Licenseing of Maritime Personal

[Code of Federal Regulations]
[Title 46, Volume 1]
[Revised as of October 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 46CFR10]

[Page 102-190]

TITLE 46--SHIPPING

CHAPTER I--COAST GUARD, DEPARTMENT OF TRANSPORTATION

PART 10--LICENSING OF MARITIME PERSONNEL

Subpart A--General

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

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

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

Subpart C--Training Schools With Approved Courses

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

Subpart D--Professional Requirements for Deck Officers' Licenses

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

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

Subpart E--Professional Requirements for Engineer Officers' Licenses

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

Subpart F--Licensing of Radio Officers

10.601 Applicability.

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

Subpart G--Professional Requirements for Pilot Licenses

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

Subpart H--Registration of Staff Officers

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

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

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

Subpart J--Ro-Ro Passenger Ships

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

Authority: 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, and 7701; 49 CFR 1.45
and 1.46. Section 10.107 is also issued under the authority of 44 U.S.C.
3507.

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

Subpart A--General

Sec. 10.101 Purpose of regulations.

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

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

Sec. 10.102 Incorporation by reference.

(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal

[[Page 105]]

Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition
other than that specified in paragraph (b) of this section, the Coast
Guard must publish notice of change in the Federal Register and must
ensure that the material is available to the public. All approved
material is available for inspection at the Office of the Federal
Register, 800 North Capitol Street NW., suite 700, Washington, DC, and
at the U.S. Coast Guard, Office of Operating and Environmental
Standards, 2100 Second Street SW., Washington, DC 20593-0001, and is
available from the sources indicated in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are as follows:

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

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

[CGD 95-062, 62 FR 34529, June 26, 1997, as amended by USCG-1999-6216,
64 FR 53223, Oct. 1, 1999]

Sec. 10.103 Definitions of terms used in this part.

Apprentice mate (steersman) of towing vessels means a mariner
qualified to perform watchkeeping on the bridge, aboard a towing vessel,
while in training under the direct supervision of a licensed master or
mate (pilot) of towing vessels.
Approved means approved by the Coast Guard in accordance with
Sec. 10.302.
Approved training means training that is approved by the Coast Guard
or meets the requirements of Sec. 10.309.
Assistant engineer means a qualified officer in the engine
department.
Assistance towing means towing a disabled vessel for consideration.
Ballast control operator (BCO) is a licensed officer restricted to
service on MODUs. The duties involve the operation of the complex
ballast system found on many MODUs. A ballast control operator, when
assigned to a MODU, is the equivalent of a conventionally licensed mate.
Barge supervisor (BS) is a licensed officer restricted to service on
MODUs. The duties involve support to the OIM in marine related matters
including, but not limited to, maintaining watertight integrity,
inspecting and maintaining mooring and towing components, and the
maintenance of emergency and other marine related equipment. A barge
supervisor, when assigned to a MODU is the equivalent of a
conventionally licensed mate.
Boatswain means the leading seaman and immediate supervisor of
unlicensed deck personnel who supervises the maintenance of deck gear.
Chief engineer means any person responsible for the mechanical
propulsion of a vessel and who is the holder of a valid license as chief
engineer.
Chief mate means the deck officer next in seniority to the master
and upon whom the command of the vessel will fall in the event of the
incapacity of the master.
Coast Guard-accepted means that the Coast Guard has officially
acknowledged in writing that the material or process at issue meets the
applicable requirements; that the Coast Guard has issued an official
policy statement listing or describing the material or process as
meeting the applicable requirements; or that an entity acting on behalf
of the Coast Guard under a Memorandum of Agreement has determined that
the material or process meets the applicable requirements.
Conviction means the applicant for a license or certificate of
registry has been found guilty by judgment or plea by a court of record
of the United States, the District of Columbia or any State or territory
of the United States of a criminal felony or misdemeanor or of an
offense described in section 205 of the National Driver Register Act of
1982 (49 U.S.C. 30304). Conviction of more than one offense at a single
trial will be considered to be multiple convictions. If an applicant
pleads guilty or no contest, is granted deferred adjudication, or is
required by the court to attend classes, make contributions of

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time or money, receive treatment, submit to any manner of probation or
supervision, or forego appeal of a trial court's conviction, then the
applicant will be considered to have received a conviction. A later
expungement of the conviction will not negate a conviction unless it is
proved to the OCMI that the expungement is based upon a showing that the
court's earlier conviction was in error.
Day means, for the purpose of complying with the service
requirements of this part, eight hours of watchstanding or day-working
not to include overtime. On vessels where a 12 hour working day is
authorized and practiced, such as on a six-on, six-off watch schedule,
each work day may be creditable as one and one half days of service. On
vessels of less than 100 gross tons, a day is considered as eight hours
unless the Officer in Charge, Marine Inspection determines that the
vessel's operating schedule makes this criteria inappropriate, in no
case will this period be less than four hours.
Designated duty engineer means a qualified engineer, who may be the
sole engineer on vessels with a periodically unattended engine room.
Designated examiner means a person who has been trained or
instructed in techniques of training or assessment and is otherwise
qualified to evaluate whether a candidate for a license, document, or
endorsement has achieved the level of competence required to hold the
license, document, or endorsement. This person may be designated by the
Coast Guard or by a Coast Guard-approved or accepted program of training
or assessment. A faculty member employed or instructing in a navigation
or engineering course at the U.S. Merchant Marine Academy or at a State
maritime academy operated in accordance with regulations in 46 CFR part
310 is qualified to serve as a designated examiner in his or her area(s)
of specialization without individual evaluation by the Coast Guard.
Disabled vessel means a vessel that needs assistance, whether
docked, moored, anchored, aground, adrift, or under way; but does not
mean a barge or any other vessel not regularly operated under its own
power.
Employment assigned to is the total period a person is assigned to
work on MODUs, including time spent ashore as part of normal crew
rotation.
Endorsement means a provision added to a license which alters its
scope or application. An example of an endorsement is a tonnage
limitation increase within a general tonnage category, a pilot license
route addition, or a radar observer qualification.
Evaluation means processing an application, from the point of
receipt to approval or rejection of the application, including review of
all documents and records submitted with an application as well as those
obtained from public records and databases.
Fails a chemical test for dangerous drugs means that the result of a
chemical test conducted in accordance with 49 CFR part 40 is reported as
``positive'' for the presence of dangerous drugs or drug metabolites in
an individual's system by a Medical Review Officer in accordance with
that part.
First assistant engineer means the engineer officer next in
seniority to the chief engineer and upon whom the responsibility for the
mechanical propulsion of the vessel will fall in the event of the
incapacity of the chief engineer.
Great Lakes means the Great Lakes and their connecting and tributary
waters including the Calumet River as far as the Thomas J. O'Brien Lock
and Controlling Works (between mile 326 and 327), the Chicago River as
far as the east side of the Ashland Avenue Bridge (between mile 321 and
322), and the Saint Lawrence River as far east as the lower exit of
Saint Lambert Lock.
Harbor assist means the use of a towing vessel during maneuvers to
dock, undock, moor, or unmoor a vessel, or to escort a vessel with
limited maneuverability.
Horsepower means, for the purpose of this part, the total maximum
continuous shaft horsepower of all the vessel's main propulsion
machinery.
Inland Waters means the navigable waters of the United States
shoreward of the Boundary Lines as described in 46 CFR part 7, excluding
the Great Lakes and, for towing vessels, excluding the Western Rivers.
For establishing credit for sea service, the waters of the Inside
Passage between

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Puget Sound and Cape Spencer, Alaska, are inland waters.
Lower level means a category of deck and engineer licenses
established for assessment of fees. Lower level licenses are all
licenses, other than those defined as upper level, for which the
requirements are listed in subparts D, E, and G of this part.
Master means the officer having command of a vessel.
Mate means a qualified officer in the deck department other than the
master.
Mobile offshore drilling unit (MODU) means a vessel capable of
engaging in drilling operations for the exploration for or exploitation
of subsea resources. MODU designs include:
(a) Bottom bearing units which include:
(1) Self-elevating (or jack-up) units with moveable, bottom bearing
legs capable of raising the hull above the surface of the sea; and,
(2) Submersible units of ship shape, barge type or novel hull
design, other than a self-elevating unit, intended for operating while
bottom bearing.
(b) Surface units with a ship shape or barge type displacement hull
of single or multiple hull construction intended for operating in a
floating condition, including semi-submersibles and drillships.
Month means 30 days, for the purpose of complying with the service
requirements of this part.
National Driver Register (NDR) means the nationwide repository of
information on drivers maintained by the National Highway Traffic Safety
Administration as provided under 49 U.S.C. Chapter 303.
NDR listed convictions means a conviction of any of the following
motor vehicle-related offenses or comparable offenses:
(a) Operating a motor vehicle while under the influence of, or
impaired by, alcohol or a controlled substance; or
(b) A traffic violation arising in connection with a fatal traffic
accident, reckless driving, or racing on the highways.
Near coastal means ocean waters not more than 200 miles offshore.
Oceans means the waters seaward of the Boundary Lines as described
in 46 CFR part 7. For the purposes of establishing sea service credit,
the waters of the Inside Passage between Puget Sound and Cape Spencer,
Alaska, are not considered oceans.
Officer in Charge, Marine Inspection (OCMI) for the purposes of part
10 means the officer or individual so designated at one of the locations
of the regional examination centers listed in Sec. 10.105.
Offshore installation manager (OIM) is a licensed officer restricted
to service on MODUs. An assigned offshore installation manager is
equivalent to a conventionally licensed master and is the person
designated by the owner or operator to be in complete and ultimate
command of the unit.
On location means that a mobile offshore drilling unit is bottom
bearing or moored with anchors placed in the drilling configuration.
Operator means an individual licensed to operate certain uninspected
vessels.
Orally assisted examination means a license examination as described
in subpart I of this part verbally administered and documented by an
examiner.
Original license means the first deck, engineer or radio officer
license issued to any person by the Coast Guard.
Passes a chemical test for dangerous drugs means the result of a
chemical test conducted in accordance with 49 CFR part 40 is reported as
``negative'' by a Medical Review Officer in accordance with that part.
Pilot of towing vessels means a qualified officer of towing vessels
operating only on inland routes.
Practical demonstration means the performance of an activity under
the direct observation of a designated examiner for the purpose of
establishing that the performer is sufficiently proficient in a
practical skill to meet a specified standard of competence or other
objective criterion.
Qualified instructor means a person who has been trained or
instructed in instructional techniques and is otherwise qualified to
provide required training to candidates for licenses, documents, and
endorsements. A faculty member employed at a State maritime academy or
the U.S. Merchant Marine Academy operated in accordance with

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46 CFR part 310 and instructing in a navigation or engineering course is
qualified to serve as a qualified instructor in his or her area(s) of
specialization without individual evaluation by the Coast Guard.
Raise of grade means an increase in the level of authority and
responsibility associated with a license.
Rivers means any river, canal, or other similar body of water
designated by the Officer in Charge, Marine Inspection.
Senior company official means the president, vice president, vice
president for personnel, personnel director, or similarly titled or
responsible individual, or a lower level employee designated in writing
by one of the aforementioned for the purpose of certifying employment
and whose signature is on file at the REC at which application is made.
Service as when computing the required service for MODU licenses, is
the time period, in days, a person is assigned to work on MODUs,
excluding time spent ashore as part of crew rotation. A day, for the
purposes of this definition, is a minimum of four hours, and no
additional credit is received for periods served over eight hours.
Standard of competence means the level of proficiency to be achieved
for the proper performance of duties on board vessels in accordance with
national and international criteria.
STCW means the International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995.
STCW Code means the Seafarer's Training, Certification and
Watchkeeping Code.
STCW endorsement means a certificate or endorsement issued in
accordance with STCW. An STCW endorsement issued by the Officer in
Charge, Marine Inspection (OCMI), will be valid only when accompanied by
the appropriate U.S. license or document; and, if the license or
document is revoked, then the associated STCW endorsement is no longer
valid for any purpose. References to STCW placed on a U.S. license or
merchant mariner's document will suffice as STCW endorsements for the
mariner serving on a vessel operating exclusively on a domestic voyage
(i.e., to and from U.S. ports or places subject to U.S. jurisdiction).
Underway means that a mobile offshore drilling unit is not in an on
location or laid up status. Underway includes that period of time when
the MODU is deploying or recovering its mooring system.
Undocumented vessel means a vessel not required to have a document
issued under the laws of the United States.
Upper level means a category of deck and engineer licenses
established for assessment of fees. Upper level licenses are those
licenses for which the requirements are listed in Secs. 10.404 to 10.407
of subpart D of this part and Secs. 10.510, 10.512, 10.514, and 10.516
of subpart E of this part.
Western Rivers means the Mississippi River, its tributaries, South
Pass, and Southwest Pass, to the navigational demarcation lines dividing
the high seas from harbors, rivers, and other inland waters of the
United States, and the Port Allen-Morgan City Alternate Route, and that
part of the Atchafalaya River above its junction with the Port Allen-
Morgan City Alternate Route including the Old River and the Red River,
and those waters specified in 33 CFR 89.25.
Year means 360 days, for the purpose of complying with the service
requirements of this part.

[CGD 81-059 and CGD 81-059a, 52 FR 38623 and 38666, Oct. 16, 1987, as
amended by CGD 87-017, 53 FR 18562, May 24, 1988; CGD 81-059, 54 FR 132,
Jan. 4, 1989; CGD 81-059a, 55 FR 14798, Apr. 18, 1990; CGD 91-002, 58 FR
15237, Mar. 19, 1993; CGD 91-223, 60 FR 4524, Jan. 23, 1995; CGD 91-212,
60 FR 65483, Dec. 19, 1995; CGD 95-062, 62 FR 34529, June 26, 1997;
USCG-1999-6224, 64 FR 63225, Nov. 19, 1999; 66 FR 20935, Apr. 26, 2001]

Sec. 10.105 Regional examination centers.

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

Boston, MA
New York, NY
Baltimore, MD
Charleston, SC
Miami, FL
New Orleans, LA
Houston, TX
Memphis, TN
St. Louis, MO
Toledo, OH
San Pedro, CA
San Francisco, CA
Portland, OR

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Seattle, WA
Anchorage, AK
Juneau, AK
Honolulu, HI

[CGD 81-059, 52 FR 38623, Oct. 16, 1987 and CGD 81-059, 54 FR 132, Jan.
4, 1989, as amended by USCG-2000-7790, 65 FR 58458, Sept. 29, 2000]

Sec. 10.107 Paperwork approval.

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

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

Sec. 10.109 Fees.

Use table 10.109 to determine the fees that you must pay for license
and certificate of registry activities in this part.

Table 10.109--Fees
----------------------------------------------------------------------------------------------------------------
And you need--
--------------------------------------------------------------------------
If you apply for-- Evaluation--then the Examination--then the Issuance--then the fee
fee is-- fee is-- is--
----------------------------------------------------------------------------------------------------------------
License:
Original:
Upper level.................. $100 $110 $45
Lower level.................. 100 95 45
Raise of grade................... 100 45 45
Modification or removal of 50 45 45
limitation or scope.
Endorsement...................... 50 45 45
Renewal.......................... 50 45 45
Renewal for continuity purposes.. n/a n/a 45
Reissue, Replacement, and Duplicate n/a n/a \1\ 45
Radio Officer License:
Original......................... 50 n/a 45
Endorsement...................... 50 45 45
Renewal.......................... 50 n/a 45
Renewal for continuity purposes n/a n/a 45
Reissue, Replacement, and n/a n/a \1\ 45
Duplicate.
Certificate of Registry:
Original (MMD holder)............ 90 n/a 45
Original (MMD applicant)......... 105 n/a 45
Renewal.......................... 50 n/a 45
Renewal for continuity purposes.. n/a n/a 45
Endorsement...................... n/a n/a 45
Reissue, Replacement, and n/a n/a \1\ 45
Duplicate.
STCW Certification:
Original......................... No fee No fee No fee.
Renewal.......................... No fee No fee No fee.
----------------------------------------------------------------------------------------------------------------
\1\ Duplicate for document lost as result of marine casualty--No Fee.

[USCG-1997-2799, 64 FR 42814, Aug. 5, 1999; 64 FR 53230, Oct. 1, 1999]

Sec. 10.110 Fee payment procedures.

(a) You may pay--
(1) All fees required by this section when you submit your
application; or
(2) A fee for each phase at the following times:
(i) An evaluation fee when you submit your application.
(ii) An examination fee before you take the first examination
section.
(iii) An issuance fee before you receive your license or certificate
of registry.
(b) If you take your examination someplace other than a Regional
Examination Center (REC), you must pay the examination fee to the REC at
least one week before your scheduled examination date.

[[Page 110]]

(c) Unless the REC provides additional payment options, your fees
may be paid as follows:
(1) Your fee payment must be for the exact amount.
(2) Make your check or money order payable to the U.S. Coast Guard,
and write your social security number on the front of each check or
money order.
(3) If you pay by mail, you must use either a check or money order.
(4) If you pay in person, you may pay with cash, check, or money
order at Coast Guard units where Regional Examination Centers are
located.
(d) Unless otherwise specified in this part, when two or more
documents are processed on the same application--
(1) Evaluation fees. If a certificate of registry transaction is
processed on the same application as a license transaction, only the
license evaluation fee will be charged; and
(2) Issuance fees. A separate issuance fee will be charged for each
document issued.

[USCG-1997-2799, 64 FR 42815, Aug. 5, 1999]

Sec. 10.111 Penalties.

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

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

Sec. 10.112 No-fee license for certain applicants.

(a) For the purpose of this section, a no-fee license applicant is a
person who is a volunteer, or part-time or full-time employee of an
organization which is:
(1) Charitable in nature;
(2) Not for profit; and
(3) Youth oriented.
(b) An organization may submit a written request to Commanding
Officer, U.S. Coast Guard National Maritime Center, 4200 Wilson
Boulevard, Suite 630, Arlington, VA 22203-1804 in order to be considered
an eligible organization under the criteria set forth in paragraph (a)
of this section. With the written request, the organization must provide
evidence of its status as a youth oriented, not for profit, charitable
organization.

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

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

[CGD 91-002, 58 FR 15238, Mar. 19, 1993, as amended by CGD 95-072, 60 FR
50460, Sept. 29, 1995; CGD 96-041, 61 FR 50726, Sept. 27, 1996; CGD 97-
057, 62 FR 51042, Sept. 30, 1997; USCG-2001-10224, 66 FR 48619, Sept.
21, 2001]

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

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

(a) Each applicant shall establish to the satisfaction of the OCMI
that he or she possesses all of the qualifications necessary (such as
age, experience, character references and recommendations, physical
health or competence and test for dangerous drugs, citizenship, approved
training, passage of a

[[Page 111]]

professional examination, as appropriate, and, when required by this
part, a practical demonstration of skills) before the OCMI will issue a
license or certificate of registry.
(b) No person who has been convicted by a court of record of a
violation of the dangerous drug laws of the United States, the District
of Columbia, or any State or territory of the United States is eligible
for a license or certificate of registry, except as provided by the
provisions of paragraph (h) of this section. No person who has ever been
the user of, or addicted to the use of, a dangerous drug, or has ever
been convicted of an offense described in section 205 of the National
Driver Register Act of 1982 (49 U.S.C. 30304) due to the addiction or
abuse of alcohol is eligible for a license or certificate of registry
unless he or she furnishes satisfactory evidence of suitability for
service in the merchant marine as provided in paragraph (j) of this
section.
(c) Except as provided in Sec. 10.464(i) of the part, an applicant
for a license must demonstrate an ability to speak and understand
English as found in the navigation rules, aids to navigation
publications, emergency equipment instructions, machinery instructions,
and radiotelephone communications instructions.
(d) An applicant for a license must meet the requirements for recent
service specified in Sec. 10.202(e).
(e) No license or certificate of registry may be issued to any
person who is not a citizen of the United States with the exception of
operator of uninspected passenger vessels limited to vessels not
documented under the laws of the United States.
(f) Except as specified in this paragraph, no license or certificate
of registry may be issued to a person who has not attained the age of 21
years.
(1) A license as master of near coastal, Great Lakes and inland,
inland, or river vessels of 25-200 gross tons, third mate, third
assistant engineer, mate of vessels of 200-1600 gross tons, ballast
control operator, assistant engineer (MODU), assistant engineer of
fishing industry vessels, mate (pilot) of towing vessels, radio officer,
assistant engineer (limited-oceans), or designated duty engineer of
vessels of not more than 4000 horsepower may be granted to an applicant
who has reached the age of 19 years.
(2) A license as limited master of near coastal vessels of not more
than 100 gross tons, limited master of Great Lakes and inland vessels of
not more than 100 gross tons, mate of Great Lakes and inland vessels of
25-200 gross tons, mate of near coastal vessels of 25-200 gross tons,
operator of uninspected passenger vessels, or designated duty engineer
of vessels of not more than 1,000 horsepower, or apprentice mate
(steersman) of towing vessels, may be granted to an applicant, otherwise
qualified, who has reached the age of 18 years.
(g) Persons serving or intending to serve in the merchant marine
service are recommended to take the earliest opportunity of
ascertaining, through examination, whether their visual acuity, and
color vision where required, are such as to qualify them for service in
that profession. Any physical impairment or medical condition which
would render an applicant incompetent to perform the ordinary duties of
an officer at sea is cause for denial of a license.
(h) Criminal Record Review. The OCMI may review the criminal record
of an applicant for the issuance of a license or certificate of registry
issued as an original or reissued with a new expiration date. An
applicant conducting simultaneous merchant mariner's credential
transactions shall undergo only one criminal record check. Applicants
must provide written disclosure of all prior convictions at the time of
application.
(1) If the applicant is advised that a criminal record check is
required by the OCMI, applicants shall provide their fingerprints at the
time of application. The fingerprints will be used to determine whether
the applicant has a record of a criminal conviction. An application may
be disapproved if a criminal record review leads the OCMI to determine
that the applicant's habits of life and character are such that the
applicant cannot be entrusted with the duties and responsibilities of
the license or certificate of registry for which application is made. If
an application is disapproved, the OCMI will

[[Page 112]]

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

[[Page 113]]

Table 10.201(h)--Guidelines for Evaluating Applicants for Licenses and Certificates of Registry Who Have
Criminal Convictions
----------------------------------------------------------------------------------------------------------------
Assessment periods
Crime\1\ --------------------------------------------------------------------
Minimum Maximum
----------------------------------------------------------------------------------------------------------------
Crimes Against Persons

----------------------------------------------------------------------------------------------------------------
Homicide (intentional)..................... 7 years.......................... 20 years.
Homicide (unintentional)................... 5 years.......................... 10 years.
Assault (aggravated)....................... 5 years.......................... 10 years.
Assault (simple)........................... 1 year........................... 5 years.
Sexual Assault (rape, child molestation)... 5 years.......................... 10 years.
Robbery.................................... 5 years.......................... 10 years.
Other crimes against persons \2\...........

----------------------------------------------------------------------------------------------------------------
Crimes Against Property

----------------------------------------------------------------------------------------------------------------
Burglary................................... 3 years.......................... 10 years.
Larceny (embezzlement)..................... 3 years.......................... 5 years.
Other crimes against property \2\..........

----------------------------------------------------------------------------------------------------------------
Vehicular Crimes

----------------------------------------------------------------------------------------------------------------
Conviction involving fatality.............. 1 year........................... 5 years.
Reckless Driving........................... 1 year........................... 2 years.
Racing on the Highways..................... 1 year........................... 2 years.
Other vehicular crimes \2\.................

----------------------------------------------------------------------------------------------------------------
Crimes Against Public Safety

----------------------------------------------------------------------------------------------------------------
Destruction of Property.................... 5 years.......................... 10 years.
Other crimes against public safety \2\.....

----------------------------------------------------------------------------------------------------------------
Crimes Involving National Security

----------------------------------------------------------------------------------------------------------------
Terrorism, Acts of Sabotage, Espionage and 7 years.......................... 20 years.
related offenses.

----------------------------------------------------------------------------------------------------------------
Criminal Violations of Environmental Laws

----------------------------------------------------------------------------------------------------------------
Criminal violations of environmental laws 1 year........................... 10 years.
involving improper handling of pollutants
or hazardous materials.

----------------------------------------------------------------------------------------------------------------
Dangerous Drug Offenses 3, 4, 5

----------------------------------------------------------------------------------------------------------------
Trafficking (sale, distribution, transfer). 5 years.......................... 10 years.
Dangerous drugs (Use or possession)........ 1 year........................... 10 years.
Other dangerous drug convictions \6\.......
----------------------------------------------------------------------------------------------------------------
\1\ Conviction of attempt, solicitation, aiding and abetting, accessory after the fact, and conspiracy to commit
the criminal conduct listed in this table carry the same minimum and maximum assessment periods provided in
the table.
\2\ Other crimes are to be reviewed by the OCMI to determine the minimum and maximum assessment periods
depending on the nature of the crime.
\3\ Applicable only to original applications for licenses or CORs. Any applicant who has ever been the user of,
or addicted to the use of, a dangerous drug shall meet the requirements of paragraph (b) of this section.
Note: Applicants for reissue of a license or COR with a new expiration date including a renewal or a raise of
grade, who have been convicted of a dangerous drug offense while holding a license or COR, may have their
applications withheld until appropriate action has been completed by the OCMI under the regulations which
appear in 46 CFR part 5 governing administrative actions against merchant mariner credentials.
\4\ The OCMI may consider dangerous drug convictions more than 10 years old only if there has been a dangerous
drug conviction within the past 10 years.
\5\ Applicants must demonstrate rehabilitation under paragraph (j) of this section, including applicants with
dangerous drug use convictions more than ten years old.
\6\ Other dangerous drug convictions are to be reviewed by the Officer in Charge, Marine Inspection on a case by
case basis to determine the appropriate assessment periods depending on the nature of the offense.

(i) National Driver Register. A license or certificate of registry
will not be issued as an original or reissued with a new expiration date
unless the applicant consents to a check of the NDR for offenses
described in section

[[Page 114]]

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

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

[[Page 115]]

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

[CGD 81-059 and CGD 81-059a, 52 FR 38623 and 38666, Oct. 16, 1987, as
amended by CGD 81-059, 54 FR 133, Jan. 4, 1989; CGD 81-059a, 55 FR
14799, Apr. 18, 1990; CGD 91-223, 60 FR 4524, Jan. 23, 1995; CGD 91-212,
60 FR 65484, Dec. 19, 1995; CGD 95-062, 62 FR 34529, June 26, 1997;
USCG-1999-6224, 64 FR 63225, Nov. 19, 1999]

Sec. 10.202 Issuance of licenses, certificates of registry, and STCW
certificates or endorsements.

(a) Applications for original licenses, original certificates of
registry, raises of grade, extensions of route, or endorsements must be
current and up-to-date with respect to service and the physical
examination, as appropriate. Physical examinations and approved
applications are valid for 12 months.
(b) Any person who is found qualified under the requirements set
forth in this part is issued an appropriate license or certificate of
registry valid for a term of 5 years from date of issuance. Any license
or certificate of registry which is renewed or upgraded prior to its
expiration date automatically becomes void upon issuance of the
replacement license or certificate of registry.
(c) A license or certificate of registry is not valid until signed
by the applicant and the OCMI (or the OCMI's designated representative).
(d) Every person who receives an original license or certificate of
registry shall take an oath before a designated Coast Guard official
that he or she will faithfully and honestly, according to his or her
best skill and judgment, without concealment or reservation, perform all
the duties required by law and obey all lawful orders of superior
officers. Such an oath remains binding for all subsequent licenses or
certificates of registry issued to that person unless specifically
renounced in writing.
(e) The applicant for any original license, endorsement, or raise of
grade of license must have at least three months' qualifying service on
vessels of appropriate tonnage or horsepower within the three years
immediately preceding the date of application.
(f) Any applicant whose uncorrected vision exceeds 20/40 in either
eye for deck licenses or 20/50 in either eye for engineer, radio
officer, offshore installation manager, barge supervisor, or ballast
control operator licenses may not serve under the authority of the
license unless corrective lenses are worn and spare lenses are carried
on board a vessel while serving. (Not applicable to staff officers).
(g) If an Officer in Charge, Marine Inspection, refuses to grant an
applicant the license or certificate of registry for which applied, the
OCMI will furnish the applicant, if requested, a written statement
setting forth the cause of denial.
(h) The Officer in Charge, Marine Inspection, may modify the service
and examination requirements in this part to satisfy the unique
qualification requirements of an applicant. The Officer in Charge,
Marine Inspection, may also lower the age requirement for operator of
uninspected passenger vessels license applicants. The authority granted
by a license will be restricted on its face to reflect any modifications
made under the authority of this paragraph. Such restrictions shall not
be removed

[[Page 116]]

without the approval of the OCMI issuing the license.
(i) To obtain an original issuance or a renewal of a license or a
certificate of registry, a raise in grade of a license, or a higher
grade of certificate of registry each applicant shall produce evidence
of having passed a chemical test for dangerous drugs or of qualifying
for an exception from testing in Sec. 16.220 of this subchapter. An
applicant who fails a chemical test for dangerous drugs will not be
issued a license or certificate of registry.
(j) When an original license is issued, renewed, upgraded, or
otherwise modified, the OCMI will determine whether the holder of the
license needs to hold an STCW certificate or endorsement for service on
a seagoing vessel and then, if the holder is qualified, will issue the
appropriate certificate or endorsement. The OCMI will also issue an STCW
certificate or endorsement at other times, if circumstances so require
and if the holder of the license is qualified to hold the certificate or
endorsement.
(k) Notwithstanding Sec. 10.205 (l), (m), (n), (o), and (p),
Sec. 10.304, and Sec. 10.901, each mariner found qualified to hold any
of the following licenses will also be entitled to hold an STCW
certificate or endorsement corresponding to the service or other
limitations on the license, because the vessels concerned are not
subject to further obligation under STCW, on account of their special
operating conditions as small vessels engaged in domestic voyages:
(1) Master's, mate's, or engineer's license for service on small
passenger vessels that are subject to subchapter T or K of title 46,
Code of Federal Regulations (CFR), and that operate beyond the boundary
line.
(2) Master's, mate's, or engineer's license for service on seagoing
vessels of less than 200 gross register tons (GRT), other than passenger
vessels subject to subchapter H of title 46, CFR.
(l) Neither any person serving on any of the following vessels, nor
any owner or operator of any of these vessels, need hold STCW
certificates or endorsements, because they are exempt from application
of STCW:
(1) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
(2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
(3) Fishing vessels used as fish-tender vessels as defined in 46
U.S.C. 2101(11)(c).
(4) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
(5) Vessels operating exclusively on the Great Lakes or the inland
waters of the U.S. in the straits of Juan de Fuca inside passage.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 53 FR
133, Jan. 4, 1989; CGD 91-211, 59 FR 49297, Sept. 27, 1994; CGD 91-223,
60 FR 4524, Jan. 23, 1995; CGD 95-062, 62 FR 34529, June 26, 1997; CGD
95-062, 62 FR 40140, July 25, 1997; CGD 95-062, 62 FR 40281, July 28,
1997; CGD 95-028, 62 FR 51195, Sept. 30, 1997]

Sec. 10.203 Quick reference table for license and certificate of
registry requirements.

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

[[Page 117]]

Table 10.203
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Recommendations Professional
License category Minimum age Citizenship Physical Experience and character Firefighting exam Recency of First aid and
requirement required requirements check certificate requirements Service CPR requirements
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Masters/mates and operators of 21; 10.201(f); Yes, 10.201(e); Yes, 10.205(d); Yes, 10.205(e); Yes, 10.205(f).. Yes, 10.205(g); Yes, 10.205(i), Yes, 3 months Yes, in
uninspected passenger vessels Note: Note: exception. Note: (d)(2). subpart D. Note: 10.910; Note: past 36 months, 10.205(h).
(original license). exceptions. exceptions. 10.903(b). 10.202(e).
Engineers (original license).. 21;10.201(f); Yes............. Yes, 10.205(d); 10.205(e); Yes, 10.205(f);. Yes, 10.205(g).. Yes, 10.205(i) Yes, 3 months in Yes, 10.205(h).
Note: Note: (d)(3). subpart E. 10.950. past 36 months,
exceptions. 10.202(e).
All raises of grade........... 21; 10.201(f); Yes............. 10.207(e); Note: 10.207(c); N/A............. Yes, Note: 10.207(d). Yes, 3 months in N/A.
Note: (e)(1). subparts D & E. 10.207(f). 10.910. 10.920. past 36 months
exceptions. 10.950. 10.202(e).
License renewals.............. N/A............. Yes............. 10.209(d)....... 10.209(c)....... N/A............. N/A............. 10.209(c)....... 10.209(c)....... N/A.
COR renewals.................. N/A............. Yes............. No.............. 10.209(c)(5).... N/A............. N/A............. N/A............. N/A............. N/A.
Pilot......................... 21.............. Yes............. Yes, 10.709..... 10.703, Yes, 10.205(f).. N/A............. 10.707, 10.910.. Yes, 10.703, Yes, 10.205(h).
10.706(a), 10.705(e),
10.715. 10.713.
Uninspected fishing industry 21; 10.201(f); Yes............. Yes, 10.205(d); Deck: 10.462, Yes, 10.205(f).. Yes, 10.205(g).. Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).
vessels. Note: Note: (d)(2) or Eng: 10530, 10.910. past 36 months
exceptions. (d)(3). 10.205(f). 10.950(oral). 10.202(e).
Towing vessels................ Master of towing Yes............. Yes, 10.205(d); 10.464.......... Yes, 10.205(f).. Yes, 10.205(g) Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).
vessels: 21; Note: (d)(2). oceans. 10.910. past 36 months,
mate (pilot) of 10.202(e).
towing vessels:
19; apprentice
mate
(steersman): 18.
Radio officer................. 19.............. Yes............. Yes, 10.205(d); 10.603.......... Yes, 10.205(f).. N/A............. N/A............. N/A............. Yes, 10.205(h).
Note: (d)(3).
Staff officer................. 21.............. Yes............. No.............. 10.807.......... Yes, 10.205(f).. N/A............. N/A............. N/A............. N/A.
Offshore installation manager, 21; 10201(f); Yes............. Yes, 10.205(d); Deck: 10.468, Yes, 10.205(f).. Yes, 10.205(g).. Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).
barge supervisor, ballast Note: Note: (d)(3). Eng: 10.540. 10.920. past 36 months,
control operator. exceptions. 10.202(e).
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

[CGD 91-211, 59 FR 49297, Sept. 27, 1994; CGD 91-211, 59 FR 50964, Oct.
6, 1994, as amended by USCG-1999-6224, 64 FR 63225, Nov. 19, 1999]

[[Page 118]]

Sec. 10.204 Right of appeal.

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

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

Sec. 10.205 Requirements for original licenses, certificates of
registry, and STCW certificates and endorsements.

(a) General. The applicant for an original license or certificate of
registry shall present satisfactory documentary evidence of eligibility
in respect to the requirements of this section. Each applicant shall
make written application on a Coast Guard furnished form and, unless
exempted under Sec. 10.112, submit the evaluation fee set out in table
10.109 in Sec. 10.109.
(b) Minimum age. The applicant shall present satisfactory proof of
age as prescribed in Sec. 10.201(f). This evidence may be any of the
items submitted to establish citizenship.
(c) Citizenship. (1) The OCMI may reject any evidence of citizenship
that is not believed to be authentic. Acceptable evidence of citizenship
may be an original or certified copy of the following:
(i) Birth certificate or birth registration.
(ii) Certificate of naturalization (original must be presented;
photocopies are unlawful).
(iii) Baptismal certificate or parish record recorded within one
year after birth.
(iv) Statement of a practicing physician certifying attendance at
the birth and who possesses a record showing the date and location at
which it occurred.
(v) State Department passport.
(vi) A merchant mariner's document issued by the Coast Guard which
shows the holder as a United States citizen.
(vii) Delayed certificate of birth issued under a state seal in the
absence of any collateral facts indicating fraud in its procurement.
(viii) Certificate of Citizenship issued by the United States
Immigration and Naturalization Service.
(2) If none of the requirements set forth in paragraphs (c)(1)(i)
through (c)(1)(viii) of this section can be met by the applicant, the
individual shall make a statement to that effect, and may submit data of
the following character for consideration:
(i) Report of the Census Bureau showing the earliest available
record of age or birth. Request for such information should be addressed
to the Personal Census Service Branch, Bureau of the Census, Pittsburgh,
KS 66762. In making such request, the use of Form BC-600, Application
for Search of Census Records, furnished by the Bureau is required.
(ii) Affidavits of parents, relative, or two or more responsible
citizens of the United States stating citizenship.
(iii) School records, immigration records, or insurance policies.
(d) Physical examination. (1) All applicants for an original license
must pass an examination given by a licensed physician or a licensed
physician assistant and present to the OCMI a completed Coast Guard
physical examination form, or the equivalent, executed by the physician.
This form must provide information on the applicant's acuity of vision,
color sense, and general physical condition. This examination must have
been completed prior to submission of the application and not more than
12 months prior to issuance of the license. (Physical examinations are
not required for staff officers.)
(2) For an original license as master, mate, pilot, or operator, the
applicant must have vision correctable to at least 20/40 in each eye and
uncorrected vision of at least 20/200 in each eye. The color sense must
be determined to be satisfactory when tested by any of the following
methods, without the use of color sensing lenses:
(i) Pseudoisochromatic Plates (Dvorine, 2nd Edition; AOC; revised
edition or AOC-HRR; Ishihara 16-, 24-, or 38-plate editions).
(ii) Eldridge--Green Color Perception Lantern.

[[Page 119]]

(iii) Farnsworth Lantern.
(iv) Keystone Orthoscope.
(v) Keystone Telebinocular.
(vi) SAMCTT (School of Aviation Medicine Color Threshold Tester).
(vii) Titmus Optical Vision Tester.
(viii) Williams Lantern.
(3) For an original license as engineer, radio officer, offshore
installation manager, barge supervisor or ballast control operator, the
applicant must have correctable vision of at least 20/50 in each eye and
uncorrected vision of at least 20/200 in each eye. Applicants need only
to have the ability to distinguish the colors red, green, blue and
yellow.
(4) Where an applicant does not possess the vision, hearing, or
general physical condition necessary, the OCMI, after consultation with
the examining physician or physician's assistant, may recommend a waiver
to the Commandant if extenuating circumstances warrant special
consideration. Applicants may submit to the OCMI, additional
correspondence, records and reports in support of this request. In this
regard, recommendations from agencies of the Federal Government
operating government vessels, as well as owners and operators of private
vessels, made in behalf of their employees, will be given full
consideration. Waivers are not normally granted to an applicant whose
corrected vision in the better eye is not at least 20/40 for deck
licenses or 20/50 for engineer licenses.
(e) Experience or training. (1) All applicants for original licenses
and certificates of registry shall present to the OCMI, letters,
discharges, or other documents certifying the amount and character of
their experience and the names, tonnage and horsepower of the vessels on
which acquired. The OCMI must be satisfied as to the authenticity and
acceptability of all evidence of experience or training presented.
Certificates of discharge are returned to the applicant. The OCMI shall
note on the application that service represented by these documents has
been verified. All other documentary evidence of service, or authentic
copies thereof, are filed with the application. A license is not
considered as satisfactory evidence of any qualifying experience.
(2) No original license or certificate of registry may be issued to
any naturalized citizen on less experience in any grade or capacity than
would have been required of a citizen of the United States by birth.
(3) Experience and service acquired on foreign vessels is creditable
for establishing eligibility for an original license, subject to
evaluation by the OCMI to determine that it is a fair and reasonable
equivalent to service acquired on merchant vessels of the United States,
with respect to grade, tonnage, horsepower, waters, and operating
conditions. An applicant who has obtained qualifying experience on
foreign vessels shall submit satisfactory documentary evidence of such
service (including any necessary translation into English) in the forms
prescribed by paragraph (e)(1) of this section.
(4) No applicant for an original license who is a naturalized
citizen, and who has obtained experience on foreign vessels, will be
given an original license in a grade higher than that upon which he or
she has actually served while acting under the authority of a foreign
license.
(f) Character check and references. (1) Each applicant for an
original license shall submit written recommendations concerning the
applicant's suitability for duty from a master and two other licensed
officers of vessels on which the applicant has served. For a license as
engineer or as pilot, at least one of the recommendations must be from
the chief engineer or licensed pilot, respectively, of a vessel on which
the applicant has served. For a license as engineer where service was
obtained on vessels not carrying a licensed engineer and for a license
as master or mate (pilot) of towing vessels, the recommendations may be
by recent marine employers with at least one recommendation from a
master, operator, or person in charge of a vessel upon which the
applicant has served. For a license as offshore installation manager,
barge supervisor, or ballast control operator, at least one
recommendation must be from an offshore installation manager of a unit
on which the applicant has served. Where an applicant qualifies for a
license through an approved training school,

[[Page 120]]

one of the character references must be an official of that school. For
a license for which no commercial experience may be required, such as:
Master or mate 25-200 gross tons, operator of uninspected passenger
vessels, radio officer or certificate of registry, the applicant may
have the written recommendations of three persons who have knowledge of
the applicant's suitability for duty.
(2) The OCMI may review the criminal record check of each applicant
for an original license or certificate of registry according to the
procedures set forth in Sec. 10.201(h).
(3) A person may apply for an original license, or license of a
different type, while on probation as a result of administrative action
under part 5 of this chapter. The offense for which the applicant was
placed on probation will be considered in determining his or her fitness
to hold the license applied for. A license issued to an applicant on
probation will be subject to the same probationary conditions as were
imposed against the applicant's other license or mariner's document. An
applicant may not take an examination for a license during any period
when a suspension without probation or a revocation is effective against
the applicant's currently held license or mariner's document, or while
an appeal from these actions is pending.
(4) In the event a license or certificate of registry has already
been issued when information about the applicant's habits of life and
character is brought to the attention of the OCMI, if such information
warrants the belief that the applicant cannot be entrusted with the
duties and responsibilities of the license or certificate of registry
issued, or if such information indicates that the application for the
license or certificate of registry was false or incomplete, the OCMI may
notify the holder in writing that the license or certificate of registry
is considered null and void, direct the holder to return it to the OCMI,
and advise the holder that, upon return of the license or certificate of
registry, the appeal procedures of Sec. 10.204 of this part apply.
(g) Firefighting certificate. Applicants for the licenses in the
following categories must present a certificate of completion from a
firefighting course of instruction which has been approved by the
Commandant. The course must meet both the basic and advanced sections of
the International Maritime Organization's (IMO) Resolution A.437 (XI)
Training of Crews in Firefighting. The course must have been completed
within five years before the date of application for the license
requested.
(1) Master's license for service on vessels of 200 gross tons or
less in ocean service.
(2) All master or mate's licenses for over 200 gross tons.
(3) All licenses for master or mate (pilot) of towing vessels,
except apprentice mate (steersman) of such vessels, on oceans.
(4) All licenses on mobile offshore drilling units.
(5) All engineer's licenses.
(h) First aid and cardiopulmonary resuscitation (CPR) course
certificates. All applicants for an original license or certificate of
registry, except as provided in Secs. 10.429, 10.456, and 10.466 of this
part, must present to the OCMI:
(1) A certificate indicating completion of a first aid course within
the past 12 months from:
(i) The American National Red Cross Standard First Aid and Emergency
Care or Multi-media Standard First Aid course;
(ii) A Coast Guard approved first aid training course; or,
(iii) A course the OCMI determines meets or exceeds the standards of
the American Red Cross courses; and,
(2) A currently valid certificate of completion of a CPR course
from:
(i) The American National Red Cross;
(ii) The American Heart Association;
(iii) A Coast Guard approved CPR training course; or,
(iv) A course the OCMI determines meets or exceeds the standards of
the American Red Cross or American Heart Association courses.
(i) Professional Examination. (1) When the OCMI finds the
applicant's experience and training to be satisfactory and the applicant
is eligible in all other respects, the OCMI will authorize the
examination in accordance with the following requirements:

[[Page 121]]

(i) Any applicant for a deck or engineer license limited to vessels
not exceeding 500 gross tons, or a license limited to uninspected
fishing-industry vessels, may request an oral-assisted examination in
lieu of any written or other textual examination. If there are textual
questions that the applicant has difficulty reading and understanding,
the OCMI will offer the oral-assisted examination. Each license based on
an oral-assisted examination is limited to the specific route and type
of vessel upon which the applicant obtained the majority of service.
(ii) The general instructions for administration of examinations and
the lists of subjects for all licenses appear in Subpart I of this part.
The OCMI will place in the applicant's file a record indicating the
subjects covered.
(2) When the license application of any person has been approved,
the applicant should take the required examination as soon as
practicable. If the applicant cannot be examined without delay at the
office where the application is made, the applicant may request that the
examination be given at another office.
(3) The qualification requirements for radar observer are contained
in Sec. 10.480.
(4) An examination is not required for a license as radio officer or
a certificate of registry.
(j) Chemical testing for dangerous drugs. To obtain a license or
certificate of registry each applicant shall produce evidence of having
passed a chemical test for dangerous drugs or of qualifying for an
exception from testing in Sec. 16.220 of this subchapter. An applicant
who fails a chemical test for dangerous drugs will not be issued a
license or certificate of registry.

(k) National Driver Register. Each applicant for an original license
or certificate of registry shall consent to an NDR check under
Sec. 10.201(i).
(l) Basic safety training or instruction. After January 31, 1997,
except as provided in Sec. 10.202, an STCW certificate or endorsement
valid for any period on or after February 1, 2002, will be issued only
when the candidate provides evidence of having achieved or, if training
has been completed, having maintained the minimum standards of
competence for the following 4 areas of basic safety within the previous
5 years upon assessment of a practical demonstration of skills and
abilities:
(1) Personal survival techniques as set out in table A-VI/1-1 of the
STCW Code.
(2) Fire prevention and fire-fighting as set out in table A-VI/1-2
of the STCW Code.
(3) Elementary first aid as set out in table A-VI/1-3 of the STCW
Code.
(4) Personal safety and social responsibilities as set out in table
A-VI/1-4 of the STCW Code.
(m) Competence in the use of Automatic Radar-Plotting Aids (ARPA).
(1) Subject to paragraph (m)(2) of this section, and except as otherwise
provided in Sec. 10.202, each candidate for an STCW certificate or
endorsement as master or mate, to be valid on or after February 1, 2002,
for service on vessels in ocean or near-coastal service, shall present a
certificate of completion from an approved course or from accepted
training on an ARPA simulator. The course or training must be sufficient
to establish that the applicant is competent to maintain safe navigation
through the proper use of ARPA, by correctly interpreting and analyzing
the information obtained from that device and taking into account both
the limitations of the equipment and the prevailing circumstances and
conditions. The simulator used in the course or training must meet or
exceed the performance standards established under STCW Regulation I/12
of the 1995 Amendments.
(2) Training and assessment in the use of ARPA are not required for
mariners serving exclusively on vessels not fitted with ARPA. However,
when any mariner so serving has not completed it, his or her STCW
certificate or endorsement will be endorsed to indicate this limitation.
(n) Certificate for operator of radio in the Global Maritime
Distress and Safety System (GMDSS). (1) Subject to paragraph (n)(2) of
this section, and except as otherwise provided by Sec. 10.202, each
candidate for an STCW certificate or endorsement as master or mate, to
be valid on or after February 1, 2002, for service in vessels in ocean
or near-coastal service, shall present--

[[Page 122]]

(i) A certificate for operator of radio in the GMDSS issued by the
Federal Communication Commission (FCC); and
(ii) A certificate of completion from a Coast Guard-approved or
accepted course for operator of radio in the GMDSS or from another
approved or accepted program of training and assessment covering the
same areas of competence. The course or program must be sufficient to
establish that the applicant is competent to perform radio duties on a
vessel participating in the GMDSS and meets the standard of competence
under STCW Regulation IV/2.
(2) Paragraph (n)(1) of this section does not apply to a candidate
intending to serve only as a pilot, or intending to serve only on
vessels not required to comply with the provisions of the GMDSS in
Chapter IV of the Convention for the Safety of Life at Sea, 1974, as
amended (SOLAS).
(3) Each candidate presenting a certificate described in paragraph
(n)(1) of this section may have his or her STCW certificate suitably
endorsed with his or her GMDSS qualification.
(o) Procedures for bridge team work. Except as otherwise provided by
Sec. 10.202, each candidate for an STCW certificate or endorsement as
master or mate, to be valid on or after February 1, 2002, for service on
vessels in ocean or near-coastal service, shall present sufficient
documentary proof that he or she understands and can effectively apply
procedures for bridge team work as an essential aspect of maintaining a
safe navigational watch, taking into account the principles of bridge-
resource management enumerated in Section B-VIII/2 of the STCW Code.
(p) Practical demonstration of skills. Each candidate for an
original license shall successfully complete any practical
demonstrations required under this part and appropriate to the
particular license concerned, to prove that he or she is sufficiently
proficient in skills required under subpart I of this part. The OCMI
must be satisfied as to the authenticity and acceptability of all
evidence that each candidate has successfully completed the
demonstrations required under this part in the presence of a designated
examiner. The OCMI will place in the file of each candidate a written or
electronic record of the skills required, the results of the practical
demonstrations, and the identification of the designated examiner in
whose presence the requirements were fulfilled.

[CGD 81-059 and CGD 81-059a, 52 FR 38623 and 38666, Oct. 16, 1987, as
amended by CGD 81-059, 54 FR 133, Jan. 4, 1989; CGD 81-059a, 55 FR
14799, Apr. 18, 1990; CGD 91-002, 58 FR 15238, Mar. 19, 1993; CGD 91-
223, 60 FR 4524, Jan. 23, 1995; CGD 91-212, 60 FR 65486, Dec. 19, 1995;
CGD 94-029, 61 FR 47063, Sept. 6, 1996; CGD 95-062, 62 FR 34530, June
26, 1997; CGD 95-062, 62 FR 40281, July 28, 1997; USCG-1997-2799, 64 FR
42815, Aug. 5, 1999; USCG-1999-6224, 64 FR 63225, Nov. 19, 1999; 66 FR
20935, Apr. 26, 2001]

Sec. 10.207 Requirements for raises of grades of licenses.

(a) General. Before any person is issued a raise of grade of
license, the applicant shall present satisfactory documentary evidence
of eligibility. Each applicant shall make written application on a Coast
Guard furnished form and, unless exempted under Sec. 10.112, submit the
evaluation fee set out in table 10.109 in Sec. 10.109.
(b) Surrendering old license. Upon the issuance of a new license for
raise of grade, the applicant shall surrender the old license to the
OCMI. If requested, the old license is returned to the applicant after
cancellation.
(c) Age, experience, training, and assessment. (1) Each applicant
for a raise of grade of license shall establish that he or she possesses
the age, experience, and training necessary, and has been examined and
otherwise assessed as may be required by this part to establish
competence to hold the particular license requested, before he or she is
entitled to a raise in grade of license.
(2) Applicants for raise of grade of license shall present to the
OCMI at a Regional Examination Center, letters, discharges, or other
official documents certifying to the amount and character of their
experience and the names of the vessels on which acquired. Certificates
of discharge are returned to the applicant after review by the OCMI. All
other documentary evidence of service, or copies thereof, are filed with
the application.

[[Page 123]]

(3) Sea service acquired prior to the issuance of the license held
is generally not accepted as any part of the service required for raise
of grade of that license. However, service acquired prior to issuance of
a license will be accepted for certain crossovers, endorsements or
increases in scope of a license, as appropriate. In the limited tonnage
categories for deck licenses, total accumulated service is a necessary
criterion for most raises in grade; service acquired prior to the
issuance of such licenses will, therefore, be accepted.
(4) No raise of grade of license may be issued to any naturalized
citizen on less experience in any grade than would have been required of
a citizen of the United States by birth.
(5) Experience and service acquired on foreign vessels while holding
a valid U. S. license is creditable for establishing eligibility for a
raise of grade, subject to evaluation by the OCMI to determine that it
is a fair and reasonable equivalent to service acquired on merchant
vessels of the United States, with respect to grade, tonnage,
horsepower, waters and operating conditions. An applicant who has
obtained the qualifying experience on foreign vessels shall submit
satisfactory documentary evidence of such service (including any
necessary translations into English) in the forms prescribed by
paragraph (c)(2) of this section.
(6) An applicant remains eligible for a raise of grade of license
while on probation as a result of action under part 5 of this chapter. A
raise of grade of license issued to a person on probation will be
subject to the same probationary conditions imposed against the
applicant's other certificates or licenses. The offense for which he or
she was placed on probation will be considered on the merits of the case
in determining fitness to hold the license applied for. No applicant
will be examined for a raise of grade of license during any period when
a suspension without probation or a revocation imposed under part 5 of
this chapter is effective against the applicant's license or certificate
or while an appeal from these actions is pending.
(d) Professional Examination. (1)(i) When the OCMI finds an
applicant's experience and training for raise of grade to be
satisfactory and the applicant is eligible in all other respects, the
OCMI will authorize the examination. Oral-assisted examinations may be
administered in accordance with Sec. 10.205(i)(1). The OCMI will place
in the applicant's file a record indicating the subjects covered.
(ii) The general instructions for administration of examinations and
the lists of subjects for all licenses appear in Subpart I of this part.
(2) The qualification requirements for radar observer are contained
in Sec. 10.480.
(e) Physical requirements. (1) An applicant for raise of grade of a
license who has not had a physical examination for an original license
or renewal of license within three years must submit a certification by
a licensed physician or physician assistant that he or she is in good
health and has no physical impairment or medical condition which would
render him or her incompetent to perform the ordinary duties of the
license applied for.
(2) If the OCMI has reason to believe that an applicant for raise of
grade of license suffers from some physical impairment or medical
condition which would render the applicant incompetent to perform the
ordinary duties of that license, the applicant may be required to submit
the results of an examination by a licensed physician or physician
assistant that meets the requirements for an original license.
(3) An applicant who has lost the sight of one eye may obtain a
raise of grade of license, provided that the applicant is qualified in
all other respects and that the visual acuity in the one remaining eye
passes the test required under Sec. 10.205(d).
(f) Firefighting certificate. Applicants for raise of grade of
license who have not previously met the requirements in Sec. 10.205(g),
must do so.
(g) Chemical testing for dangerous drugs. To obtain a raise of grade
of a license each applicant shall produce evidence of having passed a
chemical test for dangerous drugs or of qualifying for an exception from
testing in Sec. 16.220 of this subchapter.

[[Page 124]]

(h) Criminal Record Review. Each applicant for a raise of grade may
be required to submit to a criminal record check under Sec. 10.201(h).
(i) National Driver Register. Each applicant for a raise of grade of
a license shall consent to an NDR check under Sec. 10.201(i) if the
license is reissued with a new expiration date.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR
134, Jan. 4, 1989; CGD 91-002, 58 FR 15238, Mar. 19, 1993; CGD 91-223,
60 FR 4524, Jan. 23, 1995; CGD 91-212, 60 FR 65486, Dec. 19, 1995; CGD
94-029, 61 FR 47063, Sept. 6, 1996; CDG 95-062, 62 FR 34530, June 26,
1997; USCG-1997-2799, 64 FR 42815, Aug. 5, 1999]

Sec. 10.209 Requirements for renewal of licenses, certificates of
registry, and STCW certificates and endorsements.

(a) General. Except as provided in paragraph (g) of this section, an
applicant for renewal of a license or certificate of registry shall
establish possession of all of the necessary qualifications before the
license or certificate of registry is issued.
(1) Each application must be on a Coast Guard furnished form and be
accompanied by the evaluation fee set out in table 10.109 in
Sec. 10.109. An approved application is valid for 12 months.
(2) The applicant may apply in person at any Regional Examination
Center listed in Sec. 10.105 or may renew the license or certificate of
registry by mail under paragraph (e)(3) of this section.
(3) The applicant shall submit the original or a photocopy of the
license or certificate of registry to be renewed. A photocopy will
include the back and all attachments. If requested, the old license or
certificate of registry will be returned to the applicant.
(b) Fitness. No license or certificate of registry will be renewed
if it has been suspended without probation or revoked as a result of
action under part 5 of this chapter, or facts that would render a
renewal improper have come to the attention of the Coast Guard.
(c) Professional requirements. (1) In order to renew a license as
master, mate, engineer, pilot, or operator, the applicant shall:
(i) Present evidence of at least 1 year of sea service during the
past 5 years;
(ii) Pass a comprehensive, open-book exercise covering the general
subject matter contained in appropriate sections of subpart I of this
part;
(iii) Complete an approved refresher training course; or
(iv) Present evidence of employment in a position closely related to
the operation, construction or repair of vessels (either deck or
engineer as appropriate) for at least 3 years during the past 5 years.
An applicant for a deck license with this type of employment must also
demonstrate knowledge on an applicable Rules of the Road exercise.
(2) The qualification requirements for renewal of radar observer
endorsement are in Sec. 10.480.
(3) Additional qualification requirements for renewal of a license
as pilot are contained in Sec. 10.713.
(4) An applicant for renewal of a radio officer's license shall, in
addition to meeting the requirements of paragraphs (a) and (b) of this
section, present a currently valid license as first- or second-class
radiotelegraph operator issued by the Federal Communications Commission.
This license will be returned to the applicant.
(5) An applicant for renewal of a medical doctor or professional
nurse certificate of registry shall, in addition to meeting the
requirements of paragraphs (a) and (b) of this section, present evidence
that he or she holds a currently valid appropriate license as physician,
surgeon, or registered nurse issued under the authority of a state or
territory of the United States, the Commonwealth of Puerto Rico, or the
District of Columbia.
(6) An applicant for renewal of a license as master or mate (pilot)
of towing vessels shall submit satisfactory evidence of either by--
(i) Completing a practical demonstration of maneuvering and handling
a towing vessel before a designated examiner; or
(ii) Submitting documentary proof of ongoing participation in
training and drills during the validity of the license being renewed.
(d) Physical requirements. (1) An applicant for renewal of a license
shall submit a certification by a licensed physician or physician
assistant that he or

[[Page 125]]

she is in good health and has no physical impairment or medical
condition which would render him or her incompetent to perform the
ordinary duties of that license. This certification must address visual
acuity and hearing in addition to general physical condition and must
have been completed within 12 months of the date of application.
(2) If the OCMI has reason to believe that an applicant for renewal
of a license suffers from some physical impairment or medical condition
which would render the applicant incompetent to perform the ordinary
duties of that license, the applicant may be required to submit the
results of an examination by a licensed physician or physician assistant
that meets the requirements for original license.
(3) An applicant who has lost the sight of one eye may obtain a
renewal of license, provided that the applicant is qualified in all
other respects and that the visual acuity in the one remaining eye
passes the test required under Sec. 10.205(d).
(4) Physical examinations are not required for renewal of
certificates of registry.
(e) Special circumstances--(1) Period of grace. Except as provided
herein, a license may not be renewed more than 12 months after it has
expired. To obtain a reissuance of the license, an applicant must comply
with the requirements of paragraph (f) of this section. When an
applicant's license expires during a time of service with the Armed
Forces and there is no reasonable opportunity for renewal, including by
mail, this period may be extended. The period of military service
following the date of license expiration which precluded renewal may be
added to the 12 month period of grace. The 12 month period of grace, and
any extension, do not affect the expiration date of the license. A
license is not valid for use after the expiration date.
(2) Renewal in advance. A license or certificate of registry may not
be renewed more than 12 months before expiration unless it is being
renewed in conjunction with a merchant mariner's document which is
either due for renewal or being endorsed, or unless the OCMI is
satisfied that special circumstances exist to justify renewal.
(3) Renewal by mail. (i) Applications for renewal by mail of
licenses or certificates of registry may be sent to the Coast Guard
office that issued the license or certificate of registry or holds the
applicant's file. The following documents must be submitted:
(A) A properly completed application on a Coast Guard furnished form
and the evaluation fee required by table 10.109 in Sec. 10.109.
(B) The expired license or certificate of registry to be renewed;
or, if it has not expired, a photocopy of the license or certificate,
including the back and all attachments.
(C) A certification from a licensed physician or physician assistant
in accordance with paragraph (d) of this section for the renewal of a
license.
(D) If the applicant desires to renew a license with a radar
observer endorsement, either the radar observer certificate or a
certified copy.
(E) Evidence of, or acceptable substitute for, sea service for the
renewal of a license.
(F) For a certificate of registry as a medical doctor or
professional nurse, evidence that he or she holds a currently valid,
appropriate license as physician, surgeon, or registered nurse, issued
under the authority of a state or territory of the United States, the
Commonwealth of Puerto Rico, or the District of Columbia.
(ii) The open-book exercise, if required, may be administered
through the mail.
(iii) Upon receipt of the renewed license or certificate of
registry, the applicant shall sign it in order to validate the license
or certificate.
(4) Concurrent renewal of licenses, certificates of registry, and
merchant mariner's documents. An applicant for concurrent renewal of
more than one merchant mariner credential shall satisfy the individual
renewal requirements and pay the applicable fees required by the tables
in Secs. 10.109 and 12.02-18 of this chapter for each license,
certificate of registry, or merchant mariner's document being renewed.
(f) Reissuance of expired license or certificate of registry. (1)
Whenever an applicant applies for reissuance of a license more than 12
months after expiration, in lieu of the requirements of

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paragraph (c) of this section, the applicant shall demonstrate continued
professional knowledge by completing a course approved for this purpose,
or by passing the complete examination for that license. The examination
may be oral-assisted if the expired license was awarded on an oral exam.
The fees listed in table 10.109 in Sec. 10.109 apply to these
examinations. In the case of an expired radio officer's license, the
license may be issued upon presentation of a valid first- or second-
class radiotelegraph operator license issued by the Federal
Communications Commission.
(2) A certificate of registry that has been expired for more than 12
months shall be renewed in the same way as a current certificate of
registry. There are no additional requirements for reissuing
certificates of registry that have been expired for more than 12 months.
(g) Inactive license renewal. (1) Applicants for renewal of licenses
who are unwilling or otherwise unable to meet the requirements of
paragraphs (c) or (d) of this section may renew their licenses, with the
following restrictive endorsement placed on the back of the license:
``License renewed for continuity purposes only; service under the
authority of this license is prohibited.'' Holders of licenses with this
continuity endorsement may have the prohibition rescinded at any time by
satisfying the renewal requirements in paragraphs (c), (d), and (h) of
this section.
(2) Applications for renewal of a license with the continuity
endorsement must include:
(i) The license to be renewed, or, if it is unexpired, a photocopy
of the license including the back and all attachments; and,
(ii) A signed statement from the applicant attesting to an awareness
of the restriction to be placed on the renewed license, and of the
requirements for rescinding the continuity endorsement.
(h) Chemical testing for dangerous drugs. Except for applicants
requesting an inactive license renewal under paragraph (g) of this
section, each applicant for the renewal of a license or of a certificate
of registry shall produce evidence of having passed a chemical test for
dangerous drugs or of qualifying for an exception from testing in
Sec. 16.220 of this subchapter. An applicant who fails a chemical test
for dangerous drugs will not be issued a license or certificate of
registry.
(i) Each applicant for a renewal may be required to consent to a
criminal record check under Sec. 10.201(h).
(j) Each applicant for renewal of a license or certificate of
registry shall consent to an NDR check under Sec. 10.201(i).
(k) Except as otherwise provided by Sec. 10.202, each candidate for
a renewal of an STCW certificate or endorsement as master, mate,
operator, or engineer, to be valid on or after February 1, 2002, for
service on any vessel in ocean or near-coastal service, shall meet the
applicable requirements of paragraphs (l), (m), (n), and (o) in
Sec. 10.205 and shall meet the requirements of Section A-VI/2, paragraph
1 to 4 of the STCW Code.

[CGD 91-211, 59 FR 49299, Sept. 27, 1994, as amended by CGD 91-223, 60
FR 4525, Jan. 23, 1995; CGD 91-212, 60 FR 65486, Dec. 19, 1995; CGD 95-
062, 62 FR 34531, June 26, 1997; CGD 95-062, 62 FR 40281, July 28, 1997;
USCG-1997-2799, 64 FR 42815, Aug. 5, 1999; USCG-1999-6224, 64 FR 63225,
Nov. 19, 1999; 66 FR 20935, Apr. 26, 2001]

Sec. 10.210 Eligibility for towing license.

The figure that follows illustrates the conversion of a towing
license issued before May 21, 2001. The conversion will take place at
the first renewal or upgrade of the license after May 20, 2001.

[[Page 127]]

[GRAPHIC] [TIFF OMITTED] TR26AP01.000

[USCG-1999-6224, 66 FR 20935, Apr. 26, 2001]

Sec. 10.211 Creditable service and equivalents for licensing purposes.

(a) Sea service may be documented for licensing purposes in various
forms such as certificates of discharge, pilotage service and billing
forms, and letters or other official documents from marine companies
signed by appropriate officials or licensed masters. For service on
vessels of under 200 gross tons, owners of vessels may attest to their
own service; however, those who do not own a vessel must obtain letters
or other evidence from licensed personnel or the owners of the vessels
listed. The documentary evidence produced by the applicant must contain
the amount and nature (e.g. chief mate. assistant engineer, etc.) of the
applicant's experience, the vessel name, gross tonnage, shaft horsepower
and official numbers, the routes upon which the experience was acquired,
and approximate dates of service.
(b) Port engineer, shipyard superintendent experience, instructor
service, or similar related service may be creditable for a maximum of
six months of service for raise of grade of an engineer or deck license,
as appropriate, using the following:
(1) Port engineer or shipyard superintendent experience is
creditable on a three-for-one basis for a raise of grade. (Twelve months
of experience equals four months of creditable service.)

[[Page 128]]

(2) Service as a bona fide instructor at a school of navigation or
marine engineering is creditable on a two-for-one basis for a raise of
grade. (Twelve months of experience equals six months of creditable
service).
(c) Service on mobile offshore drilling units is creditable for
raise of grade of license. Evidence of one year's service as mate or
equivalent while holding a license as third mate, or as engineering
officer of the watch or equivalent while holding a license as third
assistant engineer, is acceptable for a raise of grade to second mate or
second assistant engineer, respectively; however, any subsequent raises
of grade of unlimited, nonrestricted licenses must include a minimum of
six months of service on conventional vessels.
(d) Service on a Dual Mode Integrated Tug Barge (ITB) unit is
creditable for original or raise of grade of any deck licenses. Service
on a Dual Mode ITB with an aggregate tonnage of over 1600 gross tons is
creditable on a two-for-one basis (two days experience equals one day of
creditable service) for up to 50 percent of the total service on vessels
over 1600 gross tons required for an unlimited license. The remaining
required service on vessels of over 1600 gross tons must be obtained on
conventional vessels or Push Mode ITBs.
(e) Other experience in a marine related area, other than at sea, or
sea service performed on unique vessels, will be evaluated by the OCMI
and forwarded to the Commandant for a determination of equivalence to
traditional service.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR
135, Jan. 4, 1989]

Sec. 10.213 Sea service as a member of the Armed Forces of the United
States and on vessels owned by the United States as qualifying
experience.

(a) Sea service as a member of the Armed Forces of the United States
will be accepted as qualifying experience for an original, raise of
grade, or increase in scope of all licenses. In most cases, military sea
service will have been performed upon ocean waters; however, inland
service, as may be the case on smaller vessels, will be credited in the
same manner as conventional evaluations. The applicant must submit an
official transcript of sea service as verification of the service
claimed when the application is submitted. The applicant must also
provide the Officer in Charge, Marine Inspection other necessary
information as to tonnage, routes, horsepower, percentage of time
underway, and assigned duties upon the vessels which he or she served.
Such service will be evaluated by the OCMI and forwarded to the
Commandant for a determination of its equivalence to sea service
acquired on merchant vessels and the appropriate grade, class, and limit
of license for which the applicant is eligible. Normally, 60 percent of
the total time on board is considered equivalent underway service;
however, the periods of operation of each vessel may be evaluated
separately. In order to be eligible for a master's or chief engineer's
unlimited license, the applicant must have acquired military service in
the capacity of commanding officer or engineer officer, respectively.
(b) Service in deck ratings on military vessels such as seaman
apprentice, seaman, boatswain's mate, quartermaster, or radarman are
considered deck service for licensing purposes. Service in other ratings
may be considered if the applicant establishes that his or her duties
required a watchstanding presence on or about the bridge of a vessel.
Service in engineer ratings on military vessels such as fireman
apprentice, fireman, engineman, machinists, mate, machinery technician
or boiler tender are considered engineer service for licensing purposes.
There are also other ratings such as electrician, hull technician, or
damage controlman which may be credited when the applicant establishes
that his or her duties required watchstanding duties in an operating
engine room.
(c) In addition to underway service, members of the Armed Forces may
obtain creditable service for periods of assignment to vessels at times
other than underway, such as in port, at anchor, or in training.
Normally, a 25% factor is applied to these time periods. This experience
can be equated with general shipboard familiarity, training,

[[Page 129]]

ship's business, and other related duties.
(d) Sea service obtained on submarines is creditable, as if it were
surface vessel service, for deck and engineer licenses under the
provision of paragraph (a) of this section. For application to deck
licenses, submarine service may be creditable if at least 25 percent of
all service submitted for the license was obtained on surface vessels
(e.g. If four years' total service were submitted for an original
license, at least one year must have been obtained on surface craft in
order for the submarine service to be eligible for evaluation).
(e) Service gained in a civilian capacity as commanding officer,
master, mate, engineer, or pilot, etc., of any vessel owned and operated
by the United States, in any service, in which a license as master,
mate, engineer, or pilot was not required at the time of such service,
is evaluated by the OCMI and forwarded to the Commandant for a
determination of equivalence.

Sec. 10.215 Modification or removal of limitations.

(a) If an Officer in Charge, Marine Inspection, is satisfied by the
documentary evidence submitted that an applicant is entitled by
experience, training, and knowledge to an endorsement or increase in the
scope of any license held, any limitations which were previously placed
upon the license by that OCMI may be changed. Such an increase in scope
may include horsepower or tonnage limitations, or geographic route
restrictions.
(b) An OCMI may not change a limitation on any license which that
office did not place thereon before full information regarding the
reason for the limitation is obtained from the OCMI responsible for the
limitation.
(c) No limitation on any license may be changed before the applicant
has made up any deficiency in the experience prescribed for the license
or endorsement desired and passed any necessary examination.

Sec. 10.217 Examination procedures and denial of licenses.

(a)(1) The examinations for all deck and engineer unlimited licenses
are administered at periodic intervals. The examination fee set out in
table 10.109 in Sec. 10.109 must be paid before the applicant may take
the first examination section. If an applicant fails three or more
sections of the examination, a complete reexamination must be taken, but
may be taken during any of the scheduled exam periods. On the subsequent
exam, if the applicant again fails three or more sections, at least 3
months must lapse before another complete examination is attempted, and
a new examination fee is required. If an applicant fails one or two
sections of an examination, the applicant may be retested twice on these
sections during the next 3 months. If the applicant does not
successfully complete these sections within the 3 month period, complete
reexamination must be taken after a lapse of at least 3 months from the
date of the last retest, and a new examination fee is required. The 3
month retest period may be extended by the OCMI if the applicant
presents discharges documenting sea time which prevented the taking of a
retest during the 3 month period. The retest period may not be extended
beyond 7 months from the initial examination.
(2) The scheduling of all other deck and engineer license
examinations will be at the discretion of the OCMI. The examination fee
set out in table 10.109 in Sec. 10.109 must be paid before the applicant
may take the first examination section. In the event of a failure, the
applicant may be retested twice whenever the examination can be
rescheduled with the OCMI. The applicant must be examined in all of the
unsatisfactory sections of the preceding examination. If the applicant
does not successfully complete all parts of the examination during a 3-
month period from the initial test date, a complete reexamination must
be taken after a lapse of at least 2 months from the date of the last
retest, and a new examination fee is required.
(b) If the OCMI refuses to grant an applicant the license for which
applied due to failing to pass a required examination, the applicant is
furnished a written statement setting forth the portions of the
examination which

[[Page 130]]

must be retaken and the date by which the examination must be completed.

[CGD 81-059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81-059, 54 FR
135, Jan. 4, 1989; CGD 91-002, 58 FR 15238, Mar. 19, 1993; CGD 94-029,
61 FR 47064, Sept. 6, 1996; USCG-1997-2799, 64 FR 42815, Aug. 5, 1999]

Sec. 10.219 Issuance of duplicate license or certificate of registry.

(a) Whenever a person to whom a license or certificate of registry
has been issued loses the license or certificate, that person shall
report the loss to any OCMI. A duplicate license or certificate may be
issued by an OCMI listed in the note following Sec. 1.05(b) of this part
after receiving an application with an affidavit describing the
circumstances of the loss from the applicant and verification of the
license or certificate record from the Regional Examination Center where
it was issued or from the Commandant. The duplicate will be prepared in
the same format and wording as the license or certificate being
replaced. A duplicate license is issued for the unexpired term of the
lost license. Duplicate licenses and certificates of registry bear the
following statement: ``This license (or certifi