavy sea;
    (3) The operation and functions of commonly used types of davits;
    (4) The applicant's knowledge of nautical terms; boxing the compass, 
either by degrees or points according to his experience; running lights, 
passing signals, and fog signals for vessels on the high seas, in inland 
waters, or on the Great Lakes depending upon the waters on which the 
applicant has had service; and distress signals; and,
    (5) The applicant's knowledge of commands in handling the wheel by 
obeying orders passed to him as wheelsman, and knowledge of the use of 
engineroom telegraph or bell-pull signals.
    (c) In the actual demonstration, the applicant shall show his 
ability by taking command of a boat and directing the operation of 
clearing away, swinging out, lowering the boat into the water, and 
acting as coxswain in charge of the boat under oars. He shall 
demonstrate his ability to row by actually pulling an oar in the boat. 
He shall also demonstrate knowledge of the principal knots, bends, 
splices, and hitches in common use by actually making them.
    (d) The applicant must demonstrate to the satisfaction of the 
Officer in Charge, Marine Inspection, his knowledge of pollution laws 
and regulations, procedures for discharge containment and cleanup, and 
methods for disposal of sludge and waste material from cargo and fueling 
operations.
    (e) Any person who holds a valid MMC or MMD endorsed as able seaman, 
any waters-12 months and who can produce documentary evidence of 
sufficient service to qualify for an endorsement as able seaman, any 
waters-unlimited, may be issued a new MMC bearing this endorsement 
without additional professional examination. The applicant shall 
surrender for cancellation the credential bearing the limited 
endorsement. No physical examination will be required at the time of 
this exchange unless it is found that the applicant obviously suffers 
from some physical or mental infirmity to a degree that in the opinion 
of the Officer in Charge, Marine Inspection, would render him 
incompetent to perform the usual duties of an able seaman at sea. If 
such condition is believed to exist, the applicant shall be required to 
undergo an examination to determine his competency as set forth in Sec. 
10.215 of this chapter.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 71-161R, 37 
FR 28263, Dec. 21, 1972; CGD 94-029, 61 FR 47064, Sept. 6, 1996; USCG-
2002-13058, 67 FR 61278, Sept. 30, 2002; USCG-2004-18884, 69 FR 58343, 
Sept. 30, 2004; USCG-2006-24371, 74 FR 11256, Mar. 16, 2009]



Sec. 12.05-11  General provisions respecting merchant mariner's document
endorsed for service as able seamen.

    (a) The holder of an MMC or MMD endorsed for the rating of able 
seamen may serve in any rating in the deck department without obtaining 
an additional endorsement; provided, however, that the holder shall hold 
the appropriate endorsement under the STCW (incorporated by reference, 
see Sec. 12.01-3) when serving as a rating forming part of a 
navigational watch (RFPNW) on a seagoing ship of 500 GT or more.
    (b) An MMC or MMD endorsed as able seaman will also be considered an 
endorsement as lifeboatman.
    (c) This type of document will describe clearly the type of able 
seaman certificate which it represents, e.g.: able seaman--any waters; 
able seaman--any waters, 12 months; able seaman--Great Lakes, 18 months; 
able seaman--on freight vessels, 500 gross tons or less on bays or 
sounds, and on tugs, towboats, and barges on any waters.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-062, 62 FR 
34537, June 26, 1997; USCG-1999-5610, 67 FR 66068, Oct. 30, 2002; USCG-
2006-24371, 74 FR 11256, Mar. 16, 2009]

Subpart 12.07 [Reserved]



                        Subpart 12.10_Lifeboatman



Sec. 12.10-1  Credentials required.

    Every person serving under the authority of a rating endorsement as 
lifeboatman on any United States vessel requiring lifeboatmen must 
produce an MMC or MMD endorsed as lifeboatman or able seaman to the

[[Page 200]]

United States Customs and Border Protection Port Director or his or her 
representative or master before signing articles of agreement. No 
endorsement as lifeboatman is required of any person employed on any 
unrigged vessel, except on a seagoing barge and on a tank barge 
navigating waters other than rivers and/or canals.

[USCG-2006-24371, 74 FR 11256, Mar. 16, 2009]



Sec. 12.10-3  General requirements.

    (a) An applicant to be eligible for an endorsement as lifeboatman 
must meet one of the following requirements:
    (1) At least 1 year's sea service in the deck department, or at 
least 2 years' sea service in the other departments of ocean, coastwise, 
Great Lakes, and other lakes, bays, or sounds vessels.
    (2) Graduation from a schoolship approved by and conducted under 
rules prescribed by the National Maritime Center.
    (3) Satisfactory completion of basic training by a Cadet of the 
United States Merchant Marine Cadet Corps.
    (4) Satisfactory completion of 3 years' training at the U.S. Naval 
Academy or the U.S. Coast Guard Academy including two training cruises.
    (5) Satisfactory completion of a course of training approved by the 
National Maritime Center, or service aboard a training vessel.
    (6) Successful completion of a training course, approved by the 
National Maritime Center, such course to include a minimum of 30 hours' 
actual lifeboat training; provided, however, that the applicant produces 
satisfactory evidence of having served a minimum of 6 months at sea 
board ocean or coastwise vessels.
    (b) An applicant, to be eligible for an endorsement as lifeboatman, 
shall be able to speak and understand the English language as would be 
required in the rating of lifeboatman and in an emergency aboard ship.
    (c) An applicant shall be 18 years old to be eligible for an 
endorsement as proficient in survival craft under STCW Regulation VI/2 
(incorporated by reference in Sec. 12.01-3).

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-062, 62 FR 34537, June 26, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-1999-5610, 67 FR 66068, 
Oct. 30, 2002; USCG-2004-18884, 69 FR 58343, Sept. 30, 2004; USCG-2006-
24371, 74 FR 11256, Mar. 16, 2009]



Sec. 12.10-5  Examination and demonstration of ability.

    (a) Before an applicant is issued an endorsement as a lifeboatman, 
he or she shall prove to the satisfaction of the Coast Guard by oral or 
other means of examination, and by actual demonstration, his or her 
knowledge of seamanship and the ability to carry out effectively all the 
duties that may be required of a lifeboatman. The applicant shall 
demonstrate that he or she:
    (1) Has been trained in all the operations connected with the 
launching of lifeboats and liferafts, and in the use of oars;
    (2) Is acquainted with the practical handling of boats; and
    (3) Is capable of taking command of the boat's crew.
    (b) The examination, whether administered orally or by other means, 
must be conducted only in the English language and must consist of 
questions regarding:
    (1) Lifeboats and liferafts, the names of their essential parts, and 
a description of the required equipment;
    (2) The clearing away, swinging out, and lowering of lifeboats and 
liferafts, the handling of lifeboats under oars and sails, including 
questions relative to the proper handling of a boat in a heavy sea; and,
    (3) The operation and functions of commonly used types of davits.
    (c) The practical examination shall consist of a demonstration of 
the applicant's ability to carry out the orders incident to launching 
lifeboats, and the use of the boat's sail, and to row.
    (d) Each applicant for a lifeboatman's endorsement with an STCW 
endorsement for proficiency in survival craft and rescue boats shall be 
not less than 18 years old and shall produce satisfactory evidence that 
he or she meets the requirements of STCW Regulation VI/2 (incorporated 
by reference in Sec. 12.01-3), paragraph 1, and the

[[Page 201]]

appropriate provisions of Section A-VI/2 of the STCW Code (also 
incorporated by reference in Sec. 12.01-3).

[CGFR 60-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 71-161R, 37 
FR 28263, Dec. 21, 1972; CGD 94-029, 61 FR 47064, Sept. 6, 1996; CGD 95-
062, 62 FR 34537, June 26, 1997; USCG-1999-5610, 67 FR 66068, Oct. 30, 
2002; USCG-2006-24371, 74 FR 11257, Mar. 16, 2009]



Sec. 12.10-7  General provisions respecting an MMC or MMD endorsed
as lifeboatman.

    An MMC or MMD endorsed as able seaman is the equivalent of an 
endorsement as lifeboatman and will be accepted wherever a lifeboatman 
is required by law; provided, however, that, when an able seaman has to 
be endorsed as either proficient in survival craft and rescue boats or 
proficient in fast rescue boats, he or she shall hold an endorsement 
under the STCW (incorporated by reference, see Sec. 12.01-3).

[USCG-2006-24371, 74 FR 11257, Mar. 16, 2009]



Sec. 12.10-9  Endorsement for proficiency in fast rescue boats.

    (a) Each person engaged or employed as a lifeboatman proficient in 
fast rescue boats must hold an appropriately endorsed MMC or MMD.
    (b) To be eligible for an MMC endorsed for proficiency in fast 
rescue boats, an applicant must:
    (1) Be qualified as a lifeboatman with proficiency in survival craft 
and fast rescue boats under this subpart; and
    (2) Furnish satisfactory proof that he or she has met the 
requirements for training and competence of STCW Regulation, VI/2 
paragraph 2, and the appropriate requirements of Section A-VI/2 of the 
STCW Code (incorporated by reference in Sec. 12.01-3).

[CGD 95-062, 62 FR 34537, June 26, 1997, as amended by USCG-1999-5610, 
67 FR 66069, Oct. 30, 2002; USCG-2004-18884, 69 FR 58343, Sept. 30, 
2004; USCG-2006-24371, 74 FR 11257, Mar. 16, 2009]



 Subpart 12.13_Persons Designated To Provide Medical Care on Board Ship

    Source: CGD 95-062, 62 FR 34537, June 26, 1997, unless otherwise 
noted.



Sec. 12.13-1  Documentary evidence required.

    Each person designated to provide medical first aid on board ship, 
or to take charge of medical care on board ship, shall hold documentary 
evidence attesting that the person has attended a course of training in 
medical first aid or medical care, as appropriate.

[CGD 95-062, 62 FR 34537, June 26, 1997, as amended by USCG-2004-18884, 
69 FR 58343, Sept. 30, 2004]



Sec. 12.13-3  Basis of documentary evidence.

    The Officer in Charge, Marine Inspection will issue such documentary 
evidence to the person, or endorse his or her MMC, on being satisfied 
that the training required under section 12.13-1 of this section 
establishes that he or she meets the standards of competence set out in 
STCW Regulation VI/4 and Section A-VI/4 of the STCW Code.

[CGD 95-062, 62 FR 34537, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11257, Mar. 16, 2009]



         Subpart 12.15_Qualified Member of the Engine Department



Sec. 12.15-1  Credentials required.

    (a) Every person serving under the authority of a rating endorsement 
as qualified member of the engine department on any United States vessel 
requiring qualified members of the engine department shall produce an 
endorsement as qualified member of the engine department to the United 
States Customs and Border Protection Port Director or his or her 
representative or master before signing articles of agreement.
    (b) No endorsement as qualified member of the engine department is 
required of any person employed on any unrigged vessel, except seagoing 
barges.

[USCG-2006-24371, 74 FR 11257, Mar. 16, 2009]



Sec. 12.15-3  General requirements.

    (a) A qualified member of the engine department is any person below 
officer and above the rating of coal passer or

[[Page 202]]

wiper, who holds an MMC or MMD endorsed as qualified member of the 
engine department issued by the Coast Guard.
    (b) For purposes of administering this part the rating of assistant 
electrician is considered a rating equal to coal passer or wiper.
    (c) An applicant, to be eligible for an endorsement as qualified 
member of the engine department, shall be able to speak and understand 
the English language as would be required in the rating of qualified 
member of the engine department and in an emergency aboard ship.
    (d) An STCW endorsement will be issued or renewed only when the 
candidate for endorsement as a qualified member of the engine department 
also produces satisfactory evidence, on the basis of assessment of a 
practical demonstration of skills and abilities, of having achieved or 
maintained within the previous 5 years the minimum standards of 
competence for the following 4 areas of basic safety:
    (1) Personal survival techniques as set out in table A-VI/1-1 of the 
STCW Code (incorporated by reference in Sec. 12.01-3).
    (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code.
    (e) An STCW endorsement will be issued or renewed only when the 
candidate for endorsement as a qualified member of the engine department 
meets the standards of competence set out in STCW Regulation III/4 and 
Section A-III/4 of the STCW Code (incorporated by reference, see Sec. 
12.01-3), if the candidate will be serving as a rating forming part of a 
watch in a manned engine-room, or designated to perform duties in a 
periodically unmanned engine-room, on a seagoing ship driven by main 
propulsion machinery of 750 kW [1,000 hp] propulsion power or more.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95-062, 62 FR 
34538, June 26, 1997; USCG-2000-7790, 65 FR 58458, Sept. 29, 2000; USCG-
1999-5610, 67 FR 66069, Oct. 30, 2002; USCG-2006-24371, 74 FR 11257, 
Mar. 16, 2009]



Sec. 12.15-5  Physical and medical requirements.

    The physical and medical requirements for an endorsement as QMED are 
found in Sec. 10.215 of this chapter.

[USCG-2006-24371, 74 FR 11257, Mar. 16, 2009]



Sec. 12.15-7  Service or training requirements.

    (a) An applicant for an endorsement as qualified member of the 
engine department shall furnish the Coast Guard proof of qualification 
based on six months' service in a rating at least equal to that of wiper 
or coal passer.
    (b) Training programs approved by the Commanding Officer, National 
Maritime Center, may be substituted for the required service at sea in 
accordance with the following:
    (1) A graduate of a school ship may qualify for a rating endorsement 
as qualified member of the engine department upon satisfactory 
completion of the course of instruction. For this purpose, school ship 
is interpreted to mean an institution which offers a complete course of 
instruction, including a period of sea training, in the skills 
appropriate to the rating of qualified member of the engine department.
    (2) Training programs other than those classified as a school ship 
may be substituted for up to one-half of the required service at sea.
    (c) To qualify to receive an STCW endorsement for service as a 
``rating forming part of a watch in a manned engine-room or designated 
to perform duties in a periodically unmanned engine-room'' on a seagoing 
vessel driven by main propulsion machinery 750 kW [1,000 hp] propulsion 
power or more, an applicant shall prove seagoing service that includes 
training and experience associated with engine-room watchkeeping and 
involves the performance of duties carried out under

[[Page 203]]

the direct supervision of a qualified engineer officer or a member of a 
qualified rating in the engine department. The training must establish 
that the applicant has achieved the standard of competence prescribed in 
table A-III/4 of the STCW Code (incorporated by reference in Sec. 
12.01-3), in accordance with the methods of demonstrating competence and 
the criteria for evaluating competence specified in that table.

[CGD 80-131, 45 FR 69241, Oct. 20, 1980, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-062, 62 FR 34538, June 26, 1997; CGD 95-
062, 62 FR 40140, July 25, 1997; USCG-1998-4442, 63 FR 52189, Sept. 30, 
1998; USCG-1999-5610, 67 FR 66069, Oct. 30, 2002; USCG-2006-24371, 74 FR 
11257, Mar. 16, 2009]



Sec. 12.15-9  Examination requirements.

    (a) Each applicant for endorsement as a qualified member of the 
engine department in the rating of oiler, watertender, fireman, deck 
engineer, refrigeration engineer, junior engineer, electrician, or 
machinist shall be examined orally or by other means and only in the 
English language on the subjects listed in paragraph (b) of this 
section. The applicant's general knowledge of the subjects must be 
sufficient to satisfy the examiner that he is qualified to perform the 
duties of the rating for which he makes application.
    (b) List of subjects required:

----------------------------------------------------------------------------------------------------------------
                                             Refrigerating    Fireman/                         Junior     Deck
            Subjects              Machinist     engineer    Watertender   Oiler  Electrician  engineer  engineer
----------------------------------------------------------------------------------------------------------------
1. Application, maintenance, and         X            X             X         X          X          X         X
 use of hand tools and measuring
 instruments....................
2. Uses of babbitt, copper,              X            X             X         X          X          X         X
 brass, steel, and other metals.
3. Methods of measuring pipe,            X            X             X         X          X          X         X
 pipe fittings, sheet metal,
 machine bolts and nuts,
 packing, etc...................
4. Operation and maintenance of          X   .............          X         X          X          X         X
 mechanical remote control
 equipment......................
5. Precautions to be taken for           X            X             X         X          X          X         X
 the prevention of fire and the
 proper use of firefighting
 equipment......................
6. Principles of mechanical       .........           X     ...........       X  ...........        X   ........
 refrigeration; and functions,
 operation, and maintenance of
 various machines and parts of
 the systems....................
7. Knowledge of piping systems    .........           X     ...........  ......  ...........        X   ........
 as used in ammonia, freon, and
 CO2, including testing for
 leaks, operation of bypasses,
 and making up of joints........
8. Safety precautions to be              X            X             X         X          X          X         X
 observed in the operation of
 various refrigerating systems,
 including storage of
 refrigerants, and the use of
 gas masks and firefighting
 equipment......................
9. Combustion of fuels, proper    .........  .............          X         X  ...........        X   ........
 temperature, pressures, and
 atomization....................
10. Operation of the fuel oil     .........  .............          X         X  ...........        X         X
 system on oil burning boilers,
 including the transfer and
 storage of fuel oil............
11. Hazards involved and the             X            X             X         X          X          X   ........
 precautions taken against
 accumulation of oil in
 furnaces, bilges, floorplates,
 and tank tops; flarebacks,
 leaks in fuel oil heaters,
 clogged strainers and burner
 tips...........................
12. Precautions necessary when    .........  .............          X         X  ...........        X   ........
 filling empty boilers, starting
 up the fuel oil burning system,
 and raising steam from a cold
 boiler.........................
13. The function, operation, and         X            X             X         X          X          X   ........
 maintenance of the various
 engineroom auxiliaries.........
14. Proper operation of the              X            X             X         X          X          X         X
 various types of lubricating
 systems........................
15. Safety precautions to be             X            X             X         X          X          X         X
 observed in connection with the
 operation of engineroom
 auxiliaries, electrical
 machinery, and switchboard
 equipment......................
16. The function, operation, and         X            X             X         X  ...........        X         X
 maintenance of the bilge,
 ballast, fire, freshwater,
 sanitary, and lubricating
 systems........................
17. Proper care of spare machine         X            X             X         X          X          X         X
 parts and idle equipment.......
18. The procedure in preparing a  .........  .............          X         X  ...........        X   ........
 turbine, reciprocating, or
 Diesel engine for standby; also
 the procedure in securing......
19. Operation and maintenance of  .........  .............          X         X  ...........        X   ........
 the equipment necessary for the
 supply of water to boilers, the
 dangers of high and low water
 and remedial action............
20. Operation, location, and             X   .............          X         X  ...........        X   ........
 maintenance of the various
 boiler fittings and accessories

[[Page 204]]

 
21. The practical application     .........  .............  ...........  ......          X          X         X
 and solution of basic
 electrical calculations (Ohm's
 law, power formula, etc.)......
22. Electrical wiring circuits    .........  .............  ...........  ......          X          X         X
 of the various two-wire and
 three-wire D.C. systems and the
 various single-phase and
 polyphase A.C. systems.........
23. Application and               .........  .............  ...........  ......          X          X         X
 characteristics of parallel and
 series circuits................
24. Application and maintenance   .........  .............  ...........  ......          X          X         X
 of electrical meters and
 instruments....................
25. The maintenance and           .........  .............  ...........  ......          X          X         X
 installation of lighting and
 power wiring involving testing
 for, locating and correcting
 grounds, short circuits and
 open circuits, and making
 splices........................
26. The operation and             .........  .............  ...........  ......          X          X         X
 maintenance of the various
 types of generators and motors,
 both A.C. and D.C..............
27. Operation, installation, and  .........  .............  ...........  ......          X          X         X
 maintenance of the various
 types of electrical controls
 and safety devices.............
28. Testing and maintenance of    .........  .............  ...........  ......          X          X   ........
 special electrical equipment,
 such as telegraphs, telephones,
 alarm systems, fire-detecting
 systems, and rudder angle
 indicators.....................
29. Rules and Regulations and     .........  .............  ...........  ......          X          X         X
 requirements for installation,
 repair, and maintenance of
 electrical wiring and equipment
 installed aboard ships.........
29a. Pollution laws and                  X            X             X         X          X          X   ........
 regulations, procedures for
 discharge containment and
 cleanup, and methods for
 disposal of sludge and waste
 from cargo and fueling
 operations.....................
30. Such further examination of          X            X             X         X          X          X         X
 a nonmathematical character as
 the Officer in Charge, Marine
 Inspection, may consider
 necessary to establish the
 applicant's proficiency........
----------------------------------------------------------------------------------------------------------------

    (c) Each applicant for an endorsement as a qualified member of the 
engine department in the rating of pumpman shall, by oral or other 
examination, demonstrate sufficient knowledge of the subjects peculiar 
to that rating to satisfy the Officer in Charge, Marine Inspection, that 
he or she is qualified to perform the duties of that rating.
    (d) Applicants for an endorsement as qualified members of the engine 
department in the rating of deck engine mechanic or engineman, who have 
proved eligibility for such endorsement under either Sec. 12.15-13 or 
Sec. 12.15-15, will not be required to take a written or oral 
examination for such ratings.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGFR 66-46, 31 FR 
13649, Oct. 22, 1966; CGD 71-161R, 37 FR 28263, Dec. 21, 1972; CGD 74-
75, 42 FR 24741, May 16, 1977; CGD 94-029, 61 FR 47064, Sept. 6, 1996; 
USCG-2006-24371, 74 FR 11257, Mar. 16, 2009]



Sec. 12.15-11  General provisions respecting an endorsement as qualified
member of the engine department.

    The holder of an endorsement with one or more qualified members of 
the engine department ratings may serve in any unqualified rating in the 
engine department without obtaining an additional endorsement. This does 
not mean that an endorsement of one qualified member of the engine 
department rating authorizes the holder to serve in all qualified member 
of the engine department ratings. Each qualified member of the engine 
department rating must be a separate endorsement. When, however, the 
applicant qualifies for all ratings covered by an endorsement as a QMED, 
the endorsement may read QMED--any rating. The ratings are as follows:

    (a) Refrigerating engineer.
    (b) Oiler.
    (c) Deck engineer.
    (d) Fireman/Watertender.
    (e) Junior engineer.
    (f) Electrician.
    (g) Machinist.
    (h) Pumpman.
    (i) Deck engine mechanic.
    (j) Engineman.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by CGFR 66-46, 31 FR 
13649, Oct. 22, 1966; CGD 74-45, 42 FR 24741, May 16, 1977; USCG-2006-
24371, 74 FR 11257, Mar. 16, 2009]

[[Page 205]]



Sec. 12.15-13  Deck engine mechanic.

    (a) An applicant for an endorsement as deck engine mechanic shall be 
a person holding an MMC or MMD endorsed as junior engineer. The 
applicant shall be eligible for such certification upon furnishing one 
of the following:
    (1) Satisfactory documentary evidence of sea service of 6 months in 
the rating of junior engineer on steam vessels of 4,000 horsepower or 
over; or,
    (2) Documentary evidence from an operator of an automated vessel 
that he has completed satisfactorily at least 4 weeks indoctrination and 
training in the engine department of an automated steam vessel of 4,000 
horsepower or over; or,
    (3) Satisfactory completion of a course of training for deck engine 
mechanic acceptable to the Commanding Officer, National Maritime Center.
    (b) The Officer in Charge, Marine Inspection, who is satisfied that 
an applicant for the rating of deck engine mechanic meets the 
requirements specified in this section, will endorse this rating on the 
current MMC held by the applicant.
    (c) Any holder of an MMC or MMD endorsed for any unlicensed rating 
in the engine department or QMED--any rating is qualified as a deck 
engine mechanic and that endorsement will not be entered on his or her 
credential.

[CGFR 66-46, 31 FR 13649, Oct. 22, 1966, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11258, 
Mar. 16, 2009]



Sec. 12.15-15  Engineman.

    (a) An applicant for an endorsement as engineman shall be a person 
holding an MMC or MMD document endorsed as fireman/watertender and 
oiler, or junior engineer. The applicant shall be eligible for such 
endorsement upon furnishing one of the following:
    (1) Satisfactory documentary evidence of sea service of 6 months in 
any one or combination of junior engineer, fireman/watertender or oiler 
on steam vessels of 4,000 horsepower or over; or,
    (2) Documentary evidence from an operator of a partially automated 
steam vessel that he has completed satisfactorily at least 2 weeks 
indoctrination and training in the engine department of a partially 
automated steam vessel of 4,000 horsepower or over; or
    (3) Satisfactory completion of a course of training for engineman 
acceptable to the Commanding Officer, National Maritime Center.
    (b) The Officer in Charge, Marine Inspection, who is satisfied that 
an applicant for the rating of engineman meets the requirements 
specified in this section, will endorse this rating on the applicant's 
MMC.
    (c) Any holder of an MMC or MMD endorsed for any rating in the 
engine department, QMED--any rating or deck engine mechanic is qualified 
as an engineman and that endorsement will not be entered on his or her 
credential.

[CGFR 66-46, 31 FR 13650, Oct. 22, 1966, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11258, 
Mar. 16, 2009]



Subpart 12.25_Certificates of Service for Ratings Other Than Able Seaman 
              or Qualified Member of the Engine Department



Sec. 12.25-1  Credentials required.

    Every person employed in a rating other than able seaman or 
qualified member of the engine department of U.S. merchant vessels 
requiring such persons shall produce an MMC or MMD with the appropriate 
endorsement to the master, or person in charge if appropriate, before 
signing a shipping articles agreement.

[CGD 95-028, 62 FR 51196, Sept. 30, 1997, as amended by USCG-2006-24371, 
74 FR 11258, Mar. 16, 2009]



Sec. 12.25-10  General requirements.

    (a) Rating endorsements shall be issued without professional 
examination to applicants in capacities other than able seaman, 
lifeboatman, tankerman, or QMED. For example, ordinary seaman, wiper, 
and steward's department (F.H.) endorsements do not require an exam. 
Holders of MMCs or MMDs endorsed as ordinary seaman may serve in any 
unqualified rating in the deck department. Holders of MMCs or MMDs 
endorsed as wiper may serve in any unqualified rating in the engine

[[Page 206]]

department. MMCs or MMDs endorsed as steward's department (F.H.) will 
authorize the holder's service in any capacity in the steward's 
department. (See Sec. 12.02-11(b) of this part for unqualified ratings 
in the staff department.)
    (b) When the holder of an endorsement is qualified as a food 
handler, the steward's department endorsement will be followed by the 
further endorsement (F.H.).

[USCG-2006-24371, 74 FR 11258, Mar. 16, 2009]



Sec. 12.25-20  Physical and medical requirements.

    The physical and medical requirements for this subpart are found in 
part 10 of this chapter.

[USCG-2006-24371, 74 FR 11258, Mar. 16, 2009]



Sec. 12.25-25  Members of Merchant Marine Cadet Corps.

    No ratings other than cadet (deck) or cadet (engine), as 
appropriate, and lifeboatman will be shown on an MMC issued to a member 
of the U.S. Merchant Marine Cadet Corps. The MMC will also indicate that 
it is valid only while the holder is a cadet in the U.S. Maritime 
Administration training program. The MMC must be surrendered upon the 
holder being endorsed in any other rating or upon being issued an 
officer's endorsement and the rating of cadet (deck) or cadet (engine) 
will be omitted.

[USCG-2006-24371, 74 FR 11258, Mar. 16, 2009]



Sec. 12.25-30  Student observers.

    Students in technical schools who are enrolled in courses in marine 
management and ship operations who present a letter or other documentary 
evidence that they are so enrolled shall be issued a MMC endorsed as 
student observers--any department and may be signed on ships as such. 
Students holding these endorsements will not take the place of any of 
the crew, or fill any of the regular ratings.

[CGFR 65-50, 30 FR 16640, Dec. 30, 1965, as amended by USCG-2006-24371, 
74 FR 11258, Mar. 16, 2009]



Sec. 12.25-35  Apprentice engineers.

    (a) Persons enrolled in an apprentice engineer training program 
approved by the Commanding Officer, National Maritime Center, and who 
present a letter or other documentary evidence that they are so enrolled 
may be issued an endorsement as apprentice engineer and may be signed on 
ships as such. The endorsement apprentice engineer may be in addition to 
other endorsements. However, this endorsement of apprentice engineer 
does not authorize the holder to fill any of the regular ratings.
    (b) Persons holding the endorsement apprentice engineer shall be 
deemed to be seamen.

[CGFR 66-69, 31 FR 15669, Dec. 13, 1966, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-
1998-4442, 63 FR 52189, Sept. 30, 1998; USCG-2006-24371, 74 FR 11258, 
Mar. 16, 2009]



Sec. 12.25-40  Apprentice mate.

    A person enrolled in an apprentice mate training program approved by 
the Commanding Officer, National Maritime Center who presents a letter 
or other documentary evidence that he is so enrolled may be issued an 
endorsement as apprentice mate and may be signed on ships as apprentice 
mate. The endorsement apprentice mate may be in addition to other 
endorsements. However, this endorsement as apprentice mate does not 
authorize the holder to fill any of the regular ratings.

[CGD 74-226, 40 FR 33976, Aug. 13, 1975, as amended by CGD 95-072, 60 FR 
50460, Sept. 29, 1995; USCG-1998-4442, 63 FR 52189, Sept. 30, 1998; 
USCG-2006-24371, 74 FR 11258, Mar. 16, 2009]



Sec. 12.25-45  GMDSS At-sea Maintainer.

    An applicant is eligible to have his or her STCW endorsement include 
a statement of qualification as GMDSS At-sea Maintainer if he or she 
holds sufficient evidence of having completed a training program that 
covers at least the scope and content of training outlined in Section B-
IV/2 of the STCW Code (incorporated by reference in Sec. 12.01-3) for

[[Page 207]]

training in maintenance of GMDSS installations on board vessels.

[CGD 95-062, 62 FR 34538, June 26, 1997, as amended by USCG-1999-5610, 
67 FR 66069, Oct. 30, 2002; USCG-2006-24371, 74 FR 11258, Mar. 16, 2009]



                   Subpart 12.30_Ro-Ro Passenger Ships

    Source: CGD 95-062, 62 FR 34538, June 26, 1997, unless otherwise 
noted.



Sec. 12.30-1  Purpose of regulations.

    The purpose of the regulations in this subpart is to establish 
requirements for endorsements for seamen serving on roll-on/roll-off 
(Ro-Ro) passenger ships.

[CGD 95-062, 62 FR 34538, June 26, 1997, as amended by CGD 97-057, 62 FR 
51042, Sept. 30, 1997; USCG-2006-24371, 74 FR 11258, Mar. 16, 2009]



Sec. 12.30-3  [Reserved]



Sec. 12.30-5  General requirements.

    To serve on a Ro-Ro passenger ship a person holding an endorsement 
and performing duties toward safety, cargo-handling, or care for 
passengers shall meet the appropriate requirements of STCW Regulation V/
2 and of Section A-V/2 of the STCW Code (incorporated by reference in 
Sec. 12.01-3), and hold documentary evidence to show his or her meeting 
these requirements.

[CGD 95-062, 62 FR 34538, June 26, 1997, as amended by USCG-1999-5610, 
67 FR 66069, Oct. 30, 2002; USCG-2006-24371, 74 FR 11258, Mar. 16, 2009]



   Subpart 12.35_Crewmembers on a Passenger Ship, Other Than a Ro-Ro 
             Passenger Ship, When on an International Voyage

    Source: USCG-1999-5610, 67 FR 66069, Oct. 30, 2002, unless otherwise 
noted.



Sec. 12.35-1  Purpose of rules.

    The rules in this subpart establish requirements for the 
qualification of seamen serving on passenger ships as defined in part 10 
of this chapter.

[USCG-1999-5610, 67 FR 66069, Oct. 30, 2002, as amended by USCG-2006-
24371, 74 FR 11257, Mar. 16, 2009]



Sec. 12.35-3  [Reserved]



Sec. 12.35-5  General requirements.

    A mariner with no endorsements, may serve on a passenger ship and 
perform duties that involve safety or care for passengers, only after 
meeting the following conditions--
    (a) Meet the appropriate requirements of the STCW Regulation V/3 and 
of section A-V/3 of the STCW Code (incorporated by reference in Sec. 
12.01-3); and
    (b) Hold documentary evidence to show that the mariner meets these 
requirements through approved or accepted training.

[USCG-1999-5610, 67 FR 66069, Oct. 30, 2002, as amended by USCG-2006-
24371, 74 FR 11257, Mar. 16, 2009]



 Subpart 12.40_-Non-resident Alien Unlicensed Members of the Steward's 
             Department on U.S. Flag Large Passenger Vessels

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301, 7302, 
7503, 7505, 7701 and 8103; Department of Homeland Security Delegation 
No. 0170.1.

    Source: USCG-2007-27761, 74 FR 47734, Sept. 17, 2009, unless 
otherwise noted.



Sec. 12.40-1  Purpose of rules.

    The rules in this subpart implement 46 U.S.C. 8103(k) by 
establishing requirements for the issuance of merchant mariner 
credentials, valid only for service in the steward's department of U.S. 
flag large passenger vessels, to non-resident aliens.



Sec. 12.40-3  [Reserved]



Sec. 12.40-5  General application requirements.

    (a) Unless otherwise expressly specified in this subpart, non-
resident alien applicants for Coast Guard-issued merchant mariner 
credentials are subject

[[Page 208]]

to all applicable requirements contained in this subchapter.
    (b) No application from a non-resident alien for a merchant mariner 
credential issued pursuant to this subpart will be accepted unless the 
applicant's employer satisfies all of the requirements of Sec. 12.40-7 
of this subpart.



Sec. 12.40-7  Employer requirements.

    (a) The employer must submit the following to the Coast Guard, as a 
part of the applicant's merchant mariner credential application, on 
behalf of the applicant:
    (1) A signed report that contains all material disciplinary actions 
related to the applicant, such as, but not limited to, violence or 
assault, theft, drug and alcohol policy violations, and sexual 
harassment, along with an explanation of the criteria used by the 
employer to determine the materiality of those actions;
    (2) A signed report regarding an employer-conducted background 
check. The report must contain:
    (i) A statement that the applicant has successfully undergone an 
employer-conducted background check;
    (ii) A description of the employer-conducted background check, 
including all databases and records searched. The background check must, 
at a minimum, show that the employer has reviewed all information 
reasonably and legally available to the owner or managing operator, 
including the review of available court and police records in the 
applicant's country of citizenship, and any other country in which the 
applicant has received employment referrals, or resided, for the past 20 
years prior to the date of application; and
    (iii) All information derived from the employer-conducted background 
check.
    (3) The employer-conducted background check must be conducted to the 
satisfaction of the Coast Guard for a merchant mariner credential to be 
issued to the applicant.
    (b) If a merchant mariner credential is issued to the applicant, the 
report and information required in paragraph (a)(2) of this section must 
be securely kept by the employer on the U.S. flag large passenger 
vessel, or U.S. flag large passenger vessels, on which the applicant is 
employed. The report and information must remain on the last U.S. flag 
large passenger vessel on which the applicant was employed until such 
time as the merchant mariner credential is returned to the Coast Guard 
in accordance with paragraph (d) of this section.
    (c) If a merchant mariner credential or a Transportation Worker 
Identification Credential (TWIC) is issued to the applicant, each 
merchant mariner credential and TWIC must be securely kept by the 
employer on the U.S. flag large passenger vessel on which the applicant 
is employed. The employer must maintain a detailed record of the 
seaman's total service on all authorized U.S. flag large passenger 
vessels, and must make that information available to the Coast Guard 
upon request, to demonstrate that the limitations of Sec. 12.40-13(c) 
of this subpart have not been exceeded.
    (d) In the event that the seaman's merchant mariner credential and/
or TWIC expires, the seaman's visa status terminates, the seaman serves 
onboard the U.S. flag large passenger vessel(s) for 36 months in the 
aggregate as a nonimmigrant crewman, the employer terminates employment 
of the seaman or if the seaman otherwise ceases working with the 
employer, the employer must return the merchant mariner credential to 
the Coast Guard and the TWIC to the Transportation Security 
Administration within 10 days of the event.
    (e) In addition to the initial material disciplinary actions report 
and the initial employer-conducted background check specified in 
paragraph (a) of this section, the employer must:
    (1) Submit an annual material disciplinary actions report to update 
whether there have been any material disciplinary actions related to the 
applicant since the last material disciplinary actions report was 
submitted to the Coast Guard.
    (i) The annual material disciplinary actions report must be 
submitted to the satisfaction of the Coast Guard in accordance with the 
same criteria set forth in paragraph (a)(1) of this section, except that 
the period of time examined for the material disciplinary actions report 
need only extend back to

[[Page 209]]

the date of the last material disciplinary actions report; and
    (ii) The annual material disciplinary actions report must be 
submitted to the Coast Guard on or before the anniversary of the 
issuance date of the merchant mariner credential.
    (2) Conduct a background check each year that the merchant mariner's 
document is valid to search for any changes that might have occurred 
since the last employer-conducted background check was performed:
    (i) The annual background check must be conducted to the 
satisfaction of the Coast Guard in accordance with the same criteria set 
forth in paragraph (a)(2) of this section, except that the period of 
time examined during the annual background check need only extend back 
to the date of the last background check; and
    (ii) All information derived from the annual background check must 
be submitted to the Coast Guard on or before the anniversary of the 
issuance date of the merchant mariner credential.
    (f) The employer is subject to the civil penalty provisions 
specified in 46 U.S.C. 8103(f) for any violation of this section.



Sec. 12.40-9  Basis for denial.

    In addition to the requirements for a merchant mariner credential 
established elsewhere in this subchapter, and the basis for denial 
established in Sec. Sec. 10.209, 10.211, and 10.213 of this subchapter, 
an applicant for a merchant mariner credential issued pursuant to this 
subpart must:
    (a) Have been employed, for a period of at least one year, on a 
foreign flag passenger vessel(s) that is/are under the same common 
ownership or control as the U.S. flag large passenger vessel(s) on which 
the applicant will be employed upon issuance of a merchant mariner 
credential under this subpart.
    (b) Have no record of material disciplinary actions during the 
employment required under paragraph (a) of this section, as verified in 
writing by the owner or managing operator of the U.S. flag large 
passenger vessel(s), on which the applicant will be employed.
    (c) Have successfully completed an employer-conducted background 
check, to the satisfaction of both the employer and the Coast Guard.
    (d) Meet the citizenship and identity requirements of Sec. 12.40-11 
of this subpart.



Sec. 12.40-11  Citizenship and identity.

    (a) In lieu of the requirements of Sec. 10.221 of this subchapter, 
a non-resident alien may apply for a Coast Guard-issued merchant mariner 
credential, endorsed and valid only for service in the steward's 
department of a U.S. flag large passenger vessel as defined in this 
subpart, if he or she is authorized for employment under the immigration 
laws of the United States, including an alien crewman described in 
section 101(a)(15)(D)(i) of that Act.
    (b) To meet the citizenship and identity requirements of this 
subpart, an applicant must present an unexpired passport issued by the 
government of the country of which the applicant is a citizen or 
subject; and either a valid U.S. C-1 or D visa or other valid evidence 
of employment authorization in the United States deemed acceptable by 
the Coast Guard.
    (c) Any non-resident alien applying for a merchant mariner 
credential under this subpart may not be a citizen of, or a temporary or 
permanent resident of, a country designated by the Department of State 
as a ``State Sponsor of Terrorism'' pursuant to section 6(j) of the 
Export Administration Act of 1979 (50 U.S.C. App. 2405(j)) or section 
620A of the Foreign Assistance Act of 1961 (22 U.S.C. 2371).



Sec. 12.40-13  Restrictions.

    (a) A merchant mariner credential issued to a non-resident alien 
under this subpart authorizes service only in the steward's department 
of the U.S. flag large passenger vessel(s), that is/are under the same 
common ownership and control as the foreign flag passenger vessel(s), on 
which the non-resident alien served to meet the requirements of Sec. 
12.40-9(a) of this subpart:
    (1) The merchant mariner credential will be endorsed for service in 
the steward's department in accordance with Sec. 12.25-10 of this part;
    (2) The merchant mariner credential may also be endorsed for service 
as a food handler if the applicant meets the

[[Page 210]]

requirements of Sec. 12.25-20 of this part; and
    (3) No other rating or endorsement is authorized, except 
lifeboatman, in which case all applicable requirements of this 
subchapter and the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended (STCW 
Convention), and the Seafarers' Training, Certification and Watchkeeping 
Code (STCW Code), must be met.
    (b) The following restrictions must be printed on the merchant 
mariner credential, or listed in an accompanying Coast Guard letter, or 
both:
    (1) The name and official number of all U.S. flag vessels on which 
the non-resident alien may serve. Service is not authorized on any other 
U.S. flag vessel;
    (2) Upon issuance, the merchant mariner credential must remain in 
the custody of the employer at all times;
    (3) Upon termination of employment, the merchant mariner credential 
must be returned to the Coast Guard within 10 days in accordance with 
Sec. 12.40-7 of this subpart;
    (4) A non-resident alien issued a merchant mariner credential under 
this subpart may not perform watchstanding, engine room duty watch, or 
vessel navigation functions; and
    (5) A non-resident alien issued a merchant mariner credential under 
this subpart may perform emergency-related duties provided:
    (i) The emergency-related duties do not require any other rating or 
endorsement, except lifeboatman as specified in paragraph (a)(3) of this 
section;
    (ii) The non-resident alien has completed familiarization and basic 
safety training as required in Sec. 15.1105 of this subchapter;
    (iii) That if the non-resident alien serves as a lifeboatman, he or 
she must have the necessary lifeboatman's endorsement; and
    (iv) The non-resident alien has completed the training for 
crewmembers on passenger ships performing duties involving safety or 
care for passengers, as required in subpart 12.35 of this part.
    (c) A non-resident alien may only serve for an aggregate period of 
36 months actual service on all authorized U.S. flag large passenger 
vessels combined under the provisions of this subpart:
    (1) Once this 36-month limitation is reached, the merchant mariner 
credential becomes invalid and must be returned to the Coast Guard under 
Sec. 12.40-7(d) of this subpart, and the non-resident alien is no 
longer authorized to serve in a position requiring a merchant mariner 
credential on any U.S. flag large passenger vessel; and
    (2) An individual who successfully adjusts his or her immigration 
status to that of an alien lawfully admitted for permanent residence to 
the United States or who becomes a United States citizen may apply for a 
merchant mariner credential, subject to the requirements of Sec. 10.221 
of this subchapter, without any restrictions or limitations imposed by 
this subpart.



Sec. 12.40-15  Alternative means of compliance.

    (a) The owner or managing operator of a U.S. flag large passenger 
vessel, or U.S. flag large passenger vessels, seeking to employ non-
resident aliens issued merchant mariner credential under this subpart 
may submit a plan to the Coast Guard, which, if approved, will serve as 
an alternative means of complying with the requirements of this subpart.
    (b) The plan must address all of the elements contained in this 
subpart, as well as the related elements contained in Sec. 15.530 of 
this subchapter, to the satisfaction of the Coast Guard.



PART 13_CERTIFICATION OF TANKERMEN--Table of Contents



                            Subpart A_General

Sec.
13.101 Purpose.
13.103 [Reserved]
13.105 Paperwork approval.
13.106 Requirement to hold an MMC.
13.107 Tankerman endorsement: General.
13.109 Tankerman endorsement: Authorized cargoes.
13.111 Restricted tankerman endorsement.
13.113-13.117 [Reserved]
13.119 Expiration of endorsement.
13.120 Renewal of tankerman endorsement.
13.121 Courses for tankerman endorsements.

[[Page 211]]

13.123 Recency of service or experience for original tankerman 
          endorsement.
13.125 Physical and medical requirements.
13.127 Service: General.
13.129 Quick-reference table for tankerman endorsements.

        Subpart B_Requirements for ``Tankerman-PIC'' Endorsement

13.201 Original application for ``Tankerman-PIC'' endorsement.
13.203 Eligibility: Experience.
13.205 Proof of service for ``Tankerman-PIC'' endorsement.
13.207 Eligibility: Firefighting course.
13.209 Eligibility: Cargo course.

    Subpart C_Requirements for ``Tankerman-PIC (Barge)'' Endorsement

13.301 Original application for ``Tankerman-PIC (Barge)'' endorsement.
13.303 Eligibility: Experience.
13.305 Proof of service for ``Tankerman-PIC (Barge)'' endorsement.
13.307 Eligibility: Firefighting course.
13.309 Eligibility: Cargo course.

     Subpart D_Requirements for ``Tankerman-Assistant'' Endorsement

13.401 Original application for ``Tankerman-Assistant'' endorsement.
13.403 Eligibility: Experience.
13.405 Proof of service for ``Tankerman-Assistant'' endorsement.
13.407 Eligibility: Firefighting course.
13.409 Eligibility: Cargo course.

      Subpart E_Requirements for ``Tankerman-Engineer'' Endorsement

13.501 Original application for ``Tankerman-Engineer'' endorsement.
13.503 Eligibility: Experience.
13.505 Proof of service for ``Tankerman-Engineer'' endorsement.
13.507 Eligibility: Firefighting course.
13.509 Eligibility: Cargo course.

    Authority: 46 U.S.C. 3703, 7317, 8105, 8703, 9102; Department of 
Homeland Security Delegation No. 0170.1.

    Source: CGD 79-116, 60 FR 17142, Apr. 4, 1995, unless otherwise 
noted.



                            Subpart A_General



Sec. 13.101  Purpose.

    This part describes the various tankerman endorsements issued by the 
Coast Guard and prescribes the requirements for obtaining an endorsement 
as a ``Tankerman-PIC,'' ``Tankerman-PIC (Barge),'' ``Tankerman-
Assistant,'' or ``Tankerman-Engineer'' on a merchant mariner credential.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11259, Mar. 16, 2009]



Sec. 13.103  [Reserved]



Sec. 13.105  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1980 
[Pub. L. 96-511] for the reporting and recordkeeping requirements in 
this part.
    (b) OMB has assigned the following control numbers to the sections 
indicated:
    (1) OMB 1625-0040--46 CFR 13.113, 13.115, 13.117, 13.201, 13.203, 
13.205, 13.301, 13.303, 13.305, 13.401, 13.403, 13.405, 13.501, 13.503, 
13.505.
    (2) OMB 1625-0028--46 CFR 13.121, 13.207, 13.209, 13.307, 13.309, 
13.407, 13.409, 13.507, 13.509.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2004-18884, 
69 FR 58343, Sept. 30, 2004]



Sec. 13.106  Requirement to hold an MMC.

    An applicant for any endorsement in this part must also meet the 
requirements for the MMC on which the endorsement would appear. These 
requirements are set out in part 10 of this chapter.

[USCG-2006-24371, 74 FR 11259, Mar. 16, 2009]



Sec. 13.107  Tankerman endorsement: General.

    (a) If an applicant meets the requirements of subpart B of this 
part, the OCMI at an REC may endorse his or her MMC as ``Tankerman-PIC'' 
with the appropriate cargo classification or classifications. A person 
holding this endorsement and meeting the other requirements of 33 CFR 
155.710(a) may act as a PIC of a transfer of fuel oil, of a transfer of 
liquid cargo in bulk, or of cargo-tank cleaning on any tank vessel. That 
person may also act as a Tankerman-Engineer, provided that he or she 
also holds an engineer license or engineer endorsement.
    (b) If an applicant meets the requirements of subpart C of this 
part, the OCMI at an REC may endorse his or

[[Page 212]]

her MMC as ``Tankerman-PIC (Barge)'' with the appropriate cargo 
classification or classifications. A person holding this endorsement and 
meeting the other requirements of 33 CFR 155.710(b) may act as a PIC of 
a transfer of liquid cargo in bulk only on a tank barge.
    (c) If an applicant meets the requirements of subpart D of this 
part, the OCMI at an REC may endorse his or her MMC as ``Tankerman-
Assistant'' with the appropriate cargo classification or 
classifications. No person holding this endorsement may act as a PIC of 
any transfer of fuel oil, of any transfer of liquid cargo in bulk, or of 
cargo-tank cleaning unless he or she also holds an endorsement 
authorizing service as PIC. He or she may, however, without being 
directly supervised by the PIC, perform duties relative to cargo and 
cargo-handling equipment assigned by the PIC of transfers of fuel oil, 
of transfers of liquid cargo in bulk, or of cargo-tank cleaning. When 
performing these duties, he or she shall maintain continuous two-way 
voice communications with the PIC.
    (d) If an applicant meets the requirements of subpart E of this 
part, the OCMI at an REC may endorse his or her MMC as ``Tankerman-
Engineer''. No person holding this endorsement may act as a PIC or 
``Tankerman-Assistant'' of any transfer of fuel oil, of any transfer of 
liquid cargo in bulk, or of cargo-tank cleaning unless he or she also 
holds an endorsement authorizing such service. A person holding this 
endorsement and acting in this capacity has the primary responsibility, 
on his or her self-propelled tank vessel carrying DL or LG, for 
maintaining both the cargo systems and equipment for transfer of liquids 
in bulk and the bunkering systems and equipment. No person licensed or 
credentialed under part 11 of this chapter may serve as a chief 
engineer, first assistant engineer, or cargo engineer aboard an 
inspected self-propelled tank vessel when liquid cargo in bulk or cargo 
residue is carried unless he or she holds this endorsement or 
equivalent.
    (e) If an applicant meets the requirements of Sec. 13.111, the OCMI 
at an REC may place on his or her MMC an endorsement as a ``Tankerman-
PIC'' restricted according to the definitions of ``restricted Tankerman 
endorsement'' in Sec. 10.107.
    (f) A tankerman wishing to obtain an endorsement that he or she does 
not hold shall apply at an REC referenced in Sec. 10.217 of this title. 
If he or she meets all requirements for the new endorsement, the REC may 
issue a new MMC including the endorsement.
    (g) This section does not apply to any person solely by reason of 
his or her involvement in bunkering or fueling.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25127, May 8, 1997; USCG-2008-0906, 73 FR 56508, Sept. 29, 2008; USCG-
2006-24371, 74 FR 11259, Mar. 16, 2009]



Sec. 13.109  Tankerman endorsement: Authorized cargoes.

    (a) Each tankerman endorsement described in Sec. 13.107 will 
expressly limit the holder's service under it to transfers involving one 
or both of the following cargo classifications:
    (1) Dangerous liquid (DL).
    (2) Liquefied gas (LG).
    (b) No tankerman endorsement is necessary to transfer the liquid 
cargoes in bulk listed in Table 2 of Part 153 of this chapter when those 
cargoes are carried on barges not certified for ocean service.
    (c) A tankerman having qualified in one cargo classification and 
wishing to qualify in another shall apply at an REC referenced in Sec. 
10.217 of this chapter. If he or she meets all requirements for the 
other, the REC may issue a new MMC including the endorsement.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2008-0906, 73 
FR 56508, Sept. 29, 2008; USCG-2006-24371, 74 FR 11259, Mar. 16, 2009]



Sec. 13.111  Restricted tankerman endorsement.

    (a) An applicant may apply at an REC listed in Sec. 10.217 of this 
chapter for a tankerman endorsement restricted to specific cargoes, 
specific vessels or groups of vessels (such as uninspected towing 
vessels and Oil Spill Response Vessels), specific facilities, specific 
employers, or otherwise as the OCMI deems appropriate. The OCMI will 
evaluate each application and may modify the applicable requirements for 
the endorsement, allowing for special

[[Page 213]]

circumstances and for whichever restrictions the endorsement will state.
    (b) To qualify for a restricted ``Tankerman-PIC'' endorsement, an 
applicant shall meet Sec. Sec. 13.201, excluding paragraph (f); 13.203; 
and 13.205.
    (1) Twenty-five percent of the service described in Sec. 13.203(a) 
must have occurred within the past five years.
    (2) Two of the transfers described in Sec. 13.203(b) must have 
occurred within the past five years.
    (c) To qualify for a restricted ``Tankerman-PIC (Barge)'' 
endorsement, an applicant shall meet Sec. Sec. 13.301, excluding 
paragraph (f); and 13.305.
    (1) Twenty-five percent of the service described in Sec. 13.303(a) 
must have occurred within the past five years.
    (2) Two of the transfers described in Sec. 13.303(b) must have 
occurred within the past five years.
    (d) To qualify for a restricted ``Tankerman-PIC (Barge)'' 
endorsement restricted to a tank-cleaning and gas-freeing facility, an 
applicant shall--
    (1) Be at least 18 years old;
    (2) Apply on a Coast Guard form;
    (3) Present evidence of passing a physical and medical examination 
according to Sec. 10.215 of this chapter;
    (4) Present evidence in the form of a letter on company letterhead 
from the operator of the facility stating that OSHA considers the 
applicant a ``competent person'' for the facility and that the applicant 
has the knowledge necessary to supervise tank-cleaning and gas-freeing; 
and
    (5) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo, and of reading the English found in the Declaration of 
Inspection, vessel response plans, and Cargo Information Cards.
    (e) The restricted ``Tankerman-PIC (Barge)'' endorsement restricted 
to a tank-cleaning and gas-freeing facility is valid only while the 
applicant is employed by the operator of the facility that provided the 
letter of service required by paragraph (d)(4) of this section, and this 
and any other appropriate restrictions will appear in the endorsement.
    (f) Because the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended (STCW), 
does not recognize restricted Tankerman-PIC endorsements, persons may 
act under these only aboard vessels conducting business inside the 
Boundary Line.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25128, May 8, 1997; USCG-2006-24371, 74 FR 11259, Mar. 16, 2009]



Sec. Sec. 13.113-13.117  [Reserved]



Sec. 13.119  Expiration of endorsement.

    An endorsement as tankerman is valid for the duration of the 
merchant mariner's document or merchant mariner credential on which the 
endorsement appears.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11259, Mar. 16, 2009]



Sec. 13.120  Renewal of tankerman endorsement.

    An applicant wishing to renew a tankerman's endorsement shall meet 
the requirements of Sec. 10.227 of this chapter for renewing an MMC and 
prove either participation in at least two transfers within the last 5 
years in accordance with Sec. 13.127(b) or completion of an approved 
course as described in Sec. 10.304.

[CGD 79-116, 62 FR 25130, May 8, 1997, as amended by USCG-2006-24371, 74 
FR 11259, Mar. 16, 2009]



Sec. 13.121  Courses for tankerman endorsements.

    (a) This section prescribes the requirements, beyond those in 
Sec. Sec. 11.302 and 11.304 of this chapter, applicable to schools 
offering courses required for a tankerman endorsement and courses that 
are a substitute for experience with transfers of liquid cargo in bulk 
required for the endorsement.
    (b) Upon satisfactory completion of an approved course, each student 
shall receive a certificate, signed by the head of the school offering 
the course or by a designated representative, indicating the title of 
the course, the duration, and, if appropriate, credit allowed towards 
meeting the transfer requirements of this part.
    (c) A course that uses simulated transfers to train students in 
loading

[[Page 214]]

and discharging tank vessels may replace up to 2 loadings and 2 
discharges, 1 commencement and 1 completion of loading, and 1 
commencement and 1 completion of discharge required for a Tankerman-PIC 
or Tankerman-PIC (Barge) endorsement. The request for approval of the 
course must specify those segments of a transfer that the course will 
simulate. The letter from the Coast Guard approving the course will 
state the number and kind of segments that the course will replace.
    (d) The course in liquid cargo required for an endorsement as--
    (1) ``Tankerman-PIC DL'' is Tankship: Dangerous Liquids;
    (2) ``Tankerman-PIC (Barge) DL'' is Tank Barge: Dangerous Liquids;
    (3) ``Tankerman-PIC LG'' is Tankship: Liquefied Gases;
    (4) ``Tankerman-PIC (Barge) LG'' is Tank Barge: Liquefied Gases;
    (5) ``Tankerman-Assistant DL'' is Familiarization with DL Tankship; 
and
    (6) ``Tankerman-Assistant LG'' is Familiarization with LG Tankship.
    (e) The course in firefighting required for an endorsement as--
    (1) ``Tankerman-PIC (Barge)'' is Tank Barge: Firefighting; and
    (2) ``Tankerman-PIC'', ``Tankerman-Assistant'', and ``Tankerman-
Engineer'' is a firefighting course that meets the basic firefighting 
section of the IMO's Resolution A.437 (XI), ``Training of Crews in Fire 
Fighting''.
    (f) No school may issue a certificate unless the student has 
successfully completed an approved course with the appropriate 
curriculum outlined in Table 13.121(f) or Sec. 13.121(h).
    (g) An organization with a course in DL or LG or a course in tank-
barge firefighting taught before March 31, 1996, that substantially 
covered the material required by Table 13.121(f) for liquid cargoes, 
Table 13.121(g) for firefighting, or Sec. 13.121(h) for familiarization 
with tankships, may seek approval under Sec. 10.302 of this chapter 
from the Coast Guard for any course taught up to ten years before March 
31, 1996.
    (h) The Coast Guard will evaluate the curricula of courses for 
Familiarization with DL and LG Tankships to ensure adequate coverage of 
the required subjects. Training may employ classroom instruction, 
demonstrations, or simulated or actual operations.
    (1) The curricula of courses for Familiarization with DL Tankships 
must consist of the following:
    (i) General characteristics, compatibility, reaction, firefighting, 
and safety precautions for bulk liquid cargoes defined as DL in this 
part.
    (ii) Terminology of tankships carrying oil and other chemicals.
    (iii) General arrangement and construction of cargo tanks, vapor 
control, and venting.
    (iv) Cargo-piping systems and valves.
    (v) General operation of cargo pumps.
    (vi) General discussion of the following operations connected with 
the loading and discharging of cargo:
    (A) Pre-transfer inspection and conference and Declaration of 
Inspection.
    (B) Lining up of the cargo and vapor-control systems and starting of 
liquid flow.
    (C) Connecting and disconnecting of cargo hoses and loading arms.
    (D) Loading.
    (E) Ballasting and de-ballasting.
    (F) Discharging.
    (G) Tank-gauging (open and closed).
    (vii) Rules of the Coast Guard governing operations in general and 
prevention of pollution in particular.
    (viii) Prevention and control of pollution.
    (ix) Emergency procedures.
    (x) Safety precautions relative to:
    (A) Entering cargo tanks and pump room.
    (B) Dangers of contact with skin.
    (C) Inhalation of vapors.
    (D) Protective clothing and equipment.
    (E) Hot work.
    (F) Precautions respecting electrical hazards, including hazards of 
static electricity.
    (xi) General principles and procedures of Crude-Oil Washing (COW) 
Systems and inert-gas systems.
    (xii) Tank-cleaning procedures and precautions.
    (xiii) Principles and procedures of vapor-control systems.
    (xiv) Cargo-hazard-information systems.
    (2) To ensure adequate coverage of the required subjects, training 
may

[[Page 215]]

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

                                                 Table 13.121(f)
----------------------------------------------------------------------------------------------------------------
                                Course topics                                    1        2        3        4
----------------------------------------------------------------------------------------------------------------
General characteristics, compatibility, reaction, firefighting procedures,
 and safety precautions for the cargoes of:
    Bulk liquids defined as Dangerous Liquids in 46 CFR Part 13.............       x        x
    Bulk liquefied gases & their vapors defined as Liquefied Gases in 46 CFR                         x        x
     Part 13................................................................
Physical phenomena of liquefied gas, including:
    Basic concept...........................................................                         x        x
    Compression and expansion...............................................                         x        x
    Mechanism of heat transfer..............................................                         x        x

[[Page 216]]

 
Potential hazards of liquefied gas, including:
    Chemical and physical properties........................................                         x        x
    Combustion characteristics..............................................                         x        x
    Results of gas release to the atmosphere................................                         x        x
    Health hazards (skin contact, inhalation, and ingestion)................                         x        x
    Control of flammability range with inert gas............................                         x        x
    Thermal stress in structure and piping of vessel........................                         x        x
Cargo systems, including:
    Principles of containment systems.......................................       x        x        x        x
    Construction, materials, coating, & insulation of cargo tanks...........                         x        x
    General arrangement of cargo tanks......................................       x        x        x        x
    Venting and vapor-control systems.......................................       x        x        x        x
Cargo-handling systems, including:
    Piping systems, valves, pumps, and expansion systems....................       x        x        x        x
    Operating characteristics...............................................       x        x        x        x
Instrumentation systems, including:
    Cargo-level indicators..................................................       x        x        x        x
    Gas-detecting systems...................................................       x                 x        x
    Temperature-monitoring systems, cargo...................................       x                 x        x
    Temperature-monitoring systems, hull....................................                         x        x
    Automatic-shutdown systems..............................................       x                 x        x
Auxiliary systems, including:
    Ventilation, inerting...................................................       x        x        x        x
    Valves, including:
        Quick-closing.......................................................       x        x        x        x
        Remote-control......................................................       x        x        x        x
        Pneumatic...........................................................       x        x        x        x
        Excess-flow.........................................................       x        x        x        x
        Safety-relief.......................................................       x        x        x        x
        Pressure-vacuum.....................................................       x        x        x        x
    Heating-systems: cofferdams & ballast tanks.............................                         x        x
Operations connected with the loading and discharging of cargo, including:
    Lining up the cargo and vapor-control systems...........................       x        x        x        x
    Pre-transfer inspections and completion of the Declaration of Inspection       x        x        x        x
    Hooking up of cargo hose, loading arms, and grounding-strap.............       x        x        x        x
    Starting of liquid flow.................................................       x        x        x        x
    Calculation of loading rates............................................       x                 x
    Discussion of loading...................................................       x        x        x        x
    Ballasting and deballasting.............................................       x        x        x        x
    Topping off of the cargo tanks..........................................       x        x        x        x
    Discussion of discharging...............................................       x        x        x        x
    Stripping of the cargo tanks............................................       x        x
    Monitoring of transfers.................................................       x        x        x        x
    Gauging of cargo tanks..................................................       x        x        x        x
    Disconnecting of cargo hoses or loading arms............................       x        x        x        x
    Cargo-tank-cleaning procedures and precautions..........................       x        x
Operating procedures and sequence for:
    Inerting of cargo tanks and void spaces.................................       x        x        x        x
    Cooldown and warmup of cargo tanks......................................                         x        x
    Gas-freeing.............................................................       x        x        x        x
    Loaded or ballasted voyages.............................................       x                 x
    Testing of cargo-tank atmospheres for oxygen & cargo vapor..............       x        x        x        x
Stability and stress considerations connected with loading and discharging         x        x        x        x
 of cargo...................................................................
Loadline, draft, and trim...................................................       x        x        x        x
Disposal of boil-off, including:
    System design...........................................................                         x        x
    Safety features.........................................................                         x        x
Stability-letter requirements...............................................       x                 x
Emergency procedures, including notice to appropriate authorities, for:
    Fire....................................................................       x        x        x        x
    Collision...............................................................       x        x        x        x
    Grounding...............................................................       x        x        x        x
    Equipment failure.......................................................       x        x        x        x
    Leaks and spills........................................................       x        x        x
    Structural failure......................................................       x        x        x        x
    Emergency discharge of cargo............................................       x        x        x        x
    Entering cargo tanks....................................................       x        x        x        x
    Emergency shutdown of cargo-handling....................................       x        x        x        x
    Emergency systems for closing cargo tanks...............................       x        x
Rules & regulations (international and Federal, for all tank vessels) on           x        x        x        x
 conducting operations and preventing pollution.............................
Pollution prevention, including:
    Procedures to prevent air and water pollution...........................       x        x        x        x

[[Page 217]]

 
    Measures to take in event of spillage...................................       x        x        x        x
    Danger from drift of vapor cloud........................................       x        x        x        x
Terminology for tankships carrying oil and chemicals........................       x
Terminology for tank barges carrying oil and chemicals......................                x
Terminology for tankships carrying liquefied gases..........................                         x
Terminology for tank barges carrying liquefied gases........................                                  x
Principles & procedures of crude-oil-washing (COW) systems, including:
    Purpose.................................................................       x
    Equipment and design....................................................       x
    Operations..............................................................       x
    Safety precautions......................................................       x
    Maintenance of plant and equipment......................................       x
Principles & procedures of the inert-gas systems (IGSs), including:
    Purpose.................................................................       x                 x
    Equipment and design....................................................       x                 x
    Operations..............................................................       x                 x
    Safety precautions......................................................       x                 x
    Maintenance of plant and equipment......................................       x                 x
Principles & procedures of vapor-control systems, including:
    Purpose.................................................................       x        x        x        x
    Principles..............................................................       x        x        x        x
    Coast Guard regulations.................................................       x        x        x        x
    Hazards.................................................................       x        x        x        x
    Active system components................................................       x        x        x        x
    Passive system components...............................................       x        x        x        x
Operating procedures, including:
    Testing and inspection requirements.....................................       x        x        x        x
    Pre-transfer procedures.................................................       x        x        x        x
    Connecting sequence.....................................................       x        x        x        x
    Start-up sequence.......................................................       x        x        x        x
    Normal operations.......................................................       x        x        x        x
Emergency procedures........................................................       x        x        x        x
Cargo-hazard-information systems............................................       x        x        x        x
Safe entry into confined spaces, including:
    Testing tank atmospheres for oxygen & hydrocarbon vapors................       x        x
    Definition and hazards of confined spaces...............................       x        x        x        x
    Cargo tanks and pumprooms...............................................       x        x        x        x
    Evaluation and assessment of risks and hazards..........................       x        x        x        x
    Safety precautions and procedures.......................................       x        x        x        x
    Personnel protective equipment (PPE) and clothing.......................       x        x        x        x
    Maintenance of PPE......................................................       x        x        x        x
    Dangers of skin contact.................................................       x        x        x        x
    Inhalation of vapors....................................................       x        x
    Electricity and static electricity--hazards and precautions.............       x        x        x        x
    Emergency procedures....................................................       x        x        x        x
    Federal regulations, national standards & industry guidelines...........       x        x        x        x
    Inspections by marine chemists & competent persons, including hot-work         x        x        x        x
     permits & procedures...................................................
Vessel response plans:
    Purpose, content, and location of information...........................       x        x        x        x
    Procedures for notice and mitigation of spills..........................       x        x        x        x
    Geographic-specific appendices..........................................       x        x        x        x
    Vessel-specific appendices..............................................       x        x        x        x
    Emergency-action checklist..............................................       x        x        x        x
----------------------------------------------------------------------------------------------------------------
Column 1--Tankerman-PIC DL.
Column 2--Tankerman-PIC (Barge) DL.
Column 3--Tankerman-PIC LG.
Column 4--Tankerman-PIC (Barge) LG.


                             Table 13.121(g)
------------------------------------------------------------------------
                     Course topics                         1        2
------------------------------------------------------------------------
Elements of fire (Fire triangle):
        Fuel..........................................       X        X
        Source of ignition............................       X        X
        Oxygen........................................       X        X
    Ignition sources (general):
        Chemical......................................  .......       X
        Biological....................................  .......       X
        Physical......................................  .......       X
    Ignition sources applicable to barges.............       X   .......

[[Page 218]]

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

[[Page 219]]

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


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



Sec. 13.123  Recency of service or experience for original tankerman
endorsement.

    An applicant for an original tankerman endorsement in subpart B, C, 
D, or E of this part shall have obtained at least 25% of the qualifying 
service and, if the endorsement requires transfers, at least two of the 
qualifying transfers, within five years of the date of application.



Sec. 13.125  Physical and medical requirements.

    Each applicant for an original tankerman endorsement shall meet the 
physical requirements of Sec. 10.215 of this chapter, excluding 
paragraph (d)(2) of that section.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11259, Mar. 16, 2009]



Sec. 13.127  Service: General.

    (a) A service letter must be signed by the owner, operator, master, 
or chief engineer of the vessel and must specify--
    (1) The classification of cargo (DL, LG, or, for a restricted 
endorsement, a specific product) handled while the applicant accumulated 
the service;
    (2) The dates, the number and kinds of transfers the applicant has 
participated in, and the number of transfers that involved commencement 
or completion; and
    (3) That the applicant has demonstrated to the satisfaction of the 
signer that he or she is fully capable of supervising transfers of 
liquid cargo, including
    (i) Pre-transfer inspection;
    (ii) Pre-transfer conference and execution of the Declaration of 
Inspection;

[[Page 220]]

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

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25133, May 8, 1997]



Sec. 13.129  Quick-reference table for tankerman endorsements.

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

                                                                      Table 13.129
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                   Certificate
                                                       Physical                     Recency  of   Proof of  of        from         Cargo      English
            Category                Minimum  age       required         Service       service        service      firefighting    course      language
                                                                                                                  course 13.207
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tankerman-PIC Subpart B........  18; 13.201(a)....  Yes; 10.215...  13.203          13.123       13.205          13.207          13.209    13.201(g)

[[Page 221]]

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


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



        Subpart B_Requirements for ``Tankerman-PIC'' Endorsement



Sec. 13.201  Original application for ``Tankerman-PIC'' endorsement.

    Each applicant for an original ``Tankerman-PIC'' endorsement shall--
    (a) Be at least 18 years old;
    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical and medical examination 
in accordance with Sec. 13.125;
    (d) Present evidence of service on tankships according to Sec. 
10.215 of this chapter;
    (e) Meet the requirement of a course on firefighting in Sec. 
13.207;
    (f) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for in Sec. 13.209; and
    (g) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo, and be capable of reading the English found in the Declaration of 
Inspection, vessel response plans, and Cargo Information Cards.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11259, Mar. 16, 2009]



Sec. 13.203  Eligibility: Experience.

    Each applicant for a ``Tankerman-PIC'' endorsement for DL or LG 
shall meet the requirements of either paragraphs (a) and (b) or 
paragraph (c) of this section.
    (a) Each applicant shall present evidence of--
    (1) At least 90 days of service as a deck officer or an engineering 
officer on one or more tankships or self-propelled tank vessels 
certified to carry DL or LG appropriate to the endorsement applied for;
    (2) At least 90 days of rating or cadet service on deck or in the 
engine department on one or more tankships or self-propelled tank 
vessels certified to carry DL or LG appropriate to the endorsement 
applied for; or
    (3) A combination of the service in paragraphs (a) (1) and (2) of 
this section.
    (b) Each applicant shall present evidence of participation, under 
the supervision of a ``Tankerman-PIC,'' in at least 10 transfers of 
liquid cargo in bulk of the classification desired on tankships or self-
propelled tank vessels, including at least--
    (1) Five loadings and five discharges;
    (2) Two commencements of loading and two completions of loading; and

[[Page 222]]

    (3) Two commencements of discharge and two completions of discharge.
    (c) Each applicant already holding an MMD or MMC endorsed 
``Tankerman-PIC'' for DL and seeking an endorsement for LG, or the 
converse, shall--
    (1) Provide evidence of at least half the service required by 
paragraph (a) of this section; and
    (2) Comply with paragraph (b) of this section, except that he or she 
need provide evidence of only three loadings and three discharges along 
with evidence of compliance with paragraphs (b)(2) and (3) of this 
section.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997; USCG-2006-24371, 74 FR 11259, Mar. 16, 2009]



Sec. 13.205  Proof of service for ``Tankerman-PIC'' endorsement.

    Service must be proved by a letter on company letterhead from the 
owner, operator, or master of the vessel on which the applicant obtained 
the service. The letter must contain the information described in Sec. 
13.127(a).



Sec. 13.207  Eligibility: Firefighting course.

    Each applicant for an original ``Tankerman-PIC'' endorsement shall 
present a certificate of successful completion from a course in 
shipboard firefighting, approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437 (XI), ``Training of 
Crews in Fire Fighting'', completed within five years of the date of 
application for the endorsement, unless he or she has previously 
submitted such a certificate for a license, tankerman endorsement, or 
officer endorsement on an MMC.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 13.209  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-PIC'' endorsement shall 
present a certificate of completion from a course in DL or LG 
appropriate for tankships and for the endorsement applied for, and 
approved by the Commandant. The date of the certificate may not be more 
than 5 years earlier than the date of application.

[CGD 79-116, 62 FR 25134, May 8, 1997]



    Subpart C_Requirements for ``Tankerman-PIC (Barge)'' Endorsement



Sec. 13.301  Original application for ``Tankerman-PIC (Barge)'' endorsement.

    Each applicant for a ``Tankerman-PIC (Barge)'' endorsement shall--
    (a) Be at least 18 years old;
    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical and medical examination 
according to Sec. 10.215 of this chapter;
    (d) Present evidence of service on tank vessels in accordance with 
Sec. 13.303;
    (e) Meet the requirement of a firefighting course in Sec. 13.307;
    (f) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for in Sec. 13.309; and
    (g) Be capable of speaking, and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo, and be capable of reading the English found in the Declaration of 
Inspection, vessel response plans, and Cargo Information Cards.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 13.303  Eligibility: Experience.

    Each applicant for a ``Tankerman-PIC (Barge)'' endorsement for DL or 
LG shall meet the requirements of either paragraphs (a) and (b) or 
paragraph (c) of this section.
    (a) Each applicant shall present evidence of--
    (1) At least 60 days of service, whether by shore-based or by 
vessel-based personnel, on one or more tank vessels certified to carry 
DL or LG appropriate to the endorsement applied for; or
    (2) At least 6 months of closely related service directly involved 
with tank barges appropriate to the endorsement applied for; and
    (b) Participation, under the supervision of a ``Tankerman-PIC'' or 
``Tankerman-PIC (Barge),'' in at least 10 transfers of liquid cargo in 
bulk of

[[Page 223]]

the classification desired on any tank vessel, including at least--
    (1) Five loadings and five discharges;
    (2) Two commencements of loading and two completions of loading; and
    (3) Two commencements of discharge and two completions of discharge.
    (c) Each applicant already holding an MMD or MMC endorsed 
``Tankerman-PIC (Barge)'' for DL and seeking an endorsement for LG, or 
the converse, shall--
    (1) Provide evidence of at least half the service required by 
paragraph (a) of this section; and
    (2) Comply with paragraph (b) of this section, except that he or she 
need provide evidence of only three loadings and three discharges along 
with evidence of compliance with paragraphs (b)(2) and (3) of this 
section.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997; USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 13.305  Proof of service for ``Tankerman-PIC (Barge)'' endorsement.

    Service must be proved by a letter on company letterhead from the 
owner or operator of a terminal; the owner or operator of a tank barge; 
the owner, operator, or master of a tank vessel; or the employer of 
shore-based tankermen. The letter must contain the information required 
by Sec. 13.127(a), excluding paragraph (a)(3)(vii).

[CGD 79-116, 62 FR 25134, May 8, 1997]



Sec. 13.307  Eligibility: Firefighting course.

    Each applicant for a ``Tankerman-PIC (Barge)'' endorsement shall 
present a certificate of successful completion from--
    (a) A course in shipboard firefighting, approved by the Commandant 
and meeting the basic firefighting section of the IMO's Resolution 
A.437(XI), ``Training of Crews in Firefighting,'' completed 5 years or 
less before the date of application for the endorsement, unless he or 
she has previously submitted such a certificate for a license, tankerman 
endorsement on an MMD or MMC, or an officer endorsement on an MMC; or
    (b) A course in tank-barge firefighting, approved by the Commandant 
and meeting Sec. 13.121, completed within five years of the date of 
application for the endorsement.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997; USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 13.309  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-PIC (Barge)'' endorsement 
shall present a certificate of completion from a course in DL or LG 
appropriate for tank barges and for Tankerman-PIC or Tankerman-PIC 
(Barge), and approved by the Commandant. The date of the certificate may 
not be more than 5 years earlier than the date of application.

[CGD 79-116, 62 FR 25134, May 8, 1997]



     Subpart D_Requirements for ``Tankerman-Assistant'' Endorsement



Sec. 13.401  Original application for ``Tankerman-Assistant'' endorsement.

    Each applicant for a ``Tankerman-Assistant'' endorsement shall--
    (a) Be at least 18 years old;
    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical and medical examination 
according to Sec. 10.215 of this chapter;
    (d) Meet the requirement of a firefighting course in Sec. 13.407;
    (e) (1) Meet the requirement of a course in DL or LG appropriate for 
the endorsement applied for in Sec. 13.409; or
    (2) Present evidence of service on tankships or self-propelled tank 
vessels in accordance with Sec. 13.403; and
    (f) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997; USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 13.403  Eligibility: Experience.

    (a) Each applicant for a ``Tankerman-Assistant'' endorsement shall 
present--

[[Page 224]]

    (1) Evidence of at least 90 days of deck service on tankships or 
self-propelled tank vessels certified to carry DL or LG appropriate to 
the endorsement applied for; or
    (2) A certificate of completion from a course in DL or LG 
appropriate for the endorsement applied for as prescribed in Sec. 
13.409.
    (b) Each applicant already holding an MMD or MMC endorsed 
``Tankerman-Assistant'' for DL and seeking one for LG, or the converse, 
shall--
    (1) Provide evidence of at least half the service required in 
paragraph (a)(1) of this section; or
    (2) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for as prescribed in Sec. 13.409.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997; USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 13.405  Proof of service for ``Tankerman-Assistant'' endorsement.

    (a) Service must be proved by a letter on company letterhead from 
the owner, operator, or master of a tankship or self-propelled tank 
vessel. The letter must specify--
    (1) The classification of cargo (DL or LG) carried while the 
applicant accumulated the service;
    (2) The number of days of deck service the applicant accumulated on 
the tankship or self-propelled tank vessel; and
    (3) That the applicant has demonstrated an understanding of cargo 
transfer and a sense of responsibility that, in the opinion of the 
signer, will allow the applicant to safely carry out duties respecting 
cargo transfer and transfer equipment assigned by the PIC of the 
transfer without direct supervision by the PIC; or
    (b) Service must be proved by--
    (1) Certificates of Discharge from tankships with the appropriate 
classification of cargo (DL, LG, or both); and
    (2) A letter on company letterhead from the owner, operator, or 
master of one of the tankships or self-propelled tank vessel stating 
that he or she has demonstrated--
    (i) An understanding of cargo transfer; and
    (ii) A sense of responsibility that, in the opinion of the signer, 
will allow him or her to safely carry out duties respecting cargo and 
its equipment assigned by the PIC of the transfer without direct 
supervision by the PIC.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997]



Sec. 13.407  Eligibility: Firefighting course.

    Each applicant for a ``Tankerman-Assistant'' endorsement shall 
present a certificate of successful completion from a course in 
shipboard firefighting, approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437 (XI), ``Training of 
Crews in Fire Fighting'', completed within five years of the date of 
application for the endorsement, unless he or she has previously 
submitted such a certificate from one of these courses to the Coast 
Guard for any other endorsement or credential.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 13.409  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-Assistant'' endorsement 
who has not presented the required service on tankships or self-
propelled tank vessels shall present a certificate of completion from a 
course for Familiarization with DL or LG Tankships or from a tanker-
familiarization course appropriate to the endorsement applied for, and 
approved by the Commandant. The date of the certificate may not be more 
than 5 years earlier than the date of application.

[CGD 79-116, 62 FR 25134, May 8, 1997]



      Subpart E_Requirements for ``Tankerman-Engineer'' Endorsement



Sec. 13.501  Original application for ``Tankerman-Engineer'' endorsement.

    Each applicant for a ``Tankerman-Engineer'' endorsement shall--
    (a) Be at least 18 years old;

[[Page 225]]

    (b) Apply on a Coast Guard form;
    (c) Present evidence of passing a physical and medical examination 
according to Sec. 10.215 of this chapter;
    (d) Present evidence of service on tankships and self-propelled tank 
vessels in accordance with Sec. 13.503;
    (e) Meet the requirement of a firefighting course in Sec. 13.507;
    (f) Meet the requirement of a course in DL or LG appropriate for the 
endorsement applied for in Sec. 13.509; and
    (g) Be capable of speaking and understanding, in English, all 
instructions needed to commence, conduct, and complete a transfer of 
cargo.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997; USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 13.503  Eligibility: Experience.

    (a) Each applicant for a ``Tankerman-Engineer'' endorsement shall 
present evidence of at least--
    (1) 90 days of service as an engineering officer on tankships or 
self-propelled tank vessels certified to carry DL or LG appropriate to 
the endorsement applied for;
    (2) 90 days of rating or cadet service in the engine department on 
tankships or self-propelled tank vessels certified to carry DL or LG 
appropriate to the endorsement applied for; or
    (3) A combination of the service in paragraphs (a) (1) and (2) of 
this section.
    (b) Each applicant already holding an MMD or MMC endorsed as 
Tankerman-Engineer for DL and seeking one for LG, or the converse, shall 
prove at least half the service required by paragraph (a) of this 
section.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25134, May 8, 1997; USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 13.505  Proof of service for ``Tankerman-Engineer'' endorsement.

    (a) Service must be proved by a letter on company letterhead from 
the owner, operator, master, or chief engineer of a tankship or self-
propelled tank vessel. The letter must specify--
    (1) The classification of cargo (DL, LG, or both) carried while the 
applicant accumulated the service; and
    (2) The number of days of officer, rating, and cadet service in the 
engine department on tankships or self-propelled tank vessels; or
    (b) Service must be proved by certificates of discharge from 
tankships or self-propelled tank vessels with the appropriate 
classification of cargo (DL, LG, or both).

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25135, May 8, 1997; USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 13.507  Eligibility: Firefighting course.

    Each applicant for a ``Tankerman-Engineer'' endorsement shall 
present a certificate of successful completion from a course in 
shipboard firefighting, approved by the Commandant and meeting the basic 
firefighting section of the IMO's Resolution A.437 (XI), ``Training of 
Crews in Fire Fighting'', completed within five years of the date of 
application for the endorsement, unless he or she has previously 
submitted such a certificateto the Coast Guard for any other endorsement 
or credential.

[CGD 79-116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 13.509  Eligibility: Cargo course.

    Each applicant for an original ``Tankerman-Engineer'' endorsement 
shall present a certificate of completion from a course in DL or LG, 
appropriate for tankships and the endorsement applied for, approved by 
the Commandant. The date of the certificate may not be more than 5 years 
earlier than the date of application.

[CGD 79-116, 62 FR 25135, May 8, 1997]



PART 14_SHIPMENT AND DISCHARGE OF MERCHANT MARINERS--Table of Contents



                            Subpart A_General

Sec.
14.101 Purpose of part.
14.103 Addresses of Coast Guard.
14.105 Disclosure and privacy.

[[Page 226]]

                 Subpart B_Shipment of Merchant Mariners

14.201 Voyages upon which shipping articles are required.
14.203 Voyages upon which shipping articles are not required.
14.205 Production of credentials by merchant mariner signing shipping 
          articles.
14.207 Content and form of shipping articles.
14.209 Preparation of shipping articles at beginning of voyage.
14.211 Posting of copy of shipping articles.
14.213 Report of shipment of merchant mariner.

                Subpart C_Discharge of Merchant Mariners

14.301 Paying off of merchant mariner during or after voyage upon which 
          shipping articles are required.
14.303 Discharge of merchant mariner in foreign port.
14.305 Entries in continuous discharge book.
14.307 Entries on certificate of discharge.
14.309 Entries in shipping articles at end of voyage.
14.311 Report of discharge of merchant mariner.
14.313 Storage of shipping articles and of certificates of discharge.

                Subpart D_Oceanographic Research Vessels

14.401 General.
14.403 Exemptions.
14.405 Procedures.
14.407 Reports.

    Authority: 5 U.S.C. 552; 46 U.S.C. Chapters 103 and 104; 46 U.S.C. 
70105.

    Source: CGD 94-004, 61 FR 56637, Nov. 4, 1996, unless otherwise 
noted.



                            Subpart A_General



Sec. 14.101  Purpose of part.

    This part prescribes rules for the shipment and discharge of 
merchant mariners aboard certain vessels of the United States.



Sec. 14.103  Addresses of Coast Guard.

    (a) U.S. postal mail: U.S. Coast Guard National Maritime Center 
(NMC-42), 100 Forbes Drive, Martinsburg, West Virginia 25404.
    (b) Electronic mail: [email protected]
    (c) World wide web: http://www.uscg.mil/nmc.

[USCG-2008-0906, 73 FR 56508, Sept. 29, 2008]



Sec. 14.105  Disclosure and privacy.

    The Coast Guard makes information available to the public in 
accordance with 49 CFR part 7, including appendix B.



                 Subpart B_Shipment of Merchant Mariners



Sec. 14.201  Voyages upon which shipping articles are required.

    (a) Before proceeding either upon a foreign, intercoastal, or 
coastwise voyage (including a voyage on the Great Lakes) listed in 
paragraph (b) of this section or with the engagement or replacement of a 
merchant mariner for such a voyage, each master or individual in charge 
of a vessel or seagoing barge of the United States shall execute 
shipping articles however prepared, manually or electronically. The 
master or individual in charge and each mariner engaged or replaced 
shall sign the articles.
    (b) Except as provided by Sec. 14.203, articles are required upon 
each voyage by a vessel of the United States--
    (1) Of 100 gross tons or more, on a foreign voyage, which is a 
voyage from a port in the United States to any foreign port other than a 
port in--
    (i) Canada;
    (ii) Mexico; or
    (iii) The West Indies.
    (2) Of 75 gross tons or more on a voyage between a port of the 
United States on the Atlantic Ocean and a port of the United States on 
the Pacific Coast; or
    (3) Of 50 gross tons or more on a voyage between a port in one State 
and a port in another State other than an adjoining State.



Sec. 14.203  Voyages upon which shipping articles are not required.

    Although they may be used for the voyage; shipping articles are not 
required for any voyage by--
    (a) A yacht;
    (b) A vessel engaged exclusively in fishing or whaling;
    (c) A vessel aboard which the merchant mariners are by custom or 
agreement entitled to participate in the profits or results of a cruise 
or voyage;
    (d) A vessel employed exclusively in trade on the navigable rivers 
of the United States; or

[[Page 227]]

    (e) A ferry, or a tug used in ferrying, if the vessel is employed 
exclusively in trade on the Great Lakes, other lakes, bays, sounds, 
bayous, canals, or harbors.



Sec. 14.205  Production of credentials by merchant mariner signing
shipping articles.

    On engagement for a voyage upon which shipping articles are 
required, each merchant mariner shall present to the master or 
individual in charge of the vessel every document, certificate, 
credential, or license required by law for the service the mariner would 
perform.

[CGD 94-004, 61 FR 56637, Nov. 4, 1996, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 14.207  Content and form of shipping articles.

    (a)(1) The content and form of shipping articles for each vessel of 
the United States of 100 gross tons or more upon a foreign or 
intercoastal voyage must conform to the present shipping articles, form 
CG-705A, which meets the requirements of 46 U.S.C. 10302, 10303, 10304, 
and 10305. The articles must identify the nature of the voyage and 
specify at least the name, the license, MMD, or MMC number, the capacity 
of service, the time due on board to begin work, and the name and 
address of the next of kin of, and the wages due to each merchant 
mariner, either who was discharged or whose services were otherwise 
terminated during the month.
    (2) The content and form of articles for each such vessel upon a 
coastwise voyage (including a voyage on the Great Lakes) must also 
conform to the present shipping articles, form CG-705A, which meet the 
requirements of 46 U.S.C. 10502. The articles must specify at least the 
matter identified by paragraph (a)(1) of this section, except that they 
must not specify the wages due to the mariner. The wages section of the 
form shall be left blank for coastwise voyages.
    (b) Any shipping company that manually prepares the articles may, 
upon request, obtain Shipping Articles, Form CG-705A, from any Officer 
in Charge, Marine Inspection (OCMI), of the Coast Guard.
    (c) Any company that electronically prepares the articles may, upon 
request submitted to either address in Sec. 14.103, obtain a copy of 
software developed by the Coast Guard to produce articles in the proper 
format. Alternatively, a company may develop its own software or buy it 
off the shelf; but, in either of these cases, it must secure approval of 
the software from the National Maritime Center at either address in 
Sec. 14.103.

[CGD 94-004, 61 FR 56637, Nov. 4, 1996, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 14.209  Preparation of shipping articles at beginning of voyage.

    Each master or individual in charge of a vessel when shipping 
articles are required shall prepare an original and two copies of the 
articles. The original and one copy must be signed by the master or 
individual in charge and by each merchant mariner; but the second copy 
must not be signed by any of them.



Sec. 14.211  Posting of copy of shipping articles.

    On commencement of a foreign, intercoastal, or coastwise voyage 
(including a voyage on the Great Lakes), each master or individual in 
charge of a vessel when shipping articles are required shall ensure that 
a legible copy of the articles, unsigned by the mariner, and without the 
next of kin information, is posted at a place accessible to the crew.



Sec. 14.213  Report of shipment of merchant mariner.

    (a) When a vessel of the United States sails upon a foreign, 
intercoastal, or coastwise voyage (excluding a voyage on the Great 
Lakes), each master or individual in charge shall, at the commencement 
of the voyage, send one copy of shipping articles, signed by the master 
and by each merchant mariner, to the owner, charterer, or managing 
operator. The master shall keep the original throughout the voyage and 
enter in it all charges made to the crew during the voyage.

[[Page 228]]

    (b) (1) When a vessel of the United States sails exclusively on the 
Great Lakes, each master or individual in charge shall, at the 
commencement of the season, or once the vessel is put into service, 
whichever occurs earlier, send one copy of articles, signed by the 
master and by each mariner, to the owner, charterer, or managing 
operator.
    (2) The master or individual in charge shall every 60 days send 
supplementary particulars of engagement covering each mariner engaged 
during this period, signed by the master and by each mariner, to the 
owner, charterer, or managing operator.
    (3) The master of individual in charge shall, at the close of the 
season, or once the vessel is withdrawn from service, whichever occurs 
later, send articles, signed by the master and by each mariner, to the 
owner, charterer, or managing operator.
    (c) When a vessel of the United States sales exclusively on bays or 
sounds, each master or individual in charge shall, at least every 60 
days, send articles, signed by the master and by each mariner, to the 
owner, charter, or managing operator.
    (d) Any person who fails to comply with the requirements of this 
section is subject to a civil penalty of $5,000.



                Subpart C_Discharge of Merchant Mariners



Sec. 14.301  Paying off of merchant mariner during or after voyage 
upon which shipping articles are required.

    Each master or individual in charge of a vessel when shipping 
articles are required shall complete and sign, and each merchant mariner 
paid off during or after such a voyage shall sign the articles and 
otherwise comply with the requirements of this subpart. When signed by 
the master or individual in charge and by the mariner, the articles 
constitute a release from the duties to which they bound their parties.



Sec. 14.303  Discharge of merchant mariner in foreign port.

    Upon the discharge of any mariner in a foreign port, the master 
shall make the required entries on the ship's articles. Upon the request 
of the master or a mariner, the consular officer shall discharge the 
mariner in accordance with the requirements of 46 U.S.C. 10318.



Sec. 14.305  Entries in continuous discharge book.

    If the merchant mariner holds a continuous discharge book, the 
master or individual in charge of the vessel shall make the proper 
entries in it.



Sec. 14.307  Entries on certificate of discharge.

    (a) Each master or individual in charge of a vessel shall, for each 
merchant mariner being discharged from the vessel, prepare a certificate 
of discharge and two copies; whether by writing or typing them on the 
prescribed form with permanent ink or generating them from computer in 
the prescribed format; and shall sign them with permanent ink. The 
prescribed format for a certificate of discharge is the same as the 
present form CG-718A (Rev. 3-85). The left portion of the form has the 
mariner's printed name, signature, citizenship, MMD or MMC number; the 
certification statement, date and the master's signature. The right 
portion of the form contains the rate/rank the mariner is serving on the 
voyage, date and place of shipment, date and place of discharge, name of 
the vessel, name of the operating company, official number of the 
vessel, class of the vessel, and the nature of the voyage.
    (b) Each mariner being discharged shall sign the certificate and 
both copies with permanent ink.
    (c) When the mariner leaves the vessel, the master or individual in 
charge shall give the original certificate to the mariner.
    (d) Except as directed by Sec. 14.313, the shipping company shall 
keep both copies of the certificate.
    (e) The company shall provide copies of certificates of discharge to 
the mariner and the Coast Guard upon request.

[CGD 94-004, 61 FR 56637, Nov. 4, 1996, as amended by USCG-2002-13058, 
67 FR 61278, Sept. 30, 2002; USCG-2006-24371, 74 FR 11260, Mar. 16, 
2009]

[[Page 229]]



Sec. 14.309  Entries in shipping articles at end of voyage.

    (a) At the end of each voyage upon which shipping articles are 
required, the master or individual in charge of the vessel shall--
    (1) Complete the articles, conforming the pertinent entries in them 
to those on the certificate of discharge and its copies;
    (2) Note in the articles the execution of each Mutual Release;
    (3) Attach to the articles each Mutual Release and a copy of each 
certificate; and
    (4) Pay to each merchant mariner all wages due.
    (b) When paid off, each mariner shall sign the articles.



Sec. 14.311  Report of discharge of merchant mariner.

    (a) At the end of each foreign, intercoastal, and coastwise voyage 
by a vessel of the United States, or of each voyage by such a vessel 
that sails exclusively on bays or sounds (or by such a vessel at the 
close of the season on the Great Lakes, or once the vessel is withdrawn 
from service there, whichever occurs later), the shipping company shall 
electronically transmit the data from the certificates of discharge to 
an electronic address which the shipping company may request from the 
National Maritime Center.
    (b) If the data is submitted manually, the shipping companies shall 
provide the data for foreign and intercoastal voyages at the end of each 
voyage. For coastwise voyages or of each voyage by such a vessel that 
sails exclusively on bays or sounds (or by such a vessel at the close of 
the season of the Great Lakes, or once the vessel is withdrawn from 
service there, whichever occurs later), the shipping companies shall 
submit a copy of each certificate of discharge to the address in Sec. 
14.103(a) at least once per calendar month.

[CGD 94-004, 61 FR 56637, Nov. 4, 1996, as amended by USCG-2007-29018, 
72 FR 53964, Sept. 21, 2007]



Sec. 14.313  Storage of shipping articles and of certificates of discharge.

    (a) Each shipping company shall keep all original shipping articles 
and copies of all certificates of discharge for 3 years. After 3 years 
the shipping companies shall prepare the original shipping articles in 
alphabetical order by vessel name and send to the address in Sec. 
14.103(a) for storage at the Federal Records Center at Suitland, 
Maryland. The company may dispose of the copies of certificates of 
discharge. The Coast Guard will dispose of copies of certificates 
submitted manually, once the data are entered into its sea-service 
database and are validated.
    (b) Each shipping company that goes out of business or merges with 
another company shall send all original articles to the address in Sec. 
14.103(a) within 30 days of the transaction.
    (c) The shipping company must provide copies of shipping articles 
and certificates of discharge to the mariner and the Coast Guard upon 
request.



                Subpart D_Oceanographic Research Vessels



Sec. 14.401  General.

    Unless otherwise provided by Title 46 United States Code, by any act 
amending or supplementing that Title, or by this subpart, that Title as 
far as it governs the employment of merchant mariners remains, and any 
act amending or supplementing that title becomes, applicable to 
oceanographic research vessels.



Sec. 14.403  Exemptions.

    (a) Certain requirements of Title 46, United States Code do not 
apply to the employment of merchant mariners on oceanographic research 
vessels. These requirements are those concerned with, among other 
things, the shipment and discharge of mariners, their pay and 
allotments, and the adequacy of their clothing. 46 U.S.C. 2113(2) allows 
exemptions of oceanographic research vessels from certain requirements 
of parts B, C, F, or G of subtitle II of 46 U.S.C., upon such terms as 
the Secretary of the Department of Transportation deems suitable. The 
exemptions available under this subpart are subject to the following 
terms:
    (1) No use of any exemption relieves the owner, charterer, managing 
operator, master, or individual in charge of

[[Page 230]]

the vessel of other statutory responsibilities for the protection of 
every mariner under his or her command.
    (2) If it is presented at a reasonable time and in a reasonable 
manner, the master or individual in charge shall receive, consider, and 
appropriately address the legitimate complaint of any mariner.
    (b) For any oceanographic research vessel sailing with any mariner 
employed by any firm, association, corporation, or educational or 
governmental body or agency, the Commandant may grant exemptions from--
    (1) 46 U.S.C. 10301, Application;
    (2) 46 U.S.C. 10302, Shipping articles (for foreign and intercoastal 
voyages);
    (3) 46 U.S.C. 10307, Posting of articles;
    (4) 46 U.S.C. 10308, Foreign engagements;
    (5) 46 U.S.C. 10311, Certificates of discharge;
    (6) 46 U.S.C. 10313 and 10504, Wages;
    (7) 46 U.S.C. 10314 and 10505, Advances;
    (8) 46 U.S.C. 10315, Allotments;
    (9) 46 U.S.C. 10316 and 10506, Trusts;
    (10) 46 U.S.C. 10321 and 10508, General penalties;
    (11) 46 U.S.C. 10502, Shipping articles (for coastwise voyages); and
    (12) 46 U.S.C. 10509, Penalty for failure to begin coastwise 
voyages.



Sec. 14.405  Procedures.

    (a) Upon written request for the owner, charterer, managing 
operator, master, or individual in charge of the vessel to the OCMI of 
the Coast Guard in whose zone the vessel is located, the Commandant may 
grant an exemption of any oceanographic research vessel designated by 46 
U.S.C. 2113(2) from any requirement of any section listed by Sec. 
14.403(b).
    (b) The request must state--
    (1) Any requirement of any section listed in Sec. 14.403(b) from 
which the applicant wishes an exemption; and
    (2) What business practices regarding, among other things, the 
shipment and discharge of merchant mariners, their pay and allotments, 
and the adequacy of their clothing would justify the exemption.
    (c) The OCMI will forward the request, along with his or her 
recommendation, to the Commandant, who will determine whether to grant 
any exemption of any vessel from any requirement. The OCMI will issue a 
letter indicating any exemption granted. The master or individual in 
charge of the vessel shall keep the letter aboard the vessel.
    (d) If operating conditions change, the owner, charterer, managing 
operator, master, or individual in charge of the vessel shall so advise 
the OCMI. The OCMI will forward pertinent information on how the 
conditions have changed, along with his or her recommendation, to the 
Commandant, who will determine whether any exemption should remain 
granted.



Sec. 14.407  Reports.

    (a) The owner, charterer, managing operator, master, or individual 
in charge of each oceanographic research vessel of 100 gross tons or 
more shall maintain a record of the employment, discharge, or 
termination of service of every merchant mariner in the crew. At least 
every 6 months, the person maintaining this record shall transmit it to 
the Coast Guard, either manually, in the form of a copy of a certificate 
of discharge, or electronically.
    (b) The owner, charterer, managing operator, master, or individual 
in charge of the vessel shall keep original shipping articles and a copy 
of each certificate ready for review by the Coast Guard or the concerned 
mariner upon request. After January 3, 1997, the Coast Guard will no 
longer keep either original articles or copies of certificates; it will 
keep only electronic records of employment.
    (c) The master or individual in charge of the vessel shall ensure 
that every entry made in the articles agrees with the corresponding 
entry made in a continuous discharge book, on a certificate, or in any 
other proof of sea service furnished to the mariner.
    (d) Each oceanographic company shall keep all original articles and 
copies of all certificates for 3 years. After that each such company 
shall send all articles to the address in Sec. 14.103(a).
    (e) Each oceanographic company that goes out of business or merges 
with another company shall send all original articles to the address in 
Sec. 14.103(a) within 30 days of the transaction.

[[Page 231]]



PART 15_MANNING REQUIREMENTS--Table of Contents



                   Subpart A_Purpose and Applicability

Sec.
15.101 Purpose of regulations.
15.102 Paperwork approval.
15.103 General.
15.105 Incorporation by reference.

Subpart B [Reserved]

               Subpart C_Manning Requirements; All Vessels

15.401 Employment and service within restrictions of credential.
15.405 Familiarity with vessel characteristics.
15.410 Credentialed individuals for assistance towing vessels.
15.415 [Reserved]

            Subpart D_Manning Requirements; Inspected Vessels

15.501 Certificate of inspection.
15.505 Changes in the certificate of inspection.
15.510 Right of appeal.
15.515 Compliance with certificate of inspection.
15.520 Mobile offshore drilling units.
15.525 Reference to other parts.
15.530 Large passenger vessels.

           Subpart E_Manning Requirements; Uninspected Vessels

15.601 General.
15.605 Credentialed operators for uninspected passenger vessels.
15.610 Master and mate (pilot) of towing vessels.

              Subpart F_Limitations and Qualifying Factors

15.701 Officers Competency Certificates Convention, 1936.
15.705 Watches.
15.710 Working hours.
15.715 Automated vessels.
15.720 Use of non-U.S. licensed and/or documented personnel.
15.725 Sailing short.
15.730 Language requirements.

                         Subpart G_Computations

15.801 General.
15.805 Master.
15.810 Mates.
15.812 Pilots.
15.815 Radar observers.
15.820 Chief engineer.
15.825 Engineers.
15.830 Radio officers.
15.835 Staff officers.
15.840 Able seamen.
15.845 Lifeboatmen.
15.850 Lookouts.
15.855 Cabin watchmen and fire patrolmen.
15.860 Tankerman.

                          Subpart H_Equivalents

15.901 Inspected vessels of less than 100 gross tons.
15.905 Uninspected passenger vessels.
15.910 Towing vessels.
15.915 Engineer Officer Endorsements.

                   Subpart I_Vessels in Foreign Trade

15.1001 General.
15.1010 California.
15.1020 Hawaii.
15.1030 New York and New Jersey.
15.1040 Massachusetts.
15.1050 North Carolina.

            Subpart J_Vessels Subject to Requirements of STCW

15.1101 General.
15.1103 Employment and service the within restrictions of an STCW 
          endorsement or of a certificate of training.
15.1105 Familiarization and basic safety-training.
15.1107 Maintenance of merchant mariners' records by owner or operator.
15.1109 Watches.
15.1111 Work hours and rest periods.
15.1113 Vessel Security Officer (VSO).

    Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8104, 8105, 
8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903, 8904, 8905(b), 
8906, 9102, and 8103; and Department of Homeland Security Delegation No. 
0170.1.

    Source: CGD 81-059, 52 FR 38652, Oct. 16, 1987, unless otherwise 
noted.



                   Subpart A_Purpose and Applicability



Sec. 15.101  Purpose of regulations.

    The purpose of the regulations in this part is to set forth uniform 
minimum requirements for the manning of vessels. In general, they 
implement, interpret, or apply the specific statutory manning 
requirements in title 46, U.S.C., parts E & F, implement various 
international conventions which affect merchant marine personnel, and 
provide the means for establishing the complement necessary for safe 
operation of vessels.

[[Page 232]]



Sec. 15.102  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office of 
Management and Budget under the Paper Reduction Act of 1980 (Pub. L. 96-
511) for the reporting and recordkeeping requirements in this part.
    (b) The following control numbers have been assigned to the sections 
indicated:
    (1) OMB 1625-0079--46 CFR 15.1107.
    (2) [Reserved]

[CGD 95-62, 62 FR 34538, June 26, 1997, as amended by USCG-2004-18884, 
69 FR 58343, Sept. 30, 2004]



Sec. 15.103  General.

    (a) The regulations in this part apply to all vessels which are 
subject to the manning requirements contained in the navigation and 
shipping laws of the United States, including uninspected vessels (46 
U.S.C. 7101-9308).
    (b) The navigation and shipping laws state that a vessel may not be 
operated unless certain manning requirements are met. In addition to 
establishing a minimum number of officers and rated crew to be carried 
on board certain vessels, they establish minimum qualifications 
concerning licenses and MMC endorsements, citizenship, and conditions of 
employment. It is the responsibility of the owner, charterer, managing 
operator, master, or person in charge or command of the vessel to ensure 
that appropriate personnel are carried to meet the requirements of the 
applicable navigation and shipping laws and regulations.
    (c) Inspected vessels are issued a certificate of inspection which 
indicates the minimum complement of officers and crew (including 
lifeboatmen) considered necessary for safe operation. The certificate of 
inspection complements the statutory requirements but does not supersede 
them.
    (d) The regulations in subpart J of this part apply to seagoing 
vessels subject to the International Convention on Standards of 
Training, Certification and watchkeeping for Seafarers as amended 
(STCW).
    (e) Neither any person serving on any of the following vessels, nor 
any owner or operator of any of these vessels, need meet the 
requirements of subpart J, because the vessels are exempt from 
application of STCW:
    (1) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (3) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (4) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (5) Vessels operating exclusively on the Great Lakes.
    (f) Personnel serving on the following vessels, and the owners and 
operators of these vessels, are in compliance with subpart J and are not 
subject to further obligation for the purposes of STCW, on account of 
the vessels' special operating conditions as small vessels engaged in 
domestic voyages:
    (1) Small passenger vessels subject to subchapter T or K of title 
46, CFR.
    (2) Vessels of less than 200 GRT (other than passenger vessels 
subject to subchapter H of title 46 CFR).
    (g) Personnel serving on vessels identified in paragraphs (e)(5), 
(f)(1), and (f)(2) of this section will be issued, without additional 
proof of qualification, an appropriate STCW endorsement on their license 
or MMC when the Officer in Charge, Marine Inspection determines that 
such an endorsement is necessary to enable the vessel to engage in an 
international voyage. The STCW endorsement will be expressly limited to 
service on the vessel or the class of vessels and will not establish 
qualification for any other purpose.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 95-062, 62 FR 
34538, June 26, 1997; USCG-2004-18884, 69 FR 58343, Sept. 30, 2004; 
USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 15.105  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Coast Guard must publish notice of change 
in the Federal Register and the material must be available to the 
public. All approved material is available for inspection at the

[[Page 233]]

National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. Also, it is available for inspection at 
the Coast Guard, Office of Operating and Environmental Standards (CG-
522), 2100 2nd St. SW., Stop 7126, Washington, DC 20593-7126, 202-372-
1405, and is available from the sources indicated below.
    (b) International Maritime Organization (IMO), 4 Albert Embankment, 
London, SE1 7SR United Kingdom, telephone +44(0)20 7735 7611, http://
www.imo.org.
    (1) STCW--The International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended 1995, 
(STCW Convention), incorporation by reference approved for Sec. Sec. 
15.103; 15.1101; 15.1103; 15.1105; 15.1109.
    (2) Seafarer's Training, Certification and Watchkeeping Code, as 
amended 1995 (STCW Code), incorporation by reference approved for 
Sec. Sec. 15.1101; 15.1109.

[USCG-2009-0702, 74 FR 49225, Sept. 25, 2009]

Subpart B [Reserved]



               Subpart C_Manning Requirements; All Vessels



Sec. 15.401  Employment and service within restrictions of credential.

    A person may not employ or engage an individual, and an individual 
may not serve, in a position in which an individual is required by law 
or regulation to hold a license, certificate of registry, merchant 
mariner's document, transportation worker identification credential, 
and/or merchant mariner credential, unless the individual holds all 
credentials required, as appropriate, authorizing service in the 
capacity in which the individual is engaged or employed and the 
individual serves within any restrictions placed on the credential. 
Beginning April 15, 2009, all mariners holding an active license, 
certificate of registry, MMD, or MMC issued by the Coast Guard must also 
hold a valid transportation worker identification credential (TWIC) 
issued by the Transportation Security Administration under 49 CFR part 
1572.

[USCG-2006-24371, 74 FR 11260, Mar. 16, 2009]



Sec. 15.405  Familiarity with vessel characteristics.

    Each credentialed individual must become familiar with the relevant 
characteristics of the vessel on which engaged prior to assuming his or 
her duties. As appropriate, these include but are not limited to: 
general arrangement of the vessel; maneuvering characteristics; proper 
operation of the installed navigation equipment; firefighting and 
lifesaving equipment; stability and loading characteristics; emergency 
duties; and main propulsion and auxiliary machinery, including steering 
gear systems and controls.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 15.410  Credentialed individuals for assistance towing vessels.

    Every assistance towing vessel must be under the direction and 
control of an individual holding a license or MMC authorizing them to 
engage in assistance towing under the provisions of 46 CFR 10.482.

[CGD 87-017, 53 FR 18562, May 24, 1988, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 15.415  [Reserved]



            Subpart D_Manning Requirements; Inspected Vessels



Sec. 15.501  Certificate of inspection.

    (a) The certificate of inspection (COI) issued by an Officer in 
Charge, Marine Inspection (OCMI), to a vessel required to be inspected 
under 46 U.S.C. 3301 specifies the minimum complement of officers and 
crew necessary for the safe operation of the vessel.
    (b) The manning requirements for a particular vessel are determined 
by the OCMI after consideration of the applicable laws, the regulations 
in this part, and all other factors involved, such as: Emergency 
situations, size and type of vessel, installed equipment, proposed 
routes of operation including frequency of port calls, cargo carried, 
type of

[[Page 234]]

service in which employed, degree of automation, use of labor saving 
devices, and the organizational structure of the vessel.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended at CGD 81-059, 54 FR 
149, Jan. 4, 1989]



Sec. 15.505  Changes in the certificate of inspection.

    All requests for changes in manning as indicated on the certificate 
of inspection must be made to the OCMI who last issued the certificate 
of inspection, unless the request is made in conjunction with an 
inspection for certification, in which case the request should be 
addressed to the OCMI conducting the inspection.



Sec. 15.510  Right of appeal.

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

[CGD 88-033, 54 FR 50380, Dec. 6, 1989]



Sec. 15.515  Compliance with certificate of inspection.

    (a) Except as provided by Sec. 15.725, no vessel may be operated 
unless it has in its service and on board, the complement required by 
the certificate of inspection.
    (b) Any vessel subject to inspection under 46 U.S.C. 3301 must, 
while on a voyage, be under the direction and control of an individual 
who holds an appropriate license or appropriate officer endorsement on 
their MMC. For the purposes of this paragraph:
    (1) A voyage is the period of time necessary to transit from the 
port of departure to the final port of arrival.
    (2) A port does not include an Outer Continental Shelf (OCS) 
facility as defined in 33 CFR part 140.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended at USCG-2004-18884, 
69 FR 58343, Sept. 30, 2004; USCG-2006-24371, 74 FR 11260, Mar. 16, 
2009]



Sec. 15.520  Mobile offshore drilling units.

    (a) The requirements in this section for mobile offshore drilling 
units (MODUs) supplement other requirements in this part.
    (b) The OCMI determines the minimum number of officers and crew 
(including lifeboatmen) required for the safe operation of inspected 
MODUs. In addition to other factors listed in this part, the specialized 
nature of the MODU is considered in determining the specific manning 
levels.
    (c) A license or officer endorsement on an MMC as offshore 
installation manager (OIM), barge supervisor (BS), or ballast control 
operator (BCO) authorizes service only on MODUs. A license or 
endorsement as OIM is restricted to the MODU type and mode of operation 
specified on the credential.
    (d) A self-propelled MODU other than a drillship must be under the 
command of an individual who holds a license as master endorsed as OIM 
or an MMC with master and OIM officer endorsements.
    (e) A drillship must be under the command of an individual who holds 
a license or MMC officer endorsement as master. When a drillship is on 
location, the individual in command must hold a license as master 
endorsed as OIM or an MMC with master and OIM officer endorsements.
    (f) A non-self-propelled MODU must be under the command of an 
individual who holds a license or MMC officer or endorsement as OIM.
    (g) An individual serving as mate on a self-propelled surface unit 
other than a drillship must hold an appropriate license or MMC officer 
endorsement as mate and an endorsement as BS or BCO. An individual 
holding a license or MMC officer endorsement as barge supervisor or 
ballast control operator may be substituted for a required mate when a 
self-propelled surface unit other than a drillship is on location or 
under tow, under certain circumstances as determined by the cognizant 
OCMI.
    (h) An individual holding a license or MMC officer endorsement as 
barge supervisor is required on a non-self-propelled surface unit other 
than a drillship.
    (i) An individual holding a license or MMC officer endorsement as 
barge supervisor may serve as ballast control operator.
    (j) The OCMI issuing the MODU's certificate of inspection may 
authorize the substitution of chief or assistant

[[Page 235]]

engineer (MODU) for chief or assistant engineer, respectively, on self-
propelled or propulsion assisted surface units, except drillships. The 
OCMI may also authorize the substitution of assistant engineer (MODU) 
for assistant engineer on drillships.
    (k) Requirements in this part concerning radar observers do not 
apply to non-self-propelled MODUs.
    (l) A surface mobile offshore drilling unit underway or on location, 
when afloat and equipped with a ballast control room, must have that 
ballast control room manned by an individual holding a license or MMC 
officer endorsement authorizing service as ballast control operator.

[CGD 81-059a, 55 FR 14805, Apr. 18, 1990, as amended by USCG-2006-24371, 
74 FR 11260, Mar. 16, 2009]



Sec. 15.525  Reference to other parts.

    Parts 31 and 35 of this chapter contain additional manning 
requirements applicable to tank vessels.



Sec. 15.530  Large passenger vessels.

    (a) The owner or operator of a U.S. flag large passenger vessel must 
ensure that any non-resident alien holding a Coast Guard-issued merchant 
mariner credential described in subpart 12.40 of this subchapter is 
provided the rights, protections, and benefits of the International 
Labor Organization's Merchant Shipping (Minimum Standards) Convention of 
1976.
    (b) On U.S. flag large passenger vessels, non-resident aliens 
holding a Coast Guard-issued merchant mariner credential described in 
subpart 12.40 of this subchapter:
    (1) May only be employed in the steward's department on the 
vessel(s) specified on the merchant mariner credential or accompanying 
Coast Guard letter under Sec. 12.40-13(b)(1) of this subchapter;
    (2) May only be employed for an aggregate period of 36 months actual 
service on all authorized U.S. flag large passenger vessels combined, 
under Sec. 12.40-13(c) of this subchapter;
    (3) May not perform watchstanding, engine room duty watch, or vessel 
navigation functions, under Sec. 12.40-13(b)(4) of this subchapter; and
    (4) May perform emergency-related duties only if, under Sec. 12.40-
13(b)(5) of this subchapter:
    (i) The emergency-related duties do not require any other rating or 
endorsement, except lifeboatman as specified in Sec. 12.40-13(a)(3) of 
this subchapter;
    (ii) The non-resident alien has completed familiarization and basic 
safety training, as required in Sec. 15.1105 of this part;
    (iii) That if the non-resident alien serves as a lifeboatman, he or 
she must have the necessary lifeboatman's endorsement; and
    (iv) The non-resident alien has completed the training for 
crewmembers on passenger ships performing duties involving safety or 
care for passengers, as required in subpart 12.35 of this subchapter.
    (c) No more than 25 percent of the total number of ratings on a U.S. 
flag large passenger vessel may be aliens, whether admitted to the 
United States for permanent residence or authorized for employment in 
the United States as non-resident aliens.
    (d) The owner or operator of a U.S. flag large passenger vessel 
employing non-resident aliens holding Coast Guard-issued merchant 
mariner credentials described in subpart 12.40 of this subchapter must:
    (1) Retain custody of all non-resident alien merchant mariner 
credentials for the duration of employment, under Sec. 12.40-13(b)(2) 
of this subchapter; and
    (2) Return all non-resident alien merchant mariner credentials to 
the Coast Guard upon termination of employment, under Sec. 12.40-
13(b)(3) of this subchapter.
    (e) The owner or operator of a U.S. flag large passenger vessel 
employing non-resident aliens holding Coast Guard-issued merchant 
mariner credentials described in subpart 12.40 of this subchapter is 
subject to the civil penalty provisions specified in 46 U.S.C. 8103(f), 
for any violation of this section.

[USCG-2007-27761, 74 FR 47736, Sept. 17, 2009]

[[Page 236]]



           Subpart E_Manning Requirements; Uninspected Vessels



Sec. 15.601  General.

    The following sections of subparts F, G, and H of this part contain 
provisions concerning manning of uninspected vessels; Sec. Sec. 15.701, 
15.705, 15.710, 15.720, 15.730, 15.801, 15.805, 15.810, 15.820, 15.825, 
15.840, 15.850, 15.855, 15.905, 15.910, and 15.915.



Sec. 15.605  Credentialed operators for uninspected passenger vessels.

    Each uninspected passenger vessel must be under the direction and 
control of an individual credentialed by the Coast Guard as follows:
    (a) Every self-propelled, uninspected vessel as defined by 46 U.S.C. 
2101(42)(B) must be under the direction and control of an individual 
holding a license or MMC endorsed as operator of uninspected passenger 
vessels.
    (b) Every uninspected passenger vessel of 100 gross tons or more, as 
defined by 46 U.S.C. 2101(42)(A), must be under the direction and 
control of a credentialed master, pilot, or mate as appropriate.

[USCG-1999-5040, 67 FR 34767, May 15, 2002, as amended by USCG-2006-
24371, 74 FR 11261, Mar. 16, 2009]



Sec. 15.610  Master and mate (pilot) of towing vessels.

    (a) Except as provided in this paragraph, every towing vessel of at 
least 8 meters (at least 26 feet) in length, measured from end to end 
over the deck (excluding sheer), must be under the direction and control 
of a person holding a license or MMC officer endorsement as master or 
mate (pilot) of towing vessels or as master or mate of vessels of 
greater than 200 gross register tons holding either an endorsement on 
his or her license or MMC for towing vessels or a completed Towing 
Officer's Assessment Record (TOAR) signed by a designated examiner 
indicating that the officer is proficient in the operation of towing 
vessels. This does not apply to any vessel engaged in assistance towing, 
or to any towing vessel of less than 200 gross register tons engaged in 
exploiting offshore minerals or oil if the vessel has sites or equipment 
so engaged as its place of departure or ultimate destination.
    (b) Any towing vessel operating in the pilotage waters of the Lower 
Mississippi River must be under the control of an officer meeting the 
requirements of paragraph (a) of this section who holds either a first-
class pilot's endorsement for that route, MMC officer endorsement for 
the Western Rivers, or meets the requirements of paragraph (a) and meets 
the requirements of either paragraphs (b)(1) or (b)(2) of this section 
as applicable:
    (1) To operate a towing vessel with tank barges, or a tow of barges 
carrying hazardous materials regulated under part N or O of this 
subchapter, an officer in charge of the towing vessel must have 
completed 12 round trips over this route as an observer, with at least 3 
of those trips during hours of darkness, and at least 1 round trip of 
the 12 within the last 5 years.
    (2) To operate a towing vessel without barges, or a tow of 
uninspected barges, an officer in charge of the towing vessel must have 
completed at least four round trips over this route as an observer, with 
at least one of those trips during hours of darkness, and at least one 
round trip of the 12 within the last 5 years.

[USCG-1999-6224, 66 FR 20944, Apr. 26, 2001, as amended at 68 FR 35818, 
June 17, 2003; USCG-2008-0906, 73 FR 56508, Sept. 29, 2008; USCG-2006-
24371, 74 FR 11261, Mar. 16, 2009]



              Subpart F_Limitations and Qualifying Factors



Sec. 15.701  Officers Competency Certificates Convention, 1936.

    (a) This section implements the Officers Competency Certificates 
Convention, 1936, and applies to each vessel documented under the laws 
of the United States navigating seaward of the Boundary Lines in part 7 
of this chapter, except:
    (1) A public vessel;
    (2) A wooden vessel of primitive build, such as a dhow or junk;
    (3) A barge; and,
    (4) A vessel of less than 200 gross tons.

[[Page 237]]

    (b) The master, mates and engineers on any vessel to which this 
section applies must hold a license or MMC officer endorsement to serve 
in that capacity issued by the Coast Guard under parts 10 and 11 of this 
chapter.
    (c) A vessel to which this section applies, or a foreign flag vessel 
to which the Convention applies, may be detained by a designated 
official until that official is satisfied that the vessel is in 
compliance with the Convention. Designated official includes Coast Guard 
officers, Coast Guard petty officers and officers or employees of the 
Customs and Border Protection Service.
    (d) Whenever a vessel is detained, the owner, charterer, managing 
operator, agent, master, or individual in charge may appeal the 
detention within five days under the provisions of Sec. 2.01-70 of this 
chapter.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11261, Mar. 16, 2009]



Sec. 15.705  Watches.

    (a) Title 46 U.S.C. 8104 is the law applicable to the establishment 
of watches aboard certain U.S. vessels. The establishment of adequate 
watches is the responsibility of the vessel's master. The Coast Guard 
interprets the term watch to be the direct performance of vessel 
operations, whether deck or engine, where such operations would 
routinely be controlled and performed in a scheduled and fixed rotation. 
The performance of maintenance or work necessary to the vessel's safe 
operation on a daily basis does not in itself constitute the 
establishment of a watch. The minimum safe manning levels specified in a 
vessel's certificate of inspection take into consideration routine 
maintenance requirements and ability of the crew to perform all 
operational evolutions, including emergencies, as well as those 
functions which may be assigned to persons in watches.
    (b) Subject to exceptions, 46 U.S.C. 8104 requires that when a 
master of a seagoing vessel of more than 100 gross tons establishes 
watches for the officers, sailors, coal passers, firemen, oilers and 
watertenders, the personnel shall be divided, when at sea, into at least 
three watches and shall be kept on duty successively to perform ordinary 
work incident to the operation and management of the vessel. The Coast 
Guard interprets sailors to mean those members of the deck department 
other than officers, whose duties involve the mechanics of conducting 
the ship on its voyage, such as helmsman (wheelsman), lookout, etc., and 
which are necessary to the maintenance of a continuous watch. Sailors is 
not interpreted to include able seamen and ordinary seamen not 
performing these duties.
    (c) Subject to exceptions, 46 U.S.C. 8104(g) permits the officers 
and crew members (except the coal passers, firemen, oilers, and 
watertenders) to be divided into two watches when at sea and engaged on 
a voyage of less than 600 miles on the following categories of vessels:
    (1) Towing vessel;
    (2) Offshore supply vessel; or,
    (3) Barge.
    (d) Subject to exceptions, 46 U.S.C. 8104(h) permits a master or 
mate (pilot) operating a towing vessel that is at least 26 feet in 
length measured from end to end over the deck (excluding sheer) to work 
not more than 12 hours in a consecutive 24 hour period except in an 
emergency. The Coast Guard interprets this, in conjunction with other 
provisions of the law, to permit masters or mates (pilots) serving as 
operators of towing vessels that are not subject to the provisions of 
the Officers' Competency Certificates Convention, 1936, to be divided 
into two watches regardless of the length of the voyage.
    (e) Fish processing vessels are subject to various provisions of 46 
U.S.C. 8104 concerning watches.
    (1) For fish processing vessels that entered into service before 
January 1, 1988, the following watch requirements apply to the officers 
and deck crew:
    (i) If over 5000 gross tons--three watches.
    (ii) If more than 1600 gross tons and not more than 5000 gross 
tons--two watches.
    (iii) If not more than 1600 gross tons--no watch division specified.
    (2) For fish Processing vessels which enter into service after 
December 31, 1987, the following watch requirements apply to the 
officers and deck crew:

[[Page 238]]

    (i) If over 5000 gross tons--three watches.
    (ii) If not more than 5000 gross tons and having more than 16 
individuals on board primarily employed in the preparation of fish or 
fish products--two watches.
    (iii) If not more than 5000 gross tons and having not more than 16 
individuals on board primarily employed in the preparation of fish or 
fish products--no watch division specified.
    (f) Properly manned uninspected passenger vessels of at least 100 
gross tons--
    (1) Which are underway for no more than 12 hours in any 24-hour 
period, and which are adequately moored, anchored, or otherwise secured 
in a harbor of safe refuge for the remainder of that 24-hour period may 
operate with one navigational watch;
    (2) Which are underway more than 12 hours in any 24-hour period must 
provide a minimum of a two-watch system;
    (3) In no case may the crew of any watch work more than 12 hours in 
any 24-hour period, except in an emergency.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-1999-6224, 
64 FR 63235, Nov. 19, 1999; USCG-1999-5040, May 15, 2002; USCG-2004-
18884, 69 FR 58343, Sept. 30, 2004; USCG-2006-24371, 74 FR 11261, Mar. 
16, 2009]



Sec. 15.710  Working hours.

    In addition to prescribing watch requirements, 46 U.S.C. 8104 sets 
limitations on the working hours of credentialed officers and crew 
members, prescribes certain rest periods, and prohibits unnecessary work 
on Sundays and certain holidays when the vessel is in a safe harbor. It 
is the responsibility of the master or person in charge to ensure that 
these limitations are met. However, under 46 U.S.C. 8104(f), the master 
or other credentialed officer can require any part of the crew to work 
when, in his or her judgment, they are needed for:
    (a) Maneuvering, shifting berth, mooring, unmooring;
    (b) Performing work necessary for the safety of the vessel, or the 
vessel's passengers, crew, or cargo;
    (c) Saving of life on board another vessel in jeopardy; or,
    (d) Performing fire, lifeboat, or other drills in port or at sea.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2004-18884, 
69 FR 58343, Sept. 30, 2004; USCG-2006-24371, 74 FR 11261, Mar. 16, 
2009]



Sec. 15.715  Automated vessels.

    (a) Coast Guard acceptance of automated systems to replace specific 
personnel or to reduce overall crew requirements is predicated upon the 
capabilities of the system, the system's demonstrated and continuing 
reliability, and a planned maintenance program that ensures continued 
safe operation of the vessel.
    (b) The OCMI considers the capabilities of an automated system in 
establishing initial manning levels; however, until the system is proven 
reliable, a manning level adequate to operate in a continuously attended 
mode will be specified on a vessel's COI. It remains the responsibility 
of the vessel's master to determine when a continuous watch is 
necessary.



Sec. 15.720  Use of non-U.S. licensed and/or documented personnel.

    (a) United States vessels which need to replace one or more persons 
while on a foreign voyage and outside the jurisdiction of the United 
States, in order to meet manning requirements, may use non-U.S. 
credentialed personnel without a TWIC, except for the positions of 
master and radio officer, until the vessel returns to a port at which in 
the most expeditious manner replacements who are citizens of the United 
States can be obtained.
    (b) The citizenship requirements of 46 U.S.C. 8103(a) and (b) and 
the TWIC requirement of 46 U.S.C. 70105 are waived, except for the 
requirement that the master must be a U.S. citizen holding a TWIC, with 
respect to the following vessels:
    (1) A U.S.-documented offshore supply vessel (OSV) (as that term is 
defined in 46 U.S.C. 2101(19)) that is operating from a foreign port; 
and
    (2) A U.S.-documented mobile offshore drilling unit (MODU) (as that 
term is defined in 46 U.S.C. 2101(15a)) that is operating beyond the 
water above the U.S. Outer Continental Shelf.

[[Page 239]]

    (c) The waiver provided in paragraph (b) of this section does not 
apply to any vessel operating in water above the U.S. Outer Continental 
Shelf (as that term is defined in 43 U.S.C. 1331(a)).
    (d) The master shall assure that any replacements of crewmembers by 
non-U.S. citizens made in accordance with this section will be with an 
individual who holds a credential which is equivalent in experience, 
training, and other qualifications to the U.S. credential required for 
the position and that the person possesses or will possess the training 
required to communicate to the extent required by Sec. 15.730 of this 
part.

[CGD 89-061, 55 FR 1212, Jan. 12, 1990, as amended by USCG-2006-24371, 
74 FR 11261, Mar. 16, 2009]



Sec. 15.725  Sailing short.

    Whenever a vessel is deprived of the service of a member of its 
complement, and the master or person in charge is unable to find 
appropriate credentialed personnel to man the vessel, the master or 
person in charge may proceed on the voyage, having determined the vessel 
is sufficiently manned for the voyage. A report of sailing short must be 
filed in writing with the Officer in Charge, Marine Inspection (OCMI) 
having cognizance for inspection in the area in which the vessel is 
operating, or the OCMI within whose jurisdiction the voyage is 
completed. The report must explain the cause of each deficiency and be 
submitted within twelve hours after arrival at the next port. The 
actions of the master or person in charge in such instances are subject 
to review and it must be shown the vacancy was not due to the consent, 
fault or collusion of the master or other individuals specified in 46 
U.S.C. 8101(e). A civil penalty may be assessed against the master or 
person in charge for failure to submit the report.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11262, Mar. 16, 2009]



Sec. 15.730  Language requirements.

    (a) The provisions of 46 U.S.C. 8702 relating to language apply 
generally to vessels of at least 100 gross tons except:
    (1) Vessels operating on rivers and lakes (except the Great Lakes);
    (2) A manned barge (except a seagoing barge or a barge to which 
chapter 37 of 46 U.S.C. applies);
    (3) A fishing vessel, fish tender vessel, whaling vessel, or yacht;
    (4) A sailing school vessel with respect to sailing school 
instructors and sailing school students;
    (5) An oceanographic research vessel with respect to scientific 
personnel;
    (6) A fish processing vessel which entered into service before 
January 1, 1988, and is not more than 1600 gross tons or which enters 
into service after December 31, 1987, and has not more than 16 
individuals on board primarily employed in the preparation of fish or 
fish products; and,
    (7) All fish processing vessels with respect to those personnel 
primarily employed in the preparation of fish or fish products or in a 
support position not related to navigation.
    (b) 46 U.S.C. 8702(b) requires that on board vessels departing U.S. 
ports 75 percent of the crew in each department on board is able to 
understand any order spoken by the officers.
    (c) The words able to understand any order spoken by the officers 
relates to any order to a member of the crew when directing the 
performance of that person's duties and orders relating to emergency 
situations such as used for response to a fire or in using lifesaving 
equipment. It is not expected that a member of the deck department 
understand terminology normally used only in the engineroom or vice 
versa.
    (d) Whenever information is presented to the Coast Guard that a 
vessel fails to comply with the specified language requirements the 
Coast Guard investigates the allegation to determine its validity. In 
determining if an allegation is factual, the Coast Guard may require a 
demonstration by the officers and crew that appropriate orders are 
understood. The demonstration will require that orders be spoken to the 
individual members of the crew by the officers in the language 
ordinarily and customarily used by the officers. The orders must be 
spoken directly by the officer to the crew member and not through an 
interpreter. Signs, gestures, or signals may not be used in the test. 
The Coast Guard representative will specify the orders to be given and

[[Page 240]]

will include not only daily routine but orders involving emergencies, 
either of a departmental or of a general nature. This test will be 
conducted, if possible, at a time reasonably in advance of the vessel's 
departure, to avoid delays.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11262, Mar. 16, 2009]



                         Subpart G_Computations



Sec. 15.801  General.

    The OCMI will determine the specific manning levels for vessels 
required to have certificates of inspection by part B of subtitle II of 
title 46 U.S.C. The masters or individuals in command of all vessels, 
whether required to be inspected under 46 U.S.C. 3301 or not, are 
responsible for properly manning vessels in accordance with the 
applicable laws, regulations, and international conventions.

[CGD 81-059, 54 FR 149, Jan. 4, 1989]



Sec. 15.805  Master.

    (a) There must be an individual holding an appropriate license as or 
a valid MMC with endorsement as master master in command of each of the 
following vessels:
    (1) Every self-propelled, seagoing documented vessel of 200 gross 
tons and over.
    (2) Every self-propelled inspected vessel.
    (3) Every inspected passenger vessel.
    (4) Every inspected small passenger vessel.
    (5) Every towing vessel of at least 8 meters (at least 26 feet) or 
more in length must be under the command of a master of towing vessels, 
or a mariner holding a license or MMC endorsed as master of inspected, 
self-propelled vessels greater than 200 gross register tons (GRT) 
holding either--
    (i) A completed Towing Officer's Assessment Record (TOAR), bearing 
the signature of a Designated Examiner and stating that the Examiner 
found the candidate proficient; or
    (ii) A license or MMC with officer endorsement for towing vessels.
    (6) Every uninspected passenger vessel of at least 100 gross tons.
    (b) Every vessel documented under the laws of the United States, 
other than a vessel with only a recreational endorsement, must be under 
the command of a U.S. citizen.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
149, Jan. 4, 1989; USCG-1999-6216, 64 FR 53223, Oct. 1, 1999; USCG-1999-
6224, 64 FR 63235, Nov. 19, 1999; 66 FR 20944, Apr. 26, 2001; USCG-1999-
5040, 67 FR 34767, May 15, 2002; USCG-2006-24371, 74 FR 11261, Mar. 16, 
2009]



Sec. 15.810  Mates.

    (a) The OCMI determines the minimum number of mates required for the 
safe operation of inspected vessels.
    (b) The minimum number of mariners holding a license or MMC officer 
endorsement as mate required to be carried on every inspected, self-
propelled, seagoing and Great Lakes vessel, and every inspected, 
seagoing, passenger vessel must not be less than the following, except 
when reductions are authorized under paragraph (e) of this section:
    (1) Vessels of 1000 gross tons or more (except MODUs)--three mates 
(except when on a voyage of less than 400 miles from port of departure 
to port of final destination--two mates).
    (2) MODUs of 1000 gross tons or more:
    (i) Three mates when on a voyage of more than 72 hours.
    (ii) Two mates when on a voyage of more than 16 but not more than 72 
hours.
    (iii) One mate when on a voyage of not more than 16 hours.
    (3) Vessels of 100 or more gross tons but less than 1000 gross 
tons--two mates (except vessels of at least 100 but less than 200 gross 
tons on voyages which do not exceed 24 hours in duration--one mate).
    (4) All offshore supply vessels of 100 gross tons or more--two mates 
(except when on a voyage of less than 600 miles--one mate). A voyage 
includes the accrued distance from port of departure to port of arrival 
and does not include stops at offshore points.
    (5) All vessels of less than 100 gross tons--one mate (except 
vessels on voyages not exceeding 12 hours in duration may, if the OCMI 
determines it to be safe, be operated without mates).

[[Page 241]]

    (c) An individual in charge of the navigation or maneuvering of a 
self-propelled, uninspected, documented, seagoing vessel of 200 gross 
tons or over must hold an appropriate license or MMC authorizing service 
as mate.
    (d) Each person in charge of the navigation or maneuvering of a 
towing vessel of at least 8 meters (at least 26 feet) in length must 
satisfy the requirements of Sec. 15.805(a)(5) of this part or hold a 
license or MMC authorizing service as either--
    (1) Mate (pilot) of towing vessels; or
    (2) Mate of inspected self-propelled vessels greater than 200 GRT 
within any other restrictions on the officer's license or MMC, holding 
either--
    (i) A completed Towing Officer's Assessment Record (TOAR) bearing 
the signature from a Designated Examiner and stating that the Examiner 
found the candidate proficient; or
    (ii) A license or MMC with officer endorsement for towing vessels.
    (e) The OCMI may increase the minimum number of mates indicated in 
paragraph (b) of this section where he or she determines that the 
vessel's characteristics, route, or other operating conditions create 
special circumstances warranting an increase.
    (f) The Commandant will consider reductions to the number of mates 
required by this section when special circumstances allowing a vessel to 
be safely operated can be demonstrated.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 81-059, 54 FR 
149, Jan. 4, 1989; CGD 81-059a, 55 FR 14805, Apr. 18, 1990; USCG-1999-
6224, 64 FR 63235, Nov. 19, 1999; 66 FR 20944, Apr. 26, 2001; USCG-2006-
24371, 74 FR 11262, Mar. 16, 2009]



Sec. 15.812  Pilots.

    (a) Except as specified in paragraph (f) of this section, the 
following vessels, not sailing on register, when underway on the 
navigable waters of the United States, must be under the direction and 
control of an individual qualified to serve as pilot under paragraph (b) 
or (c) of this section as appropriate:
    (1) Coastwise seagoing vessels propelled by machinery and subject to 
inspection under 46 U.S.C. Chapter 33, and coastwise seagoing tank 
barges subject to inspection under 46 U.S.C. Chapter 37;
    (2) Vessels that are not authorized by their Certificate of 
Inspection to proceed beyond the Boundary Line established in part 7 of 
this Chapter which are in excess of 1,600 gross tons, propelled by 
machinery, and subject to inspection under 46 U.S.C. chapter 33; and
    (3) Vessels operating on the Great Lakes that are propelled by 
machinery and subject to inspection under 46 U.S.C. chapter 33, or are 
tank barges subject to inspection under 46 U.S.C. chapter 37.
    (b) The following individuals may serve as a pilot for a vessel 
subject to paragraph (a) of this section, when underway on the navigable 
waters of the United States that are designated areas:
    (1) An individual holding a valid first class pilot's license or MMC 
with a first class pilot's endorsement, operating within the 
restrictions of his or her credential, may serve as pilot on any vessel 
to which this section applies.
    (2) An individual holding a valid license or MMC officer endorsement 
as master or mate, employed aboard a vessel within the restrictions of 
his or her credential, may serve as pilot on a vessel of not more than 
1,600 gross tons propelled by machinery, described in paragraphs (a)(1) 
and (a)(3) of this section, provided he or she:
    (i) Is at least 21 years old;
    (ii) Complies with the currency of knowledge provisions of Sec. 
11.713 of this chapter; and
    (iii) Has completed a minimum of four round trips over the route to 
be traversed while in the wheelhouse as watchstander or observer. At 
least one of the round trips must be made during the hours of darkness 
if the route is to be traversed during darkness
    (3) An individual holding a valid license or MMC officer endorsement 
as master, mate, or operator employed aboard a vessel within the 
restrictions of his or her credential, may serve as pilot on a tank 
barge or tank barges totaling not more than 10,000 gross tons, described 
in paragraphs (a)(1) and (a)(3) of this section, provided he or she:
    (i) Is at least 21 years old;

[[Page 242]]

    (ii) Complies with the currency of knowledge provisions of Sec. 
11.713 of this chapter;
    (iii) Has a current physical examination in accordance with the 
provisions of Sec. 11.709 of this chapter;
    (iv) Has at least six-months service in the deck department on 
towing vessels engaged in towing operations; and
    (v) Has completed a minimum of twelve round trips over the route to 
be traversed, as an observer or under instruction in the wheelhouse. At 
least three of the round trips must be made during the hours of darkness 
if the route is to be traversed during darkness.
    (c) An individual holding a valid license or MMC officer endorsement 
as master, mate, or operator, employed aboard a vessel within the 
restrictions of his or her credential, may serve as a pilot for a vessel 
subject to paragraphs (a)(1) and (a)(2) of this section, when underway 
on the navigable waters of the United States that are not designated 
areas of pilotage waters, provided he or she:
    (1) Is at least 21 years old;
    (2) Complies with the currency of knowledge provisions of Sec. 
11.713 of this chapter; and
    (3) Has a current physical examination in accordance with the 
provisions of Sec. 11.709 of this chapter.
    (d) In any instance when the qualifications of a person satisfying 
the requirements for pilotage through the provisions of this Subpart are 
questioned by the Coast Guard, the individual shall, within a reasonable 
time, provide the Coast Guard with documentation proving compliance with 
the applicable portion(s) of paragraphs (b) and (c) of this section.
    (e) Federal pilotage requirements contained in paragraphs (a) 
through (d) of this section are summarized in two quick reference 
tables.
    (1) Table 15.812(e)(1) provides a guide to the pilotage requirements 
for inspected, self-propelled vessels.

     Table 15.812(e)(1)--Quick Reference Table for Federal Pilotage
 Requirements for U.S. Inspected Self-Propelled Vessels, Not Sailing on
                                Register
------------------------------------------------------------------------
                                   Designated areas
                                  of pilotage waters     Nondesignated
                                   (routes for which   areas of pilotage
                                      First Class       waters (between
                                   Pilot's licenses     the three mile
                                    or MMC officer    line and the start
                                   endorsements are     of traditional
                                        issued)        pilotage routes)
------------------------------------------------------------------------
Inspected self-propelled vessels  First Class Pilot.  Master or Mate may
 greater than 1,600 GT,                                serve as pilot if
 authorized by their Certificate                       the individual:
 of Inspection (COI) to proceed                       1. Is at least 21
 beyond the Boundary Line, or                          years old.
 operating on the Great Lakes.                        2. Has an annual
                                                       physical exam.
                                                      3. Maintains
                                                       current knowledge
                                                       of the waters to
                                                       be navigated.\1\
Inspected self-propelled vessels  First Class Pilot,  Master or Mate may
 not more than 1,600 GT,           or Master or Mate   serve as pilot if
 authorized by their Certificate   may serve as        the individual:
 of Inspection to proceed beyond   pilot if the       1. Is at least 21
 the Boundary Line, or operating   individual:         years old.
 on the Great Lakes.              1. Is at least 21   2. Maintains
                                   years old..         current knowledge
                                  2. Maintains         of the waters to
                                   current knowledge   be navigated.\1\
                                   of the waters to
                                   be navigated.\1\.
                                  3. Has 4 round
                                   trips over the
                                   route.\2\.
Inspected self-propelled vessels  First Class Pilot.  Master or Mate may
 greater than 1,600 GT, not                            serve as pilot if
 authorized by their COI to                            the individual:
 proceed beyond the Boundary                          1. Is at least 21
 Line (Inland route vessels);                          years old.
 other than vessels operating on                      2. Has an annual
 the Great Lakes.                                      physical exam.
                                                      3. Maintains
                                                       current knowledge
                                                       of the waters to
                                                       be navigated.\1\
Inspected self-propelled vessels  No pilotage         No pilotage
 not more than 1,600 GT, not       requirement.        requirement.
 authorized by their COI to
 proceed beyond the Boundary
 Line (Inland route vessels);
 other than vessels operating on
 the Great Lakes.
------------------------------------------------------------------------
\1\ One round trip within the past 60 months.
\2\ If the route is to be traversed during darkness, 1 of the 4 round
  trips must be made during darkness.

    (2) Table 15.812(e)(2) provides a guide to the pilotage requirements 
for tank barges.

[[Page 243]]



     Table 15.812(e)(2)--Quick Reference Table for Federal Pilotage
  Requirements for U.S. Inspected Tank Barges, not Sailing on Register
------------------------------------------------------------------------
                                   Designated areas
                                  of pilotage waters     Nondesignated
                                   (routes for which   areas of pilotage
                                      First Class       waters (between
                                   Pilot's licenses     the three mile
                                    or MMC officer    line and the start
                                   endorsements are     of traditional
                                        issued)        pilotage routes)
------------------------------------------------------------------------
Tank Barges greater than 10,000   First Class Pilot.  Master, Mate, or
 GT, authorized by their                               Master, Mate
 Certificate of Inspection to                          (Pilot) of towing
 proceed beyond the Boundary                           vessels may serve
 Line, or operating on the Great                       as pilot if the
 Lakes.                                                individual:
                                                      1. Is at least 21
                                                       years old.
                                                      2. Has an annual
                                                       physical exam.\1\
                                                      3. Maintains
                                                       current knowledge
                                                       of the waters to
                                                       be navigated.\2\
                                                      4. Has at least 6
                                                       months' service
                                                       in the deck
                                                       department on
                                                       towing vessels
                                                       engaged in
                                                       towing.
Tank Barges 10,000 GT or less,    First Class Pilot,  Master, Mate, or
 authorized by their Certificate   or Master, Mate,    Master, Mate
 of Inspection to proceed beyond   or Master, Mate     (Pilot) of towing
 the Boundary Line, or operating   (Pilot) of towing   vessels may serve
 on the Great Lakes.               vessels may serve   as pilot if the
                                   as pilot if the     individual:
                                   individual:        1. Is at least 21
                                  1. Is at least 21    years old.
                                   years old.         2. Has an annual
                                  2. Has an annual     physical exam.\1\
                                   physical exam.\1\. 3. Maintains
                                  3. Maintains         current knowledge
                                   current knowledge   of the waters to
                                   of the waters to    be navigated.\2\
                                   be navigated.\2\.  4. Has at least 6
                                  4. Has at least 6    months' service
                                   months' service     in the deck
                                   in the deck         department on
                                   department on       towing vessels
                                   towing vessels      engaged in towing
                                   engaged in towing   operations.
                                   operations..
                                  5. Has 12 round
                                   trips over the
                                   route.\3\.
Tank Barges authorized by their   No pilotage         No pilotage
 Certificate of Inspection for     requirement.        requirement.
 Inland routes only (Lakes,
 Bays, and Sounds/Rivers); other
 than vessels operating on the
 Great Lakes.
------------------------------------------------------------------------
\1\ Annual physical exam does not apply to an individual who will serve
  as a pilot of a Tank Barge of less than 1,600 gross tons.
\2\ One round trip within the past 60 months.
\3\ If the route is to be traversed during darkness, 3 of the 12 round
  trips must be made during darkness.

    (f) In Prince William Sound, Alaska, coastwise seagoing vessels over 
1,600 gross tons and propelled by machinery and subject to inspection 
under 46 U.S.C. Chapter 37 must:
    (1) When operating from 60[deg]49[min] north latitude to the Port of 
Valdez be under the direction and control of an individual holding a 
valid license or MMC endorsed as pilot who:
    (i) Is operating under the authority of a license or MMC;
    (ii) Holds a license issued by the State of Alaska; and
    (iii) Is not a member of the crew of the vessel.
    (2) Navigate with either two credentialed deck officers on the 
bridge or an individual holding a valid license or MMC endorsed as pilot 
when operating south of 60[deg]49[min] north latitude and in the 
approaches through Hinchinbrook Entrance and in the area bounded:
    (i) On the West by a line one mile west of the western boundary of 
the Traffic Separation Scheme;
    (ii) On the East by 146[deg]00[min] West longitude;
    (iii) On the North by 60[deg]49[min] North latitude; and
    (iv) On the South by that area of Hinchinbrook Entrance within the 
territorial sea bounded by 60[deg] 07[min] North latitude and 
146[deg]31.5[min] West longitude.

[CGD 84-060, 59 FR 4842, Feb. 2, 1994, as amended by CGD 84-060, 60 FR 
20652, 20653, Apr. 27, 1995; USCG-2004-18884, 69 FR 58343, Sept. 30, 
2004; USCG-2006-24371, 74 FR 11262, Mar. 16, 2009]



Sec. 15.815  Radar observers.

    (a) Each person in the required complement of deck officers, 
including the master, on inspected vessels of 300 gross tons or over 
which are radar equipped, shall hold an endorsement as radar observer.
    (b) Each person who is employed or serves as pilot in accordance 
with Federal law on board vessels of 300 gross tons or over which are 
radar equipped, shall hold an endorsement as radar observer.

[[Page 244]]

    (c) Each person having to hold a license or MMC officer endorsement 
under 46 U.S.C. 8904(a) for employment or service as masteror mate on 
board an uninspected towing vessel of 8 meters (approximately 26 feet) 
or more in length must, if the vessel is equipped with radar, hold an 
endorsement as radar observer.
    (d) Each person who is required to hold a radar endorsement must 
have their certificate of training readily available to demonstrate that 
the endorsement is still valid.
    (e) For the purposes of this section, ``readily available'' means 
that the mariner must carry the original certificate of training or a 
notarized copy thereof onboard. Alternatively, the mariner must provide 
a copy of the certificate of training to the requesting entity within 48 
hours. The requested material may be delivered either physically, 
electronically, or by facsimile.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 94-041, 60 FR 
8309, Feb. 14, 1995; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-2004-
18884, 69 FR 58343, Sept. 30, 2004; USCG-2006-26202, 73 FR 52795, Sept. 
11, 2008; USCG-2006-24371, 74 FR 11262, Mar. 16, 2009]



Sec. 15.820  Chief engineer.

    (a) There must be an individual holding an MMC or license endorsed 
as chief engineer or other credential authorizing service as chief 
engineer employed on board the following inspected mechanically 
propelled vessels:
    (1) Seagoing or Great Lakes vessels of 200 gross tons and over.
    (2) Offshore supply vessels of more than 200 gross tons.
    (3) Inland (other than Great Lakes) vessels of 300 gross tons and 
over, if the OCMI determines that an individual with a license or the 
appropriate MMC officer endorsement responsible for the vessel's 
mechanical propulsion is necessary.
    (b) An individual engaged or employed to perform the duties of chief 
engineer on a mechanically propelled, uninspected, seagoing, documented 
vessel of 200 gross tons or over must hold an appropriately endorsed 
license or MMC authorizing service as a chief engineer.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11262, Mar. 16, 2009]



Sec. 15.825  Engineers.

    (a) An individual in charge of an engineering watch on a 
mechanically propelled, seagoing, documented vessel of 200 gross tons or 
over, other than an individual described in Sec. 15.820, must hold an 
appropriately endorsed license or MMC authorizing service as an 
assistant engineer.
    (b) The Officer in Charge, Marine Inspection determines the minimum 
number of credentialed engineers required for the safe operation of 
inspected vessels.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11263, Mar. 16, 2009]



Sec. 15.830  Radio officers.

    Radio officers are required on certain merchant vessels of the 
United States. The determination of when a radio officer is required is 
based on the Federal Communications Commission requirements.



Sec. 15.835  Staff officers.

    Staff officers, when carried, must be registered as specified in 
part 11 of this chapter.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11263, Mar. 16, 2009]



Sec. 15.840  Able seamen.

    (a) With certain exceptions, 46 U.S.C. 8702 applies to all vessels 
of at least 100 gross tons. At 1east 65 percent of the deck crew of 
these vessels, excluding individuals serving as officers, must be able 
seamen. For vessels permitted to maintain a two watch system, the 
percentage of able seamen may be reduced to 50 percent.
    (b) Able seamen are rated as: unlimited, limited, special, offshore 
supply vessel, sail, and fishing industry, under the provisions of part 
12 of this chapter. 46 U.S.C. 7312 specifies the categories of able 
seamen (i.e., unlimited, limited, etc.) necessary to meet the 
requirements of 46 U.S.C. 8702.

[[Page 245]]

    (c) It is the responsibility of the master or person in charge to 
ensure that the able seamen in the service of the vessel meet the 
requirements of 46 U.S.C. 7312 and 8702.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2006-24371, 
74 FR 11263, Mar. 16, 2009]



Sec. 15.845  Lifeboatmen.

    The number of lifeboatmen required for a vessel are specified in the 
parts of the regulations dealing with the inspection of that specific 
type of vessel.



Sec. 15.850  Lookouts.

    The requirements for the maintenance of a proper lookout are 
specified in Rule 5 of the International Regulations for Preventing 
Collisions at Sea, 1972 (33 U.S.C. 1602(c)), and Rule 5 of the Inland 
Navigational Rules Act of 1980 (33 U.S.C. 2005). Lookout is a function 
to be performed by a member of a navigational watch.

[USCG-2007-29018, 72 FR 53964, Sept. 21, 2007]



Sec. 15.855  Cabin watchmen and fire patrolmen.

    (a) On vessels carrying passengers at night, the master or person in 
charge shall ensure that a suitable number of watchmen are in the 
vicinity of the cabins or staterooms and on each deck, to guard against 
and give alarm in case of fire or other danger.
    (b) On a fish processing vessel of more than 100 gross tons, there 
must be a suitable number of watchmen trained in firefighting on board 
when hot work is being done, to guard against and give alarm in case of 
a fire.
    (c) For the watchmen described in paragraph (a) of this section, the 
owner or operator of an uninspected passenger vessel not more than 300 
gross tons may substitute the use of fire detectors, heat detectors, 
smoke detectors, and high-water alarms with audible- and visual-warning 
indicators, in addition to other required safety alarms, only when each 
of the following conditions are met:
    (1) Fire detectors are located in each space containing machinery or 
fuel tanks per Sec. 181.400(c) of this chapter.
    (2) All grills, broilers, and deep-fat fryers are fitted with a 
grease extraction hood per Sec. 181.425 of this chapter.
    (3) Heat and/or smoke detectors are located in each galley, public 
accommodation space, enclosed passageway, berthing space, and all crew 
spaces.
    (4) High-water alarms are located in each space with a through hull 
fitting below the deepest load waterline, a machinery space bilge, bilge 
well, shaft alley bilge, or other space subject to flooding from sea 
water piping within the space, and a space below the waterline with non-
watertight closure such as a space with a non-watertight hatch on the 
main deck.
    (5) Each alarm has an audible- and visual-alarm indicator located at 
the normal operating station and, if the normal operating position is 
not continually manned and not navigating underway, in an alternate 
location that must provide the crew, and may at all times provide the 
passengers, immediate warning of a hazardous condition.
    (6) The vessel is underway for no more than 12 hours in any 24-hour 
period, and the master of the vessel has chosen to operate with less 
than a three-watch system in accordance with Sec. 15.705.

[CGD 81-059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-1999-5040, 
67 FR 34767, May 15, 2002]



Sec. 15.860  Tankerman.

    (a) The Officer in Charge, Marine Inspection, enters on the 
Certificate of Inspection issued to each manned tank vessel subject to 
the regulations in this chapter the number of crewmembers required to 
hold valid merchant mariners' documents or MMCs with the proper 
tankerman endorsement. Table 15.860(a)(1) provides the minimal 
requirements for tankermen aboard manned tank vessels; Table 
15.860(a)(2) provides the tankerman endorsements required for personnel 
aboard tankships.
    (b) For each tankship of more than 5,000 gross tons certified for 
voyages beyond the Boundary Line:
    (1) The number of ``Tankerman-PICs'' or restricted ``Tankerman-
PICs'' carried must be not fewer than two.

[[Page 246]]

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

                Table 15.860(a)(1)--Minimal Requirements for Tankermen Aboard Manned Tank Vessels
----------------------------------------------------------------------------------------------------------------
                                                                                                      Tankerman
                                                               Tankerman    Tankerman    Tankerman      PIC or
                        Tank vessels                              PIC       assistant     engineer    tankerman
                                                                                                     PIC (barge)
----------------------------------------------------------------------------------------------------------------
Tankship Certified for Voyages Beyond Boundary Line:
    Over 5000 GT............................................            2            3            2  ...........
    5000 GT or less.........................................            2  ...........           *2  ...........
Tankship Not Certified for Voyages Beyond Boundary Line.....          **2  ...........  ...........  ...........
Tank Barge..................................................  ...........  ...........  ...........         ***2
----------------------------------------------------------------------------------------------------------------
* If only one engineer is required, then only one Tankerman Engineer is required.
** If the total crew complement is one or two persons, then only one Tankerman PIC is required.
*** If the total crew complement is one or two persons, then only one Tankerman PIC or Tankerman PIC (Barge) is
  required.


               Table 15.860(a)(2)--Tankermen Endorsements Required for Personnel Aboard Tankships
                [Endorsement for the Classification of the Bulk Liquid Cargo or Residues Carried]
----------------------------------------------------------------------------------------------------------------
                                                                  Tankerman             Tankerman     Tankerman
      Tankship certified for voyages beyond boundary line            PIC                engineer      assistant
----------------------------------------------------------------------------------------------------------------
Master........................................................     [bcheck]
Chief Mate....................................................     [bcheck]

[[Page 247]]

 
Chief Engineer................................................     [bcheck]      or      [bcheck]
First Assistant Engineer......................................     [bcheck]      or      [bcheck]
Cargo Engineer................................................     [bcheck]      or      [bcheck]
Credentialed Officer Acting as PIC of Transfer of Liquid Cargo     [bcheck]
 in Bulk......................................................
Credentialed Officer or Crewmember Not Directly Supervised by   ............  ......  ............     [bcheck]
 PIC..........................................................
----------------------------------------------------------------------------------------------------------------


[CGD 79-116, 60 FR 17154, Apr. 4, 1995, as amended by CGD 79-116, 62 FR 
25135, May 8, 1997; USCG-2006-24371, 74 FR 11263, Mar. 16, 2009]



                          Subpart H_Equivalents



Sec. 15.901  Inspected vessels of less than 100 gross tons.

    (a) An individual holding a license or MMC endorsed as mate or pilot 
of inspected, self-propelled vessels of over 200 gross tons is 
authorized to serve as master on inspected vessels of less than 100 
gross tons within any restrictions on the individual's license or MMC.
    (b) An individual holding a license or MMC endorsed as master or 
mate of inspected, self-propelled vessels is authorized to serve as 
master or mate, respectively, of non-self-propelled vessels other than 
sail vessels, within any restrictions on the individual's license or 
MMC.
    (c) An individual holding a license or MMC endorsed as master or 
mate of inspected, sail vessels is authorized to serve as master or 
mate, respectively, of other non-self-propelled vessels, within any 
restrictions on the individual's license or MMC.
    (d) An individual holding a license or MMC endorsed as master or 
mate of inspected, auxiliary sail vessels, is authorized to serve as 
master or mate, respectively, of self-propelled and non-self-propelled 
vessels, within any restrictions on the individual's license or MMC.

[CGD 81-059, 54 FR 150, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11263, Mar. 16, 2009]



Sec. 15.905  Uninspected passenger vessels.

    (a) An individual holding a license or MMC endorsed as master or 
pilot of an inspected, self-propelled vessel is authorized to serve as 
operator of an uninspected passenger vessel under 100 gross tons within 
any restrictions, other than gross tonnage limitations, on the 
individual's license or MMC.
    (b) An individual holding a license or MMC endorsed as a master or 
pilot of an inspected, self-propelled vessel is authorized to serve as 
master, as required by 46 CFR 15.805(a)(6), of an uninspected passenger 
vessel of at least 100 gross tons within any restrictions, including 
gross tonnage and route, on the individual's license or MMC.
    (c) An individual holding a license or MMC endorsed as mate of 
inspected, self-propelled vessels (other than Great Lakes, inland, or 
river vessels of not more than 200 gross tons) is authorized to serve as 
operator of uninspected passenger vessels of less than 100 gross tons 
within any restrictions, other than gross tonnage limitations, on the 
individual's license or MMC.

[USCG-1999-5040, 67 FR 34767, May 15, 2002, as amended by USCG-2006-
24371, 74 FR 11263, Mar. 16, 2009]



Sec. 15.910  Towing vessels.

    No person may serve as a master or mate (pilot) of any towing vessel 
without meeting the requirements of Sec. Sec. 15.805(a)(5) or 15.810(d) 
of this part.

[USCG-2006-24371, 74 FR 11263, Mar. 16, 2009]



Sec. 15.915  Engineer Officer Endorsements.

    The following licenses and MMC officer endorsements authorize the 
holder to serve as noted, within any restrictions on the license or MMC:
    (a) A designated duty engineer license or endorsement authorizes 
service as chief or assistant engineer on

[[Page 248]]

vessels of not more than 500 gross tons in the following manner:
    (1) A designated duty engineer limited to vessels of not more than 
1000 horsepower or 4000 horsepower may serve only on near coastal, Great 
Lakes, or inland waters;
    (2) A designated duty engineer with no horsepower limitations may 
serve on any waters.
    (b) A chief engineer (limited-oceans) license or endorsement 
authorizes service as chief or assistant engineer on vessels of any 
gross tons on inland waters and of not more than 1600 gross tons on 
ocean, near coastal, or Great Lakes waters.
    (c) A chief engineer (limited-near coastal) license or endorsement 
authorizes service as chief or assistant engineer on vessels of any 
gross tons on inland waters and of not more than 1600 gross tons on near 
coastal or Great Lakes waters.
    (d) An assistant engineer (limited-oceans) license or endorsement 
authorizes service on vessels of any gross tons on inland waters and of 
not more than 1600 gross tons on ocean, near coastal, or Great Lakes 
waters.

[CGD 81-059, 54 FR 150, Jan. 4, 1989, as amended by USCG-2006-24371, 74 
FR 11263, Mar. 16, 2009]



                   Subpart I_Vessels in Foreign Trade

    Source: CGD 92-061, 60 FR 24796, May 10, 1995, unless otherwise 
noted.



Sec. 15.1001  General.

    Self-propelled vessels engaged in foreign commerce are required to 
use a pilot holding a valid MMC or license with appropriate endorsement 
as a first-class pilot when operating in the navigable waters of the 
United States specified in this subpart.

[CGD 92-061, 60 FR 24796, May 10, 1995, as amended by USCG-2006-24371, 
74 FR 11263, Mar. 16, 2009]



Sec. 15.1010  California.

    The following offshore marine oil terminals located within U.S. 
navigable waters of the State of California:
    (a) Carlsbad, CA. The waters including the San Diego Gas and 
Electric, Encina Power Plant, lying within an area bounded by a line 
beginning at latitude 33[deg]10[min]06[sec]N, longitude 
117[deg]21[min]42[sec]W, thence southwesterly to latitude 
33[deg]08[min]54[sec]N, longitude 117[deg]24[min]36[sec]W, thence 
southwesterly to latitude 33[deg]04[min]30[sec]N, longitude 
117[deg]21[min]42[sec]W, thence northeasterly to latitude 
33[deg]05[min]36[sec]N, longitude 117[deg]18[min]54[sec]W, thence 
northwesterly along the shoreline to latitude 33[deg]10[min]06[sec]N, 
longitude 117[deg]21[min]42[sec]W.
    (b) Huntington Beach, CA. The waters including the Golden West 
Refining Company, Huntington Beach Marine Terminal, lying within an area 
bounded by a line beginning at latitude 33[deg]39[min]06[sec]N, 
longitude 118[deg]00[min]0[sec]W, thence westerly to latitude 
33[deg]39[min]18[sec]N, longitude 118[deg]05[min]12[sec]W, thence 
southeasterly along a line drawn three nautical miles from the baseline 
to latitude 33[deg]35[min]30[sec]N, longitude 118[deg]00[min]00[sec]W, 
thence easterly to latitude 33[deg]35[min]30[sec]N, longitude 
117[deg]52[min]30[sec]W, thence northwesterly along the shoreline to 
latitude 33[deg]39[min]06[sec]N, longitude 118[deg]00[min]00[sec]W.
    (c) El Segundo, CA. The waters including the Chevron USA, El Segundo 
Marine Terminal, lying within an area bounded by a line beginning at 
latitude 33[deg]56[min]18[sec]N, longitude 118[deg]26[min]18[sec]W, 
thence westerly to latitude 33[deg]56[min]18[sec]N, longitude 
118[deg]30[min]48[sec]W, thence southeasterly along a line drawn three 
nautical miles from the baseline to latitude 33[deg]51[min]48[sec]N, 
longitude 118[deg]27[min]54[sec]W, thence easterly to latitude 
33[deg]51[min]48[sec]N, longitude 118[deg]24[min]00[sec]W, thence 
northwesterly along the shoreline to latitude 33[deg]56[min]18[sec]N, 
longitude 118[deg]26[min]18[sec]W.
    (d) Oxnard, CA. The waters including the Southern California Edison 
Company, Mandalay Generating Station, lying within an area bounded by a 
line beginning at latitude 34[deg]14[min]12[sec]N, longitude 
119[deg]16[min]00[sec]W, thence westerly to latitude 
34[deg]14[min]12[sec]N, longitude 119[deg]19[min]36[sec]W, thence 
southeasterly along a line drawn three nautical miles from the baseline 
to latitude 34[deg]09[min]24[sec]N, longitude 119[deg]17[min]20[sec]W, 
thence easterly to latitude 34[deg]09[min]24[sec]N, longitude 
119[deg]13[min]24[sec]W, thence northwesterly along the shoreline to 
latitude 34[deg]14[min]24[sec]N, longitude 119[deg]16[min]00[sec]W.
    (e) Goleta, CA. The waters including the ARCO, Ellwood Marine 
Terminal, lying within an area bounded by a line

[[Page 249]]

beginning at latitude 34[deg]26[min]12[sec]N, longitude 
119[deg]57[min]00[sec]W, thence southerly to latitude 
34[deg]22[min]48[sec]N, longitude 119[deg]57[min]00[sec]W, thence 
southeasterly along a line drawn three nautical miles from the baseline 
to latitude 34[deg]21[min]06[sec]N, longitude 119[deg]50[min]30.5[sec]W, 
thence northerly to latitude 34[deg]24[min]18[sec]N, longitude 
119[deg]50[min]30[sec]W, thence northwesterly along the shoreline to 
latitude 34[deg]26[min]12[sec]N, longitude 119[deg]57[min]00[sec]W.
    (f) Gaviota, CA. The waters including the Texaco Trading and 
Transportation, Gaviota Marine Terminal, lying within an area bounded by 
a line beginning at latitude 34[deg]28[min]06[sec]N, longitude 
120[deg]16[min]00[sec]W, thence southerly to latitude 
34[deg]25[min]06[sec]N, longitude 120[deg]16[min]00[sec]W, thence 
easterly along a line drawn three nautical miles from the baseline to 
latitude 34[deg]25[min]24[sec]N, longitude 120[deg]08[min]30[sec]W, 
thence northerly to latitude 34[deg]28[min]24[sec]N, longitude 
120[deg]08[min]30[sec]W, thence westerly along the shoreline to latitude 
34[deg]28[min]06[sec]N, longitude 120[deg]16[min]00[sec]W.
    (g) Moss Landing, CA. The waters including the Pacific Gas and 
Electric Company Power Plant, lying within an area bounded by a line 
beginning at latitude 36[deg]49[min]00[sec]N, longitude 
121[deg]47[min]42[sec]W, thence westerly to latitude 
36[deg]49[min]00[sec]N, longitude 121[deg]51[min]00[sec]W, thence 
southerly to latitude 36[deg]47[min]00[sec]N, longitude 
121[deg]51[min]00[sec]W thence easterly to latitude 
36[deg]47[min]00[sec]N, longitude 121[deg]47[min]54[sec]W, thence 
northerly along the shoreline to latitude 36[deg]49[min]00[sec]N, 
longitude 121[deg]47[min]42[sec]W.
    (h) Estero Bay, CA. The waters including various moorings, including 
the Pacific Gas and Electric Company mooring and the two Chevron Oil 
Company Terminals lying within an area bounded by a line beginning at 
latitude 36[deg]25[min]00[sec]N, longitude 120[deg]52[min]30[sec]W, 
thence westerly to latitude 36[deg]25[min]00[sec]N, longitude 
120[deg]56[min]00[sec]W, thence southerly to latitude 
36[deg]22[min]00[sec]N, longitude 120[deg]56[min]00[sec]W, thence 
easterly to latitude 36[deg]22[min]00[sec]N, longitude 
120[deg]52[min]12[sec]W, thence northerly along the shoreline to 
latitude 36[deg]25[min]00[sec]N, longitude 120[deg]52[min]30[sec]W.
    (i) San Luis Obispo Bay, CA. The waters including the Unocal 
Corporation Avila Terminal and the approaches thereto, lying in an area 
bounded by a line beginning at latitude 35[deg]09[min]42[sec]N, 
longitude 120[deg]46[min]00[sec]W, thence southerly to latitude 
35[deg]07[min]00[sec]N, longitude 120[deg]46[min]00[sec]W, thence 
easterly to latitude 35[deg]07[min]00[sec]N, longitude 
120[deg]43[min]00[sec]W, thence northerly to latitude 
35[deg]10[min]24[sec]N, longitude 120[deg]43[min]00[sec]W, thence 
westerly along the shoreline to latitude 35[deg]09[min]42[sec]N, 
longitude 120[deg]46[min]00[sec]W.

[CGD 92-061, 60 FR 24796, Jan. 4, 1995, as amended by USCG-1998-4442, 63 
FR 52189, Sept. 30, 1998]



Sec. 15.1020  Hawaii.

    The following offshore marine oil terminals located within U.S. 
navigable waters of the State of Hawaii: Barbers Point, Island of Oahu. 
The waters including the Hawaiian Independent Refinery, Inc. and the 
Chevron moorings lying within an area bounded by a line bearing 180 
degrees true from Barbers Point Light to latitude 21[deg]14.8[min]N, 
longitude 158[deg]06.4[min]W, thence easterly to latitude 
21[deg]14.8[min]N, longitude 158[deg]03.3[min]W, thence northeasterly to 
latitude 21[deg]15.6[min]N, longitude 158[deg]01.1[min]W, thence 
northwesterly to latitude 21[deg]18.5[min]N, longitude 
158[deg]02.0[min]W, thence westerly along the shoreline to latitude 
21[deg]17.8[min]N, longitude 158[deg]06.4[min]W.



Sec. 15.1030  New York and New Jersey.

    The following U.S. navigable waters located within the States of New 
York and New Jersey when the vessel is making an intra-port transit, to 
include, but not limited to, a movement from a dock to a dock, from a 
dock to an anchorage, from an anchorage to a dock, or from an anchorage 
to an anchorage, within the following listed operating areas:
    (a) East River from Execution Rocks to New York Harbor, Upper Bay;
    (b) Hudson River from Yonkers, New York to New York Harbor, Upper 
Bay;
    (c) Raritan River from Grossman Dock/Arsenal to New York Harbor, 
Lower Bay;
    (d) Arthur Kill Channel;
    (e) Kill Van Kull Channel;
    (f) Newark Bay;
    (g) Passaic River from Point No Point to Newark Bay;
    (h) Hackensack River from the turning basin to Newark Bay; and
    (i) New York Harbor, Upper and Lower Bay.

    Note to Sec. 15.1030: ``Intra-port transit'' as used in this 
section includes the movement

[[Page 250]]

of a foreign-trade vessel inbound from sea from the point where a State-
licensed pilot ceases providing pilotage to another point within the 
identified areas (i.e., a dock or anchorage). Likewise, intra-port 
transit also includes the movement of a foreign-trade vessel outbound to 
sea from a point within the identified areas (i.e., a dock or anchorage) 
to the point where a State licensed pilot begins providing pilotage.

[CGD 92-061, 60 FR 24796, May 10, 1995, as amended by USCG-2004-18884, 
69 FR 58344, Sept. 30, 2004]



Sec. 15.1040  Massachusetts.

    The following U.S. navigable waters located within the State of 
Massachusetts when the vessel is in transit, but not bound to or 
departing from a port within the following listed operating areas:
    (a) Cape Cod Bay south of latitude 41[deg]48[min]54[sec]N;
    (b) The Cape Cod Canal; and
    (c) Buzzards Bay east of a line extending from the southernmost 
point of Wilbur Point (latitude 41[deg]34[min]55[sec]N longitude 
70[deg]51[min]15[sec]W) to the easternmost point of Pasque Island 
(latitude 41[deg]26[min]55[sec]N longitude 70[deg]50[min]30[sec]W).

[CGD 92-061, 60 FR 24796, May 10, 1995, as amended by USCG-1998-4442, 63 
FR 52189, Sept. 10, 1998]



Sec. 15.1050  North Carolina.

    (a) The following navigable waters of the United States within the 
State of North Carolina when the vessel is maneuvering while berthing or 
unberthing, is approaching or passing through a bridge, or is making any 
intra-port transit, which transit may include but is not limited to 
movement from a dock to a dock, from a dock to an anchorage, from an 
anchorage to a dock, or from an anchorage to an anchorage, within either 
of the following areas:
    (1) The waters of the Cape Fear River from the boundary line 
established by 46 CFR 7.60 to Latitude 34[deg] 16.5[min]N.
    (2) The waters of the Northeast Cape Fear River from its confluence 
with the Cape Fear River at Point Peter to Latitude 34[deg]17[min]N.
    (b) This subpart does not apply to any vessel on the waters 
specified in paragraph (a) of this section if the laws of the State of 
North Carolina require a State-licensed pilot on the vessel.

[CGD 97-073, 63 FR 57255, Oct. 27, 1998]



            Subpart J_Vessels Subject to Requirements of STCW

    Source: CGD 95-062, 62 FR 34539, June 26, 1997, unless otherwise 
noted.



Sec. 15.1101  General.

    (a) Definitions. For purposes of this subpart, the term--
    (1) STCW means the International Convention on Standards of 
Training, Certification and Watchkeeping for Seafarers, 1978, as amended 
in 1995;
    (2) STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code;
    (3) Seagoing vessel means a self-propelled vessel in commercial 
service that operates beyond the Boundary Line established by 46 CFR 
part 7. It does not include a vessel that navigates exclusively on 
inland waters;
    (4) Rest means a period of time during which the person concerned is 
off duty, is not performing work (which includes administrative tasks 
such as chart corrections or preparation of port-entry documents), and 
is allowed to sleep without being interrupted; and
    (5) Overriding operational conditions means circumstances in which 
essential shipboard work cannot be delayed for safety or environmental 
reasons, or could not reasonably have been anticipated at the 
commencement of the voyage.
    (6) Vessel Security Officer (VSO) means a person onboard the vessel 
accountable to the Master, designated by the Company as responsible for 
security of the vessel, including implementation and maintenance of the 
Vessel Security Plan, and for liaison with the Facility Security Officer 
and vessel's Company Security Officer.
    (b) Except as otherwise provided in Sec. 15.1103(d), the 
regulations in this subpart apply to seagoing vessels subject to STCW.
    (c) A vessel that has on board a valid Safety Management Certificate 
and a copy of a Document of Compliance issued for that vessel in 
accordance

[[Page 251]]

with 46 U.S.C. 3205 is presumed in compliance with the regulations in 
this subpart.

[CGD 95-062, 62 FR 34539, June 26, 1997, as amended by USCG-2008-0028, 
73 FR 29071, May 20, 2008]



Sec. 15.1103  Employment and service within the restrictions of an 
STCW endorsement or of a certificate of training.

    (a) On board a seagoing vessel operating beyond the Boundary Line, 
no person may employ or engage any person to serve, and no person may 
serve, in a position requiring a person to hold an STCW endorsement, 
including master, chief mate, chief engineer, second engineer, officer 
of the navigational or engineering watch, or radio operator, unless the 
person serving holds an appropriate, valid STCW certificate or 
endorsement issued in accordance with part 10 or 12 of this chapter.
    (b) On board a seagoing vessel of 500 GT or more as determined under 
the International Tonnage Convention, no person may employ or engage any 
person to serve, and no person may serve, as a rating forming part of 
the navigational watch, except for training, unless the person serving 
holds an appropriate, valid STCW certificate or endorsement issued in 
accordance with part 12 of this chapter.
    (c) On board a seagoing vessel driven by main propulsion machinery 
of 750 kW [1,000 hp] propulsion power or more, no person may employ or 
engage any person to serve, and no person may serve, in a rating forming 
part of a watch in a manned engine-room, nor may any person be 
designated to perform duties in a periodically unmanned engine-room, 
except for training or for the performance of duties of an unskilled 
nature, unless the person serving holds an appropriate, valid STCW 
certificate or endorsement issued in accordance with part 12 of this 
chapter.
    (d) You must hold documentary evidence to show you meet the 
requirements of Sec. Sec. 11.1005 or 12.30-5 of this chapter, as 
appropriate, if you are a master or crewmember on board a Ro-Ro 
passenger ship to which a certificate signifying compliance with the 
International Convention for the Safety of Life at Sea, 1974, as amended 
(SOLAS) (SOLAS is available from the International Maritime Organization 
(IMO), 4 Albert Embankment, London, SE1 7SR, England, telephone: + 44 
(0)20 7735 7611, http://www.imo.org), has been issued.
    (e) You must hold documentary evidence to show you meet the 
requirements of Sec. Sec. 11.1005 or 12.30-5 of this chapter, as 
appropriate, if you are a master or crewmember on board a vessel that 
is--
    (1) Subject to the STCW;
    (2) Not a Ro-Ro passenger ship; and
    (3) Carrying more than 12 passengers when on an international 
voyage.
    (f) On board a seagoing vessel required to comply with provisions of 
the Global Maritime Distress and Safety System (GMDSS) in Chapter IV of 
SOLAS, no person may employ or engage any person to serve, and no person 
may serve, as the master, chief mate, or officer of the navigational 
watch, unless the person serving holds the appropriate certificate or 
endorsement for operator of radio in GMDSS.
    (g) On board a seagoing vessel required to comply with provisions of 
the GMDSS in Chapter IV of SOLAS, no person may employ or engage any 
person to serve, and no person may serve, as the person designated to 
maintain GMDSS equipment at sea, when the service of a person so 
designated is used to meet the maintenance requirements of SOLAS 
Regulation IV/15, which allows for capability of at-sea electronic 
maintenance to ensure that radio equipment is available for radio 
communication, unless the person so serving holds documentary evidence 
that he or she is competent to maintain GMDSS equipment at sea.
    (h) On board a seagoing vessel fitted with an Automatic Radar 
Plotting Aid (ARPA), no person may employ or engage any person to serve, 
and no person may serve, as the master, chief mate, or officer of the 
navigational watch, unless the person so serving has been trained in the 
use of ARPA according to Sec. Sec. 11.205 or 11.209 of this chapter, 
whichever is appropriate.

[CGD 95-062, 62 FR 34539, June 26, 1997, as amended by USCG-1999-5610, 
67 FR 55069, Oct. 30, 2002; USCG-2004-18884, 69 FR 58344, Sept. 30, 
2004; USCG-2006-24371, 74 FR 11263, Mar. 16, 2009]

[[Page 252]]



Sec. 15.1105  Familiarization and basic safety-training.

    (a) On board a seagoing vessel, no person may assign any person to 
perform shipboard duties, and no person may perform those duties, unless 
the person performing them has received--
    (1) Training in personal survival techniques as set out in the 
standard of competence under STCW Regulation VI/1; or
    (2) Sufficient familiarization training or instruction that he or 
she--
    (i) Can communicate with other persons on board about elementary 
safety matters and understand informational symbols, signs, and alarm 
signals concerning safety;
    (ii) Knows what to do if a person falls overboard; if fire or smoke 
is detected; or if the firm alarm or abandon-ship alarm sounds;
    (iii) Can identify stations for muster and embarkation, and 
emergency-escape routes;
    (iv) Can locate and don life-jackets;
    (v) Can raise the alarm and knows the use of portable fire 
extinguishers;
    (vi) Can take immediate action upon encountering an accident or 
other medical emergency before seeking further medical assistance on 
board; and
    (vii) Can close and open the fire doors, weather-tight doors, and 
watertight doors fitted in the vessel other than those for hull 
openings.
    (b) On board a seagoing vessel, no person may assign a shipboard 
duty or responsibility to any person who is serving in a position that 
must be filled as part of the required crew complement, and no person 
may perform any such duty or responsibility, unless he or she is 
familiar with it and with all vessel's arrangements, installations, 
equipment, procedures, and characteristics relevant to his or her 
routine or emergency duties or responsibilities, in accordance with STCW 
Regulation I/14.
    (c) On board a seagoing vessel, no person may assign a shipboard 
duty or responsibility to any person who is serving in a position that 
must be filled as part of the required crew complement or who is 
assigned a responsibility on the muster list, and no person may perform 
any such duty or responsibility, unless the person performing it can 
produce evidence of having--
    (1) Received appropriate approved basic safety training or 
instruction as set out in the standards of competence under STCW 
Regulation VI/1, with respect to personal survival techniques, fire 
prevention and fire-fighting, elementary first aid, and personal safety 
and social responsibilities; and
    (2) Achieved or, if training has been completed, maintained 
competence within the last 5 years, in accordance with STCW regulation 
VI/1.
    (d) Fish-processing vessels in compliance with the provisions of 46 
CFR part 28 on instructions, drills, and safety orientation are deemed 
to be in compliance with the requirements of this section on 
familiarization and basic safety-training.

[CGD 95-062, 62 FR 34539, June 26, 1997, as amended by USCG-2004-18884, 
69 FR 58344, Sept. 30, 2004; USCG-2006-24371, 74 FR 11263, Mar. 16, 
2009]



Sec. 15.1107  Maintenance of merchant mariners' records by owner or operator.

    Each owner or operator of a U.S.-documented seagoing vessel shall 
ensure that procedures are in place, in respect of each merchant mariner 
holding a license, MMC, or merchant mariner's document and serving on 
any such vessel, to ensure that the following information is maintained 
throughout his or her service, and is readily accessible to those in 
management responsible for the safety of the vessel and for the 
prevention of marine pollution:
    (a) Medical fitness (such as results of a recent evaluation by a 
medical professional certifying that the mariner is physically able to 
perform the tasks and duties normally associated with a particular 
shipboard position or does not have an apparent medical condition that 
disqualifies him or her from the requirements of a particular shipboard 
position).
    (b) Experience and training relevant to assigned shipboard duties 
(i.e., record of training completed, and of relevant on-the-job 
experience acquired).
    (c) Competency in assigned shipboard duties (evidenced by copies of 
current credentials that the mariner holds, as

[[Page 253]]

well as by a record of the most recent basic safety assessment and by 
instances where ship-specific familiarization has been achieved and 
maintained).

[CGD 95-062, 62 FR 34539, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11263, Mar. 16, 2009]



Sec. 15.1109  Watches.

    Each master of a vessel that operates beyond the Boundary Line shall 
ensure observance of the principles concerning watchkeeping set out in 
STCW Regulation VIII/2 and section A-VIII/2 of the STCW Code.



Sec. 15.1111  Work hours and rest periods.

    (a) Each person assigned duty as officer in charge of a navigational 
or engineering watch, or duty as a rating forming part of a navigational 
or engineering watch, on board any vessel that operates beyond the 
Boundary Line shall receive a minimum of 10 hours of rest in any 24-hour 
period.
    (b) The hours of rest required under paragraph (a) of this section 
may be divided into no more than two periods, of which one must be at 
least 6 hours in length.
    (c) The requirements of paragraphs (a) and (b) of this section need 
not be maintained in the case of an emergency or drill or in other 
overriding operational conditions.
    (d) The minimum period of 10 hours of rest required under paragraph 
(a) of this section may be reduced to not less than 6 consecutive hours 
as long as--
    (1) No reduction extends beyond 2 days; and
    (2) Not less than 70 hours of rest are provided each 7-day period.
    (e) The minimum period of rest required under paragraph (a) of this 
section may not be devoted to watchkeeping or other duties.
    (f) Watchkeeping personnel remain subject to the work-hour limits in 
46 U.S.C. 8104 and to the conditions when crew members may be required 
to work.
    (g) The Master shall post watch schedules where they are easily 
accessible. They must cover each affected member of the crew and must 
take into account the rest requirements of this section as well as port 
rotations and changes in the vessel's itinerary.

[CGD 95-062, 62 FR 34539, June 26, 1997, as amended by USCG-2006-24371, 
74 FR 11263, Mar. 16, 2009]



Sec. 15.1113  Vessel Security Officer (VSO).

    After July 1, 2009, on board seagoing vessel, all persons performing 
duties as VSO must hold a valid endorsement as Vessel Security Officer.

[USCG-2008-0028, 73 FR 29071, May 20, 2008]



PART 16_CHEMICAL TESTING--Table of Contents



                            Subpart A_General

Sec.
16.101 Purpose of regulations.
16.105 Definitions of terms used in this part.
16.107 Waivers.
16.109 Public Interest Exclusion (PIE).
16.113 Chemical drug testing.
16.115 Penalties.

                   Subpart B_Required Chemical Testing

16.201 Application.
16.203 Employer, MRO, and SAP responsibilities.
16.205 Implementation of chemical testing programs.
16.210 Pre-employment testing requirements.
16.220 Periodic testing requirements.
16.230 Random testing requirements.
16.240 Serious marine incident testing requirements.
16.250 Reasonable cause testing requirements.
16.260 Records.

Subpart C [Reserved]

                 Subpart D_Employee Assistance Programs

16.401 Employee Assistance Program (EAP).

                 Subpart E_Management Information System

16.500 Management Information System requirements.

Appendix A [Reserved]

    Authority: 46 U.S.C. 2103, 3306, 7101, 7301, and 7701; Department of 
Homeland Security Delegation No. 0170.1.

    Source: CGD 86-067, 53 FR 47079, Nov. 21, 1988, unless otherwise 
noted.

[[Page 254]]



                            Subpart A_General



Sec. 16.101  Purpose of regulations.

    (a) The regulations in this part provide a means to minimize the use 
of intoxicants by merchant marine personnel and to promote a drug free 
and safe work environment.
    (b) These regulations prescribe the minimum standards, procedures, 
and means to be used to test for the use of dangerous drugs.
    (c) As part of a reasonable cause drug testing program established 
pursuant to this part, employers may test for drugs in addition to those 
specified in this part only with approval granted by the Coast Guard 
under 49 CFR part 40 and for substances for which the Department of 
Health and Human Services has established an approved testing protocol 
and positive threshold.



Sec. 16.105  Definitions of terms used in this part.

    Chemical test means a scientifically recognized test which analyzes 
an individual's breath, blood, urine, saliva, bodily fluids, or tissues 
for evidence of dangerous drug or alcohol use.
    Consortium/Third party administrator (C/TPA) means a service agent 
who provides or coordinates the provision of a variety of drug and 
alcohol testing services to employers. C/TPAs typically perform 
administrative tasks concerning the operation of the employers' drug and 
alcohol testing programs. This term includes, but is not limited to, 
groups of employers who join together to administer, as a single entity, 
the DOT drug and alcohol testing programs of its members.
    Credential is a term used to refer to any or all of the following:
    (1) Merchant mariner's document.
    (2) Merchant mariner's license.
    (3) STCW endorsement.
    (4) Certificate of registry.
    (5) Merchant mariner credential.
    Crewmember means an individual who is:
    (1) Onboard a vessel acting under the authority of a credential 
issued under this subchapter, whether or not the individual is a member 
of the vessel's crew; or
    (2) Engaged or employed onboard a vessel owned in the United States 
that is required by law or regulation to engage, employ, or be operated 
by an individual holding a credential issued under this subchapter, 
except for the following:
    (1) On board a vessel acting under the authority of a license, 
certificate of registry, or merchant mariner's document issued under 
this subchapter, whether or not the individual is a member of the 
vessel's crew; or
    (2) Engaged or employed on board a vessel owned in the United States 
that is required by law or regulation to engage, employ, or be operated 
by an individual holding a license, certificate of registry, or merchant 
mariner's document issued under this subchapter, except the following:
    (i) Individuals on fish processing vessels who are primarily 
employed in the preparation of fish or fish products, or in a support 
position, and who have no duties that directly affect the safe operation 
of the vessel;
    (ii) Scientific personnel on an oceanographic research vessel;
    (iii) Individuals on industrial vessels who are industrial 
personnel, as defined in this chapter; and
    (iv) Individuals not required under part 15 of this subchapter who 
have no duties that directly affect the safe operation of the vessel.
    Dangerous drug means a narcotic drug, a controlled substance, or a 
controlled-substance analog (as defined in section 102 of the 
Comprehensive Drug Abuse and Control Act of 1970 (21 U.S.C. 802)).
    Drug test means a chemical test of an individual's urine for 
evidence of dangerous drug use.
    Employer means a marine employer or sponsoring organization.
    Fails a chemical test for dangerous drugs means that the result of a 
chemical test conducted in accordance with 49 CFR 40 was reported as 
``positive'' by a Medical Review Officer because the chemical test 
indicated the presence of a dangerous drug at a level equal to or 
exceeding the levels established in 49 CFR part 40.
    Marine employer means the owner, managing operator, charterer, 
agent, master, or person in charge of a vessel, other than a 
recreational vessel.

[[Page 255]]

    Medical Review Officer (MRO) means a person who is a licensed 
physician and who is responsible for receiving and reviewing laboratory 
results generated by an employer's drug testing program and evaluating 
medical explanations for certain drug test results.
    Operation means to navigate, steer, direct, manage, or sail a 
vessel, or to control, monitor, or maintain the vessel's main or 
auxiliary equipment or systems. Operation includes:
    (a) Determining the vessel's position, piloting, directing the 
vessel along a desired trackline, keeping account of the vessel's 
progress through the water, ordering or executing changes in course, 
rudder position, or speed, and maintaining a lookout;
    (b) Controlling, operating, monitoring, maintaining, or testing: the 
vessel's propulsion and steering systems; electric power generators; 
bilge, ballast, fire, and cargo pumps; deck machinery including winches, 
windlasses, and lifting equipment; lifesaving equipment and appliances; 
firefighting systems and equipment; and navigation and communication 
equipment; and
    (c) Mooring, anchoring, and line handling; loading or discharging of 
cargo or fuel; assembling or disassembling of tows; and maintaining the 
vessel's stability and watertight integrity.
    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.
    Positive rate for random drug testing means the number of verified 
positive results for random drug tests conducted under this part plus 
the number of refusals of random drug tests required by this part, 
divided by the total number of random drug test results (i.e., 
positives, negatives, and refusals) under this part.
    Refuse to submit means you refused to take a drug test as set out in 
49 CFR 40.191.
    Serious marine incident means an event defined in 46 CFR 4.03-2.
    Service agent means any person or entity that provides services 
specified under this part or 49 CFR part 40 to employers and/or 
crewmembers in connection with DOT drug and alcohol testing 
requirements. This includes, but is not limited to, collectors, BATs and 
STTs, laboratories, MROs, substance abuse professionals, and C/TPAs. To 
act as service agents, persons and organizations must meet the 
qualifications set forth in applicable sections of 49 CFR part 40. 
Service agents are not employers for purposes of this part.
    Sponsoring organization is any company, consortium, corporation, 
association, union, or other organization with which individuals serving 
in the marine industry, or their employers, are associated.
    Stand-down means the practice of temporarily removing a crewmember 
from the performance of safety-sensitive functions based only on a 
report from a laboratory to the MRO of a confirmed positive test for a 
drug or drug metabolite, an adulterated test, or a substituted test, 
before the MRO has completed verification of the test result.
    Substance Abuse Professional (SAP) means a person who evaluates 
employees who have violated a DOT drug and alcohol regulation and makes 
recommendations concerning education, treatment, follow-up testing, and 
aftercare.
    Vessel owned in the United States means any vessel documented or 
numbered under the laws of the United States; and any vessel owned by a 
citizen of the United States that is not documented or numbered by any 
nation.

[CGD 86-067, 53 FR 47079, Nov. 21, 1988; 53 FR 48367, Nov. 30, 1988, as 
amended by CGD 90-014, 56 FR 31033, July 8, 1991; CGD 90-053, 58 FR 
31107, May 28, 1993; CGD 93-051, 59 FR 28792, June 3, 1994; 59 FR 62226, 
Dec. 2, 1994; CGD 91-223, 60 FR 4525, Jan. 23, 1995; USCG-2000-7759, 66 
FR 42967, Aug. 16, 2001; USCG-2003-16414, 69 FR 6577, Feb. 11, 2004; 
USCG-2006-24371, 74 FR 11263, Mar. 16, 2009]



Sec. 16.107  Waivers.

    (a) To obtain a waiver from 49 CFR 40.21 or from this part you must 
send your request for a waiver to the Commandant (CG-545).
    (b) Employers for whom compliance with this part would violate the 
domestic laws or policies of another country may request an exemption 
from the

[[Page 256]]

drug testing requirements of this part by submitting a written request 
to Commandant (CG-545), at the address listed in Sec. 16.500(a).
    (c) An employer may request a waiver from the Coast Guard in order 
to stand-down a crewmember following the Medical Review Officer's 
receipt of a laboratory report of a confirmed positive test for a drug 
or drug metabolite, an adulterated test, or a substituted test 
pertaining to the crewmember. Consistent with 49 CFR 40.21, the request 
for a waiver must include as a minimum: Information about the 
organization and the proposed written company policy concerning stand-
down. Specific elements required in the written waiver request are 
contained in 49 CFR 40.21(c).

[USCG-2000-7759, 66 FR 42967, Aug. 16, 2001, as amended by USCG-2009-
0702, 74 FR 49225, Sept. 25, 2009]



Sec. 16.109  Public Interest Exclusion (PIE).

    Service agents are subject to Public Interest Exclusion (PIE) 
actions in accordance with 49 CFR Part 40, subpart R. The PIE is an 
action which excludes from participation in DOT's drug and alcohol 
testing program any service agent who, by serious noncompliance with 
this part or with 49 CFR part 40, has shown that it is not currently 
acting in a responsible manner.

[USCG-2000-7759, 66 FR 42968, Aug. 16, 2001]



Sec. 16.113  Chemical drug testing.

    (a) Drug testing programs required by this part must be conducted in 
accordance with 49 CFR part 40, Procedures for Transportation Workplace 
Testing Programs. This subpart summarizes the responsibilities of 
documented and licensed mariners, marine employers, MRO, SAP and other 
chemical testing service providers in 49 CFR part 40. The regulations in 
49 CFR part 40 should be consulted to determine the specific procedures 
which must be established and utilized. Drug testing programs required 
by this part must use only drug testing laboratories certified by the 
Department of Health and Human Services (DHHS).
    (b) Each specimen collected in accordance with this part will be 
tested, as provided in 49 CFR 40.85, for the following:
    (1) Marijuana;
    (2) Cocaine;
    (3) Opiates;
    (4) Phencyclidine (PCP); and
    (5) Amphetamines.

[USCG-2000-7759, 66 FR 42968, Aug. 16, 2001]

    Editorial Note: At 74 FR 11264, Mar. 16, 2009, Sec. 16.113 was 
amended; however, the amendment could not be incorporated due to 
inaccurate amendatory instruction.



Sec. 16.115  Penalties.

    Violation of this part is subject to the civil penalties set forth 
in 46 U.S.C. 2115. Any person who fails to implement or conduct, or who 
otherwise fails to comply with the requirements for chemical testing for 
dangerous drugs as prescribed under this part, is liable to the United 
States Government for a civil penalty of not more than $5,000 for each 
violation. Each day of a continuing violation will constitute a separate 
violation.

[USCG-2000-7759, 66 FR 42968, Aug. 16, 2001]



                   Subpart B_Required Chemical Testing



Sec. 16.201  Application.

    (a) Chemical testing of personnel must be conducted as required by 
this subpart and in accordance with the procedures detailed in 49 CFR 
part 40.
    (b) If an individual fails a chemical test for dangerous drugs under 
this part, the individual will be presumed to be a user of dangerous 
drugs.
    (c) If an individual holding a credential fails a chemical test for 
dangerous drugs, the individual's employer, prospective employer, or 
sponsoring organization must report the test results in writing to the 
nearest Coast Guard Officer in Charge, Marine Inspection (OCMI). The 
individual must be denied employment as a crewmember or must be removed 
from duties which directly affect the safe operation of the vessel as 
soon as practicable and is subject to suspension and revocation 
proceedings against his or her credential under 46 CFR part 5.
    (d) If an individual who does not hold a credential fails a chemical 
test for dangerous drugs, the individual shall

[[Page 257]]

be denied employment as a crewmember or removed from duties which 
directly affect the safe operation of the vessel as soon as possible.
    (e) An individual who has failed a required chemical test for 
dangerous drugs may not be re-employed aboard a vessel until the 
requirements of paragraph (f) of this section and 46 CFR Part 5, if 
applicable, have been satisfied.
    (f) Before an individual who has failed a required chemical test for 
dangerous drugs may return to work aboard a vessel, the MRO must 
determine that the individual is drug-free and the risk of subsequent 
use of dangerous drugs by that person is sufficiently low to justify his 
or her return to work. In addition, the individual must agree to be 
subject to increased unannounced testing--
    (1) For a minimum of six (6) tests in the first year after the 
individual returns to work as required in 49 CFR part 40; and
    (2) For any additional period as determined by the MRO up to a total 
of 60 months.

[CGD 86-607, 53 FR 47049, November 11, 1988, as amended by CGD 90-014, 
56 FR 31034, July 8, 1991; USCG-2000-7759, 66 FR 42968, Aug. 16, 2001; 
USCG-2006-24371, 74 FR 11264, Mar. 16, 2009]



Sec. 16.203  Employer, MRO, and SAP responsibilities.

    (a) Employers. (1) Employers must ensure that they and their 
crewmembers meet the requirements of this part.
    (2) Employers are responsible for all the actions of their 
officials, representatives, and agents in carrying out the requirements 
of this part.
    (3) All agreements and arrangements, written or unwritten, between 
and among employers and service agents concerning the implementation of 
DOT drug testing requirements are deemed, as a matter of law, to require 
compliance with all applicable provisions of this part and DOT agency 
drug testing regulations. Compliance with these provisions is a material 
term of all such agreements and arrangements.
    (b) Medical Review Officer (MRO). (1) Individuals performing MRO 
functions must meet the training requirements and follow the procedures 
in 49 CFR Part 40.
    (2) MROs may report chemical drug test results to the Coast Guard 
for unemployed, self-employed, or individual mariners.
    (c) Substance Abuse Professional (SAP). Individuals performing SAP 
functions must meet the training requirements and follow the procedures 
in 49 CFR Part 40.

[USCG-2000-7759, 66 FR 42968, Aug. 16, 2001]



Sec. 16.205  Implementation of chemical testing programs.

    (a) When a vessel owned in the United States is operating in waters 
that are not subject to the jurisdiction of the United States, the 
testing requirements of Sec. Sec. 16.210 and 16.230 do not apply to a 
citizen of a foreign country engaged or employed as pilot in accordance 
with the laws or customs of that foreign country.
    (b) Upon written request of an employer, Commandant (CG-545) will 
review the employer's chemical testing program to determine compliance 
with the provisions of this part.

[CGD 90-014, 56 FR 60930, Nov. 29, 1991, as amended by 59 FR 62226, Dec. 
2, 1994; CGD 95-072, 60 FR 50461, Sept. 29, 1995; CGD 96-041, 61 FR 
50726, Sept. 27, 1996; CGD 95-028, 62 FR 51196, Sept. 30, 1997; USCG-
2009-0702, 74 FR 49225, Sept. 25, 2009]



Sec. 16.210  Pre-employment testing requirements.

    (a) No marine employer shall engage or employ any individual to 
serve as a crewmember unless the individual passes a chemical test for 
dangerous drugs for that employer.
    (b) An employer may waive a pre-employment test required for a job 
applicant by paragraph (a) of this section if the individual provides 
satisfactory evidence that he or she has:
    (1) Passed a chemical test for dangerous drugs, required by this 
part, within the previous six months with no subsequent positive drug 
tests during the remainder of the six-month period; or
    (2) During the previous 185 days been subject to a random testing 
program required by Sec. 16.230 for at least 60 days and did not fail 
or refuse to participate

[[Page 258]]

in a chemical test for dangerous drugs required by this part.

[CGD 90-053, 58 FR 31107, May 28, 1993, as amended by CGD 93-051, 59 FR 
28792, June 3, 1994]



Sec. 16.220  Periodic testing requirements.

    (a) Except as provided by paragraph (c) of this section and Sec. 
10.227(e) of this chapter, an applicant must pass a chemical test for 
dangerous drugs for--
    (1) An original issuance of a license, COR, MMD, or MMC;
    (2) The first issuance, raise of grade, or renewal of an officer 
endorsement on a merchant mariner credential;
    (3) A raise of grade of a license or COR;
    (4) The first endorsement as an able seaman, lifeboatman, qualified 
member of the engine department, or tankerman; or
    (5) A reissuance of a credential with a new expiration date. The 
applicant must provide the results of the test to the Coast Guard 
Regional Examination Center (REC) at the time of submitting an 
application. The test results must be completed and dated not more than 
185 days before submission of the application.
    (b) Unless excepted under paragraph (c) of this section, each pilot 
required by this subchapter to receive an annual physical examination 
must pass a chemical test for dangerous drugs as a part of that 
examination, and provide the results to the Coast Guard. Applicants need 
not submit additional copies of their annual chemical test for dangerous 
drugs pursuant to paragraph (a) of this section if the applicant 
submitted passing results of a chemical test for dangerous drugs to the 
Coast Guard within 12 months of the date of application.
    (c) An applicant need not submit evidence of passing a chemical test 
for dangerous drugs required by paragraph (a) or (b) of this section if 
he or she provides satisfactory evidence that he or she has--
    (1) Passed a chemical test for dangerous drugs required by this part 
within the previous six months with no subsequent positive chemical 
tests during the remainder of the 6-month period; or
    (2) During the previous 185 days been subject to a random testing 
program required by Sec. 16.230 for at least 60 days and did not fail 
or refuse to participate in a chemical test for dangerous drugs required 
by this part.
    (d) Except as provided by paragraph (b) of this section, an 
applicant is required to provide the results of only one chemical test 
for dangerous drugs when multiple transactions are covered by or 
requested in a single application.

[CGD 91-223, 60 FR 4525, Jan. 23, 1995, as amended by USCG-2006-24371, 
74 FR 11264, Mar. 16, 2009]



Sec. 16.230  Random testing requirements.

    (a) Marine employers shall establish programs for the chemical 
testing for dangerous drugs on a random basis of crewmembers on 
inspected vessels who:
    (1) Occupy a position, or perform the duties and functions of a 
position, required by the vessel's Certificate of Inspection;
    (2) Perform the duties and functions of patrolmen or watchmen 
required by this chapter; or,
    (3) Are specifically assigned the duties of warning, mustering, 
assembling, assisting, or controlling the movement of passengers during 
emergencies.
    (b) Marine employers shall establish programs for the chemical 
testing for dangerous drugs on a random basis of crewmembers on 
uninspected vessels who:
    (1) Are required by law or regulation to hold a license issued by 
the Coast Guard in order to perform their duties on the vessel;
    (2) Perform duties and functions directly related to the safe 
operation of the vessel;
    (3) Perform the duties and functions of patrolmen or watchmen 
required by this chapter; or,
    (4) Are specifically assigned the duties of warning, mustering, 
assembling, assisting, or controlling the movement of passengers during 
emergencies.
    (c) The selection of crewmembers for random drug testing shall be 
made by a scientifically valid method, such as a random number table or 
a computer-based random number generator that is matched with 
crewmembers' Social Security numbers, payroll identification

[[Page 259]]

numbers, or other comparable identifying numbers. Under the testing 
frequency and selection process used, each covered crewmember shall have 
an equal chance of being tested each time selections are made and an 
employee's chance of selection shall continue to exist throughout his or 
her employment. As an alternative, random selection may be accomplished 
by periodically selecting one or more vessels and testing all 
crewmembers covered by this section, provided that each vessel subject 
to the marine employer's test program remains equally subject to 
selection.
    (d) Marine employers may form or otherwise use sponsoring 
organizations, or may use contractors, to conduct the random chemical 
testing programs required by this part.
    (e) Except as provided in paragraph (f) of this section, the minimum 
annual percentage rate for random drug testing shall be 50 percent of 
covered crewmembers.
    (f) The annual rate for random drug testing may be adjusted in 
accordance with this paragraph.
    (1) The Commandant's decision to increase or decrease the minimum 
annual percentage rate for random drug testing is based on the reported 
random positive rate for the entire industry. All information used for 
this determination is drawn from the drug MIS reports required by this 
part. In order to ensure reliability of the data, the Commandant 
considers the quality and completeness of the reported data, may obtain 
additional information or reports from marine employers, and may make 
appropriate modifications in calculating the industry random positive 
rate. Each year, the Commandant will publish in the Federal Register the 
minimum annual percentage rate for random drug testing of covered 
crewmembers. The new minimum annual percentage rate for random drug 
testing will be applicable starting January 1 of the calendar year 
following publication.
    (2) When the minimum annual percentage rate for random drug testing 
is 50 percent, the Commandant may lower this rate to 25 percent of all 
covered crewmembers if the Commandant determines that the data received 
under the reporting requirements of 46 CFR 16.500 for two consecutive 
calendar years indicate that the positive rate is less than 1.0 percent.
    (3) When the minimum annual percentage rate for random drug testing 
is 25 percent, and the data received under the reporting requirements of 
46 CFR 16.500 for any calendar year indicate that the positive rate is 
equal to or greater than 1.0 percent, the Commandant will increase the 
minimum annual percentage rate for random drug testing to 50 percent of 
all covered crewmembers.
    (g) Marine employers shall randomly select a sufficient number of 
covered crewmembers for testing during each calendar year to equal an 
annual rate not less than the minimum annual percentage rate for random 
drug testing determined by the Commandant. If the marine employer 
conducts random drug testing through a consortium, the number of 
crewmembers to be tested may be calculated for each individual marine 
employer or may be based on the total number of covered crewmembers 
covered by the consortium who are subject to random drug testing at the 
same minimum annual percentage rate under this part or any DOT drug 
testing rule.
    (h) Each marine employer shall ensure that random drug tests 
conducted under this part are unannounced and that the dates for 
administering random tests are spread reasonably throughout the calendar 
year.
    (i) If a given covered crewmember is subject to random drug testing 
under the drug testing rules of more than one DOT agency for the same 
marine employer, the crewmember shall be subject to random drug testing 
at the percentage rate established for the calendar year by the DOT 
agency regulating more than 50 percent of the crewmember's function.
    (j) If a marine employer is required to conduct random drug testing 
under the drug testing rules of more than one DOT agency, the marine 
employer may--
    (1) Establish separate pools for random selection, with each pool 
containing the covered crewmembers who are subject to testing at the 
same required rate; or

[[Page 260]]

    (2) Randomly select such crewmembers for testing at the highest 
percentage rate established for the calendar year by any DOT agency to 
which the marine employer is subject.
    (k) An individual may not be engaged or employed, including self-
employment, on a vessel in a position as master, operator, or person in 
charge for which a credential is required by law or regulation unless 
all crewmembers covered by this section are subject to the random 
testing requirements of this section.

[CGD 90-014, 56 FR 31034, July 8, 1991, as amended by 59 FR 62227, Dec. 
2, 1994; USCG-2006-24371, 74 FR 11264, Mar. 16, 2009]

    Editorial Note: At 74 FR 11264, Mar. 16, 2009, Sec. 16.230 was 
amended; however, a portion of the amendment could not be incorporated 
due to inaccurate amendatory instruction.



Sec. 16.240  Serious marine incident testing requirements.

    The marine employer shall ensure that all persons directly involved 
in a serious marine incident are chemically tested for evidence of 
dangerous drugs and alcohol in accordance with the requirements of 46 
CFR 4.06.



Sec. 16.250  Reasonable cause testing requirements.

    (a) The marine employer shall require any crewmember engaged or 
employed on board a vessel owned in the United States that is required 
by law or regulation to engage, employ or be operated by an individual 
holding a credential issued under this subchapter, who is reasonably 
suspected of using a dangerous drug to be chemically tested for 
dangerous drugs.
    (b) The marine employer's decision to test must be based on a 
reasonable and articulable belief that the individual has used a 
dangerous drug based on direct observation of specific, contemporaneous 
physical, behavioral, or performance indicators of probable use. Where 
practicable, this belief should be based on the observation of the 
individual by two persons in supervisory positions.
    (c) When the marine employer requires testing of an individual under 
the provisions of this section, the individual must be informed of that 
fact and directed to provide a urine specimen as soon as practicable. 
This fact shall be entered in the vessel's official log book, if one is 
required.
    (d) If an individual refuses to provide a urine specimen when 
directed to do so by the employer under the provisions of this section, 
this fact shall be entered in the vessel's official log book, if one is 
required.

[CGD 86-067, 53 FR 47079, Nov. 21, 1988, as amended by USCG-2006-24371, 
74 FR 11264, Mar. 16, 2009]



Sec. 16.260  Records.

    (a) Employers must maintain records of chemical tests as provided in 
49 CFR 40.333 and must make these records available to Coast Guard 
officials upon request.
    (b) The records shall be sufficient to:
    (1) Satisfy the requirements of Sec. Sec. 16.210(b) and 16.220(c) 
of this part.
    (2) Identify the total number of individuals chemically tested 
annually for dangerous drugs in each of the categories of testing 
required by this part including the annual number of individuals failing 
chemical tests and the number and types of drugs for which individuals 
tested positive.

[CGD 86-067, 53 FR 47079, Nov. 21, 1988, as amended by CGD 91-223, 60 FR 
4526, Jan. 23, 1995; USCG-2000-7759, 66 FR 42968, Aug. 16, 2001]

Subpart C [Reserved]



                 Subpart D_Employee Assistance Programs



Sec. 16.401  Employee Assistance Program (EAP).

    The employer shall provide an Employee Assistance Program (EAP) for 
all crewmembers. The employer may establish the EAP as a part of its 
internal personnel services or the employer may contract with an entity 
that will provide EAP services to a crewmember. Each EAP must include 
education and training on drug use for crewmembers and the employer's 
supervisory personnel as provided below:
    (a) EAP education program: Each EAP education program must include 
at least the following elements: display and distribution of 
informational material; display and distribution of a

[[Page 261]]

community service hot-line telephone number for crewmember assistance, 
and display and distribution of the employer's policy regarding drug and 
alcohol use in the workplace.
    (b) EAP training program: An EAP training program must be conducted 
for the employer's crewmembers and supervisory personnel. The training 
program must include at least the following elements: the effects and 
consequences of drug and alcohol use on personal health, safety, and 
work environment; the manifestations and behavioral cues that may 
indicate drug and alcohol use and abuse; and documentation of training 
given to crewmembers and the employer's supervisory personnel. 
Supervisory personnel must receive at least 60 minutes of training.



                 Subpart E_Management Information System



Sec. 16.500  Management Information System requirements.

    (a) Data collection. (1) All marine employers must submit drug 
testing program data required by 49 CFR 40.26 and Appendix H to 49 CFR 
part 40.
    (2) The provisions in 49 CFR part 40 for alcohol testing do not 
apply to the Coast Guard or to marine employers, and alcohol testing 
data is not required or permitted to be submitted by this section.
    (b) Data reporting. (1) By March 15 of the year following the 
collection of the data in paragraph (a) of this section, marine 
employers must submit the data on the form titled U.S. Department of 
Transportation Drug and Alcohol Testing MIS Data Collection Form (OMB 
Number: 2105-0529) by mail to Commandant (CG-545), 2100 2nd St. SW., 
Stop 7581, Washington, DC 20593-7581 or by Internet at http://
www.uscg.mil/hq/g-m/moa/dapip.htm.
    (2) The DOT Drug and Alcohol Testing MIS form can be downloaded and 
printed from http://www.uscg.mil/hq/g-m/moa/dapip.htm or may be obtained 
from any Sector Office.
    (3) A consortium or other employer representative may submit data 
for a marine employer. Reports may contain data for more than one marine 
employer. Each report, however, must list the marine employers included 
in the report.
    (4) Marine employers must ensure that data submitted by a consortium 
or other employer representative under paragraph (b)(3) of this section 
is correct.
    (c) After filing 3 consecutive annual MIS reports since January 1, 
1996, required by paragraph (b) of this section, marine employers with 
10 or fewer covered employees may stop filing the annual report each 
succeeding year during which they have no more than 10 covered 
employees.

[USCG-1998-4469, 64 FR 22559, Apr. 27, 1999; 64 FR 31989, June 15, 1999, 
as amended by USCG-2003-16414, 69 FR 6578, Feb. 11, 2004; USCG-2006-
25556, 72 FR 36330, July 2, 2007; USCG-2009-0702, 74 FR 49225, Sept. 25, 
2009]



                       Sec. Appendix A [Reserved]

[[Page 262]]



                    SUBCHAPTER C_UNINSPECTED VESSELS





PART 24_GENERAL PROVISIONS--Table of Contents



                          Subpart 24.01_Purpose

Sec.
24.01-1 Purpose of regulations.
24.01-7 Right of appeal.

                        Subpart 24.05_Application

24.05-1 Vessels subject to the requirements of this subchapter.
24.05-5 Specific application noted in text.

        Subpart 24.10_Definition of Terms Used in This Subchapter

24.10-1 Definitions

                        Subpart 24.15_Equivalents

24.15-1 Conditions under which equivalents may be used.
24.15-5 Canadian pleasure craft temporarily using navigable waters of 
          the United States.

          Subpart 24.20_General Marine