[Title 46 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2017 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]


          Title 46

Shipping


________________________

Parts 1 to 40

                         Revised as of October 1, 2017

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2017
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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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........................     551
      Alphabetical List of Agencies Appearing in the CFR......     571
      List of CFR Sections Affected...........................     581

[[Page iv]]





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

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

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

[[Page v]]



                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 2017), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
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EFFECTIVE AND EXPIRATION DATES

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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 
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PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
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``[RESERVED]'' TERMINOLOGY

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this volume.

[[Page vii]]

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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    October 1, 2017.







[[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, 2017.

    For this volume, Gabrielle E. Burns was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[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, and by USCG-2012-0832, 77 FR 59772, Oct. 1, 2012.

            SUBCHAPTER A--PROCEDURES APPLICABLE TO THE PUBLIC
Part                                                                Page
1               Organization, general course and methods 
                    governing marine safety functions.......           5
2               Vessel inspections..........................          15
3               Designation of oceanographic research 
                    vessels.................................          45
4               Marine casualties and investigations........          47
5               Marine investigation regulations--personnel 
                    action..................................          64
6               Waivers of navigation and vessel inspection 
                    laws and regulations....................          76
7               Boundary lines..............................          79
8               Vessel inspection alternatives..............          87
9               Extra compensation for overtime services....          99
            SUBCHAPTER B--MERCHANT MARINE OFFICERS AND SEAMEN
10              Merchant mariner credential.................         103
11              Requirements for officer endorsements.......         154
12              Requirements for rating endorsements........         247
13              Certification of tankermen..................         268
14              Shipment and discharge of merchant mariners.         288
15              Manning requirements........................         294
16              Chemical testing............................         322
                    SUBCHAPTER C--UNINSPECTED VESSELS
24              General provisions..........................         331
25              Requirements................................         334
26              Operations..................................         345
27              Towing vessels..............................         349

[[Page 4]]

28              Requirements for commercial fishing industry 
                    vessels.................................         355
                       SUBCHAPTER D--TANK VESSELS
30              General provisions..........................         405
31              Inspection and certification................         426
32              Special equipment, machinery, and hull 
                    requirements............................         443
34              Fire fighting equipment.....................         473
35              Operations..................................         493
36              Elevated temperature cargoes................         516
38              Liquefied flammable gases...................         517
39              Vapor control systems.......................         533
40

[Reserved]

[[Page 5]]



            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.
1.01-05 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 Great Lakes Pilotage 
          Division (CG-WWM-2).
1.03-55 Appeals from decisions or actions under subchapter M of this 
          chapter.

    Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 46 U.S.C. 
Chapter 93; Secs. 101, 888, and 1512, 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; and Sec.  1.03-55 
also issued under the authority of 46 U.S.C. 3306(j).

    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

[[Page 6]]

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.
    (c) The Deputy for Operations Policy and Capabilities (CG-DCO-D), 
under the general direction of the Commandant, directs, supervises, and 
coordinates the activities of the Assistant Commandant for Response (CG-
5R), the Assistant Commandant for Prevention Policy (CG-5P), and the 
Director of Operations Resource Management (CG-DCO-R).
    (1) CG-5R directs, supervises, and coordinates the activities of:
    (i) The Director of Incident Management and Preparedness Policy (CG-
5RI), including--
    (A) The Office of Environmental Response Policy (CG-MER),
    (B) The Office of Search and Rescue (CG-SAR), and
    (C) The Office of Crisis and Contingency Planning and Exercise 
Policy (CG-CPE); and
    (ii) The Director of Law Enforcement, Maritime Security and Defense 
Operations Policy (CG-5RE) including:
    (A) The Office of Law Enforcement Policy (CG-MLE),
    (B) The Office of Maritime Security Response Policy (CG-MSR), and
    (C) The Office of Counterterrorism and Defense Operations Policy 
(CG-DOD).
    (2) CG-5P directs, supervises and coordinates the activities of:
    (i) The Director of Commercial Regulations and Standards (CG-5PS) 
including
    (A) The Office of Design and Engineering Standards (CG-ENG),
    (B) The Office of Merchant Mariner Credentialing (CG-MMC),
    (C) The Office of Operating and Environmental Standards (CG-OES), 
and
    (D) The Office of Standards Evaluation and Development (CG-REG); and
    (ii) The Director of Inspections and Compliance (CG-5PC) including
    (A) The Office of International and Domestic Port Assessments (CG-
PSA),
    (B) The Office of Auxiliary and Boating Safety (CG-BSX),
    (C) The Office of Commercial Vessel Compliance (CG-CVC),
    (D) The Office of Port & Facility Compliance (CG-FAC), and
    (E) The Office of Investigations and Casualty Analysis (CG-INV); and
    (iii) The Director of Marine Transportation Systems (CG-5PW) 
including
    (A) The Office of Bridge Programs (CG-BRG),
    (B) The Office of Waterways and Ocean Policy (CG-WWM), and
    (C) The Office of Navigation Systems (CG-NAV); and
    (3) CG-DCO-R directs, supervises and coordinates the activities of
    (i) The Office of Workforce Management (CG-DCO-R-1),
    (ii) The Office of Budget Development (CG-DCO-R-2),
    (iii) The Office of Budget Execution (CG-DCO-R-3), and
    (iv) The Office of Information Resources (CG-DCO-R-6).
    (d) The Port Safety and Security programs administered by the Chief, 
Office of Port Security Assessments (CG-PSA), and the Marine 
Environmental Response programs administered by the Chief, Office of 
Environmental Response Policy (CG-MER), are guided by regulations 
contained in 33 CFR chapter I.
    (e) The Director of Commercial Regulations and Standards (CG-5PS), 
under the general direction and supervision of the Deputy for Operations 
Policy and Capabilities (CG-DCO-D) and the Assistant Commandant for 
Prevention Policy (CG-5P), 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; maintains an active program for 
development of third party consensus industry standards, and provides 
oversight to marine personnel matters.
    (1) The Chief, Office of Design and Engineering Standards (CG-ENG), 
at

[[Page 7]]

Headquarters, under the direction of the Assistant Commandant for 
Prevention Policy (CG-5P) and the Director of Commercial Regulations and 
Standards (CG-5PS), 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.
    (2) The Chief, Office of Merchant Mariner Credentialing (CG-MMC), at 
Headquarters, under the direction of the Assistant Commandant for 
Prevention Policy (CG-5P) and the Director of Commercial Regulations and 
Standards (CG-5PS), develops and maintains standards and policy, 
statutes, regulations and guidance for the maritime industry regarding 
personnel qualifications, licensing, certification, manning and labor 
issues; provides oversight of mariner credentialing and marine personnel 
administration matters, and coordinates the monitoring of U.S. 
implementation efforts with respect to the International Convention on 
Standards of Training, Certification & Watchkeeping for Seafarers (STCW) 
1978, as amended; and reviews mariner appeals of credentialing decisions 
and provides a recommended final agency action for CG-5PS signature.
    (3) The Chief, Office of Operating and Environmental Standards (CG-
OES), at Headquarters, under the direction of the Assistant Commandant 
for Prevention Policy (CG-5P) and the Director of Commercial Regulations 
and Standards (CG-5PS), coordinates and integrates program standards for 
vessel and facility operations, cargo systems and handling, and 
environmental protection; develops and maintains standards, regulations, 
and industry guidance for maritime industry operations to prevent 
deaths, injuries, property damage, and environmental harm; develops and 
maintains safety standards and regulations for commercial fishing 
industry vessels and uninspected commercial vessels; and develops and 
maintains health and safety standards and regulations for U.S.-inspected 
vessels.
    (4) The Chief, Office of Standards Evaluation and Development (CG-
REG), at Headquarters, under the direction of the Assistant Commandant 
for Prevention Policy (CG-5P) and the Director of Commercial Regulations 
and Standards (CG-5PS), 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.
    (5) The Commanding Officer, Marine Safety Center, under the 
direction of the Assistant Commandant for Prevention Policy (CG-5P) and 
the Director of Commercial Regulations and Standards (CG-5PS), 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.
    (6) The Commanding Officer, Coast Guard National Maritime Center 
(NMC), under the direction of the Assistant Commandant for Prevention 
Policy (CG-5P) and the Director of Commercial Regulations and Standards 
(CG-5PS), and subject to the policy and guidance of the Office of 
Merchant Mariner Credentialing (CG-MMC); 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 Regional Examination Centers.
    (f) The Director of Inspections and Compliance (CG-5PC), under the 
general direction and supervision of the

[[Page 8]]

Assistant Commandant for Prevention Policy (CG-5P), 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 vessel 
documentation matters and, through the District Commander, supervises 
the administration of the Marine Safety Division of District Offices and 
Officers in Charge, Marine Inspection.
    (1) The Chief, Office of Commercial Vessel Compliance (CG-CVC), at 
Headquarters, under the direction of the Assistant Commandant for 
Prevention Policy (CG-5P) and the Director of Inspections and Compliance 
(CG-5PC), 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.
    (2) The Chief, Office of Environmental Response Policy (CG-MER), at 
Headquarters, under the Direction of the Deputy for Operations Policy 
and Capabilities (CG-DCO-D) and the Assistant Commandant for Response 
Policy (CG-5R), 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.
    (3) The Chief, Office of Investigations and Analyses (CG-INV), at 
Headquarters, under the direction of the Assistant Commandant for 
Prevention Policy (CG-5P) and the Director of Inspections and Compliance 
(CG-5PC), 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.
    (g) 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.
    (h) 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

[[Page 9]]

thereunder 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 at www.fdsys.gov.



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 credentialing, shipment and discharge of seamen; 
the investigation and institution of proceedings looking 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 (CG-BSX-2), in the District Offices.
    (2) Unless otherwise provided for, the Chiefs, Boating Safety 
Division (CG-BSX-2), 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

[[Page 10]]

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 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, subject to the policy and guidance of the 
Office of Merchant Mariner Credentialing (CG-MMC) 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 NMC detachments. 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 NMC detachment 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]

    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 at www.fdsys.gov.



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.

[[Page 11]]

    (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 the 
Assistant Commandant for Prevention Policy 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 the Assistant Commandant for Prevention Policy 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]
    (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]

    Editorial Note: For Federal Register citations affecting Sec.  1.01-
25, see the List of CFR Sections Affected, which appears in the Finding 
Aids section of the printed volume and at www.fdsys.gov.



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.

[[Page 12]]



------------------------------------------------------------------------
                                                            Current OMB
  46 CFR part or section where identified or described      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
Part 10.................................................       1625-0040
------------------------------------------------------------------------


[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by USCG-2004-18884, 
69 FR 58341, Sept. 30, 2004; USCG-2016-0315, 81 FR 43954, July 6, 2016]



                      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 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 Prevention 
Policy (CG-5P), and appropriate office chiefs within Prevention Policy 
(CG-5P).
    (h) Formal appeals made to the Commandant must be addressed to:
    (1) Commandant (CG-CVC) for appeals involving vessel inspection 
issues, load line issues, and vessel manning issues;
    (2) Commandant (CG-5PS) for appeals involving vessel plan review or 
tonnage measurement issues and for all appeals involving suspension or 
withdrawal of course approvals, all merchant mariner personnel issues 
appealed from the National Maritime Center or from an OCMI through a 
District Commander.
    (i) Appeals involving course approvals and merchant mariner 
personnel issues must be addressed to the Office of Merchant Mariner 
Credentialing (CG-MMC), U.S. Coast Guard, Stop 7509, 2703 Martin Luther 
King Jr. Avenue SE., Washington, DC 20593-7509.
    (ii) Appeals involving vessel plan review or tonnage measurement 
issues

[[Page 13]]

must be addressed to Director of Commercial Regulations and Standards 
(CG-5PS), U.S. Coast Guard, Stop 7509, 2703 Martin Luther King Jr. 
Avenue SE., Washington, DC 20593-7509.
    (3) Commandant (CG-5PC) for 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-5PC), Attn: Director of 
Inspections and Compliance, U.S. Coast Guard Stop 7501, 2703 Martin 
Luther King Jr. Avenue SE., Washington, DC 20593-7501, 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-ENG), for appeals involving the recognition of a 
classification society; or
    (5) Commandant (CG-5PW) 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 Deputy Commandant 
for Operations (DCO-D), or by the Assistant Commandant for Prevention 
Policy (CG-5P), or by a Director or 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 at www.fdsys.gov.



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 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

[[Page 14]]

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 to the Director of 
Commercial Regulations and Standards (CG-5PS), in accordance with the 
procedures contained in Sec.  1.03-15 of this subpart. The decision of 
the Director of Commercial Regulations and Standards (CG-5PS), 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; USCG-2013-0671, 78 FR 60144, Sept. 30, 2013; USCG-2004-17914, 78 
FR 77882, Dec. 24, 2013; USCG-2016-0315, 81 FR 43954, July 6, 2016]

    Editorial Note: At 77 FR 59772, Oct. 1, 2012, Sec.  1.03-40 was 
amended; however, the amendment could not be incorporated due to 
inaccurate amendatory instruction.



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 
Inspections and Compliance (CG-5PC), in accordance with the procedures 
contained in Sec.  1.03-15 of this subpart. The decision of the Director 
of Inspections and Compliance (CG-5PC), 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; USCG-2013-0671, 78 FR 60144, Sept. 
30, 2013]




Sec.  1.03-50  Appeals from decisions or actions of the Great Lakes
Pilotage Division (CG-WWM-2).

    Any person directly affected by a decision or action of the Great 
Lakes Pilotage Division (CG-WWM-2), may make a formal appeal of that 
decision or action to Commandant (CG-5P), 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; USCG-2013-0671, 78 FR 60144, Sept. 
30, 2013]



Sec.  1.03-55  Appeals from decisions or actions under subchapter M 
of this chapter.

    (a) Any person directly affected by a decision or action by a 
classification society or a third-party organization performing a survey 
under subchapter M of this chapter may, after requesting reconsideration 
of the decision or action by the classification society or third-party 
organization, make a formal appeal to the cognizant OCMI.
    (b) Any person directly affected by a decision or action by a 
classification society or a third-party organization performing an audit 
under subchapter M of this chapter may, after requesting reconsideration 
of the decision or action by the classification society or third-party 
organization, make a formal appeal to the District Commander

[[Page 15]]

of the district in which the audit was performed.
    (c) Any third-party organization or person from a third-party 
organization directly affected by a decision or action of the Coast 
Guard Towing Vessel National Center of Expertise (TVNCOE) may submit a 
formal appeal to Commandant (CG-CVC) for appeals of decisions by the 
TVNCOE related to subchapter M of this chapter.
    (d) Any person directly affected by a decision or action by an OCMI 
or District Commander may make a formal appeal pursuant to Sec.  1.03-20 
or Sec.  1.03-25, respectively.

[USCG-2006-24412, 81 FR 40100, June 20, 2016]



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_Classification Society Activities

2.45-1 Definitions.
2.45-5 Incorporation by reference.
2.45-10 General.
2.45-15 Approval requirements.
2.45-20 Probation, suspension, and revocation.
2.45-25 Application for approval.
2.45-30 Penalties.

                         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: Sec. 622, Pub. L. 111-281; 33 U.S.C. 1903; 43 U.S.C. 
1333; 46 U.S.C. 2103, 2110, 3306, 3703; E.O. 12234, 45 FR 58801, 3 CFR, 
1980 Comp., p. 277, sec. 1-105; Department of

[[Page 16]]

Homeland Security Delegation No. 0170.1(II)(77), (90), (92)(a), (92)(b).

    Effective Date Note: By USCG-2016-0880, 82 FR 44118, Sept. 21, 2017, 
the authority citation for part 2 was revised, effective Oct. 23, 2017. 
For the convenience of the user, the revised text is set forth as 
follows:
    Authority: Sec. 622, Pub. L. 111-281; 33 U.S.C. 1231, 1903; 43 
U.S.C. 1333; 46 U.S.C. 2103, 2110, 3306, 3703; Department of Homeland 
Security Delegation No. 0170.1(II)(77), (90), (92)(a), (92)(b); E.O. 
12234, 45 FR 58801, 3 CFR, 1980 Comp., p. 277, sec. 1-105.

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

    Editorial Note: Nomenclature changes to part 2 appear by USCG-2009-
0702, 74 FR 49223, Sept. 25, 2009, and USCG-2013-0671, 78 FR 60144, 
Sept. 30, 2013.



          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.

[CG870FR 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

[[Page 17]]

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:
    (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

[[Page 18]]

listed in the examination record section of the COC.

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

    Effective Date Note: By USCG-2016-0880, 82 FR 44118, Sept. 21, 2017, 
Sec.  2.01-6(a)(1) was amended after the words ``passengers in U.S. 
ports'' and before the words ``holds a valid'' by removing the word 
``and''; and after the text ``Passenger Ship Safety Certificate'', by 
adding the text ``, and, if applicable, holds a valid Polar Ship 
Certificate'', effective Oct. 23, 2017.



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) 
either as indicated in the following table 2.01-7(a) or, if the vessel 
is a towing vessel, as provided in paragraph (b) of this section.

[[Page 19]]



                                                                     Table 2.01-7(a)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                      Vessels inspected
                                                       and certificated
                                  Vessels inspected  under Subchapter H--  Vessels inspected  Vessels subject to   Vessels subject to   Vessels subject
                                  and certificated    Passenger Vessels    and certificated    the provisions of   the provisions of   to the provisions
Method of propulsion, qualified   under Subchapter    \2\ \3\ \4\ \5\ or   under Subchapter     Subchapter C--       Subchapter U--    of Subchapter O--
by size or other limitation \1\    D--Tank Vessels   Subchapter K or T--     I--Cargo and         Uninspected        Oceanographic      Certain Bulk and
                                         \2\           Small Passenger       Miscellaneous     Vessels. \2\ \3\   Vessels \2\ \3\ \6\  Dangerous Cargoes
                                                     Vessels \2\ \3\ \4\    Vessels \2\ \5\       \6\ \7\ \8\           \7\ \9\               \10\
 
Column 1                         Column 2..........  Column 3             Column 4..........  Column 5..........  Column 6...........  Column 7
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) Motor, all vessels except    All vessels         (i) All vessels      All vessels 15 gross     covered by                               carrying cargoes
 eq>=300 gross tons.              combustible or      12 passengers on     tons carrying       columns 2, 3, 4,                         in bulk that are
                                  flammable liquid    an international     freight-for-hire,   and 6.                                   listed in part
                                  cargo in bulk.\5\   voyage, except       except those                                                 153, table 1, or
                                                      recreational         covered by                                                   part 154, table
                                                      vessels not          columns 2 and 3.                                             4, or unlisted
                                                      engaged in           All vessels                                                  cargoes that
                                                      trade.\7\            carrying                                                     would otherwise
                                                     (ii) All vessels      dangerous                                                    be subject to
                                                      <100 gross tons      cargoes, when                                                these parts.\12\
                                                      that--               required by 46
                                                                           CFR part 98.
                                                        (A) Carry more
                                                         than 6
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or
                                                        (B) Carry more
                                                         than 6
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\
                                                        (E) Carry more
                                                         than 6
                                                         passengers and
                                                         are ferries.
                                                     (iii) All vessels
                                                      =100
                                                      gross tons that--
                                                        (A) Carry more
                                                         than 12
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or
                                                        (B) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\
                                                        (E) Carry at
                                                         least 1
                                                         passenger and
                                                         are ferries.
                                                     (iv) These
                                                      regulations do not
                                                      apply to--
                                                        (A) Recreational
                                                         vessels not
                                                         engaged in
                                                         trade.

[[Page 20]]

 
                                                        (B) Documented
                                                         cargo or tank
                                                         vessels issued
                                                         a permit to
                                                         carry 16 or
                                                         fewer persons
                                                         in addition to
                                                         the crew.
                                                        (C) Fishing
                                                         vessels not
                                                         engaged in
                                                         ocean or
                                                         coastwise
                                                         service. Such
                                                         vessels may
                                                         carry persons
                                                         on the
                                                         legitimate
                                                         business of the
                                                         vessel \6\ in
                                                         addition to the
                                                         crew, as
                                                         restricted by
                                                         the definition
                                                         of
                                                         passenger.\7\
(2) Motor, seagoing motor        All vessels         (i) All vessels      All vessels,        All vessels not     All vessels engaged  All vessels
 vessels =300 gross    carrying            carrying more than   including           covered by          in oceanographic     carrying cargoes
 tons.                            combustible or      12 passengers on     recreational        columns 2, 3, 4,    research.            in bulk that are
                                  flammable liquid    an international     vessels, not        6, and 7.                                listed in part
                                  cargo in bulk.\5\   voyage, except       engaged in trade.                                            153, table 1, or
                                                      recreational         This does not                                                part 154, table
                                                      vessels not          include vessels                                              4, or unlisted
                                                      engaged in           covered by                                                   cargoes that
                                                      trade.\7\            columns 2 and 3,                                             would otherwise
                                                                           and vessels                                                  be subject to
                                                                           engaged in the                                               these parts.\12\
                                                                           fishing industry.
                                                     (ii) All ferries
                                                      <100 gross tons
                                                      carrying more than
                                                      6 passengers and
                                                      all ferries =100 gross
                                                      tons that carry at
                                                      least 1 passenger.
                                                     (iii) These
                                                      regulations do not
                                                      apply to--
                                                        (A) Recreational
                                                         vessels not
                                                         engaged in
                                                         trade.
                                                        (B) Documented
                                                         cargo or tank
                                                         vessels issued
                                                         a permit to
                                                         carry 16 or
                                                         fewer persons
                                                         in addition to
                                                         the crew.
                                                        (C) Fishing
                                                         vessels not
                                                         engaged in
                                                         ocean or
                                                         coastwise
                                                         service may
                                                         carry persons
                                                         on the
                                                         legitimate
                                                         business of the
                                                         vessel\6\ in
                                                         addition to the
                                                         crew, as
                                                         restricted by
                                                         the definition
                                                         of
                                                         passenger.\7\

[[Page 21]]

 
(3) Non-self-propelled vessels   All vessels         (i) All vessels      All manned barges   All barges except   None...............  All tank barges
 <100 gross tons.                 carrying            that--               except those        those covered by                         carrying cargoes
                                  combustible or     (A) Carry more than   covered by          column 3.                                listed in Table
                                  flammable liquid    6 passengers-for-    columns 2 and 3.                                             151.05 of this
                                  cargo in bulk.\5\   hire whether                                                                      chapter or
                                                      chartered or not,                                                                 unlisted cargoes
                                                      or                                                                                that would
                                                     (B) Carry more than                                                                otherwise be
                                                      6 passengers when                                                                 subject to part
                                                      chartered with the                                                                151.\1\ \11\
                                                      crew provided, or                                                                 \12\
                                                     (C) Carry more than
                                                      12 passengers when
                                                      chartered with no
                                                      crew provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and is a
                                                         submersible
                                                         vessel.\7\
                                                        (E) Carry more
                                                         than 12
                                                         passengers on
                                                         an
                                                         international
                                                         voyage.
                                                        (F) Carry more
                                                         than 6
                                                         passengers and
                                                         are ferries.
(4) Non-self-propelled vessels   All vessels         (iii) All vessels    All seagoing        All barges except   All seagoing barges  All tank barges
 =100 gross tons.      carrying            that--               barges except a     those covered by    engaged in           carrying cargoes
                                  combustible or     (A) Carry more than   seagoing barge      columns 3 and 6.    oceanographic        listed in Table
                                  flammable liquid    12 passengers-for-   that is covered                         research.            151.05 of this
                                  cargo in bulk.\5\   hire whether         by column 2 or 3,                                            chapter or
                                                      chartered or not,    or that is                                                   unlisted cargoes
                                                      or                   unmanned for the                                             that would
                                                     (B) Carry more than   purposes of                                                  otherwise be
                                                      12 passengers when   operating or                                                 subject to part
                                                      chartered with the   navigating the                                               151.\1\ \11\
                                                      crew provided, or    barge, and that                                              \12\
                                                     (C) Carry more than   carries neither a
                                                      12 passengers when   hazardous
                                                      chartered with no    material as cargo
                                                      crew provided, or    nor a flammable
                                                     (D) Carry at least    or combustible
                                                      1 passenger-for-     liquid, including
                                                      hire and is a        oil, in bulk
                                                      submersible          quantities of 250
                                                      vessel.\7\           barrels or more.
                                                        (E) Carry more
                                                         than 12
                                                         passengers on
                                                         an
                                                         international
                                                         voyage.
                                                        (F) Carry at
                                                         least 1
                                                         passenger and
                                                         are ferries
(5) Sail \13\ vessels <=700      All vessels         (i) All vessels      All vessels         All vessels not     None...............  All vessels
 gross tons.                      carrying            carrying more than   carrying            covered by                               carrying cargoes
                                  combustible or      12 passengers on     dangerous           columns 2, 3, 4,                         in bulk that are
                                  flammable liquid    an international     cargoes, when       and 6.                                   listed in part
                                  cargo in bulk.\5\   voyage, except       required by 46                                               153, table 1, or
                                                      recreational         CFR part 98.                                                 part 154, table
                                                      vessels not                                                                       4, or unlisted
                                                      engaged in                                                                        cargoes that
                                                      trade.\7\                                                                         would otherwise
                                                                                                                                        be subject to
                                                                                                                                        these parts.\12\
                                                     (ii) All vessels
                                                      <100 gross tons
                                                      that--
                                                        (A) Carry more
                                                         than 6
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or

[[Page 22]]

 
                                                        (B) Carry more
                                                         than 6
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\
                                                        (E) Carry more
                                                         than 6
                                                         passengers and
                                                         are ferries.
                                                     (iii) All vessels
                                                      =100
                                                      gross tons that--
                                                        (A) Carry more
                                                         than 12
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or
                                                        (B) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\
                                                        (E) Carry at
                                                         least 1
                                                         passenger and
                                                         are ferries.
                                                     (iv) These
                                                      regulations do not
                                                      apply to--
                                                        (A) Recreational
                                                         vehicles not
                                                         engaged in
                                                         trade.
                                                        (B) Documented
                                                         cargo or tank
                                                         vessels issued
                                                         a permit to
                                                         carry 16 or
                                                         fewer persons
                                                         in addition to
                                                         the crew.

[[Page 23]]

 
                                                        (C) Fishing
                                                         vessels, not
                                                         engaged in
                                                         ocean or
                                                         coastwise
                                                         service. Such
                                                         vessels may
                                                         carry persons
                                                         on the
                                                         legitimate
                                                         business of the
                                                         vessel\6\ in
                                                         addition to the
                                                         crew, as
                                                         restricted by
                                                         the definition
                                                         of
                                                         passenger.\7\
(6) Sail\13\ vessels 700 gross tons.               carrying            carrying             carrying            covered by                               carrying cargoes
                                  combustible or      passengers or        dangerous           columns 2, 3, 4,                         in bulk that are
                                  flammable liquid    passengers-for-      cargoes, when       and 6.                                   listed in part
                                  cargo in bulk.\5\   hire, except         required by 46                                               153, Table 1, or
                                                      recreational         CFR part 98.                                                 part 154, Table
                                                      vessels.\7\                                                                       4, or unlisted
                                                     (ii) All ferries                                                                   cargoes that
                                                      that carry at                                                                     would otherwise
                                                      least 1 passenger                                                                 be subject to
                                                                                                                                        these parts.\12\
(7) Steam, vessels <=19.8        All vessels         (i) All vessels      All tugboats and    All vessels not     None...............  All vessels
 meters (65 feet) in length.      carrying            carrying more than   towboats. All       covered by                               carrying cargoes
                                  combustible or      12 passengers on     vessels carrying    columns 2, 3, 4,                         in bulk that are
                                  flammable liquid    an international     dangerous           and 6.                                   listed in part
                                  cargo in bulk.\5\   voyage, except       cargoes, when                                                153, table 1, or
                                                      recreational         required by 46                                               part 154, table
                                                      vessels not          CFR part 98.                                                 4, or unlisted
                                                      engaged in                                                                        cargoes that
                                                      trade.\7\                                                                         would otherwise
                                                                                                                                        be subject to
                                                                                                                                        these parts.\12\
                                                     (ii) All vessels
                                                      <100 gross tons
                                                      that-
                                                        (A) Carry more
                                                         than 6
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or
                                                        (B) Carry more
                                                         than 6
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\
                                                        (E) Carry more
                                                         than 6
                                                         passengers and
                                                         are ferries.
                                                     (iii) All vessels
                                                      =100
                                                      gross tons that-
                                                        (A) Carry more
                                                         than 12
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or
                                                        (B) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or

[[Page 24]]

 
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\
                                                        (E) Carry at
                                                         least 1
                                                         passenger and
                                                         are ferries.
                                                     (iv) These
                                                      regulations do not
                                                      apply to--
                                                        (A) Recreational
                                                         vessels not
                                                         engaged in
                                                         trade.
                                                        (B) Documented
                                                         cargo or tank
                                                         vessels issued
                                                         a permit to
                                                         carry 16 or
                                                         fewer persons
                                                         in addition to
                                                         the crew.
                                                        (C) Fishing
                                                         vessels not
                                                         engaged in
                                                         ocean or
                                                         coastwise
                                                         service. Such
                                                         vessels may
                                                         carry persons
                                                         on the
                                                         legitimate
                                                         business of the
                                                         vessel \6\ in
                                                         addition to the
                                                         crew, as
                                                         restricted by
                                                         the definition
                                                         of
                                                         passenger.\7\
(8) Steam, vessels 19.8 meters (65 feet) in      carrying            carrying more than   covered by                              in oceanographic     carrying cargoes
 length.                          combustible or      12 passengers on     columns 2, 3, 6,                        research.            in bulk that are
                                  flammable liquid    an international     and 7.                                                       listed in part
                                  cargo in bulk.\5\   voyage, except                                                                    153, Table 1, or
                                                      recreational                                                                      part 154, Table
                                                      vessels not                                                                       4, or unlisted
                                                      engaged in                                                                        cargoes that
                                                      trade.\7\                                                                         would otherwise
                                                                                                                                        be subject to
                                                                                                                                        these parts.\12\
                                                     (ii) All vessels
                                                      <100 gross tons
                                                      that--
                                                        (A) Carry more
                                                         than 6
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or
                                                        (B) Carry more
                                                         than 6
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\

[[Page 25]]

 
                                                        (E) Carry more
                                                         than 6
                                                         passengers and
                                                         are ferries.
                                                     (iii) All vessels
                                                      =100
                                                      gross tons that--
                                                        (A) Carry more
                                                         than 12
                                                         passengers-for-
                                                         hire whether
                                                         chartered or
                                                         not, or
                                                        (B) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         the crew
                                                         provided, or
                                                        (C) Carry more
                                                         than 12
                                                         passengers when
                                                         chartered with
                                                         no crew
                                                         provided, or
                                                        (D) Carry at
                                                         least 1
                                                         passenger-for-
                                                         hire and are
                                                         submersible
                                                         vessels.\7\
                                                        (E) Carry at
                                                         least 1
                                                         passenger and
                                                         are ferries.
                                                     (iv) These
                                                      regulations do not
                                                      apply to--
                                                        (A) Recreational
                                                         vehicles not
                                                         engaged in
                                                         trade.
                                                        (B) Documented
                                                         cargo or tank
                                                         vessels issued
                                                         a permit to
                                                         carry 16 or
                                                         fewer persons
                                                         in addition to
                                                         the crew.
                                                        (C) Fishing
                                                         vessels not
                                                         engaged in
                                                         ocean or
                                                         coastwise
                                                         service. Such
                                                         vessels may
                                                         carry persons
                                                         on the
                                                         legitimate
                                                         business of the
                                                         vessel\6\ in
                                                         addition to the
                                                         crew, as
                                                         restricted by
                                                         the definition
                                                         of
                                                         passenger.\7\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Key to symbols used in this table: <=means less than or equal to; means greater than; =means greater than or
  equal to.
Footnotes:
\1\ Where length is used in this table, it means the length measured from end to end over the deck, excluding sheer. This expression means a straight
  line measurement of the overall length from the foremost part of the vessel to the aftermost part of the vessel, measured parallel to the centerline.
\2\ Subchapters E (Load Lines), F (Marine Engineering), J (Electrical Engineering), N (Dangerous Cargoes), S (Subdivision and Stability), and W
  (Lifesaving Appliances and Arrangements) of this chapter may also be applicable under certain conditions. The provisions of 49 CFR parts 171 through
  179 apply whenever packaged hazardous materials are on board vessels (including motorboats), except when specifically exempted by law.
\3\ Public nautical schoolships, other than vessels of the Navy and Coast Guard, must meet the requirements of part 167 of subchapter R (Nautical
  Schools) of this chapter, Civilian nautical schoolships, as defined by 46 U.S.C. 1331, must meet the requirements of subchapter H (Passenger Vessels)
  and part 168 of subchapter R (Nautical Schools) of this chapter.
\4\ Subchapter H (Passenger Vessels) of this chapter covers only those vessels of 100 gross tons or more, subchapter T (Small Passenger Vessels) of this
  chapter covers only those vessels of less than 100 gross tons, and subchapter K (Small Passenger Vessels) of this chapter covers only those vessels
  less than 100 gross tons carrying more than 150 passengers or overnight accommodations for more than 49 passengers.
\5\ Vessels covered by subchapter H (Passenger Vessels) or I (Cargo and Miscellaneous Vessels) of this chapter, where the principal purpose or use of
  the vessel is not for the carriage of liquid cargo, may be granted a permit to carry a limited amount of flammable or combustible liquid cargo in
  bulk. The portion of the vessel used for the carriage of the flammable or combustible liquid cargo must meet the requirements of subchapter D (Tank
  Vessels) in addition to the requirements of subchapter H (Passenger Vessels) or I (Cargo and Miscellaneous Vessels) of this chapter.
\6\ Any vessel on an international voyage is subject to the requirements of the International Convention for Safety of Life at Sea, 1974 (SOLAS).
\7\ The terms ``passenger(s)'' and ``passenger(s)-for-hire'' are as defined in 46 U.S.C. 2101(21)(21a). On oceanographic vessels, scientific personnel
  onboard shall not be deemed to be passengers nor seamen, but for calculations of lifesaving equipment, etc., must be counted as persons.
\8\ Boilers and machinery are subject to examination on vessels over 40 feet in length.
\9\ Under 46 U.S.C. 441 an oceanographic research vessel ``. . . being employed exclusively in instruction in oceanography or limnology, or both, or
  exclusively in oceanographic research, . . .. Under 46 U.S.C. 443, ``an oceanographic research vessel shall not be deemed to be engaged in trade or
  commerce.'' If or when an oceanographic vessel engages in trade or commerce, such vessel cannot operate under its certificate of inspection as an
  oceanographic vessel, but shall be inspected and certified for the service in which engaged, and the scientific personnel aboard then become persons
  employed in the business of the vessel.

[[Page 26]]

 
\10\ Bulk dangerous cargoes are cargoes specified in table 151.01-10(b); in table 1 of part 153, and in table 4 of part 154 of this chapter.
\11\ For manned tankbarges, see Sec.   151.01-10(c) of this chapter.
\12\ See Sec.   151.01-15, 153.900(d), or 154.30 of this chapter as appropriate.
\13\ Sail vessel means a vessel with no auxiliary machinery on board. If the vessel has auxiliary machinery, refer to motor vessels.


[[Page 27]]

    (b)(1) A U.S.-flag towing vessel is subject to inspection and 
certifying regulations in subchapter M of this chapter except:
    (i) A vessel less than 26 feet (7.92 meters) in length measured from 
end to end over the deck (excluding the sheer), unless that vessel is 
pushing, pulling, or hauling a barge that is carrying oil or hazardous 
material in bulk;
    (ii) A vessel engaged in one or more of the following:
    (A) Assistance towing as defined in Sec.  136.110 of this chapter;
    (B) Towing recreational vessels for salvage; or
    (C) Transporting or assisting the navigation of recreational vessels 
within and between marinas and marina facilities, within a limited 
geographic area, as determined by the local Captain of the Port;
    (iii) A workboat operating exclusively within a worksite and 
performing intermittent towing within the worksite;
    (iv) A seagoing towing vessel of 300 gross tons or more subject to 
the provisions of subchapter I of this chapter;
    (v) A vessel inspected under other subchapters of this chapter that 
may perform occasional towing;
    (vi) A public vessel as defined in 46 U.S.C. 2101;
    (vii) A vessel which has surrendered its Certificate of Inspection 
and is laid up, dismantled, or otherwise out of service; and
    (viii) A propulsion unit used for the purpose of propelling or 
controlling the direction of a barge where the unit is controlled from 
the barge, is not normally manned, and is not utilized as an independent 
vessel.
    (2) A towing vessel not subject to subchapter M of this chapter 
should refer to table 2.01-7 of this section.
    (c) The specific application of regulations concerning inspecting 
and certificating vessels is set forth in the specific subchapter 
governing a particular class of vessels.
    (1) For passenger vessels see part 70 of subchapter H (Passenger 
Vessels) of this chapter.
    (2) For cargo and miscellaneous vessels see part 90 of subchapter I 
(Cargo and Miscellaneous Vessels) of this chapter.
    (3) For tank vessels see part 30 of subchapter D (Tank Vessels) of 
this chapter.
    (4) For small passenger vessels see part 114 of subchapter K (Small 
Passenger Vessels Carrying More Than 150 Passengers or with Overnight 
Accommodations for More Than 49 Passengers) and part 175 of subchapter T 
(Small Passenger Vessels) of this chapter.
    (5) For uninspected vessels see part 24 of subchapter C (Uninspected 
Vessels) of this chapter.
    (6) For vessels carrying certain bulk dangerous cargoes see 
subchapter O of this chapter.
    (7) For towing vessels, see part 136 of subchapter M of this 
chapter.

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

    Editorial Note: For Federal Register citations affecting Sec.  2.01-
7, see the List of CFR Sections Affected, which appears in the Finding 
Aids section of the printed volume and at www.fdsys.gov.



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

[[Page 28]]

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 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.

[[Page 29]]

    (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.
    (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.

[[Page 30]]

    (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.
    (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.

[[Page 31]]

    (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 at www.fdsys.gov.

    Effective Date Note: By USCG-2016-0880, 82 FR 44118, Sept. 21, 2017, 
Sec.  2.01-25 was amended by adding paragraphs (a)(1)(x) and (a)(2)(x), 
effective Oct. 23, 2017. For the convenience of the user, the added text 
is set forth as follows:



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

    (a) * * *
    (1) * * *
    (x) Polar Ship Certificate.
    (2) * * *
    (x) Polar Ship Certificate.

                                * * * * *



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]



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.

[[Page 32]]

    (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 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 inspection and examination fees for all 
owners or operators requesting certification, including those for 
vessels that are required to have a Certificate of Inspection and those 
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; USCG-
2013-0671, 78 FR 60144, Sept. 30, 2013]



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

[[Page 33]]

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 CGD 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. 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 or if payment is made through 
www.pay.gov, fees required by this subpart must be submitted using one 
of the following methods:
    (1) For COI and COC Inspections:
    (i) For payment by credit card, online through www.pay.gov, or U.S. 
Coast Guard Finance Center (OGR), 1430A Kristina Way, Chesapeake, VA 
23326.
    (ii) For payment by check, made payable to U.S. Treasury, with 
delivery by postal service, USCG Inspection Fees, P.O. Box 531030, 
Atlanta, GA 30353-1030.
    (iii) For payment by check, made payable to U.S. Treasury, with 
delivery by overnight courier, USCG Vessel Inspection Fees, Bank of 
America, Lockbox Number 531030 (COI), 1075 Loop Road, Atlanta, GA 30337-
6002.
    (2) For Overseas Inspection Fees:
    (i) For payment by credit card, U.S. Coast Guard Finance Center 
(OGR), 1430A Kristina Way, Chesapeake, VA 23326.
    (ii) For payment by check, made payable to U.S. Treasury, with 
delivery by postal service, USCG User Fees, P.O. Box 531769, Atlanta, GA 
30353-1769.
    (iii) For payment by check, made payable to U.S. Treasury, with 
delivery by overnight courier, USCG User Fees, Bank of America, Lockbox 
Number 531769 (USF), 1075 Loop Road, Atlanta, GA 30337-6002.
    (e) For purposes of this subpart, the address for Commandant (CG-
DCO-83), Attn: Office of Budget Execution, U.S. Coast Guard Stop 7318, 
2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7318.
    (f) Information concerning a vessel's user fee anniversary date may 
be obtained from any Coast Guard Coast

[[Page 34]]

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; USCG-2011-0618, 76 FR 60753, 
Sept. 30, 2011; USCG-2012-0832, 77 FR 59773, Oct. 1, 2012]



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 gross tons; 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.

[[Page 35]]

    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, 
that has been issued a Certificate of Inspection under the provisions of 
subchapter I of this chapter.
    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 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; CGD 96-
067, 63 FR 59474, Nov. 4, 1998; USCG 2008-1107; 74 FR 63628, Dec. 4, 
2009; USCG-2012-0208, 79 FR 48924, Aug. 18, 2014; USCG-2006-24412, 81 FR 
40100, June 20, 2016]



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

[[Page 36]]

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    $1,030
 vessel not
 listed in this
   table
Freight Barges:
  Length not     495
   greater than
   150 feet....
  More than 150  610
   feet but not
   more than
   300 feet....
  More than 300  955
   feet........
Freight Ships:
  Length not     1,425
   greater than
   100 feet....
  More than 100  1,870
   feet but no
   more than
   300 feet....
  More than 300  5,410
   feet........
Industrial
 Vessels:
  Length not     1,435
   greater than
   200 feet....
  More than 200  2,550
   feet........
Mobile Offshore
 Drilling Units
 (MODUs):
  Drill ship     6,710
   MODUs.......
  Submersible    4,695
   MODUs.......
  Self-          4,695
   elevating
   MODUs.......
  Semi-          8,050
   submersible
   MODUs.......
Nautical School
 Vessels:
  Length not     835
   greater than
   100 feet....
  More than 100  1,450
   feet but not
   more than
   200 feet....
  More than 200  7,205
   feet........
Oceanographic
 Research
 Vessels:
  Length not     840
   greater than
   170 feet....
  More than 170  1,980
   feet but not
   more than
   240 feet....
  More than 240  3,610
   feet........
Offshore Supply
 Vessels:
  Length not     1,135
   greater than
   140 feet....
  More than 140  1,470
   feet........
Offshore Supply
 Vessels:
 Alternate
 Reinspection
 Program *:
  Length not     940
   greater than
   140 feet....
  More than 140  1,260
   feet........
Passenger
 Barges:
    Less than
     100 gross
     tons and:
    Less than    300
     65 feet in
     length....
    65 feet or   600
     more in
     length....
    100 gross
     tons or
     more and:
    Certified    2,215
     for fewer
     than 150
     passengers
    Certified    2,525
     for 150 or
     more
     passengers
Passenger
 Ships:
    Length not
     greater
     than 250
     feet:
    Certified    3,600
     for fewer
     than 150
     passengers
    Certified    4,050
     for 150 or
     more
     passengers
  More than 250  5,330
   feet but not
   more than
   350 feet....
  More than 350  6,835
   feet but not
   more than
   450 feet....
  More than 450  14,650
   feet........
Sailing School
 Vessels:
  Length not     530
   greater than
   30 feet.....
  More than 30   560
   feet but not
   more than 65
   feet........
  More than 65   980
   feet........
Sea-going        2,915
 Towing Vessels
Small Passenger
 Vessels:
  Less than 65   300
   feet in
   length......
  65 feet or     600
   more in
   length......
Tank Barges      500
Tankships:
  Length not     1,295
   greater than
   100 feet....
  More than 100  2,310
   feet but not
   more than
   300 feet....
  More than 300  5,805
   feet........
Liquefied Gas    12,120
 Tankships
------------------------------------------------------------------------
* 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:


[[Page 37]]


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 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 
be received before an overseas inspection or examination is conducted.

[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by USCG-2013-0671, 
78 FR 60144, Sept. 30, 2013]



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.

[[Page 38]]

    (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.
    (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_Classification Society Activities

    Source: 77 FR 47551, Aug. 9, 2012, unless otherwise noted.



Sec.  2.45-1  Definitions.

    The following definitions apply to this subpart:
    Administration means the Government of the State whose flag the ship 
is entitled to fly.
    Classification society means an organization that, at a minimum, 
verifies that a vessel meets requirements embodying the technical rules, 
regulations, standards, guidelines and associated surveys, and 
inspections covering the design, construction, and/or through life 
compliance of a ship's structure and essential engineering and 
electrical systems.

[[Page 39]]

    Recognized Organization (RO) means an organization authorized to act 
on behalf of an Administration.
    Regional port state control secretariat means an organization 
established to collect and maintain port state control inspection data 
in addition to other functions under a regional agreement among 
countries.



Sec.  2.45-5  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 Headquarters. Contact Commandant (CG-ENG), Attn: Office 
of Design and Engineering Systems, U.S. Coast Guard Stop 7509, 2703 
Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509, and is 
available from the sources indicated in this section.
    (b) International Maritime Organization, 4 Albert Embankment, London 
SE1 7SR, U.K. + 44 (0)20 7735 7611, http://www.imo.org/.
    (1) IMO Resolution A.739(18), Guidelines for the Authorization of 
Organizations Acting on Behalf of the Administration, adopted 4 November 
1993, incorporation by reference approved for Sec.  2.45-15.
    (2) [Reserved]



Sec.  2.45-10  General.

    (a) A classification society (including an employee or agent of that 
society) must not review, examine, survey, or certify the construction, 
repair, or alteration of a vessel in the United States unless it is 
approved under the provisions of this subpart.
    (b) This subpart applies to a recognized organization that meets the 
definition of a classification society provided in Sec.  2.45-1 of this 
subpart.



Sec.  2.45-15  Approval requirements.

    (a) A classification society may be approved for purpose of Sec.  
2.45-10 if the following conditions are met:
    (1) Vessels surveyed by the classification society must have a 
worldwide port state control detention rate of less than 2 percent based 
on the number of Recognized Organization (RO)-related detentions divided 
by the number of vessel inspections for at least 40 port state control 
inspections for the past 3 years;
    (2) The classification society must not be identified in the most 
recent publication of ``Port State Control in the United States'' as a 
Priority I and as having more than one RO-related detention for the past 
3 years;
    (3) The classification society must comply with the minimum 
standards for an RO recommended in IMO Resolution A.739(18), Appendix 1 
(incorporated by reference, see Sec.  2.45-5.);
    (4) The classification society must be an RO for at least one 
country under a formal written agreement that includes all of the 
elements described in IMO Resolution A.739(18), Appendix 2 (incorporated 
by reference, see Sec.  2.45-5.);
    (5) The referenced country that is cited for satisfaction of the 
requirement of paragraph (a)(4) of this section for which the 
classification society is an RO--
    (i) Must be signatory to each of the following: The International 
Safety of Life at Sea Convention (SOLAS), the International Convention 
on the Prevention of Pollution from Ships (MARPOL 73/78), the 
International Convention on Load Lines (ICLL), 1966, and the Protocol of 
1988 relating to the ICLL, 1966; and
    (ii) Must not be identified as a flag state targeted for additional 
port state control action by the Coast Guard or any regional port state 
control secretariat.
    (6) The classification society must use a system to--
    (i) Make its safety records and those of persons acting on behalf of 
the classification society available to the Coast Guard in electronic 
format;

[[Page 40]]

    (ii) Provide its safety records and those of persons acting on 
behalf of the classification society to another classification society 
that requests those records for the purpose of conducting surveys of 
vessels; and
    (iii) Request the safety records of a vessel to be surveyed from any 
other classification society that previously surveyed that vessel.
    (b) Where sufficient performance records are not available from a 
regional port state control secretariat, the Coast Guard may consider an 
equivalent safety performance indicator proposed by the classification 
society seeking approval.



Sec.  2.45-20  Probation, suspension, and revocation.

    (a) A classification society approved for the purpose of this 
subpart must maintain the minimum requirements for approval set forth in 
Sec.  2.45-15.
    (b) If an approved classification society fails to maintain 
compliance with paragraph (a) of this section, the Coast Guard may place 
the classification society approval on probation, or suspend or revoke 
the classification society's approval, as appropriate.
    (c) Probation. A classification society on probation is approved for 
the purpose of this subpart. The probation continues until the next 
review of the classification society's compliance with paragraph (a) of 
this section.
    (1) If the review shows that compliance with paragraph (a) of this 
section is achieved, the probation may end.
    (2) If the review shows significant improvement but compliance with 
paragraph (a) of this section is not achieved, the probation may be 
extended.
    (3) If the review does not show significant improvement, and 
compliance with paragraph (a) of this section is not achieved, the 
approval may be suspended.
    (d) Suspension. A classification society whose approval is suspended 
is not approved for the purpose of this subpart. Suspension will 
continue until the next review of the classification society's 
compliance with paragraph (a) of this section.
    (1) If the review shows compliance with paragraph (a) of this 
section, the classification society's approval may be restored.
    (2) If the review shows significant improvement toward compliance 
with paragraph (a) of this section, the suspension may be extended.
    (3) If the review does not show significant improvement and 
compliance with paragraph (a) of this section, the classification 
society's approval may be revoked.
    (e) Revocation. A classification society whose approval is revoked 
is not approved for the purpose of this subpart. The classification 
society may reapply for approval when the requirements of Sec.  2.45-15 
are met.
    (f) The Coast Guard's Office of Design and Engineering Standards 
(CG-ENG) administers probations, suspensions, and revocations and makes 
all related notifications to affected classification societies.



Sec.  2.45-25  Application for approval.

    (a) An application for approval must be made in writing and in the 
English language to Commandant (CG-ENG), Attn: Office of Design and 
Engineering Systems, U.S. Coast Guard Stop 7509, 2703 Martin Luther King 
Jr. Avenue SE., Washington, DC 20593-7509.
    (b) The application must--
    (1) Indicate the type of work the classification society intends to 
perform on vessels in the United States;
    (2) Include documentation demonstrating that the classification 
society complies with Sec.  2.45-15;
    (3) Contain a list of the vessels surveyed by the classification 
society over the previous 3 calendar years. The list must include vessel 
names, flags, and IMO numbers, as well as initial vessel inspections and 
detentions; and
    (4) Provide a summary of the safety records of vessels the 
classification society surveys for each of the previous 3 calendar 
years, including initial vessel inspections and detentions for all data 
contained in regional port state control Memoranda of Understanding 
(MOU) and other port state control data sources, including the U.S. 
Coast Guard.
    (c) An application submitted in accordance with 46 CFR part 8, 
subpart B satisfies the application requirements

[[Page 41]]

of paragraph (a) of this section, provided the applicant:
    (1) Has been notified in writing by the Commandant that it met the 
criteria to be a recognized classification society, and its recognized 
status has not been revoked, under 46 CFR part 8, subpart B;
    (2) Submits in writing and in the English language to the address in 
paragraph (a) of this section a statement that the applicant is applying 
for approval under this subpart; and
    (3) Certifies in the submission under paragraph (c)(2) of this 
section that the information in the application submitted under 46 CFR 
part 8, subpart B remains valid.



Sec.  2.45-30  Penalties.

    The owner, charterer, managing operator, agent, master, or 
individual in charge of a vessel that employs a classification society 
to review, examine, survey, or certify the construction, repair, or 
alteration of a vessel in the United States is subject to civil 
penalties in accordance with Title 46 U.S.C. 3318 if the classification 
society is not approved by the Coast Guard under this subpart.



                         Subpart 2.50_Penalties



Sec.  2.50-1  Penalty procedures.

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

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



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



Sec.  2.75-1  Approvals.

    (a) Certain navigation and vessel inspection laws, or regulations in 
this chapter or in 33 CFR chapter I, require the Commandant's approval 
before specific types of safety equipment, materials, or installations 
may be installed or used on vessels subject to Coast Guard inspection, 
or on other described vessels, motorboats, artificial islands, and fixed 
structures.
    (b) The Commandant's approvals are issued to persons, partnerships, 
companies, or corporations who offer for sale specific items of safety 
equipment, materials, or installations, or intend them for their own or 
others' use. These approvals are intended to provide a control over the 
quality of such approved items. The Commandant's approvals apply only to 
those items constructed or installed in accordance with applicable 
requirements, and the details as described in the documents granting 
specific approval. If a specific item when manufactured does not comply 
with these details, then it is not considered to be approved and the 
approval issued does not apply to such modified item. For example, if an 
item is manufactured with changes in design or material not previously 
approved, the approval does not apply to such modified item. The failure 
to comply with applicable requirements and details specified in the 
approval subjects the holder to immediate suspension of approval as 
described in Sec.  2.75-40, and if necessary, to a public hearing 
seeking withdrawal of approval and removal of all such items from use or 
installation as provided in Sec.  2.75-50.
    (c) The Commandant's approvals are issued to qualified holders in 
the form of certificates of approval (Form CGHQ-10030), by appropriate 
description and identification in documents filed with the Office of the 
Federal Register and published in the Federal Register, or by letters, 
or by appropriate markings on drawings, plans, etc. Under the direction 
of the Commandant, the Deputy for Operations Policy and Capabilities 
(CG-DCO-D) 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 Deputy for Operations Policy and Capabilities (CG-DCO-D) may be 
further delegated by him.
    (d) The approvals granted to holders qualifying under the 
regulations in this chapter or in specifications, copies of

[[Page 42]]

which may be obtained from the Commandant (CG-ENG), 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 Deputy for Operations Policy and Capabilities (CG-DCO-D) 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 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-ENG), Attn: Office of Design 
and Engineering Systems, U.S. Coast Guard Stop 7509, 2703 Martin Luther 
King Jr. Avenue SE., Washington, DC 20593-7509. 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-ENG). 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

[[Page 43]]

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-5PS), Attn: Director 
of Commercial Regulations, U.S. Coast Guard Stop 7509, 2703 Martin 
Luther King Jr. Avenue SE., Washington, DC 20593-7509, requesting 
recognition and listing, as a recognized laboratory.
    (2) Accompanying the informal application, as identified enclosures, 
shall be:
    (i) A certification that it is a laboratory which has been and is 
regularly engaged in the examination, testing, and evaluation of 
portable fire extinguishers.
    (ii) A certification that it has an established factory inspection, 
listing, and labeling program, together with a complete description of 
it and how it works.
    (iii) A description of its facilities used in the examination, 
testing, and evaluation of portable fire extinguishers, together with 
its name (if different from that of submitter), and location (city, 
street, and state).
    (iv) A list of the names and home and office addresses of its 
principal officers and its managing directors (if any).
    (v) A description of its special standards for listing and labeling 
portable fire extinguishers as marine type, as contemplated by the 
specification in subpart 162.028 of part 162 of subchapter Q 
(Specifications) of this chapter.
    (3) If the Commandant finds that a laboratory qualifies as a 
recognized laboratory, and it is subject to Coast Guard jurisdiction, 
the approval and listing will be published on the Coast Guard's Maritime 
Information eXchange Web site at http://cgmix.uscg.mil/equipment 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; USCG-2015-0867, 80 FR 62469, Oct. 16, 2015]



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

[[Page 44]]

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-5PS) 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]



                         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.

[[Page 45]]

    (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,
    (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.

[[Page 46]]

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.
    (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

[[Page 47]]

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.
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.

[[Page 48]]

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 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

[[Page 49]]

    (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
    (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

[[Page 50]]

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.



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]

[[Page 51]]



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]



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,

[[Page 52]]

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 (allision 
with) a bridge;
    (2) An intended grounding, or an intended strike of a bridge, that 
creates a hazard to navigation, the environment, or the safety of a 
vessel, or that meets any criterion of paragraphs (a) (3) through (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 160.202.
    (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

[[Page 53]]

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; 
USCG-2011-0618, 76 FR 60754, Sept. 30, 2011; USCG-2014-0688, 79 FR 
58275, Sept. 29, 2014; USCG-2005-21869, 80 FR 5336, Jan. 30, 2015]



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 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

[[Page 54]]

those individuals for whom evidence of intoxication is obtained. The 
individual must be informed of this entry and the entry must be 
witnessed by a second person.
    (d) If an individual directly involved in a casualty refuses to 
submit to, or cooperate in, the administration of a timely chemical 
test, when directed by a law enforcement officer or by the marine 
employer, this fact shall be noted in the official log book, if carried, 
and in the written report (Form CG-2692), and shall be admissible as 
evidence in any administrative proceeding.

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



Sec.  4.05-15  Voyage records, retention of.

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



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

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

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



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

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



Sec.  4.05-30  Incidents involving hazardous materials.

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

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



Sec.  4.05-35  Incidents involving nuclear vessels.

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

[[Page 55]]



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.
    (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

[[Page 56]]

(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.
    (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]

[[Page 57]]



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 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

[[Page 58]]

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 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 72-104R, 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

[[Page 59]]

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.
    (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; USCG-2016-0498, 82 FR 35089, 
July 28, 2017]



Sec.  4.07-15  Recommendations, action on.

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



Sec.  4.07-20  Transfer of jurisdiction.

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



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

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



Sec.  4.07-30  Testimony of witnesses under oath.

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

[[Page 60]]

concerning their rights; however, such counsel will not be permitted to 
examine or cross-examine other witnesses or otherwise participate in the 
investigation.



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

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



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

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



               Subpart 4.09_Marine Board of Investigation



Sec.  4.09-1  Commandant to designate.

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

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



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

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



Sec.  4.09-10  Witnesses, payment of.

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



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

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



Sec.  4.09-17  Sessions to be public.

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

[[Page 61]]

the casualty under investigation and time and place the investigation 
will be made.



Sec.  4.09-30  Action on report.

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



Sec.  4.09-35  Preferment of charges.

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



                 Subpart 4.11_Witnesses and Witness Fees



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

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



Sec.  4.11-5  Coercion of witnesses.

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



Sec.  4.11-10  Witness fees and allowances.

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

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



        Subpart 4.12_Testimony by Interrogatories and Depositions



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

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

[[Page 62]]

any) the investigating officer or Marine Board of Investigation may 
propound such additional questions as may be necessary to clarify the 
testimony given by the witness.
    (e) The subpoena referred to in subpart F of this subchapter 
together with the list of interrogatories and cross-interrogatories (if 
any) shall be forwarded to the officer designated to take such 
deposition. This officer will cause the subpoena to be served personally 
on the witness. After service the subpoena shall be endorsed and 
returned to the investigating officer or Marine Board of Investigation.
    (f) When the deposition has been duly executed it shall be returned 
to the investigating officer or Marine Board of Investigation. As soon 
as practicable after the receipt of the deposition the investigating 
officer or Marine Board of Investigation shall present it to the parties 
for their examination. The investigating officer or Marine Board of 
Investigation shall rule on the admissibility of the deposition or any 
part thereof and of any objection offered by either party thereto.

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



                  Subpart 4.13_Availability of Records



Sec.  4.13-1  Public availability of records.

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

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



     Subpart 4.19_Construction of Regulations and Rules of Evidence



Sec.  4.19-1  Construction of regulations.

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



Sec.  4.19-5  Adherence to rules of evidence.

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



                    Subpart 4.21_Computation of Time



Sec.  4.21-1  Computation of time.

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



               Subpart 4.23_Evidence of Criminal Liability



Sec.  4.23-1  Evidence of criminal liability.

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

[[Page 63]]



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

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

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



Sec.  4.40-5  Definitions.

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

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



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

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

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



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

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

[[Page 64]]

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 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.

[[Page 65]]

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.

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

[[Page 66]]

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.



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.

[[Page 67]]

    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.
    (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

[[Page 68]]

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 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]

[[Page 69]]



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 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;

[[Page 70]]

    (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 
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.

[[Page 71]]

    (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 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]

[[Page 72]]



                           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.

[CGD 82-002, 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 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]

[[Page 73]]



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.
  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.

[[Page 74]]

    (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]



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), Attn: Judge Advocate General (JAG) and 
Chief Counsel, U.S. Coast Guard Stop 7213, 2703 Martin Luther King Jr. 
Avenue SE., Washington, DC 20593-7213.
    (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; 
USCG-2013-0671, 78 FR 60144, Sept. 30, 2013]



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

[[Page 75]]

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.
    (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 by USCG-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

[[Page 76]]

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 
U.S. Coast Guard Office of Investigations and Analysis, Commandant (CG-
INV-1), U.S. Coast Guard Stop 7501, 2703 Martin Luther King Jr. Avenue 
SE., Washington, DC 20593-7501, 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 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; 
USCG-2013-0671, 78 FR 60144, Sept. 30, 2013; USCG-2015-0867, 80 FR 
62469, Oct. 16, 2015]



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

[[Page 77]]

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 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),

[[Page 78]]

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 
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-CVC), Attn: Office of Commercial Vessel Compliance, U.S. 
Coast Guard Stop 7501, 2703 Martin Luther King Jr. Avenue SE., 
Washington, DC 20593-7501. 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 
Sealift Command 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

[[Page 79]]

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]

    Editorial Note: For Federal Register citations affecting Sec.  6.06, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.fdsys.gov.



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

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

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



PART 7_BOUNDARY LINES--Table of Contents



                                 General

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

                             Atlantic Coast

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

[[Page 80]]

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.
    (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.5445" N. longitude 66 deg.5830" W.; thence to the 
range marker located in approximate position latitude 44 deg.5145" N. 
longitude 66 deg.59" W.
    (b) A line drawn from West Quoddy Head Light to latitude 
44 deg.48.5 N. longitude 66 deg.56.4 W. (Sail Rock Lighted Whistle 
Buoy ``1''); thence to latitude 44 deg.37.5 N. longitude 67 deg.09.8 
W. (Little River Lighted Whistle Buoy ``2LR''); thence to latitude 
44 deg.14.5 N. longitude 67 deg.57.2 W. (Frenchman Bay Approach 
Lighted Whistle Buoy ``FB''); thence to Mount Desert Light; thence to 
Matinicus Rock Light; thence to Monhegan Island Light; thence to 
latitude 43 deg.31.6 N. longitude 70 deg.05.5 W. (Portland Lighted 
Horn Buoy ``P''); thence to Boon Island Light; thence to latitude 
42 deg.37.9 N. longitude 70 deg.31.2 W. (Cape Ann Lighted Whistle Buoy 
``2'').



Sec.  7.15  Massachusetts Bay, MA.

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

[[Page 81]]



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

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



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

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



Sec.  7.30  New York Harbor, NY.

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



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

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



Sec.  7.40  Delaware Bay and tributaries.

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



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

    (a) A line drawn from the easternmost extremity of Indian River 
Inlet North Jetty to latitude 38 deg.36.5 N. longitude 75 deg.02.8 W. 
(Indian River Inlet Lighted Gong Buoy ``1''); thence to Indian River 
Inlet South Jetty Light.
    (b) A line drawn from Ocean City Inlet Light ``6'' to latitude 
38 deg.19.4 N. longitude 75 deg.05.0 W. (Ocean City Inlet Entrance 
Lighted Buoy ``4''); thence to latitude 38 deg.19.3 N. longitude 
75 deg.05.1 W. (Ocean City Inlet Entrance Lighted Buoy ``5''); thence 
to the easternmost extremity of the south breakwater.
    (c) A line drawn from Assateague Beach Tower Light to latitude 
37 deg.50.2

[[Page 82]]

N. longitude 75 deg.24.9 W. (Chincoteague Inlet Lighted Bell Buoy 
``CI''); thence to the tower charted at latitude 37 deg.52.6 N. 
longitude 75 deg.26.7 W.
    (d) A line drawn from the southernmost extremity of Cedar Island to 
latitude 37 deg.34.7 N. longitude 75 deg.36.0 W. (Wachapreague Inlet 
Entrance Lighted Buoy ``1''); thence due south to shore at Parramore 
Beach.
    (e) A line drawn from the seaward tangent of Parramore Beach to the 
lookout tower on the northern end of Hog Island chartered in approximate 
position latitude 37 deg.27.2 N. longitude 75 deg.40.5 W.



Sec.  7.50  Chesapeake Bay and tributaries.

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



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

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

[CGD 81-058, 50 FR 25230, June 18, 1985, as amended by USCG-2009-0702, 
74 FR 49224, Sept. 25, 2009; USCG-2013-0671, 78 FR 60144, Sept. 30, 
2013]



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

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



Sec.  7.65  Charleston Harbor, SC.

    A line drawn from Charleston Light on Sullivans Island to latitude 
32 deg.40.7 N. longitude 79 deg.42.9 W. (Charleston Lighted Whistle 
Buoy ``2C''); thence to a point on Folly Island at latitude 32 deg.41.0 
N. longitude 79 deg.53.2 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 N. longitude 79 deg.58.2 W. (Stono Inlet Lighted 
Whistle Buoy ``1S''); thence to Kiawah Island bearing approximately 
307 deg. true.
    (b) A line drawn from the southernmost extremity of Kiawah Island to 
latitude 32 deg.31 N. longitude 80 deg.07.8 W. (North Edisto River 
Entrance Lighted

[[Page 83]]

Whistle Buoy ``2NE''); thence to Botany Bay Island in approximate 
position latitude 32 deg.33.1 N. longitude 80 deg.12.7 W.
    (c) A line drawn from the microwave antenna tower on Edisto Beach 
charted in approximate position latitude 32 deg.29.3 N. longitude 
80 deg.19.2 W. across St. Helena Sound to the abandoned lighthouse 
tower on Hunting Island charted in approximate position latitude 
32 deg.22.5 N. longitude 80 deg.26.5 W.
    (d) A line drawn from the abandoned lighthouse on Hunting Island in 
approximate position latitude 32 deg.22.5 N. longitude 80 deg.26.2 W. 
to latitude 32 deg.18 N. longitude 80 deg.25 W.; thence to the 
standpipe on Fripp Island in approximate position latitude 32 deg.19 N. 
longitude 80 deg.28.7 W.
    (e) A line drawn from the westernmost extremity of Bull Point on 
Capers Island to latitude 32 deg.04.8 N. longitude 80 deg.34.9 W. 
(Port Royal Sound Lighted Whistle Buoy ``2PR''); thence to the 
easternmost extremity of Hilton Head at latitude 32 deg.13.2 N. 
longitude 80 deg.40.1 W.



Sec.  7.75  Savannah River/Tybee Roads.

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



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

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



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

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



Sec.  7.90  St. Johns River, FL.

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



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

    (a) A line drawn from the seaward extremity of St. Augustine Inlet 
north jetty to latitude 29 deg.55 N. longitude 81 deg.15.3 W. (St. 
Augustine Lighted Whistle Buoy ``ST. A.''); thence to the seaward 
extremity of St. Augustine Inlet south jetty.
    (b) A line formed by the centerline of the highway bridge over 
Matanzas Inlet.
    (c) A line drawn from the seaward extremity of Ponce de Leon Inlet 
north jetty to latitude 29 deg.04.7 N. longitude 80 deg.54 W. (Ponce 
de Leon Inlet Lighted Bell Buoy ``2''); thence to Ponce de Leon Inlet 
Approach Light.
    (d) A line drawn from Canaveral Harbor Approach Channel Range Front 
Light to latitude 28 deg.23.7 N. longitude 80 deg.32.2 W. (Canaveral 
Bight Wreck Lighted Buoy ``WR6''); thence to the radio tower on 
Canaveral Peninsula in approximate position latitude 28 deg.22.9 N. 
longitude 80 deg.36.6 W.

[[Page 84]]

    (e) A line drawn across the seaward extremity of the Sebastian Inlet 
Jetties.
    (f) A line drawn from the seaward extremity of the Fort Pierce Inlet 
North Jetty to latitude 27 deg.28.5 N. longitude 80 deg.16.2 W. (Fort 
Pierce Inlet Lighted Whistle Buoy ``2''); thence to the tank located in 
approximate position latitude 27 deg.27.2 N. longitude 80 deg.17.2 W.
    (g) A line drawn from the seaward extremity of St. Lucie Inlet north 
jetty to latitude 27 deg.10 N. longitude 80 deg.08.4 W. (St. Lucie 
Inlet Entrance Lighted Whistle Buoy ``2''); thence to Jupiter Island 
bearing approximately 180 deg. true.
    (h) A line drawn from the seaward extremity of Jupiter Inlet North 
Jetty to the northeast extremity of the concrete apron on the south side 
of Jupiter Inlet.
    (i) A line drawn from the seaward extremity of Lake Worth Inlet 
North Jetty to latitude 26 deg.46.4 N. longitude 80 deg.01.5 W. (Lake 
Worth Inlet Lighted Bell Buoy ``2LW''); thence to Lake Worth Inlet 
Lighted Buoy ``3''; thence to the seaward extremity of Lake Worth Inlet 
South Jetty.
    (j) A line drawn across the seaward extremity of the Boynton Inlet 
Jetties.
    (k) A line drawn from Boca Raton Inlet North Jetty Light ``2'' to 
Boca Raton Inlet South Jetty Light ``1''.
    (l) A line drawn from Hillsboro Inlet Light to Hillsboro Inlet 
Entrance Light ``2''; thence to Hillsboro Inlet Entrance Light ``1''; 
thence west to the shoreline.
    (m) A line drawn from the tower located in approximate position 
latitude 26 deg.06.9 N. longitude 80 deg.06.4 W. to latitude 
26 deg.05.5 N. longitude 80 deg.04.8 W. (Port Everglades Lighted 
Whistle Buoy ``1''); thence to the signal tower located in approximate 
position latitude 26 deg.05.5 N. longitude 80 deg.06.5 W.
    (n) A line drawn from the seaward extremity of Bakers Haulover Inlet 
north jetty 090 deg. true to longitude 80 deg.07.2 W.; thence to the 
seaward extremity of Bakers Haulover Inlet south jetty.



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

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

                               Gulf Coast



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

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

[[Page 85]]



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

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



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

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



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

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



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

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

[[Page 86]]



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

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



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

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

                                 Alaska



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

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



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

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



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

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



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

    (a) A line drawn from the southernmost extremity of Kenai Peninsula 
at longitude 151 deg.44.0 W. to East Amatuli Island Light; thence to 
the northwesternmost extremity of Shuyak Island at Party Cape; thence to 
the easternmost extremity of Cape Douglas.
    (b) A line drawn from the southernmost extremity of Pillar Cape on 
Afognak Island to Spruce Cape Light; thence to the easternmost extremity 
of

[[Page 87]]

Long Island; thence to the northeasternmost extremity of Cape Chiniak.
    (c) A line drawn from Cape Nunilak at latitude 58 deg.09.7 N. to 
the northernmost extremity of Raspberry Island. A line drawn from the 
westernmost extremity of Raspberry Cape to the northernmost extremity of 
Miners Point.



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

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



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

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



Sec.  7.180  Kotzebue Sound, AK.

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



PART 8_VESSEL INSPECTION ALTERNATIVES--Table of Contents



                            Subpart A_General

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

            Subpart B_Recognition of a Classification Society

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

         Subpart C_International Convention Certificate Issuance

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

                 Subpart D_Alternate Compliance Program

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

                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.

[[Page 88]]

8.570 Interim approval of prototype SIP company or vessel plans.

    Authority: 33 U.S.C. 1903, 1904, 3803 and 3821; 46 U.S.C. 3103, 
3306, 3316, and 3703; Department of Homeland Security Delegation No. 
0170.1 and Aug. 8, 2011 Delegation of Authority, Anti-Fouling Systems.

    Effective Date Note: By USCG-2016-0880, 82 FR 44118, Sept. 21, 2017, 
the authority citation for part 8 was revised, effective Oct. 23, 2017. 
For the convenience of the user, the revised text is set forth as 
follows:
    Authority: 33 U.S.C. 1231, 1903, 1904, 3803 and 3821; 46 U.S.C. 
3103, 3306, 3316, and 3703; Department of Homeland Security Delegation 
No. 0170.1 and Aug. 8, 2011 Delegation of Authority, Anti-Fouling 
Systems.

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

    Editorial Note: Nomenclature changes to part 8 appear by USCG-2009-
0702, 74 FR 49224, Sept. 25, 2009.



                            Subpart A_General



Sec.  8.100  Definitions.

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



Sec.  8.110  Incorporation by reference.

    (a) Certain material is incorporated by reference into this 
subchapter with

[[Page 89]]

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 
Commandant (CG-ENG), Attn: Office of Design and Engineering Systems, 
U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., 
Washington, DC 20593-7509, 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; 
USCG-2013-0671, 78 FR 60145, Sept. 30, 2013]



Sec.  8.120  Reciprocity.

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

[[Page 90]]



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-CVC) 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-CVC) 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-CVC) with its register of 
classed vessels.
    (8) Ensure vessels meet all requirements for class of the accepting 
classification society prior to accepting vessels transferred from 
another classification society.
    (9) Suspend class for vessels that are overdue for special renewal 
or annual survey.
    (10) Attend any vessel for which the classification society has 
performed any delegated function on behalf of the Coast Guard at the 
request of the appropriate Coast Guard officials, without regard to the 
vessel's location--unless prohibited to do so under the laws of the 
United States, the laws of the jurisdiction in which the vessel is 
located, the classification society's home country domestic law, or 
where the classification society considers an unacceptable hazard to 
life and/or property exists.
    (11) Honor appeal decisions made by the Commandant (CG-ENG) or 
Commandant (CG-CVC) 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-CVC) 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-DCO-D) to participate in the 
development of class rules.
    (20) Inform the Commandant (CG-5PS) of all proposed changes to class 
rules.

[[Page 91]]

    (21) Provide the Commandant (CG-DCO-D) 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.
    (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;

[[Page 92]]

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



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

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



Sec.  8.260  Revocation of classification society recognition.

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



         Subpart C_International Convention Certificate Issuance



Sec.  8.300  Purpose.

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



Sec.  8.310  Applicability.

    This subpart applies to:

[[Page 93]]

    (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;
    (12) MARPOL 73/78 International Air Pollution Prevention 
Certificate;
    (13) International Anti-fouling System Certificate; and
    (14) MARPOL 73/78 International Energy Efficiency 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; USCG-2011-0745, 76 FR 76899, 
Dec. 9, 2011; USCG-2012-0861, 77 FR 73338, Dec. 10, 2012]

    Effective Date Note: By USCG-2016-0880, 82 FR 44119, Sept. 21, 2017, 
Sec.  8.320 was amended in paragraph (b)(13) by removing the word 
``and''; and in paragraph (b)(14), by removing the period at the end of 
the paragraph and adding in its place, ``; and''; and by adding 
paragraph (b)(15), effective Oct. 23, 2017. For the convenience of the 
user, the added text is set forth as follows:



Sec.  8.320  Classification society authorization to issue international 
          certificates.

                                * * * * *

    (b) * * *
    (15) Polar Ship Certificate.

                                * * * * *



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

[[Page 94]]

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]



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-ENG) 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

[[Page 95]]

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 
Commandant (CG-CVC), Attn: Office of Commercial Vessel Compliance, U.S. 
Coast Guard Stop 7501, 2703 Martin Luther King Jr. Avenue SE., 
Washington, DC 20593-7501.

[CGD 95-010, 62 FR 67532, Dec. 24, 1997, as amended by USCG-2013-0671, 
78 FR 60145, Sept. 30, 2013]



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:
    (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]

[[Page 96]]



                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.
    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

[[Page 97]]

    (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).
    (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.

[[Page 98]]

    (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 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:

[[Page 99]]

    (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) 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.

[[Page 100]]

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 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

[[Page 101]]

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 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.

[[Page 102]]



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 103]]



            SUBCHAPTER B_MERCHANT MARINE OFFICERS AND SEAMEN





PART 10_MERCHANT MARINER CREDENTIAL--Table of Contents



                            Subpart A_General

Sec.
10.101 Purpose.
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.
10.217 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 Replacement of lost merchant mariner credentials.
10.231 Requirements for raises of grade or new endorsements.
10.232 Sea service.
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.

                     Subpart C_Medical Certification

10.301 General requirements.
10.302 Medical and physical requirements.
10.303 Medical waivers, limitations, and restrictions.
10.304 General medical exam.
10.305 Vision requirements.
10.306 Hearing requirements.

                 Subpart D_Training Courses and Programs

10.401 Applicability.
10.402 Approval of training courses.
10.403 General standards.
10.404 Substitution of training for required service, use of training-
          record books (TRBs), and use of towing officer assessment 
          records (TOARs).
10.405 Qualification as qualified assessor (QA) and designated examiner 
          (DE).
10.406 Approved courses.
10.407 Approval of training programs.
10.408 Coast Guard-accepted training other than approved courses and 
          programs.
10.409 Coast Guard-accepted Quality Standard System (QSS) organizations.
10.410 Quality Standard System (QSS) requirements.
10.411 Simulator performance standards.
10.412 Distance and e-learning.

    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 73; 46 U.S.C. chapter 75; 
46 U.S.C. 2104; 46 U.S.C. 7701, 8903, 8904, 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.

    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 his or her 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 applicant for an MMC is a 
safe and suitable person.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77882, Dec. 24, 2013]



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

[[Page 104]]

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 Office of Merchant Mariner Credentialing (CG-MMC), 
U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., 
Washington, DC 20593-7509, 202-372-1492 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, 2011 
(the STCW Convention or the STCW), incorporation by reference approved 
for Sec. Sec.  10.107, 10.109, 10.201, and 10.410.
    (2) The Seafarers' Training, Certification and Watchkeeping Code, as 
amended, 2011 (the STCW Code), incorporation by reference approved for 
Sec. Sec.  10.107, 10.109, 10.201, 10.404, 10.411, and 10.412.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2009-
0702, 74 FR 49224, Sept. 25, 2009; USCG-2013-0671, 78 FR 60145, Sept. 
30, 2013; USCG-2004-17914, 78 FR 77882, Dec. 24, 2013; USCG-2016-0315, 
81 FR 43955, July 6, 2016]



Sec.  10.105  Paperwork approval. [Reserved]



Sec.  10.107  Definitions in subchapter B.

    (a) With respect to part 16 of this subchapter only, if the 
definitions in paragraph (b) of this section differ from those set forth 
in Sec.  16.105, the definition set forth in Sec.  16.105 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:
    Able seafarer-deck means a rating qualified in accordance with the 
provisions of Regulation II/5 of the STCW Convention.
    Able seafarer-engine means a rating qualified in accordance with the 
provisions of Regulation III/5 of the STCW Convention.
    Apprentice mate (steersman) of towing vessels means a credentialed 
mariner in training to perform bridge watchkeeping duties onboard a 
towing vessel, who must be under the direct supervision and in the 
continuous presence of a master or mate (pilot) of towing vessels.
    Approved means approved by the Coast Guard.
    Approved training means training that is approved by the Coast Guard 
or meets the requirements of Sec.  10.408 of this part.
    Articulated tug barge or ATB means any tug-barge combination which, 
through the use of an articulated or ``hinged'' connection system 
between the tug and barge, allows independent movement in the critical 
area of fore and aft pitch.
    Assistance towing means towing a disabled vessel for consideration.
    Assistant engineer, for national endorsements, means a qualified 
officer in the engine department other than the chief engineer.
    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 means a non-self propelled vessel as defined in 46 U.S.C 102.
    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

[[Page 105]]

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.
    Boundary line marks the dividing point between internal and offshore 
waters for the purposes of several U.S. statutes and, with exceptions, 
generally follows the trend of the seaward, highwater shorelines. See 46 
CFR part 7.
    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.
    Ceremonial license means a document that reflects a mariner's 
existing national officer endorsement and is suitable for framing, but 
is not valid for use as a Merchant Mariner Credential (MMC).
    Chemical tanker means a tank vessel that is certificated to carry or 
carries chemicals in bulk as cargo or cargo residue. For the purposes of 
qualifying for an STCW endorsement for advanced chemical tanker cargo 
operations, this includes tank barges.
    Chief engineer means the senior engineer responsible for the 
mechanical propulsion and the operation and maintenance of the 
mechanical and electrical installations of the vessel.
    Chief mate means the deck officer next in rank 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--
    (1) That the Coast Guard has officially acknowledged in writing that 
the material or process at issue meets the applicable requirements;
    (2) That the Coast Guard has issued an official policy statement 
listing or describing the material or process as meeting the applicable 
requirements; or
    (3) 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.
    Coast Guard-accepted QSS organization means an entity that has been 
approved by the Coast Guard to accept and monitor training on behalf of 
the Coast Guard.
    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.
    Coastwise voyage is a domestic voyage and means a voyage in which a 
vessel proceeds--
    (1) From one port or place in the United States to another port or 
place in the United States;
    (2) From a port or place in a United States possession to another 
port or place in the same possession, and passes outside the line 
dividing inland waters from the high seas; or
    (3) From a port or place in the United States or its possessions and 
passes outside the line dividing inland waters from the high seas and 
navigates on the high seas, and then returns to the same port or place.
    Communicable disease means any disease capable of being transmitted 
from one person to another directly, by contact with excreta or other 
discharges from the body; or indirectly, via substances or inanimate 
objects contaminated with excreta or other discharges from an infected 
person. Pursuant to 42 U.S.C. 12113, the Department of Health and Human 
Services periodically publishes in the Federal Register a list of 
infectious and communicable diseases that are transmissible through the 
food supply, and that list provides examples of communicable diseases 
for purposes of Sec.  10.304 of this title.
    Conviction means that the applicant for a merchant mariner 
credential has been found guilty, by judgment or plea 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

[[Page 106]]

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) 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, 8 hours of watchstanding or day-working 
not to include overtime. On vessels authorized by 46 U.S.C. 8104 and 46 
CFR 15.705, to operate a two-watch system, a 12-hour working day may be 
creditable as 1\1/2\ days of service. On vessels of less than 100 GRT, a 
day is considered as 8 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 4 hours. When computing service on 
MODUs for any endorsement, a day of MODU service must be a minimum of 4 
hours, and no additional credit is received for periods served over 8 
hours. For cadet service on a training ship furnished by the Maritime 
Administration under 46 CFR 310.4, a day may be creditable as 1\1/2\ 
days of service.
    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.
    Deck department means the department aboard a ship responsible for 
navigation, cargo, command, and control functions.
    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 unmanned engine 
room.
    Designated examiner or DE means a person who has been trained or 
instructed in techniques of training or assessment on towing vessels and 
is otherwise qualified to evaluate whether an applicant has achieved the 
level of proficiency required to hold a towing vessel endorsement on a 
merchant mariner credential (MMC). This person must be approved by the 
Coast Guard.
    Designated medical examiner means a licensed physician, licensed 
physician's assistant, or licensed nurse practitioner who has been 
trained and approved to conduct medical and physical examinations of 
merchant mariners on behalf of the U.S. Coast Guard and may be delegated 
limited authority to grant waivers and approve physical/medical 
suitability for service.
    Directly supervised/direct supervision (only when referring to 
issues related to tankermen) means being in the direct line of sight of 
the person-in-charge or maintaining direct, two-way communications by a 
convenient, reliable means, such as a predetermined working frequency 
over a handheld radio.

[[Page 107]]

    Disabled vessel means a vessel that needs assistance, whether 
docked, moored, anchored, aground, adrift, or underway. This does not 
mean a barge or any other vessel not regularly operated under its own 
power.
    Document of Continuity means a document issued by the Coast Guard to 
seafarers who are unwilling or otherwise unable to meet the requirements 
of Sec.  10.227, for the sole purpose of maintaining an individual's 
eligibility for renewal of an endorsement.
    Domestic voyage means a voyage from one United States port to 
another United States port, without entering waters under the 
jurisdiction of another country unless the United States has entered 
into a treaty or an agreement with that country respecting mutual 
recognition of national mariner qualifications. This includes a voyage 
to nowhere that returns to the originating port.
    Drug test means a chemical test of an individual's urine for 
evidence of dangerous drug use.
    Dual-mode integrated tug barge means an integrated tug barge (ITB) 
involving an articulated (flexible) coupling system where the towing 
unit rolls and heaves (articulates) about a horizontal pivot point. Dual 
mode units resemble a conventional tug and are capable of towing in 
other configurations (astern or alongside).
    Electro-technical officer means an officer qualified in accordance 
with the provisions of Regulation III/6 of the STCW Convention.
    Electro-technical rating means a rating qualified in accordance with 
the provisions of Regulation III/7 of the STCW Convention.
    Employment assigned to means the total period of time 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 and, for 
the purposes of this chapter, includes only those endorsements listed in 
Sec.  10.109 of this part.
    Engine department means the department aboard a ship responsible for 
the main propulsion and auxiliary systems, and other mechanical, 
electrical, hydraulic, and refrigeration systems, including deck 
machinery and cargo-handling equipment.
    Entry-level mariner means a mariner holding no rating other than 
ordinary seaman, wiper, steward's department, or steward's department 
food handler (F.H.).
    Evaluation means processing an application, from the point of 
receipt to approval or denial 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 rank to 
the chief engineer and upon whom the responsibility for the mechanical 
propulsion and the operation and maintenance of the mechanical and 
electrical installations 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 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 miles 326 and 327), the Chicago River as 
far as the east side of the Ashland Avenue Bridge (between miles 321 and 
322), and the Saint Lawrence River as far east as the lower exit of 
Saint Lambert Lock. For purposes of requiring MMCs with rating 
endorsements, the connecting and tributary waters are not part of the 
Great Lakes.
    Gross register tons or GRT means the gross ton measurement of the 
vessel under 46 U.S.C. chapter 145, Regulatory Measurement.
    Gross tonnage or GT means the gross tonnage measurement of the 
vessel under 46 U.S.C. chapter 143, Convention Measurement.
    Harbor assist means the use of a towing vessel during maneuvers to 
dock, undock, moor, or unmoor a vessel, or

[[Page 108]]

to escort a vessel with limited maneuverability.
    High-speed craft type rating (HSC) means an endorsement for specific 
duty on a particular type and model of high-speed craft (compliant with 
the high-speed craft code).
    Horsepower or HP means, for the purpose of this subchapter, the 
total maximum continuous shaft horsepower of the entire vessel's main 
propulsion machinery as determined by the manufacturer. This term is 
used when describing a vessel's propulsion power and also when placing 
limitations on an engineer officer license or endorsement. One 
horsepower equals 0.75 kW.
    ILO means the International Labour Organization.
    IMO means the International Maritime Organization.
    Increase in scope means additional authority added to an existing 
credential, such as adding a new route or increasing the authorized 
horsepower or tonnage.
    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.
    Integrated tug barge or ITB means any tug barge combination which, 
through the use of special design features or a specially designed 
connection system, has increased seakeeping capabilities relative to a 
tug and barge in the conventional pushing mode. An ITB can be divided 
into either a dual-mode ITB or a push-mode ITB. The definitions for 
those categories can be found elsewhere in this section.
    Invalid credential means an MMC, MMD, license, STCW endorsement, or 
Certificate of Registry that has been suspended or revoked, has expired, 
has been tampered with, has not been signed, or has been superseded in 
accordance with Sec.  10.205 of this part.
    ISM means the International Safety Management Code.
    Kilowatt or kW means 1\1/3\ horsepower. This term is used when 
describing a vessel's propulsion power and also when placing limitations 
on an engineer officer license or endorsement.
    Large passenger vessel, for the purposes of subpart H of part 12, 
and part 15, 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.
    Lifeboatman means a mariner who is qualified to take charge of, 
lower, and operate survival craft and related survival equipment on a 
vessel.
    Lifeboatman-Limited means a mariner who is qualified to take charge 
of, lower, and operate liferafts, rescue boats, and other survival 
equipment on vessels where lifeboats are not installed.
    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).
    Liquefied gas tanker means a tank vessel that is certificated to 
carry or carries liquefied gases in bulk as cargo or cargo residue. For 
the purposes of qualifying for an STCW endorsement for advanced 
liquefied gas tanker cargo operations, this includes tank barges.
    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.
    Management level means the level of responsibility associated with--
    (1) Serving as master, chief mate, chief engineer officer or second 
engineer officer onboard a seagoing ship; and
    (2) Ensuring that all functions within the designated area of 
responsibility are properly performed.
    Marine chemist means a person certificated by the National Fire 
Protection Association as a marine chemist.
    Master means the officer having command of a vessel.
    Mate means a qualified officer in the deck department other than the 
master.
    Medical Certificate means a certificate issued by the Coast Guard 
under 46 CFR part 10, subpart C that serves as proof that the seafarer 
meets the medical and physical standards for merchant mariners.

[[Page 109]]

    Merchant Mariner Credential or MMC means a 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.
    National officer endorsement means an annotation on an MMC that 
allows a mariner to serve in the capacities listed in Sec.  10.109(a) of 
this part. The officer endorsement serves as the license and/or 
certificate of registry pursuant to 46 U.S.C. subtitle II part E.
    National rating endorsement means an annotation on an MMC that 
allows a mariner to serve in those capacities set out in Sec.  10.109(b) 
and (c) of this part. The rating endorsement serves as the merchant 
mariner's document pursuant to 46 U.S.C. subtitle II part E.
    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 
from the U.S. and its possessions, except for MMCs endorsed as Operator 
of Uninspected Passenger Vessel for which near-coastal is limited to 
waters not more than 100 miles offshore from the U.S. and its 
possessions. This would also include those near-coastal waters 
identified by another Administration when the U.S. has entered into a 
treaty or an agreement with that country respecting the recognition of 
the U.S. near-coastal endorsement.
    Non-resident alien, for the purposes of subchapter H of part 12, and 
part 15, means an individual who is not a citizen or alien lawfully 
admitted to the United States for permanent residence, but who is 
employable in the United States under the Immigration and Nationality 
Act (8 U.S.C. 1101 et seq.), including an alien crewman described in 
section 101(a)(15)(D)(i) of that 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, and the inland waters of another country are not considered 
oceans.
    Officer endorsement means an annotation on an MMC that allows a 
mariner to serve in the capacities listed in Sec.  10.109 of this part.
    Officer in Charge, Marine Inspection, or OCMI means, for the 
purposes of this subchapter, the commanding officer of the National 
Maritime Center, or any person designated as such by the Commandant, in 
accordance with 46 CFR 1.01-5(b).
    Officer in charge of an engineering watch in a manned engine room or 
designated duty engineer in a periodically

[[Page 110]]

unmanned engine room (OICEW) means an engineering officer qualified at 
the operational level.
    Officer in charge of a navigational watch (OICNW) means a deck 
officer qualified at the operational level.
    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.
    Oil tanker means a tank vessel that is certificated to carry or 
carries oil in bulk as cargo or cargo residue. For the purposes of 
qualifying for an STCW endorsement for advanced oil tanker cargo 
operations, this includes tank barges.
    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, at anchor, made 
fast to shore, or aground.
    Operational level means the level of responsibility associated 
with--
    (1) Serving as officer in charge of a navigational or engineering 
watch, or as designated duty engineer for periodically unmanned 
machinery spaces, or as radio operator onboard a seagoing ship; and
    (2) Maintaining direct control over the performance of all functions 
within the designated area of responsibility in accordance with proper 
procedures and under the direction of an individual serving in the 
management level for that area of responsibility.
    Orally assisted examination means an examination as described in 46 
CFR, part 11, subpart I of this subchapter administered orally and 
documented by a Coast Guard examiner.
    Overriding operational condition means circumstances in which 
essential shipboard work cannot be delayed due to safety or 
environmental reasons, or could not have reasonably been anticipated at 
the commencement of the voyage.
    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.
    Periodically unattended engine room means a space containing main 
propulsion and associated machinery and all sources of main electrical 
supply which is not at all times manned under all operating conditions, 
including maneuvering.
    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 3 
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 or qualified assessor 
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.
    Propulsion power means the total maximum continuous-rated output 
power of the main propulsion machinery of a vessel determined by the 
manufacturer, in either kilowatts or horsepower, which appears on the 
ship's Certificate of Registry or other official document and excludes 
thrusters and other auxiliary machinery.
    Public vessel means a vessel that--
    (1) Is owned, or demise chartered, and operated by the United States 
Government or a government of a foreign country; and
    (2) Is not engaged in commercial service.
    Push-mode ITBs means those ITBs that involve a rigid coupling system 
and, when not coupled to the barge, are incapable of conducting towing 
in any

[[Page 111]]

other configuration (such as astern or alongside) because, by 
themselves, they have very limited seakeeping capability. The propelling 
unit moves as one with the barge unit.
    Qualified Assessor or QA means a person who is qualified to 
evaluate, for STCW endorsements, whether an applicant has demonstrated 
the necessary level of competence in the task for which the assessment 
is being made. This person must be individually approved by the Coast 
Guard.
    Qualified instructor means a person who has been trained in 
instructional techniques and is otherwise qualified to provide required 
training to candidates for an MMC 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 a course on merchant marine 
officer or rating knowledge, understanding, or proficiency requirements 
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, or tankerman endorsements issued on 
MMCs.
    Quality Standard System or QSS means a set of policies, procedures, 
processes, and data required to establish and fulfill the organization's 
objectives.
    Raise of grade means an increase in the level of authority and 
responsibility associated with an officer or rating endorsement, such as 
from mate to master or second assistant engineer to first assistant 
engineer.
    Rating endorsement is an annotation on an MMC that allows a mariner 
to serve in those capacities set out in Sec.  10.109 of this part.
    Regional examination center or REC means a field office of the 
National Maritime Center that receives and screens credential 
applications, conducts approved course oversight, and administers Coast 
Guard examinations as required by this subchapter.
    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 correction or preparation of port-entry documents), and is 
allowed to sleep without interruption.
    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 and security 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.
    Seagoing service means service onboard a ship/vessel relevant to the 
issue of a credential or other qualification.
    Seagoing vessel means a ship that operates beyond the boundary line 
specified in 46 CFR part 7.
    Second engineer officer means an engineer officer next in rank to 
the chief engineer officer and upon whom the responsibility for the 
mechanical propulsion and the operation and maintenance of the 
mechanical and electrical installations of the ship will fall in the 
event of the incapacity of the chief engineer officer.
    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.
    Senior company official means the president, vice president, vice 
president for personnel, personnel director,

[[Page 112]]

or similarly titled or responsible individual, or another employee 
designated in writing by one of these individuals for the purpose of 
certifying employment.
    Service (as used when computing the required service for 
endorsements) means the time period, in days, a person is assigned to 
work. On MODUs, this excludes time spent ashore as part of crew 
rotation.
    Ship means a vessel using any mode of propulsion, including sail and 
auxiliary sail.
    Simulated transfer means a transfer practiced in a course meeting 
the requirements of Sec.  13.121 of this subchapter that uses simulation 
to meet part of the service on transfers required for tankerman by 
Sec. Sec.  13.203 or 13.303 of this subchapter.
    Staff officer means a person who holds an MMC with an officer 
endorsement listed in Sec.  10.109(a)(36) through (a)(43) of this part.
    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 
(incorporated by reference, see Sec.  10.103 of this subpart).
    STCW Code means the Seafarers' Training, Certification and 
Watchkeeping Code (incorporated by reference, see Sec.  10.103 of this 
subpart).
    STCW endorsement means an annotation on an MMC that allows a mariner 
to serve in those capacities under Sec.  10.109(d) of this subpart. The 
STCW endorsement serves as evidence that a mariner has met the 
requirements of the STCW Convention.
    Support level means the level of responsibility associated with 
performing assigned tasks, duties, or responsibilities onboard a 
seagoing ship under the direction of an individual serving in the 
operational or management level.
    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 on his or her MMC. See 46 CFR, part 13, subpart 
D.
    Tankerman engineer means a person holding a valid ``Tankerman-
Engineer'' endorsement on his or her MMC. See 46 CFR part 13, subpart E.
    Tankerman PIC means a person holding a valid ``Tankerman-PIC'' 
endorsement on his or her MMC. See 46 CFR part 13, subpart B.
    Tankerman PIC (Barge) means a person holding a valid ``Tankerman-PIC 
(Barge)'' endorsement on his or her MMC. See 46 CFR part 13, subpart C.
    Tankship means any self-propelled tank vessel constructed or adapted 
primarily to carry oil or hazardous material in bulk as cargo or as 
cargo residue.
    Training program means a combination of training, practical 
assessment, and service which provides an individual with all or part of 
the necessary knowledge, understanding, and proficiency required for a 
specific qualification.
    Transfer means any movement of fuel, dangerous liquid, or liquefied 
gas as cargo in bulk or as cargo residue to or from a vessel by means of 
pumping, gravitation, or displacement.
    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

[[Page 113]]

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.
    Undocumented vessel means a vessel not required to have a 
certificate of documentation issued under the laws of the United States.
    Unlimited means an annotation on an MMC authorizing service on 
vessels of any tonnage or any propulsion power.
    Vessel personnel with designated security duties means a person, 
excluding the designated security officer (e.g., Company Security 
Officer (CSO), as defined in 33 CFR chapter I, subchapter H, and Vessel 
Security Officer (VSO)), having specific security duties and 
responsibilities in accordance with the ship security plan.
    Vessel Security Officer (VSO) means a person onboard the vessel 
accountable to the Master and designated by the Company as responsible 
for security of the vessel, including implementation and maintenance of 
the Vessel's Security Plan, and for liaison with the Facility Security 
Officer and the vessel's Company Security Officer.
    Western Rivers means--
    (1) The Mississippi River;
    (2) The Mississippi River's 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;
    (3) The Port Allen-Morgan City Alternate Route;
    (4) 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
    (5) Those waters specified in 33 CFR 89.25.
    Year means 360 days for the purpose of complying with the service 
requirements of this subchapter.

[USCG-2004-17914, 78 FR 77882, Dec. 24, 2013]



Sec.  10.109  Classification of endorsements.

    (a) National officer endorsements. The following national 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 vessels.
    (7) Master of towing vessels, limited.
    (8) Mate (pilot) of towing vessels.
    (9) Apprentice mate (Steersman).
    (10) Apprentice mate (Steersman), limited.
    (11) Assistance towing.
    (12) Offshore installation manager (OIM).
    (13) Barge supervisor (BS).
    (14) Ballast control operator (BCO).
    (15) Operator of uninspected passenger vessels (OUPV).
    (16) Master of uninspected fishing industry vessels.
    (17) Mate of uninspected fishing industry vessels.
    (18) Master (OSV).
    (19) Chief mate (OSV).
    (20) Mate (OSV).
    (21) Chief engineer.
    (22) Chief engineer (limited).
    (23) First assistant engineer.
    (24) Second assistant engineer.
    (25) Third assistant engineer.
    (26) Assistant engineer (limited).
    (27) Designated duty engineer (DDE).
    (28) Chief engineer (OSV).
    (29) Assistant engineer (OSV).
    (30) Chief engineer MODU.
    (31) Assistant engineer MODU.
    (32) Chief engineer uninspected fishing industry vessels.
    (33) Assistant engineer uninspected fishing industry vessels.
    (34) Radio officer.
    (35) First-class pilot.
    (36) Chief purser.
    (37) Purser.
    (38) Senior assistant purser.
    (39) Junior assistant purser.
    (40) Medical doctor.
    (41) Professional nurse.
    (42) Marine physician assistant.
    (43) Hospital corpsman.
    (44) High-speed craft type rating.
    (45) Radar observer.
    (b) National rating endorsements. The following national rating 
endorsements

[[Page 114]]

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) Unlimited;
    (ii) Limited;
    (iii) Special;
    (iv) Special (OSV);
    (v) Sail; and
    (vi) Fishing industry.
    (2) Ordinary seaman.
    (3) Qualified member of the engine department (QMED), including the 
following specialty endorsements:
    (i) Oiler;
    (ii) Fireman/Watertender;
    (iii) Junior engineer;
    (iv) Pumpman/Machinist; and
    (v) Electrician/Refrigerating engineer.
    (4) Lifeboatman.
    (5) Lifeboatman-Limited.
    (6) Wiper.
    (7) Steward's department.
    (8) Steward's department (F.H.).
    (9) Cadet (deck or engine).
    (10) Student observer.
    (11) Apprentice engineer.
    (12) Apprentice mate.
    (c) The following ratings are established in part 13 of this 
subchapter. The national 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) STCW endorsements. The following STCW endorsements are issued 
according to the STCW Convention, the STCW Code, and parts 11, 12, and 
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 parts 11, 12 or 13 of this subchapter as well as the STCW 
Convention and STCW Code (incorporated by reference, see Sec.  10.103 of 
this subpart):
    (1) Master.
    (2) Chief mate.
    (3) Officer in charge of a navigational watch (OICNW).
    (4) Chief engineer officer.
    (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) Electro-technical officer (ETO).
    (8) Rating forming part of a navigational watch (RFPNW).
    (9) Able seafarer-deck.
    (10) Rating forming part of an engineering watch in a manned 
engineroom or designated to perform duties in a periodically unmanned 
engineroom (RFPEW).
    (11) Able seafarer-engine.
    (12) Electro-technical rating.
    (13) Basic training (BT).
    (14) Advanced firefighting.
    (15) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC).
    (16) Proficiency in survival craft and rescue boats other than fast 
rescue boats--limited (PSC--limited).
    (17) Proficiency in fast rescue boats.
    (18) Person in charge of medical care.
    (19) Medical first-aid provider.
    (20) GMDSS at-sea maintainer.
    (21) GMDSS operator.
    (22) Advanced oil tanker cargo operation.
    (23) Advanced chemical tanker cargo operation.
    (24) Advanced liquefied gas tanker cargo operation.
    (25) Basic oil and chemical tanker cargo operation.
    (26) Basic liquefied gas tanker cargo operation.
    (27) Vessel Security Officer.
    (28) Vessel personnel with designated security duties.
    (29) Security awareness.
    (30) High-speed craft (HSC) type rating certificate.

[USCG-2004-17914, 78 FR 77887, Dec. 24, 2013]

[[Page 115]]



   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, see Sec.  10.103 of this part). 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 Coast Guard.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77888, Dec. 24, 2013]



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 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 5 years from the date of issuance. 
Except upon the written request for the immediate issuance by the 
applicant, the Coast Guard will post-date the issuance of an MMC renewal 
that includes no other transactions up to 8 months from the date that 
the Coast Guard accepts a complete application as required in this part. 
If the expiration date of the mariner's active credential is beyond 8 
months of the date that the Coast Guard accepts a complete application 
as required in this part, the new credential issue date will be 8 months 
from the date of application acceptance at which time the currently 
active credential will become invalid in accordance with paragraph (d) 
of this section. Otherwise, the new credential issue validity date will 
coincide with the expiration date of the active credential held by the 
mariner. All other MMC transactions will be processed for immediate 
issuance.
    (b) All endorsements, unless otherwise noted, 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 1 year beyond its expiration date as per Sec.  
10.227(h) of this part.
    (d) When an MMC is renewed or re-issued before its expiration date 
in accordance with Sec.  10.227, of this part the MMC that has been 
replaced becomes invalid unless otherwise noted in paragraph (a) of this 
section.

[[Page 116]]

    (e) An MMC is not valid until signed by the applicant and a duly 
authorized Coast Guard official.
    (f) 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.
    (g) 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.
    (h) When a Document of Continuity is replaced with an MMC re-issued 
in accordance with Sec.  10.227 of this part, the Document of Continuity 
that has been replaced becomes invalid. In the event that not all 
endorsements on a Document of Continuity are activated, a new Document 
of Continuity will be issued for the remaining endorsements.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77888, Dec. 24, 2013]



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, called the mariner reference number, 
and not the social security number, will appear on the credential.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77888, Dec. 24, 2013]



Sec.  10.209  General application procedures.

    (a) The applicant for an MMC, whether for an original, renewal, 
duplicate, raise of grade, or a new endorsement on a previously issued 
MMC, must establish 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 of this part, the requirements for a 
renewal MMC application are contained in Sec.  10.227 of this part, the 
requirements for a duplicate MMC application are contained in Sec.  
10.229 of this part, and the requirements for an application for a new 
endorsement or raise of grade are contained in Sec.  10.231 of this 
part.
    (c) Applications are valid for 12 months from the date that the 
Coast Guard approves the application.
    (d) The application may be submitted in person, by mail, fax, or 
other electronic means. A complete MMC application, which is described 
in Sec. Sec.  10.225, 10.227, 10.229, and 10.231 may include--
    (1) The application, consent for National Driver Register (NDR) 
check, and notarized oath on Coast Guard-furnished forms, and the 
evaluation fee required by Sec.  10.219 of this part;
    (2) The applicant's continuous discharge book, certificate of 
identification, MMD, MMC, license, STCW endorsement, Certificate of 
Registry (COR), or, if it has not expired, a photocopy of the 
credential, including the back and all attachments;
    (3) Proof, documented on CG-719K or CG-719K/E, as appropriate, that 
the applicant passed the applicable vision, hearing, medical, or 
physical exam as required by subpart C of this part, or an unexpired 
medical certificate issued by the Coast Guard;
    (4) Copies of course completion certificates or other evidence of 
course completion;
    (5) Evidence of sea service, or an accepted substitute for sea 
service, if required;
    (6) For an endorsement as a medical doctor or professional nurse as 
required in Sec.  11.807 of this subchapter, 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

[[Page 117]]

requirements for the specific endorsement sought, as established in 
parts 11, 12 or 13 of this subchapter; and
    (8) An open-book exercise, in accordance with Sec.  10.227(e)(1) 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 if the applicant fails the NDR review as set forth in Sec.  
10.213 of this part.
    (3) Information supplied by the Transportation Security 
Administration (TSA). No MMC or endorsement will be issued until the 
Coast Guard receives the following information from the applicant's TWIC 
enrollment: the applicant's fingerprints, FBI number and criminal record 
(if applicable), photograph, proof of 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 or a TWIC enrollment center to provide this information.
    (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. 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 any previously 
issued and unexpired 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.
    (h) No MMC will be issued if the applicant fails a chemical test for 
dangerous drugs as required in Sec. Sec.  10.225(b)(5), 10.227(d)(5), 
and 10.231(c)(6).
    (i) Ceremonial licenses. A mariner may obtain a ceremonial license 
when applying for his or her credential or Document of Continuity.

[USCG-2004-17914, 78 FR 77888, Dec. 24, 2013]



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 prior convictions 
not previously disclosed to the Coast Guard on an application.
    (b) A criminal record review is not required for applicants seeking 
a duplicate MMC under Sec.  10.229.
    (c) Fingerprints. 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 denied.
    (e) If an application is denied, the applicant will be notified in 
writing of that fact, the reason or reasons for denial, 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

[[Page 118]]

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 1 to Sec.  10.211 of this section 
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 1 to 10.211--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.
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.

[[Page 119]]

 
\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 1 to 
Sec.  10.211 of this section 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 1 to Sec.  10.211 of this section 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 1 to Sec.  10.211 of this 
section of this section 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 his or her MMC 
application during the time between the minimum and maximum assessment 
periods shown in table 1 to Sec.  10.211 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 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 deny the application.
    (k) If a person with a criminal conviction submits his or her MMC 
application after the maximum assessment period shown in table 1 to 
Sec.  10.211 of this section 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 1 to Sec.  10.211 of this section , 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

[[Page 120]]

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; USCG-2004-17914, 78 FR 77889, Dec. 24, 
2013; USCG-2014-0688, 79 FR 58275, Sept. 29, 2014]



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 3 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) of this section. An applicant 
conducting simultaneous MMC transactions is subject to only one NDR 
check.
    (c) The guidelines in table 1 to paragraph (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 1 to Sec.  
10.211 of this part as applicable. The Coast Guard may consider non-drug 
or alcohol related NDR-listed convictions that are more than 3 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.

  Table 1 to Sec.   10.213(c)--Guidelines for Evaluating Applicants for
MMCs Who Have NDR Motor Vehicle Convictions Involving Dangerous Drugs or
                               Alcohol \1\
------------------------------------------------------------------------
     Number of
    convictions        Date of conviction         Assessment period
------------------------------------------------------------------------
1..................  Less than 1 year......  1 year from date of
                                              conviction.
1..................  More than 1, less than  Application will be
                      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 old.  Application will be
                                              processed.
2 or more..........  Any less than 3 years   1 year since last
                      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 years   Application will be
                      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 must 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 denied 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 endorsement for 
which the application is made. If an application is denied, the Coast 
Guard will notify the applicant in writing of the reason(s) for denial 
and advise the applicant that the appeal procedures in subpart 1.03 of 
part 1 of this chapter apply. No examination

[[Page 121]]

will be given pending decision on appeal.
    (e) Before denying 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 processing the application. The Coast 
Guard 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-2004-17914, 78 FR 77889, Dec. 24, 2013]



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.  10.217  Merchant mariner credential application and examination locations.

    (a) Applicants for an MMC may apply to any of the Regional 
Examination Centers (RECs) or any other location designated by the Coast 
Guard. Applicants may contact the National Maritime Center at 100 Forbes 
Drive, Martinsburg, WV 25404, by telephone 1-888-427-5662 or 304-433-
3400, or by email at [email protected] A list of locations approved for 
application submittal is available through the Coast Guard Web site at 
http://www.uscg.mil/nmc.
    (b) Exam Locations. (1) Coast Guard units abroad may conduct exams 
for ratings at locations other than the RECs, but are not prepared to 
conduct practical examinations.
    (2) The Coast Guard may designate additional exam facilities/
locations to provide services to applicants for MMCs.

[USCG-2004-17914, 78 FR 77890, Dec. 24, 2013]



Sec.  10.219  Fees.

    (a) Use table 1 to Sec.  10.219(a) to calculate the mandatory fees 
for MMCs and associated endorsements.

                                        Table 1 to Sec.   10.219(a)--Fees
----------------------------------------------------------------------------------------------------------------
                                                                                And you need
                                                           -----------------------------------------------------
                     If you apply for                                         Examination then
                                                             Evaluation then  the fee is . . .    Issuance then
                                                            the fee is . . .                    the fee is . . .
----------------------------------------------------------------------------------------------------------------
MMC with officer endorsement:
Original:
    Upper level \1\.......................................              $100              $110               $45
    Lower level \2\.......................................               100                95                45
    Renewal...............................................                50                45                45
    Raise of grade........................................               100                45                45
    Modification or removal of limitation or scope........                50                45                45
Radio officer endorsement:
    Original..............................................                50                45                45
    Renewal...............................................                50               n/a                45
Staff officer endorsements:
    Original..............................................                90               n/a                45

[[Page 122]]

 
    Renewal...............................................                50               n/a                45
MMC with rating endorsement:
    Original endorsement for ratings other than qualified                 95               n/a                45
     ratings..............................................
    Original endorsement for qualified rating.............                95               140                45
    Upgrade or raise of Grade.............................                95               140                45
    Renewal endorsement for ratings other than qualified                  50               n/a                45
     ratings..............................................
    Renewal endorsement for qualified rating..............                50                45                45
    Modification or removal of limitation or scope........                50                45                45
STCW endorsement:
    Original..............................................             (\4\)             (\4\)             (\4\)
    Renewal...............................................             (\4\)             (\4\)             (\4\)
    Reissue, replacement, and duplicate...................               n/a               n/a            \3\ 45
----------------------------------------------------------------------------------------------------------------
\1\ Upper level means credentials authorizing service on vessels of any gross tons/unlimited tonnage or
  unlimited propulsion power.
\2\ Lower level means credentials authorizing service on vessels of less than 1,600 GRT/3,000 GT.
\3\ Duplicate for MMC lost as result of marine casualty--No Fee.
\4\ No Fee.

    (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 as follows:
    (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 issuance of the MMC.
    (c) If the examination is administered at a place other than a 
Regional Examination Center (REC), the examination fee must be paid to 
the REC at least one week before the scheduled examination date.
    (d) Unless the Coast Guard provides additional payment options, fees 
must be paid as follows:
    (1) Fee payments must be for the exact amount.
    (2) Fee payments may be made by electronic payment in a manner 
specified by the Coast Guard. For information regarding current forms of 
electronic payment, go to the National Maritime Center's (NMC) Web site, 
www.uscg.mil/nmc. To assist with the automation of mariner credential 
applications, applicants are encouraged to pay the fees electronically.
    (3) Payments may be made by cash, check, money order, or credit 
card.
    (4) 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 the NMC Web site, 
www.uscg.mil/nmc.
    (5) Checks or money orders must be made payable to the U.S. Coast 
Guard, and the full legal name and last four digits of applicant's 
social security number must appear on the front of each check or money 
order.
    (e) Unless otherwise specified in this part, when two or more 
endorsements are processed on the same application the fees will be as 
follows:
    (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 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 1 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

[[Page 123]]

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 or failure to pay a fee. 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 
section 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. For the purpose of this 
section, a no-fee MMC applicant is a person who is a volunteer or a 
part- or full-time employee of an organization that is--
    (1) Charitable in nature;
    (2) Not for profit; and
    (3) Youth oriented.
    (i) Determination of eligibility. (1) 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) of this 
section. With the written request, the organization must provide 
evidence of its status as a youth-oriented, not-for-profit, charitable 
organization.
    (2) The following organizations are accepted by the Coast Guard as 
meeting the requirements of paragraph (h) 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.
    (j) A letter from an organization determined eligible under 
paragraph (h) 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 will then be eligible 
under this section to obtain a no-fee MMC if other requirements for the 
MMC are met.
    (k) An MMC issued to a person under paragraph (h) of this section 
will be endorsed restricting its use to vessels owned or operated by the 
sponsoring organization.
    (l) The holder of a no-fee MMC issued under paragraph (h) of this 
section may have the restriction removed by paying the appropriate 
evaluation, examination, and issuance fees that would have otherwise 
applied.

[USCG-2004-17914, 78 FR 77890, Dec. 24, 2013]



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 subchapter.
    (2) All other MMCs. All other applicants, except as noted in Sec.  
12.809 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:

[[Page 124]]

    (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,
    (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.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77892, Dec. 24, 2013]



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) 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 the transaction sought:
    (i) The mandatory requirements for officer endorsements are 
contained in part 11 of this subchapter.
    (ii) The mandatory requirements for rating endorsements are 
contained in part 12 of this subchapter.

[[Page 125]]

    (iii) The mandatory requirements for tankerman rating endorsements 
are contained in part 13 of this subchapter.
    (iv) The mandatory requirements for STCW endorsements are contained 
in parts 11, 12, and 13 of this subchapter.
    (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.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77892, Dec. 24, 2013]



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 applicants after their previous 
credential has expired beyond the grace period and they do not hold a 
Document of Continuity under Sec.  10.227(g) of this part or an 
equivalent unexpired continuity endorsement on their license or MMD; or
    (3) The first credential issued to applicants 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, except as otherwise noted in Sec.  10.227(i) of this subpart:
    (1) A completed, signed application.
    (2) 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 as follows:
    (i) The mandatory requirements for officer endorsements are 
contained in part 11 of this subchapter.
    (ii) The mandatory requirements for rating endorsements are 
contained in part 12 of this subchapter.
    (iii) The mandatory requirements for tanker rating endorsements are 
contained in part 13 of this subchapter.
    (iv) The mandatory requirements for STCW endorsements are contained 
in parts 11, 12, and 13 of this subchapter.
    (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) Where sea service is required, documentary evidence in 
accordance with Sec.  10.232 of this part.
    (7) Proof, documented on CG-719-K or CG-719-K/E, as appropriate, 
that the applicant passed all applicable vision, hearing, medical, and/
or physical exams as required by subpart C of this part or a valid 
medical certificate issued by the Coast Guard.
    (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.
    (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 the Coast Guard must

[[Page 126]]

be verified in writing by the administering official and submitted to 
the same Regional Examination Center (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.

[USCG-2004-17914, 78 FR 77892, Dec. 24, 2013]



Sec.  10.227  Requirements for renewal.

    (a) Except as provided in paragraph (g) of this section, an 
applicant for renewal of a credential must establish possession of all 
of the necessary qualifications before the MMC will be renewed.
    (b) A credential may be renewed at any time during its validity and 
for 1 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 (g) of this section, a complete 
application for renewal must contain the following:
    (1) A completed, signed application.
    (2) Proof that the mariner either holds a valid TWIC or has applied 
for a TWIC.
    (3) The appropriate fee as set forth in Sec.  10.219 of this part.
    (4) Any uncanceled MMD, MMC, license, STCW endorsement, Certificate 
of Registry (COR), or Document of Continuity 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.
    (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) Applicants seeking a national endorsement must either hold an 
unexpired medical certificate or submit a medical certificate 
application.
    (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.
    (e) Except as provided in paragraph (e)(8) of this section and 46 
CFR 13.120, the applicant must meet the following professional 
requirements for renewal:
    (1) The applicant must either--
    (i) Present evidence of at least 1 year of sea service during the 
past 5 years;
    (ii) Pass a comprehensive, open-book exercise covering the general 
subject matter contained in appropriate sections of subpart (I) of this 
part;
    (iii) Complete an approved refresher training course;
    (iv) Provide evidence of employment as a qualified instructor or in 
a position closely related to the operation, construction, or repair of 
vessels (either deck or engineer as appropriate) for at least 3 years 
during the past 5 years. An applicant for a deck license or officer 
endorsement with this type of employment must also demonstrate knowledge 
on an applicable Rules of the Road open-book exercise; or
    (v) Provide evidence of being a qualified instructor who has taught 
a Coast Guard-approved or -accepted course relevant to the endorsement 
or credential being applied for, at least twice within the past 5 years, 
therefore meeting the standards needed to receive a course completion 
certificate for that course.
    (2) The qualification requirements for renewal of radar observer 
endorsement as contained in Sec.  11.480 of this subchapter.
    (3) Additional qualification requirements for renewal of an officer 
endorsement as first-class pilot as contained in Sec.  11.713 of this 
subchapter.
    (4) An applicant for renewal of a radio officer's endorsement must, 
in addition to meeting the requirements of this section, present a copy 
of a currently valid license as first- or second-class radiotelegraph 
operator issued by the Federal Communications Commission.
    (5) 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

[[Page 127]]

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.
    (6) An applicant for renewal of an endorsement as master or mate 
(pilot) of towing vessels, in addition to the other requirements in this 
paragraph, must also submit satisfactory evidence of--
    (i) Having completed a practical demonstration of maneuvering and 
handling a towing vessel to the satisfaction of a designated examiner; 
or
    (ii) Ongoing participation in training and drills during the 
validity of the license or MMC being renewed.
    (7) An applicant seeking to renew a tankerman endorsement must meet 
the additional requirements listed in Sec.  13.120 of this subchapter.
    (8) There are no professional requirements for renewal for the 
following endorsements:
    (i) Staff officers (all types).
    (ii) Ordinary seaman.
    (iii) Wiper.
    (iv) Steward's department.
    (v) Steward's department (F.H.).
    (vi) Cadet.
    (vii) Student observer.
    (viii) Apprentice engineer.
    (ix) Apprentice mate (issued under part 12 of this subchapter).
    (x) Person in charge of medical care.
    (xi) Medical first-aid provider.
    (xii) GMDSS at-sea maintainer.
    (xiii) GMDSS operator.
    (f) Except as otherwise provided, each candidate for a renewal of an 
STCW endorsement must meet the applicable requirements of part 11, 
subpart C, and/or part 12, subpart F.
    (g) Document of Continuity. (1) Applicants for renewal of national 
endorsements, 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 subpart C of this part, 
suitability standards of Sec.  10.211 of this part, drug tests, 
professional requirements, 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 paragraphs (d), (e), or (f) of 
this section as applicable. When a valid MMC is issued to replace a 
previously held Document of Continuity, the previously issued Document 
of Continuity becomes void.
    (2) Applications for a Document of Continuity must include the 
following:
    (i) The endorsements to be placed into continuity.
    (ii) An application including a signed statement from the applicant 
attesting to an awareness of the limited purpose of the Document of 
Continuity, his or her inability to serve, and the requirements to 
obtain an MMC.
    (3) If not all MMC endorsements are to be converted into a Document 
of Continuity, a new MMC will be issued with the active endorsements. 
Once the new MMC and/or Document of Continuity is issued the previous 
MMC is no longer valid and must be returned to the Coast Guard.
    (4) STCW endorsements may not be placed in continuity. If an 
individual continues to maintain a valid MMC while placing specific 
national endorsements into continuity, those STCW endorsements 
associated with the national endorsements that were placed in continuity 
are no longer valid.
    (5) No credential expired beyond the 12-month administrative grace 
period in paragraph (h) of this section can be converted into a Document 
of Continuity.
    (6) A holder of a Document of Continuity may obtain a properly 
endorsed, valid MMC, including STCW endorsements, at any time by 
satisfying the requirements for renewal as provided in paragraphs (d) 
and (f) of this section.
    (h) Administrative grace period. A credential may be renewed up to 
12 months after expiration. For a credential to be re-issued by the 
Coast Guard more than 12 months after its expiration, an applicant must 
comply with the requirements of paragraph (i) of this section. When an 
applicant's credential expires during a time of service

[[Page 128]]

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.
    (i) Re-issuance of expired credentials. (1) If an applicant applies 
for re-issuance of an endorsement as deck officer, engineer officer, or 
qualified rating more than 12 months after its expiration, instead of 
the requirements of paragraph (e) of this section, the applicant must 
demonstrate continued professional knowledge by completing a course 
approved for this purpose, or by passing the complete examination for 
original issue of the endorsement. The examination may be oral-assisted 
if the expired credential was awarded based on the results of an oral 
exam. The fees set forth in Sec.  10.219 of this part 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 must 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.
    (3) Applicants applying for re-issuance of an endorsement as master 
or mate (pilot) of towing vessels more than 12 months after expiration 
of the previous endorsement must complete the practical demonstration of 
maneuvering and handling a towing vessel required under (e)(6)(i) of 
this section.
    (4) Applicants applying for re-issuance of an endorsement as any 
tankerman rating more than 12 months after expiration of the previous 
endorsement must meet the requirements in Sec.  13.117 of this 
subchapter.

[USCG-2004-17914, 78 FR 77892, Dec. 24, 2013]



Sec.  10.229  Replacement of lost merchant mariner credentials.

    (a) Upon request and without examination, a mariner may be issued a 
duplicate credential and medical certificate after submitting an 
application with an affidavit describing the circumstances of the loss. 
The Coast Guard will only issue the duplicate credential, MMC and/or 
medical certificate, after confirming the validity of the mariner's 
credentials and the validity of the mariner's TWIC.
    (b) The duplicate credential will have the same authority, wording, 
and expiration date as the lost credential. 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 
match the earliest expiration date of the credentials lost.
    (c) If a person loses a credential by shipwreck or other casualty, a 
duplicate credential 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 of this part 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.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77894, Dec. 24, 2013]

[[Page 129]]



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 either of the following transactions:
    (1) Add a new endorsement.
    (2) Obtain a raise of grade of an existing endorsement.
    (b) If an applicant for new endorsement or raise of grade meets the 
renewal requirements under Sec.  10.227 of this subpart for every 
endorsement listed on the MMC and requests renewal, the applicant will 
receive a credential valid for 5 years. When an applicant does not meet 
the renewal requirements for every endorsement held, the applicant's new 
endorsement will be issued with the expiration date that is the same as 
the current MMC.
    (c) A complete application for a new endorsement or raise of grade 
must contain the following:
    (1) A completed, signed application.
    (2) 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 the new endorsements sought as 
follows:
    (i) The mandatory requirements for officer endorsements as contained 
in part 11 of this subchapter and paragraph (d) of this section.
    (ii) The mandatory requirements for rating endorsements as contained 
in part 12 of this subchapter.
    (iii) The mandatory requirements for tankerman rating endorsements 
are contained in part 13 of this subchapter.
    (iv) The mandatory requirements for STCW endorsements as contained 
in parts 11, 12, and 13 of this subchapter.
    (4) The appropriate fee as contained 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.
    (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.
    (ii) The first endorsement as able seaman, lifeboatman, lifeboatman-
limited, qualified member of the engine department, or tankerman.
    (7) Where sea service is required, documentary evidence in 
accordance with Sec.  10.232 of this part.
    (8) Applicants seeking a new endorsement must either hold an 
unexpired medical certificate or submit a medical certificate 
application.
    (9) Consent to a Coast Guard check for offenses described in section 
205(a)(3)(A) or (B) of the National Driver Register Act of 1982, as 
amended.
    (d) Additional requirements for an applicant seeking a raise of 
grade of an officer endorsement are as follows:
    (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; 
therefore, service acquired before the issuance of such officer 
endorsements will be accepted.
    (2) 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 his or her 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 his 
or her credential or while an appeal from these actions is pending.
    (3) Professional examination. (i) When the Coast Guard finds an 
applicant's experience and training for raise of

[[Page 130]]

grade is 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.  11.201(j) of this subchapter.
    (iii) The general instructions for administration of examinations 
and the lists of subjects for all endorsements are found in part 11, 
subpart I; part 12, subpart E; and part 13, subpart A of this 
subchapter.

[USCG-2004-17914, 78 FR 77894, Dec. 24, 2013]



Sec.  10.232  Sea service.

    (a) Documenting sea service. (1) Sea service may be documented in 
various forms such as certificates of discharge, pilotage service and 
billing forms, and service letters or other official documents from 
marine companies signed by the owner, operator, master, or chief 
engineer of the vessel. The Coast Guard must be satisfied as to the 
authenticity and acceptability of all evidence of experience or training 
presented.
    (2) Documentary evidence produced by the applicant, unless in the 
form of a Certificate of Discharge conforming to Sec.  14.307 of this 
subchapter, must contain all of the following information:
    (i) Vessel name(s) and official numbers listed on the registration, 
certificate, or document issued.
    (ii) Gross tonnage of the vessel.
    (iii) Propulsion power and mode of propulsion of the vessel.
    (iv) The amount and nature (e.g. chief mate, assistant engineer, 
etc.) of the applicant's experience.
    (v) Applicable dates of service for each vessel, and the ports or 
terminals if applicable.
    (vi) The routes upon which the experience was acquired.
    (vii) For those seeking service credit on towing vessels in 
accordance with Sec.  11.211(e) of this subchapter, the aggregate 
tonnage of the tug and barges during the mariner's service.
    (viii) Any other information necessary to determine the 
applicability of STCW to the vessel.
    (ix) Whether the vessel is manned and equipped in accordance with 
SOLAS.
    (x) Where required for an officer endorsement, time served as bridge 
watchkeeping or engine watchkeeping duties under the supervision of a 
qualified officer.
    (3) An MMC endorsement, in certain cases, may be considered as 
satisfactory evidence of any qualifying experience for obtaining other 
endorsements.
    (4) For service on vessels of less than 200 GRT, owners of vessels 
may attest to their own service and provide proof of ownership. Those 
who do not own a vessel must obtain letters or other evidence from 
licensed personnel or the owners of the vessels listed.
    (5) If the required sea service is associated with watchkeeping 
functions and the performance of duties, as required in Sec. Sec.  
11.323, 11.329, and 11.333, the service must be documented as having 
been carried out under the direct supervision of the appropriate person. 
If the required sea service is associated with the performance of 
duties, as required in Sec. Sec.  11.470, 11.472, and 11.474, the 
service must be documented as having been carried out under the 
supervision of the appropriate person.
    (6) An applicant who has been acting as a pilot may submit a letter 
from a pilot's association attesting to the applicant's sea service. 
Pilots not part of an association may submit other relevant records 
indicating service, such as billing forms. For a raise-of-grade, pilots 
must comply with the requirements of paragraph (a)(2) of this section.
    (b) Service toward an oceans, near-coastal, or STCW endorsement will 
be credited as follows:
    (1) Service on the Great Lakes will be credited on a day-for-day 
basis up to 100 percent of the total required service.
    (2) Service on inland waters, other than Great Lakes, that are 
navigable waters of the United States, will be credited on a day-for-day 
basis for up to 50 percent of the total required service.
    (3) Service on vessels to which STCW applies, whether inland or 
coastwise, will be credited on a day-for-day basis. For establishing 
credit for sea service, the waters of the Inside Passage between Puget 
Sound and Cape Spencer,

[[Page 131]]

Alaska will be credited for a near-coastal and STCW endorsement.
    (c) Service toward a near-coastal or a Great Lakes endorsement will 
be credited on a day-for-day basis and in accordance with the individual 
requirements for the specific credential.
    (d) Sea service as a member of the Armed Forces of the United States 
and civilian service on vessels owned by the United States as required 
experience. (1) Sea service as a member of the Armed Forces of the 
United States will be accepted as required experience for an original, 
raise of grade, renewal, or increase in scope of all 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 or history 
of assignments as verification of the service claimed when the 
application is submitted. A DD-214 is not acceptable evidence of sea 
service. The applicant must also provide the Coast Guard with other 
necessary information as to tonnage, routes, propulsion power, 
percentage of time underway, and assigned duties upon the vessels on 
which he or she served. Such service will be evaluated by the Coast 
Guard for a determination of its equivalence to sea service acquired on 
merchant vessels and the appropriate grade, class, and limit of 
endorsement for which the applicant is eligible. Normally, 60 percent of 
the total time onboard 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 endorsement, the applicant must have acquired military service 
in the capacity of commanding officer or engineer officer, respectively.
    (2) Applicants for management-level, operational-level or support-
level STCW endorsements must demonstrate competence in accordance with 
part 11, subpart C; part 12, subpart F; and part 13, subpart F of this 
subchapter.
    (3) Service in deck ratings on military vessels such as seaman 
apprentice, seaman, boatswain's mate, quartermaster, or Radarman/
Operations Specialist 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.
    (4) In addition to service on vessels that get underway regularly, 
members of the Armed Forces may obtain creditable service for assignment 
to vessels that get underway infrequently, such as tenders and repair 
vessels. Normally, a 25-percent factor is applied to these time periods. 
This experience can be equated with general shipboard familiarity, 
training, ship's business, and other related duties.
    (5) Sea service obtained on submarines is creditable, as if it were 
surface vessel service, for deck and engineer officer and qualified 
ratings endorsements under the provision of paragraph (a) of this 
section. For application for deck officer and qualified ratings 
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 4 years' total service were submitted for an original 
officer endorsement, at least 1 year must have been obtained on surface 
craft in order for the submarine service to be eligible for evaluation).
    (6) 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 not required at the 
time of such service, will be evaluated by the Coast Guard for a 
determination of equivalence.
    (e) Sea service on vessels that do not get underway. This 
requirement applies to

[[Page 132]]

service obtained on vessels mandated by the Certificate of Inspection 
(COI) which are in operation but do not get underway or occasionally get 
underway for short voyages. Service while the vessel is not underway 
must be credited as follows:
    (1) Engineering department. Service may be credited day-for-day for 
up to 50 percent of the service credit for renewal, raise in grade, and 
original issue for each day the engineering plant is operational.
    (2) Deck department. Service may be credited as follows:
    (i) Original issue and raise in grade. Service is creditable on a 3-
for-1 basis (12 months of experience equals 4 months of creditable 
service) for up to 6 months of service credit.
    (ii) Renewal. Service in any capacity in the deck department is 
creditable as closely related service under Sec.  10.227(e)(1)(iv). When 
submitted in combination with underway service, service is creditable on 
a 3-for-1 basis (12 months of experience equals 4 months of creditable 
service) for up to 6 months of service credit.
    (f) Foreign sea service. (1) Experience and service acquired on 
foreign vessels is creditable for establishing eligibility for an 
original or renewal of an officer, rating, or STCW endorsement, 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. This experience and service is also creditable to 
meet recency requirements.
    (2) Experience and service acquired on foreign vessels while holding 
a valid U.S. endorsement is creditable for establishing eligibility for 
a raise of grade of an officer, rating, or STCW endorsement, subject to 
evaluation as specified in paragraph (d)(1) of this section. This 
experience and service is also creditable to meet recency requirements.
    (3) An applicant who has obtained qualifying experience on foreign 
vessels must submit satisfactory documentary evidence of such service 
(including any necessary official translation to the English language) 
in accordance with paragraph (a)(1) and (a)(2) of this section.
    (g) Closely related service. The Coast Guard may accept evidence of 
employment in a position closely related to the operation, construction, 
or repair of vessels (either deck or engineer as appropriate) as meeting 
the sea service requirements for renewal under Sec.  10.227(e)(1)(iv). 
Service as port engineer, port captain, shipyard superintendent, 
qualified instructor, or similar related service may be creditable for 
service for raise of grade of an engineer or deck officer endorsement; 
however, it may not be used for obtaining an original management-level 
endorsement. The service is creditable as follows:
    (1) Port engineer, port captain or shipyard superintendent 
experience is creditable on a 3-for-1 basis for a raise of grade (e.g., 
12 months of experience equals 4 months of creditable service). For a 
raise-of-grade, this credit is limited to 6 months of service.
    (2) Service as a qualified instructor in a Coast Guard approved 
course or a training program is creditable on a 2-for-1 basis for a 
raise of grade (e.g., 12 months of experience equals 6 months of 
creditable service). For a raise-of-grade, this credit is limited to 6 
months of service.
    (h) Day. (1) Except as noted otherwise, for the purpose of 
calculating service in this subchapter, a day is equal to 8 hours of 
watchstanding or day-working not to include overtime.
    (2) On vessels authorized by 46 U.S.C. 8104 and 46 CFR 15.705, to 
operate a two-watch system, a 12-hour working day may be creditable as 
1\1/2\ days of service.
    (3) On vessels of less than 100 GRT, a day is considered as 8 hours 
unless the Coast Guard determines that the vessel's operating schedule 
makes this criterion inappropriate; in no case will this period be less 
than 4 hours.
    (4) When computing service on MODUs for any endorsement, a day of 
MODU service must be a minimum of 4 hours, and no additional credit is 
received for periods served over 8 hours.
    (5) For cadet service on a training ship furnished by the Maritime 
Administration under 46 CFR 310.4, a day may be creditable as 1\1/2\ 
days of service.

[[Page 133]]

    (i) Tonnage equivalency. For the purpose of parts 10, 11 and 12, 200 
GRT will be considered equivalent to 500 GT, and 1,600 GRT will be 
considered equivalent to 3,000 GT.

[USCG-2004-17914, 78 FR 77894, Dec. 24, 2013]



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 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, he or she will be issued, without 
payment of a fee, 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, without probation, the renewal of the credential or 
endorsement will be withheld until expiration of the suspension period.
    (f) When applying for an original endorsement on an MMC, pursuant to 
paragraph (d) of this section, an individual's existing service and 
training may be considered by the Coast Guard when determining the grade 
of the endorsement to be issued.
    (g) 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(e)(6)(i) of this subpart.
    (h) 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.
    (i) 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.,

[[Page 134]]

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; USCG-2004-17914, 78 FR 77894, Dec. 24, 
2013]



Sec.  10.237  Right of appeal.

    (a) If the Coast Guard refuses to grant an applicant an MMC, medical 
certificate, or endorsement it will provide, a written statement listing 
the reason(s) for denial.
    (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.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2004-
17914, 78 FR 77894, Dec. 24, 2013]

[[Page 135]]



Sec.  10.239  Quick reference table for MMC requirements.

    Table 1 to Sec.  10.239 provides a guide to the requirements for 
officer endorsements. Provisions in the reference section are 
controlling.

                                                                                  Table 1 to Sec.   10.239: Quick Reference Table for MMC Requirements
                                                                                       [For tankerman endorsements, see table 1 to Sec.   13.129.]
----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                    Recommendations                                            Demonstration of
      Endorsement category            Minimum age         Citizenship         Medical and         Experience         and character       Firefighting      Professional exam     professional     Recency of service   First aid and CPR
                                                                             physical exam                               check                                                      ability
----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Master, mates...................  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  46 CFR Part 11--    N/A: Note           Sec.   11.201(h)..  Sec.   11.201(j);   N/A...............  original Sec.       Sec.   11.201(i)
                                  Note: exceptions..   10.221(a)(1) Sec.                       Subpart D.          exceptions in                           Sec.   11.903;                          11.201 (c)(2).      Note: exceptions.
                                                         11.201(d).                                                Sec.   11.201(g)                        Sec.   11.910.                         renewal Sec.
                                                                                                                   for original                           Note: Sec.                               10.227(e).
                                                                                                                   national or STCW                        11.903(b).
                                                                                                                   endorsements.
Operator of Uninspected           Sec.   11.201(e)..  Sec.                Sec.   10.302(a)..  Sec.   11.467(c);   N/A: Note           N/A...............  Sec.  Sec.          N/A...............  original Sec.       Sec.  Sec.
 Passenger Vessels (OUPV).        Note: exceptions     10.221(a)(1).                           (d); (e); (f);      exceptions in                           11.201(j);                              11.201 (c)(2).      11.201(i): Note
                                   here and in Sec.   Sec.   11.201(d)..                       (g).                Sec.   11.201(g)                        11.903; Sec.                           renewal Sec.         exceptions.
                                    11.201(l).                                                                     for original                            11.910.                                 10.227(e).
                                                                                                                   national or STCW
                                                                                                                   endorsements.
STCW Deck Officer endorsements..  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  46 CFR Part 11--    N/A: Note           Sec.   11.303.....  N/A...............  Master Sec.         original Sec.       Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1).                           Subpart C.          exceptions in      Renewal: Sec.                            11.305; .311;       11.201 (c)(2).
                                                      Sec.   11.201(d)..                                           Sec.   11.201(g)    11.303(b) and (c).                      .315; .317.        renewal Sec.
                                                                                                                   for original                                               Chief Mate Sec.      10.227(e).
                                                                                                                   national or STCW                                            11.307; .313;.
                                                                                                                   endorsements.                                              OICNW Sec.
                                                                                                                                                                               11.309; 11.319;
                                                                                                                                                                               11.321.
Officer on a passenger ship when  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  Sec.                Sec.   11.1105(c).  N/A.
 on an international voyage.                                                                                                                                                   11.1105(a)(1);
                                                                                                                                                                               (2).
Engineers (original)............  Sec.   11.201(e)..  U.S., Sec.          10.302(a).........  46 CFR Part 11--    N/A: Note           Sec.   11.201(h)..  Sec.   11.201(j);   N/A...............  original Sec.       Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1) Sec.                       Subpart E.          exceptions in                           11.903; Sec.                            11.201 (c)(2).
                                                         11.201(d).                                                Sec.   11.201(g)                        11.950.                                renewal Sec.
                                                                                                                   for original                           Note: Sec.                               10.227(e).
                                                                                                                   national or STCW                        11.903(b).
                                                                                                                   endorsements.
STCW Engineering Officer          Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  46 CFR Part 11--    N/A: Note           Sec.   11.303.....  N/A...............  Chief Sec.          original Sec.       Sec.   11.201(i).
 endorsements.                    Note: exceptions..   10.221(a)(1) Sec.                       Subpart C.          exceptions in      Renewal: Sec.                            11.325; Sec.        11.201 (c)(2).
                                                         11.201(d).                                                Sec.   11.201(g)    11.303(b) and (c).                      11.331;.           renewal Sec.
                                                                                                                   for original                                               2nd engineer         10.227(e).
                                                                                                                   national or STCW                                            officer; Sec.
                                                                                                                   endorsements.                                               11.327; Sec.
                                                                                                                                                                               11.333.
                                                                                                                                                                              OICEW/DDE Sec.
                                                                                                                                                                               11.329.
National Designated Duty          Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  11.524(b).........  N/A: Note           Sec.                Sec.   11.903.....  N/A...............  original Sec.       Sec.   11.201(i).
 Engineer (DDE).                  Note: exceptions..   10.221(a)(1).                                               exceptions in       COM001*11.201(h)(                                           11.201 (c)(2).
                                                      Sec.   11.201(d)..                                           Sec.   11.201(g)    1)(iv).                                                    renewal Sec.
                                                                                                                   for original                                                                    10.227(e).
                                                                                                                   national or STCW
                                                                                                                   endorsements.
Electro-technical officer.......  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  Sec.                N/A: Note           Sec.                N/A...............  Sec.                ..................  Sec.
                                  Note: exceptions..   10.221(a)(1).                           11.335(a)(1).       exceptions in       11.335(a)(3)(ii).                       11.335(a)(2), (3).                      11.335(a)(3)(i).
                                                      Sec.   11.201(d)..                      note exception in    Sec.   11.201(g)                                           note exception in
                                                                                               Sec.   11.335(b)    for original                                                Sec.   11.335(b)
                                                                                               & Sec.   11.33      national or STCW                                            & (c).
                                                                                               5(c).               endorsements.

[[Page 136]]

 
Pilot...........................  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a);.  Sec.   11.703;      N/A: Note           N/A...............  Sec.   11.707;      Sec.   11.705.....  Sec.   11.705(e),   Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1) Sec.  Sec.   11.709.....   Sec.   11.705.      exceptions in                           Sec.   11.903;                          Sec.   11.713.
                                                         11.201(d).                                                Sec.   11.201(g)                        Sec.   11.910.
                                                                                                                   for original
                                                                                                                   national or STCW
                                                                                                                   endorsements.
Towing vessels..................  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  46 CFR Part 11--    N/A: Note           Sec.                Sec.   11.201(j);   Sec.   11.464;      original Sec.       Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1) Sec.                       Subpart D.          exceptions in       11.201(h)(1)(ii).   Sec.   11.903;      Sec.   11.465.      11.201 (c)(2).
                                                         11.201(d).                                                Sec.   11.201(g)   Sec.                 Sec.   11.910.                         renewal Sec.
                                                                                                                   for original        11.201(h)(2)(ii).                                           10.227(e).
                                                                                                                   national or STCW   Note: exceptions..
                                                                                                                   endorsements.
Offshore Supply Vessels.........  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  Master Sec.         N/A: Note           Sec.   11.201(h)..  Sec.   11.201(j);.  Master Sec.         original Sec.       Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1) Sec.                       11.493.             exceptions in                          Master Sec.          11.493.             11.201 (c)(2).
                                                         11.201(d).                           Chief Mate Sec.      Sec.   11.201(g)                        11.493.            Chief Mate Sec.     renewal Sec.
                                                                                               11.495.             for original                           Chief Mate Sec.      11.495.             10.227(e)..
                                                                                              Mate Sec.   11.497   national or STCW                        11.495.            Mate Sec.   11.497
                                                                                              C/E Sec.   11.553.   endorsements.                          Mate Sec.   11.497  C/E Sec.   11.553.
                                                                                              Engineer Sec.                                               C/E Sec.   11.553;  Engineer..........
                                                                                               11.555.                                                     Sec.   11.903.     Sec.   11.555.....
                                                                                                                                                          Eng Sec.   11.555;
                                                                                                                                                           Sec.   11.903.
MODU licenses...................  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  OIM: Sec.   11.470  N/A: Note           Sec.   11.201(h):   Sec.   11.201(j);   N/A...............  original Sec.       Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1).                          B.S.: Sec.           exceptions in       note exceptions.    Sec.   11.903;                          11.201 (c)(2).
                                                      Sec.   11.201(d)..                       11.472.             Sec.   11.201(g)                        Sec.   11.920.                         renewal Sec.
                                                                                              BCO: Sec.   11.474   for original                                                                    10.227(e)..
                                                                                              ChEng: Sec.          national or STCW
                                                                                               11.542.             endorsements.
                                                                                              Asst. Eng: Sec.
                                                                                               11.544.
Uninspected fishing industry      Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  Deck: Sec.          N/A: Note           Sec.   11.201(h)..  Sec.   11.201(j);   N/A...............  original Sec.       Sec.   11.201(i).
 vessels.                         Note: exceptions..   10.221(a)(1).                           11.462(c); (d);.    exceptions in      Note: exceptions..   Sec.   11.903;                          11.201 (c)(2).
                                                      Sec.   11.201(d)..                      Engine: Sec.         Sec.   11.201(g)                        Sec.   11.910.                         renewal Sec.
                                                                                               11.530(c); (d);     for original                                                                    10.227(e)..
                                                                                               (e).                national or STCW
                                                                                                                   endorsements.
Radio officer...................  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  N/A...............  N/A: Note           N/A...............  N/A...............  Sec.   11.603.....  N/A...............  Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1).                                               exceptions in
                                                      Sec.   11.201(d)..                                           Sec.   11.201(g)
                                                                                                                   for original
                                                                                                                   national or STCW
                                                                                                                   endorsements.
GMDSS Operator..................  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  11.604............  N/A...............  N/A.
Officer raises of grade.........  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  Sec.   10.231(c);   N/A...............  N/A...............  Sec.   10.231(d);   Part 11, subparts   3 months in past 3  N/A.
                                  Note: exceptions..   10.221(a)(1).                           Part 11, subparts                                           Sec.   11.903;      D and E.            years, Sec.
                                                      Sec.   11.201(d)..                       D and E.                                                    Sec.   11.910;                          11.201 (c)(2).
                                                                                                                                                           Sec.   11.920;
                                                                                                                                                           Sec.   11.950.
Officer renewals................  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  Sec.   10.227(d)    N/A...............  N/A...............  N/A...............  Towing officers,    1 year in past 5,   N/A.
                                  Note: exceptions..   10.221(a)(1).                           and (e).                                                                        Sec.   10.227(d)    Sec.   10.227(e)
                                                      Sec.   11.201(d)..                      Note: exceptions..                                                               and (e).            and (f).
                                                                                                                                                                                                  Note: alternative.
Staff officer...................  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  Sec.   11.807.....  N/A: Note           N/A...............  N/A...............  Sec.   11.807.....  N/A...............  Sec.   11.201(i).
                                  Note: exceptions..   10.221(a)(1).                                               exceptions in
                                                      Sec.   11.201(d)..                                           Sec.   11.201(g)
                                                                                                                   for original
                                                                                                                   national or STCW
                                                                                                                   endorsements.

[[Page 137]]

 
Staff officer renewals..........  Sec.   11.201(e)..  U.S., Sec.          Sec.   10.302(a)..  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A.
                                  Note: exceptions..   10.221(a)(1).
                                                      Sec.   11.201(d)..
Able seaman.....................  Sec.                U.S. or alien       Sec.   10.302(a),   Sec.   12.403.....  N/A...............  N/A...............  Sec.                Sec.                Renewal only, 1     N/A.
                                   12.401(c)(1).       admitted for        Sec.                                                                            12.401(c)(5).       12.401(c)(6) Sec.   year in past 5,
                                                       permanent           12.401(c)(2).                                                                                         12.405.           Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
Able-seafarer deck..............  Sec.                U.S. or alien       Sec.   10.302(a)..  Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
                                   12.603(a)(1).       admitted for                            12.603(a)(3).                                                                   12.603(a)(2) Sec.   year in past 5,
                                                       permanent                                                                                                                 12.603(a)(4)      Sec.   10.227(e)
                                                       residence, Sec.                                                                                                         Sec.                and (f).
                                                       10.221(a)(2).                                                                                                           12.603(a)(5).      Note: alternative.
Ratings for forming a             Sec.                U.S. or alien       Sec.   10.302(a)..  Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
 navigational watch.               12.605(a)(1).       admitted for                            12.605(a)(2).                                                                   12.605(a)(3).       year in past 5,
                                                       permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
Qualified members of engine       Sec.                U.S. or alien       Sec.   10.302(a)..  Sec.   12.503.....  N/A...............  N/A...............  Sec.   12.505.....  N/A...............  Renewal only, 1     N/A.
 department.                       12.501(c)(1).       admitted for                                                                                                                                year in past 5,
                                                       permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
Able-seafarer engine............  Sec.                U.S. or alien       Sec.   10.302(a)..  Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
                                   12.607(a)(1).       admitted for                            12.607(a)(3).                                                                   12.607(a)(2); (4)   year in past 5,
                                                       permanent                                                                                                               Sec.   12.607(b);   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                         (c).                and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
Ratings for forming an            Sec.                U.S. or alien       Sec.   10.302(a)..  Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
 engineering watch.                12.609(a)(1).       admitted for                            12.609(a)(2).                                                                   12.609(a)(3).       year in past 5,
                                                       permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
Electro-technical rating........  Sec.                U.S. or alien       Sec.   10.302(a)..  Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
                                   12.611(a)(1).       admitted for                            12.611(a)(2).                                                                   12.611(a)(3);       year in past 5,
                                                       permanent                                                                                                               Sec.   12.611(b).   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
Entry level ratings.............  N/A...............  U.S. or alien       N/A; note           N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A.
                                                       admitted for        exception in Sec.
                                                       permanent             12.811(a)(2).
                                                       residence, Sec.    Note: Food Handler
                                                       10.221(a)(2).       (F.H.)
                                                      Sec.   12.803;       requirements in
                                                       Sec.   12.809.      Table Sec.
                                                                           10.302(a).
                                                                          (xiii) Sec.
                                                                           10.302(a) (xiv).
Lifeboatman.....................  N/A...............  U.S. or alien       Sec.   10.302(a)..  Sec.                N/A...............  N/A...............  Sec.                Sec.                Renewal only, 1     N/A.
                                                       admitted for                            12.407(b)(1).                                               12.407(b)(2); (4).  12.407(b)(2); (3).  year in past 5,
                                                       permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
Lifeboatman-Limited.............  N/A...............  U.S. or alien       Sec.   10.302(a)..  Sec.                N/A...............  N/A...............  Sec.                Sec.                Renewal only, 1     N/A.
                                                       admitted for                            12.409(b)(1).                                               12.409(b)(2); (4).  12.409(b)(2); (3).  year in past 5,
                                                       permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.

[[Page 138]]

 
Proficiency in fast rescue boats  Sec.                U.S. or alien       N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
                                   12.617(a)(1).       admitted for                                                                                                            12.617(a)(2);       year in past 5,
                                                       permanent                                                                                                               (3); (4).           Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
                                                                                                                                                                                                  Renewal Sec.
                                                                                                                                                                                                   12.617(b)(2).
Proficiency in survival craft     Sec.                U.S. or alien       N/A...............  Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
 and rescue boats other than       12.613(a)(1).       admitted for                            12.613(a)(2).                                                                   12.613(a)(3).       year in past 5,
 fast rescue boats.                                    permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
                                                                                                                                                                                                  Renewal: Sec.
                                                                                                                                                                                                   12.613(b)(2).
Proficiency in survival craft     Sec.                U.S. or alien       N/A...............  Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     Sec.   12.601(c).
 and rescue boats other than       12.615(a)(1).       admitted for                            12.615(a)(2).                                                                   12.615(a)(3).       year in past 5,
 lifeboats and fast rescue boats-                      permanent                                                                                                                                   Sec.   10.227(e)
 limited.                                              residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
                                                                                                                                                                                                  Renewal: Sec.
                                                                                                                                                                                                   12.615(b)(2).
Assistance Towing endorsement...  N/A...............  N/A...............  N/A...............  Sec.   11.482.....  N/A...............  N/A...............  Sec.   11.482.....  Sec.   11.482.....  original Sec.       N/A.
                                                                                                                                                                                                   11.201(c)(2).
Radar Observer endorsement......  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  Sec.   11.480(d);   N/A...............  N/A.
                                                                                                                                                                               (h).
Vessel Security Officer.........  Sec.   11.337(a)..  U.S. or alien       Sec.   10.302(a)..  Sec.   11.337(a)..  N/A: Note           N/A...............  N/A...............  Sec.   11.337(a)..  original Sec.       Sec.   11.201(i).
                                                       admitted for                                                exceptions in                                                                   11.201 (c)(2).
                                                       permanent                                                   Sec.   11.201(g)                                                               renewal Sec.
                                                       residence, Sec.                                             for original                                                                    10.227(e)..
                                                       10.221(a)(1) Sec.                                           national or STCW
                                                         10.221(a)(2.                                              endorsements.
High Speed Craft................  N/A...............  U.S. Sec.           N/A...............  Sec.                N/A: Note           N/A...............  N/A...............  Sec.                Renewal: Sec.       N/A.
                                                       10.221(a)(1).                           11.821(b)(1) Sec.   exceptions in                                               11.821(b)(2).       11.821(e).
                                                                                                 11.821(c).        Sec.   11.201(g)
                                                                                                                   for original
                                                                                                                   national or STCW
                                                                                                                   endorsements.
GMDSS at sea maintainer.........  Sec.   12.623(a)..  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  Sec.   12.623(b)..  N/A...............  N/A.
Medical first-aid provider......  N/A...............  N/A...............  N/A...............  Sec.   12.619(b)..  N/A...............  N/A...............  N/A...............  Sec.                N/A...............  Sec.
                                                                                                                                                                               12.619(a)(1); (2).                      12.619(a)(1).
Person in charge of medical care  N/A...............  N/A...............  N/A...............  Sec.   12.621(b)..  N/A...............  N/A...............  N/A...............  Sec.                N/A...............  Sec.
                                                                                                                                                                               12.621(a)(1); (2).                      12.621(a)(1).
Vessel personnel with designated  Sec.                U.S. or alien       Sec.                Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     N/A.
 security duties.                  12.625(a)(1).       admitted for        12.625(a)(2).       12.625(a)(1).                                                                   12.625(a)(1).       year in past 5,
                                                       permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
                                                      Sec.   12.803.....

[[Page 139]]

 
Security awareness..............  Sec.                U.S. or alien       Sec.                Sec.                N/A...............  N/A...............  N/A...............  Sec.                Renewal only, 1     N/A.
                                   12.627(a)(1).       admitted for        12.627(a)(2).       12.627(a)(1).                                                                   12.627(a)(1).       year in past 5,
                                                       permanent                                                                                                                                   Sec.   10.227(e)
                                                       residence, Sec.                                                                                                                             and (f).
                                                       10.221(a)(2).                                                                                                                              Note: alternative.
                                                      Sec.   12.803.....
Ratings serving on passenger      N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  N/A...............  Sec.   12.905(a);   Renewal Sec.        N/A.
 ships on international voyages.                                                                                                                                               (b).                12.905(d).
----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------


[USCG-2004-17914, 78 FR 77896, Dec. 24, 2013]

[[Page 140]]





                     Subpart C_Medical Certification

    Source: USCG-2004-17914, 78 FR 77900, Dec. 24, 2013, unless 
otherwise noted.



Sec.  10.301  General requirements.

    (a) The Coast Guard will issue a medical certificate to a mariner 
meeting the medical and physical standards for merchant mariners. The 
medical certificate will be issued for various periods of time based 
upon the endorsements the mariner holds. The Coast Guard will review all 
information provided and will determine whether--
    (1) The applicant is physically and medically qualified for the 
medical certificate without any limitations, waivers and/or other 
conditions;
    (2) The applicant is physically and medically qualified for the 
medical certificate with limitations and/or other conditions as 
specified by the Coast Guard;
    (3) For an applicant who does not possess the vision, hearing, or 
general physical condition necessary, a medical certificate may be 
issued with appropriate limitations, waivers and/or other conditions as 
specified by the Coast Guard;
    (4) Additional information is necessary to determine if the 
applicant is physically and/or medically qualified for the medical 
certificate. The Coast Guard will request additional information from 
the applicant. The Coast Guard may hold the package pending receipt of 
that information before the package and/or application is denied; or
    (5) The applicant is not physically and/or medically qualified for 
the medical certificate. The application for a medical certificate will 
be denied by the Coast Guard.
    (b) Except as otherwise noted, medical certificates will be issued 
for the following periods of time:
    (1) All persons employed or engaged onboard vessels to which STCW 
applies will be issued a medical certificate valid for 2 years unless 
the mariner is under the age of 18, in which case the maximum period of 
validity will be 1 year.
    (2) Medical certificates issued to a mariner who is serving as a 
first-class pilot, or acting as a pilot under Sec.  15.812 of this 
subchapter, will be issued for a maximum period of 2 years.
    (3) Medical certificates issued to all other mariners will be issued 
for a maximum period of 5 years.
    (4) Applicants seeking additional MMC endorsements holding a current 
medical certificate are not required to submit a new medical physical 
exam if their existing medical certification meets all of the 
requirements of this section for the endorsement sought.
    (c) Applicants holding no endorsement other than a staff officer 
endorsement need not meet the medical and physical requirements of this 
section.



Sec.  10.302  Medical and physical requirements.

    (a) To qualify for a medical certificate, a mariner must provide 
evidence of meeting the medical and physical standards in this section 
on a CG-719-K or CG-719-K/E, as appropriate. The Coast Guard retains 
final authority for determining whether a mariner is medically and 
physically qualified. Columns 2 through 5 of Table 1 to paragraph (a) of 
this section provide the specific exam, test, or demonstrations required 
to obtain the corresponding credential listed in column 1. Further 
clarifications of the requirements contained in the table are found 
throughout this subpart.
    (b) Any required test, exam, or demonstration must have been 
performed, witnessed, or reviewed by a licensed medical doctor, licensed 
physician assistant, licensed nurse practitioner, or a designated 
medical examiner. All licensed medical practitioners must hold a valid 
license issued in the United States. Medical examinations for Great 
Lakes Pilots must be conducted by a licensed medical doctor in 
accordance with the physical exam requirements in 46 CFR 402.210.

[[Page 141]]



             Table 1 to Sec.   10.302(a)--Medical and Physical Requirements for Mariner Endorsements
----------------------------------------------------------------------------------------------------------------
                                                                                                         5
                                                               2 Vision    3 Hearing   4 General   Demonstration
                        1 Credential                             test        test       medical     of physical
                                                                                         exam         ability
----------------------------------------------------------------------------------------------------------------
(1) Deck officer, including pilot...........................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(a)      10.306   10.304(a)       10.304(c)
(2) Engineering officer.....................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(3) Radio officer...........................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(4) Offshore installation manager, barge supervisor, or             Sec.        Sec.        Sec.            Sec.
 ballast control operator...................................   10.305(b)      10.306   10.304(a)       10.304(c)
(5) Able seaman.............................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(a)      10.306   10.304(a)       10.304(c)
(6) QMED....................................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(7) Able seafarer deck......................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(a)      10.306   10.304(a)       10.304(c)
(8) RFPNW...................................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(a)      10.306   10.304(a)       10.304(c)
(9) Able seafarer engine....................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(10) RFPEW..................................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(11) Electro-technical rating...............................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(12) Tankerman..............................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(13) Lifeboatman and Proficiency in survival craft and              Sec.        Sec.        Sec.            Sec.
 rescue boats other than fast rescue boats (PSC)............   10.305(b)      10.306   10.304(a)       10.304(c)
(14) Lifeboatman-Limited and Proficiency in survival craft          Sec.        Sec.        Sec.            Sec.
 and rescue boats other than fast rescue boats--limited        10.305(b)      10.306   10.304(a)       10.304(c)
 (PSC--limited).............................................
(15) Fast Rescue Boat.......................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(b)      10.306   10.304(a)       10.304(c)
(16) Food handler serving on vessels to which STCW does not   ..........  ..........        Sec.
 apply......................................................                           10.304(b)
(17) Food handler serving on vessels to which STCW applies..  ..........  ..........        Sec.            Sec.
                                                                                       10.304(b)       10.304(c)
(18) Ratings, including entry level, serving on vessels to    ..........  ..........  ..........            Sec.
 which STCW applies, other than those listed above..........                                           10.304(c)
(19) Ratings, including entry level, serving on vessels to    ..........  ..........  ..........
 which STCW does not apply, other than those listed above...
(20) Vessel security officer................................        Sec.        Sec.        Sec.            Sec.
                                                               10.305(a)      10.306   10.304(a)       10.304(c)
----------------------------------------------------------------------------------------------------------------



Sec.  10.303  Medical waivers, limitations, and restrictions.

    (a) The Coast Guard may grant a waiver if, after review of all 
relevant supporting medical documents and consultation with the 
examining physician, as needed, an applicant does not possess the 
vision, hearing, or general physical condition necessary; and 
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.
    (b) In general, medical waivers are approved when an applicant does 
not meet the applicable medical standards, but objective medical 
evidence indicates that the condition is sufficiently controlled and the 
effects of medication pose no significant risk to maritime and public 
safety. The Coast Guard retains final authority for the issuance of 
medical waivers.
    (c) Medical waivers may be granted with specific conditions to which 
the applicant must adhere, such as more frequent monitoring of the 
medical conditions, submission of medical exams and/or tests at varying 
intervals to track the ongoing status of the medical condition, or 
operational limitations in the manner the mariner may serve under the 
MMC.
    (d) The Coast Guard may place an operational limitation on medical 
and physical conditions. Any operational limitations will be reflected 
in the medical certificate.
    (e) The Coast Guard may place a restriction on a medical certificate 
based upon medical and physical conditions of an applicant. Any 
restriction will be reflected on the medical certificate and may include 
restriction of route or trade.



Sec.  10.304  General medical exam.

    (a) The general medical exam must be documented and of such scope to 
ensure that there are no conditions that pose significant risk of sudden 
incapacitation or debilitating complication. This exam must also 
document any condition requiring medication

[[Page 142]]

that impairs cognitive ability, judgment, or reaction time. The Coast 
Guard will provide guidance on the conduct of general medical exams. 
Examiners should be familiar with the content and recommended medical 
evaluation data compiled in the medical guidelines.
    (b) 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 that pose a direct threat to the health or safety 
of other individuals in the workplace.
    (c) Demonstration of physical ability. (1) A demonstration of 
physical ability is required only if--
    (i) The medical practitioner conducting the general medical exam is 
concerned that an applicant's physical ability may impact maritime 
safety; or
    (ii) Table 1 to Sec.  10.302(a) of this subpart shows that the 
mariner must pass a demonstration of physical ability.
    (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) Is able, without assistance, to step over a door sill or 
coaming;
    (iv) Is able to move through a restricted opening of 24-by-24 inches 
(61-by-61 centimeters);
    (v) Is 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;
    (vi) Does not have any impairment or disease that could prevent 
normal movement and physical activities;
    (vii) Is able to stand and walk for extended periods of time;
    (viii) Does not have any impairment or disease that could prevent 
response to a visual or audible alarm; and
    (ix) Is capable of normal conversation.
    (3) Guidance on demonstration of physical ability is contained in 
the relevant Coast Guard guidance for the conduct of general medical 
exams.
    (d) 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 the Coast Guard accepts a complete application.



Sec.  10.305  Vision requirements.

    (a) Deck standard. (1) A mariner must have correctable vision to at 
least 20/40 in one eye and uncorrected vision of at least 20/200 in the 
same eye. The color sense must be determined to be satisfactory when 
tested by any of the following methods or an alternative test acceptable 
to 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) Farnsworth Lantern.
    (iii) Titmus Vision Tester/OPTEC 2000.
    (iv) Optec 900.
    (v) Richmond Test, 2nd and 4th edition.
    (2) After January 1, 2017, applicants for an STCW endorsement must 
have correctable vision to at least 20/40 in both eyes and uncorrected 
vision of at least 20/200 in both eyes. A mariner who meets these 
requirements and who suffers loss of vision in one eye after being 
issued an MMC is subject to the requirements of paragraphs (c), (d), and 
(e) of this section, as applicable. A mariner holding an MMC prior to 
January 1, 2017, must continue to meet the requirements of paragraph 
(a)(1) of this section.
    (b) Engineering, radio officer, tankerman, and MODU standard. A 
mariner must have correctable vision to at least 20/50 in one eye and 
uncorrected vision of at least 20/200 in the same eye and need only the 
ability to distinguish the colors red, green, blue, and yellow. The 
color sense must be determined to be satisfactory when tested by any 
color-vision test listed in paragraph (a) of this section, or an 
alternative test acceptable to the Coast Guard, without the use of 
color-sensing lenses. The

[[Page 143]]

Coast Guard will accept Farnsworth D-15 Hue Test as a color vision test 
to meet the requirements of this paragraph.
    (c) Vision waiver. Any applicant whose uncorrected vision does not 
meet the 20/200 standard and is correctable to listed standards above 
may be granted a medical waiver in accordance with Sec.  10.303 of this 
subpart. If a vision waiver is granted, a limitation will be placed on 
his or her MMC indicating the mariner may not serve under the authority 
of the endorsement unless corrective lenses are worn and spare lenses 
are carried onboard a vessel. 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.
    (d) Vision operational limitation. If corrective lenses are required 
in order to meet the vision standards above, a mariner may not serve 
under the authority of the endorsement unless corrective lenses are worn 
and spare lenses are carried onboard a vessel. This operational 
limitation will be placed on his or her medical certificate.
    (e) Loss of vision. A mariner having lost vision in one eye must 
wait 6 months from the date of the vision loss before submitting any 
application, and must provide a statement of demonstrated ability on his 
or her medical examination.



Sec.  10.306  Hearing requirements.

    (a) 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 must refer the applicant to 
an audiologist or other hearing specialist to conduct an audiometer test 
and a speech discrimination test, as appropriate.
    (b) The audiometer test must include testing at the following 
thresholds: 500 Hz; 1,000 Hz; 2,000 Hz; and 3,000 Hz. The frequency 
responses for each ear must be averaged to determine the measure of an 
applicant's hearing ability. Applicants must demonstrate an unaided 
threshold of 30 decibels or less in at least one ear.
    (c) The functional speech discrimination test must be carried out at 
a level of 65 decibels. For issuance of an original MMC or endorsement 
the applicant must demonstrate functional speech discrimination of at 
least 90 percent. For renewal or raise of grade, the applicant must 
demonstrate functional speech discrimination of at least 80 percent.
    (d) Hearing waivers. An applicant who is unable to meet the hearing 
standards of the audiometer test, but who can pass the functional speech 
discrimination test; or who requires hearing aids to meet the hearing 
standards, may be eligible for a medical waiver in accordance with Sec.  
10.303 of this subpart.
    (e) Hearing operational limitation. If hearing aids are required in 
order to meet the hearing standards above, a mariner may not serve under 
the authority of the endorsement unless hearing aids are worn in the 
operational mode, and spare batteries are carried onboard a vessel. This 
operational limitation will be placed on his or her medical certificate.



                 Subpart D_Training Courses and Programs

    Source: USCG-2004-17914, 78 FR 77903, Dec. 24, 2013, unless 
otherwise noted.



Sec.  10.401  Applicability.

    This subpart prescribes the general requirements applicable to 
offerors of all approved courses and training programs which may be 
accepted instead of sea service, examination required by the Coast 
Guard, or STCW assessments, or which satisfy course completion 
requirements.



Sec.  10.402  Approval of training courses.

    (a) Categories. The Coast Guard may approve courses designed to 
substitute for or fulfill any or all of the following:
    (1) A portion of sea service requirement.
    (2) Examinations required by the Coast Guard.
    (3) Professional competency requirements.
    (4) Regulatory requirements.
    (b) Request for approval. Organizations desiring course approval by 
the Coast Guard must submit a written request and a complete curriculum 
package to the National Maritime Center,

[[Page 144]]

either by mail or electronically. The curriculum package must be 
provided in a format specified by the Office of Vessel Activities (CG-
CVC) and include:
    (1) A cover letter. The cover letter must contain--
    (i) The name of the organization providing the instruction and the 
course name;
    (ii) The locations where the course will be held;
    (iii) A general description and overview of the course;
    (iv) The category of acceptance being sought, as listed in paragraph 
(a) of this section; and
    (v) Reference to regulatory requirements met by the training.
    (2) Part A: Course framework. The course framework must contain--
    (i) The following specific course intentions:
    (A) Course scope.
    (B) Course objective;
    (ii) The following conditions relative to students:
    (A) Student entry standards.
    (B) Class-size limitations.
    (C) Student/teacher ratio;
    (iii) Documentary evidence that each instructor and/or assessor--
    (A) Has either experience, training, or evidence of instruction in 
effective instructional techniques and/or effective assessment 
techniques;
    (B) Is qualified in the task for which the training is being 
conducted and have relevant experience; and
    (C) Has attained a level of experience and qualification equal or 
superior to the relevant level of knowledge, skills, and abilities 
described in the performance objective;
    (iv) Site information, which must include--
    (A) A description of the facility, measurements of the instructional 
space, pictures showing multiple views of the space, and a description 
of the instruction or assessment being performed; and
    (B) A request, if applicable, to teach at an alternative site. This 
requires contact with the local Regional Exam Center and approval by the 
National Maritime Center; and
    (v) A description of the following materials used for development, 
instruction, and performance measurement:
    (A) Equipment.
    (B) Teaching aids.
    (C) Textbooks and presentations.
    (D) Reference bibliography.
    (3) Part B: Course outline. The course outline must contain--
    (i) Course subjects/topics; and
    (ii) Course schedule, including the duration and order of lessons, 
and an indication as to whether each lesson is--
    (A) A classroom lecture;
    (B) A practical demonstration;
    (C) A simulator exercise;
    (D) An examination; or
    (E) Another method of instructional reinforcement.
    (4) Part C: Detailed teaching syllabus. The detailed teaching 
syllabus must be written in a learning objective format in which the 
objectives describe what the student must do to demonstrate that the 
specific knowledge has been transferred. The detailed teaching syllabus 
must contain--
    (i) The learning objectives as related to the subjects/topics;
    (ii) The specific references from which the instruction was 
developed; and
    (iii) Reference to the specific teaching aids, textbooks, or 
technical materials used for instruction and performance measurement.
    (5) Part D-1: Lesson plans. The lesson plans must contain the 
following specific instructional contents of the individual course 
lessons:
    (i) The main element learning objective.
    (ii) Student assignments.
    (iii) Training outcomes, which are statements that identify the 
specific knowledge, skill, or ability that students must gain and 
display as a result of the training or instructional activity. A 
training outcome is made up of three elements: expected student 
performance, condition, and criterion.
    (6) Part D-2: Instructor notes. The instructor notes must contain--
    (i) The specific instructional methodologies utilized in the 
particular lesson; and

[[Page 145]]

    (ii) The instructional materials, including instructional directions 
containing the following:
    (A) Pre-instructional activities.
    (B) Content presentation.
    (C) Student participation.
    (D) Assessment process.
    (E) Other instructional activities, such as homework and reading 
assignments.
    (7) Part E: Evaluations. The evaluations section must contain--
    (i) Any methodology that is used to measure a student's knowledge, 
performance, or level of achievement, including--
    (A) Homework;
    (B) Quizzes;
    (C) Exams;
    (D) Laboratory projects;
    (E) Competency assessments;
    (F) Remediation; and
    (G) Testing strategies;
    (ii) Assessment instruments, which are any tools used to determine 
whether the student has achieved the desired level of knowledge, 
understanding, or proficiency; and
    (iii) Any methodology that is used to measure the effectiveness of 
the training or instructor, including--
    (A) Instructor evaluations;
    (B) Course evaluations/surveys; and
    (C) Other feedback.
    (8) Course completion certificate. A sample course completion 
certificate that allows for the following information to be entered:
    (i) Course provider number.
    (ii) Course number.
    (iii) Terms of approval.
    (c) Approval notification. The Coast Guard will notify each 
applicant for course approval when an approval is granted or denied. If 
the Coast Guard denies a request for approval, the Coast Guard will 
inform the applicant of the reasons for the denial and describe the 
corrections required for granting an approval.
    (d) Validity of course approval. Unless surrendered, suspended, or 
withdrawn, an approval for a course is valid for up to a maximum of 5 
years after issuance, unless--
    (1) The school ceases operation;
    (2) The school gives notice that it will no longer offer the course;
    (3) The owner or operator fails to submit any required information; 
or
    (4) Any change occurs in the ownership of the school to which the 
approval was issued.
    (e) Significant changes to the course approval. (1) Any significant 
changes to the course approval or the content of the course will be 
handled as a request for renewal of an approval (as specified in 
paragraph (f) of this section), or as a request for an original approval 
(as specified in paragraph (b) of this section), depending on the nature 
and scope of the change.
    (2) The Coast Guard may not accept course completion certificates if 
the course does not follow the conditions of the course approval.
    (f) Renewal of course approval. (1) If the owner or operator of a 
training school desires to have a course's approval renewed, the owner 
or operator must submit a request to the NMC accompanied by the 
information from paragraph b of this section.
    (2) If satisfied that the content and quality of instruction remain 
satisfactory, the Coast Guard will approve the request.
    (3) The renewed approval is valid as detailed in paragraph (d) of 
this section.
    (g) Suspension of approval. (1) The Coast Guard may suspend the 
approval, require the holder to surrender the certificate of approval, 
and may direct the holder to cease claiming the course is Coast Guard-
approved, if it determines that a specific course does not comply with 
the--
    (i) Applicable provisions of 46 CFR parts 10, 11, 12, or 13;
    (ii) Requirements specified in the course's approval; or
    (iii) Course's curriculum package as submitted for approval.
    (2) The Coast Guard will notify the approval holder in writing of 
the intent to suspend course approval and the reasons for suspension. If 
the approval holder fails to correct the conditions leading to 
suspension, the course will be suspended. The Coast Guard will notify 
the approval holder that the specific course fails to meet applicable 
requirements and explain how the deficiencies can be corrected.

[[Page 146]]

    (3) The Coast Guard may grant the approval holder up to 90 days to 
correct the deficiency.
    (4) Course completion certificates will not be accepted for training 
provided during a period of suspension or expiration.
    (h) Withdrawal of approval. The Coast Guard may withdraw approval 
for any course--
    (1) When the approval holder fails to correct the deficiency of a 
suspended course within 90 days; or
    (2) Upon determining that the approval holder has demonstrated a 
pattern or history of any of the following:
    (i) Failing to comply with the applicable regulations or the course 
approval requirements.
    (ii) Deviating from approved course curricula.
    (iii) Presenting courses in a manner that does not achieve the 
learning objectives.
    (iv) Falsifying any document required and integral to the conduct of 
the course, including, but not limited to, attendance records, written 
test grades, course completion grades, or assessment of practical 
demonstrations.
    (i) 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 as provided in Sec.  1.03-40 of this chapter.



Sec.  10.403  General standards.

    (a) Each school with an approved course must--
    (1) Have a well-maintained facility that accommodates the students 
in a safe and comfortable environment conducive to learning;
    (2) Have the necessary equipment, including simulators where 
appropriate, sufficient for the number of students to be accommodated, 
and support the objectives of the course;
    (3) Administer training entirely in the English language unless 
specifically approved to be presented in another language;
    (4) Administer written examinations to each student appropriate for 
the course material and the knowledge requirements of the position or 
endorsement for which the student is being trained. For a course 
approved to substitute for a Coast Guard-administered examination, the 
courses must be of such a degree of difficulty that a student who 
successfully completes them would most likely pass, on the first 
attempt, an examination prepared by the Coast Guard;
    (5) Require each student to successfully demonstrate practical 
skills appropriate for the course material and equal to the level of 
endorsement for which the course is approved;
    (6) Effective March 24, 2014, keep physical or electronic copies of 
the following records for at least 5 years after the end of each 
student's completion or disenrollment from a course or program:
    (i) A copy of each student's examination scores.
    (ii) A copy of each examination or, in the case of a practical test, 
a report of such test.
    (iii) A record of each student's classroom attendance.
    (iv) A copy of each student's course completion certificate or 
program completion certificate, as appropriate.
    (v) A summary of changes or modification to the last course 
submittal.
    (vi) A list of all locations at which the training course was 
presented and the number of times it was presented at each location.
    (vii) The name(s) of the instructor(s) who taught the course, which 
does not include lab assistants or other non-teaching assistants.
    (viii) The number of students who began the training.
    (ix) The number of students who successfully completed the training.
    (x) The number of students who were required to retest.
    (xi) The number of students who were required to retake the entire 
course.
    (xii) The number of students who were required to retake a portion 
of the course;
    (7) Not significantly change its approved curriculum without 
approval from the NMC as specified in Sec.  10.402(e) of this subpart;
    (8) Conduct an internal audit midway through the term of the 
course's approval and maintain the results of the audit for a period of 
not less than 5

[[Page 147]]

years. The audit will evaluate whether--
    (i) Records are being maintained according to these regulations;
    (ii) The course is being presented in accordance with the approval 
letter; and
    (iii) Surveys from students indicate that the course is meeting 
their needs; and
    (9) At any time, allow the Coast Guard to--
    (i) Inspect its facilities, equipment, and records, including 
scholastic records;
    (ii) Conduct interviews and surveys of students to aid in course 
evaluation and improvement;
    (iii) Assign personnel to observe or participate in the course of 
instruction; and
    (iv) Supervise or administer the required examinations or practical 
demonstrations, including the substitution of an applicable Coast Guard 
examination in a course approved to substitute for a Coast Guard 
administered examination.
    (b) [Reserved]



Sec.  10.404  Substitution of training for required service, use of
training-record books (TRBs), and use of towing officer assessment records
(TOARs).

    (a) Substitution of training for required service. (1) Satisfactory 
completion of an approved training course may be substituted for a 
portion of the required service on deck or in the engine department for 
national deck or engineer endorsements. Satisfactory completion of an 
approved training program which includes sea service may be substituted 
for a portion of or all of the required service on deck or in the engine 
department, except as limited by law for ratings. The list of all 
currently approved courses and programs, including the equivalent 
service and applicable endorsements, is maintained by the NMC.
    (2) Unless otherwise allowed, recency requirements may not be 
achieved by service granted as a result of successful completion of 
approved training or by training on a simulator; however, underway 
service obtained as a portion of an approved course or program may be 
used for this purpose.
    (3) Unless otherwise allowed, training obtained before receiving an 
endorsement may not be used for service credit for subsequent raises of 
grade, increases in scope, or renewals.
    (4) This provision for crediting service for training is not 
applicable to STCW endorsements unless provided otherwise.
    (b) Use of training-record books (TRBs). (1) Approved training 
programs for STCW endorsements for OICNW and OICEW must maintain a TRB 
for each student where training and/or assessments of competence are 
conducted onboard the ship. The TRB must contain at least the following 
information:
    (i) The name of the applicant.
    (ii) 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.  10.103 of this part).
    (iii) The method for demonstrating competence to be used in 
determining that the tasks or skills have been performed properly, with 
reference to the standards of competence set forth in the tables of 
competence in the appropriate sections in part A of the STCW Code 
(incorporated by reference, see Sec.  10.103 of this part).
    (iv) A place for a qualified instructor to indicate by his or her 
initials that the applicant has received training in the proper 
performance of the task or skill.
    (v) A place for a qualified assessor (QA) to indicate by his or her 
initials that the applicant 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.
    (vi) The printed name of each qualified instructor, including any 
MMC endorsements held, and the instructor's signature.
    (vii) The printed name of each qualified assessor, when any 
assessment of competence is recorded, including any MMC endorsement, 
license, or document held by the assessor, and the assessor's signature 
confirming that his or her initials certify that he or she

[[Page 148]]

has witnessed the practical demonstration of a particular task or skill 
by the applicant.
    (2) The TRB referred to in paragraph (b) of this section may be 
maintained electronically, provided the electronic record meets Coast 
Guard-accepted standards for accuracy, integrity, and availability.
    (3) The Coast Guard may accept other forms of documentation as 
meeting the requirements to maintain the training-record book.
    (c) Use of towing officer assessment records (TOARs). Each applicant 
for an endorsement as master or mate (pilot) of towing vessels, and each 
master or mate of self-propelled vessels of 200 GRT or more, seeking an 
endorsement for towing vessels, must complete a TOAR approved by the 
Coast Guard that contains at least the following:
    (1) Identification of the applicant, including his or her full name, 
and reference number.
    (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 means for a designated examiner (DE) to attest that the 
applicant has successfully completed a practical demonstration and has 
proved proficient in the task or skill under the criteria.
    (6) Identification of each DE by his or her full name and reference 
number, job title, ship name and official number, and serial number of 
the MMC, license, or document held, and printed name and 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 
applicant.



Sec.  10.405  Qualification as qualified assessor (QA) and designated
examiner (DE).

    (a) To become a QA, an applicant must have documentary evidence to 
establish--
    (1) Experience, training, or instruction in assessment techniques;
    (2) Qualifications in the task for which the assessment is being 
conducted; and
    (3) Possession of the level of endorsement, or other professional 
credential, which provides proof that he or she has attained a level of 
experience and qualification equal or superior to the relevant level of 
knowledge, skills, and abilities to be assessed.
    (b) To become a DE for towing officer assessment records (TOARs), an 
applicant must have documentary evidence to establish--
    (1) Experience, training, or instruction in assessment techniques on 
towing vessels;
    (2) Qualifications on towing vessels in the task for which the 
assessment is being conducted; and
    (3) Possession of the level of endorsement on towing vessels, or 
other professional credential, which provides proof that he or she has 
attained a level of qualification equal or superior to the relevant 
level of knowledge, skills, and abilities described in the training 
objectives.
    (c) Documentary evidence may be in the form of performance 
evaluations, which include an evaluation of effectiveness in on-the-job 
organization and delivery of training, or a certificate of successful 
completion from an ``assessor training'' course.
    (d) In order to renew his or her qualifications, each QA and DE must 
have either experience, training, or evidence of instruction in 
effective assessment within the past 5 years.



Sec.  10.406  Approved courses.

    The NMC maintains the list of training organizations and the 
approvals given to the training they offer. This information is 
available online at www.uscg.mil/nmc.



Sec.  10.407  Approval of training programs.

    (a) Training programs approved to qualify a mariner to hold an STCW 
or national endorsement must meet the standards in this section or the 
requirements in Sec.  10.402 of this subpart. All such programs must 
also meet the same standards as those found in Sec.  10.403 of this 
subpart. The Coast

[[Page 149]]

Guard will accept information submitted by training providers to state, 
regional, and/or national accrediting bodies as evidence such providers 
satisfy one or more of the requirements of this section.
    (b) Categories. The Coast Guard may approve programs designed to 
substitute for or fulfill any or all of the following:
    (1) A portion of sea service requirements.
    (2) Examinations required by the Coast Guard.
    (3) Professional competency requirements.
    (4) Regulatory requirements.
    (c) Request for approval. Organizations desiring program approval by 
the Coast Guard must submit a written request and a complete curriculum 
package to the National Maritime Center (NMC), either by mail or 
electronically. The curriculum package must include the following 
information:
    (1) A cover letter. The cover letter must contain--
    (i) The name of the organization providing the instruction;
    (ii) The location(s) where it will be held;
    (iii) A general description and overview of the program, including 
the individual courses that are part of the program;
    (iv) The category of acceptance being sought as listed in paragraph 
(b) of this section; and
    (v) Reference to regulatory requirements met by the training.
    (2) A goal statement(s). The goal statement should describe--
    (i) The specific performance behaviors to be measured;
    (ii) The conditions under which the performance behavior(s) will be 
exhibited; and
    (iii) The level of performance behavior(s) that is to be achieved.
    (3) Performance objectives. Performance objectives are statements, 
which identify the specific knowledge, skill, or ability the student 
should gain and display as a result of the training or instructional 
activity. A performance objective is made up of three elements: Expected 
student performance, condition, and criterion.
    (4) Assessment instruments. Assessment instruments are any tools 
used to determine whether the student has achieved the desired level of 
knowledge, understanding, or proficiency.
    (5) Instructor information. Documentary evidence that each 
instructor and assessor--
    (i) Has either experience, training, or evidence of instruction in 
effective instructional techniques and/or in effective assessment 
techniques;
    (ii) Is qualified in the task for which the training is being 
conducted and have relevant experience; and
    (iii) Has attained a level of experience and qualification equal or 
superior to the relevant level of knowledge, skills, and abilities 
described in the performance objective.
    (6) Site information. Site information must include a description of 
the facility or facilities at which the training will be held. Authority 
to teach at an alternative site requires approval by the NMC.
    (7) A teaching syllabus. A detailed teaching syllabus providing the 
following information:
    (i) Instructional strategy. Aspects of instructional strategies 
should include--
    (A) The order of presentation;
    (B) The level of interaction, including the student-to-teacher 
ratio;
    (C) Feedback;
    (D) Remediation;
    (E) Testing strategies; and
    (F) Media used to present information.
    (ii) Instructional materials, including lesson plans containing--
    (A) Pre-instructional activities;
    (B) Content presentation;
    (C) Student participation;
    (D) Assessment processes; and
    (E) Other instructional activities, such as homework and reading 
assignments.
    (iii) Course surveys on the relevance and effectiveness of the 
training completed by students.
    (iv) Course schedule, including the duration and order of lessons, 
and an indication as to whether each lesson is--
    (A) A classroom lecture;
    (B) A practical demonstration;
    (C) A simulator exercise;

[[Page 150]]

    (D) An examination; or
    (E) Another method of instructional reinforcement.
    (8) Program completion certificate. A sample program completion 
certificate.
    (d) Approval notification. The Coast Guard will notify each 
applicant for program approval when an approval is granted or denied. If 
the Coast Guard denies a request for approval, the Coast Guard will 
inform the applicant of the reasons for the denial and describe the 
corrections required for granting an approval.
    (e) Validity of program approval. Unless surrendered, suspended, or 
withdrawn, an approval for a program is valid for up to a maximum of 5 
years after issuance, unless--
    (1) The school ceases operation;
    (2) The school gives notice that it will no longer offer the 
program;
    (3) The owner or operator fails to submit any required report; or
    (4) Any change occurs in the ownership of the school to which the 
approval was issued.
    (f) Significant changes to the course program approval. (1) Any 
significant changes to the program approval or the content of the 
program will be handled as a request for renewal of an approval (as 
specified in paragraph (f) of this section), or as a request for an 
original approval (as specified in paragraph (b) of this section), 
depending on the nature and scope of the change.
    (2) The Coast Guard may not accept program completion certificates 
if the program does not follow the conditions of its approval.
    (g) Renewal of program approval. (1) If the owner or operator of a 
training school desires to have a program's approval renewed, the owner 
or operator must submit a request to the NMC accompanied by the 
information from paragraphs (c)(1), (c)(5), (c)(6), and (c)(7) of this 
section.
    (2) If satisfied that the content and quality of instruction remain 
satisfactory, the Coast Guard will approve the request.
    (3) The renewed approval is valid as detailed in paragraph (d) of 
this section.
    (h) Suspension of approval. (1) The Coast Guard may suspend the 
approval, require the holder to surrender the certificate of approval, 
and may direct the holder to cease claiming the program is Coast Guard-
approved, if it determines that a specific program does not comply with 
the--
    (i) Applicable provisions of 46 CFR parts 10, 11, 12, or 13;
    (ii) Requirements specified in the program's approval; or
    (iii) Program's curriculum package as submitted for approval.
    (2) The Coast Guard will notify the approval holder in writing of 
the intent to suspend program approval and the reasons for suspension. 
If the approval holder fails to correct the reasons for suspension, the 
program will be suspended. The Coast Guard will notify the approval 
holder that the specific program fails to meet applicable requirements 
and explain how the deficiency can be corrected.
    (3) The Coast Guard may grant the approval holder up to 90 days to 
correct the deficiency.
    (4) Program completion certificates will not be accepted for 
training provided during a period of suspension or expiration.
    (i) Withdrawal of approval. The Coast Guard may withdraw approval 
for any program--
    (1) When the approval holder fails to correct the deficiency of a 
suspended program within 90 days; or
    (2) Upon determining that the approval holder has demonstrated a 
pattern or history of any of the following:
    (i) Failing to comply with the applicable regulations or the program 
approval requirements.
    (ii) Deviating from approved program curricula.
    (iii) Presenting instructional material in a manner that does not 
achieve the learning objectives.
    (iv) Falsifying any document required and integral to the conduct of 
the program, including, but not limited to, attendance records, written 
test grades, course completion grades, or assessment of practical 
demonstrations.
    (j) 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 as provided in Sec.  1.03-40 of this chapter.

[[Page 151]]



Sec.  10.408  Coast Guard-accepted training other than approved courses and programs.

    (a) When the training and assessment of competence required by this 
part are not subject to Coast Guard approval under Sec. Sec.  10.402 and 
10.407 of this subpart, but are used to qualify a mariner to hold an 
endorsement, the offeror of the course or program must ensure that such 
training and assessment meets the same standards as those found in 
Sec. Sec.  10.402 and 10.403 of this subpart.
    (b) The Coast Guard will accept courses approved and monitored by a 
Coast Guard-accepted Quality Standard System (QSS) organization. The 
Coast Guard maintains a list of training organizations conducting 
accepted training that are independently monitored by a Coast Guard-
accepted QSS organization. The Coast Guard-accepted QSS organization 
must comply with the following requirements:
    (1) Submit a certificate of acceptance of training to the Coast 
Guard.
    (2) Submit an updated certificate of acceptance to the Coast Guard 
if the terms of acceptance have been changed.
    (3) Sign each certificate to the training organization owner or 
operator, or its authorized representative(s), stating that the training 
fully complies with the requirements of this section, and identifying 
the Coast Guard-accepted QSS organization being used for independent 
monitoring.
    (c) The training must be audited periodically in accordance with the 
requirements of Sec.  10.409(e)(7) of this subpart. If the Coast Guard 
determines, on the basis of its own observations or conclusions or those 
of the Coast Guard-accepted QSS organization, that the particular 
training does not satisfy one or more of the conditions described in 
paragraph (a) of this section--
    (1) The Coast Guard or Coast Guard-accepted QSS organization 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 of time specified in the 
notice, either appeal the observations or conclusions to the Commandant 
(CG-MMC) or bring the training into compliance; and
    (3) If the appeal is denied--or if the deficiency is not corrected 
in the allotted time, or within any additional time 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. The 
Coast Guard may deny applications for endorsements based, in whole or in 
part, on training not on the list, until additional training or 
assessment is documented.

[USCG-2006-24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG-2016-
0315, 81 FR 43955, July 6, 2016]



Sec.  10.409  Coast Guard-accepted Quality Standard System (QSS)
organizations.

    (a) Organizations wishing to serve as a Coast Guard-accepted QSS 
organization, to accept and monitor training on behalf of the Coast 
Guard, should apply to the National Maritime Center. An organization 
submitting an application may not act as a Coast Guard-accepted QSS 
organization until it has received its letter of acceptance.
    (b) Validity of acceptance. Organizations meeting the requirements 
in paragraph (e) of this section will be issued a letter of acceptance 
valid for a maximum period of 5 years from the date of issuance.
    (c) An organization wishing to become a Coast Guard-accepted QSS 
organization must have processes for reviewing, accepting, and 
monitoring training that are equal to the Coast Guard's course approval 
and oversight processes in Sec. Sec.  10.402 through 10.410 of this 
subpart.
    (d) Each person conducting evaluation and monitoring of the training 
must be knowledgeable about the subjects being evaluated or monitored 
and about the national and international requirements that apply to the 
training, and must not be involved in the training and assessment of 
students.
    (e) The documentation submitted to the Coast Guard must contain the 
information listed below. An organization approved as a recognized 
classification society in accordance with 46 CFR part 8, subpart B, need 
not present

[[Page 152]]

evidence of compliance with paragraphs (e)(1) and (e)(8) of this 
section.
    (1) Identification of the organization: Name of the organization, 
address, contact information, and organizational structure (including 
the QSS department).
    (2) Scope of approval: Training and assessment the organization 
wishes to accept and monitor.
    (3) Background of the organization: Historical information outlining 
the organization's experience reviewing and accepting training and/or 
assessment activities.
    (4) Staffing and support infrastructure, including--
    (i) Names and qualifications of the individuals who will be involved 
in the review, acceptance, and monitoring of training and assessment;
    (ii) Description of the training given to individuals who will be 
conducting review, acceptance, and monitoring activities; and
    (iii) Technical and support resources within the organization that 
support the review, acceptance and monitoring activities.
    (5) Submission guidelines: Information for client organizations to 
submit courses for review and acceptance, including criteria for course 
design, instructor/assessor qualifications, syllabi, equipment, and 
facilities.
    (6) Review and acceptance procedures. (i) Descriptions of the 
methods of evaluation of the physical, administrative, and 
infrastructure support aspects of client organizations;
    (ii) Descriptions of the methods of evaluation of the instructors or 
qualified assessors of a client organization and the maintenance of 
their records;
    (iii) Descriptions of format for accepting training material;
    (iv) Descriptions of the methods by which the course acceptance 
process responds to the client organization modifications to the 
training curriculum, changes to instructors or examiners, changes to the 
infrastructure support; and
    (v) Descriptions of the renewal procedures.
    (7) Audit procedures: Description of the methods for auditing 
accepted courses. Client organizations must be audited once in a 5-year 
period.
    (8) Quality commitment: Provide evidence of having a quality 
management system that includes the following elements:
    (i) A documented statement of a quality policy and quality 
objectives.
    (ii) A quality manual.
    (iii) Documented procedures and records.
    (iv) Documents, including records, determined by the organization to 
be necessary to ensure the effective planning, operation, and control of 
its processes.
    (f) Coast Guard-accepted QSS organizations must notify the NMC of 
the training they have accepted within 14 days of the acceptance date. 
The notification must include the name and address of the institution, 
the course title and the requirement the course meets, and a one-
paragraph description of the course's content.
    (g) Audits. (1) A Coast Guard-accepted QSS organization must conduct 
internal audits at least once in 5 years with a minimum of 2 years 
between reviews. Results of the internal audits must be available upon 
request to the Coast Guard within 60 days of completion.
    (2) Each Coast Guard-accepted QSS organization may be audited by the 
Coast Guard at least once every 5 years. The results of the audit will 
be available to the Coast Guard-accepted QSS organization within 60 days 
of completion of the audit.
    (3) Results of Coast Guard-accepted QSS organizations' audits to 
client organizations must be available upon request to the Coast Guard 
within 60 days of completion.
    (h) Disenrollment. (1) A Coast Guard-accepted QSS organization must 
give each client organization it serves a 180-day notice of its 
intention to cease to function as a Coast Guard-accepted QSS 
organization.
    (2) If the Coast Guard determines that a Coast Guard-accepted QSS 
organization is not meeting its obligations to review, accept, and 
monitor training and assessment, the NMC will notify the organization in 
writing and will enclose information about the events that led to this 
determination. The organization will then have a specified period of 
time to correct the deficiency

[[Page 153]]

or appeal the conclusions to the Commandant (CG-5P). If the organization 
appeals, and the appeal is denied, or the deficiencies are not corrected 
within the allotted time, the NMC will withdraw the acceptance of the 
Coast Guard-accepted QSS organization. The NMC will notify all client 
organizations affected by this decision so that they may make 
arrangements to transfer to another Coast Guard-accepted QSS 
organization or seek NMC approval for their training.
    (i) A Coast Guard-accepted QSS organization may not approve courses 
provided by subsidiary organizations.



Sec.  10.410  Quality Standard System (QSS) requirements.

    (a) Providers of Coast Guard-approved courses, programs, training, 
and Coast Guard-accepted training creditable towards an STCW endorsement 
must establish and maintain a Quality Standard System (QSS), in 
accordance with Regulation I/8 of the STCW Convention (incorporated by 
reference, see Sec.  10.103 of this part).
    (b) The QSS must be monitored by the Coast Guard or monitored 
through a third party that is designated as a Coast Guard-accepted QSS 
organization.
    (c) The Coast Guard-monitored QSS must--
    (1) Have a documented quality policy and quality objectives that 
align with the commitment by the training institution to achieve its 
missions and goals;
    (2) Maintain a manual that documents the objectives, authorities, 
and responsibilities that are essential controls for the implementation 
of the QSS, including--
    (i) The core procedures required to meet the missions and goals of 
the institution;
    (ii) The documents necessary for effective design, planning, 
operation, and control for the delivery of courses meeting the 
regulatory requirements;
    (iii) The filing and archiving of records so they are retrievable 
and legible;
    (iv) Action taken to stop recurrence of system, process, and product 
nonconformity; and
    (v) Auditing, reviewing, and improving the performance of the 
training management system.
    (d) Documentation from a nationally recognized academic 
accreditation body may be accepted by the Coast Guard as meeting one or 
more of the requirements listed in paragraph (c) of this section. The 
documentation must be readily available for inspection upon request.
    (e) The Coast Guard will accept documentation from a training 
institution certified under a national or international Quality 
Management System Standard as meeting one or more of the requirements 
listed in paragraph (c) of this section. The documentation must be 
readily available for inspection upon request.
    (f) Coast Guard-approved courses, programs, and training creditable 
towards an STCW endorsement must meet the requirements of this section 
by January 1, 2017.
    (g) The Coast Guard will accept company ISM documentation as meeting 
one or more of the requirements listed in paragraph (c) of this section.
    (h) Organizations are subject to audits at least twice in a 5-year 
period. Organizations must cooperate with Coast Guard audits.



Sec.  10.411  Simulator performance standards.

    Simulators used in assessment of competence must meet the 
appropriate performance standards set out in Section A-I/12 of the STCW 
Code (incorporated by reference, see Sec.  10.103 of this part). 
However, a simulator installed or brought into use before February 1, 
2002, need not meet those standards if it fulfills the objectives of the 
assessment of competence or demonstration of proficiency.



Sec.  10.412  Distance and e-learning.

    The Coast Guard may allow the training of mariners by means of 
distance learning and e-learning in accordance with the standards of 
training and assessment set forth in section B-I/6 (Training and 
assessment) of the STCW Code (incorporated by reference, see Sec.  
10.103 of this part).

[[Page 154]]



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 General requirements for national and STCW officer endorsements.
11.203-11.210 [Reserved]
11.211 Creditable service and equivalents for national and STCW officer 
          endorsements.
11.212-11.216 [Reserved]
11.217 Examination procedures and denial of officer endorsements.
11.219-11.223 [Reserved]

                   Subpart C_STCW Officer Endorsements

11.301 Requirements for STCW officer endorsements.
11.302 Basic training.
11.303 Advanced firefighting.
11.304 STCW deck officer endorsements.
11.305 Requirements to qualify for an STCW endorsement as master of 
          vessels of 3,000 GT or more (management level).
11.307 Requirements to qualify for an STCW endorsement as chief mate of 
          vessels of 3,000 GT or more (management level).
11.309 Requirements to qualify for an STCW endorsement as officer in 
          charge of a Navigational Watch (OICNW) on vessels of 500 GT or 
          more (operational level).
11.311 Requirements to qualify for an STCW endorsement as master on 
          vessels of 500 GT or more and less than 3,000 GT (management 
          level).
11.313 Requirements to qualify for an STCW endorsement as chief mate on 
          vessels of 500 GT or more and less than 3,000 GT (management 
          level).
11.315 Requirements to qualify for an STCW endorsement as master on 
          vessels of less than 500 GT (management level).
11.317 Requirements to qualify for an STCW endorsement as master on 
          vessels of less than 500 GT limited to near-coastal waters 
          (management level).
11.319 Requirements to qualify for an STCW endorsement as Officer in 
          Charge of a Navigational Watch (OICNW) on vessels of less than 
          500 GT (operational level).
11.321 Requirements to qualify for an STCW endorsement as Officer in 
          Charge of a Navigational Watch (OICNW) on vessels of less than 
          500 GT limited to near-coastal waters (operational level).
11.323 STCW engineer officer endorsements.
11.325 Requirements to qualify for an STCW endorsement as chief engineer 
          officer on vessels powered by main propulsion machinery of 
          3,000 kW/4,000 HP propulsion power or more (management level).
11.327 Requirements to qualify for an STCW endorsement as second 
          engineer officer on vessels powered by main propulsion 
          machinery of 3,000 kW/4,000 HP propulsion power or more 
          (management level).
11.329 Requirements to qualify for an STCW endorsement as Officer in 
          Charge on an Engineering Watch (OICEW) in a manned engineroom, 
          or as a designated duty engineer in a periodically unmanned 
          engineroom, on vessels powered by main propulsion machinery of 
          750 kW/1,000 HP propulsion power or more (operational level).
11.331 Requirements to qualify for an STCW endorsement as chief engineer 
          officer on vessels powered by main propulsion machinery of 750 
          kW/1,000 HP or more and less than 3,000 kW/4,000 HP propulsion 
          power (management level).
11.333 Requirements to qualify for an STCW endorsement as second 
          engineer officer on vessels powered by main propulsion 
          machinery of 750 kW/1,000 HP or more and less than 3,000 kW/
          4,000 HP propulsion power (management level).
11.335 Requirements to qualify for an STCW endorsement as an electro-
          technical officer on vessels powered by main propulsion 
          machinery of 750 kW/1,000 HP or more (operational level).
11.337 Requirements to qualify for an STCW endorsement as vessel 
          security officer.

     Subpart D_Professional Requirements for National Deck Officer 
                              Endorsements

11.401 Ocean and near-coastal national officer endorsements.
11.402 Tonnage requirements for national ocean or near-coastal 
          endorsements for vessels of 1,600 GRT or more.
11.403 Structure of national deck officer endorsements.
11.404 Service requirements for master of ocean or near-coastal self-
          propelled vessels of unlimited tonnage.
11.405 Service requirements for chief mate of ocean or near-coastal 
          self-propelled vessels of unlimited tonnage.
11.406 Service requirements for second mate of ocean or near-coastal 
          self-propelled vessels of unlimited tonnage.
11.407 Service requirements for third mate of ocean or near-coastal 
          self-propelled vessels of unlimited tonnage.
11.410 Requirements for deck officer endorsements for vessels of less 
          than 1,600 GRT.
11.412 Service requirements for master on ocean or near-coastal self-
          propelled vessels of less than 1,600 GRT.

[[Page 155]]

11.414 Service requirements for mate on ocean self-propelled vessels of 
          less than 1,600 GRT.
11.416 Service requirements for mate on near-coastal self-propelled 
          vessels of less than 1,600 GRT.
11.418 Service requirements for master on ocean or near-coastal self-
          propelled vessels of less than 500 GRT.
11.420 Service requirements for mate on ocean self-propelled vessels of 
          less than 500 GRT.
11.421 Service requirements for mate on near-coastal self-propelled 
          vessels of less than 500 GRT.
11.422 Tonnage limitations and qualifying requirements for endorsements 
          as master or mate on vessels of less than 200 GRT.
11.424 Requirements for master on ocean self-propelled vessels of less 
          than 200 GRT.
11.425 Requirements for mate on ocean self-propelled vessels of less 
          than 200 GRT.
11.426 Requirements for master on near-coastal self-propelled vessels of 
          less than 200 GRT.
11.427 Requirements for mate on near-coastal self-propelled vessels of 
          less than 200 GRT.
11.428 Requirements for master on near-coastal self-propelled vessels of 
          less than 100 GRT.
11.429 Requirements for a limited master on near-coastal self-propelled 
          vessels of less than 100 GRT.
11.430 Endorsements for the Great Lakes and inland waters.
11.431 Tonnage requirements for Great Lakes and inland endorsements for 
          vessels of 1,600 GT or more.
11.433 Requirements for master of Great Lakes and inland self-propelled 
          vessels of unlimited tonnage.
11.435 Requirements for master of inland self-propelled vessels of 
          unlimited tonnage.
11.437 Requirements for mate of Great Lakes and inland self-propelled 
          vessels of unlimited tonnage.
11.442 Requirements for master of Great Lakes and inland self-propelled 
          vessels of less than 1,600 GRT.
11.444 Requirements for mate of Great lakes and inland self-propelled 
          vessels of less than 1,600 GRT.
11.446 Requirements for master of Great Lakes and inland self-propelled 
          vessels of less than 500 GRT.
11.448 Requirements for mate of Great Lakes and inland self-propelled 
          vessels of less than 500 GRT.
11.450 Tonnage limitations and qualifying requirements for endorsements 
          as master or mate of Great Lakes and inland vessels of less 
          than 200 GRT.
11.452 Requirements for master of Great Lakes and inland self-propelled 
          vessels of less than 200 GRT.
11.454 Requirements for mate of Great Lakes and inland self-propelled 
          vessels of less than 200 GRT.
11.455 Requirements for master of Great Lakes and inland self-propelled 
          vessels of less than 100 GRT.
11.456 Requirements for limited master of Great Lakes and inland self-
          propelled vessels of less than 100 GRT.
11.457 Requirements for master of inland self-propelled vessels of less 
          than 100 GRT.
11.459 Requirements for national endorsement as master or mate on 
          rivers.
11.462 Requirements for national endorsement as master or mate of 
          uninspected fishing industry vessels.
11.463 General requirements for national endorsements as master, mate 
          (pilot), and apprentice mate (steersman) of towing vessels.
11.464 Requirements for national endorsements as master of towing 
          vessels.
11.465 Requirements for national endorsements as mate (pilot) of towing 
          vessels.
11.466 Requirements for national endorsements as apprentice mate 
          (steersman) of towing vessels.
11.467 Requirements for a national endorsement as operator of 
          uninspected passenger vessels of less than 100 GRT.
11.468 National officer endorsements for mobile offshore drilling units 
          (MODUs).
11.470 National officer endorsements as offshore installation manager.
11.472 National officer endorsements as barge supervisor.
11.474 National officer endorsements as ballast control operator.
11.480 Radar observer.
11.482 Assistance towing.
11.491 National 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 National Engineer Officer 
                              Endorsements

11.501 Grades and types of national engineer endorsements issued.
11.502 General requirements for national engineer endorsements.
11.503 Propulsion power limitations for national endorsements.
11.504 Application of deck service for national limited engineer 
          endorsements.
11.505 National engineer officer endorsements.
11.510 Service requirements for national endorsement as chief engineer 
          on steam, motor, and/or gas turbine-propelled vessels.

[[Page 156]]

11.512 Service requirements for national endorsement as first assistant 
          engineer of steam, motor, and/or gas turbine-propelled 
          vessels.
11.514 Service requirements for national endorsement as second assistant 
          engineer of steam, motor, and/or gas turbine-propelled 
          vessels.
11.516 Service requirements for national endorsement as third assistant 
          engineer of steam, motor, and/or gas turbine-propelled 
          vessels.
11.518 Service requirements for national endorsement as chief engineer 
          (limited) of steam, motor, and/or gas turbine-propelled 
          vessels.
11.522 Service requirements for national endorsement as assistant 
          engineer (limited) of steam, motor, and/or gas turbine-
          propelled vessels.
11.524 Service requirements for national endorsement as designated duty 
          engineer (DDE) of steam, motor, and/or gas turbine-propelled 
          vessels.
11.530 Endorsements as engineers of uninspected fishing industry 
          vessels.
11.540 Endorsements as engineers of mobile offshore drilling units 
          (MODUs).
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 Assistant engineer (OSV).

                Subpart F_Credentialing of Radio Officers

11.601 Applicability.
11.603 Requirements for radio officers' endorsements.
11.604 Requirements for an STCW endorsement for Global Maritime Distress 
          and Safety System (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 and Miscellaneous Endorsements

11.801 Applicability.
11.803 Staff departments.
11.805 General requirements.
11.807 Experience requirements for registry.
11.821 High-speed craft-type rating.

                   Subpart I_Subjects of Examinations

11.901 General provisions.
11.903 Officer endorsements requiring examinations.
11.910 Subjects for deck officer endorsements.
11.920 Subjects for MODU endorsements.
11.950 Examination subjects for engineer officer endorsements.

        Subpart J_Recognition of Other Parties' STCW Certificates

11.1001 Purpose of rules.
11.1003 General requirements.
11.1005 Employer application requirements.
11.1007 Basis for denial.
11.1009 Restrictions.

 Subpart K_Officers on a Passenger Ship When on an International Voyage

11.1101 Purpose of rules.
11.1103 Definitions.
11.1105 General requirements for officer 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: USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, unless 
otherwise noted.



                            Subpart A_General



Sec.  11.101  Purpose of regulations.

    (a) The purpose of this part is to 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 officer, 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 Global Maritime Distress and Safety System (GMDSS) radio 
operator, in accordance with the provisions of the International 
Convention

[[Page 157]]

on Standards of Training, Certification and Watchkeeping for Seafarers, 
1978, as amended (the STCW Convention or 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 his or her duties as 
required in the provisions of Sec.  15.405 of this subchapter.
    (c) The regulations previously found in subpart C of this part that 
prescribe the requirements applicable to approved training courses, 
training for a particular officer endorsement, and training and 
assessment associated with meeting the standards of competence 
established by the STCW Convention have been moved to 46 CFR part 10, 
subpart C.



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. All approved material is available for 
inspection at the Coast Guard, Office of Merchant Mariner Credentialing 
(CG-MMC), U.S. Coast Guard, Stop 7509, 2703 Martin Luther King Jr. 
Avenue SE., Washington, DC 20593-7509, 202-372-1492, and is available 
from the sources listed below. It is also 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.
    (b) International Maritime Organization (IMO), 4 Albert Embankment, 
London SE1 7SR, England:
    (1) The International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended, 2011 
(the STCW Convention or the STCW), incorporation by reference approved 
for Sec. Sec.  11.201, 11.426, 11.427, 11.428, 11.429, 11.493, 11.495, 
11.497, 11.553, 11.555, 11.1001, 11.1003, 11.1009, and 11.1105.
    (2) The Seafarers' Training, Certification and Watchkeeping Code, as 
amended, 2011 (the STCW Code), incorporation by reference approved for 
Sec. Sec.  11.201, 11.301, 11.302, 11.303, 11.305, 11.307, 11.309, 
11.311, 11.313, 11.315, 11.317, 11.319, 11.321, 11.325, 11.327, 11.329, 
11.331, 11.333, 11.335, 11.604, 11.901, and 11.1105.
    (3) The International Convention for the Safety of Life at Sea, 1974 
(SOLAS), incorporation by reference approved for Sec.  11.601.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2016-
0315, 81 FR 43955, July 6, 2016]



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 (OMB) under the Paperwork 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 1625-0040-46 CFR 11.201, 11.202, 11.205, 11.470, 11.472, 
11.474, 11.542, and 11.544.
    (2) OMB 1625-028-46 CFR 11.480.



Sec. Sec.  11.109-11.113  [Reserved]



         Subpart B_General Requirements for Officer Endorsements



Sec.  11.201  General requirements for national and STCW officer endorsements.

    (a) General. In addition to the requirements of part 10 of this 
subchapter, 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, physical health, citizenship, approved training, professional 
competence, and a test for dangerous drugs) before the Coast Guard will 
issue to him or her a merchant mariner credential (MMC). An applicant 
for any

[[Page 158]]

STCW endorsement must hold the appropriate national endorsement unless 
otherwise specified.
    (b) English language requirements. Except as provided in Sec.  
11.467(i) 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) Experience and service. (1) Applicants for officer endorsements 
should refer to Sec.  10.232 of this subchapter for information 
regarding requirements for documentation and proof of sea service.
    (2) An applicant for a national officer endorsement must have at 
least 3 months of required service on vessels of appropriate tonnage or 
horsepower within the 3 years immediately preceding the date of 
application.
    (3) No original officer 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.
    (4) Experience and service acquired on foreign vessels is creditable 
for establishing eligibility for an officer endorsement, 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 qualifying 
experience on foreign vessels must submit satisfactory documentary 
evidence of such service (including any necessary translation into 
English) in accordance with Sec.  10.232 of this subchapter.
    (5) No applicant for an original officer 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.
    (6) Experience acquired while the applicant was less than 16 years 
of age is generally not creditable. Compelling circumstances and unique 
experiences acquired before the applicant reaches 16 years of age will 
be evaluated on a case-by-case basis.
    (d) Citizenship. 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) Age. 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.
    (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, or river vessels 
of 25-200 GRT;
    (ii) Third mate;
    (iii) Third assistant engineer;
    (iv) Mate of vessels of between 200 GRT and 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); or
    (xi) Designated duty engineer of vessels of less than 4,000 HP/3,000 
kW.
    (2) An endorsement may be granted to an applicant who has reached 
the age of 18 years as--
    (i) Limited master of near-coastal vessels of less than 100 GRT;
    (ii) Limited master of Great Lakes and inland vessels of less 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 less than 1,000 HP/750 
kW;
    (vii) Apprentice mate (steersman) of towing vessels;
    (viii) Officer in charge of a navigational watch (OICNW);
    (ix) Officer in charge of an engineering watch (OICEW); and
    (x) Electro-technical officer (ETO).

[[Page 159]]

    (f) Physical examination. (1) 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, are such 
as to qualify them for service in that profession. Any physical 
impairment or medical condition that would render an applicant 
incompetent to perform the ordinary duties required of an officer is 
cause for denial of an officer endorsement.
    (2) Applications for an original officer endorsement, raises of 
grade, and extensions of route, 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.
    (g) Character check. (1) An individual may apply for an original 
officer 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 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 of time when a suspension without probation or a 
revocation is effective against the applicant's currently held license, 
merchant mariner document (MMD), or MMC, or while an appeal from these 
actions is pending.
    (2) If information about the applicant's habits of life and 
character is brought to the attention of the Coast Guard after an 
original license, certificate of registry, or officer endorsement has 
been issued, and if such information reasonably supports the conclusion 
that the applicant cannot be entrusted with the duties and 
responsibilities of the license, certificate of registry, or officer 
endorsement issued, or indicates that the application for the license, 
certificate of registry, or officer endorsement was false or incomplete, 
the Coast Guard may notify the holder in writing that the license, 
certificate of registry, or officer endorsement is considered null and 
void, direct the holder to return the credential to the Coast Guard, and 
advise the holder that, upon return of the credential, the appeal 
procedures of Sec.  10.237 of this subchapter apply.
    (h) Firefighting certificate. (1) Applicants for an original officer 
endorsement in the following categories must present a certificate of 
completion from a firefighting course of instruction that has been 
approved by the Coast Guard. The firefighting course must have been 
completed within the past 5 years, or if it was completed more than 5 
years before the date of application, the applicant must provide 
evidence of maintaining the standard of competence in accordance with 
the firefighting requirements for the credential sought.
    (2) The following categories must meet the requirements for basic 
and advanced firefighting in Regulations VI/1 and VI/3 of the STCW 
Convention and Tables A-VI/1-2 and A-VI/3 of the STCW Code (both 
incorporated by reference, see Sec.  11.102 of this part):
    (i) National officer endorsements as master or mate on seagoing 
vessels of 200 GRT or more.
    (ii) All national officer endorsements for master or mate (pilot) of 
towing vessels, except apprentice mate (steersman) of the vessels, on 
oceans.
    (iii) All national officer endorsements for MODUs.
    (iv) All national officer endorsements for engineers.
    (v) All national officer endorsements for OSVs.
    (vi) All STCW officer endorsements except GMDSS radio operator.
    (3) The following categories must meet the requirements for basic 
firefighting in Regulation VI/1 of the STCW Convention and Table A-VI/1-
2 of the STCW Code:
    (i) Officer endorsement as master on vessels of less than 500 GT in 
ocean service.
    (ii) All officer endorsements for master or mate (pilot) of towing 
vessels, except apprentice mate (steersman) of

[[Page 160]]

towing vessels, in all services except oceans.
    (4) Applicants for a raise of grade of an officer endorsement who 
have not previously met the requirements of paragraph (h) of this 
section must do so.
    (i) 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 Coast Guard--
    (1) Evidence of continued competency in STCW basic training in 
accordance with Sec.  11.302 of this part or a certificate indicating 
completion not more than 1 year from the date of application of --
    (i) The American National Red Cross Standard First Aid course or 
American National Red Cross Community First Aid & Safety course; or
    (ii) A Coast Guard-approved first-aid course; 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; or
    (iii) A Coast Guard-approved CPR course.
    (j) Professional examination. (1) When the Coast Guard finds the 
applicant's experience and training to be satisfactory, and the 
applicant is eligible in all other respects, the Coast Guard will 
authorize examination in accordance with the following requirements:
    (i) Except for an endorsement required by the STCW Convention, any 
applicant for a deck or engineer officer endorsement limited to vessels 
less than 200 GRT, or an officer endorsement limited to uninspected 
fishing industry vessels, may request an orally assisted examination 
instead of any written or other textual examination. If there are 
textual questions that the applicant has difficulty reading and 
understanding, the Coast Guard will offer the orally assisted 
examination. Each officer endorsement based on an orally assisted 
examination is limited to the specific route and type of vessel upon 
which the applicant obtained the majority of service.
    (ii) The general instructions for administration of examinations and 
the lists of subjects for all officer endorsements appear in subpart I 
of this part. The Coast Guard will place in the applicant's file a 
record indicating the subjects covered.
    (iii) An applicant enrolled in an approved comprehensive program of 
training, service, and assessment will be authorized for an examination 
not more than 6 months prior to completion of the comprehensive program, 
provided all sea service and assessments of competency are completed 
prior to the examination.
    (iv) The examination, whether administered orally or by other means, 
must be conducted only in the English language.
    (2) When the application has been approved for examination, the 
approval is valid for 1 year.
    (3) An examination is not required for a staff officer or radio 
officer endorsement.
    (k) Radar observer. Applicants for an endorsement as radar observer 
must present a certificate of completion from a radar observer course as 
required by Sec.  11.480 of this part.
    (l) Restrictions. The Coast Guard may modify the service and 
examination requirements in this part to satisfy the unique 
qualification requirements of an applicant or distinct group of 
mariners. The Coast Guard 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.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58275, Sept. 29, 2014]



Sec. Sec.  11.202-11.210  [Reserved]



Sec.  11.211  Creditable service and equivalents for national and STCW
officer endorsements.

    (a) Applicants for officer endorsements should refer to Sec.  10.232 
of this subchapter for information regarding requirements for 
documentation and proof of sea service.
    (b) Service toward an oceans, near-coastal, or STCW endorsement will 
be credited as follows:
    (1) Service on the Great Lakes will be credited on a day-for-day 
basis up to

[[Page 161]]

100 percent of the total required service.
    (2) Service on inland waters, other than Great Lakes, that are 
navigable waters of the United States, will be credited on a day-for-day 
basis for up to 50 percent of the total required service.
    (c) Service on mobile offshore drilling units. (1) MODU service is 
creditable for raise of grade of an officer endorsement. Evidence of 1 
year of service on MODUs as mate or equivalent while holding an officer 
endorsement or 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, non-restricted officer licenses or 
endorsements must include a minimum of 6 months of service on 
conventional vessels.
    (2) Service on MODUs maintaining station by means of dynamic 
positioning, may be credited as service on conventional vessels for any 
raise in grade; however, time more than 8 hours each day will not be 
credited.
    (3) A day of creditable MODU service must be a minimum of 4 hours, 
and no additional credit will be granted for periods of more than 8 
hours.
    (4) Creditable MODU service excludes time spent ashore due to crew 
rotation.
    (d) Service on Articulated Tug Barges (ATBs) and Integrated Tug 
Barges (ITBs). Service on ATB or Dual Mode ITB units is creditable for 
an original deck officer endorsement or raise of grade of any deck 
officer endorsement. Service on an ATB or Dual Mode ITB with an 
aggregate tonnage of 1,600 GRT/3,000 GT or more is creditable on a two-
for-one basis (2 days experience equals 1 day of creditable service) for 
up to 50 percent of the total service on vessels of 1,600 GRT/3,000 GT 
or more required for an unlimited officer endorsement. The remaining 
required service on vessels of more than 1,600 GRT/3,000 GT must be 
obtained on conventional vessels or Push Mode ITBs.
    (e) Service on towing vessels. Service as master or mate (pilot) on 
towing vessels, when the aggregate tonnage of the tug and barges is 
1,600 GRT/3,000 GT or more, is creditable, using the aggregate tonnage, 
on a two-for-one basis (2 days experience equals 1 day of creditable 
service) for up to 50 percent of the total service on vessels of 1,600 
GRT/3,000 GT or more required for an unlimited officer endorsement. The 
remaining required service on vessels of more than 1,600 GRT/3,000 GT 
must be obtained on conventional vessels. This service must be 
documented as specified in Sec.  10.232(a) of this subchapter.
    (f) Individuals obtaining sea service as part of an approved 
training curriculum pursuant to either Sec.  11.407(a)(2) or Sec.  
11.516(a)(3) of this part must do so in the capacity of cadet (deck) or 
cadet (engine), as appropriate, notwithstanding any other rating 
endorsements the individual may hold or any other capacity in which the 
individual may have served.
    (g) Other experience. Other experience in a marine-related area, 
other than at sea, or sea service performed on unique vessels, will be 
evaluated by the Coast Guard for a determination of equivalence to 
traditional service.
    (h) Tonnage. When determining sea service credit for officer 
endorsement applicants under subpart D of this part, the tonnage of a 
vessel solely admeasured using the Convention measurement scheme under 
46 U.S.C. Chapter 143 will be credited as Gross Register Tonnage. This 
paragraph does not apply to those vessels measured under the optional 
regulatory measurement provisions of 46 U.S.C. 14305.



Sec. Sec.  11.212-11.216  [Reserved]



Sec.  11.217  Examination procedures and denial of officer endorsements.

    (a) The examination fee set out in Table 1 to Sec.  10.219(a) of 
this subchapter 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 re-examination must be taken. On the subsequent 
exam, if the applicant again fails three or more sections, at least 3 
months must elapse before another complete examination is attempted, and 
a new examination fee is required. If an applicant fails one or

[[Page 162]]

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, a 
complete re-examination must be taken 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 Coast Guard if the applicant 
presents evidence documenting sea time that 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. All examinations and 
retests must be completed within 1 year of approval for examination.
    (b) If the Coast Guard refuses to grant an applicant the endorsement 
applied for due to the applicant's failure to pass a required 
examination, the Coast Guard will provide the applicant with a written 
statement setting forth the portions of the examination that must be 
retaken and the date by which the examination must be completed.



Sec. Sec.  11.219-11.223  [Reserved]



                   Subpart C_STCW Officer Endorsements



Sec.  11.301  Requirements for STCW officer endorsements.

    (a) Standard of competence. (1) The Coast Guard will accept one or 
more methods listed in the STCW Code to demonstrate meeting the standard 
of competence in this subpart. See Column 3--Methods for demonstrating 
competence--of the Tables of Competence in the STCW Code (incorporated 
by reference, see Sec.  11.102 of this part). The Coast Guard will 
accept the following as evidence of meeting the standard of competence 
under each of these methods:
    (i) In-service experience: Documentation of successful completion of 
assessments, approved or accepted by the Coast Guard, and signed by a 
qualified assessor (QA)--deck or engineering--as appropriate.
    (ii) Training ship experience: Documentation of successful 
completion of an approved training program involving formal training and 
assessment onboard a training ship.
    (iii) Simulator training: Documentation of successful completion of 
training and assessment from a Coast Guard-approved course involving 
maritime simulation.
    (iv) Laboratory equipment training: Documentation of successful 
completion of training and assessments from an approved training course 
or facility.
    (v) Practical training or instruction:
    (A) Documentation of successful completion of assessment as part of 
a structured/formal training or instruction provided by an organization 
or company as part of an accepted safety or quality management system; 
or
    (B) Documentation of successful completion of an approved training 
course from a school or facility.
    (vi) Specialist training: Documentation of successful completion of 
assessment as part of a company training or specialized training 
provided by a maritime or equipment specialist.
    (vii) Workshop skills training: Documentation of successful 
completion of assessments or completion certificate from an approved 
training program, school or facility.
    (viii) Training program: Documentation of successful completion of 
an approved training program.
    (ix) Training on a manned scale ship model: Documentation of 
successful completion of assessment as part of a structured/formal 
training or instruction provided by an approved training school or 
facility.
    (x) Practical demonstration of competence: Documentation of 
successful completion of assessments approved or accepted by the Coast 
Guard.
    (xi) Practical test and practical experience: Documentation of 
successful completion of assessments approved or accepted by the Coast 
Guard.
    (xii) Examination: Successful completion of a Coast Guard 
examination.
    (xiii) Instruction or course: Documentation of successful completion 
of an approved or accepted course of instruction.
    (2) Knowledge components may be documented by--
    (i) Successful completion of the Coast Guard examination for the 
associated officer endorsement;

[[Page 163]]

    (ii) Successful completion of an approved course; or
    (iii) Successful completion of an approved program.
    (3) The Coast Guard will publish assessment guidelines that should 
be used to document assessments that demonstrate meeting the standard of 
competence, as required by paragraph (a)(1) of this section. 
Organizations may develop alternative assessment documentation for 
demonstrations of competence; however, such documentation must be 
approved by the Coast Guard prior to its use and submittal with an 
application.
    (b) Service. (1) Service as a rating will not be accepted to upgrade 
from the operational-level to management-level STCW endorsements.
    (2) Service on the Great Lakes will be credited on a day-for-day 
basis for up to 100 percent of the total required service.
    (3) Service on inland waters other than Great Lakes, which are 
navigable waters of the United States, will be credited on a day-for-day 
basis for up to 50 percent of the total required service.
    (4) Service accrued onboard vessels with dual tonnages (both 
domestic and international) will be credited using the international 
tonnage for the credential sought.
    (5) Applicants who cannot meet the requirement for 1 year of sea 
service within the last 5 years as described in Sec.  11.303(c) of this 
subpart, will be required to meet the requirements of Sec.  11.303(a) of 
this subpart.
    (c) Operational-level endorsement. Applicants holding national 
officer endorsements, who seek to add an STCW endorsement at the 
operational level, must provide evidence of meeting the STCW 
requirements found in this subpart, including--
    (1) Meeting the service requirements for the operational-level STCW 
endorsement;
    (2) Satisfactory completion of the STCW operational-level standards 
of competence; and
    (3) Satisfactory completion of the STCW operational-level training 
as required in this part.
    (d) Management-level endorsement. Applicants holding national 
officer endorsements as master, chief mate, chief engineer, or first 
assistant engineer, and who seek to add an STCW endorsement at the 
management level, must provide evidence of meeting the STCW requirements 
found in this subpart, including--
    (1) Meeting the service requirements for the management-level STCW 
endorsement;
    (2) Satisfactory completion of the STCW operational- and management-
level standards of competence; and
    (3) Satisfactory completion of the STCW operational- and management-
level training as required in this part.
    (e) Training and assessment for Automatic Radar Plotting Aids 
(ARPA), Electronic Chart Display and Information System (ECDIS), or 
Global Maritime Distress and Safety System (GMDSS). Training and 
assessment in the use of ARPA, ECDIS, or GMDSS is not required for those 
who serve exclusively on ships not fitted with ARPA, ECDIS, or GMDSS. 
For ARPA and ECDIS, this limitation must be reflected in the endorsement 
issued to the seafarer concerned. GMDSS is a separate endorsement that 
will only be added if the applicant qualifies for it.
    (f) Exemptions and Limitations. (1) The Coast Guard may exempt an 
applicant from meeting any individual knowledge, understanding, and 
proficiency required in the appropriate table of competence in the STCW 
Code. These exemptions must be approved by the Coast Guard based upon 
vessel type. Under these circumstances, the certificate may include a 
corresponding limitation. (2) A seafarer may have a limitation removed 
by providing the Coast Guard with evidence of having completed the 
individual knowledge, understanding, and proficiency required.
    (g) Grandfathering. (1) Except as noted otherwise, each candidate 
who applies for a credential based on approved or accepted training or 
approved seagoing service that was started on or after March 24, 2014, 
or who applies for the MMC endorsement on or after January 1, 2017, must 
meet the requirements of this part.
    (2) Except as noted by this subpart, seafarers holding an STCW 
endorsement prior to March 24, 2014, will not be required to complete 
any additional

[[Page 164]]

training required under this part to retain the STCW endorsements until 
January 1, 2017.
    (3) Except as noted otherwise, candidates who apply for a credential 
based on approved or accepted training or approved seagoing service that 
commenced before March 24, 2014, may qualify under the requirements of 
this part existing before that date. This includes the assessments 
published prior to March 24, 2014, as well as the additional 
requirements for the STCW endorsement section.
    (4) Persons who hold or have held an STCW operational-level 
endorsement issued prior to March 24, 2014 and are seeking to upgrade to 
an STCW management-level endorsement will not be required to complete 
the practical assessments for STCW operational-level endorsements as 
required in paragraph (d)(2) of this section.
    (5) Except as noted by this subpart, the Coast Guard will continue 
to issue STCW endorsements meeting the requirements of this part 
existing before March 24, 2014, for seafarers identified in paragraph 
(g)(3) of this section, until January 1, 2017.
    (h) Notwithstanding Sec.  11.901 of this part, each mariner found 
qualified to hold any of the following national officer endorsements 
will also be entitled to hold an STCW endorsement corresponding to the 
service or other limitations of the license or officer endorsements on 
the MMC. The vessels concerned are not subject to further obligation 
under STCW because of their special operating conditions as small 
vessels engaged in domestic, near-coastal 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 GRT, other than passenger vessels subject to 
subchapter H of this chapter.
    (i) Mariners serving on, and owners or operators of any of the 
following vessels, do not need to hold an STCW endorsement, because they 
are exempt from application of STCW:
    (1) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (2) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (3) Barges as defined in 46 U.S.C. 102, including non-self-propelled 
mobile offshore drilling units.
    (4) Vessels operating exclusively on the Great Lakes or on the 
inland waters of the United States in the Straits of Juan de Fuca or on 
the Inside Passage between Puget Sound and Cape Spencer.
    (j) Mariners serving on, and owners or operators of uninspected 
passenger vessels as defined in 46 U.S.C. 2101(42)(B), do not need to 
hold an STCW endorsement. The vessels concerned are not subject to 
further obligation under STCW because of their special operating 
conditions as small vessels engaged in domestic, near-coastal voyages.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.302  Basic training.

    (a) Applicants seeking an STCW officer endorsement must provide 
evidence of meeting the standard of competence for basic training (BT) 
as follows:
    (1) Personal survival techniques as set out in Table A-VI/1-1 of the 
STCW Code (incorporated by reference, see Sec.  11.102 of this part).
    (2) Fire prevention and firefighting 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.
    (b) Every 5 years seafarers qualified in accordance with Sec.  
11.301(c) and (d) of this subpart must provide evidence of maintaining 
the standard of competence for BT.
    (c) The Coast Guard will accept onboard training and experience, 
through evidence of 1 year of sea service within the last 5 years, for 
the following areas:
    (1) Personal survival techniques as set out in Table A-VI/1-1 of the 
STCW Code:
    (i) Donning a lifejacket.

[[Page 165]]

    (ii) Boarding a survival craft from the ship, while wearing a 
lifejacket.
    (iii) Taking initial actions on boarding a lifeboat to enhance 
chance of survival.
    (iv) Streaming a lifeboat drogue or sea-anchor.
    (v) Operating survival craft equipment.
    (vi) Operating location devices, including radio equipment.
    (2) Fire prevention and firefighting as set out in Table A-VI/1-2 of 
the STCW Code:
    (i) Using self-contained breathing apparatus.
    (ii) Performing a rescue in a smoke-filled space, using an approved 
smoke-generating device aboard, while wearing a breathing apparatus.
    (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.
    (d) The Coast Guard will only accept evidence of approved 
assessments conducted ashore for the following areas:
    (1) Personal survival techniques as set out in Table A-VI/1-1 of the 
STCW Code:
    (i) Donning and using an immersion suit.
    (ii) Safely jumping from a height into the water.
    (iii) Righting an inverted liferaft while wearing a lifejacket.
    (iv) Swimming while wearing a lifejacket.
    (v) Keeping afloat without a lifejacket.
    (2) Fire prevention and firefighting as set out in Table A-VI/1-2 of 
the STCW Code:
    (i) Using various types of portable fire extinguishers.
    (ii) Extinguishing smaller fires, e.g., electrical fires, oil fires, 
and propane fires.
    (iii) Extinguishing extensive fires with water, using jet and spray 
nozzles.
    (iv) Extinguishing fires with foam, powder, or any other suitable 
chemical agent.
    (v) Fighting fire in smoke-filled enclosed spaces wearing self-
contained breathing apparatus.
    (vi) Extinguishing fire with water fog or any other suitable 
firefighting agent in an accommodation room or simulated engineroom with 
fire and heavy smoke.
    (vii) Extinguishing oil fire with fog applicator and spray nozzles, 
dry chemical powder, or foam applicators.
    (e) Applicants who cannot meet the requirement for 1 year of sea 
service within the last 5 years, as described in paragraph (c) of this 
section, will be required to meet the requirements of paragraph (a) of 
this section or complete approved or accepted refresher training.



Sec.  11.303  Advanced firefighting.

    (a) Advanced firefighting. Applicants seeking an STCW officer 
endorsement must provide evidence of meeting the standard of competence 
as set out in Table A-VI/3 of the STCW Code (incorporated by reference, 
see Sec.  11.102 of this part). Applicants for an original STCW officer 
endorsement, who met the requirements of Sec.  11.201(h) of this part 
will be deemed to have met the requirement of this paragraph.
    (b) Every 5 years seafarers qualified in accordance with paragraph 
(a) of this section must provide evidence of maintaining the standard of 
competence as set out in Table A-VI/3 of the STCW Code.
    (c) The Coast Guard will accept onboard training and experience, 
through evidence of 1 year of sea service within the last 5 years, as 
meeting the requirements of paragraph (b) of this section for the 
following areas as set out in Table A-VI/3 of the STCW Code:
    (1) Control firefighting operations aboard ships with the following 
knowledge, understanding, and proficiencies:
    (i) Firefighting procedures at sea and in port, with particular 
emphasis on organization, tactics and command.
    (ii) Communication and coordination during firefighting operations.
    (iii) Ventilation control, including smoke extraction.
    (iv) Control of fuel and electrical systems.
    (v) Firefighting process hazards (dry distillation, chemical 
reactions, boiler uptake).
    (vi) Fire precautions and hazards associated with the storage and 
handling of materials.

[[Page 166]]

    (vii) Management and control of injured persons.
    (viii) Procedures for coordination with shore-based firefighters.
    (2) Inspect and service fire-detection and extinguishing systems and 
equipment.
    (i) Requirements for statutory and classification surveys.
    (ii) Reserved.
    (d) The Coast Guard will only accept evidence of assessments 
conducted ashore as meeting the requirements of paragraph (b) of this 
section for the following areas as set out in Table A-VI/3 of the STCW 
Code:
    (1) Control firefighting operations aboard ships with the following 
knowledge, understanding, and proficiencies:
    (i) Use of water for fire-extinguishing, the effect on ship 
stability, precautions and corrective procedures.
    (ii) Firefighting involving dangerous goods.
    (2) Organize and train fire parties.
    (3) Inspect and service fire-detection and extinguishing systems and 
equipment.
    (i) Fire detection. Fire-detection systems; fixed fire-extinguishing 
systems; portable and mobile fire-extinguishing equipment, including 
appliances, pumps and rescue, salvage; life-support; personal protective 
and communication equipment.
    (ii) Reserved.
    (4) Investigate and compile reports on incidents involving fire.
    (e) Applicants who cannot meet the requirement for 1 year of sea 
service within the last 5 years, as described in paragraph (c) of this 
section, will be required to meet the requirements of paragraph (a) of 
this section or complete approved or accepted refresher training.



Sec.  11.304  STCW deck officer endorsements.

    (a) Specific requirements for all STCW deck officer endorsements are 
detailed in the applicable sections in this part.
    (1) Master on vessels of 3,000 GT or more (management level).
    (2) Chief mate on vessels of 3,000 GT or more (management level).
    (3) Officer in charge of a navigational watch (OICNW) of vessels of 
500 GT or more (operational level).
    (4) Master of vessels of 500 GT or more and less than 3,000 GT 
(management level).
    (5) Chief mate of vessels of 500 GT or more and less than 3,000 GT 
(management level).
    (6) Master of vessels of less than 500 GT (management level).
    (7) Master of vessels of less than 500 GT limited to near-coastal 
waters (management level).
    (8) OICNW of vessels of less than 500 GT (operational level).
    (9) OICNW of vessels of less than 500 GT limited to near-coastal 
waters (operational level).
    (b) [Reserved]



Sec.  11.305  Requirements to qualify for an STCW endorsement as master
of vessels of 3,000 GT or more (management level).

    (a) To qualify for an STCW endorsement as master, an applicant 
must--
    (1) Provide evidence of 36 months of service as OICNW on vessels 
operating in oceans, near-coastal waters, and/or Great Lakes. This 
period may be reduced to not less than 24 months if the applicant served 
as chief mate for not less than 12 months. Service on inland waters that 
are navigable waters of the United States may be substituted for up to 
50 percent of the total required service. Experience gained in the 
engine department on vessels may be creditable for up to 3 months of the 
service requirements;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-II/2 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Advanced shiphandling.
    (ii) Advanced stability.
    (iii) Advanced meteorology.
    (iv) Leadership and managerial skills.
    (v) Search and rescue.
    (vi) ARPA, if serving on a vessel with this equipment.
    (vii) ECDIS, if serving on a vessel with this equipment.

[[Page 167]]

    (viii) GMDSS, if serving on a vessel with this equipment.
    (ix) Management of medical care.
    (b) For a renewal of an STCW endorsement as master of vessels of 
3,000 GT or more to be valid on or after January 1, 2017, each candidate 
must provide evidence of successful completion of approved training in 
the following:
    (1) Leadership and managerial skills.
    (2) ECDIS, if serving on a vessel with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/2 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers holding an STCW endorsement as masters of vessels of 
500 GT or more and less than 3,000 GT, in accordance with Sec.  11.311 
of this subpart, are eligible to apply for the endorsement as master on 
vessels of 3,000 GT or more upon completion of 6 months of sea service, 
under the authority of the endorsement, and must complete any items in 
paragraphs (a)(2) and (a)(3) of this section not previously satisfied.
    (e) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in table 1 to this paragraph:

             Table 1 to Sec.   11.305(e)--STCW Endorsement as Master of Vessels of 3,000 GT or More
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/2 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Master ocean or near-coastal,          None....................  Yes.....................  Yes.
 unlimited tonnage.
Master OSV...........................  None....................  Yes.....................  Yes.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.307  Requirements to qualify for an STCW endorsement as chief
mate of vessels of 3,000 GT or more (management level).

    (a) To qualify for an STCW endorsement as chief mate, an applicant 
must--
    (1) Provide evidence of 12 months of service as OICNW on vessels 
operating in oceans, near-coastal waters, and/or Great Lakes. Service on 
inland waters, bays, or sounds that are navigable waters of the United 
States may be substituted for up to 50 percent of the total required 
service. Experience gained in the engine department on vessels may be 
creditable for up to 1 month of the service requirements;
    (2) Meet the standard of competence specified in Section A-II/2 of 
the STCW Code (incorporated by reference, see Sec.  11.102 of this 
part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Advanced shiphandling.
    (ii) Advanced stability.
    (iii) Advanced meteorology.
    (iv) Leadership and managerial skills.
    (v) Search and rescue.
    (vi) ARPA, if serving on a vessel with this equipment.
    (vii) ECDIS, if serving on a vessel with this equipment.
    (viii) GMDSS, if serving on a vessel with this equipment.
    (ix) Management of medical care.
    (b) For a renewal of an STCW endorsement as chief mate of vessels of 
3,000 GT or more to be valid on or after January 1, 2017, each candidate 
must provide evidence of successful completion of approved training in 
the following:
    (1) Leadership and managerial skills.
    (2) ECDIS, if serving on a vessel with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual

[[Page 168]]

knowledge, understanding, and proficiency required in Section A-II/2 of 
the STCW Code. These exemptions must be approved by the Coast Guard 
based upon vessel type. Under these circumstances, the credential may 
include a corresponding limitation.
    (d) Seafarers holding an STCW endorsement as chief mate of vessels 
of 500 GT or more and less than 3,000 GT, in accordance with Sec.  
11.313 of this subpart, are eligible to apply for the endorsement as 
chief mate on vessels of 3,000 GT or more upon completion of 6 months of 
sea service, under the authority of the endorsement, and must complete 
any items in paragraphs (a)(2) and (a)(3) of this section not previously 
satisfied.
    (e) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

           Table 1 to Sec.   11.307(e)--STCW Endorsement as Chief Mate of Vessels of 3,000 GT or More
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/2 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Chief mate ocean or near-coastal,      None....................  Yes.....................  Yes.
 unlimited tonnage.
Master ocean or near-coastal, less     12 months...............  Yes.....................  Yes.
 than 500 GRT.
Chief mate OSV.......................  None....................  Yes.....................  Yes.
Master towing vessel ocean or near-    12 months...............  Yes.....................  Yes.
 coastal.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.309  Requirements to qualify for an STCW endorsement as Officer
in charge of a navigational watch (OICNW) of vessels of 500 GT or more 
(operational level).

    (a) To qualify for an STCW endorsement as OICNW, an applicant must--
    (1) Provide evidence of seagoing service as follows:
    (i) Thirty-six months of seagoing service in the deck department on 
vessels operating in oceans, near-coastal waters, and/or Great Lakes. 
Service on inland waters, bays, or sounds that are navigable waters of 
the United States may be substituted for up to 50 percent of the total 
required service; or
    (ii) Twelve months of seagoing service as part of an approved 
training program, which includes onboard training that meets the 
requirements of Section A-II/1 of the STCW Code (incorporated by 
reference, see Sec.  11.102 of this part);
    (2) Provide evidence of having performed, during the required 
seagoing service, bridge watchkeeping duties under the supervision of an 
officer holding the STCW endorsement as master, chief mate, second mate, 
or OICNW, for a period of not less than 6 months;
    (3) Provide evidence of meeting the standard of competence specified 
in Section A-II/1 of the STCW Code; and
    (4) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Medical first-aid provider.
    (ii) Radar observer.
    (iii) Search and rescue.
    (iv) Basic and advanced firefighting in accordance with Sec.  11.303 
of this subpart.
    (v) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC) or proficiency in survival craft and rescue boats 
other than lifeboats and fast rescue boats (PSC-limited).
    (vi) Visual signaling.
    (vii) Bridge resource management (BRM).
    (viii) Terrestrial and celestial navigation, and electronic 
navigation systems.
    (ix) Watchkeeping, including International Regulations for 
Preventing Collisions at Sea (COLREGS) and IMO

[[Page 169]]

standard marine communication phrases (SMCP).
    (x) Cargo handling and stowage.
    (xi) Ship handling.
    (xii) Stability and ship construction.
    (xiii) Meteorology.
    (xiv) ARPA, if serving on a vessel with this equipment.
    (xv) GMDSS, if serving on a vessel with this equipment.
    (xvi) ECDIS, if serving on a vessel with this equipment.
    (b) Experience gained in the engine department on vessels may be 
creditable for up to 3 months of the service requirements in paragraph 
(a)(1)(i) of this section.
    (c) For a renewal of an STCW endorsement as OICNW of vessels of 500 
GT or more to be valid on or after January 1, 2017, each candidate must 
provide the following:
    (1) Evidence of meeting the standard of competence in leadership and 
teamworking skills.
    (2) Completion of approved training in ECDIS, if serving on a vessel 
with this equipment.
    (d) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/1 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (e) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:


               Table 1 to Sec.   11.309(e)--STCW Endorsement as OICNW of Vessels of 500 GT or More
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/2 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Mate ocean or near-coastal, unlimited  None....................  Yes.....................  Yes.
 tonnage.
Master ocean or near-coastal, less     6 months................  Yes.....................  Yes.
 than 500 GRT.
Mate ocean or near-coastal, less than  None....................  Yes.....................  Yes.
 1,600 GRT.
Mate ocean or near-coastal, less than  12 months...............  Yes.....................  Yes.
 500 GRT.
Mate OSV.............................  12 months \1\...........  Yes.....................  Yes.
Mate towing vessel ocean or near-      6 months................  Yes.....................  Yes.
 coastal.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(3) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(4) of this section not previously satisfied.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.311  Requirements to qualify for an STCW endorsement as master
of vessels of 500 GT or more and less than 3,000 GT (management level).

    (a) To qualify for an STCW endorsement as master, an applicant 
must--
    (1) Provide evidence of 36 months of service as OICNW on vessels 
operating in oceans, near-coastal waters, and/or Great Lakes. However, 
this period may be reduced to not less than 24 months if the applicant 
served as chief mate for not less than 12 months. Service on inland 
waters, bays, or sounds that are navigable waters of the United States 
may be substituted for up to 50 percent of the total required service. 
Experience gained in the engine department on vessels may be creditable 
for up to 3 months of the service requirements;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-II/2 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Advanced shiphandling.
    (ii) Advanced stability.
    (iii) Advanced meteorology.
    (iv) Leadership and managerial skills.
    (v) Search and rescue.
    (vi) Management of medical care.
    (vii) ECDIS, if serving on a vessel with this equipment.

[[Page 170]]

    (viii) ARPA, if serving on a vessel with this equipment.
    (ix) GMDSS, if serving on a vessel with this equipment.
    (b) For a renewal of an STCW endorsement as master of vessels of 500 
GT or more and less than 3,000 GT to be valid on or after January 1, 
2017, each candidate must provide evidence of successful completion of 
approved training in the following:
    (1) Leadership and managerial skills.
    (2) ECDIS, if serving on a vessel with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/2 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

   Table 1 to Sec.   11.311(d)--STCW Endorsement as Master of Vessels of 500 GT or More and Less Than 3,000 GT
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/3 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Master oceans or near-coastal, less    None....................  Yes.....................  Yes.
 than 1,600 GRT.
Master OSV...........................  None....................  Yes.....................  Yes.
Master oceans or near-coastal, less    12 months...............  Yes.....................  Yes.
 than 500 GRT.
Master towing vessel oceans or near-   12 months...............  Yes.....................  Yes.
 coastal.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.313  Requirements to qualify for an STCW endorsement as chief
mate of vessels of 500 GT or more and less than 3,000 GT (management level).

    (a) To qualify for an STCW endorsement as chief mate, an applicant 
must--
    (1) Provide evidence of 12 months of service as OICNW on vessels 
operating in oceans, near-coastal waters, and/or Great Lakes. Service on 
inland waters, bays, or sounds that are navigable waters of the United 
States may be substituted for up to 50 percent of the total required 
service. Experience gained in the engine department on vessels may be 
creditable for up to 1 month of the service requirements;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-II/2 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Advanced shiphandling.
    (ii) Advanced stability.
    (iii) Advanced meteorology.
    (iv) Leadership and managerial skills.
    (v) Search and rescue.
    (vi) Management of medical care.
    (vii) ECDIS, if serving on a vessel with this equipment.
    (viii) ARPA, if serving on a vessel with this equipment.
    (ix) GMDSS, if serving on a vessel with this equipment.
    (b) For a renewal of an STCW endorsement as chief mate of vessels of 
500 GT or more and less than 3,000 GT to be valid on or after January 1, 
2017, each candidate must provide evidence of successful completion of 
approved training in the following:
    (1) Leadership and managerial skills.
    (2) ECDIS, if serving on a vessel with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/2 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these

[[Page 171]]

circumstances, the credential may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

 Table 1 to Sec.   11.313(d)--STCW Endorsement as Chief Mate of Vessels of 500 GT or More and Less Than 3,000 GT
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/2 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Chief mate OSV.......................  None....................  Yes.....................  Yes.
Master oceans or near-coastal, less    6 months................  Yes.....................  Yes.
 than 500 GRT.
Master towing vessel oceans or near-   6 months................  Yes.....................  Yes.
 coastal.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.315  Requirements to qualify for an STCW endorsement as master of
vessels of less than 500 GT (management level).

    (a) To qualify for an STCW endorsement as master, an applicant 
must--
    (1) Provide evidence of 36 months of seagoing service as OICNW on 
vessels operating in oceans, near-coastal waters, and/or Great Lakes; 
however, this period may be reduced to not less than 24 months if not 
less than 12 months of such seagoing service has been served as chief 
mate. Service on inland waters, bays, or sounds that are navigable 
waters of the United States may be substituted for up to 50 percent of 
the total required service. Experience gained in the engine department 
may be creditable for up to 3 months of the service requirements;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-II/2 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Search and rescue.
    (ii) Management of medical care.
    (iii) Leadership and managerial skills.
    (iv) ECDIS, if serving on a vessel with this equipment.
    (v) ARPA, if serving on a vessel with this equipment.
    (vi) GMDSS, if serving on a vessel with this equipment.
    (b) For a renewal of an STCW endorsement as master of vessels of 
less than 500 GT to be valid on or after January 1, 2017, each candidate 
must provide evidence of successful completion of approved training in 
the following:
    (1) Leadership and managerial skills.
    (2) ECDIS, if serving on a vessel with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/3 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

             Table 1 to Sec.   11.315(d)--STCW Endorsement as Master of Vessels of Less Than 500 GT
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/3 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Master oceans or near-coastal, less    None....................  Yes.....................  Yes.
 than 500 GRT.
Master towing vessel oceans or near-   None....................  Yes.....................  Yes.
 coastal.

[[Page 172]]

 
Master oceans or near-coastal, less    12 months...............  Yes.....................  Yes.
 than 200 GRT.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.



Sec.  11.317  Requirements to qualify for an STCW endorsement as master of
vessels of less than 500 GT limited to near-coastal waters (management level).

    (a) To qualify for an STCW endorsement as master, an applicant 
must--
    (1) Provide evidence of 12 months of service as OICNW, on vessels 
operating in oceans, near-coastal waters, and/or Great Lakes. Service on 
inland waters, bays, or sounds that are navigable waters of the United 
States may be substituted for up to 50 percent of the total required 
service. Experience gained in the engine department on vessels may be 
creditable for up to 1 month of the service requirements;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-II/3 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Medical first-aid provider.
    (ii) Basic and advanced firefighting in accordance with Sec.  11.303 
of this subpart.
    (iii) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC) or proficiency in survival craft and rescue boats 
other than lifeboats and fast rescue boats (PSC-limited).
    (iv) Leadership and managerial skills.
    (v) ECDIS, if serving on a vessel with this equipment.
    (vi) Radar observer, if serving on a vessel with this equipment.
    (vii) ARPA, if serving on a vessel with this equipment.
    (b) For a renewal of an STCW endorsement as master of vessels of 
less than 500 GT limited to near-coastal waters to be valid on or after 
January 1, 2017, each candidate must provide evidence of successful 
completion of approved training in the following:
    (1) Leadership and managerial skills.
    (2) ECDIS, if serving on a vessel with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/3 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:


 Table 1 to Sec.   11.317(d)--STCW Endorsement as Master of Vessels of Less Than 500 GT Limited to Near-Coastal
                                                     Waters
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/3 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Mate oceans or near-coastal, less      None....................  Yes.....................  Yes.
 than 500 GRT.
Mate towing vessel oceans or near-     None....................  Yes.....................  Yes.
 coastal.
Master oceans or near-coastal, less    6 months................  Yes.....................  Yes.
 than 200 GRT.
Mate oceans or near-coastal, less      12 months...............  Yes.....................  Yes.
 than 200 GRT.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.


[[Page 173]]


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.319  Requirements to qualify for an STCW endorsement as Officer
in Charge of a Navigational Watch (OICNW) of vessels of less than 500 GT 
(operational level).

    (a) To qualify for an STCW endorsement as OICNW, an applicant must--
    (1) Provide evidence of seagoing service as follows:
    (i) Provide evidence of 36 months of service in the deck department 
on vessels operating in oceans, near-coastal waters, and/or Great Lakes. 
Service on inland waters, bays, or sounds that are navigable waters of 
the United States may be substituted for up to 50 percent of the 
required service. Experience gained in the engine department may be 
creditable for up to 3 months of the service requirements; or
    (ii) Provide evidence of not less than 12 months of seagoing service 
as part of an approved training program that includes onboard training 
that meets the requirements of Section A-II/1 of the STCW Code 
(incorporated by reference, see Sec.  11.102 of this part).
    (2) Provide evidence of having performed during the required 
seagoing service, bridge watchkeeping duties, under the supervision of 
an officer holding the STCW endorsement as master, chief mate, or OICNW, 
for a period of not less than 6 months. The Coast Guard will accept 
service on vessels as boatswain, able seaman, or quartermaster while 
holding the appropriate deck watchkeeping rating endorsement, which may 
be accepted on a two-for-one basis to a maximum allowable substitution 
of 3 months (6 months of experience equals 3 months of creditable 
service);
    (3) Provide evidence of meeting the standard of competence specified 
in Section A-II/1 of the STCW Code; and
    (4) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Medical first-aid provider.
    (ii) Radar observer, if serving on a vessel with this equipment.
    (iii) Watchkeeping, including COLREGS and IMO standard marine 
communication phrases (SMCP).
    (iv) Basic and advanced firefighting in accordance with Sec.  11.303 
of this subpart.
    (v) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC) or proficiency in survival craft and rescue boats 
other than lifeboats and fast rescue boats (PSC-limited).
    (vi) Visual signaling.
    (vii) Bridge resource management;
    (viii) ARPA, if serving on a vessel with this equipment.
    (ix) GMDSS, if serving on a vessel with this equipment.
    (x) ECDIS, if serving on a vessel with this equipment.
    (b) For a renewal of an STCW endorsement as OICNW of vessels of less 
than 500 GT to be valid on or after January 1, 2017, each candidate must 
provide the following:
    (1) Evidence of meeting the standard of competence in leadership and 
teamworking skills.
    (2) Completion of approved training in ECDIS, if serving on a vessel 
with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/3 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

[[Page 174]]



Table 1 to Sec.   11.319(d)--STCW Endorsement as Officer in Charge of a Navigational Watch (OICNW) of Vessels of
                                                Less Than 500 GT.
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/3 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Mate oceans or near-coastal, less      None....................  Yes.....................  Yes.
 than 500 GRT.
Mate towing vessel oceans or near-     None....................  Yes.....................  Yes.
 coastal.
Master oceans or near-coastal, less    6 months................  Yes.....................  Yes.
 than 200 GRT.
Mate oceans or near-coastal, less      12 months...............  Yes.....................  Yes.
 than 200 GRT.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.321  Requirements to qualify for an STCW endorsement as officer 
in charge of a navigational watch (OICNW) of vessels of less than 500 GT
limited to near-coastal waters (operational level).

    (a) To qualify for an STCW endorsement as OICNW, an applicant must--
    (1) Provide evidence of seagoing service as follows:
    (i) Twenty-four months of seagoing service in the deck department on 
vessels operating in oceans, near-coastal waters, and/or Great Lakes. 
Service on inland waters, bays, or sounds that are navigable waters of 
the United States may be substituted for up to 50 percent of the total 
required service. Experience gained in the engine department may be 
creditable for up to 3 months of the service requirements; or
    (ii) Successful completion of an approved training program that 
includes seagoing service as required by the Coast Guard; or
    (iii) Successful completion of approved training for this section 
and obtain 12 months of seagoing service;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-II/3 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Medical first-aid provider.
    (ii) Basic and advanced firefighting in accordance with Sec.  11.303 
of this subpart.
    (iii) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC) or proficiency in survival craft and rescue boats 
other than lifeboats and fast rescue boats (PSC-limited).
    (iv) Bridge resource management;
    (v) ECDIS, if serving on a vessel with this equipment.
    (vi) Radar observer, if serving on a vessel with this equipment.
    (vii) ARPA, if serving on a vessel with this equipment.
    (b) For a renewal of an STCW endorsement as OICNW of vessels of less 
than 500 GT limited to near-coastal waters to be valid on or after 
January 1, 2017, each candidate must provide the following:
    (1) Evidence of meeting the standard of competence in leadership and 
teamworking skills.
    (2) Completion of approved training in ECDIS, if serving on a vessel 
with this equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/3 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

[[Page 175]]



  Table 1 to Sec.   11.321(d)--STCW Endorsement as OICNW of Vessels of Less Than 500 GT Limited to Near-Coastal
                                                     Waters
----------------------------------------------------------------------------------------------------------------
                                           Sea service under
Entry path from national endorsements      authority of the      Competence--STCW Table A-  Training required by
                                            endorsement \1\              II/3 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Mate oceans or near-coastal less than  None....................  Yes.....................  Yes.
 500 GRT.
Mate towing vessel oceans or near-     None....................  Yes.....................  Yes.
 coastal.
Master oceans or near-coastal, less    None....................  Yes.....................  Yes.
 than 200 GRT.
Mate oceans or near-coastal, less      6 months................  Yes.....................  Yes.
 than 200 GRT.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014]



Sec.  11.323  STCW engineer officer endorsements.

    (a) Specific requirements for all STCW engineer officer endorsements 
are detailed in the applicable sections in this part.
    (1) Chief engineer officer on vessels powered by main propulsion 
machinery of 3,000 kW/4,000 HP propulsion power or more (management 
level).
    (2) Second engineer officer on vessels powered by main propulsion 
machinery of 3,000 kW/4,000 HP propulsion power or more (management 
level).
    (3) Officer in charge of an engineering watch (OICEW) in a manned 
engineroom, or as a designated duty engineer in a periodically unmanned 
engineroom, on vessels powered by main propulsion machinery of 750 kW/
1,000 HP propulsion power or more (operational level).
    (4) Chief engineer officer on vessels powered by main propulsion 
machinery of between 750 kW/1,000 HP and 3,000 kW/4,000 HP propulsion 
power (management level).
    (5) Second engineer officer on vessels powered by main propulsion 
machinery of 750 kW/1,000 HP to 3,000 kW/4,000 HP propulsion power 
(management level).
    (6) Electro-technical officer on vessels powered by main propulsion 
machinery of 750 kW/1,000 HP or more (operational level).
    (b) Limitations. (1) STCW engineer officer endorsements issued in 
accordance with Sec. Sec.  11.325, 11.327, 11.329, 11.331, 11.333, and 
11.335 of this subpart will be restricted to specific propulsion modes 
for steam, motor, or gas turbine-propelled vessels as appropriate.
    (2) STCW engineer officer endorsements issued in accordance with 
Sec. Sec.  11.325, 11.327, 11.329, 11.331, 11.333, and 11.335 of this 
subpart for motor or gas turbine-propelled vessels may be endorsed as 
limited to serve on vessels without auxiliary boilers, waste-heat 
boilers, distilling plants, oily water separators, or sewage treatment 
plants. An applicant may qualify for removal of any of these limitations 
by demonstrating the appropriate competencies.
    (c) An engineer officer who does not hold an STCW endorsement may 
serve on seagoing vessels propelled by machinery of less than 750 kW/
1,000 HP, the vessels specified in Sec.  15.105(f) and (g) of this 
subchapter, and vessels operating on the Great Lakes or inland waters of 
the United States.
    (d) An officer endorsement issued in the grade of chief engineer 
(limited) or assistant engineer (limited) allows the holder to serve 
within any propulsion power limitations on vessels of unlimited tonnage 
on inland waters, on vessels of less than 3,000 GT in Great Lakes 
service, and on the vessels specified in Sec.  15.105(f) and (g) of this 
subchapter.



Sec.  11.325  Requirements to qualify for an STCW endorsement as chief
engineer officer on vessels powered by main propulsion machinery of
3,000 kW/4,000 HP propulsion power or more (management level).

    (a) To qualify for an STCW endorsement as chief engineer officer, an 
applicant must--
    (1) Provide evidence of not less than 36 months of service as OICEW 
on ships

[[Page 176]]

powered by main propulsion machinery of 750 kW/1,000 HP propulsion power 
or more. This period may be reduced to not less than 24 months if the 
applicant has served for not less than 12 months as second engineer 
officer on ships powered by propulsion machinery of 3,000 kW/4,000 HP or 
more;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-III/2 of the STCW Code (incorporated by reference, see 
Sec.  11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following areas:
    (i) Engineroom resource management (ERM) if not completed at the 
operational level.
    (ii) Leadership and managerial skills.
    (iii) Management of electrical and electronic control equipment.
    (b) For a renewal of an STCW endorsement as chief engineer officer 
on vessels powered by main propulsion machinery of 3,000 kW/4,000 HP 
propulsion power or more to be valid on or after January 1, 2017, each 
candidate must provide evidence of successful completion of approved 
training in the following:
    (1) ERM if not completed at the operational level.
    (2) Leadership and managerial skills.
    (3) Management of electrical and electronic control equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-III/2 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

  Table 1 to Sec.   11.325(d)--STCW Endorsement as Chief Engineer Officer on Vessels Powered by Main Propulsion
                              Machinery of 3,000kW/4,000HP Propulsion Power or More
----------------------------------------------------------------------------------------------------------------
      Entry path from national                                 Competence--STCW Table A-   Training required by
            endorsements                  Sea service \1\              III/2 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
Chief engineer......................  None...................  Yes.....................  Yes.
Chief engineer (limited)............  12 months..............  Yes.....................  Yes.
Chief engineer (MODU)...............  12 months/24 months \4\  Yes.....................  Yes.
Chief engineer (OSV)................  None...................  Yes.....................  Yes.
Designated duty engineer, any         24 months as DDE.......  Yes.....................  Yes.
 horsepower \5\.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.
\4\ Depending on the type of sea service used to obtain chief engineer (MODU) (refer to Sec.   11.542 of this
  part)
\5\ STCW certificate should be limited to vessels less than 500 GRT.



Sec.  11.327  Requirements to qualify for an STCW endorsement as second engineer officer
on vessels powered by main propulsion machinery of 3,000kW/4,000 HP propulsion power or
more (management level).

    (a) To qualify for an STCW endorsement as second engineer officer, 
an applicant must--
    (1) Provide evidence of not less than 12 months of service as OICEW 
on vessels powered by main propulsion machinery of 750kW/1,000 HP or 
more; or 12 months of sea service as a chief engineer on vessels powered 
by propulsion machinery of vessels between 750kW/1,000 HP and 3,000 kW/
4,000 HP;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-III/2 of the STCW Code (incorporated by reference, see 
Sec.  11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following areas:
    (i) Engineroom resource management (ERM) if not completed at the 
operational level.
    (ii) Leadership and managerial skills.
    (iii) Management of electrical and electronic control equipment.
    (b) For a renewal of an STCW endorsement as second engineer officer 
on vessels powered by main propulsion

[[Page 177]]

machinery of 3,000 kW/4,000 HP propulsion power or more to be valid on 
or after January 1, 2017, each candidate must provide evidence of 
successful completion of approved training in the following:
    (1) ERM if not completed at the operational level.
    (2) Leadership and managerial skills.
    (3) Management of electrical and electronic control equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-III/2 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

 Table 1 to Sec.   11.327(d)--STCW Endorsement as Second Engineer Officer on Vessels Powered by Main Propulsion
                             Machinery of 3,000 kW/4,000 HP Propulsion Power or More
----------------------------------------------------------------------------------------------------------------
     Entry path from national                              Competence--STCW Table    Training required by this
           endorsements                Sea service \1\           A-III/2 \2\                section \3\
----------------------------------------------------------------------------------------------------------------
First assistant engineer..........  None.................  Yes...................  Yes.
Second assistant engineer.........  None.................  Yes...................  Yes.
Third assistant engineer..........  12 months............  Yes...................  Yes.
Assistant engineer (limited)......  12 months............  Yes...................  Yes.
Chief engineer MODU...............  12 months............  Yes...................  Yes.
Chief engineer OSV................  None.................  Yes...................  Yes.
Designated duty engineer,           12 months as DDE.....  Yes...................  Yes.
 unlimited \4\.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.
\4\ STCW certificate should be limited to vessels less than 500 GRT.



Sec.  11.329  Requirements to qualify for an STCW endorsement as Officer in Charge of
an Engineering Watch (OICEW) in a manned engineroom or designated duty engineer in a
periodically unmanned engineroom on vessels powered by main propulsion machinery of
750 kW/1,000 HP propulsion power or more (operational level).

    (a) To qualify for an STCW endorsement as OICEW, an applicant must--
    (1) Provide evidence of seagoing service as follows:
    (i) Thirty-six months of seagoing service in the engine department; 
or
    (ii) Successful completion of an approved training program, which 
includes a combination of workshop skill training and seagoing service 
of not less than 12 months, and that meets the requirements of Section 
A-III/1 of the STCW Code (incorporated by reference, see Sec.  11.102 of 
this part);
    (2) Provide evidence of having performed during the required 
seagoing service, engine room watchkeeping duties, under the supervision 
of an officer holding the STCW endorsement as chief engineer officer or 
as a qualified engineer officer, for a period of not less than 6 months;
    (3) Provide evidence of meeting the standard of competence specified 
in Section A-III/1 of the STCW Code; and
    (4) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Medical first-aid provider.
    (ii) Basic and advanced firefighting in accordance with Sec.  11.303 
of this subpart.
    (iii) Proficiency in survival craft and rescue boats other than fast 
rescue boats.
    (iv) Engineroom resource management (ERM).
    (v) Engineering terminology and shipboard operations.
    (vi) Auxiliary machinery.
    (vii) Gas turbine plants, as applicable.
    (viii) Steam plants, as applicable.
    (ix) Motor plants, as applicable.
    (x) Electrical machinery and basic electronics.
    (xi) Control systems.

[[Page 178]]

    (b) Experience gained in the deck department may be creditable for 
up to 3 months of the service requirements in paragraph (a)(1)(i) of 
this section.
    (c) For a renewal of an STCW endorsement as OICEW to be valid on or 
after January 1, 2017, each candidate must provide evidence of having 
satisfactorily completed ERM training and meeting the standard 
competence in leadership and teamworking skills if not previously 
completed.
    (d) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-III/1 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (e) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

 Table 1 to Sec.   11.329(e)--STCW Endorsement as OICEW in a Manned Engine Room or Designated Duty Engineer in a
 Periodically Unmanned Engine Room on Vessels Powered by Main Propulsion Machinery of 750 kW/1,000 HP Propulsion
                                                  Power or More
                                               [Operational level]
----------------------------------------------------------------------------------------------------------------
                                                                                               Training required
   Entry path from national endorsements             Sea service *          Competence-- STCW   by this section
                                                                            Table A- III/1 **         ***
----------------------------------------------------------------------------------------------------------------
Second assistant engineer any horsepower...  None.........................               Yes                Yes
Third assistant engineer any horsepower....  None.........................               Yes                Yes
Assistant engineer (limited)...............  None.........................               Yes                Yes
Designated duty engineer, (unlimited) (less  None.........................               Yes                Yes
 than 500 GRT).
Assistant engineer (MODU)..................  None.........................               Yes                Yes
Assistant engineer (OSV)...................  None.........................               Yes                Yes
Designated duty engineer, 3,000 kW/4,000 HP  12 months....................               Yes                Yes
 \1\.
Designated duty engineer, 750 kW/1,000 HP    24 months....................               Yes                Yes
 \1\.
----------------------------------------------------------------------------------------------------------------
* This column provides the minimum additional service required of the seafarer in order to meet the requirements
  of this section.
** Complete any items in paragraph (a)(3) of this section not previously satisfied.
*** Complete any items in paragraph (a)(4) of this section not previously satisfied.
\1\ STCW certificate should be limited to vessels less than 500 GRT.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58276, Sept. 29, 2014; USCG-2015-0867, 80 FR 62469, Oct. 16, 
2015]

    Editorial Note: At 79 FR 58276, Sept. 29, 2014, Sec.  11.329 was 
amended; however, a portion of the amendment could not be incorporated 
due to inaccurate amendatory instruction.



Sec.  11.331  Requirements to qualify for an STCW endorsement as chief
engineer officer on vessels powered by main propulsion machinery of
750 kW/1,000 HP or more and less than 3,000 kW/4,000 HP propulsion power 
(management level).

    (a) To qualify for an STCW endorsement as chief engineer officer, an 
applicant must--
    (1) Provide evidence of meeting the requirements for certification 
as OICEW, and have not less than 24 months of service on seagoing 
vessels powered by main propulsion machinery of not less than 750 kW/
1,000 HP, of which not less than 12 months must be served while 
qualified to serve as second engineer officer. Experience gained in the 
deck department may be creditable for up to 2 months of the total 
service requirements;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-III/3 of the STCW Code (incorporated by reference, see 
Sec.  11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following areas:
    (i) Engineroom resource management (ERM) if not completed at the 
operational level.
    (ii) Leadership and managerial skills.
    (iii) Management of electrical and electronic control equipment.
    (b) For a renewal of an STCW endorsement as chief engineer officer 
on

[[Page 179]]

vessels powered by main propulsion machinery of 750 kW/1,000 HP or more 
and less than 3,000 kW/4,000 HP propulsion power to be valid on or after 
January 1, 2017, each candidate must provide evidence of successful 
completion of approved training in the following:
    (1) ERM if not completed at the operational level.
    (2) Leadership and managerial skills.
    (3) Management of electrical and electronic control equipment.
    (c) An engineer officer qualified to serve as second engineer 
officer on vessels powered by main propulsion machinery of 3,000 kW/
4,000 HP or more, may serve as chief engineer officer on vessels powered 
by main propulsion machinery of 750 kW/1,000 HP or more and less than 
3,000 kW/4,000 HP provided the certificate is so endorsed.
    (d) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-III/3 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (e) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

  Table 1 to Sec.   11.331(e)--STCW Endorsement as Chief Engineer Officer on Vessels Powered by Main Propulsion
              Machinery of 750 kW/1,000 HP or More and Less Than 3,000 kW/4,000 HP Propulsion Power
----------------------------------------------------------------------------------------------------------------
     Entry path from national                              Competence--STCW Table    Training required by this
           endorsements                Sea service \1\           A-III/2 \2\                section \3\
----------------------------------------------------------------------------------------------------------------
Chief engineer....................  None.................  Yes...................  Yes.
First assistant engineer..........  None.................  Yes...................  Yes.
Chief engineer (limited)..........  None.................  Yes...................  Yes.
Chief engineer OSV................  None.................  Yes...................  Yes.
Chief engineer MODU...............  12 months............  Yes...................  Yes.
Designated duty engineer, 3,000 kW/ 12 months............  Yes...................  Yes.
 4,000 HP \4\.
Designated duty engineer, 750 kW/   24 months............  Yes...................  Yes.
 1,000 HP \4\.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.
\4\ STCW certificate should be limited to vessels less than 500 GRT.


[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



Sec.  11.333  Requirements to qualify for an STCW endorsement as second
engineer officer on vessels powered by main propulsion machinery of
750kW/1,000 HP or more and less than 3,000 kW/4,000 HP propulsion power 
(management level).

    (a) To qualify for an STCW endorsement as second engineer officer, 
an applicant must--
    (1) Provide evidence of meeting the requirements for certification 
as OICEW, as well as serving for not less than 12 months as assistant 
engineer officer or engineer officer on vessels powered by main 
propulsion machinery of not less than 750 kW/1,000 HP. Experience gained 
in the deck department may be creditable for up to 1 month of the total 
service requirements;
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-III/3 of the STCW Code (incorporated by reference, see 
Sec.  11.102 of this part); and
    (3) Provide evidence of having satisfactorily completed approved 
training in the following areas:
    (i) Engineroom resource management (ERM) if not completed at the 
operational level.
    (ii) Leadership and managerial skills.
    (iii) Management of electrical and electronic control equipment.
    (b) For a renewal of an STCW endorsement as second engineer officer 
on vessels powered by main propulsion machinery of 750 kW/1,000 HP or 
more

[[Page 180]]

and less than 3,000 kW/4,000 HP propulsion power to be valid on or after 
January 1, 2017, each candidate must provide evidence of successful 
completion of approved training in the following:
    (1) ERM if not completed at the operational level.
    (2) Leadership and managerial skills.
    (3) Management of electrical and electronic control equipment.
    (c) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-III/3 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the credential 
may include a corresponding limitation.
    (d) Seafarers with one of the following national officer 
endorsements are eligible to apply for this endorsement upon completion 
of the requirements in the following table:

 Table 1 to Sec.   11.333(d)--STCW Endorsement as Second Engineer Officer on Vessels Powered by Main Propulsion
              Machinery of 750 kW/1,000 HP or More and Less Than 3,000 kW/4,000 HP Propulsion Power
----------------------------------------------------------------------------------------------------------------
      Entry path from national                                 Competence--STCW Table A-   Training required by
            endorsements                  Sea service \1\              III/2 \2\             this section \3\
----------------------------------------------------------------------------------------------------------------
First assistant engineer............  None...................  Yes.....................  Yes.
Second assistant engineer...........  None...................  Yes.....................  Yes.
Third assistant engineer............  12 months..............  Yes.....................  Yes.
Assistant engineer (limited)........  None...................  Yes.....................  Yes.
Assistant engineer OSV..............  None...................  Yes.....................  Yes.
Assistant engineer MODU.............  12 months..............  Yes.....................  Yes.
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer in order to meet the
  requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(3) of this section not previously satisfied.



Sec.  11.335  Requirements to qualify for an STCW endorsement as an
electro-technical officer on vessels powered by main propulsion machinery of
750 kW/1,000 HP or more (operational level).

    (a) To qualify for an STCW endorsement as an electro-technical 
officer (ETO), an applicant must--
    (1) Provide evidence of 36 months combined workshop skills training 
and approved seagoing service of which not less than 30 months must be 
seagoing service in the engine department of vessels. Experience gained 
in the deck department may be creditable for up to 3 months of the 
service requirements; or completion of an approved training program, 
that includes a combination of workshop skill training and seagoing 
service of not less than 12 months, and which meets the requirements of 
Section A-III/6 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part);
    (2) Provide evidence of meeting the standard of competence specified 
in Section A-III/6 of the STCW Code;
    (3) Provide evidence of having satisfactorily completed approved 
training in the following subject areas:
    (i) Medical first-aid provider.
    (ii) Basic and advanced firefighting in accordance with Sec.  11.303 
of this subpart.
    (iii) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC) or proficiency in survival craft and rescue boats 
other than lifeboats and fast rescue boats (PSC-limited); and
    (4) Provide evidence of having satisfactorily completed approved 
professional training in the following subject areas:
    (i) Onboard computer networking and security.
    (ii) Radio electronics.
    (iii) Integrated navigation equipment.
    (iv) Ship propulsion and auxiliary machinery.
    (v) Instrumentation and control systems.
    (vi) High-voltage power systems.
    (b) Any applicant who has served in a relevant capacity onboard a 
vessel for a period of not less than 12 months within the last 60 months 
must provide evidence of--
    (1) Seagoing service; and

[[Page 181]]

    (2) Having achieved the standards of competence specified in Section 
A-III/6 of the STCW Code.
    (c) An applicant who holds an STCW endorsement as OICEW, second 
engineer officer, or chief engineer officer will be allowed to receive 
the ETO endorsement upon completion of the requirements in Section A-
III/6 of the STCW Code.
    (d) An applicant who does not hold any other national or STCW 
endorsement will be issued, upon completion of the requirements in this 
section, the ETO endorsement without any corresponding national 
endorsement.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



Sec.  11.337  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 46 CFR part 10, subpart C.
    (c) All applicants for this endorsement must meet the safety and 
suitability requirements and the National Driver Registry review 
requirements in Sec.  10.209(e) of this subchapter, unless they have met 
these requirements within the previous 5 years in connection with 
another endorsement.



     Subpart D_Professional Requirements for National Deck Officer 
                              Endorsements



Sec.  11.401  Ocean and near-coastal national officer endorsements.

    (a) Subject to the provisions of Sec. Sec.  11.464(e) and 11.465(b) 
of this subpart, 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, except towing vessels upon western rivers subject to the 
limitations of the endorsement.
    (b) Subject to the provisions of Sec. Sec.  11.464(e) and 11.465(b) 
of this subpart, any 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 Great Lakes and inland waters, except towing vessels 
upon western rivers subject to the limitations of the endorsement.
    (c) Near-coastal endorsements for unlimited tonnage 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 scope of the required training, examination, and assessment.
    (d) A master or mate on vessels of 200 GRT or more, and a master or 
mate on vessels under 200 GRT, may be endorsed for sail or auxiliary 
sail as appropriate. The applicant must present the equivalent total 
service required for conventional officer endorsements, including at 
least 1 year of deck experience on that specific type of vessel. For 
example, for an officer endorsement as master of vessels of less than 
1,600 GRT 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 1 year of deck service, on appropriately sized auxiliary sail 
vessels. For an endorsement to serve on vessels of less than 200 GRT, 
see the individual endorsement requirements.
    (e) Service toward an oceans, near-coastal or STCW endorsement will 
be credited as follows:
    (1) Service on the Great Lakes will be credited on a day-for-day 
basis.
    (2) Service on inland waters, other than Great Lakes, that are 
navigable waters of the United States, may be substituted for up to 50 
percent of the total required service.
    (3) Service on vessels to which STCW applies, whether inland or 
coastwise, will be credited on a day-for-day basis.



Sec.  11.402  Tonnage requirements for national ocean or near-coastal
endorsements for vessels of 1,600 GRT or more.

    (a) To qualify for a national ocean or near-coastal endorsement for 
service on vessels of unlimited tonnage--

[[Page 182]]

    (1) All the required experience must be obtained on vessels of 100 
GRT or more; and
    (2) At least one-half of the required experience must be obtained on 
vessels of 1,600 GRT or more.
    (b) If an applicant for a national endorsement as master or mate of 
unlimited tonnage does not have the service on vessels of 1,600 GRT or 
more as required by paragraph (a)(2) of this section, a tonnage 
limitation will be placed on the MMC based on the applicant's qualifying 
experience. The endorsement will be 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. However, the minimum tonnage 
limitation calculated according to this paragraph will be 2,000 GRT. 
Limitations are in multiples of 1,000 GRT using the next higher figure 
when an intermediate tonnage is calculated. When the calculated 
limitation equals or exceeds 10,000 GRT, the applicant is issued an 
unlimited tonnage endorsement.
    (c) Tonnage limitations imposed under paragraph (b) of this section 
may be raised or removed in one of the following manners:
    (1) When the applicant provides evidence of 6 months of service on 
vessels of 1,600 GRT or more in the highest grade endorsed, all tonnage 
limitations will be removed.
    (2) When the applicant provides evidence of 6 months of service on 
vessels of 1,600 GRT or more in any capacity as an officer other than 
the highest grade for which he or she is endorsed, all tonnage 
limitations for the grade in which the service is performed will be 
removed and the next higher grade endorsement will be 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 officer endorsement may be considered in removing 
all tonnage limitations.
    (3) When the applicant has 12 months of service as able seaman on 
vessels of 1,600 GRT or more while holding a license or endorsement as 
third mate, all tonnage limitations on the third mate's license or MMC 
officer endorsement will be removed.
    (d) No applicant holding any national endorsement as master or mate 
of vessels of less than 1,600 GRT, less than 500 GRT, or less than 25-
200 GRT may use the provisions of paragraph (c) of this section to 
increase the tonnages of his or her license or endorsement.



Sec.  11.403  Structure of national deck officer endorsements.

    Figure 11.403 illustrates the national deck officer endorsement 
structure, including crossover points. The section numbers on the 
diagram refer to the specific requirements applicable.

[[Page 183]]

[GRAPHIC] [TIFF OMITTED] TR24DE13.001



Sec.  11.404  Service requirements for master of ocean or near-coastal
self-propelled vessels of unlimited tonnage.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of ocean or near-coastal self-propelled vessels of 
unlimited tonnage is--
    (1) One year of service as chief mate on ocean self-propelled 
vessels; or
    (2) While holding a license or MMC endorsement as chief mate of 
ocean self-propelled vessels of unlimited tonnage, 12 months of service 
on deck as follows:
    (i) A minimum of 6 months of service as chief mate.
    (ii) Service as second mate, third mate, or officer in charge of a 
navigational watch accepted on a two-for-one basis (12 months as officer 
in charge of a navigational watch equals 6 months of creditable 
service).
    (b) An individual holding an endorsement or license as master of 
Great Lakes and inland, self-propelled vessels of unlimited tonnage, or 
master of inland, self-propelled vessels of unlimited tonnage, may 
obtain an endorsement as master of oceans or near-coastal self-propelled 
vessels of unlimited tonnage by providing evidence of sea service of not 
less than 24 months under the authority of the credential and by 
completing the prescribed examination in subpart I of this part. Service 
will be credited as follows:
    (1) Service on the Great Lakes will be credited on a day-for-day 
basis up to 100 percent of the total required service.
    (2) Service on inland waters, other than Great Lakes, that are 
navigable waters of the United States, will be credited on a day-for-day 
basis for up

[[Page 184]]

to 50 percent of the total required service.
    (3) Service on vessels to which STCW applies, whether inland or 
coastwise, will be credited on a day-for-day basis.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec.  11.305 of this part.



Sec.  11.405  Service requirements for chief mate of ocean or 
near-coastal self-propelled vessels of unlimited tonnage.

    (a) The minimum service required to qualify an applicant for an 
endorsement as chief mate of ocean or near-coastal self-propelled 
vessels of unlimited tonnage is 1 year of service as officer in charge 
of a navigational watch on ocean self-propelled vessels while holding a 
license or MMC endorsement as second mate.
    (b) Service towards an oceans, near-coastal, or STCW endorsement 
will be credited as follows:
    (1) Service on the Great Lakes will be credited on a day-for-day 
basis.
    (2) Service on inland waters, other than Great Lakes, that are 
navigable waters of the United States, may be substituted for up to 50 
percent of the total required service.
    (3) Service on vessels to which STCW applies, whether inland or 
coastwise, will be credited on a day-for-day basis.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec.  11.307 of this part.



Sec.  11.406  Service requirements for second mate of ocean or
near-coastal self-propelled vessels of unlimited tonnage.

    (a) The minimum service required to qualify an applicant for an 
endorsement as second mate of ocean or near-coastal self-propelled 
vessels of unlimited tonnage is--
    (1) One year of service as officer in charge of a navigational watch 
on ocean self-propelled vessels while holding a license or endorsement 
as third mate; or
    (2) While holding a license or MMC endorsement as third mate of 
ocean self-propelled vessels of unlimited tonnage, 12 months of service 
on deck as follows:
    (i) A minimum of 6 months service as officer in charge of a deck 
watch on ocean self-propelled vessels.
    (ii) Service on ocean self-propelled 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).
    (b) Service towards an oceans, near-coastal or STCW endorsement will 
be credited as follows:
    (1) Service on the Great Lakes will be credited on a day-for-day 
basis up to 100 percent of the total required service.
    (2) Service on inland waters, other than Great Lakes, that are 
navigable waters of the United States, will be credited on a day-for-day 
basis for up to 50 percent of the total required service.
    (3) Service on vessels to which STCW applies, whether inland or 
coastwise, will be credited on a day-for-day basis.
    (c) If an individual holds an endorsement or license as master of 
Great Lakes and inland self-propelled vessels of unlimited tonnage or 
master of inland self-propelled vessels of unlimited tonnage, he or she 
may obtain an endorsement as second mate of ocean or near-coastal self-
propelled vessels of unlimited tonnage by completing the prescribed 
examination in subpart I of this part.
    (d) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec.  11.309 of this part.



Sec.  11.407  Service requirements for third mate of ocean or
near-coastal self-propelled vessels of unlimited tonnage.

    (a) The minimum service or training required to qualify an applicant 
for an endorsement as third mate of ocean or near-coastal self-propelled 
vessels of unlimited tonnage is--
    (1) Three years of service in the deck department on ocean self-
propelled vessels, with a minimum of 6 months of bridge watchkeeping 
duties under the supervision of the master or a qualified officer. 
Experience gained in the engine

[[Page 185]]

department on vessels of appropriate tonnage may be creditable for up to 
3 months of the service requirements for this officer endorsement;
    (2) Graduation from--
    (i) The U.S. Merchant Marine Academy (deck curriculum);
    (ii) The U.S. Coast Guard Academy with qualification as an underway 
officer in charge of a navigational watch, underway officer of the deck, 
or deck watch officer;
    (iii) The U.S. Naval Academy with qualification as an underway 
officer in charge of a navigational watch, underway officer of the deck 
or deck watch officer; 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 comprehensive apprentice mate 
training program approved by the Coast Guard.
    (b) Graduation from the deck class of the Great Lakes Maritime 
Academy will qualify the graduate to be examined for an endorsement as 
third mate self-propelled vessels of unlimited tonnage with a route 
appropriate to the program completed.
    (c) While holding a license or MMC endorsement as master of ocean or 
near-coastal self-propelled vessels of less than 1,600 GRT, 1 year of 
service as master on vessels of more than 200 GRT operating on ocean or 
near-coastal waters will qualify the applicant for an endorsement as 
third mate of ocean or near-coastal self-propelled vessels of unlimited 
tonnage.
    (d) An individual holding an endorsement or license as mate of Great 
Lakes and inland, self-propelled vessels of unlimited tonnage, or master 
of inland, self-propelled vessels of unlimited tonnage, may obtain an 
endorsement as third mate of oceans or near-coastal self-propelled 
vessels of unlimited tonnage by completing the prescribed examination in 
subpart I of this part.
    (e) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec.  11.309 of this part.



Sec.  11.410  Requirements for deck officer endorsements for 
vessels of less than 1,600 GRT.

    (a) Endorsements as master and mate of vessels of less than 1,600 
GRT are issued in the following tonnage categories:
    (1) Less than 1,600 GRT.
    (2) Less than 500 GRT.
    (3) Between 25 and 200 GRT in 50-ton increments and with appropriate 
mode of propulsion such as self-propelled, sail, or auxiliary sail.
    (b) Experience gained in the engine department on vessels of 
appropriate tonnage may be creditable for up to 90 days of the service 
requirements for any master or mate endorsement in this category.
    (c) An officer's endorsement in this category obtained with an 
orally assisted examination will be limited to 500 GRT. In order to 
raise that tonnage limit to 1,600 GRT, the written examination and 
service requirements must be satisfied.



Sec.  11.412  Service requirements for master of ocean or 
near-coastal self-propelled vessels of less than 1,600 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of ocean or near-coastal self-propelled vessels of 
less than 1,600 GRT is--
    (1) Four years total service on ocean or near-coastal waters. 
Service on Great Lakes and inland waters may substitute for up to 2 
years of the required service. Two years of the required service must 
have been on vessels of more than 100 GRT. Two years of the required 
service must have been as a master or mate of self-propelled vessels, or 
master or mate (pilot) of towing vessels, or equivalent position while 
holding a license or MMC endorsement as master or mate of self-propelled 
vessels, or master or mate (pilot) of towing vessels. One year of the 
service as master or mate of self-propelled vessels, or master or mate 
(pilot) of towing vessels, or equivalent position must have been on 
vessels of more than 100 GRT; or
    (2) One year of service on vessels of more than 100 GRT on ocean or 
near-coastal waters as a master or mate of

[[Page 186]]

self-propelled vessels, or master or mate of towing vessels while 
holding a license or MMC endorsement as mate of ocean self-propelled 
vessels of less than 1,600 GRT or as master or mate of towing vessels.
    (b) An applicant holding a license or MMC endorsement as chief mate 
of ocean or near-coastal self-propelled vessels of 1,600 GRT or more is 
eligible for this endorsement without further examination. An applicant 
holding a license or MMC endorsement as second mate of ocean or near-
coastal self-propelled vessels of 1,600 GRT or more is eligible for this 
endorsement upon completion of a limited examination.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec.  11.311 of this part.



Sec.  11.414  Service requirements for mate of ocean 
self-propelled vessels of less than 1,600 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of self-propelled vessels of less than 1,600 GRT 
is--
    (1) Three years of total service in the deck department of ocean or 
near-coastal self-propelled, sail, or auxiliary sail vessels, as 
follows:
    (i) Service on Great Lakes and inland waters may substitute for up 
to 18 months of the required service.
    (ii) One year of the required service must have been on vessels of 
more than 100 GRT.
    (iii) One year of the required service must have been as a master or 
mate of self-propelled vessels, or master or mate (pilot) of towing 
vessels, or equivalent position while holding a license or MMC 
endorsement as master, mate, or master or mate (pilot) of towing 
vessels. Six months of the required service as master or mate of self 
propelled vessels, or master or mate (pilot) of towing vessels, or 
equivalent position must have been on vessels of more than 100 GRT; or
    (2) Three years of total service in the deck department on ocean or 
near-coastal self-propelled, sail, or auxiliary sail vessels of more 
than 100 GRT. Six months of the required service must have been while 
performing bridge watchkeeping duties under the supervision of the 
master or a qualified officer.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec.  11.309 of this part.



Sec.  11.416  Service requirements for mate of near-coastal
self-propelled vessels of less than 1,600 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of near-coastal self-propelled vessels of less than 
1,600 GRT is 2 years of total service in the deck department of ocean or 
near-coastal self-propelled, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to 1 year of the 
required service. One year of the required service must have been on 
vessels of more than 100 GRT. Six months of the required service must 
have been while performing bridge watchkeeping duties under the 
supervision of the master or a qualified officer.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec.  11.309 of this part.



Sec.  11.418  Service requirements for master of ocean or
near-coastal self-propelled vessels of less than 500 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of ocean or near-coastal self-propelled vessels of 
less than 500 GRT is--
    (1) Three years total of 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 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 position must have been on vessels of more than 50 GRT; or
    (2) One year of service on vessels of more than 50 GRT on ocean or 
near-coastal waters as a master or mate of self-propelled vessels, or 
master or mate of towing vessels while holding a license or MMC 
endorsement as mate

[[Page 187]]

of ocean self-propelled vessels of less than 500 GRT.
    (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 
self-propelled vessels of less than 500 GRT 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.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.307, 11.309, 11.311, 11.313, and 
11.315 of this part.



Sec.  11.420  Service requirements for mate of ocean self-propelled
vessels of less than 500 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of ocean self-propelled vessels of less than 500 GRT 
is 2 years of total service in the deck department of ocean or near-
coastal self-propelled, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to 1 year of the 
required service. One year of the required service must have been as a 
master, mate, or equivalent 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 position must have been on vessels of more than 50 GRT.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.309, 11.317, 11.319, and 11.321 
of this part.



Sec.  11.421  Service requirements for mate of near-coastal 
self-propelled vessels of less than 500 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of near-coastal self-propelled vessels of less than 
500 GRT is 2 years of total service in the deck department of ocean or 
near-coastal self-propelled, sail, or auxiliary sail vessels. Service on 
Great Lakes and inland waters may substitute for up to 1 year of the 
required service. One year of the required service must have been on 
vessels of more than 50 GRT. Three months of the required service must 
have been while performing bridge watchkeeping duties under the 
supervision of the master or a qualified officer on vessels of more than 
50 GRT.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.309, 11.317, 11.319, and 11.321 
of this part.



Sec.  11.422  Tonnage limitations and qualifying requirements 
for endorsements as master or mate of vessels of less than 200 GRT.

    (a) Each national endorsement as master or mate of vessels of less 
than 200 GRT is issued with a tonnage limitation based on the 
applicant's qualifying experience. The tonnage limitation will be issued 
at the 25, 50, 100, or 200 GRT level. The endorsement will be limited to 
the maximum GRT on which at least 25 percent of the required experience 
was obtained, or 150 percent of the maximum GRT on which at least 50 
percent of the service was obtained, whichever is higher. Limitations 
are as stated above, using the next higher figure when an intermediate 
tonnage is calculated. If more than 75 percent of the qualifying 
experience is obtained on vessels of 5 GRT or less, the MMC will 
automatically be limited to vessels of less than 25 GRT.
    (b) The tonnage limitation may be raised as follows:
    (1) For an endorsement as mate, with at least 45 days of additional 
service on deck of a vessel in the highest tonnage increment authorized 
by the officer endorsement.
    (2) For an endorsement as master, with at least 90 days of 
additional service on deck of a vessel in the highest tonnage increment 
authorized by the master endorsement.
    (3) With additional service, which, when combined with all 
previously accumulated service, will qualify the applicant for a higher 
tonnage officer endorsement under the basic formula specified in 
paragraph (a) of this section.
    (4) With 6 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

[[Page 188]]

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 Coast Guard must be 
satisfied that the nature of this required 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 200 GRT or less 
may be creditable for up to 90 days of the deck service requirements for 
mate.



Sec.  11.424  Requirements for master of ocean self-propelled vessels
of less than 200 GRT.

    (a) The minimum service required to qualify an applicant for an 
officer endorsement as master of ocean self-propelled vessels of less 
than 200 GRT is--
    (1) Three years of 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 position while holding a 
license or MMC endorsement as master, as mate, or as operator of 
uninspected passenger vessels; or
    (2) Two years of total service as a master or mate of ocean or near-
coastal towing vessels. Completion of an 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) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.315, 11.317, 11.319, and 11.321 
of this part.



Sec.  11.425  Requirements for mate of ocean self-propelled vessels
of less than 200 GRT.

    (a) The minimum service required to qualify for the endorsement as 
mate of ocean self-propelled vessels of less than 200 GRT is--
    (1) Twelve months of total service in the deck department of ocean 
or near-coastal self-propelled, sail, or auxiliary sail vessels. Service 
on Great Lakes and inland waters may substitute for up to 6 months of 
the required service; or
    (2) Three months of service in the deck department of self-propelled 
vessels operating on ocean, near-coastal, Great Lakes, or inland waters 
while holding a license or MMC endorsement as master of inland self-
propelled, sail, or auxiliary sail vessels of less than 200 GRT.
    (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) To obtain this officer endorsement for sail or auxiliary sail 
vessels, the applicant must submit evidence of 6 months of deck service 
on sail or auxiliary sail vessels.
    (d) A license or MMC endorsement as master of near-coastal self-
propelled vessels may be endorsed as mate of sail or auxiliary sail 
vessels upon presentation of 3 months of service on sail or auxiliary 
sail vessels.
    (e) To obtain a tonnage endorsement for 100 GRT or more, the 
applicant must complete the additional examination topics indicated in 
subpart I of this part.
    (f) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.319 and 11.321 of this part.



Sec.  11.426  Requirements for master of near-coastal self-propelled
vessels of less than 200 GRT.

    (a) The minimum service required to qualify for a master of near-
coastal self-propelled vessels of less than 200 GRT is--
    (1) Two years total service on ocean or near-coastal waters. Service 
on Great Lakes and inland waters may substitute for up to 1 year of the 
required service. One year of the required service must have been as a 
master, mate, or equivalent position while holding a license or 
endorsement as

[[Page 189]]

master, mate, or operator of uninspected passenger vessels; or
    (2) One year of total service as master or mate of towing vessels on 
ocean or near-coastal routes. Completion of an examination is also 
required.
    (b) To obtain 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. These 12 months of experience may have 
been obtained before qualifying for an officer endorsement.
    (c) Holders of this endorsement are considered to be in compliance 
with the STCW Convention (incorporated by reference, see Sec.  11.102) 
while operating within the limitations of this endorsement.



Sec.  11.427  Requirements for mate of near-coastal self-propelled
vessels of less than 200 GRT.

    (a) The minimum service required to qualify for the endorsement as 
mate of near-coastal self-propelled vessels of less than 200 GRT is--
    (1) Twelve months of total service in the deck department of ocean 
or near-coastal self-propelled, sail, or auxiliary sail vessels. Service 
on Great Lakes and inland waters may substitute for up to 6 months of 
the required service; or
    (2) Three months of service in the deck department of self-propelled 
vessels operating on ocean, near-coastal, Great Lakes, or inland waters 
while holding a license or MMC endorsement as master of inland self-
propelled, sail, or auxiliary sail vessels of less than 200 GRT.
    (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) To obtain this officer endorsement for sail or auxiliary sail 
vessels, the applicant must submit evidence of 6 months of deck service 
on sail or auxiliary sail vessels.
    (d) A license or MMC endorsement as master of near-coastal self-
propelled vessels may be endorsed as mate of sail or auxiliary sail 
vessels upon presentation of 3 months of service on sail or auxiliary 
sail vessels.
    (e) To obtain a tonnage endorsement for 100 GRT or more, the 
applicant must complete the additional examination topics indicated in 
subpart I of this part.
    (f) Holders of this endorsement are considered to be in compliance 
with the STCW Convention (incorporated by reference, see Sec.  11.102) 
while operating within the limitations of this endorsement.



Sec.  11.428  Requirements for master of near-coastal self-propelled
vessels of less than 100 GRT.

    (a) The minimum service required to qualify for the endorsement as 
master of self-propelled, seagoing vessels of less than 100 GRT limited 
to domestic voyages upon near-coastal waters is 2 years of service in 
the deck department of a self-propelled vessel on ocean or near-coastal 
waters. Service on Great Lakes and inland waters may substitute for up 
to 1 year of the required service.
    (b) 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. This required service may have been obtained 
before issuance of the license or MMC.
    (c) Holders of this endorsement are considered to be in compliance 
with the STCW Convention (incorporated by reference, see Sec.  11.102 of 
this part) while operating within the limitations of this endorsement.
    (d) All endorsements issued for master or mate of vessels of less 
than 100 GRT are issued in tonnage increments based on the applicant's 
qualifying experience in accordance with the provisions of Sec.  11.422 
of this subpart.



Sec.  11.429  Requirements for a limited master of near-coastal
self-propelled vessels of less than 100 GRT.

    (a) An endorsement as limited master for service on near-coastal 
waters on vessels of less than 100 GRT may be issued to an applicant to 
be employed by organizations such as yacht clubs, marinas, formal camps, 
and educational institutions. An endorsement

[[Page 190]]

issued under this section is limited to the specific activity and the 
locality of the yacht club, marina, or camp. To obtain this restricted 
endorsement, an applicant must--
    (1) Have 4 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 5 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.  11.201(i) of this part will only be 
required when, in the opinion of the Coast Guard, the geographic area 
over which service is authorized precludes obtaining medical services 
within a reasonable time.
    (c) To obtain an endorsement for sail or auxiliary sail vessels, the 
applicant must submit evidence of 4 months of service on sail or 
auxiliary sail vessels. The required 4 months of service may have been 
obtained prior to issuance of the license or MMC endorsement.
    (d) Holders of this endorsement are considered to be in compliance 
with the STCW Convention (incorporated by reference, see Sec.  11.102 of 
this part) while operating within the limitations of this endorsement.



Sec.  11.430  Endorsements for the Great Lakes and inland waters.

    (a) Any officer endorsement issued for service on Great Lakes and 
inland waters self-propelled vessels, excluding towing vessels, is valid 
on all of the inland waters of the United States as defined in Sec.  
10.107 of this subchapter.
    (b) Any officer endorsement issued for service on inland waters 
self-propelled vessels, excluding towing vessels, is valid for the 
inland waters of the United States, excluding the Great Lakes.
    (c) Any officer endorsement issued for service on inland waters or 
an inland route is valid for service on the sheltered waters of the 
Inside Passage between Puget Sound and Cape Spencer, Alaska.
    (d) Because these officer endorsements authorize service on waters 
seaward of the International Regulations for Preventing Collisions at 
Sea (COLREGS) demarcation lines, as defined in 33 CFR part 80, the 
applicant must complete an examination on the COLREGS or the endorsement 
will exclude such waters.
    (e) To obtain a master or mate endorsement with a tonnage limit of 
200 GRT or more, whether an original, raise-in-grade, or increase in the 
scope of authority, the applicant must meet the training requirements in 
Sec.  11.201(h) and (i) of this part and successfully complete radar 
observer training in Sec.  11.480 of this part.
    (f) Figure 11.430(f) illustrates the deck officer endorsement 
structure, including crossover points, for Great Lakes and inland waters 
service. The section numbers on the diagram refer to the specific 
requirements applicable.

[[Page 191]]

[GRAPHIC] [TIFF OMITTED] TR24DE13.002



Sec.  11.431  Tonnage requirements for Great Lakes and inland
endorsements for vessels of 1,600 GRT or more.

    (a) All required experience for Great Lakes and inland unlimited 
endorsements must be obtained on vessels of 100 GRT or more. At least 
one-half of the required experience must be obtained on vessels of 1,600 
GRT or more.
    (b) Tonnage limitations may be imposed on these endorsements in 
accordance with Sec.  11.402(b) and (c) of this subpart.



Sec.  11.433  Requirements for master of Great Lakes and inland
self-propelled vessels of unlimited tonnage.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland self-propelled vessels 
of unlimited tonnage is--
    (1) One year of service as a mate or first-class pilot while acting 
in the capacity of first mate of Great Lakes self-propelled vessels of 
1,600 GRT or more while holding a license or MMC endorsement as mate 
inland or first-class pilot of Great Lakes and inland self-propelled 
vessels of unlimited tonnage;
    (2) Two years of service as master of self-propelled vessels of 
1,600 GRT or more on inland waters, excluding the Great Lakes; or
    (3) 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 self-propelled vessels of 1,600 GRT or more. A minimum of 6 
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 6 months (2 days of service equals 1 day of 
creditable service).
    (b) [Reserved]

[[Page 192]]



Sec.  11.435  Requirements for master of inland self-propelled
vessels of unlimited tonnage.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of self-propelled vessels of unlimited tonnage on 
inland waters, excluding the Great Lakes is--
    (1) One year of service as first-class pilot (of other than canal 
and small lakes routes) or mate of Great Lakes or inland self-propelled 
vessels of 1,600 GRT or more while holding a license or MMC endorsement 
as mate inland or first-class pilot of Great Lakes and inland self-
propelled vessels of unlimited tonnage; or
    (2) Two years of service performing bridge watchkeeping duties under 
the supervision of the master or a qualified officer while holding a 
mate/first-class pilot license or MMC endorsement.
    (b) [Reserved]



Sec.  11.437  Requirements for mate of Great Lakes and inland
self-propelled vessels of unlimited tonnage.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland self-propelled vessels of 
unlimited tonnage is--
    (1) Three years of service in the deck department of self-propelled 
vessels, at least 3 months of which must have been on vessels on inland 
waters and at least 6 months of which must have been while performing 
bridge watchkeeping duties under the supervision of the master or a 
qualified officer;
    (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 self-propelled vessels of less than 1,600 GRT, 1 year 
of service as master on vessels of 200 GRT or more. A tonnage limitation 
may be placed on this license in accordance with Sec.  11.431 of this 
subpart.
    (b) Service gained in the engine department on vessels of 
appropriate tonnage may be creditable for up to 6 months of the service 
requirements under paragraph (a)(1) of this section.



Sec.  11.442  Requirements for master of Great Lakes and inland
self-propelled vessels of less than 1,600 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland self-propelled vessels 
of less than 1,600 GRT is--
    (1) Three years of total service on vessels. Eighteen months of the 
required service must have been on vessels of 100 GRT or more. One year 
of the required service must have been as a master, mate, or equivalent 
position on vessels of 100 GRT or more while holding a license or MMC 
endorsement as master, mate, or master of towing vessels; or
    (2) Six months of service as operator on vessels of 100 GRT or more 
while holding a license or MMC endorsement as master of towing vessels.
    (b) [Reserved]



Sec.  11.444  Requirements for mate of Great lakes and inland
self-propelled vessels of less than 1,600 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland self-propelled vessels of 
less than 1,600 GRT is--
    (1) Two years of total service in the deck department of self-
propelled vessels. One year of the required service must have been on 
vessels of 100 GRT or more. Six months of the required service must have 
been while performing bridge watchkeeping duties under the supervision 
of the master or a qualified officer on vessels of 100 GRT or more;
    (2) One year of total service as master of self-propelled, sail, or 
auxiliary sail vessels, or operator of uninspected passenger vessels of 
50 GRT or more while holding a license or MMC endorsement as master of 
self-propelled vessels of less than 200 GRT or OUPV; or
    (3) Six months of total service as mate (pilot) of towing vessels on 
vessels of 100 GRT or more.
    (b) [Reserved]

[[Page 193]]



Sec.  11.446  Requirements for master of Great Lakes and inland
self-propelled vessels of less than 500 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland self-propelled vessels 
of less than 500 GRT is--
    (1) Three years of total service on vessels. One year of the 
required service must have been as a master, mate, or equivalent 
position on vessels of 50 GRT or more while holding a license or MMC 
endorsement as master, mate, or OUPV.
    (2) [Reserved]
    (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 6 months of service as master of 
towing vessels and completion of a limited examination. This requires 
3\1/2\ 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.



Sec.  11.448  Requirements for mate of Great Lakes and inland
self-propelled vessels of less than 500 GRT.

    The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland self-propelled vessels of 
less than 500 GRT is 2 years of total service in the deck department of 
self-propelled vessels. One year of the required service must have been 
on vessels of 50 GRT or more. Three months of the required service must 
have been while performing bridge watchkeeping duties under the 
supervision of the master or a qualified officer on vessels of 50 GRT or 
more.



Sec.  11.450  Tonnage limitations and qualifying requirements for
endorsements as master or mate of Great Lakes and inland vessels of
less than 200 GRT.

    (a) Except as noted in paragraph (d) of this section, all 
endorsements issued for master or mate of vessels of less than 200 GRT 
are issued in 50 GRT increments based on the applicant's qualifying 
experience in accordance with the provisions of Sec.  11.422 of this 
subpart.
    (b) Service gained in the engineroom on vessels of less than 200 GRT 
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 Coast Guard must be 
satisfied that the nature of this required 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) If more than 75 percent of the qualifying experience is obtained 
on vessels of 5 GRT or less, the license will automatically be limited 
to vessels of less than 25 GRT.



Sec.  11.452  Requirements for master of Great Lakes and inland
self-propelled vessels of less than 200 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement or license as master of Great Lakes and inland self-
propelled vessels of less than 200 GRT is 1 year of service on vessels. 
Six months of the required service must have been as master, mate, or 
equivalent position while holding a license or endorsement as master or 
mate of self-propelled vessels, or master or mate (pilot) of towing 
vessels, or OUPV. To obtain authority to serve on the Great Lakes, 3 
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) To obtain an endorsement for sail or auxiliary sail vessels, the 
applicant must have 6 months of service on sail or auxiliary sail 
vessels. This required service may have been obtained prior to issuance 
of the license or MMC endorsement as master.



Sec.  11.454  Requirements for mate of Great Lakes and inland
self-propelled vessels of less than 200 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate of Great Lakes and inland self-propelled vessels of 
less than 200 GRT is 6 months of service in the

[[Page 194]]

deck department of self-propelled vessels. To obtain authority to serve 
on the Great Lakes, 3 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) To obtain an endorsement for sail or auxiliary sail vessels, the 
applicant must submit evidence of 3 months of service on sail or 
auxiliary sail vessels.
    (c) A mariner holding an endorsement as master of self-propelled 
vessels may be endorsed as mate of sail or auxiliary sail vessels upon 
presentation of 3 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, 3 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) To obtain a tonnage endorsement for 100 GRT or more, the 
applicant must complete the additional examination topics indicated in 
subpart I of this part.



Sec.  11.455  Requirements for master of Great Lakes and inland
self-propelled vessels of less than 100 GRT.

    (a) The minimum service required to qualify an applicant for an 
endorsement as master of Great Lakes and inland self-propelled vessels 
of less than 100 GRT is 1 year of total service in the deck department 
of self-propelled, sail, or auxiliary sail vessels. To obtain authority 
to serve on the Great Lakes, 3 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) To obtain an endorsement for sail or auxiliary sail vessels, the 
applicant must submit evidence of 6 months of service on sail or 
auxiliary sail vessels. The required 6 months of service may have been 
obtained prior to issuance of the endorsement.
    (c) All endorsements issued for master or mate of vessels of less 
than 100 GRT are issued in tonnage increments based on the applicant's 
qualifying experience in accordance with the provisions of Sec.  11.422 
of this subpart.



Sec.  11.456  Requirements for limited master of Great Lakes and
inland self-propelled vessels of less than 100 GRT.

    (a) An endorsement as limited master for vessels of less than 100 
GRT upon Great Lakes and inland waters may be issued to an applicant to 
be employed by organizations such as formal camps, educational 
institutions, yacht clubs, and marinas with reduced service 
requirements. An endorsement issued under this paragraph is limited to 
the specific activity and the locality of the camp, yacht club, or 
marina. To obtain this restricted endorsement, an applicant must--
    (1) Have 4 months of 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, 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 5 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.  11.201(i) of this part will only be 
required when, in the opinion of the Coast Guard, the geographic area 
over which service is authorized precludes obtaining medical services 
within a reasonable time.



Sec.  11.457  Requirements for master of inland self-propelled
vessels of less than 100 GRT.

    (a) An applicant for an endorsement as master of inland self-
propelled vessels of less than 100 GRT must present 1 year of service on 
any waters. In order to raise the tonnage limitation to more than 100 
GRT, the examination

[[Page 195]]

topics indicated in subpart I of this part must be completed in addition 
to satisfying the experience requirements of Sec.  11.452(a) of this 
subpart.
    (b) To obtain an endorsement for sail or auxiliary sail vessels, the 
applicant must submit evidence of 6 months of service on sail or 
auxiliary sail vessels. The required 6 months of service may have been 
obtained prior to issuance of the license or MMC endorsement.
    (c) All endorsements issued for master or mate of vessels of less 
than 100 GRT are issued in tonnage increments based on the applicant's 
qualifying experience in accordance with the provisions of Sec.  11.422 
of this subpart.



Sec.  11.459  Requirements for national endorsement as master
or mate on rivers.

    (a) An applicant for an endorsement as master of river self-
propelled vessels of unlimited tonnage must meet the same service 
requirements as master of inland self-propelled vessels of unlimited 
tonnage.
    (b) An applicant for an endorsement as master or mate of river self-
propelled vessels, with a limitation of 25 to 1,600 GRT, must meet the 
same service requirements as those required by this subpart for the 
corresponding tonnage Great Lakes and inland self-propelled endorsement. 
Service on the Great Lakes is not, however, required.



Sec.  11.462  Requirements for national endorsement as 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 GRT.
    (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.  11.201(h)(1) of this part.
    (c) An applicant for an endorsement as master of uninspected fishing 
industry vessels must have 4 years of total service on ocean or near-
coastal routes. Service on Great Lakes or inland waters may substitute 
for up to 2 years of the required service. One year of the required 
service must have been as master, mate, or equivalent position while 
holding a license or MMC endorsement as master or mate of self-propelled 
vessels, or master or mate (pilot) of towing vessels, or OUPV.
    (1) To qualify for an endorsement for less than 500 GRT, at least 2 
years of the required service, including the 1 year as master, mate, or 
equivalent, must have been on vessels of 50 GRT or more.
    (2) To qualify for an endorsement for less than 1,600 GRT, at least 
2 years of the required service, including the 1 year as master, mate, 
or equivalent, must have been on vessels of 100 GRT or more.
    (3) To qualify for an endorsement for more than 1,600 GRT, but not 
more than 5,000 GRT, the vessel tonnage upon which the 4 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 
GRT, 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 GRT also requires 
1 year as master, mate, or equivalent on vessels of 100 GRT or more.
    (4) The tonnage limitation for this endorsement may be raised using 
one of the following methods but cannot exceed 5,000 GRT. Limitations 
are in multiples of 1,000 GRT, using the next higher figure when an 
intermediate tonnage is calculated.
    (i) Three months of 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 1,000 GRT.

[[Page 196]]

    (ii) Six months of service as master on a vessel results in a 
limitation in that capacity equal to 150 percent of the tonnage of that 
vessel.
    (iii) Six months of service as master on vessels more than 1,600 GRT 
results in raising the limitation to 5,000 GRT.
    (iv) Six months of service as mate on vessels more than 1,600 GRT 
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 GRT.
    (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 3 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 less than 500 GRT, at least 1 
year of the required service must have been on vessels of 50 GRT or 
more.
    (2) To qualify for an endorsement of less than 1,600 GRT, at least 1 
year of the required service must have been on vessels of 100 GRT or 
more.
    (3) To qualify for an endorsement of more than 1,600 GRT, but not 
more than 5,000 GRT, the vessel tonnage upon which the 3 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 
GRT, 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 GRT. Limitations 
are in multiples of 1,000 GRT, using the next higher figure when an 
intermediate tonnage is calculated.
    (i) Three months of service as mate on a vessel results in a 
limitation in that capacity equal to the tonnage of that vessel rounded 
up to the next multiple of 1,000 GRT.
    (ii) Six months of service as mate on a vessel results in a 
limitation in that capacity equal to 150 percent of the tonnage of that 
vessel.
    (iii) Six months of service as mate on vessels more than 1,600 GRT 
results in raising the limitation to 5,000 GRT.
    (iv) One year of service as deckhand on vessels more than 1,600 GRT 
while holding a license or MMC endorsement as mate, results in raising 
the limitation on the MMC to 5,000 GRT;
    (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 GRT.
    (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.



Sec.  11.463  General requirements for national endorsements as
master, mate (pilot), and apprentice mate (steersman) of towing vessels.

    (a) The Coast Guard issues the following endorsements for towing 
vessels:
    (1) Master of towing vessels.
    (2) Master of towing vessels, limited.
    (3) Mate (pilot) of towing vessels.
    (4) Apprentice mate (steersman).
    (5) 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 GRT only within a local area on the Great 
Lakes, inland waters, or Western Rivers designated by the OCMI.

[[Page 197]]

    (d) Mariners who met the training and service requirements for 
towing vessels before May 21, 2001, and have maintained a valid Coast 
Guard-issued credential may obtain a towing endorsement if they meet the 
following:
    (1) Demonstrate at least 90 days of towing service before May 21, 
2001.
    (2) Provide evidence of successfully completing the apprentice mate 
exam, its predecessor exam, or a superior exam.
    (3) Meet the renewal requirements in Sec.  10.227(e)(6)(i) of this 
subchapter.
    (e) Mariners who operated towing vessels in the offshore oil and 
mineral industry prior to October 15, 2010, may obtain a towing 
endorsement until December 24, 2018 as follows:
    (1) Mariners who held officer endorsements as operator of 
uninspected towing vessels (OUTV) or mate or master of inspected self-
propelled vessels may qualify for a towing endorsement if they meet the 
following:
    (i) Provide evidence of at least 90 days of service on towing 
vessels in the offshore oil and mineral industry prior to October 15, 
2010.
    (ii) Provide evidence of successfully completing the apprentice mate 
(steersman) examination, its predecessor exam, or a superior exam.
    (iii) Meet the renewal requirements in Sec.  10.227(e)(6) of this 
subchapter.
    (2) Mariners who have not held any of the officer endorsements 
listed in paragraph (e)(1) of this section may qualify for an 
endorsement as master of towing vessels if they meet the following:
    (i) Provide evidence of at least 48 months of service on towing 
vessels in the offshore oil and mineral industry prior to October 15, 
2010.
    (ii) Successfully complete the appropriate apprentice mate 
(steersman) exam.
    (3) Mariners who have not held any of the officer endorsements 
listed in paragraph (e)(1) of this section may qualify for an 
endorsement as mate of towing vessels if they meet the following:
    (i) Provide evidence of at least 36 months of service on towing 
vessels in the offshore oil and mineral industry prior to October 15, 
2010.
    (ii) Successfully complete the appropriate apprentice mate 
(steersman) exam.
    (f) Deck officers who serve on the following seagoing vessels must 
comply with the requirements of Sec. Sec.  11.309 and 11.311 of this 
subpart for the appropriate STCW endorsement:
    (1) A towing vessel on an oceans voyage operating beyond near-
coastal waters.
    (2) A towing vessel on an international voyage.
    (3) A towing vessel of 200 GRT or more on a domestic, near-coastal 
voyage.
    (g) Endorsements as mate (pilot) or master of towing vessels may be 
issued with a restriction to specific types of towing vessels and/or 
towing operations such as articulated tug barge (ATB) vessels that do 
not routinely perform all of the tasks identified in the Towing Officer 
Assessment Record (TOAR).
    (h) Figure 11.463(h) illustrates the towing officer endorsement 
structure, including crossover points. The section numbers on the 
diagram refer to the specific requirements applicable.

[[Page 198]]

[GRAPHIC] [TIFF OMITTED] TR24DE13.003



Sec.  11.464  Requirements for national endorsements as master of 
towing vessels.

    (a) An applicant for an endorsement as master of towing vessels with 
a route listed in column 1 of table 1 to this section, must complete the 
service requirements indicated in columns 2 through 5. Applicants may 
serve on the subordinate routes listed in column 5 without further 
endorsement.

            Table 1 to Sec.   11.464(a)--Requirements for Endorsement as Master of Towing Vessels \1\
----------------------------------------------------------------------------------------------------------------
                      1                             2            3            4                    5
Route endorsed                                       Total      TOS \3\   TOS \3\ on  Sub-ordinate
                                               service \2\       on T/V   particular  route authorized
                                                                as mate        route
                                                                (pilot)
----------------------------------------------------------------------------------------------------------------
(1) OCEANS (O)...............................           48           18            3  NC, GL-I.
(2) NEAR-COASTAL (NC)........................           48           18            3  GL-I.
(3) GREAT LAKES-INLAND (GL-I)................           48           18            3  None.
(4) WESTERN RIVERS (WR)......................           48           18            3  None.
----------------------------------------------------------------------------------------------------------------
\1\ The holder of an endorsement as master of towing vessels may have an endorsement placed on the MMC as mate
  (pilot) of towing vessels for a route superior to the current route on which the holder has no operating
  experience after passing an examination for that additional route. After the holder completes 90 days of
  experience and completes a Towing Officer Assessment Record (TOAR) on that route, the Coast Guard will add it
  to the holder's endorsement as master of towing vessels and remove the endorsement for mate (pilot) of towing
  vessels.
\2\ Service is in months.
\3\ TOS is time of service.

    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.307, 11.311, 11.313, and 11.315 
of this part.

[[Page 199]]

    (c) To obtain an endorsement as master of towing vessels (limited), 
applicants must complete the requirements listed in columns 2 through 5 
of table 1 to paragraph (c) of this section.

    Table 1 to Sec.   11.464(c)--Requirements for National Endorsement as Master of Towing Vessels (Limited)
----------------------------------------------------------------------------------------------------------------
                  1                           2                  3                  4                  5
Route endorsed                                   Total            TOS \2\               TOAR             TOS on
                                           service \1\          on T/V as              or an         particular
                                                                  limited           approved              route
                                                          apprentice mate             course
                                                              (steersman)
----------------------------------------------------------------------------------------------------------------
LIMITED LOCAL AREA (LLA)............                36                 18                Yes                 3.
----------------------------------------------------------------------------------------------------------------
\1\ Service is in months.
\2\ TOS is time of service.

    (d) Those holding a license or MMC endorsement as mate (pilot) of 
towing vessels, may have master of towing vessels (limited) added to 
their MMC for a limited local area within the scope of their current 
route.
    (e) Before serving as master of towing vessels on the Western 
Rivers, mariners must possess 90 days of observation and training and 
their MMC must include an endorsement for Western Rivers.
    (f) 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.
    (g) Those holding a license or MMC endorsement as a master of self-
propelled vessels of more than 200 GRT, may operate towing vessels 
within any restrictions on their endorsement if they--
    (1) Have a minimum of 30 days of training and observation on towing 
vessels for the route being assessed, except as noted in paragraph (f) 
of this section; and
    (2) Either--
    (i) Hold a completed Towing Officer Assessment Record (TOAR) 
described in Sec.  10.404(c) of this part that shows evidence of 
assessment of practical demonstration of skills; or
    (ii) Complete an approved training course.
    (h) A license or MMC does not need to include a towing endorsement 
if mariners hold a TOAR or complete an approved training course.



Sec.  11.465  Requirements for national endorsements as mate (pilot)
of towing vessels.

    (a) To obtain an endorsement as mate (pilot) of towing vessels 
endorsed with a route listed in column 1 of Table 1 to paragraph (a) of 
this section, applicants must complete the service in columns 2 through 
5. Mariners holding a license or MMC endorsement as master of towing 
vessels (limited) wishing to upgrade it to mate (pilot) of towing 
vessels 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 a completed Coast Guard-approved training program.

[[Page 200]]



                        Table 1 to Sec.   11.465(a)--Requirements for National Endorsement as Mate (Pilot \1\) of Towing Vessels
--------------------------------------------------------------------------------------------------------------------------------------------------------
                  1                         2              3             4                 5                        6                        7
Route endorsed                               Total  TOS \3\ on T/V       TOS on  TOAR \5\ or an        30 days of observation and  Subordinate route
                                       service \2\   as apprentice   particular   approved course.      training while holding     authorized
                                                              mate        route                         master (limited) and pass
                                                       (steersman)                                      an.
                                                               \4\                                     examination...............
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) OCEANS (O).......................           30              12            3  YES.................  YES.......................  NC, GL-I.
(2) NEAR-COASTAL (NC)................           30              12            3  YES.................  YES.......................  GL-I.
(3) GREAT LAKES-INLAND (GL-I)........           30              12            3  YES.................  YES.......................
(4) WESTERN RIVERS (WR)..............           30              12            3  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\ 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.
\5\ TOAR is a Towing Officer Assessment Record.

    (b) Before serving as mate (pilot) of towing vessels on the Western 
Rivers, mariners must possess 90 days of observation and training and 
have their 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) Those holding a license or MMC endorsement as a mate of 
inspected, self-propelled vessels of more than 200 GRT or one as first-
class pilot, may operate towing vessels within any restrictions on their 
credential if they--
    (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 Assessment Record (TOAR) 
described in Sec.  10.404(c) of this subchapter that shows evidence of 
assessment of practical demonstration of skills.
    (e) A license or MMC does not need to include a towing endorsement 
if you hold a TOAR or a course completion certificate.
    (f) Those holding any endorsement as a master of self-propelled 
vessels of any tonnage that is less than 200 GRT, except for the limited 
masters endorsements specified in Sec. Sec.  11.429 and 11.456 of this 
subpart, 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 this paragraph.
    (2) Successfully completing the appropriate TOAR.
    (3) Successfully completing the appropriate apprentice mate exam.
    (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.
    (g) 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 
(dependent upon route) required by Table 2 to Sec.  11.910 of this part 
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.

[[Page 201]]

    (h) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.309, 11.317, 11.319, and 11.321 
of this part.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



Sec.  11.466  Requirements for national endorsements as apprentice mate
(steersman) of towing vessels.

    (a) As Table 1 to Sec.  11.466(a) shows, to obtain an endorsement as 
apprentice mate (steersman) of towing vessels listed in column 1, 
endorsed with a route listed in column 2, mariners must complete the 
service requirements indicated in columns 3 through 6.

   Table 1 to Sec.   11.466(a)--Requirements for National Endorsement as Apprentice Mate (Steersman) of Towing
                                                     Vessels
----------------------------------------------------------------------------------------------------------------
                 1                             2                3          4          5               6
Endorsement                          Route................      Total    TOS \2\     TOS on  Pass
                                     endorsed.............    service     on T/V  particula  examination \3\
                                                                  \1\                     r
                                                                                      route
----------------------------------------------------------------------------------------------------------------
(1) APPRENTICE MATE (STEERSMAN)....  OCEANS (O)...........         18         12          3  YES.
                                     NEAR-COASTAL (NC)....         18         12          3  YES.
                                     GREAT LAKES..........         18         12          3  YES.
                                     INLAND (GL-I)........         18         12          3  YES.
                                     WESTERN RIVERS (WR)..         18         12          3  YES.
(2) APPRENTICE MATE (STEERSMAN)      NOT APPLICABLE.......         18         12          3  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.

    (b) Those holding a license or endorsement as apprentice mate 
(steersman) of towing vessels may obtain a restricted endorsement as 
apprentice mate (steersman) (limited). This endorsement will go on the 
mariner's MMC after passing an examination for a route that is not 
included in the current endorsements and on which the mariners have no 
operating experience. Upon completion of 3 months of experience on that 
route, mariners may have the restriction removed.



Sec.  11.467  Requirements for a national endorsement as operator of
uninspected passenger vessels of less than 100 GRT.

    (a) This section applies to an applicant for the endorsement to 
operate an uninspected vessel of less than 100 GRT, equipped with 
propulsion machinery of any type, carrying six or fewer passengers.
    (b) An endorsement as OUPV for near-coastal waters limits the holder 
to service on domestic, near-coastal waters not more than 100 miles 
offshore, the Great Lakes, and all inland waters. Endorsements issued 
for inland waters include all inland waters except the Great Lakes. 
Endorsements may be issued for a particular local area under paragraph 
(f) or paragraph (g) of this section.
    (c) For an endorsement as OUPV on near-coastal waters, an applicant 
must have a minimum of 12 months of experience in the operation of 
vessels, including at least 3 months of 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 of service on Great Lakes or inland 
waters, including at least 3 months of 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 of experience in the operation of vessels.
    (f) A limited OUPV endorsement may be issued to an applicant 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

[[Page 202]]

locality of the camp, yacht club, or marina. In order to obtain this 
restricted endorsement, an applicant must--
    (1) Have 3 months of 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; and
    (3) Pass a limited examination appropriate for the activity to be 
conducted and the route authorized.
    (4) Hold the first aid and cardiopulmonary resuscitation (CPR) 
course certificates required by Sec.  11.201(i) of this part when, in 
the opinion of the Coast Guard, the geographic area over which service 
is authorized precludes obtaining medical services within a reasonable 
time.
    (g) Restricted OUPV endorsements may be issued to applicants to be 
employed on inland navigable waters. An endorsement under this paragraph 
will be limited to specific bodies of water that have been approved by 
the cognizant OCMI. In order to obtain this endorsement, the applicant 
must be qualified for the endorsement under this section; however, the 
OCMI may modify the service and examination requirements as follows:
    (1) At least 3 months of service in the operation of the type of 
vessel and on each body of water for which the endorsement is requested.
    (2) Satisfactorily pass an examination appropriate for the activity 
to be conducted and the waters authorized.
    (h) An applicant for an officer endorsement as OUPV who speaks 
Spanish, but not English, may be issued an officer endorsement 
restricted to the navigable waters of the United States in the vicinity 
of Puerto Rico.



Sec.  11.468  National officer endorsements for mobile offshore
drilling units (MODUs).

    Officer endorsements for service on MODUs authorize service on units 
of unlimited tonnage upon ocean waters while on location or while 
underway, as restricted on the endorsement, except when moving 
independently under their own power.



Sec.  11.470  National 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.
    (5) OIM Bottom Bearing Units Underway.
    (b) To qualify for an endorsement as OIM unrestricted, an applicant 
must--
    (1) Present evidence of one of the following:
    (i) Four years of employment assigned to MODUs, including at least 1 
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.
    (ii) A degree from a program in engineering or 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 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 OIM unrestricted.
    (ii) A certificate from a Coast Guard-approved survival suit and 
survival craft training course.
    (iii) A certificate from a firefighting training course as required 
by Sec.  11.201(h) of this part; and

[[Page 203]]

    (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 1 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 one of the following:
    (i) Four years of employment assigned to MODUs, including at least 1 
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.
    (ii) A degree from a program in engineering or 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 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 firefighting training course as required 
by Sec.  11.201(h) 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.
    (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 1 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 1 year preceding the 
date of application; and
    (2) Present evidence of training course completion as follows:

[[Page 204]]

    (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.
    (iii) A certificate from a firefighting training course as required 
by Sec.  11.201(h) 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 1 year preceding the date of 
application.
    (h) To qualify for an endorsement as OIM bottom bearing units on 
location, an applicant must--
    (1) Present evidence of one of the following:
    (i) Four years of employment assigned to MODUs, including at least 1 
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.
    (ii) A degree from a program in engineering or engineering 
technology that is accredited by 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 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 firefighting training course as required 
by Sec.  11.201(h) of this part.
    (i) An applicant for an endorsement as OIM bottom bearing units on 
location who holds an unlimited license or 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 1 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 1 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.

[[Page 205]]

    (ii) A certificate from a Coast Guard-approved survival suit and 
survival craft training course.
    (iii) A certificate from a firefighting training course as required 
by Sec.  11.201(h) 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 1 year preceding the date of 
application.



Sec.  11.472  National officer endorsements as barge supervisor.

    (a) To qualify for an endorsement as barge supervisor (BS), an 
applicant must--
    (1) Present evidence of one of the following:
    (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 must have been as a ballast control 
operator, or barge supervisor trainee.
    (ii) A degree from a program in engineering or engineering 
technology that 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 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 must have been as a ballast control operator, or barge 
supervisor trainee; and
    (2) Present evidence of training course completion as follows:
    (i) A certificate from a Coast Guard-approved stability course 
approved for barge supervisor.
    (ii) A certificate from a Coast Guard-approved survival suit and 
survival craft training course.
    (iii) A certificate from a firefighting training course as required 
by Sec.  11.201(h) of this part.
    (b) An applicant for an endorsement as barge supervisor 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.



Sec.  11.474  National officer endorsements as ballast control operator.

    (a) To qualify for an endorsement as ballast control operator (BCO), 
an applicant must--
    (1) Present evidence of one of the following:
    (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.
    (ii) A degree from a program in engineering or engineering 
technology that 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 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 barge supervisor or ballast control operator.

[[Page 206]]

    (ii) A certificate from a Coast Guard-approved survival suit and 
survival craft training course.
    (iii) A certificate from a firefighting training course as required 
by Sec.  11.201(h) 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 BCO.



Sec.  11.480  Radar observer.

    (a) This section contains the requirements that an applicant must 
meet to 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 Gulf Intercoastal waterways 
(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 paragraph (e) of this section, each 
applicant for a radar observer endorsement or for renewal of a radar 
observer endorsement must complete the appropriate course approved by 
the Coast Guard, receive the appropriate certificate of training, and 
present the certificate or a copy of the certificate to the Coast Guard 
in person, by mail, fax, or other electronic means.
    (e) A radar observer endorsement issued under this section is valid 
for 5 years from the date of issuance of the certificate of training 
from a course approved by the Coast Guard.
    (f) A mariner may maintain the validity of a radar observer 
endorsement by completing a refresher or re-certification course 
approved for that purpose.
    (g) 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. However, a radar endorsement will not be placed on 
the MMC unless the mariner submits a course completion certificate or a 
copy of the certificate from an approved radar course.
    (h) 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. However, a radar endorsement will not be 
placed on the MMC unless the mariner submits a course completion 
certificate or a copy of the certificate from an approved radar course.



Sec.  11.482  Assistance towing.

    (a) This section contains the requirements to qualify for an 
endorsement authorizing a mariner to engage in assistance towing. Except 
as noted in this paragraph, holders of MMC officer and OUPV endorsements 
must have an assistance towing endorsement to engage in assistance 
towing. Holders of endorsements as master or mate (pilot) of towing 
vessels or master or mate endorsements authorizing service on inspected 
vessels of 200 GRT or more do not need the assistance towing 
endorsement.
    (b) An applicant for an assistance towing endorsement must pass a 
written examination or complete a Coast Guard-approved course 
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.



Sec.  11.491  National officer endorsements for service on offshore
supply vessels.

    (a) Each officer endorsement for service on offshore supply vessels 
(OSVs)

[[Page 207]]

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.
    (b) For those officers who previously received a 500 GRT limitation 
on their national officer endorsement due to the definition of OSV 
existing before October 15, 2010, the limitation will be raised to 1,600 
GRT to be consistent with other national officer endorsements.



Sec.  11.493  Master (OSV).

    (a) The minimum service required to qualify an applicant for an 
endorsement as master (OSV) of offshore supply vessels less than 1,600 
GRT/3,000 GT is 24 months of total service as mate, chief mate, or 
master of ocean or near-coastal and/or Great Lakes on self-propelled 
vessels of more than 100 GRT. Service on inland waters may substitute 
for up to 50 percent of the required service. At least one-half of the 
required experience must be served as chief mate.
    (b) The minimum service required to qualify an applicant for master 
(OSV) of 1,600 GRT/3,000 GT or more is 24 months of total service as 
mate, chief mate, or master of ocean or near-coastal and/or Great Lakes 
on self-propelled vessels of more than 100 GRT. At least one-half of the 
required experience must be served as chief mate and be obtained on 
vessels of 1,600 GRT/3,000 GT or more.
    (c) If an applicant for master (OSV) of more than 1,600 GRT/3,000 GT 
does not have the service on vessels of 1,600 GRT/3,000 GT or more as 
required by paragraph (b) of this section, a tonnage limitation will be 
placed on the officer endorsement based on the applicant's qualifying 
experience. The endorsement will be 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. However, the minimum tonnage 
limitation calculated according to this paragraph will be 2,000 GRT. 
Limitations are in multiples of 1,000 GRT using the next higher figure 
when an intermediate tonnage is calculated. In no case will the 
limitation exceed 10,000 GRT/GT for OSVs unless the applicant meets the 
full requirements for an unlimited tonnage endorsement.
    (d) A person holding an endorsement as master (OSV) may qualify for 
an STCW endorsement, according to Sec. Sec.  11.305 and 11.311 of this 
part.
    (e) The Coast Guard may exempt an applicant from meeting any 
requirement under STCW Regulation II/2 (incorporated by reference, see 
Sec.  11.102 of this part) that the Coast Guard 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.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



Sec.  11.495  Chief mate (OSV).

    (a) The minimum service required to qualify an applicant for an 
endorsement as chief mate (OSV) of offshore supply vessels less than 
1,600 GRT/3,000 GT is 12 months of total service as mate, chief mate, or 
master of ocean or near-coastal and/or Great Lakes on self-propelled 
vessels of more than 100 GRT. Service on inland waters may substitute 
for up to 50 percent of the required service.
    (b) The minimum service required to qualify an applicant for as 
chief mate (OSV) of 1,600 GRT/3,000 GT or more is 12 months of total 
service as mate, chief mate, or master of ocean or near-coastal and/or 
Great Lakes on self-propelled vessels of more than 100 GRT. At least 
one-half of the required experience must be obtained on vessels of 1,600 
GRT/3,000 GT or more.
    (c) If an applicant for as chief mate (OSV) of 1,600 GRT/3,000 GT or 
more does not have the service on vessels of 1,600 GRT/3,000 GT or more 
as required by paragraph (b) of this section, a tonnage limitation will 
be placed on the officer endorsement based on the applicant's qualifying 
experience. The endorsement will be 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. However, the minimum tonnage 
limitation calculated according

[[Page 208]]

to this paragraph will be 2,000 GRT. Limitations are in multiples of 
1,000 GRT using the next higher figure when an intermediate tonnage is 
calculated. In no case will the limitation exceed 10,000 GRT/GT for OSVs 
unless the applicant meets the full requirements for an unlimited 
tonnage endorsement.
    (d) A person holding an endorsement as chief mate (OSV) may qualify 
for an STCW endorsement, according to Sec. Sec.  11.307 and 11.313 of 
this part.
    (e) The Coast Guard may exempt an applicant from meeting any 
requirement under STCW Regulation II/2 (incorporated by reference, Sec.  
11.102 of this part) that the Coast Guard 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.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



Sec.  11.497  Mate (OSV).

    (a) The minimum service required to qualify an applicant for an 
endorsement as mate (OSV) of offshore supply vessels is--
    (1) Twenty-four months of total service in the deck department of 
ocean or near-coastal self-propelled, sail, or auxiliary sail vessels. 
Service on Great Lakes and inland waters may substitute for up to 1 year 
of the required service. One year of the required service must have been 
on vessels of more than 100 GRT; or
    (2) One year of total service as part of an approved or accepted 
mate (OSV) training program.
    (b) A person holding an endorsement as mate (OSV) may qualify for an 
STCW endorsement, according to Sec.  11.309 of this part.
    (c) The Coast Guard may exempt an applicant from meeting any 
requirement under STCW Regulation II/1 (incorporated by reference, see 
Sec.  11.102 of this part) that the Coast Guard 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.



   Subpart E_Professional Requirements for National Engineer Officer 
                              Endorsements



Sec.  11.501  Grades and types of national engineer endorsements issued.

    (a) National 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;
    (9) Assistant engineer uninspected fishing industry vessels;
    (10) Chief engineer (MODU);
    (11) Assistant engineer (MODU);
    (12) Chief engineer (OSV); and
    (13) Assistant engineer (OSV).
    (b) Engineer endorsements issued in the grades of chief engineer 
(limited) and assistant engineer (limited) of steam, motor, and/or gas 
turbine-propelled vessels allow the holder to serve within any 
propulsion power limitations on vessels of unlimited tonnage on inland 
waters and of less than 1,600 GRT in ocean, near-coastal, or Great Lakes 
service in the following manner:
    (1) Chief engineer (limited) may serve on oceans and near-coastal 
waters.
    (2) Assistant engineer (limited) may serve on ocean and near-coastal 
waters.
    (c) Engineer licenses or MMC endorsements issued in the grades of 
designated duty engineer of steam, motor, and/or gas turbine-propelled 
vessels allow the holder to serve within stated propulsion power 
limitations on vessels of less than 500 GRT in the following manner:
    (1) Designated duty engineers limited to vessels of less than 1,000 
HP or 4,000 HP may serve only on near-coastal or inland waters.
    (2) Designated duty engineers-unlimited may serve on any waters.
    (d) An engineer officer's license or MMC endorsement authorizes 
service on steam, motor, or gas turbine-propelled vessels or may 
authorize all modes of propulsion.
    (e) A person holding an engineer license or MMC endorsement that is 
restricted to near-coastal waters may

[[Page 209]]

serve within the limitations of the license or MMC upon near-coastal, 
Great Lakes, and inland waters.



Sec.  11.502  General requirements for national engineer endorsements.

    (a) For all original and raise of grade of engineer endorsements, at 
least one-third of the minimum service requirements must have been 
obtained on the particular mode of propulsion for which the applicant 
seeks endorsement.
    (b) If an applicant desires to add a propulsion mode (steam, motor, 
or gas turbine) to his or her endorsement while holding a license or MMC 
officer endorsement in that grade, the following alternatives are 
acceptable:
    (1) Four months of service as an observer on vessels of the new 
propulsion mode.
    (2) Four months of service as an engineer officer at the operational 
level on vessels of the new propulsion mode.
    (3) Six months of service as oiler, fireman/watertender, or junior 
engineer on vessels of the new propulsion mode.
    (4) Completion of a Coast Guard-approved training course for this 
endorsement.



Sec.  11.503  Propulsion power limitations for national endorsements.

    (a) Engineer endorsements of all grades and types may be subject to 
propulsion power limitations. Other than as provided in Sec.  11.524 of 
this subpart for the designated duty engineer (DDE), the propulsion 
power limitation placed on a license or MMC endorsement is based on the 
applicant's qualifying experience considering the total shaft propulsion 
power of each vessel on which the applicant has served.
    (b) When an applicant for an original or raise of grade of an 
engineer endorsement, other than a DDE, has not obtained at least 50 
percent of the required experience on vessels of 4,000 HP/3,000 kW or 
more, a propulsion power limitation is placed on the MMC based on the 
applicant's qualifying experience. The endorsement is limited to the 
maximum propulsion power on which at least 25 percent of the required 
experience was obtained, or 150 percent of the maximum propulsion power 
on which at least 50 percent of the service was obtained, whichever is 
higher. Limitations are in multiples of 1,000 HP/750 kW, using the next 
higher figure when an intermediate horsepower is calculated. When the 
limitation as calculated equals or exceeds 10,000 HP/7,500 kW, an 
unlimited propulsion power endorsement is issued.
    (c) The following service on vessels of 4,000 HP/3,000 kW or more 
will be considered qualifying for raising or removing the propulsion 
power limitations placed on an engineer endorsement:
    (1) Six months of service in the highest-grade endorsed: Removal of 
all propulsion power limitations.
    (2) Six months of service as an engineer officer in any capacity 
other than the highest grade for which the applicant is licensed or 
endorsed: Removal of all propulsion power limitations for the grade in 
which service is performed and raised to the next higher grade 
endorsement to the propulsion power of the vessel on which service was 
performed. The total cumulative service before and after issuance of the 
limited engineer endorsement may be considered in removing all 
propulsion power 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): Removal of all propulsion power 
limitations on third assistant engineer or assistant engineer's 
(limited) 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 propulsion power limitations on third assistant engineer's 
endorsement.
    (d) Raising or removing propulsion power limitations based on 
service required by paragraph (c) of this section may be granted without 
further written examination, if the Coast Guard considers further 
examination unnecessary.



Sec.  11.504  Application of deck service for national limited engineer
endorsements.

    Service gained in the deck department on vessels of appropriate 
tonnage may substitute for up to 25 percent or

[[Page 210]]

6 months, whichever is less, of the service requirement for an 
endorsement as chief engineer (limited), assistant engineer (limited), 
or DDE.



Sec.  11.505  National engineer officer endorsements.

    Figure 11.505(a) illustrates the national engineering endorsement 
structure, including crossover points.
    Figure 11.505(a)--Structure of national engineer officer 
endorsements for non-seagoing service.
[GRAPHIC] [TIFF OMITTED] TR24DE13.004



Sec.  11.510  Service requirements for national endorsement as chief
engineer of steam, motor, and/or gas turbine-propelled vessels.

    (a) The minimum service required to qualify an applicant for 
endorsement as chief engineer of steam, motor, and/or gas turbine-
propelled vessels is--
    (1) One year of service as first assistant engineer; or
    (2) One year of service while holding a license or MMC endorsement 
as first assistant engineer. A minimum of 6 months of this service must 
have been as first assistant engineer, and the remainder must be as 
assistant engineer. Service as an assistant engineer other than first 
assistant engineer is accepted on a two-for-one basis to a maximum of 6 
months (2 days of service as a second or third assistant engineer equals 
1 day of creditable service).
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.325 and 11.331 of this part.



Sec.  11.512  Service requirements for national endorsement as first
assistant engineer of steam, motor, and/or gas turbine-propelled vessels.

    (a) The minimum service required to qualify an applicant for 
endorsement as first assistant engineer of steam,

[[Page 211]]

motor, and/or gas turbine-propelled vessels is--
    (1) One year of service as an assistant engineer while holding a 
license or MMC with a second assistant engineer endorsement; or
    (2) One year of service as a chief engineer (limited) and completing 
the appropriate examination described in subpart I of this part.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.327, 11.331, and 11.333 of this 
part.



Sec.  11.514  Service requirements for national endorsement as second
assistant engineer of steam, motor, and/or gas turbine-propelled vessels.

    (a) The minimum service required to qualify an applicant for 
endorsement as second assistant engineer of steam, motor, and/or gas 
turbine-propelled vessels is--
    (1) One year of service as an assistant engineer, while holding a 
license or MMC endorsement as third assistant engineer; or
    (2) One year of service while holding a license or MMC endorsement 
as third assistant engineer, which includes--
    (i) A minimum of 6 months of service as third assistant engineer; 
and
    (ii) Additional service as a qualified member of the engine 
department, calculated on a two-for-one basis.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.327, 11.329, and 11.333 of this 
part.



Sec.  11.516  Service requirements for national endorsement as third
assistant engineer of steam, motor, and/or gas turbine-propelled vessels.

    (a) The minimum service required to qualify an applicant for 
endorsement as third assistant engineer of steam, motor, and/or gas 
turbine-propelled vessels is--
    (1) Three years of service in the engineroom of vessels, 2 years of 
which must have been as a qualified member of the engine department or 
equivalent position;
    (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 1 year of service in the engineroom as 
oiler, fireman/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 onboard 
engineer officer qualification program required by the service;
    (iii) The U.S. Naval Academy and completion of an onboard engineer 
officer qualification program required by the service; or
    (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 3 months of service in the engine department 
of steam, motor, or gas turbine-propelled vessels;
    (5) Graduation from the mechanical or electrical engineering course 
of a school of technology accredited by the ABET, together with 6 months 
of service in the engine department of steam, motor, or gas turbine-
propelled vessels;
    (6) Satisfactory completion of a comprehensive apprentice engineers 
training program approved by the Coast Guard; or
    (7) One year of service as assistant engineer (limited) of self-
propelled vessels and completion of the appropriate examination 
described in subpart I of this part.
    (b) Experience gained in the deck department on vessels of 100 GRT 
or more can be credited for up to 3 months of the service requirements 
under paragraph (a)(1) of this section.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.327, 11.329, and 11,333 of this 
part.



Sec.  11.518  Service requirements for national endorsement as chief
engineer (limited) of steam, motor, and/or gas turbine-propelled vessels.

    (a) The minimum service required to qualify an applicant for 
endorsement as chief engineer (limited) of steam, motor, and/or gas 
turbine-propelled vessels is 5 years of total service in the

[[Page 212]]

engineroom of vessels. Two years of this service must have been as an 
engineer officer while holding an engineer officer endorsement. Thirty 
months of the service must have been as a qualified member of the engine 
department or equivalent position.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.325 and 11.331 of this part.



Sec.  11.522  Service requirements for national endorsement as assistant
engineer (limited) of steam, motor, and/or gas turbine-propelled vessels.

    (a) The minimum service required to qualify an applicant for 
endorsement as assistant engineer (limited) of steam, motor, and/or gas 
turbine-propelled vessels is 3 years of service in the engineroom of 
vessels. Eighteen months of this service must have been as a qualified 
member of the engine department or equivalent position.
    (b) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.327, 11.329, and 11.333 of this 
part.



Sec.  11.524  Service requirements for national endorsement as designated
duty engineer (DDE) of steam, motor, and/or gas turbine-propelled vessels.

    (a) DDE endorsements are issued in three levels of propulsion power 
limitations dependent upon the total service of the applicant and 
completion of an appropriate examination. These endorsements are limited 
to vessels of less than 500 GRT on certain waters as specified in Sec.  
11.501 of this subpart.
    (b) The service requirements for endorsements as DDE are--
    (1) For designated duty engineer of steam, motor, and/or gas 
turbine-propelled vessels of unlimited propulsion power, the applicant 
must have 3 years of service in the engineroom. Eighteen months of this 
service must have been as a qualified member of the engine department or 
equivalent position;
    (2) For designated duty engineer of steam, motor, and/or gas 
turbine-propelled vessels of less than 4,000 HP/3,000 kW, the applicant 
must have 2 years of service in the engineroom. One year of this service 
must have been as a qualified member of the engine department or 
equivalent position; and
    (3) For designated duty engineer of steam, motor, and/or gas 
turbine-propelled vessels of less than 1,000 HP/750 kW, the applicant 
must have 1 year of service in the engineroom. Six months of this 
service must have been as a qualified member of the engine department or 
equivalent position.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.325, 11.327, 11.329, and 11.331 
of this part.



Sec.  11.530  Endorsements as engineers of uninspected fishing
industry vessels.

    (a) This section applies to endorsements for chief and assistant 
engineers of all vessels, however propelled, 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 GRT.
    (b) Endorsements as chief engineer and assistant engineer of 
uninspected fishing industry vessels are issued for ocean waters and 
with propulsion power limitations in accordance with the provisions of 
Sec.  11.503 of this subpart.
    (c) For an endorsement as chief engineer, the applicant must have 
served 4 years in the engineroom of vessels. One year of this service 
must have been as an assistant engineer officer or equivalent position.
    (d) For an endorsement as assistant engineer, an applicant must have 
served 3 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.



Sec.  11.540  Endorsements as engineers of mobile offshore drilling
units (MODUs).

    Endorsements as chief engineer (MODU) or assistant engineer (MODU) 
authorize service on certain self-propelled or non-self-propelled units 
of unlimited propulsion power where authorized by the vessel's 
certificate of inspection.

[[Page 213]]



Sec.  11.542  Endorsement as chief engineer (MODU).

    (a) To qualify for an endorsement as chief engineer (MODU) an 
applicant must--
    (1) Present evidence of one of the following:
    (i) Six years of employment assigned to MODUs, including 3 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.
    (ii) 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
    (2) Present evidence of completion of a firefighting training course 
as required by Sec.  11.201(h) of this part.
    (b) If an applicant successfully completes an examination and 
possesses the total required sea service for an endorsement as chief 
engineer (MODU), but does not possess the required sea service onboard 
self-propelled or propulsion assisted units, the Coast Guard may issue 
the applicant an endorsement limited to non-self-propelled units. The 
Coast Guard may remove the limitation upon presentation of satisfactory 
evidence of the required self-propelled sea service and completion of 
any additional required examination.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.325, 11.327, and 11.331 of this 
part.



Sec.  11.544  Endorsement as assistant engineer (MODU).

    (a) To qualify for an endorsement as assistant engineer (MODU) an 
applicant must--
    (1) Present evidence of one of the following experience:
    (i) 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 unit.
    (ii) Three years of employment in the machinist trade engaged in the 
construction or repair of diesel engines and 1 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.
    (iii) A degree from a program in marine, mechanical, or electrical 
engineering technology that 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 6 months of employment in any of 
the capacities listed in paragraph (a)(1)(i) of this section aboard 
self-propelled or propulsion-assisted units; and
    (2) Present evidence of completion of a firefighting training course 
as required by Sec.  11.201(h) of this part.
    (b) If an applicant successfully completes an examination and 
possesses the total required sea service for an endorsement as an 
assistant engineer (MODU), but does not possess the required sea service 
onboard self-propelled or propulsion assisted units, the Coast Guard may 
issue the applicant an endorsement limited to non-self-propelled units. 
The Coast Guard may remove the limitation upon presentation of the 
satisfactory evidence of the required self-propelled sea service and 
completion of any additional required examination.
    (c) A person holding this endorsement may qualify for an STCW 
endorsement, according to Sec. Sec.  11.329 and 11.333 of this part.



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.

[[Page 214]]



Sec.  11.553  Chief engineer (OSV).

    (a) The minimum service required to qualify an applicant for an 
endorsement as chief engineer (OSV) is 4 years of total service in the 
engineroom of vessels. One year of this service must have been as an 
engineer officer while holding an engineer officer endorsement. Two 
years of the service must have been as a qualified member of the engine 
department or equivalent position.
    (b) If an applicant has not obtained at least 50 percent of the 
required experience on vessels of 4,000 HP/3,000 kW or more, a 
propulsion power limitation is placed on the MMC based on the 
applicant's qualifying experience. The endorsement is limited to the 
maximum propulsion power on which at least 25 percent of the required 
experience was obtained, or 150 percent of the maximum propulsion power 
on which at least 50 percent of the service was obtained, whichever is 
higher. Limitations are in multiples of 1,000 HP/750 kW, using the next 
higher figure when an intermediate propulsion power is calculated. When 
the limitation as calculated equals or exceeds 10,000 HP/7,500 kW, an 
unlimited propulsion power endorsement is issued.
    (c) A person holding an endorsement as chief engineer (OSV) may 
qualify for an STCW endorsement, according to Sec. Sec.  11.325, 11.327, 
and 11.331 of this part.
    (d) The Coast Guard may exempt an applicant from meeting any 
requirement under STCW Regulation III/2 (incorporated by reference, see 
Sec.  11.102 of this part) that the Coast Guard 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.



Sec.  11.555  Assistant engineer (OSV).

    (a) The minimum service required to qualify an applicant for an 
endorsement as assistant engineer (OSV) of unlimited propulsion power 
is--
    (1) Three years of service in the engineroom. Eighteen months of 
this service must have been as a qualified member of the engine 
department (QMED) or equivalent position; or
    (2) One year of total service as part of an approved or accepted 
assistant engineer (OSV) training program.
    (b) The minimum service required to qualify an applicant for an 
endorsement as assistant engineer (OSV) of less than 4,000 HP/3,000 kW, 
is 2 years of service in the engineroom. One year of this service must 
have been as a QMED or equivalent position.
    (c) The minimum service required to qualify an applicant for an 
endorsement as assistant engineer (OSV) of less than 1,000 HP/750 kW is 
1 year of service in the engineroom. Six months of this service must 
have been as a QMED or equivalent position.
    (d) A person holding an endorsement as assistant engineer (OSV) may 
qualify for an STCW endorsement, according to Sec. Sec.  11.329 and 
11.333 of this part.
    (e) The Coast Guard may exempt an applicant from meeting any 
requirement under STCW Regulation III/1 (incorporated by reference, see 
Sec.  11.102 of this part) that the Coast Guard 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.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



                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 (incorporated by reference, see Sec.  11.102 of this 
part).



Sec.  11.603  Requirements for radio officers' endorsements.

    Each applicant for an original endorsement or renewal of license 
must present a current first or second class radiotelegraph operator 
license issued by the Federal Communications Commission. The applicant 
must enter on the endorsement application form the number, class, and 
date of issuance of his or her Federal Communications Commission 
license.

[[Page 215]]



Sec.  11.604  Requirements for an STCW endorsement for Global Maritime
Distress and Safety System (GMDSS) radio operators.

    Each applicant for an original endorsement must present a 
certificate of completion from a Coast Guard-approved course for 
operator of radio in the GMDSS meeting the requirements of Section A-IV/
2 of the STCW Code (incorporated by reference, see Sec.  11.102 of this 
part).



             Subpart G_Professional Requirements for Pilots



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 routes 
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 GRT or less.



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 of service in 
the deck department of self-propelled vessels navigating on oceans, 
coastwise, and Great Lakes, or bays, sounds, and lakes other than the 
Great Lakes, as follows:
    (i) Eighteen months of the 36 months of service must be performing 
bridge watchkeeping duties under the supervision of the master or a 
qualified officer.
    (ii) At least 12 months of the 18 months of 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 of 
service in the deck department of any vessel including at least 12 
months of service on vessels operating on the waters of rivers while the 
applicant is performing bridge watchkeeping duties under the supervision 
of the master or a qualified officer.
    (3) Canal and small lakes routes. The applicant must have at least 
24 months of service in the deck department of any vessel including at 
least 8 months of 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 an endorsement as 
first-class pilot on the Great Lakes.
    (c) Completion of an approved or accepted pilot training course may 
be substituted for a portion of the service requirements of this section 
in accordance with Sec.  10.404 of this subchapter. Additionally, 
roundtrips made during this training may apply toward the route 
familiarization requirements of Sec.  11.705 of this subpart. An 
individual using substituted service must have at least 9 months of 
shipboard service.
    (d) An individual holding a license or MMC endorsement as master or 
mate of inspected self-propelled vessels of more than 1,600 GRT meets 
the service requirements of this section for an endorsement as first-
class pilot.



Sec.  11.705  Route familiarization requirements.

    (a) The Officer in Charge, Marine Inspection (OCMI) has jurisdiction 
and determines within the range limitations specified in this section, 
the number of roundtrips required to qualify an applicant for a 
particular route, considering the following:
    (1) The geographic configuration of the waterway.
    (2) The type and size of vessels using the waterway.

[[Page 216]]

    (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.
    (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 must furnish evidence of having 
completed a minimum number of roundtrips, 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 roundtrips while serving as an 
observer, properly certified by the master and/or pilot of the vessel, 
is also acceptable. The range of roundtrips for an endorsement is a 
minimum of 12 roundtrips and a maximum of 20 roundtrips. 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 must furnish evidence of having completed the number of roundtrips 
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 roundtrips for an endorsement is a 
minimum of eight roundtrips and a maximum of 15 roundtrips.
    (d) Unless determined impracticable by the OCMI, 25 percent of the 
roundtrips required by the OCMI under this section must be made during 
the hours of darkness.
    (e) One of the roundtrips required by the OCMI under this section 
must be made over the route within the 6 months immediately preceding 
the date of application.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2004-
17914, 79 FR 55657, Sept. 17, 2014]



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 more than 1,600 GRT seeking an endorsement as first-class 
pilot, is required to pass those portions of the examination described 
in subpart I of this part that concern the specific route for which 
endorsement is sought.



Sec.  11.709  Annual physical examination requirements.

    (a) This section applies only to an individual who pilots a vessel 
of 1,600 GRT or more.
    (b) Every person holding a license or MMC endorsement as first-class 
pilot must have a thorough physical examination each year, to be 
completed by the first day of the month following the anniversary of the 
individual's most recently completed Coast Guard-required physical 
examination. Every other year, in accordance with the medical 
certificate requirements in Sec.  10.301(b) of this subchapter, the 
results of the physical examination must be recorded on a CG-719K form 
and submitted to the Coast Guard no later than 30 calendar days after 
completion of the physical examination.
    (c) Each annual physical examination must meet the requirements 
specified in 46 CFR, part 10, subpart C and be recorded on a CG-719-K.
    (d) An individual's first-class pilot endorsement becomes invalid on 
the first day of the month following the anniversary of the individual's 
most recently completed Coast Guard-required physical examination, if 
the person does not meet the physical examination requirement as 
provided in paragraph (b) of this section. The individual may not 
operate under the authority of that endorsement until a physical 
examination has been satisfactorily completed.



Sec.  11.711  Tonnage requirements.

    (a) In order to obtain a first-class pilot endorsement authorizing 
service

[[Page 217]]

on vessels of unlimited tonnage over a particular route, the applicant 
must have sufficient experience on vessels of more than 1,600 GRT.
    (b) For purposes of this section, an applicant is considered to have 
sufficient experience if the applicant has 18 months of 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 GRT or 
more, and two-thirds of the minimum number of roundtrips required for 
the route have been on vessels of 1,600 GRT or more.
    (c) If an applicant does not have sufficient experience on vessels 
of 1,600 GRT/3,000 GT or more, the endorsement will be for a limited 
tonnage until the applicant completes a number of additional roundtrips, 
as determined by the OCMI, within the range contained in Sec.  11.705(b) 
or (c) of this subpart, as appropriate on vessels of 1,600 GRT/3,000 GT 
or more.
    (d) For purposes of this section, for experience with respect to 
tonnage on towing vessels, the combined gross tonnage of the towing 
vessels and the vessels towed will be considered. However, the Coast 
Guard may require that all or a portion of the required number of 
roundtrips be obtained on self-propelled vessels of 1,600 GRT or more, 
when the Coast Guard 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.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2004-
17914, 79 FR 55657, Sept. 17, 2014]



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 other licenses or MMC 
endorsements. Roundtrips 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 or her 
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 that would 
provide the pilot with current knowledge of the route. Persons using 
this method of re-familiarization must 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.



 Subpart H_Registration of Staff Officers and Miscellaneous Endorsements



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  Staff departments.

    (a) Title 46 U.S.C. 8302 contains the requirements for staff 
departments on U.S. flag vessels.
    (b) Title 46 U.S.C. 8302 does not apply to--
    (1) A fishing or whaling vessel or yacht;
    (2) A vessel operated only on bays, sounds, inland waters, and lakes 
(other than the Great Lakes); and
    (3) A vessel ferrying passengers and cars on the Great Lakes.



Sec.  11.805  General requirements.

    (a) The applicant for an endorsement as staff officer is not 
required to take any examination; however, the applicant must present to 
the Coast Guard a

[[Page 218]]

letter justifying the need for the endorsement.
    (b) An applicant for a higher grade in the staff department must 
apply in the same manner as for an original endorsement and must 
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.
    (c) Title 46 U.S.C. 8302 addresses uniforms for staff officers who 
are members of the Naval Reserve.
    (d) A duplicate MMC may be issued by the Coast Guard. (See Sec.  
10.229 of this subchapter.)
    (e) An MMC is valid for a term of 5 years from the date of issuance. 
Procedures for renewing endorsements are found in Sec.  10.227 of this 
subchapter.
    (f) Each applicant for an original or a higher grade of endorsement, 
as described in paragraph (b) of this section, must 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.



Sec.  11.807  Experience requirements for registry.

    (a) The applicant for a certificate of registry as staff officer 
must 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 the 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 1 month in a 
military hospital or U.S. Public Health Service Hospital.
    (b) Employment on shore in connection with a vessel's business may 
be accepted instead of service aboard vessels. Related shore employment 
is accepted in the ratio of 2 months of shore service to 1 month of 
creditable 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 1 year.
    (d) In the event an applicant for an endorsement, other than medical 
doctor or professional nurse, presents evidence of other qualifications 
that, in the opinion of the Coast Guard, is equivalent to the experience 
requirements of this section and is consistent with the duties of a 
staff officer, the Coast Guard may issue the MMC.



Sec.  11.821  High-speed craft type-rating.

    (a) This section is only applicable to those persons who will be 
serving or have served upon those vessels built and operated in 
accordance with the International Code of Safety for High Speed Craft 
(HSC Code).
    (b) To qualify for a high-speed craft type-rating endorsement (TRE) 
for operating vessels to which the HSC Code applies, an applicant must--
    (1) Hold a valid officer endorsement for vessels of commensurate 
grade, tonnage, route, and/or horsepower; and
    (2) Present evidence of successful completion of a Coast Guard-
approved type rating training program.

[[Page 219]]

    (c) A separate TRE will be issued for each type and class of high 
speed craft. The original route will be as specified in the approved 
type rating program. Additional routes may be added to an existing TRE 
by completing at least 12 roundtrips over each route under the 
supervision of a type-rated master on the class of high speed craft the 
TRE will be valid for. Six of the trips must be made during the hours of 
darkness or a ``daylight only'' restriction will be imposed.
    (d) A TRE will be valid for 2 years. The expiration date of a TRE 
will not be changed due to the addition of additional routes.
    (e) To renew a TRE, an applicant must provide evidence of--
    (1) At least 6 months of service in the appropriate position on the 
type crafts to which the TRE applies during the preceding 2 years, 
including at least 12 roundtrips over each route, together with evidence 
of a completed revalidation assessment; or
    (2) Completion of an approved revalidation training program.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



                   Subpart I_Subjects of Examinations



Sec.  11.901  General provisions.

    (a) Where required by Sec.  11.903 of this subpart, each applicant 
for an endorsement listed in that section must pass an examination on 
the appropriate subjects listed in this subpart.
    (b) If the endorsement is to be limited in a manner that would 
render any of the subject matter unnecessary or inappropriate, the 
examination may be amended accordingly by the Coast Guard. Limitations 
that may affect the examination content are as follows:
    (1) Restricted routes for reduced service officer endorsements 
(master or mate of vessels of less than 200 GRT, OUPV, or master or mate 
(pilot) of towing vessels).
    (2) Limitations to a certain class or classes of vessels.
    (c) Simulators used in assessments of competence required by subpart 
C of this part must meet the appropriate performance standards set out 
in Section A-I/12 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part). However, simulators installed or brought into use 
before February 1, 2002, need not meet these performance standards if 
they fulfill the objective of the assessment of competence or 
demonstration of proficiency.



Sec.  11.903  Officer endorsements requiring examinations.

    (a) The following officer endorsements require examinations for 
issuance:
    (1) Chief mate of ocean or near-coastal self-propelled vessels of 
unlimited tonnage (examined at the management level).
    (2) Third mate of ocean or near-coastal self-propelled vessels of 
unlimited tonnage (examined at the operational level).
    (3) Master of ocean or near-coastal self-propelled vessels of less 
than 1,600 GRT.
    (4) Mate of ocean or near-coastal self-propelled vessels of less 
than 1,600 GRT.
    (5) Master of near-coastal vessels less than 200 GRT.
    (6) Mate of near-coastal vessels less than 200 GRT.
    (7) Master of near-coastal vessels less than 100 GRT.
    (8) Mate of near-coastal vessels less than 100 GRT.
    (9) Master of Great Lakes and inland vessels of unlimited tonnage.
    (10) Mate of Great Lakes and inland vessels of unlimited tonnage.
    (11) Master of inland vessels of unlimited tonnage.
    (12) Master of river vessels of unlimited tonnage.
    (13) Master of Great Lakes and inland/river vessels less than 500 
GRT or less than 1,600 GRT.
    (14) Mate of Great Lakes and inland/river vessels less than 500 GRT 
or less than 1,600 GRT.
    (15) Master of Great Lakes and inland/river vessels less than 200 
GRT.
    (16) Mate of Great Lakes and inland/river vessels less than 200 GRT.
    (17) Master of Great Lakes and inland/river vessels less than 100 
GRT.
    (18) First-class pilot.
    (19) Apprentice mate (steersman) of towing vessels.

[[Page 220]]

    (20) Apprentice mate (steersman) of towing vessels, limited.
    (21) Offshore Installation Manager.
    (22) Barge Supervisor.
    (23) Ballast Control Operator.
    (24) Operator of uninspected passenger vessels.
    (25) Master of uninspected fishing industry vessels.
    (26) Mate of uninspected fishing industry vessels.
    (27) Master (OSV).
    (28) Chief mate (OSV).
    (29) Mate (OSV).
    (30) First assistant engineer (limited or unlimited propulsion 
power).
    (31) Third assistant engineer (limited or unlimited propulsion 
power).
    (32) Chief engineer (limited) steam/motor vessels.
    (33) Assistant engineer (limited) steam/motor vessels.
    (34) Designated duty engineer steam/motor vessels.
    (35) Chief engineer (uninspected fishing industry vessels).
    (36) Assistant engineer (uninspected fishing industry vessels).
    (37) Chief engineer (MODU).
    (38) Assistant engineer (MODU).
    (39) Chief engineer (OSV).
    (40) Assistant engineer (OSV).
    (b) In paragraphs (a)(1) through (4), and (a)(6), (7), (15), and 
(16) of this section, examinations will vary depending on route desired.
    (c) The following officer endorsements do not require examinations:
    (1) Master of oceans or near-coastal vessels of unlimited tonnage 
when upgrading from MMC officer endorsements, or a license as chief mate 
of oceans or near-coastal vessels of unlimited tonnage, provided the 
applicant has already been examined at the management level.
    (2) Master of oceans or near-coastal vessels of unlimited tonnage 
when adding an endorsement as offshore installation manager (OIM).
    (3) Master of oceans or near-coastal self-propelled vessels of less 
than 200 GRT, when upgrading from mate of near-coastal self-propelled 
vessels of less than 200 GRT. Master of oceans self-propelled vessels of 
less than 200 GRT would, however, require an examination in celestial 
navigation.
    (4) Second mate of oceans or near-coastal vessels when upgrading 
from third mate of oceans or near-coastal vessels, provided the 
applicant has already been examined at the operational level.
    (5) Master of Great Lakes and inland vessels, or river vessels of 
less than 200 GRT when upgrading from mate of less than 200 GRT on the 
same route.
    (6) Chief engineer unlimited, provided the applicant has already 
been examined at the management level.
    (7) Chief engineer limited to service on steam, motor, or gas 
turbine-propelled vessels of less than 10,000 HP/7,500 kW on near-
coastal routes, provided the applicant has already been examined at the 
management level.
    (8) Chief engineer limited to service on steam, motor, and/or gas 
turbine-propelled vessels of less than 4,000 HP/3,000 kW on near-coastal 
routes, provided the applicant has already been examined at the 
management level.
    (9) Second assistant engineer when upgrading from third assistant 
engineer, provided the applicant has already been examined at the 
operational level.

[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]



Sec.  11.910  Subjects for deck officer endorsements.

    Table 1 to Sec.  11.910 gives the codes used in Table 2 to Sec.  
11.910 for all deck officers. Table 2 to Sec.  11.910 indicates the 
examination subjects for each endorsement, by code number. Figures in 
the body of Table 2 to Sec.  11.910, in place of the letter ``x'', refer 
to notes.

      Table 1 to Sec.   11.910--Codes for Deck Officer Endorsements
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
                        Deck Officer Endorsements
 1. Master/chief mate, oceans/near-coastal, unlimited tonnage.
 2. Master, oceans/near-coastal, less than 500 GRT and less than 1,600
 GRT.
 3. Second mate/third mate, oceans/near-coastal, unlimited tonnage, and
 mate less than 500 GRT and less than 1600 GRT, oceans/near-coastal.

[[Page 221]]

 
 4. Master, oceans/near-coastal, and mate, near-coastal, less than 200
 GRT (includes master, near-coastal, less than 100 GRT).
 5. Operator, uninspected passenger vessels, near-coastal.
 6. Operator, uninspected passenger vessels, Great Lakes/inland.
 7. Apprentice mate, towing vessels, ocean (domestic trade) and near-
 coastal routes.
 8. Apprentice mate (steersman), towing vessels, Great Lakes, and inland
 routes.
 9. Steersman, towing vessels, Western Rivers.
 10. Master, Great Lakes/inland, or master, inland, unlimited tonnage.
 11. Mate, Great Lakes/inland, unlimited tonnage.
 12. Master, Great Lakes/inland, less than 500 GRT and less than 1,600
 GRT.
 13. Mate, Great Lakes/inland, less than 500 GRT and less than 1,600
 GRT.
 14. Master or mate, Great Lakes/inland, less than 200 GRT (includes
 master, Great Lakes/inland, less than 100 GRT).
 15. Master, rivers, unlimited tonnage.
 16. Master, rivers, less than 500 GRT and less than 1,600 GRT.
 17. Mate, rivers, less than 500 GRT and less than 1,600 GRT.
 18. Master or mate, rivers, less than 200 GRT (includes master, rivers,
 less than 100 GRT).
 19. Master, uninspected fishing industry vessels, oceans/near-coastal.
 20. Mate, uninspected fishing industry vessels, oceans/near-coastal.
 21. First-class pilot.
 22. Master (OSV).
 23. Chief mate (OSV).
 24. Mate (OSV).
------------------------------------------------------------------------


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[USCG-2004-17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58277, Sept. 29, 2014]

[[Page 231]]



Sec.  11.920  Subjects for MODU endorsements.

    Table 1 to Sec.  11.920 gives the codes used in Table 2 to Sec.  
11.920 for MODU endorsements. Table 2 to Sec.  11.920 indicates the 
examination subjects for each endorsement by the code number.

          Table 1 to Sec.   11.920--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 2 to Sec.   11.920--Subjects for MODU Licenses
----------------------------------------------------------------------------------------------------------------
                Examination topics                    1        2        3        4        5        6        7
----------------------------------------------------------------------------------------------------------------
Watchkeeping:
    COLREGS......................................       X        X   .......       X   .......       X
    ``Basic Principles for Navigational Watch''..       X        X        X        X        X        X
    MODU obstruction lights......................       X   .......       X   .......       X        X
Meteorology and oceanography:
    Synoptic chart weather forecasting...........       X        X        X        X        X        X
    Characteristics of weather systems...........       X        X        X        X        X        X        X
    Ocean current systems........................       X        X        X        X        X        X
    Tide and tidal current publications..........       X        X        X        X        X        X
Stability, ballasting, construction and damage
 control:
    Principles of ship construction, structural         X        X        X        X        X        X        X
     members.....................................
    Trim and stability...........................       X        X        X        X        X        X        X
    Damaged trim and stability countermeasures...       X        X        X        X   .......       X        X
    Stability and trim calculations..............       X        X        X        X   .......       X        X
    Load line requirements.......................       X        X        X        X        X        X        X
Operating manual:
    Rig characteristics and limitations..........       X        X        X        X        X        X        X
    Hydrostatics data............................       X        X        X        X   .......       X        X
    Tank tables..................................       X        X        X        X        X        X        X
    KG limitations...............................       X        X        X        X   .......       X        X
    Severe storm instructions....................       X        X        X        X        X        X        X
    Transit instructions.........................       X        X   .......       X   .......       X        X
    On-station instructions......................       X   .......       X   .......       X        X        X
    Unexpected list or trim......................       X        X        X        X   .......       X        X
    Ballasting procedures........................       X        X        X   .......  .......       X        X
    Operation of bilge system....................       X        X        X        X   .......       X        X
    Leg loading calculations.....................       X   .......  .......       X        X   .......
    Completion of variable load form.............       X        X        X        X        X        X        X
    Evaluation of variable load form.............       X        X        X        X        X        X        X
    Emergency procedures.........................       X        X        X        X        X        X        X
Maneuvering and handling:
    Anchoring and anchor handling................       X        X        X   .......  .......       X
    Heavy weather operations.....................       X        X        X        X        X        X        X
    Mooring, positioning.........................       X        X        X        X   .......       X        X
    Moving, positioning..........................       X        X   .......       X   .......       X
Fire prevention and firefighting appliances:
    Organization of fire drills..................       X        X        X        X        X        X        X
    Classes and chemistry of fire................       X        X        X        X        X        X        X
    Firefighting systems.........................       X        X        X        X        X        X        X
    Firefighting equipment and regulations.......       X        X        X        X        X        X        X
    Basic firefighting and prevention of fires...       X        X        X        X        X        X        X
Emergency procedures and contingency plans:
    Temporary repairs............................       X        X        X        X   .......       X
    Fire or explosion............................       X        X        X        X        X        X        X
    Abandon unit.................................       X        X        X        X        X        X        X
    Man overboard................................       X        X        X        X        X        X        X
    Heavy weather................................       X        X        X        X        X        X        X
    Collision....................................       X        X        X        X        X        X        X
    Failure of ballast control system............       X        X        X   .......  .......       X        X
    Mooring emergencies..........................       X   .......       X   .......  .......       X        X
    Blowouts.....................................       X   .......       X   .......       X        X        X
    H2S safety...................................       X   .......       X   .......       X        X        X
General Engineering--Power plants and auxiliary
 systems:
    Marine engineering terminology...............       X        X        X        X        X        X        X
    Engineering equipment, operations and               X        X        X        X        X        X
     failures....................................
    Offshore drilling operations.................  .......  .......  .......  .......  .......  .......       X
Deck seamanship--general:
    Transfer of personnel........................       X        X        X        X        X        X
    Support boats/helicopters....................       X        X        X        X        X        X
    Cargo stowage and securing...................       X        X        X        X        X        X

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    Hazardous materials/dangerous goods                 X        X        X        X        X        X
     precautions.................................
    Mooring equipment............................       X        X        X        X        X        X
    Crane use procedures and inspections.........       X        X        X        X        X        X
Medical care:
    Knowledge and use of:
        First aid................................       X        X        X        X        X        X        X
        First response medical action............       X        X        X        X        X        X        X
Maritime law and regulation:
    National maritime law:
        Certification and documentation of              X        X        X        X        X   .......
         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 Organization......       X        X        X        X        X   .......
    International Convention on Load Lines.......       X        X        X        X   .......  .......       X
    MARPOL 73/78.................................       X        X        X        X        X   .......
Personnel Management and Training:
    Ship's business including:
        Required logs and recordkeeping..........       X        X        X        X        X        X
        Casualty reports and records.............       X        X        X        X        X   .......
Communications:
    Radio communications and FCC permit..........       X        X        X        X        X        X
    Radiotelephone procedures....................       X        X        X        X        X        X
    Lifesaving/Survival:.........................  .......  .......  .......  .......  .......  .......
    Lifesaving appliance operation (launching,          X        X        X        X        X        X        X
     boat handling)..............................
    Procedures/rules for lifeboats, survival            X        X        X        X        X        X        X
     suits, personal flotation devices (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
----------------------------------------------------------------------------------------------------------------



Sec.  11.950  Examination subjects for engineer officer endorsements.

    Table 1 to Sec.  11.950 gives the codes used in Table 2 to Sec.  
11.950 for engineer officer endorsements. Table 2 to Sec.  11.950 
indicates the examination subjects for each endorsement by the code 
number.

    Table 1 to Sec.   11.950--Codes for Engineer Officer Endorsements
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
1. First assistant engineer (unlimited).
2. Third assistant engineer (unlimited).
3. Chief engineer (limited).
4. Assistant engineer (limited).
5. Designated duty engineer (unlimited).
6. Designated duty engineer (4,000 HP).
7. Designated duty engineer (1,000 HP).
8. Chief engineer (uninspected fishing industry vessels).
9. Assistant engineer (uninspected fishing industry vessels).
10. Chief engineer (MODU).
11. Assistant engineer (MODU).
12. Chief engineer (OSV unlimited).
13. Assistant engineer (OSV unlimited).
14. Chief engineer (OSV 4,000 HP).
15. Assistant engineer (OSV 4,000 HP).
------------------------------------------------------------------------


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        Subpart J_Recognition of Other Parties' STCW Certificates



Sec.  11.1001  Purpose of rules.

    (a) The rules in this subpart implement Regulation I/10 of the 
International Convention on Standards of Training, Certification and 
Watchkeeping for Seafarers, 1978 as amended (STCW) (incorporated by 
reference, see Sec.  11.102 of this part) by establishing requirements 
and procedures for the recognition and endorsement of officer 
certificates of competence issued by other Parties to STCW.
    (b) Specific regulations on the use of non-U.S. credentialed 
officers and mariners with officer endorsements (except those of master) 
are found in Sec.  15.720 of this subchapter.



Sec.  11.1003  General requirements.

    (a) The Coast Guard recognizes certificates only from countries that 
the United States has assured itself comply with requirements of the 
STCW Convention and STCW Code (incorporated by reference, see Sec.  
11.102 of this part).
    (b) The Coast Guard will publish a list of countries whose 
certificates it will recognize.
    (c) The Coast Guard will issue a ``Certificate attesting 
recognition'' to an applicant after ensuring the validity and 
authenticity of the credential (certificate of competency) issued by his 
or her country of origin.
    (d) No application from a non-US citizen for a ``Certificate 
attesting recognition'' issued pursuant to this subpart will be accepted 
unless the applicant's employer satisfies the requirements of Sec.  
11.1005 of this subpart.



Sec.  11.1005  Employer application requirements.

    (a) The employer must submit the following to the Coast Guard, as a 
part of the applicant's application for a ``Certificate attesting 
recognition,'' 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; and
    (iii) All information derived from the employer-conducted background 
check.
    (b) If a ``Certificate attesting recognition'' is issued to the 
applicant, the employer must maintain a detailed record of the seaman's 
total service on all authorized U.S. flag vessels, and must make that 
information available to the Coast Guard upon request.
    (c) 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 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.
    (d) The employer must also submit to the Coast Guard the applicant's 
copy of the following:
    (1) Base credential (certificate of competency), as well as any 
other documentary evidence of proficiency (such as Basic Training in 
accordance with Sec.  11.302 of this part, Basic/Advanced Firefighting 
in accordance with Sec.  11.303 of this part, Survival Craft, etc.) to 
verify that the applicant meets the manning requirements. The 
documentation must include any necessary official translation into the 
English language.
    (2) Valid medical certificate.
    (3) Valid identification document, such as a passport or Seaman's 
Identity Document (SID).
    (e) The employer is subject to the civil penalty provisions 
specified in 46 U.S.C. 8103(f) for any violation of this section.



Sec.  11.1007  Basis for denial.

    An applicant for a ``Certificate attesting recognition'' of an 
officer certificate issued by another party must--

[[Page 246]]

    (a) Have no record of material disciplinary actions during 
employment on any U.S. flag vessel of the employer, as verified in 
writing by the owner or managing operator of the U.S. flag vessels on 
which the applicant will be employed; and
    (b) Have successfully completed an employer-conducted background 
check, to the satisfaction of both the employer and the Coast Guard.



Sec.  11.1009  Restrictions.

    (a) A ``Certificate attesting recognition'' of an STCW certificate 
issued by another party to a non-resident alien under this subpart 
authorizes service only on vessels owned and/or operated in accordance 
with Sec.  15.720 of this subchapter.
    (b) The certificate will be issued for service only in the 
department for which the application was submitted.
    (c) No other certificate is authorized, unless all applicable 
requirements of this subpart and the STCW Convention (incorporated by 
reference, see Sec.  11.102 of this part) are met, and the employer 
makes subsequent application for a new endorsement.
    (d) This certificate is not valid for service on U.S. vessels 
operating in U.S. waters.



 Subpart K_Officers on a Passenger Ship When on an International Voyage



Sec.  11.1101  Purpose of rules.

    The rules in this subpart establish requirements for officers 
serving on passenger ships as defined in Sec.  11.1103 of this subpart.



Sec.  11.1103  Definitions.

    Passenger ship in this subpart means a ship carrying more than 12 
passengers when on an international voyage.



Sec.  11.1105  General requirements for officer endorsements.

    (a) To serve on a passenger vessel on international voyages, 
masters, deck officers, chief engineers and engineer officers, must--
    (1) Meet the appropriate requirements of the STCW Regulation V/2 and 
of section A-V/2 of the STCW Code (incorporated by reference, see Sec.  
11.102 of this part) as follows:
    (i) Masters, officers, and other personnel designated on the muster 
list to assist passengers in emergency situation onboard passenger ships 
must have completed training in crowd management specified in section A-
V/2 of the STCW Code.
    (ii) Personnel providing direct service to passengers in passenger 
spaces onboard passenger ships must have completed the safety training 
specified in section A-V/2 of the STCW Code.
    (iii) Masters, chief engineer officers, chief mates, second engineer 
officers, and any person designated on muster lists of having 
responsibility for the safety of passengers in emergency situations 
onboard passenger ships must have completed approved training in crisis 
management and human behavior as specified in section A-V/2 of the STCW 
Code.
    (iv) Masters, chief engineer officers, chief mates, second engineer 
officers, and every person assigned immediate responsibility for 
embarking and disembarking passengers, loading, discharging or securing 
cargo, or closing hull openings onboard Ro-Ro passenger ships must have 
completed approved training in passenger safety, cargo safety, and hull 
integrity as specified in section A-V/2 of the STCW Code; and
    (2) Hold documentary evidence as proof of meeting these requirements 
through approved or accepted training.
    (b) Seafarers who are required to be trained in accordance with 
paragraph (a) of this section must provide, at intervals not exceeding 5 
years, evidence of maintaining the standard of competence.
    (c) The Coast Guard will accept onboard training and experience, 
through evidence of 1 year of sea service within the last 5 years, as 
meeting the requirements of paragraph (b) of this section.
    (d) Personnel serving onboard small passenger vessels engaged in 
domestic, near-coastal voyages, as defined in Sec.  11.301(h) of this 
subchapter, are not subject to any obligation for the purpose of this 
STCW requirement.

[[Page 247]]



PART 12_REQUIREMENTS FOR RATING ENDORSEMENTS--Table of Contents



                            Subpart A_General

Sec.
12.101 Purpose.
12.103 Incorporation by reference.
12.105 Paperwork approval.

         Subpart B_General Requirements for Rating Endorsements

12.201 General requirements for national and STCW rating endorsements.
12.203 Creditable service and equivalents for national and STCW ratings 
          endorsements.
12.205 Examination procedures and denial of rating and STCW 
          endorsements.

Subpart C [Reserved]

      Subpart D_Requirements for National Deck Rating Endorsements

12.401 General requirements for able seaman (A/B) endorsements.
12.403 Service or training requirements for able seaman (A/B) 
          endorsements.
12.405 Examination and demonstration of ability for able seaman (A/B) 
          endorsements.
12.407 General requirements for lifeboatman endorsements.
12.409 General requirements for lifeboatman-limited endorsements.

    Subpart E_Requirements for National Engineer Rating Endorsements

12.501 General requirements for a qualified member of the engine 
          department (QMED).
12.503 Service or training requirements.
12.505 Examination requirements.

           Subpart F_Requirements for STCW Rating Endorsements

12.601 General requirements for STCW rating endorsements.
12.602 Basic training.
12.603 Requirements to qualify for an STCW endorsement as able seafarer-
          deck.
12.605 Requirements to qualify for an STCW endorsement as ratings 
          forming part of a navigational watch (RFPNW).
12.607 Requirements to qualify for an STCW endorsement as rating as able 
          seafarer-engine.
12.609 Requirements to qualify for an STCW endorsement as rating forming 
          part of an engineering watch (RFPEW).
12.611 Requirements to qualify for an STCW endorsement as electro-
          technical rating (ETR) on vessels powered by main propulsion 
          machinery of 750 kW/1,000 HP or more.
12.613 Requirements to qualify for an STCW endorsement in proficiency in 
          survival craft and rescue boats other than fast rescue boats 
          (PSC).
12.615 Requirements to qualify for an STCW endorsement in proficiency in 
          survival craft and rescue boats other than lifeboats and fast 
          rescue boats-limited (PSC-limited).
12.617 Requirements to qualify for an STCW endorsement in proficiency in 
          fast rescue boats.
12.619 Requirements to qualify for an STCW endorsement as medical first-
          aid provider.
12.621 Requirements to qualify for an STCW endorsement as person in 
          charge of medical care.
12.623 Requirements to qualify for an STCW endorsement as Global 
          Maritime Distress and Safety System (GMDSS) at-sea maintainer.
12.625 Requirements to qualify for an STCW endorsement as vessel 
          personnel with designated security duties.
12.627 Requirements to qualify for an STCW endorsement for security 
          awareness.

    Subpart G_Entry-Level National Ratings and Miscellaneous Ratings

12.701 Credentials required for entry-level and miscellaneous ratings.
12.703 General requirements for entry-level ratings.
12.705 Endorsements for persons enrolled in a Maritime Administration 
          approved training program.
12.707 Student observers.
12.709 Apprentice engineers.
12.711 Apprentice mate.

Subpart H_Non-Resident Alien Members of the Steward's Department on U.S. 
                      Flag Large Passenger Vessels

12.801 Purpose.
12.803 General requirements.
12.805 Employer requirements.
12.807 Basis for denial.
12.809 Citizenship and identity.
12.811 Restrictions.
12.813 Alternative means of compliance.

  Subpart I_Crewmembers on a Passenger Ship on an International Voyage

12.901 Purpose.
12.903 Definitions.
12.905 General requirements.

    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.

[[Page 248]]


    Source: USCG-2004-17914, 78 FR 77975, Dec. 24, 2013, unless 
otherwise noted.



                            Subpart A_General



Sec.  12.101  Purpose.

    (a) The purpose of this part is to provide--
    (1) A comprehensive and adequate means of determining and verifying 
the professional qualifications an applicant must possess to be eligible 
for certification to serve on merchant vessels of the United States; and
    (2) A means of determining that an applicant is qualified to receive 
the endorsement required by the International Convention on Standards of 
Training, Certification and Watchkeeping for Seafarers, 1978, as amended 
(the STCW Convention, or STCW).
    (b) The requirements applicable to approved and accepted training, 
training for a particular rating endorsement, and training and 
assessment associated with meeting the standards of competence 
established by the STCW Convention have been moved to 46 CFR part 10, 
subpart D.



Sec.  12.103  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. All approved material is available for 
inspection at the Coast Guard, Office of Merchant Mariner Credentialing 
(CG-MMC), U.S. Coast Guard, Stop 7509, 2703 Martin Luther King Jr. 
Avenue SE., Washington, DC 20593-7509, and is available from the sources 
listed below. It is also 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.
    (b) International Maritime Organization (IMO), 4 Albert Embankment, 
London SE1 7SR, England:
    (1) The Seafarers' Training, Certification and Watchkeeping Code, as 
amended, 2011 (the STCW Code), incorporation by reference approved for 
Sec. Sec.  12.601, 12.602, 12.603, 12.605, 12.607, 12.609, 12.611, 
12.613, 12.615, 12.617, 12.619, 12.621, 12.623, 12.811, and 12.905.
    (2) [Reserved]

[USCG-2004-17914, 78 FR 77975, Dec. 24, 2013, as amended by USCG-2016-
0315, 81 FR 43955, July 6, 2016]



Sec.  12.105  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 recordkeeping requirements in this part.
    (b) The following control numbers have been assigned to the sections 
indicated:
    (1) OMB 1625-0079--46 CFR 12.217 and 12.301.
    (2) [Reserved]



         Subpart B_General Requirements for Rating Endorsements



Sec.  12.201  General requirements for national and STCW rating endorsements.

    (a) General. (1) An MMC issued to a deck or engineer officer will be 
endorsed for all entry-level ratings and any other ratings for which 
they qualify under this part. An applicant for any STCW endorsement must 
hold the appropriate national endorsement, unless otherwise specified.
    (2) 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 indicated by the 
notation ``(F.H.)''.
    (3) When an applicant meets the requirements for certification set 
forth in this part, the Coast Guard will issue the appropriate 
endorsement.
    (b) Physical and medical requirements. The physical and medical 
requirements applicable to the endorsements in this subpart are found in 
46 CFR part 10, subpart C.

[[Page 249]]



Sec.  12.203  Creditable service and equivalents for national and STCW ratings endorsements.

    Applicants for endorsements should refer to Sec.  10.232 of this 
subchapter for information regarding requirements for documentation and 
proof of sea service.



Sec.  12.205  Examination procedures and denial of rating and STCW
endorsements.

    (a) The examination fee set out in Table 1 to Sec.  10.219(a) of 
this subchapter must be paid before the applicant may take the first 
section of the examination.
    (b) Upon receipt of an application for a rating endorsement, the 
Coast Guard will give any required examination as soon as practicable 
after determining that the applicant is otherwise qualified for the 
endorsement.
    (c) An applicant for a rating endorsement who has been duly examined 
and failed the examination may seek reexamination at any time after the 
initial examination. However, an applicant who fails an examination for 
the third time must wait 90 days before re-testing. All examinations and 
retests must be completed within 1 year of approval for examination.
    (d) Upon receipt of an application for an STCW endorsement, the 
Coast Guard will evaluate the applicant's qualifications. The Coast 
Guard will issue the appropriate endorsement after determining that the 
applicant satisfactorily meets all requirements for any requested STCW 
rating or qualification.

Subpart C [Reserved]



      Subpart D_Requirements for National Deck Rating Endorsements



Sec.  12.401  General requirements for able seaman (A/B) endorsements.

    (a) General. An A/B is any person below officer and above ordinary 
seaman who holds a merchant mariner credential (MMC) or merchant mariner 
document (MMD) endorsed as A/B by the Coast Guard.
    (b) Categories. The following categories of able seaman endorsements 
are established:
    (1) Able seaman--unlimited.
    (2) Able seaman--limited.
    (3) Able seaman--special.
    (4) Able seaman--offshore supply vessels.
    (5) Able seaman-sail.
    (6) Able seaman-fishing industry.
    (c) Requirements for certification. 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 
requirements specified in 46 CFR, part 10, subpart C;
    (3) Present evidence of having passed a chemical test for dangerous 
drugs or of qualifying for an exemption from testing as described in 
Sec.  16.220 of this subchapter;
    (4) Meet the sea service or training requirements set forth in this 
part;
    (5) Pass an examination for able seaman;
    (6) Qualify for an endorsement as lifeboatman or lifeboatman-
limited; and
    (7) Speak and understand the English language as would be required 
in performing the general duties of able seaman and during an emergency 
aboard ship.
    (d) Additional requirements. (1) The holder of an MMC or MMD 
endorsed for the rating of A/B may serve in any rating in the deck 
department without obtaining an additional endorsement, provided--
    (i) That the holder possesses the appropriate A/B endorsement for 
the service of the vessel; and
    (ii) That the holder possesses the appropriate STCW endorsement when 
serving as an able seafarer-deck or Ratings forming part of the 
navigational watch on a seagoing ship.
    (2) After March 24, 2014, any MMC endorsed as A/B will also be 
endorsed as lifeboatman or lifeboatman-limited, as appropriate.
    (3) The A/B endorsement will clearly describe the type of rating 
that it represents (see paragraph (a) of this section).

[[Page 250]]



Sec.  12.403  Service or training requirements for able seaman (A/B)
endorsements.

    (a) The minimum service required to qualify for the various 
categories of endorsement as able seaman is as follows:
    (1) Able seaman--unlimited. Three years of service on deck on 
vessels operating on oceans or on the Great Lakes.
    (2) Able seaman--limited. Eighteen months of service on deck on 
vessels of 100 GRT or more 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 of service on deck on 
vessels operating on oceans or the navigable waters of the United 
States, including the Great Lakes.
    (4) Able seaman--offshore supply vessels. Six months of service on 
deck on vessels operating on oceans or on the navigable waters of the 
United States, including the Great Lakes.
    (5) Able seaman--sail. Six months of service on deck on sailing 
school vessels, oceanographic research vessels powered primarily by 
sail, or equivalent sailing vessels operating on oceans or on the 
navigable waters of the United States, including the Great Lakes.
    (6) Able seaman--fishing industry. Six months of service on deck, 
not as a processor, onboard vessels operating on oceans or on the 
navigable waters of the United States, including the Great Lakes.
    (b) Approved training programs may be substituted for the required 
periods of service on deck as follows:
    (1) A graduate of a school ship may be qualified for a rating 
endorsement as A/B, without further service, upon satisfactory 
completion of the program of instruction. For this purpose, ``school 
ship'' is interpreted to mean an institution that offers a complete 
approved program of instruction, including a period of at-sea training, 
in the skills appropriate to the rating of A/B.
    (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 Coast Guard will determine the service/training ratio for each 
program and may allow a maximum of 3 days of deck service credit for 
each day of instruction.



Sec.  12.405  Examination and demonstration of ability for able
seaman (A/B) endorsements.

    (a) Before an applicant is issued an endorsement as an A/B, he or 
she must prove, to the satisfaction of the Coast Guard, by oral or other 
means of examination, or by actual demonstration in a Coast Guard-
approved course, his or her knowledge of seamanship and the ability to 
carry out effectively all the duties that may be required of an A/B, 
including those of a lifeboatman or lifeboatman-limited.
    (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) The applicant's knowledge of nautical terms, use of the compass 
for navigation, running lights, passing signals, and fog signals for 
vessels on the high seas, inland waters, or Great Lakes, and distress 
signals; and
    (2) The applicant's knowledge of commands in handling the wheel by 
obeying orders passed to him or her as helmsman, and knowledge of the 
use of the engine room telegraph.
    (c) The applicant must provide evidence, to the satisfaction of the 
Coast Guard, of the knowledge of principal knots, bends, splices, and 
hitches in common use by actually making them.
    (d) The applicant must demonstrate, to the satisfaction of the Coast 
Guard, 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.



Sec.  12.407  General requirements for lifeboatman endorsements.

    (a) General. Every person fulfilling the manning requirements as 
lifeboatman on any United States vessel must hold an endorsement as 
lifeboatman. 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.

[[Page 251]]

    (b) Requirements for certification. (1) To qualify for an 
endorsement as lifeboatman, an applicant must--
    (i) Be at least 18 years of age;
    (ii) Pass the prescribed physical and medical examination 
requirements specified in 46 CFR, part 10, subpart C; and
    (iii) Present evidence of having passed a chemical test for 
dangerous drugs or as having qualified for an exemption for testing 
described in Sec.  16.220 of this subchapter.
    (2) To be eligible for an endorsement as lifeboatman, an applicant 
must meet one of the following sea service requirements:
    (i) At least 6 months of sea service in any department of vessels 
and the successful completion of an approved course.
    (ii) At least 12 months of sea service in any department of vessels 
on ocean, coastwise, inland, and Great Lakes routes.
    (3) Before an applicant is issued an endorsement as a lifeboatman, 
he or she must prove, to the satisfaction of the Coast Guard, by oral or 
other means of examination, and by actual practical demonstration of 
abilities, his or her knowledge of seamanship and the ability to carry 
out effectively all the duties that may be required of a lifeboatman. 
This requirement may be met by completion of an approved course in 
paragraph (b)(2)(i) of this section, provided the course includes actual 
practical demonstration of abilities.
    (4) The practical demonstration must consist of a demonstration of 
the applicant's ability to--
    (i) Take charge of a survival craft or rescue boat during and after 
launch;
    (ii) Operate a survival craft engine;
    (iii) Demonstrate the ability to row by actually pulling an oar in 
the boat;
    (iv) Manage a survival craft and survivors after abandoning ship;
    (v) Safely recover survival craft and rescue boats; and
    (vi) Use locating and communication devices.
    (5) The examination, whether administered orally or by other means, 
must be conducted only in the English language and must consist of 
questions regarding--
    (i) Lifeboats and liferafts, the names of their essential parts, and 
a description of the required equipment;
    (ii) 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
    (iii) The operation and functions of commonly used types of davits.
    (6) An applicant, to be eligible for an endorsement as lifeboatman, 
must be able to speak and understand the English language as would be 
required in the rating of lifeboatman and in an emergency aboard ship.



Sec.  12.409  General requirements for lifeboatman-limited endorsements.

    (a) General. Every person fulfilling the manning requirements for 
lifeboatman on any United States vessel fitted with liferafts, but not 
fitted with lifeboats, must hold an endorsement as lifeboatman or as 
lifeboatman-limited. No endorsement as lifeboatman or lifeboatman-
limited 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.
    (b) Requirements for certification. (1) To qualify for an 
endorsement as lifeboatman-limited, an applicant must--
    (i) Be at least 18 years of age;
    (ii) Pass the prescribed physical and medical examination 
requirements specified in 46 CFR Part 10, subpart C; and
    (iii) Present evidence of having passed a chemical test for 
dangerous drugs or of having qualified for an exemption for testing, as 
described in Sec.  16.220 of this subchapter.
    (2) An applicant, to be eligible for an endorsement as lifeboatman-
limited, must meet one of the following sea service requirements:
    (i) At least 12 months of sea service in any department of vessels 
on ocean, coastwise, inland, and Great Lakes routes.
    (ii) At least 6 months of sea service in any department of vessels, 
and successful completion of an approved course.

[[Page 252]]

    (3) Before an applicant is issued an endorsement as a lifeboatman-
limited, he or she must prove, to the satisfaction of the Coast Guard, 
by oral or other means of examination, and by actual practical 
demonstration of abilities, his or her knowledge of seamanship and 
ability to carry out effectively all the duties that may be required of 
a lifeboatman-limited.
    (4) The practical demonstration must consist of a demonstration of 
the applicant's ability to--
    (i) Take charge of a rescue boat, liferaft, or other lifesaving 
apparatus during and after launch;
    (ii) Operate a rescue boat engine;
    (iii) Manage a survival craft and survivors after abandoning ship;
    (iv) Safely recover rescue boats; and
    (v) Use locating and communication devices.
    (5) The examination, whether administered orally or by other means, 
must be conducted only in the English language and must consist of 
questions regarding--
    (i) Liferafts, rescue boats, and other survival craft except 
lifeboats, the names of their essential parts, and a description and use 
of the required equipment;
    (ii) The clearing away, launching, and handling of rescue craft, 
except lifeboats; and
    (iii) The operation and functions of commonly used launching devices 
for rescue boats and survival craft other than lifeboats.
    (6) An applicant, to be eligible for an endorsement as lifeboatman-
limited, must be able to speak and understand the English language as 
would be required in the rating of lifeboatman-limited and in an 
emergency aboard ship.



    Subpart E_Requirements for National Engineer Rating Endorsements



Sec.  12.501  General requirements for a qualified member of the engine
department (QMED).

    (a) General. A qualified member of the engine department is any 
person below officer and above the rating of coal passer or wiper, who 
holds an MMC or MMD endorsed as QMED by the Coast Guard.
    (b) Categories. (1) Each QMED rating must be endorsed separately, 
unless the applicant qualifies for all QMED ratings, in which case the 
endorsement will read ``QMED--any rating.'' The ratings are--
    (i) Fireman/Watertender;
    (ii) Oiler;
    (iii) Junior engineer;
    (iv) Electrician/Refrigerating engineer; and
    (v) Pumpman/Machinist.
    (2) The Coast Guard will no longer issue original endorsements for 
deck engineer, deck/engine mechanic, or engineman, or individual 
endorsements for refrigerating engineer, machinist, electrician, and 
pumpman. However, a mariner who holds any of these endorsements may 
continue to renew them as long as he or she is otherwise qualified.
    (3) If the holder of an endorsement as pumpman only or machinist 
only seeks the combined endorsement of pumpman/machinist, the mariner 
must pass the examination described in Table 1 to Sec.  12.505(c) of 
this subpart.
    (4) If the holder of an endorsement as electrician only or 
refrigerating engineer only seeks the combined endorsement of 
electrician/refrigerating engineer, the mariner must pass the 
examination described in Table 1 to Sec.  12.505(c) of this subpart.
    (c) Requirements for certification. To qualify for any endorsement 
as QMED, an applicant must--
    (1) Be at least 18 years of age;
    (2) Pass the prescribed physical and medical examination 
requirements specified in 46 CFR Part 10, subpart C;
    (3) Present evidence of having passed a chemical test for dangerous 
drugs or of having qualified for an exemption from testing, as described 
in Sec.  16.220 of this subchapter;
    (4) Meet the sea service or training requirements in Sec.  12.503 of 
this subpart;
    (5) Pass an examination as QMED; and
    (6) Speak and understand the English language as would be required 
in performing the general duties of QMED and during an emergency aboard 
ship.

[[Page 253]]



Sec.  12.503  Service or training requirements.

    (a) An applicant for an endorsement as QMED must provide the Coast 
Guard with proof of qualification based on 6 months of service in a 
rating at least equal to that of wiper or coal passer.
    (b) Approved training programs may be substituted for the required 
periods of service as follows:
    (1) A graduate of a school ship may qualify for a rating endorsement 
as QMED, without further service, upon satisfactory completion of the 
program of instruction. For this purpose, school ship is interpreted to 
mean an institution that offers a complete approved program of 
instruction, including a period of at-sea training, in the skills 
appropriate to the rating of QMED.
    (2) Training programs, other than those classified as a school ship, 
may be substituted for up to one-half of the required service. The 
service/training ratio for each program is determined by the Coast 
Guard.



Sec.  12.505  Examination requirements.

    (a) Before an applicant is issued an endorsement as QMED in the 
rating of oiler, fireman/watertender, junior engineer, pumpman/
machinist, or electrician/refrigerating engineer, he or she must prove, 
to the satisfaction of the Coast Guard, by oral or other means of 
examination, his or her knowledge of the subjects listed in paragraph 
(c) of this section.
    (b) The examination, whether administered orally or by other means, 
must be conducted only in the English language.
    (c) Table 1 to Sec.  12.505(c) provides a list of subjects required.

                                           Table 1 to Sec.   12.505(c)--Examination Subjects for QMED Ratings
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                          Electrician/
                              Subjects                                   Pumpman/         Fireman/          Oiler        refrigerating   Junior engineer
                                                                        machinist       watertender                         engineer
--------------------------------------------------------------------------------------------------------------------------------------------------------
General subjects:
    Auxiliary machinery............................................               X                X                X                X                X
    Basic safety procedures........................................               X                X                X                X                X
    Bearings.......................................................               X   ...............               X                X                X
    Care of equipment and machine parts............................               X                X                X                X                X
    Deck machinery.................................................               X   ...............  ...............               X                X
    Drawings and tables............................................               X   ...............  ...............               X                X
    Heat exchangers................................................               X                X                X                X                X
    Hydraulic principles...........................................               X   ...............  ...............               X                X
    Instrumentation principles.....................................               X                X                X                X                X
    Lubrication principles.........................................               X   ...............               X                X                X
    Maintenance procedures.........................................               X                X                X                X                X
    Measuring instruments..........................................               X                X                X                X                X
    Pipes, fittings, and valves....................................               X                X                X                X                X
    Pollution prevention...........................................               X                X                X                X                X
    Properties of fuel.............................................  ...............               X                X   ...............               X
    Pumps, fans, and blowers.......................................               X   ...............  ...............               X                X
    Refrigeration principles.......................................  ...............  ...............               X                X                X
    Remote control equipment.......................................               X                X                X                X                X
    Use of hand/power tools........................................               X                X                X                X                X
    Watch duties...................................................  ...............               X                X   ...............               X
Electrical subjects:
    A/C circuits...................................................  ...............  ...............  ...............               X                X
    Batteries......................................................  ...............  ...............  ...............               X                X
    Calculations...................................................  ...............  ...............  ...............               X                X
    Communication devices..........................................  ...............  ...............  ...............               X                X
    D/C circuits...................................................  ...............  ...............  ...............               X                X
    Distribution systems...........................................  ...............  ...............  ...............               X                X
    Electronic principles..........................................  ...............  ...............  ...............               X                X
    Generation equipment...........................................  ...............  ...............               X                X                X
    Maintenance....................................................  ...............  ...............               X                X                X
    Measuring devices..............................................  ...............  ...............  ...............               X                X
    Motor controllers..............................................  ...............  ...............  ...............               X                X
    Motors.........................................................  ...............  ...............               X                X                X
    Safety.........................................................               X                X                X                X                X
    Troubleshooting................................................  ...............  ...............  ...............               X
Safety and environmental protection subjects:
    Communications.................................................               X                X                X                X                X

[[Page 254]]

 
    Damage control.................................................               X                X                X                X                X
    Elementary first aid...........................................               X                X                X                X                X
    Emergency equipment............................................               X                X                X                X                X
    Environmental awareness........................................               X                X                X                X                X
    Fire prevention................................................               X                X                X                X                X
    Firefighting equipment.........................................               X                X                X                X                X
    Firefighting principles........................................               X                X                X                X                X
    General safety.................................................               X                X                X                X                X
    Hazardous materials............................................               X                X                X                X                X
Shipboard equipment and systems subjects:
    Air conditioning...............................................  ...............  ...............  ...............               X                X
    Ballast........................................................               X                X                X   ...............               X
    Bilge..........................................................               X                X                X   ...............               X
    Compressed air.................................................               X                X                X                X                X
    Desalination...................................................  ...............  ...............               X   ...............               X
    Fuel oil storage/transfer......................................  ...............               X                X   ...............               X
    Fuel treatment.................................................  ...............               X                X   ...............               X
    Heating/ventilation............................................               X   ...............  ...............               X                X
    Lubrication....................................................               X   ...............               X                X                X
    Potable water..................................................  ...............  ...............               X   ...............               X
    Refrigeration..................................................  ...............  ...............               X                X                X
    Sanitary/sewage................................................  ...............  ...............               X   ...............               X
    Steering.......................................................  ...............  ...............               X                X                X
Steam propulsion subjects:
    Auxiliary turbines.............................................  ...............               X                X   ...............               X
    Boiler fundamentals............................................  ...............               X                X   ...............               X
    Combustion principles..........................................  ...............               X                X   ...............               X
    Condensate systems.............................................  ...............               X                X   ...............               X
    Drive systems..................................................  ...............               X                X   ...............               X
    Feedwater systems..............................................  ...............               X                X   ...............               X
    Fuel service systems...........................................  ...............               X                X   ...............               X
    Maintenance....................................................               X                X                X   ...............               X
    Safety.........................................................               X                X                X                X                X
    Steam fundamentals.............................................               X                X                X   ...............               X
    Turbine fundamentals...........................................  ...............               X                X   ...............               X
Motor propulsion subjects:
    Air-charge systems.............................................  ...............  ...............               X   ...............               X
    Cooling water systems..........................................  ...............  ...............               X   ...............               X
    Diesel engine principles.......................................               X   ...............               X   ...............               X
    Drive systems..................................................               X   ...............               X   ...............               X
    Fuel service systems...........................................  ...............  ...............               X   ...............               X
    Intake/exhaust.................................................  ...............  ...............               X   ...............               X
    Lubrication systems............................................               X   ...............               X   ...............               X
    Starting systems...............................................  ...............  ...............               X   ...............               X
    Waste heat/auxiliary boiler....................................  ...............  ...............               X   ...............               X
--------------------------------------------------------------------------------------------------------------------------------------------------------



           Subpart F_Requirements for STCW Rating Endorsements



Sec.  12.601  General requirements for STCW rating endorsements.

    (a) General. An applicant for any STCW endorsement must hold the 
appropriate national endorsement, unless otherwise specified. The Coast 
Guard will issue an STCW endorsement to qualified applicants for any of 
the following ratings or qualifications:
    (1) Able seafarer-deck.
    (2) Ratings forming part of a navigational watch (RFPNW).
    (3) Able seafarer-engine.
    (4) Ratings forming part of a watch in a manned engineroom or 
designated to perform duties in a periodically unmanned engineroom 
(RFPEW).
    (5) Electro-technical rating on vessels powered by main propulsion 
machinery of 750 kW/1,000 HP or more.
    (6) Proficiency in survival craft and rescue boats, other than fast 
rescue boats (PSC).
    (7) Proficiency in survival craft and rescue boats, other than 
lifeboats and fast rescue boats (PSC-limited).
    (8) Proficiency in fast rescue boats.
    (9) Medical first-aid provider.
    (10) Person in charge of medical care.

[[Page 255]]

    (11) GMDSS at-sea maintainer.
    (12) Vessel personnel with designated security duties.
    (13) Security awareness.
    (b) Standard of competence. (1) The Coast Guard will accept one or 
more methods listed in the STCW Code to demonstrate meeting the standard 
of competence in this subpart. See Column 3, ``Methods for demonstrating 
competence,'' of the Tables of Competence in the STCW Code (incorporated 
by reference, see Sec.  12.103 of this part). The Coast Guard will 
accept the following as evidence of meeting the standard of competence 
under each of these methods:
    (i) In-service experience: Documentation of successful completion of 
assessments, approved or accepted by the Coast Guard, and signed by a 
qualified assessor, deck or engineering, as appropriate.
    (ii) Training ship experience: Documentation of successful 
completion of an approved training program involving formal training and 
assessment onboard a training ship.
    (iii) Simulator training: Documentation of successful completion of 
training and assessment from a Coast Guard-approved course involving 
maritime simulation.
    (iv) Laboratory equipment training: Documentation of successful 
completion of training and assessments from an approved training course 
or completion certificate from an approved training school or facility.
    (v) Practical training or instruction:
    (A) Documentation of successful completion of assessment as part of 
structured/formal training or instruction provided by an organization or 
company as part of an accepted safety or quality management system; or
    (B) Documentation of successful completion of an approved training 
course from a school or facility.
    (vi) Specialist training: Documentation of successful completion of 
assessment as part of a company training or specialized training 
provided by a maritime or equipment specialist.
    (vii) Workshop skills training: Documentation of successful 
completion of assessments or completion certificate from an approved 
training program, school or facility.
    (viii) Training program: Documentation of successful completion of 
an approved training program.
    (ix) Practical demonstration and practical demonstration of 
competence: Documentation of successful completion of assessments 
approved or accepted by the Coast Guard.
    (x) Practical test and practical experience: Documentation of 
successful completion of assessments approved or accepted by the Coast 
Guard.
    (xi) Examination: Successful completion of a Coast Guard 
examination.
    (xii) Instruction or course: Documentation of successful completion 
of a course of instruction offered by an approved training school or 
facility.
    (2) Knowledge components may be documented by--
    (i) Successful completion of the Coast Guard examination for the 
associated rating endorsement;
    (ii) Successful completion of an approved course; or
    (iii) Successful completion of an approved program.
    (3) The Coast Guard will publish assessment guidelines that should 
be used to document assessments that demonstrate meeting the standard of 
competence, as required by paragraph (b)(1) of this section. 
Organizations may develop alternative assessment documentation for 
demonstrations of competence; however, such documentation must be 
approved by the Coast Guard prior to its use and submittal with an 
application.
    (c) Grandfathering. (1) Except as noted otherwise, each candidate 
who applies for a credential based on approved or accepted training or 
approved seagoing service that was started on or after March 24, 2014, 
or who applies for the MMC endorsement on or after January 1, 2017, must 
meet the requirements of this part.
    (2) Except as noted by this subpart, seafarers holding an STCW 
endorsement prior to March 24, 2014, will not be required to complete 
any additional training required under this part to retain the STCW 
endorsements.
    (3) Except as noted otherwise, candidates who apply for a credential 
based on approved or accepted training or approved seagoing service that 
commenced before March 24, 2014, may

[[Page 256]]

qualify under the requirements of this part existing before that date. 
This includes the assessments published prior to March 24, 2014, as well 
as the additional requirements for the STCW endorsement section.
    (4) Except as noted by this subpart, the Coast Guard will continue 
to issue STCW endorsements meeting the requirements of this part 
existing before March 24, 2014, for seafarers identified in paragraph 
(c)(3) of this section, until January 1, 2017.

[USCG-2004-17914, 78 FR 77975, Dec. 24, 2013, as amended by USCG-2014-
0688, 79 FR 58279, Sept. 29, 2014]



Sec.  12.602  Basic training.

    (a) Applicants seeking an STCW rating endorsement must provide 
evidence, with their application, of meeting the standard of competence 
for basic training as described below:
    (1) Personal survival techniques, as set out in Table A-VI/1-1 of 
the STCW Code (incorporated by reference, see Sec.  12.103 of this 
part).
    (2) Fire prevention and firefighting, 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.
    (b) Every 5 years, seafarers qualified in accordance with Sec.  
12.601 (a) of this subpart must provide evidence of maintaining the 
standard of competence for basic training (BT).
    (c) The Coast Guard will accept onboard training and experience, 
through evidence of 1 year of sea service within the last 5 years for 
the following areas:
    (1) Personal survival techniques, as set out in Table A-VI/1-1 of 
the STCW Code:
    (i) Donning a lifejacket.
    (ii) Boarding a survival craft from the ship, while wearing a 
lifejacket.
    (iii) Taking initial actions on boarding a lifeboat to enhance 
chance of survival.
    (iv) Streaming a lifeboat drogue or sea-anchor.
    (v) Operating survival craft equipment.
    (vi) Operating location devices, including radio equipment.
    (2) Fire prevention and firefighting, as set out in Table A-VI/1-2 
of the STCW Code:
    (i) Using self-contained breathing apparatus.
    (ii) Performing a rescue in a smoke-filled space, using an approved 
smoke-generating device aboard, while wearing a breathing apparatus.
    (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.
    (d) The Coast Guard will only accept evidence of approved 
assessments conducted ashore for the following areas:
    (1) Personal survival techniques, as set out in Table A-VI/1-1 of 
the STCW Code:
    (i) Donning and use an immersion suit.
    (ii) Safely jumping from a height into the water.
    (iii) Righting an inverted liferaft while wearing a lifejacket.
    (iv) Swimming while wearing a lifejacket.
    (v) Keeping afloat without a lifejacket.
    (2) Fire prevention and firefighting as set out in Table A-VI/1-2 of 
the STCW Code:
    (i) Using various types of portable fire extinguishers.
    (ii) Extinguishing smaller fires. e.g., electrical fires, oil fires, 
and propane fires.
    (iii) Extinguishing extensive fires with water, using jet and spray 
nozzles.
    (iv) Extinguishing fires with foam, powder, or any other suitable 
chemical agent.
    (v) Fighting fire in smoke-filled enclosed spaces wearing self-
contained breathing apparatuses.
    (vi) Extinguishing fire with water fog or any other suitable 
firefighting agent in an accommodation room or simulated engine room 
with fire and heavy smoke.
    (vii) Extinguishing oil fire with fog applicator and spray nozzles, 
dry chemical powder, or foam applicators.
    (e) Applicants who cannot meet the requirement for 1 year of sea 
service within the last 5 years, as described in paragraph (c) of this 
section, will be required to meet the requirements of

[[Page 257]]

paragraph (a) of this section or complete approved or accepted refresher 
training.



Sec.  12.603  Requirements to qualify for an STCW endorsement as able
seafarer-deck.

    (a) To qualify for this endorsement as able seafarer-deck, an 
applicant must--
    (1) Be not less than 18 years of age;
    (2) Meet the requirements for certification as a RFPNW;
    (3) While qualified as an RFPNW, have seagoing service in the deck 
department of--
    (i) Not less than 18 months; or
    (ii) Not less than 12 months and have completed approved training;
    (4) Provide evidence of meeting the standard of competence specified 
in Table A-II/5 of the STCW Code (incorporated by reference, see Sec.  
12.103 of this part); and
    (5) Provide evidence of having satisfactorily completed approved 
training in--
    (i) Proficiency in survival craft and rescue boats other than fast 
rescue boats (PSC); or
    (ii) Proficiency in survival craft and rescue boats, other than 
lifeboats or fast rescue boats-limited (PSC-limited), as appropriate.
    (b) Until January 1, 2017, seafarers will be considered to have met 
the requirements of this section if they have served as a watchstanding 
A/B or as an RFPNW for a period of not less than 12 months within the 60 
months prior to application.
    (c) Seafarers holding a rating endorsement as able seaman before 
January 1, 2017, will be eligible for this endorsement upon showing 
evidence of--
    (1) Holding an endorsement as an RFPNW; and
    (2) Having satisfactorily completed approved training in--
    (i) Proficiency in survival craft and rescue boats, other than fast 
rescue boats (PSC); or
    (ii) Proficiency in survival craft and rescue boats, other than 
lifeboats or fast rescue boats-limited (PSC-limited), as appropriate.
    (d) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/5 of the STCW Code. These exemptions must be approved by the Coast 
Guard, based upon vessel type. Under these circumstances, the 
endorsement may include a corresponding limitation.
    (e) Except as provided in paragraphs (b) and (c) of this section, 
seafarers with the following national rating endorsements will be 
eligible for this endorsement upon completion of the requirements 
designated in this section:

                       Table 1 to Sec.   12.603(e)--STCW Endorsement as Able Seafarer-Deck
----------------------------------------------------------------------------------------------------------------
                                     Sea service under                                         Training required
     Entry path from national        authority of the     Competence--STCW   Competence--STCW   by this section
           endorsements               endorsement \1\     Table A-II/4 \2\   Table A-II/5 \3\         \4\
----------------------------------------------------------------------------------------------------------------
A/B unlimited....................  None................                 Y                  Y                  N
A/B limited......................  None................                 Y                  Y                  N
A/B special......................  6 months \5\........                 Y                  Y                  N
A/B-offshore supply vessels......  12 months \6\.......                 Y                  Y                  N
A/B sail.........................  12 months \6\.......                 Y                  Y                  N
A/B-fishing industry.............  12 months \6\.......                 Y                  Y                  N
----------------------------------------------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the seafarer already holding an RFPNW
  endorsement in order to meet the requirements of this section.
\2\ Complete any items in paragraph (a)(2) of this section not previously satisfied.
\3\ Complete any items in paragraph (a)(4) of this section not previously satisfied.
\4\ Complete any items in paragraph (a)(5) of this section not previously satisfied.
\5\ The service may be reduced to 3 months if training has been completed as part of an approved training
  program meeting the requirements of paragraph (a)(4) of this section.
\6\ The service may be reduced to 6 months if training has been completed as part of an approved training
  program meeting the requirements of (a)(4) of this section.


[[Page 258]]



Sec.  12.605  Requirements to qualify for an STCW endorsement as ratings
forming part of a navigational watch (RFPNW).

    (a) To qualify for endorsement as an RFPNW on a seagoing vessel of 
500 GT or more, an applicant must--
    (1) Be not less than 16 years of age;
    (2) Provide evidence of service as follows:
    (i) Six months of seagoing service, which includes training and 
experience associated with navigational watchkeeping functions and 
involves the performance of duties carried out under the supervision of 
the master, mate, or qualified STCW deck rating; or
    (ii) Proof of successful completion of Coast Guard-approved or -
accepted training, which includes not less than 2 months of approved 
seagoing service; and
    (3) Provide evidence of meeting standards of competence prescribed 
in Table A-II/4 of the STCW Code (incorporated by reference, see Sec.  
12.103 of this part).
    (b) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-II/4 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the endorsement 
may include a corresponding limitation.
    (c) Seafarers with the following national rating endorsements will 
be eligible for this endorsement upon completion of requirements 
designated in this section:

         Table 1 to Sec.   12.605(c)--STCW Endorsement as RFPNW
------------------------------------------------------------------------
                                    Sea service under
     Entry path from national        authority of the   Competence--STCW
           endorsements              endorsement \1\    Table A-II/4 \2\
------------------------------------------------------------------------
A/B unlimited....................  None...............                Y
A/B limited......................  None...............                Y
A/B special......................  None...............                Y
A/B-offshore supply vessels......  None...............                Y
A/B sail.........................  None...............                Y
A/B-fishing industry.............  None...............                Y
Ordinary seaman..................  6 mo.\3\...........                Y
------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the
  seafarer in order to meet the requirements of this section.
\2\ Complete any items in paragraph (a)(3) of this section not
  previously satisfied.
\3\ The service may be reduced to 2 months if training has been
  completed as part of an approved training program meeting the
  requirements of paragraph (a)(2)(ii) of this section.



Sec.  12.607  Requirements to qualify for an STCW endorsement as rating
as able seafarer-engine.

    (a) To qualify for an STCW endorsement as an able seafarer-engine, 
an applicant must--
    (1) Be not less than 18 years of age;
    (2) Meet the requirements for certification as a ratings forming 
part of an engineering watch (RFPEW);
    (3) While qualified as an RFPEW, have seagoing service in the engine 
department of--
    (i) Not less than 12 months; or
    (ii) Not less than 6 months and have completed approved training; 
and
    (4) Provide evidence of meeting the standard of competence specified 
in Table A-III/5 of the STCW Code (incorporated by reference, see Sec.  
12.103 of this part).
    (b) Until January 1, 2017, seafarers will be considered to have met 
the requirements of this section if they have served as a watchstanding 
Qualified Member of the Engine Department (QMED), junior engineer, 
oiler, fireman/watertender, deck-engine mechanic, or engineman in the 
engine department, or as an RFPEW for a period of not less than 12 
months within the last 60 months prior to application.
    (c) Seafarers holding a rating endorsement as QMED, junior engineer, 
electrician or electrician/refrigerating engineer, pumpman or pumpman/
machinist, refrigerating engineer, or machinist before January 1, 2017, 
will be eligible for this endorsement upon showing evidence of holding 
an endorsement as an RFPEW.
    (d) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-III/5 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the endorsement 
may include a corresponding limitation.
    (e) Except as provided in paragraphs (b) and (c) of this section, 
seafarers with the following national rating endorsements will be 
eligible for this endorsement upon completion of requirements designated 
in this section:

[[Page 259]]



  Table 1 to Sec.   12.607(e)--STCW Endorsement as Able Seafarer-Engine
------------------------------------------------------------------------
                                             Additional sea service for
         Domestic QMED endorsement                      AS-E
------------------------------------------------------------------------
Engineman.................................  None.
Deck Engine Mechanic......................  None.
Electrician...............................  6 months.\1\
Refrigerating Engineer....................  6 months.\1\
Pumpman...................................  6 months.\1\
Machinist.................................  6 months.\1\
------------------------------------------------------------------------
\1\ Service may be reduced to 3 months if training has been completed as
  part of an approved training program.



Sec.  12.609  Requirements to qualify for an STCW endorsement as rating
forming part of an engineering watch (RFPEW).

    (a) To qualify for an STCW endorsement as an RFPEW in a manned 
engine room or to qualify to be designated to perform duties in a 
periodically unmanned engine room, an applicant must--
    (1) Be not less than 16 years of age;
    (2) Provide evidence of service as follows:
    (i) Six months of seagoing service, which includes training and 
experience associated with engine room functions, and involves the 
performance of duties carried out under the supervision of an engineer 
officer or a qualified STCW rating; or
    (ii) Proof of successful completion of a Coast Guard-approved or -
accepted training, which includes not less than 2 months approved 
seagoing service; and
    (3) Provide evidence of meeting the standard of competence as 
specified in Table A-III/4 of the STCW Code (incorporated by reference, 
see Sec.  12.103 of this part).
    (b) The Coast Guard may exempt an applicant from meeting any 
individual knowledge, understanding, and proficiency required in Section 
A-III/4 of the STCW Code. These exemptions must be approved by the Coast 
Guard based upon vessel type. Under these circumstances, the endorsement 
may include a corresponding limitation.
    (c) Seafarers with the following national rating endorsements will 
be eligible for this endorsement upon completion of requirements 
designated in this section:

         Table 1 to Sec.   12.609(c)--STCW Endorsement as RFPEW
------------------------------------------------------------------------
                                    Sea service under   Competence--STCW
     Entry path from national        authority of the     Table A-III/4
           endorsements              endorsement \1\           \2\
------------------------------------------------------------------------
Any QMED.........................  None...............                Y
Wiper............................  6 months...........                Y
------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the
  seafarer in order to meet the requirements of this section.
\2\ Complete any items in paragraph (a)(3) of this section not
  previously satisfied.

    (d) Limitations. (1) STCW RFPEW endorsements issued in accordance 
with this section will be restricted to specific propulsion modes for 
steam, motor, or gas turbine-propelled vessels, as appropriate.
    (2) STCW RFPEW endorsements issued in accordance with this section 
for motor or gas turbine-propelled vessels may be endorsed as limited to 
serve on vessels without auxiliary boilers, waste-heat boilers, or 
distilling plants. An applicant may qualify for removal of any of these 
limitations by demonstrating the appropriate competencies.



Sec.  12.611  Requirements to qualify for an STCW endorsement as
electro-technical rating (ETR) on vessels powered by main propulsion
machinery of 750 kW/1,000 HP or more.

    (a) To qualify for an STCW endorsement as an electro-technical 
rating, an applicant must--
    (1) Be not less than 18 years of age;
    (2) Provide evidence of--
    (i) Twelve months of seagoing service, that includes training and 
experience associated with engine room watchkeeping functions and 
involves the performance of duties carried out under the supervision of 
an engineer officer, electro-technical officer, or a qualified STCW 
engine rating;
    (ii) Proof of successful completion of a Coast Guard-approved or -
accepted program, which includes not less than 6 months of approved 
seagoing service; or
    (iii) Qualifications meeting the standard of competence specified in 
Table A-III/7 of the STCW Code (incorporated by reference, see Sec.  
12.103 of this part) and approved seagoing service of not less than 3 
months;

[[Page 260]]

    (3) Provide evidence of meeting the standard of competence specified 
in Table A-III/7 of the STCW Code; and
    (4) Provide evidence of completion of an approved course in--
    (i) Computer systems and maintenance; and
    (ii) High-voltage power systems.
    (b) An applicant who holds an STCW endorsement as able seafarer-
engine and a national rating endorsement as electrician, electrician/
refrigerating engineer, or junior engineer will be issued the ETR 
endorsement upon completion of the requirements in Section A-III/7 of 
the STCW Code and evidence of completion of the training required in 
paragraph (a)(4) of this section.
    (c) Seafarers with the following national rating endorsement will be 
eligible for this endorsement upon completion of the requirements 
designated in this section:

      Table 1 to Sec.   12.611(c)--STCW Endorsement as Electro-Sec.
                            Technical Rating
------------------------------------------------------------------------
                                    Sea service under   Competence--STCW
     Entry path from national        authority of the     Table A-III/7
           endorsements              endorsement \1\           \2\
------------------------------------------------------------------------
Electrician/refrigerating          None...............                Y
 engineer.
Junior engineer..................  None...............               Y
------------------------------------------------------------------------
\1\ This column provides the minimum additional service required of the
  seafarer in order to meet the requirements of this section.
\2\ Complete any items in paragraph (a)(3) of this section not
  previously satisfied.



Sec.  12.613  Requirements to qualify for an STCW endorsement in
proficiency in survival craft and rescue boats other than fast rescue
boats (PSC).

    (a) To qualify for an STCW endorsement in proficiency in survival 
craft and rescue boats other than fast rescue boats (PSC), the applicant 
must--
    (1) Be at least 18 years of age;
    (2) Meet the requirements for a lifeboatman endorsement in Sec.  
12.407 of this part and Table A-VI/2-1 of the STCW Code (incorporated by 
reference, see Sec.  12.103 of this part); and
    (3) Complete basic training (BT), found in Sec.  12.601(c) of this 
subpart.
    (b) Continued professional competence. (1) Seafarers qualified in 
accordance with paragraph (a) of this section must provide evidence of 
maintaining the standard of competence as set out in Table A-VI/2-1 of 
the STCW Code every 5 years.
    (2) The Coast Guard will accept onboard training and experience, 
through evidence of 1 year of sea service within the last 5 years, as 
meeting the requirements of paragraph (b)(1) of this section for the 
following areas, as set out in Table A-VI/2-1 of the STCW Code:
    (i) Taking charge of a survival craft or rescue boat during and 
after launch, including--
    (A) Interpreting the markings on survival craft as to the number of 
persons they are intended to carry;
    (B) Giving correct commands for launching and boarding survival 
craft, clearing the ship, and handling and disembarking persons from 
survival craft;
    (C) Preparing and safely launch survival craft, operating its 
engine, and clearing the ship's side quickly; and
    (D) Safely recovering survival craft and rescue boats.
    (ii) Operating a survival craft engine, including--
    (A) Rowing and steering a boat and steer by compass;
    (B) Using individual items of equipment of survival craft, except 
for pyrotechnics; and
    (C) Rigging devices to aid location.
    (iii) Using locating devices, including communication and signaling 
apparatus, including--
    (A) Using of portable radio equipment for survival craft.
    (B) [Reserved]
    (iv) Applying first aid to survivors.
    (3) The Coast Guard will only accept evidence of assessments 
conducted ashore as meeting the requirements of paragraph (b)(1) of this 
section for the areas not included in paragraph (b)(2) of this section, 
as set out in Table A-VI/2-1 of the STCW Code.
    (4) Applicants who cannot meet the requirement for 1 year of sea 
service within the last 5 years, as described in paragraph (b)(2) of 
this section, will be required to meet the requirements of paragraph (a) 
of this section or complete approved or accepted refresher training.
    (c) Seafarers holding an MMD or MMC endorsement as lifeboatman 
before January 1, 2017 will be eligible for

[[Page 261]]

this endorsement upon showing evidence of sea service of not less than 
12 months within the last 60 months. The sea service must be completed 
prior to January 1, 2017.



Sec.  12.615  Requirements to qualify for an STCW endorsement in
proficiency in survival craft and rescue boats other than lifeboats
and fast rescue boats-limited (PSC-limited).

    (a) To qualify for an STCW endorsement in proficiency in survival 
craft and rescue boats other than lifeboats and fast rescue boats-
limited (PSC-limited), the applicant must--
    (1) Be at least 18 years of age;
    (2) Meet the requirements for a lifeboatman-limited endorsement in 
Sec.  12.409 of this part and Table A-VI/2-1 of the STCW Code 
(incorporated by reference, see Sec.  12.103 of this part); and
    (3) Complete BT, found in Sec.  12.601(c) of this subpart.
    (b) Continued professional competence. (1) Seafarers qualified in 
accordance with paragraph (a) of this section must provide evidence of 
maintaining the standard of competence as set out in Table A-VI/2-1 of 
the STCW Code every 5 years.
    (2) The Coast Guard will accept onboard training and experience, 
through evidence of 1 year of sea service within the last 5 years, as 
meeting the requirements of paragraph (b)(1) of this section for the 
following areas, as set out in Table A-VI/2-1 of the STCW Code:
    (i) Taking charge of a survival craft or rescue boat during and 
after launch including--
    (A) Interpreting the markings on survival craft as to the number of 
persons they are intended to carry;
    (B) Giving correct commands for launching and boarding rescue boats 
and survival craft other than lifeboats, clearing the ship, and handling 
and disembarking persons from survival craft;
    (C) Preparing and safely launching rescue boats and survival craft, 
other than lifeboats, starting the engine, and clearing the ship's side 
quickly; and
    (D) Safely recovering rescue boats.
    (ii) Managing survivors and survival craft after abandoning ship, 
including--
    (A) Steering a rescue boat and steer by compass;
    (B) Using individual items of equipment of survival craft other than 
lifeboats, except for pyrotechnics; and
    (C) Rigging devices to aid location.
    (iii) Using locating devices, including communication and signaling 
apparatuses, including--
    (A) Using portable radio equipment for rescue boats and survival 
craft;
    (B) [Reserved]
    (iv) Applying first aid to survivors.
    (3) The Coast Guard will only accept evidence of assessments 
conducted ashore as meeting the requirements of paragraph (b)(1) of this 
section for the areas not included in paragraph (b)(2) of this section 
as set out in Table A-VI/2-1 of the STCW Code.
    (4) Applicants who cannot meet the requirement for 1 year of sea 
service within the last 5 years, as described in paragraph (b)(2) of 
this section, will be required to meet the requirements of paragraph (a) 
of this section or complete approved or accepted refresher training.
    (c) Seafarers holding an MMD or MMC endorsement as lifeboatman-
limited before January 1, 2017, will be eligible for this endorsement 
upon showing evidence of sea service of not less than 12 months within 
the last 60 months. The sea service must be completed prior to January 
1, 2017.



Sec.  12.617  Requirements to qualify for an STCW endorsement in
proficiency in fast rescue boats.

    (a) To qualify for an STCW endorsement in proficiency in fast rescue 
boats, an applicant must--
    (1) Be not less than 18 years of age;
    (2) Hold an endorsement in proficiency in survival craft and rescue 
boats other than fast rescue boats (PSC) or in proficiency in survival 
craft and rescue boats other than lifeboats and fast rescue boats-
limited (PSC-limited) under this subpart;
    (3) Provide evidence of successful completion of a Coast Guard-
approved or -accepted course; and
    (4) Provide evidence of meeting the standard of competence specified 
in Table A-VI/2-2 of the STCW Code (incorporated by reference, see Sec.  
12.103 of this part).
    (b) Continued professional competence. (1) Seafarers qualified in 
accordance

[[Page 262]]

with paragraph (a) of this section must provide evidence of maintaining 
the standard of competence as set out in Table A-VI/2-2 of the STCW Code 
every 5 years.
    (2) The Coast Guard will accept onboard training and experience, 
through evidence of 1 year of sea service within the last 5 years, as 
meeting the requirements of paragraph (b)(1) of this section for the 
following areas, as set out in Table A-VI/2-2 of the STCW Code:
    (i) Taking charge of a fast rescue boat during and after launch, 
including--
    (A) Controlling safe launching, operating of the engine, and 
recovering a fast rescue boat;
    (B) Handling a fast rescue boat in prevailing weather and sea 
conditions;
    (C) Using communication and signaling equipment between the fast 
rescue boat and a helicopter and a ship;
    (D) Using the emergency equipment carried; and
    (E) Carrying out search patterns, taking account of environmental 
factors.
    (ii) [Reserved]
    (3) The Coast Guard will only accept evidence of assessments 
conducted ashore as meeting the requirements of paragraph (b)(1) of this 
section for the areas not included in paragraph (b)(2) of this section, 
as set out in Table A-VI/2-2 of the STCW Code.
    (4) Applicants who cannot meet the requirement for 1 year of sea 
service within the last 5 years, as described in paragraph (b)(2) of 
this section, will be required to meet the requirements of paragraph 
(a)(3) of this section or complete approved or accepted refresher 
training.



Sec.  12.619  Requirements to qualify for an STCW endorsement as
medical first-aid provider.

    (a) To qualify for an STCW endorsement as medical first-aid 
provider, an applicant must--
    (1) Provide evidence of successful completion of an approved course 
in medical first aid; and
    (2) Provide evidence of meeting the standard of competence specified 
in Table A-VI/4-1 of the STCW Code (incorporated by reference, see Sec.  
12.103 of this part).
    (b) An applicant holding one of the following credentials is 
qualified for an endorsement as medical first-aid provider:
    (1) A valid professional license listed in Sec.  11.807(a)(5) or 
(a)(6) of this subchapter, without restriction or limitation placed upon 
it by the issuing State.
    (2) A rating listed in Sec.  11.807(a)(7) or (a)(8) of this 
subchapter.



Sec.  12.621  Requirements to qualify for an STCW endorsement as
person in charge of medical care.

    (a) To qualify for an STCW endorsement as person in charge of 
medical care, an applicant must--
    (1) Provide evidence of successful completion of an approved course 
that leads to an endorsement for seafarers designated to take charge of 
medical care onboard a ship; and
    (2) Provide evidence of meeting the standard of competence specified 
in Table A-VI/4-2 of the STCW Code (incorporated by reference, see Sec.  
12.103 of this part).
    (b) An applicant holding any of the following credentials is 
qualified for an endorsement as person in charge of medical care:
    (1) A valid professional license listed in Sec.  11.807(a)(5) or 
(a)(6) of this subchapter, without restriction or limitation placed upon 
it by the issuing State.
    (2) A rating listed in Sec.  11.807(a)(7) or (a)(8) of this 
subchapter.



Sec.  12.623  Requirements to qualify for an STCW endorsement as
Global Maritime Distress and Safety System (GMDSS) at-sea maintainer.

    To qualify for an STCW endorsement as GMDSS at-sea maintainer, an 
applicant must--
    (a) Be not less than 18 years of age;
    (b) Provide evidence of--
    (1) Successful completion of a training program that covers at least 
the scope and content of the training outlined in Section B-IV/2 of the 
STCW Code (incorporated by reference, see Sec.  12.103 of this part); or
    (2) Passing an approved GMDSS at-sea maintainer course; and

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    (c) Hold a valid Federal Communications Commission (FCC) certificate 
as GMDSS at-sea maintainer.



Sec.  12.625  Requirements to qualify for an STCW endorsement as vessel
personnel with designated security duties.

    (a) An applicant for an STCW endorsement as vessel personnel with 
designated security duties must--
    (1) Present satisfactory documentary evidence, such as a certificate 
or letter signed by a company official, or a certificate of completion 
from a Coast Guard-accepted or Coast Guard-approved course, of meeting 
the requirements in 33 CFR 104.220;
    (2) Meet the physical examination requirements in 46 CFR Part 10, 
subpart C; and
    (3) Meet the safety and suitability requirements and the National 
Driver Registry review requirements in Sec.  10.209(e) of this 
subchapter, unless the applicant has met these requirements within the 
previous 5 years in connection with another endorsement.
    (b) Until March 24, 2014, seafarers will be able to apply for an 
endorsement as vessel personnel with designated security duties by--
    (1) Having completed approved seagoing service with designated 
security duties, for a period of at least 6 months in total during the 
preceding 3 years;
    (2) Having performed security functions considered to be equivalent 
to the seagoing service required in paragraph (b)(1) of this section; or
    (3) Successfully completing Coast Guard-accepted or Coast Guard-
approved training.



Sec.  12.627  Requirements to qualify for an STCW endorsement for
security awareness.

    (a) An applicant for an endorsement for security awareness must--
    (1) Present satisfactory documentary evidence, such as a certificate 
or letter signed by a company official, or a certificate of completion 
from a Coast Guard-accepted or Coast Guard-approved course, of meeting 
the requirements in 33 CFR 104.225;
    (2) Meet the physical examination requirements in 46 CFR, part 10, 
subpart C; and
    (3) Meet the safety and suitability requirements and the National 
Driver Registry review requirements in Sec.  10.209(e) of this 
subchapter, unless the applicant has met these requirements within the 
previous 5 years in connection with another endorsement.
    (b) Until March 24, 2014, seafarers will be able to apply for an 
endorsement in security awareness by--
    (1) Having performed approved seagoing service for a period of at 
least 6 months in total during the preceding 3 years;
    (2) Having performed security functions considered to be equivalent 
to the seagoing service required in paragraph (b)(1) of this section; or
    (3) Successfully completing Coast Guard-accepted or Coast Guard-
approved training.



    Subpart G_Entry-Level National Ratings and Miscellaneous Ratings



Sec.  12.701  Credentials required for entry-level and miscellaneous
ratings.

    Every person employed or engaged on a vessel subject to 46 U.S.C. 
8701, must produce an MMC or MMD with the appropriate endorsement to the 
master or person in charge (PIC), if appropriate, before signing 
shipping articles.



Sec.  12.703  General requirements for entry-level ratings.

    (a) Rating endorsements will be issued without professional 
examination to applicants in capacities other than able seaman, 
lifeboatman, lifeboatman-limited, tankerman, or QMED, including--
    (1) Ordinary seaman;
    (2) Wiper;
    (3) Steward's department; and
    (4) Steward's department (F.H.).
    (b) Holders of MMCs or MMDs endorsed as ordinary seaman may serve in 
any unqualified rating in the deck or steward's department, except as a 
food handler.
    (c) Holders of MMCs or MMDs endorsed as wiper may serve in any 
unqualified rating in the engine or steward's department, except as a 
food handler.

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    (d) Only MMCs or MMDs endorsed as steward's department (F.H.) will 
authorize the holder's service in any capacity in the steward's 
department, including food handler.



Sec.  12.705  Endorsements for persons enrolled in a Maritime
Administration-approved training program.

    MMCs issued to individuals obtaining sea service as part of an 
approved training curriculum while enrolled at either the United States 
Merchant Marine Academy or a deck or engineering class of a Maritime 
Academy approved by and conducted under the rules prescribed by the 
Maritime Administrator and listed in 46 CFR Part 310 will include an 
endorsement of cadet (deck) or cadet (engine), as appropriate, and 
lifeboatman. Individuals obtaining sea service as part of such an 
approved training curriculum must do so in the capacity of cadet (deck) 
or cadet (engine), as appropriate, notwithstanding any other rating 
endorsements the individual may hold or any other capacity in which the 
individual may have previously served.



Sec.  12.707  Student observers.

    Students in technical schools who are enrolled in courses in marine 
management, naval architecture, and ship operations, and who present a 
letter or other documentary evidence that they are enrolled, will be 
issued an MMC endorsed as ``student observer--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 replace any of the regular 
required crew.



Sec.  12.709  Apprentice engineers.

    (a) Persons enrolled in an engineer training program approved by the 
Coast Guard, and who present a letter or other documentary evidence that 
they are enrolled, may be issued an MMC endorsed as apprentice engineer 
and may be signed on ships as such. The endorsement as apprentice 
engineer may be in addition to other endorsements; however, this 
endorsement does not authorize the holder to replace any of the regular 
required crew.
    (b) Persons holding the endorsement as apprentice engineer are 
deemed to be seamen.



Sec.  12.711  Apprentice mate.

    (a) A person enrolled in a mate training program approved by the 
Coast Guard, and who presents a letter or other documentary evidence 
that he or she is enrolled, may be issued an MMC rating endorsement as 
apprentice mate and may be signed on a vessel in this capacity. The 
rating endorsement as apprentice mate may be in addition to other 
endorsements; however, this endorsement does not authorize the holder to 
replace any of the regular required crew.
    (b) Persons holding the endorsement as apprentice mate are deemed to 
be seamen.



Subpart H_Non-Resident Alien Members of the Steward's Department on U.S. 
                      Flag Large Passenger Vessels



Sec.  12.801  Purpose.

    The rules in this subpart implement 46 U.S.C. 8103(k) by 
establishing requirements for the issuance of MMCs, valid only for 
service in the steward's department of U.S. flag large passenger 
vessels, to non-resident aliens.



Sec.  12.803  General requirements.

    (a) Unless otherwise specified in this subpart, non-resident alien 
applicants for Coast Guard-issued MMCs are subject to all applicable 
requirements contained in this subchapter.
    (b) No application for an MMC from a non-resident alien issued 
pursuant to this subpart will be accepted unless the applicant's 
employer satisfies all of the requirements of Sec.  12.805 of this 
subpart.



Sec.  12.805  Employer requirements.

    (a) The employer must submit the following to the Coast Guard, as a 
part of the applicant's MMC 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

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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) An employer-conducted background check, which must be conducted 
to the satisfaction of the Coast Guard for an MMC to be issued to the 
applicant.
    (b) If an MMC 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 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 MMC is returned to the Coast Guard in 
accordance with paragraph (d) of this section.
    (c) If an MMC or a transportation worker identification credential 
(TWIC) is issued to the applicant, each MMC 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.  
12.811(c) of this subpart have not been exceeded.
    (d) In the event that the seaman's MMC 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 MMC to the Coast Guard and/or the TWIC to the 
Transportation Security Administration (TSA) 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 to the National Maritime Center 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. 
The annual material disciplinary actions report must--
    (i) 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 the date of the 
last material disciplinary actions report; and
    (ii) Be submitted to the Coast Guard on or before the anniversary of 
the issuance date of the MMC; and
    (2) Conduct a background check each year that the MMC is valid to 
search for any changes that might have occurred since the last employer-
conducted background check was performed. The annual background check 
must--
    (i) 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) Be submitted to the Coast Guard on or before the anniversary of 
the issuance date of the MMC.

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    (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.  12.807  Basis for denial.

    In addition to the requirements for an MMC 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 an MMC 
issued pursuant to this subpart must--
    (a) Have been employed for a period of at least 1 year on a foreign 
flag passenger vessel that is under the same common ownership or control 
as the U.S. flag large passenger vessel on which the applicant will be 
employed upon issuance of an MMC 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 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; and
    (d) Meet the citizenship and identity requirements of Sec.  12.809 
of this subpart.



Sec.  12.809  Citizenship and identity.

    (a) Instead of the requirements of Sec.  10.221 of this subchapter, 
a non-resident alien may apply for a Coast Guard-issued MMC, endorsed 
and valid only for service in the steward's department of a U.S. flag 
large passenger vessel, as defined in 46 U.S.C. 8103(k)(5)(B), if he or 
she is employable in the United States under the Immigration and 
Nationality Act (8 U.S.C. 1101, et seq.), 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/D Crewman Visa or another valid 
U.S. visa or authority deemed acceptable by the Coast Guard.
    (c) Any non-resident alien applying for an MMC 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.  12.811  Restrictions.

    (a) An MMC 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.  12.807(a) of 
this subpart.
    (1) The MMC will be endorsed for service in the steward's 
department, in accordance with Sec.  12.703 of this part.
    (2) The MMC may also be endorsed for service as a food handler if 
the applicant meets the requirements of Sec.  12.703 of this part.
    (3) No other rating or endorsement is authorized, except lifeboatman 
or lifeboatman-limited, in which case all applicable requirements of 
this subchapter and the STCW Convention and STCW Code (incorporated by 
reference, see Sec.  12.103 of this part) must be met.
    (b) The following restrictions must be printed on the MMC, or be 
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 MMC must remain in the custody of the 
employer at all times.
    (3) Upon termination of employment, the MMC must be returned to the 
Coast Guard within 10 days, in accordance with Sec.  12.805 of this 
subpart.
    (4) A non-resident alien issued an MMC under this subpart may not 
perform watchstanding, engine room duty watch, or vessel navigation 
functions.
    (5) A non-resident alien issued an MMC under this subpart may 
perform

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emergency-related duties, provided that--
    (i) The emergency-related duties do not require any other rating or 
endorsement, except lifeboatman or lifeboatman-limited as specified in 
paragraph (a)(3) of this section;
    (ii) The non-resident alien has completed familiarization and basic 
training (BT), as required in Sec.  15.1105 of this subchapter;
    (iii) If the non-resident alien serves as a lifeboatman or 
lifeboatman-limited, he or she has the necessary lifeboatman or 
lifeboatman-limited 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 Sec.  15.1103 of this subchapter.
    (c) A non-resident alien may only serve for a