Final Rule

Vol. 78

Tuesday,

No. 247

December 24, 2013

Part II

Department of Homeland Security

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Coast Guard
46 CFR Parts 1, 10, 11, et al.
Implementation of the Amendments to the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers, 1978,
and Changes to National Endorsements; Final Rule

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
46 CFR Parts 1, 10, 11, 12, 13, 14, and
15
[Docket No. USCG–2004–17914]

Implementation of the Amendments to
the International Convention on
Standards of Training, Certification
and Watchkeeping for Seafarers, 1978,
and Changes to National
Endorsements
Coast Guard, DHS.
Final rule.

AGENCY:

The Coast Guard issues this
final rule to implement the International
Convention on Standards of Training,
Certification and Watchkeeping for
Seafarers, 1978, as amended (STCW
Convention), as well as the Seafarers’
Training, Certification and
Watchkeeping Code (STCW Code), to
address the comments received from the
public in response to the supplemental
notice of proposed rulemaking
(SNPRM), and to incorporate the 2010
amendments to the STCW Convention
that came into force on January 1, 2012.
In addition, this final rule makes other
changes not required by the STCW
Convention or Code, but necessary to
reorganize, clarify, and update these
regulations.

SUMMARY:

This final rule is effective March
24, 2014 except for 46 CFR part 10,
subpart C, which is effective January 23,
2014. The incorporation by reference of
certain publications listed in the rule is
approved by the Director of the Federal
Register on March 24, 2014.
ADDRESSES: Comments and material
received from the public, as well as
documents mentioned in this preamble
as being available in the docket, are part
of docket USCG–2004–17914 and are
available for inspection or copying at
the Docket Management Facility (M–30),
U.S. Department of Transportation,
West Building Ground Floor, Room
W12–140, 1200 New Jersey Avenue SE.,
Washington, D.C. 20590, between 9 a.m.
and 5 p.m., Monday through Friday,
except Federal holidays. You may also
find this docket on the Internet by going
to http://www.regulations.gov, inserting
USCG–2004–17914 in the ‘‘Keyword’’
box, and then clicking ‘‘Search.’’
FOR FURTHER INFORMATION CONTACT: If
you have questions on this rule, call or
email Mr. Mark C. Gould, Maritime
Personnel Qualifications Division, Coast

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DATES:

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SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

RIN 1625–AA16

ACTION:

Guard; phone (202) 372–1409; email
[email protected]. If you have
questions on viewing the docket, call
Renee V. Wright, Program Manager,
Docket Operations, telephone 202–366–
9826.

I. Executive Summary
A. Basis and purpose
B. Summary for major provisions
C. Costs and benefits
II. Abbreviations
III. Regulatory History
IV. Overview
V. Tables of Changes
VI. Discussion of Comments and Explanation
of Changes
A. Summary of changes from the SNPRM
B. Public comments on the SNPRM
C. Discussion of Public Comments in
Response to the Merchant Marine
Personnel Advisory Committee
(MERPAC) and the Merchant Mariner
Medical Advisory Committee
(MEDMAC) Recommendations
D. Additional Request for Comments
VII. Incorporation by Reference
VIII.Regulatory Analyses
A. Regulatory Planning and Review
B. Small Entities
C. Assistance for Small Entities
D. Collection of Information
E. Federalism
F. Unfunded Mandates Reform Act
G. Taking of Private Property
H. Civil Justice Reform
I. Protection of Children
J. Indian Tribal Governments
K. Energy Effects
L. Technical Standards
M. Environment

I. Executive Summary
A. Basis and purpose
The United States has a wellestablished program for credentialing
personnel serving on U.S. vessels that is
governed by domestic law in United
States Code, titles 5, 14, 33 and 46, and
Code of Federal Regulations, title 46,
subchapter B. Through these domestic
statutes and regulations, the United
States also implements the provisions of
the International Convention on
Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, as
amended.
The STCW Convention and Code set
forth minimum training and
certification requirements for merchant
mariners. The IMO adopted
amendments to the STCW in 1995.
Those amendments entered into force
on February 1, 1997. The Coast Guard
implemented those amendments
through an interim rule revising 46 CFR
subchapter B, which published on June
26, 1997 (62 FR 34505). The Convention

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was subsequently amended in 2002 and
2007.
In 2008, the IMO embarked on a
comprehensive review of the entire
STCW Convention and the STCW Code,
which sets forth provisions for
implementing the STCW Convention.
Five meetings were held at IMO
headquarters in London on the
comprehensive review, at which the
Coast Guard represented the U.S. and
the draft 2010 amendments to the
Convention were developed. The Coast
Guard held public meetings prior to
each one of the IMO review meetings to
determine what positions U.S.
delegations should advocate and to
exchange views about amendments to
STCW that were under discussion. In
addition, the Coast Guard also obtained
input from MERPAC on developments
and implementation of the requirements
relating to the 2010 amendments. After
completing its review, the IMO adopted
these amendments on June 25, 2010, at
the STCW Diplomatic Conference in
Manila, Philippines. They entered into
force for all ratifying countries on
January 1, 2012.
The STCW Convention is not selfimplementing; therefore, the United
States, as a signatory to the STCW
Convention, must initiate regulatory
changes to ensure compliance with its
treaty obligations through full
implementation of the amendments to
the STCW Convention and STCW Code.
Accordingly, the Coast Guard is
amending 46 CFR subchapter B to: Fully
harmonize and incorporate the
requirements for national licenses with
those of the STCW Convention; to
incorporate the 2010 amendments to the
STCW Convention that came into force
on January 1, 2012; and to make other
changes not required by the STCW
Convention that are necessary to
reorganize, clarify, and update those
regulations. A discussion of the 2010
amendments implemented in this final
rule is available in the preamble of the
SNPRM (76 FR 45908).
All signatories to the STCW
Convention are presumed to be fulfilling
their obligations under the Convention
and, by publishing and implementing
this final rule, the U.S. is joining the
other signatories, including, but not
limited to, Australia, Canada, France,
Germany, Norway, Russia, Sweden, and
the United Kingdom. The U.S. is also
ensuring that the U.S. remains on the
IMO ‘‘White List’’ of countries giving
the Convention full and complete effect.
Inclusion on this list entitles U.S.-flag
vessels to equal treatment under foreign
nation port state control procedures,
and enables U.S. mariners to compete in
the global workforce. This final rule also

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ensures that U.S. mariner credentialing
requirements are consistent with
international standards. Additionally,
the rule strengthens U.S. authority to
enforce the STCW Convention and
STCW Code against foreign flag vessels
in U.S. waters.
Parties to the STCW Convention have
port state control authority to detain
vessels that do not comply with the
Convention. If U.S. regulations are noncompliant with the STCW Convention
and STCW Code, there is a risk that U.S.
vessels will be detained in foreign ports
and that U.S. mariners not in
compliance with the STCW Convention
would be ineligible to serve on foreign
flag vessels.
Over 90 percent of ships visiting U.S.
waters are foreign-flag carrying
multinational crews, and are subject to
STCW. Additionally, approximately
1044 U.S. documented commercial
vessels operate on ocean or near coastal
voyages and are subject to the
provisions of STCW. Implementation
and enforcement of the STCW
requirements promote shipboard
practices that reduce the risk of human
errors that could potentially lead to an
accident in U.S. waters.

B. Summary of Major Provisions
This section lists the major provisions
in this final rule. Both a summary and
a detailed explanation of the reasons for
changes from the SNPRM can be found
in Section VI of this preamble,
Discussion of Comments. All of the
changes below were made to the rule as
proposed in the SNPRM in response to
comments from the public, MERPAC, or
MEDMAC.
The Coast Guard is publishing this
final rule to implement amendments to
the STCW Code, including the 2010
amendments, and ensure that the U.S. is
meeting its obligations under the
Convention. In addition, the Coast
Guard is issuing this final rule to
respond to the comments, feedback, and
concerns received from the public in
response to the SNPRM. In order to
address those comments and concerns,
the final rule will: Clarify transitional
provisions for STCW endorsements and
for the issuance of medical certificates;
provide additional training topics for
STCW endorsements as part of
approved formal training; remove the
new apprentice mate (steersman) of
towing (utility), master of towing
(utility) and master of towing (harbor
assist) endorsements; clarify the
application of security requirements;

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grant sea service credit towards STCW
endorsements for mariners who hold a
national endorsement but serve on
STCW compliant vessels; provide
additional means for mariners holding a
domestic tankerman endorsement to
qualify for STCW tankerman
endorsements; clarify the course
approval provisions; and include
compliance with industry-wide systems,
such as International Organization for
Standardization (ISO) and International
Safety Management (ISM), as an
alternate means of compliance with the
Quality Standards System (QSS)
provisions.
C. Costs and Benefits
The changes between the SNPRM and
this final rule do not result in additional
impacts to the maritime industry except
for the transitional provision that delays
the implementation of the QSS
requirements until January 1, 2017. This
provision was included in this final rule
based on the public comments received
on the SNPRM and will delay the cost
impact of QSS requirements to training
providers. For a detailed discussion of
comments, the changes, and their
additional impacts, please see
‘‘Regulatory Analyses,’’ section VIII, of
the preamble.

TABLE 1—SUMMARY OF AFFECTED POPULATION, COSTS AND BENEFITS
Category
Affected Population .............
Costs ($ millions, 7-percent
discount rate).
Benefits ................................

1 Includes

Final rule
mariners 1;

60,000 U.S.
$32.6 (annualized).

$230.3 (10-year)
• Increase in vessel safety and a resulting decrease in the risk of shipping casualties and their consequences (fatalities, injuries, property loss and environmental damage).
• Prevention and mitigation of accidents on STCW Convention-compliant foreign vessels in U.S. waters due to increased ability of the Coast Guard to enforce requirements. See Executive Summary for additional information.
• Increase in mariners’ situational awareness and situational assessment.
• Reduction of potential impacts of medical conditions on human error.
• Earlier detection and treatment of medical conditions.
• Fulfillment of U.S. obligations under the STCW Convention.
• Maintenance of U.S. status on the IMO ‘‘White List’’ and avoidance of detention of U.S. flagged vessels in foreign ports due to noncompliance with the STCW Convention.
• Assurance that U.S. mariners can compete in the global workforce market.
• Assurance that U.S. credentialing regulations are consistent with international performance standards based on
international consensus and the IMO convention, which minimizes variation in standards of training and
watchkeeping.

all mariners to which STCW applies, which is limited to voyages beyond the boundary line.

II. Abbreviations

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316 owners and operators of 1,044 U.S. flag vessels; and 141 STCW training providers.

ABET Accreditation Board for Engineering
and Technology
A/B Able seaman
ATB Articulated tug barge vessel
AGT Any gross tons
BRM Bridge resource management
BST Basic safety training
BT Basic training
COI Certificate of inspection
CPR Cardiopulmonary resuscitation
DDE Designated duty engineer

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DE Designated examiner
DHS Department of Homeland Security
DME Designated medical examiner
DOT U.S. Department of Transportation
DP Dynamic positioning
DPO Dynamic positioning officer
ECDIS Electronic chart display and
information system
EOOW Engineering officer of the watch
ERM Engineroom resource management
ETO Electro-technical officer
FR Federal Register

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FSD Functional speech discrimination
FWT Fireman/Watertender
GMDSS Global maritime distress and safety
system
GRT Gross register tonnage
GT Gross tonnage
HP Horsepower
HSC High-speed craft
ILO International Labour Organization
IMO International Maritime Organization
IR Interim rule
ISM International Safety Management

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ISPS International Ship and Port Facility
Security
ISO International Organization for
Standardization
ITB Integrated tug-barge
ITC International Tonnage Convention
KUPs Knowledge, understanding, and
proficiencies
MARAD U.S. Department of Transportation
Maritime Administration
MERPAC Merchant Marine Personnel
Advisory Committee
MMC Merchant mariner credential
MMD Merchant mariner’s document
MEDMAC Merchant Mariner Medical
Advisory Committee
MODU Mobile offshore drilling unit
NMC National Maritime Center
NPRM Notice of proposed rulemaking
NVIC Navigation Vessel Inspection Circular
OCMI Officer in charge, marine inspection
OICEW Officer in charge of an engineering
watch
OICNW Officer in charge of a navigational
watch
OIM Offshore installation manager
OPA 90 Oil Pollution Act of 1990
OSRV Oil spill response vessel
OSV Offshore supply vessel
PIC Person in charge
PSC Proficiency in survival craft
QA Qualified assessor
QMED Qualified member of the engine
department
QSS Quality Standards System
RFPEW Rating forming part of an
engineering watch
RFPNW Rating forming part of a
navigational watch
Ro-Ro Roll-on/roll-off
SMCP Standard marine communication
phrases
SNPRM Supplemental notice of proposed
rulemaking
STCW Convention International
Convention on Standards of Training,
Certification and Watchkeeping for
Seafarers, 1978
STCW Code Seafarers’ Training,
Certification and Watchkeeping Code
TRC Type rating certificate
TSAC Towing safety advisory committee
TOAR Towing officer assessment record
TWIC Transportation worker identification
credential
U.S.C. United States Code
USCG United States Coast Guard
VSO Vessel security officer

III. Regulatory History
The Coast Guard published changes to
the regulations governing the
credentialing of merchant mariners
serving on U.S. flag vessels with an
interim rule (IR) on June 26, 1997 (62 FR
34505). The 1997 IR ensured that
credentials issued by the U.S. met
International Maritime Organization
(IMO) standards, thereby reducing the
possibility of U.S. vessels being
detained in a foreign port for noncompliance.
In 2009, the Coast Guard proposed to
update the changes made by the 1997 IR

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to reflect experience gained during the
implementation of that rule. The Coast
Guard published a notice of proposed
rulemaking (NPRM) on November 17,
2009 (74 FR 59354). The NPRM sought
to incorporate all effective amendments
to the International Convention on
Standards of Training, Certification and
Watchkeeping for Seafarers, 1978
(STCW Convention) and Seafarers’
Training, Certification and
Watchkeeping Code (STCW Code) as of
that publication date. Five public
meetings were held to receive comments
on the NPRM. These meetings were
announced in the Federal Register on
November 18, 2009 (74 FR 59502).
The public comment period for the
NPRM ended on February 17, 2010.
After considering comments, feedback,
and concerns received from the public
in response to the NPRM, and due to the
adoption of the 2010 amendments to the
STCW Convention and Code, the Coast
Guard recognized a need to make
substantial changes to the merchant
mariner credentialing program and
regulations beyond those proposed in
the NPRM. Because of these substantial
changes, the Coast Guard recognized the
necessity of developing a more
comprehensive rule, and of providing
additional opportunity, through a
supplemental notice of proposed
rulemaking (SNPRM), for the public to
comment on these changes.
The Coast Guard published a notice
on March 23, 2010 (75 FR 13715),
announcing that we were revisiting the
approach proposed in the NPRM and
considering publishing an SNPRM as a
next step. The notice further explained
that the review of the approach was
based on feedback received on the
NPRM and because of the adoption of
the 2010 amendments to the STCW
Convention. The IMO approved the
2010 amendments at the June
Diplomatic Conference, where it was
agreed that all provisions of the STCW
Convention, including the 2010
amendments, would enter into force by
January 1, 2012.
The Coast Guard published an
SNPRM on August 1, 2011 (76 FR
45908), providing 2 months for public
comment. The SNPRM proposed to
make changes to the implementation of
the STCW Convention and Code to
incorporate the 2010 amendments to the
STCW Convention that came into force
on January 1, 2012, and address the
comments received from the public in
response to the NPRM. In addition, the
SNPRM proposed to make other changes
not required by the STCW Convention
or Code, but necessary to reorganize,

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clarify, and update these regulations.
Four public meetings were held to
receive comments on the SNPRM. These
meetings were announced in the
Federal Register on August 2, 2011 (76
FR 46217). The comments received
during these four meetings are
discussed in the ‘‘Discussion of
Comments’’ section of this preamble.
On November 3, 2011, the Coast
Guard publicly announced the
availability of recommendations from
MERPAC and the Merchant Mariner
Medical Advisory Committee
(MEDMAC) concerning the SNPRM and
invited public comment (76 FR 68202).
The 30-day public comment period
closed on December 5, 2011. The
comments received in response to these
recommendations are also discussed in
the ‘‘Discussion of Comments’’ section
of this preamble.
On January 4, 2012, the Coast Guard
published a notice of policy informing
the public that the 2010 amendments to
the STCW Convention entered into force
for all ratifying nations on January 1,
2012 (77 FR 232). The notice also
encouraged vessels operating in foreign
ports to implement provisions of the
2010 amendments concerning hours of
rest and security training to minimize
potential port state control detentions.
IV. Overview
This final rule is intended to ensure
that U.S. mariners comply with the
standards set forth in the STCW
Convention and Code and to clarify and
update the regulations in 46 CFR
subchapter B, Merchant Marine Officers
and Seamen. As a result of the
comments, feedback, and concerns
received from the public in response to
the SNPRM, the Coast Guard made
changes to the proposed regulations.
Most seagoing merchant mariners
must comply with the requirements of
the STCW Convention and STCW Code.
The Coast Guard recognizes that the
CFR regulations implementing the
STCW Convention and STCW Code
requirements have been the subject of
different interpretations and that the
requirements reflected in the CFR are
not currently organized in a manner that
is easy to read and understand.
This final rule also revises other
sections of 46 CFR subchapter B in
order to clarify, address omissions in,
and update those regulations.
V. Tables of Changes
The following table provides a
crosswalk showing changes from the
existing regulations to this final rule.

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Cite under final rule

Summary of changes

Subchapter B ...............

Subchapter B ...............

§ 10.107 .......................

N/A ...............................

§ 10.107 .......................

N/A ...............................

§ 10.107 .......................

N/A ...............................

§ 10.107 .......................

N/A ...............................

§ 10.107 .......................

N/A ...............................

§ 10.107 .......................

§ 10.107 ........................

§ 10.107 .......................

§ 10.107 ........................

§ 10.107 .......................

§ 10.107 ........................

§ 10.107 .......................

§ 10.107 ........................

§ 10.107 .......................

§ 10.107 ........................

§ 10.107 .......................

§ 10.107 ........................

§ 10.107 .......................

§ 10.107 ........................

§ 10.109 .......................

§ 10.109 ........................

§ 10.205 .......................

§ 10.205 ........................

§ 10.209, 10.231 ..........

§ 10.209, 10.231 ..........

§ 10.209, 11.480 ..........

§ 10.209, 10.480 ..........

§ 10.215 .......................

Part 10, subpart C .......

§ 10.215 .......................

§ 10.301 ........................

§ 10.215 .......................

§ 10.305 ........................

§ 10.217 .......................

§ 10.217 ........................

§§ 10.227, 10.231 ........

§§ 10.227, 10.231 ........

Changes Domestic to National when used to describe endorsements.
The use of ‘‘domestic’’ to describe endorsements that are restricted to United States waters
inside the STCW boundary line has been replaced by ‘‘national’’ to avoid confusion when
discussing the domestic endorsements of other countries.
Removes the definition of Apprentice mate (steersman) of towing vessels (utility).
Endorsement has been removed from regulations.
Removes definition of Competent Person.
Moved relevant information into part 13 to ensure consistency, because ‘‘competent person’’
applies only to endorsements covered in that part.
Removes the definition of Limited.
Definition is not needed because it has the same meaning as in standard English language
usage.
Removes the definition of Restricted.
Definition is not needed because it has the same meaning as in standard English language
usage.
Removes definition for self-propelled tank vessel.
Eliminates redundancy with the definition of tankship.
Revises the definition for Coast Guard-accepted.
The definition is being revised to provide clarification on the instances where something may
be approved by the Coast Guard for use in meeting a particular requirement.
Revises definition of Day.
This revised definition will link the definition to the U.S. Code and provide further clarification
regarding service on MODUs and cadet service on a maritime training ship within the regulations.
Revises definition of Designated Examiner (DE).
The definition was revised to ensure that a DE applies to the Towing Officer Assessment
Record only, as DE previously applied to all qualification processes.
Revises definition of Endorsement.
The definition was revised to clarify that all endorsements are listed in § 10.109.
Revises definition of Inland waters.
The definition was revised to allow sea service credit towards STCW on certain inland vessels.
Revises the definition of Near-coastal.
Amends to include exceptions for operator of uninspected passenger vessels (OUPVs) in
order to formalize a pre-existing exception for OUPVs.
Includes near-coastal waters identified by another country’s Administration when entering
into a treaty or an agreement with that country.
Revises definition for Qualified Assessor.
Clarifies this person’s role and professional development.
Revises list of endorsements.
Adds new endorsements in accordance with parts 11 and 12 to ensure that the lists of endorsements are consistent throughout the regulations.
Revises postdating.
Clarifies and simplifies the postdating process. Postdating will occur unless the applicant
specifies otherwise.
Adds required documentation for medical examinations.
Adds a medical certificate issued by the Coast Guard.
This serves as documentary proof of passing the medical examination.
Electronic submission of required documents.
Allows course completion certificates, including radar observer, to be submitted electronically.
Transfers medical requirements to a new subpart. Revises the physical requirements for
mariners applying for a Coast Guard-issued credential. These changes include: annual
submission of physicals by pilots, revision of vision standard, revision of hearing standard,
clarification regarding demonstration of physical ability.
Provides the Coast Guard some flexibility in the acceptance of other tests.
The requirement to demonstrate physical ability provides information required for those mariners serving on vessels to which STCW applies.
Revises medical certificate validity period.
Adds issuance of the new medical certificates with the following period of validity:
(1) 2 years for STCW-endorsed mariners, unless the mariner is under the age of 18, in
which case the maximum period of validity would be 1 year;
(2) 2 years for a mariner who is serving as a first-class pilot, or acting as a pilot under
§ 15.812; and
(3) 5 years for all other mariners, consistent with the current practice and requirements.
Revises vision requirements.
The 2010 amendments have expanded the applicability of vision standards from one eye to
both eyes for deck personnel with STCW endorsements.
Removes reference to temporary permits.
Formalizes long-standing Coast Guard practice of no longer issuing temporary permits.
Revises renewal requirements for credentials.
Removes the requirement to submit an old, original credential in an application for renewal.
This permits mariners to retain their previous credentials.

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Summary of changes

§ 10.303 .......................

§ 10.410 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

Removed Quality Standards System (QSS) requirements from § 10.303 and moved them
into a new § 10.410.
Adds QSS information into a new section and adds requirement for training providers to develop a QSS.
This reflects the STCW requirement to use a QSS.
Includes ISM, which is an industry-wide system, as alternate means of compliance for the
QSS provision.
Adds implementation date (January 1, 2017) for QSS requirements in accordance with the
STCW Convention.
Adds the definition of Able-seafarer deck.
Provides consistency with the STCW Convention.
Adds the definition of Able-seafarer engine.
Provides consistency with the STCW Convention.
Adds the definition of Boundary line.
Adding the definition will assist applicants in understanding the limits of the STCW Convention.
Adds definition of Ceremonial license.
Provides mariners an MMC endorsement suitable for framing.
This is in response to mariner demand for a ceremonial license.
Adds definition of Chemical tanker.
Adds definition for the differentiation of dangerous liquids into two endorsements under
STCW.
Clarifies the type of vessel on which mariners must serve to qualify for an STCW endorsement for advanced chemical tanker cargo operations.
Adds the definition of a Coast Guard-accepted Quality Standards System (QSS) organization.
Adds definition regarding those organizations that may conduct QSS activities in regard to
training, consistent with STCW requirements.
Adds definition of Coastwise Voyage.
To clarify the boundaries of these types of voyages.
Adds the definition of Communicable disease.
Clarifies what a physician should look for when conducting medical examinations.
Adds definition of Deck department.
To clarify the functions of this department.
Adds definition of Designated medical examiner.
To clarify who can give medical examinations to mariners, establishing a network of medical
examiners who have demonstrated an understanding of mariner fitness.
Adds the definition of Domestic voyage.
To clarify that domestic service does not include entering foreign waters.
This will assist those operating small passenger vessels in waters close to or adjacent to
foreign waters in determining whether the operator would be required to hold an STCW
endorsement.
The definition was revised to include voyages beginning and ending at a U.S. port and
passing through the waters of another country if the U.S. has entered into a treaty or
agreement with that country.
Adds definition of Dual-mode integrated tug barge (ITB).
To clarify what is included in the operations and configuration of this type of ITB.
Adds the definition of Electro-technical officer.
Provides consistency with the STCW Convention.
Adds the definition of Electro-technical rating.
Provides consistency with the STCW Convention.
Adds definition of Engine department.
To clarify the functions of this department.
Adds definition of Gross register tons (GRT).
Provides definition for term used in the proposed rule and establishes an abbreviation for
the use of this term throughout this subchapter.
This will help the mariner to readily distinguish between GRT and gross tonnage.
Adds the definition of Gross tonnage (GT).
This will provide consistency with the STCW Convention and simplify the regulations by establishing an abbreviation for use throughout this subchapter.
Adds the definition of High-speed craft type rating.
Adds a definition and requirement for a high-speed craft type rating to be compliant with the
high-speed craft code. This puts into regulations existing processes that had previously
been completed through Navigation Vessel Inspection Circular (NVIC) and policy letter.
Adds the definition of ILO.
Establishes an abbreviation for the use of this term throughout this subchapter.
Adds definition of Integrated tug barge.
To specify and make clear the features and capabilities of this type of tug barge combination.
Adds the definition of International Safety Management Code.
This term is referenced in part 10.
Adds the definition of Kilowatt (kW).
To provide clarity and consistency, as the term is used in conjunction with the implementation of the STCW Convention and STCW Code.

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77801

Current cite

Cite under final rule

Summary of changes

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.107 ........................

N/A ...............................

§ 10.205(h) ...................

N/A ...............................

§ 10.209 ........................

N/A ...............................

§§ 10.232, 11.401,
11.404, 11.405, and
11.406.

N/A ...............................

§ 10.405 ........................

N/A ...............................

§ 10.409 ........................

N/A ...............................

§ 10.411 ........................

N/A ...............................

§ 10.412 ........................

Adds definition of Lifeboatman-Limited.
To provide for a new endorsement for persons serving in a position similar to Lifeboatman
but on a vessel without a lifeboat.
Adds definition of Liquefied gas tanker.
Adds definition for the change in STCW tanker cargo operations endorsements.
Adds the definition of Management level.
To explain that master, chief mate, chief engineer and first assistant engineer (second engineer officer) are considered management level under the STCW Convention.
Adds definition of Medical certificate.
To describe a new document that serves as proof that a mariner meets the required medical
and physical standards.
Adds definition of Officer in Charge of an Engineering Watch (OICEW).
To clarify that this endorsement is at the operational level.
Adds definition of Officer in Charge of a Navigational Watch (OICNW).
To clarify that this endorsement is at the operational level.
Adds definition of Oil tanker.
Adds definition for the differentiation of dangerous liquids into two STCW endorsements.
Adds the definition of Operational level.
Provides that officer endorsements other than management level are considered operational
level under the STCW Convention.
This will provide consistency with STCW Convention/Code.
Adds the definition of Periodically unattended engine room.
Provides clarity in the application of the service requirements for engineers.
Adds the definition of Propulsion power.
To provide consistency with the use of the term ‘‘propulsion power’’ in STCW and to encompass methods of measurement, such as horsepower (HP) and kilowatts (kW).
Adds definition of Push-mode ITBs.
To specify what is included in the configuration of this tug barge unit.
Adds definition of Qualified Assessor.
To clarify the qualifications for this type of evaluator.
Adds the definition of Quality Standard System (QSS).
To ensure conformity with STCW requirements for use of a QSS and provide clarification of
what is intended by this term when used in this subchapter.
Adds definition of Seagoing service.
Clarify for the mariner what is included in this type of service, including Great Lakes and inland service.
Adds the definition of Seagoing vessel.
To ensure the definition captures all vessels to which STCW Convention and Code apply.
There is no commercial vessels restriction, as appears in the current definition in § 15.1101,
because that would have excluded vessels such as yachts and government-owned vessels, which are required to be operated by mariners holding an STCW endorsement.
Adds the definition of Ship.
To provide clarity regarding the types of propulsion modes for these vessels.
Adds the definition of Training program.
To provide clarity regarding what is encompassed within training programs.
Adds the definition of Unlimited.
Clarifies the annotation on an MMC authorizing service on vessels of any tonnage or any
propulsion power.
Adds provision regarding Document of Continuity.
To explain the process of replacing a Document of Continuity with an MMC.
Adds ceremonial license.
Allows mariners to request a ceremonial license when renewing his or her credential.
Expands provisions granting sea service credit towards STCW endorsements to include
those mariners who hold a national endorsement and provide proof of service on vessels
to which STCW applies, whether on inland or coastwise service.
Service on vessels to which STCW applies, whether inland or coastwise, will be credited on
a day-for-day basis.
Adds requirements for qualification as a qualified assessor or designated examiner.
To ensure that qualified individuals conduct evaluations of mariners in conformity with the
STCW Convention. See Section A–I/6 of the STCW Code.
Adds a provision requiring qualified assessors who renew their qualifications to provide evidence of experience, training, or instruction within the past 5 years.
To ensure that qualified assessors are trained in proper assessment techniques and have
completed an ‘‘assessor training’’ course as part of an accepted training program.
Adds requirements for approval as a Coast Guard-accepted QSS organization.
Requires organizations wishing to accept and monitor training to submit application for approval. Coast Guard-accepted QSS organizations will be audited once every five years.
This is to ensure compliance with STCW Convention/Code and to provide oversight of these
organizations.
Adds simulator performance standards.
To provide consistency with existing requirements and Section A–I/12 of the STCW Code.
Adds distance and e-learning,
Adds a provision that will allow mariners to complete certain approved training via distance
or e-learning courses.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

Current cite

Cite under final rule

§§ 11.201, 11.205 ........

§ 11.201 ........................

§ 11.202 .......................

§ 15.817 ........................

§ 11.202 .......................

§ 15.816 ........................

§ § 11.202, 11.205 ........

§§ 11.301, 11.302 and
11.303.

§ 11.202(c) ...................

§§ 11.305 to 11.321 .....

§ 11.202(d) ...................

§§ 11.305 to 11.321 .....

§ 11.202(e) ...................

§§ 11.305 to 11.321 .....

§ 11.202(e) ...................

§§ 11.305 to 11.321 .....

§ 11.202(b) ...................

§ 11.302 ........................

§ 11.202(f) ....................

§ 11.301(h) and (i) ........

§ 11.205(c) ...................

N/A ...............................

§ 11.205(d) ...................

§ 11.201(h) ...................

§ 11.205(d) ...................

§ 11.201(h) ...................

§ 11.211 .......................

§ 11.211 ........................

§§ 11.211 (a) and (b),
11.213.

§ 10.232 ........................

Summary of changes
This will allow more options for obtaining training.
Re-organizes and consolidates all general requirements applicable to all domestic and
STCW officer endorsements.
Consolidates all endorsement requirements from the various sections (including §§ 11.201,
11.205) into a general section with sub-titles to allow for easy reference.
Moves section for Global Maritime Distress and Safety System (GMDSS) competency without substantive change.
Requires that all deck officers serving on vessels equipped with GMDSS provide an endorsement for GMDSS.
This re-organizes the regulations to make them easier to access and follow.
Moves section for Automatic Radar Plotting Aids (ARPA) competency without substantive
change.
Requires that all deck officers serving on vessels equipped with ARPA prove competency.
This re-organizes the regulations to make them easier to access and follow.
Re-organizes and consolidates all requirements applicable to all STCW officer endorsements.
Title changes from Basic safety training (BST) to Basic Training (BT) to be consistent with
the STCW Convention.
Consolidates all endorsement requirements from various sections (including §§ 11.202 and
11.205) into a general section with sub-titles to allow for easy reference. General requirements (§ 11.301), Basic training (§ 11.302) and Advanced firefighting (§ 11.303).
Moves the requirement for ARPA from the general section.
To place the requirement in the appropriate operational-level and management-level certificate.
Moves the requirement for the training and assessment on GMDSS from the general section.
Incorporates the GMDSS requirement with the requirement for the appropriate operationallevel and management-level certificate to simplify and clarify the GMDSS requirement.
Changes the name of Procedures for Bridge Team Work to Bridge Resource Management
(BRM).
The BRM will be required for the operational level credential and leadership and managerial
skills will be required for the management level credential.
This will provide consistency with STCW.
Moves the requirement for Bridge Resource Management.
Moves the BRM requirement to the appropriate operational-level certificate in order to clarify
and simplify the requirement.
Moves requirements for Basic Training.
Adds requirements for BT, including the requirement to maintain the standard of competence every 5 years through a combination of drills and onboard training and experience with shore-side assessments.
This will ensure mariners maintain knowledge of BT.
Moves exemptions and relaxations for vessels that are not subject to any obligation under
STCW.
Moves exemption and relaxation requirements applicable to vessels that are exempt from
the requirements or that are applicable because of their special operating condition as
small vessels in domestic voyages.
This was done to simplify the regulations by placing all STCW requirements in one subpart.
Removes letters of reference requirement.
Removes the requirement to submit letters of reference because of the depth of new background investigation procedures by both the Coast Guard and the Transportation Security
Administration.
Reduces firefighting training requirements for certain endorsements.
Reduces the training from basic and advanced firefighting to basic firefighting training for
vessels of less than 200 GRT in ocean services.
This will reduce the burden on mariners serving on these vessels.
Adds firefighting training requirements for certain endorsements.
Mandates basic firefighting training for some endorsements on non-ocean services.
This is to ensure that mariners with those endorsements have basic firefighting skills and to
improve overall maritime safety.
Adds provisions to accept certain towing vessel service, including service in inland tug-barge
combinations such as ATBs and integrated tug barges (ITBs), based on the aggregate
tonnage of the tug and barge(s) when greater than 1,600 GRT.
Grants credit for service on towing vessels using the aggregate tonnage on a 1-for-2 basis
(2 days experience equals 1 day of creditable service) for up to 50 percent of the total
service on vessels of 1,600 GRT or more.
Creates new section for sea service.
Inserts new section to discuss sea service issues applicable to all credentials, including foreign sea service, documentation to show proof of sea service, and sea service as a member of the armed forces.
This is in response to public comments requesting further clarification on sea service requirements.
Expands list of items applicants must provide as documentary evidence of sea service.

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Current cite

Cite under final rule

§ 11.211(d) ...................

§ 11.211(c) ...................

§ 11.301 .......................

§ 11.301 ........................

§ 11.301 .......................

§ 10.401 ........................

§ 11.302 .......................

§ 10.402 ........................

§ 11.302 .......................

§ 10.402 ........................

§ 11.302 .......................

§ 10.402 ........................

§ 11.302 .......................

§ 10.402 ........................

§ 11.302 .......................
§ 11.303 .......................

§ 10.407 ........................
§ 10.403 ........................

§ 11.303 .......................

§ 10.403 ........................

§ 11.303 .......................

§ 10.403 ........................

§ 11.304 .......................

§ 10.404 ........................

§ 11.305 .......................

N/A ...............................

§ 11.309 .......................

§ 10.409 ........................

§ 11.309 .......................

§ 10.409 ........................

§ 11.401 .......................

N/A ...............................

§ 11.402 .......................

§ 11.402 ........................

§ 11.400 et seq. ...........

§ 11.400 et seq. ...........

§ 11.463 .......................

§ 11.463(g) ...................

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Summary of changes
Revises to include sea service credit for cadets serving onboard academy training ships
where sea service is part of an approved training program.
Will grant 1⁄2 days of sea service credit for each day a cadet serves aboard an academy
training ship where sea service is part of an approved training program.
Expands sea service credit on Articulated Tug Barges (ATBs).
The Coast Guard will allow the service on ATBs to qualify for unlimited tonnage officer endorsements.
This will reduce the burden on the mariner seeking to qualify for these endorsements.
Revises to provide mariners the opportunity to use the new STCW training requirements
when applying for credentials.
Provides that persons who hold or have held an STCW operational-level endorsement
issued prior to the effective date of this final rule, and are seeking to upgrade to an STCW
management-level endorsement, will not be required to do the assessments for STCW
operational-level endorsements.
Revises the applicability to include training programs.
Clarifies that the STCW Convention covers all training used to pursue certification, whether
or not it is part of an approved course or training program. See Regulation I/6 of the
STCW Convention and Section A–I/6 of the STCW Code.
Revises the credit that can be provided by course approval to allow for multiple purposes.
Provides industry more flexibility to complete the requirements as current regulations are too
confining.
Revises the requirements for the request for course approval.
Incorporates previously issued guidance documents.
This is to assist industry in understanding otherwise vague requirements.
Revises course approvals to implement the IMO model course format and terminology.
Clarifies the circumstances that could lead to the suspension of course approval for a training course.
Organizes the requirements for suspension of course approvals.
This is being done in response to public comments regarding course approval suspensions.
Revises the reasons for withdrawal of course approval.
Clarifies reasons for withdrawal of course approval.
Revises the requirements for the request for program approval.
Revises section to require that each student demonstrate practical skills appropriate for the
course.
Ensures that the training provided meets the requirements of the STCW Convention, i.e.,
not only ensuring applicant knowledge, understanding and proficiency (KUP), but also requiring a demonstration of skills. See STCW Regulation I/6 of the STCW Convention.
Revises the records and reports required for each approved course.
Provides the Coast Guard the ability to be consistent with obligations under the STCW Convention to validate the training received by merchant mariners. See Regulation I/8 of the
STCW Convention.
Adds QSS requirements for an approved course.
Provides consistency with the obligation under the STCW Convention for approved training
to be part of a QSS. See Regulation I/8 of the STCW Convention.
Revises the requirement to substitute all sea service for successful completion of an approved training program.
Provides service credit for training programs, because they regularly provide more extensive
training situations and broader opportunities to demonstrate proficiency.
Removes specific requirements regarding radar-observer certificates and qualifying courses.
Removes requirements now unnecessary due to other proposed changes throughout this
subpart.
Revises section to reduce redundant language from other sections of this subpart.
Provides clarification with reference to § 10.402 for collecting the necessary information.
Adds QSS requirements for accepted training.
Provides consistency with the STCW Convention for approved training to be part of a QSS.
See Regulation I/8 of the STCW Convention.
Removes the requirement for deck officers to obtain a qualification as able seaman.
Provides consistency with the STCW Convention that does not require a qualification as
able seaman for seagoing deck officers.
Revises tonnage limitations for an unlimited officer endorsement by setting the minimum to
2,000 GRT.
Establishes a revised minimum tonnage limitation. It was previously possible to obtain a limitation of less than 2,000 GRT.
This requirement eases the burden on mariners seeking removal of tonnage limitations on
their licenses.
Establishes a link between national and STCW deck officer endorsements.
Provides better organization and clarification by linking the endorsements.
Adds a restriction to a specific type of towing vessel and/or towing operation. Adds the requirement for towing vessel officers serving on seagoing vessels to comply with the
STCW Convention.
Adds provision for a towing vessel restriction such as articulated tug barge (ATB) vessels
that do not routinely perform all of the tasks in the Towing Officer Assessment Record
(TOAR).
Clarifies the regulations and policy for officers on towing vessels.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

Current cite

Cite under final rule

Summary of changes

§ 11.463 .......................

§ 11.463 ........................

§ 11.465 .......................

§ 11.465 ........................

§ 11.467 .......................

§ 11.467 ........................

§ 11.482 .......................

§ 11.482 ........................

§ 11.491 .......................

§ 11.491 ........................

§ 11.493 .......................

§ 11.493 ........................

§ 11.495 .......................

§ 11.495 ........................

§ 11.497 .......................

§ 11.497 ........................

§ 11.500 et seq. ...........

§ 11.500 et seq. ...........

§ 11.501(d) ...................

§ 11.501(d) ...................

§ 11.518 .......................

§ 11.518 ........................

§ 11.520 .......................

§ 11.520 ........................

§ 11.522 .......................

§ 11.522 ........................

§ 11.553 .......................

§ 11.553 ........................

§ 11.555 .......................

§ 11.555 ........................

§ 11.709 .......................

§ 11.709 ........................

§ 11.811 .......................

§ 11.337 ........................

§ 11.821 .......................

§ 11.821 ........................

§ 11.901 .......................

§ 11.901 ........................

§ 11.903 .......................

§ 11.903 ........................

§ 11.910 .......................

§ 11.910 ........................

§ 11.910 .......................

§ 11.910 ........................

§§ 11.1001 to 11.1005

N/A ...............................

Re-opens grandfathering provision.
Minimizes the burden on mariners by re-opening grandfathering provision for those who met
training and service requirements prior to May 21, 2001.
Adds a time limit for acceptance of TOARs.
The TOAR must be completed within 5 years of application for license to be consistent with
the continued proficiency requirements for the renewal of a towing endorsement.
Adds the limitation to the endorsement as operator of uninspected passenger vessels to not
more than 100 nautical miles offshore.
Clarifies that this endorsement is limited to domestic near-coastal waters not more than 100
nautical miles offshore.
This makes clear that this endorsement authorizes only domestic voyages.
Clarifies limitations for assistance towing endorsements.
Clarifies and simplifies the application of the assistance towing endorsement.
Raises the tonnage limitations on national Offshore Supply Vessel (OSV) endorsements.
Raises the tonnage limitation for officers with a 500 GRT limitation to 1,600 GRT.
Revises language for Master (OSV).
Eliminates unnecessary language and ensures consistency with STCW Convention and
Code requirements by expanding the sea service requirements for this endorsement.
Revises language for Chief Mate (OSV).
Eliminates unnecessary language and ensures consistency with STCW Convention and
Code requirements.
Revises language for Mate (OSV).
Eliminates unnecessary language and ensures consistency with STCW Convention and
Code requirements.
Establishes a link between national and STCW engineer officer endorsements.
Simplifies the regulations by providing link to appropriate section to add engineer STCW endorsement to existing national endorsement.
Adds Gas Turbine Propulsion.
Clarifies propulsion mode limitations to engineer’s licenses.
Removes oceans restriction from chief engineer (limited) endorsement.
Simplifies the regulations by removing the geographical restriction.
To sail beyond the boundary line, the holder of this endorsement must hold the appropriate
STCW endorsement.
Removes chief engineer (limited near-coastal) endorsement.
Allows all engineers who currently hold a license as chief engineer (limited near-coastal) to
be upgraded to chief engineer (limited) without further sea service or testing requirements.
Removes oceans restriction from assistant engineer (limited) endorsement.
Simplifies the regulations by removing the geographical restriction.
To sail beyond the boundary line, the holder of this endorsement must hold the appropriate
STCW endorsement.
Revises language for Chief Engineer (OSV).
Eliminates unnecessary language and ensures consistency with STCW Convention and
Code requirements by expanding the sea service requirements for this endorsement.
Revises language for Assistant Engineer (OSV).
Eliminates unnecessary language and ensures consistency with STCW Convention and
Code requirements.
Revises language for first-class pilot annual physical examinations.
Integrates the first-class pilot’s annual physical into the biennial medical certificate system.
Moves requirements for Vessel Security Officer (VSO) to STCW officer endorsement requirements without substantive change.
Groups all STCW officer endorsements together.
Defines the applicability of the High-speed craft type rating.
Limits the requirement to hold High-speed craft type rating to mariners operating vessels to
which the High speed craft code applies.
Removes the list of endorsements requiring STCW endorsement.
Amends section because the list of endorsements was redundant and unnecessary in this
location.
Revises the list of endorsements requiring examination.
Removes the endorsements that do not require an examination, based on a change in policy and progression consistent with the STCW Convention, i.e., master and second mate.
Adds endorsements that require an examination, based on a change in policy and progression consistent with the STCW Convention (mate of near-coastal vessels of less than 200
GRT, master of near-coastal vessels of less than 100 GRT, and mate of Great Lakes and
inland/river vessels of less than 200 GRT).
Revises table 1 to 11.910.
Clarifies and simplifies the regulations by reflecting the combined endorsements at the management and operational levels.
Revises table 2 to 11.910.
To revise the table of subjects in order to reflect combined examinations at the operational
and management levels and the STCW Convention.
Deletes requirements for roll-on/roll-off passenger ships.
To reflect the 2010 STCW amendment changes to include requirements for passenger
ships.
This also simplifies the regulations by merging requirements from subparts J and K.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
Current cite

Cite under final rule

Summary of changes

§ 11.1105 .....................

§ 11.1105 ......................

N/A ...............................

§ 11.301(a) ...................

N/A ...............................

§ 11.301(b) ...................

N/A ...............................

§ 11.301(d) ...................

N/A ...............................

§ 11.301(g) ...................

N/A ...............................

§ 11.303 ........................

N/A ...............................

§ 11.304 ........................

N/A ...............................

§ 11.323 ........................

N/A ...............................

§§ 11.303 to 11.321;
§§ 11.323 to 11.335.

Amends requirements for officers on passenger ships when in international voyages.
Reflects the 2010 STCW amendment changes to include requirements for passenger ships.
Expands the 2010 STCW amendment changes to include training in crowd management,
passenger ship safety training, crisis management and human behavior, and training in
passenger safety, cargo safety, and hull integrity.
This also simplifies the regulations by merging requirements from subparts J and K.
Adds alternative methods for Standard of Competence.
Adds alternative methods of demonstrating competence to provide mariners with multiple
options, where allowed by the STCW Convention.
Revises Great Lakes and inland service.
Grants day-for-day equivalency for Great Lakes service up to 100 percent and one- for-one
up to 50 percent for inland service.
This is in response to public comments requesting equivalency for Great Lakes service.
Service accrued on vessels with dual tonnages.
Service will be credited using the international tonnage.
This ensures consistency with the STCW Convention.
Rating service for management-level endorsements.
Service as a rating is not acceptable for management-level STCW endorsements.
This ensures consistency with the STCW Convention.
Grandfathering provisions.
These provisions will ease the transition for mariners with existing endorsements.
Ensure consistency with the 2010 amendments to the STCW Convention and Code.
Requirements for Advanced Firefighting.
Adds requirements for Advanced Firefighting including the requirement to maintain the
standard of competence every 5 years through a combination of drills and onboard training and experience with shore-side assessments.
This ensures consistency with the STCW Convention.
List of STCW deck officer endorsements.
List of endorsements included in the applicable subsequent sections.
This re-organizes the regulations to make them easier for the mariner to access.
List of STCW engineer officer endorsements.
List of endorsements included in the applicable subsequent sections.
This re-organizes the regulations to make them easier for the mariner to access.
Requirements for STCW deck and engineer officer endorsements.

N/A ...............................

N/A ...............................

N/A ...............................

N/A ...............................

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§§ 11.305 to 11.321;
§§ 11.325 to 11.335.

§§ 11.305 to 11.321;
§§ 11.325 to 11.335.

§§ 11.305 to 11.325;
§§ 11.323 to 11.335.

§§ 11.305 to 11.321;
§§ 11.325 to 11.335.

N/A ...............................

§§ 11.305 to 11.321;
§§ 11.325 to 11.335.

N/A ...............................

§§ 11.305 to 11.321;
§§ 11.325 to 11.335.

N/A ...............................

§ 11.335 ........................

N/A ...............................

§ 11.335 ........................

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Includes the STCW Convention list of requirements in order to obtain the endorsement.
This re-organizes the regulations to make them easier for the mariner to access.
Sea service requirements for STCW deck and engineer officer endorsements.
Includes STCW Convention language providing various alternatives for sea service.
This re-organizes the regulations to make them easier for the mariner to access.
This also provides for acceptance of various modes of sea service.
Standard of competence from the STCW Code.
Provides a specific requirement to meet the standard of competence from the appropriate
tables in the STCW Code.
This ensures consistency with the STCW Convention.
Requirement for training.
Includes STCW Convention mandatory training.
Adds classroom or formal training topics required for STCW endorsements.
This ensures consistency with the STCW Convention.
Gap closing measures from the 2010 amendments.
Includes training necessary to comply with the 2010 amendments.
This ensures consistency with the STCW Convention.
Exemptions from the standard of competence.
Provides for exemptions from the tables of competence based on vessel type.
Inserts tables specifying entry paths from national endorsements to STCW endorsements.
Describes various entry points to obtain an equivalent STCW endorsement.
This provides a method of determining which STCW endorsements are attainable for each
national endorsement.
Adds a new section providing the requirements for STCW officer endorsement as electrotechnical officer.
This ensures consistency with the STCW Convention. See regulation III/6 of the STCW
Convention and Section A–III/6 of the STCW Code.
Provides equivalency accepted for personnel serving in a similar capacity.
Allows for the issuance of the STCW officer endorsement as electro-technical officer to personnel with equivalent credentials and sea service.
This makes it easier for an applicant to obtain this endorsement.
Adds classroom or formal training topics required for STCW endorsements.
Clarifies grandfathering provisions for Electro-Technical Officer.

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77806

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

Current cite

Cite under final rule

Summary of changes

N/A ...............................

§ 11.335 ........................

N/A ...............................

§ 11.425 ........................

N/A ...............................

§ 11.821 ........................

N/A ...............................

Subpart J ......................

§ 12.02–7 .....................

§ 15.401 ........................

§ 12.02–17 ...................

§ 12.205(c) ...................

§ 12.03 .........................

Subpart D (§ 10.400 series).

Provides equivalency accepted for engineer officers.
Allows for the issuance of the STCW officer endorsement as electro-technical officer to
OICEW, second engineer officer and chief engineer officer.
This makes it easier for an applicant to obtain this endorsement.
Adds a new section for mate of ocean, self-propelled vessels of less than 200 GRT.
Allows for the issuance of this national endorsement.
Provides a path of progression to master of oceans self-propelled vessels of less than 200
GRT, and in accordance with Regulation II/3 of the STCW Convention.
Adds high-speed craft qualifications.
Establishes qualifications for operating high-speed craft.
This ensures consistency with the STCW Convention.
Revises subpart to add new provisions on recognition of STCW officer endorsements issued
by a foreign government.
Establishes requirements for the recognition of STCW Certificates issued by foreign governments. Recognition is restricted to non-U.S. licensed officers and mariners with officer endorsements (except masters) found in § 15.720(b). Application for a recognition certificate
via the employer.
This ensures consistency with the STCW Convention.
Moves this requirement to § 15.401.
Moves section to part 15 as it is a manning requirement.
This re-organizes the regulations to make them easier to understand.
Adds implementation date (January 1, 2017) for medical certificates in accordance with
STCW Convention.
Amends provisions for re-testing.
Amends waiting period after third failed examination. Deletes maximum waiting period of 30
days after initial failure.
This allows applicants to re-test earlier than the current time period.
Consolidates Coast Guard-accepted and approved training into one subpart.

§ 12.05–1 .....................

§ 12.401 ........................

§ 12.05–1(a) and (b) ....

§ 15.401 ........................

§ 12.05–3 .....................

§ 12.401 ........................

§ 12.05–3(a)(2), 12.15–
5, 12.25–20.

§ 12.401 ........................

§ 12.05–3(b) .................

§ 12.602 ........................

§ 12.05–3(c) .................

§ 12.605 ........................

§ 12.05–7 .....................

§ 12.403 ........................

§ 12.05–9 .....................

§ 12.405 ........................

§ 12.10 .........................

§ 12.407 ........................

§ 12.10–1 .....................

§ 15.401 ........................

§ 12.10–3 .....................

§ 12.609 ........................

§ 12.10–7 .....................

§ 15.404 ........................

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Streamlines the regulations.
Adds able seaman endorsements.
Adds able seaman-fish, and able seaman-sail.
This codifies Coast Guard policy into the regulations.
Moves this requirement to § 15.401 without substantive change.
Moves paragraphs to part 15 as it is a manning requirement.
This re-organizes the regulations to make them easier to understand.
Revises the general requirements to obtain an endorsement as able seaman (A/B) to include holding or qualified to hold an endorsement as lifeboatman.
Clarifies the A/B requirement to allow being qualified for lifeboatman, and removes the requirement to pass the lifeboatman exam if the individual already holds the appropriate endorsement.
This eases the burden on mariners seeking to obtain this endorsement.
Moves requirement to § 12.401 without substantive change.
Consolidates general requirements for certification.
This re-organizes the regulations to make them easier for the mariner to access.
Moves requirements for Basic Safety Training (BST).
Title changes from BST to Basic Training (BT).
Adds requirements for BT, including the requirement to maintain the standard of competence every 5 years through a combination of drills and onboard training and experience with shore-side assessments.
This ensures consistency with the STCW Convention.
Adds a new section to provide the requirements for ratings forming part of a navigational
watch (RFPNW).
Provides requirements for RFPNW, required by the STCW Convention, in one location.
This ensures consistency with the STCW Convention.
Adds service and training requirements for new rating endorsements.
Adds service and training requirements for able seaman-fish, and able seaman-sail.
This codifies Coast Guard policy into the regulations.
Adds requirement in paragraphs (a) and (c) to show that the listed demonstrations have
been performed in a Coast Guard-approved course.
This consolidates existing policy into the regulations.
Moves this requirement to § 12.407 from § 12.10.
Moves requirement to STCW section.
This re-organizes the regulations to make them easier to understand without substantive
change.
Moves this requirement to § 15.401 without substantive change.
Moves section to part 15 as it is a manning requirement.
This re-organizes the regulations to make them easier to understand.
Moves requirements to qualify for an STCW endorsement as a rating forming part of an engineering watch (RFPEW) without substantive change.
Moves requirement to STCW section.
This re-organizes the regulations to make them easier to understand.
Moves this requirement to § 15.404 without substantive change.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

sroberts on DSK5SPTVN1PROD with RULES

Current cite

Cite under final rule

§ 12.10–9 .....................

§ 12.617 ........................

§ 12.13–3 .....................

§ 12.619 ........................

§ 12.13–3 .....................

§ 12.619 ........................

§ 12.13–3 .....................

§ 12.621 ........................

§ 12.13–3 .....................

§ 12.621 ........................

§ 12.15–1 .....................

§ 15.401 ........................

§ 12.15–3(e) .................

§ 12.501 ........................

§ 12.15–3(e) .................

§ 12.609 ........................

§ 12.15–7 .....................

§ 12.501 ........................

§ 12.15–9 .....................

§ 12.501 ........................

§ 12.15–11 ...................

§ 12.505 ........................

§ 12.15–13 ...................

N/A ...............................

§ 12.15–15 ...................

N/A ...............................

§ 12.25–1 .....................

§ 12.701 ........................

§ 12.25–10 ...................

§ 12.703 ........................

§ 12.25–45 ...................

§ 15.818 ........................

§ 12.25–45 ...................

§ 12.623 ........................

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Summary of changes
Moves section to part 15 as it is a manning requirement.
This re-organizes the regulations to make them easier to understand.
Revises the requirements for certificates of proficiency in fast rescue boats, adding the specific areas of competence the STCW Convention requires.
Provides additional information clarifying the STCW Convention requirements to obtain an
endorsement for proficiency in fast rescue boats.
This ensures consistency with the STCW Convention.
Revises the requirements for certificates of proficiency for medical first-aid provider, adding
the specific areas of competence the STCW Convention requires.
Provides additional information clarifying the STCW Convention requirements to obtain an
endorsement for medical first-aid provider.
This ensures consistency with the STCW Convention.
Revises this basis-of-documentary-evidence section to include those persons who have alternative qualifications.
Adds the additional process to meet this requirement through the possession of a professional license or alternative professional qualification.
This opens up additional options for mariners to utilize in obtaining this endorsement.
Revises the requirements for certificates of proficiency for person-in-charge of medical care,
adding the specific areas of competence the STCW Convention requires.
Provides additional information clarifying the STCW Convention requirements to obtain an
endorsement for person-in-charge of medical care.
This ensures consistency with the STCW Convention.
Revises this basis-of-documentary-evidence section to include those persons who have alternative qualifications.
Adds the additional process to meet this requirement through the possession of a professional license or alternative professional qualification.
This opens up additional options for mariners to utilize in obtaining this endorsement.
Moves this requirement to § 15.401 without substantive change.
Moves section to part 15 as it is a manning requirement.
This re-organizes the regulations to make them easier to understand.
Revises the RFPEW requirement for Qualified Member of the Engineering Department
(QMED).
Removes the specific requirement for the STCW endorsement as RFPEW associated with
QMED and moves it to its own section.
This re-organizes the regulations to make them easier to understand.
Adds a new section to provide the requirements for RFPEW.
Provides requirements for RFPEW, required by the STCW Convention, in one location.
This re-organizes the regulations to make them easier to understand.
Revises the requirement to provide a more general requirement that a QMED endorsement
applicant must complete an appropriate training program.
There is no need to provide specific information regarding the training programs and
courses; this information is included in the course approval letters provided to each training provider.
This makes the regulations easier to follow.
Reduces the number of QMED ratings from 10 to 5.
This simplifies the regulations by removing several endorsements that are no longer used
and combines several others.
QMED rating endorsement list.
Revises the list of QMED rating endorsements to make the regulations easier to follow.
Deletes deck engine mechanic rating as an MMC endorsement.
Deletes this rating for new applicants; however, companies that wish to continue to employ
mariners in this rating may do so.
This simplifies the regulations by removing several endorsements that are rarely used and
combines several others.
Deletes engineman rating as an MMC endorsement.
Deletes this rating for new applicants; however, companies that wish to continue to employ
mariners in this rating may do so.
This simplifies the regulations by removing several endorsements that are rarely used and
combines several others.
Changes section title from ‘‘Credentials required’’ to ‘‘Credentials required for entry-level and
miscellaneous ratings’’.
Revises for clarity; no substantive change.
Moves general requirements.
Consolidates general requirements for entry-level ratings.
This makes the regulations easier to follow.
Moves section for GMDSS at-sea maintainer.
Requires that anyone serving as at-sea maintainers on vessels equipped with GMDSS must
provide documentary evidence of competency.
This re-organizes the regulations to make them easier to access and follow.
Revises section to provide more specific information regarding the qualification requirements
for an endorsement as GMDSS at-sea maintainer.
Specifies the methods of qualification allowed to obtain the endorsement.
This ensures consistency with the STCW Convention and makes the regulations easier to
follow.

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sroberts on DSK5SPTVN1PROD with RULES

77808

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

Current cite

Cite under final rule

Summary of changes

§ 12.30 .........................

N/A ...............................

§ 12.35 .........................

§ 12.905 ........................

N/A ...............................

§ 12.201 ........................

N/A ...............................

§ 12.203 ........................

N/A ...............................

§ 12.409 ........................

N/A ...............................

§ 12.601 ........................

N/A ...............................

§ 12.601 ........................

N/A ...............................

§ 12.601 ........................

N/A ...............................

§§ 12.603–12.609 .........

N/A ...............................

§ 12.603 ........................

N/A ...............................

§ 12.605 ........................

N/A ...............................

§ 12.607 ........................

N/A ...............................

§ 12.609 ........................

N/A ...............................

§ 12.609(d) ...................

N/A ...............................

§ 12.611 ........................

N/A ...............................

§ 12.611 ........................

N/A ...............................

§ 12.613 ........................

N/A ...............................

§ 12.615 ........................

Deletes requirements for ro-ro passenger ships.
Reflects the 2010 STCW amendment changes to include requirements for passenger ships,
including ro-ro passenger ships.
Amends requirements for ratings on passenger ships when in international voyages.
Reflects the 2010 amendment changes to include requirements for passenger ships.
Merges requirements from subparts 12.30 and 12.35.
This ensures consistency with the STCW Convention.
Adds section with general requirements for national and STCW rating endorsements.
Consolidates all requirements applicable to all rating endorsements contained in this part.
This makes the regulations easier to follow.
Adds section with documentation of sea service for ratings.
Provides information on where to find the requirements for documentation and proof of sea
service for ratings.
This makes the regulations easier to follow.
Adds new section with requirements for lifeboatman-limited endorsement.
This endorsement is for mariners who serve on vessels without installed lifeboats.
Mariners serving on vessels without lifeboats could not qualify for the lifeboatman endorsement under current regulations.
Adds section with general requirements applicable to STCW rating endorsements.
Adds provisions to provide mariners the opportunity to use the new STCW training requirements when applying for credentials.
Consolidates all requirements applicable to STCW endorsements in this subpart. Establishes list of STCW rating endorsements.
Establishes that the mariner with an STCW endorsement must also hold the equivalent national endorsement.
This makes the regulations easier to follow.
Adds section with standard of competence.
Adds alternative methods of demonstrating competence.
This provides mariners with multiple options, where allowed by the STCW Convention.
Adds section with grandfathering provisions.
Adds provisions for the implementation of the amendments to the requirements, including
the 2010 amendments to the STCW Convention and Code.
This eases the burden on mariners with existing endorsements.
Insert tables specifying entry paths from national endorsements to STCW endorsements.
Describes various entry points to obtain an equivalent STCW endorsement.
This provides a method of determining which STCW endorsements are attainable for each
national endorsement.
Adds new section with requirements for STCW rating endorsement as able seafarer-deck.
Includes the STCW Convention requirements in order to obtain the endorsement.
Includes grandfathering provisions.
This ensures consistency with the STCW Convention.
Adds new section providing the requirements for RFPNW.
Provides specific requirements for this STCW endorsement.
This ensures consistency with the STCW Convention.
Adds a new section with requirements for STCW endorsement as able seafarer-engine.
Includes the STCW Convention requirements in order to obtain the endorsement.
Includes grandfathering provisions.
This ensures consistency with the STCW Convention.
Adds new section providing the requirements for RFPEW.
Provides specific requirements for this STCW endorsement.
This ensures consistency with the STCW Convention.
Adds a new section to provide the requirements for RFPEW.
Limits RFPEW endorsement to propulsion mode if all STCW competencies are not completed.
Adds a new section providing the requirements for STCW officer endorsement as electrotechnical rating.
Includes the STCW Convention requirements in order to obtain the endorsement. See regulation III/7 of the STCW Convention and Section A–III/7 of the STCW Code.
This ensures consistency with the STCW Convention.
Adds classroom or formal training topics required for STCW endorsements.
Clarifies grandfathering provisions for Electro-Technical Rating.
Equivalent arrangements for personnel serving in a similar capacity.
Allows for the issuance of the STCW endorsement as electro-technical rating to personnel
with equivalent credentials and sea service.
This provides applicants with multiple paths to obtain this endorsement.
Adds new section with requirements for Proficiency in survival craft and rescue boats other
than fast rescue boats (PSC).
Adds requirements to maintain the standard of competence every 5 years through a combination of drills and onboard training and experience with shore-side assessments.
This ensures consistency with the STCW Convention.
Adds new section to provide a new endorsement for proficiency in survival craft and rescue
boats other than lifeboats and fast rescue boats (PSC-limited).

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

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Current cite

Cite under final rule

N/A ...............................

§ 12.615 ........................

N/A ...............................

§ 12.617 ........................

N/A ...............................

§ 12.625 ........................

N/A ...............................

§ 12.627 ........................

§ 13.120 .......................

§ 13.120 ........................

§ 13.121 .......................

§ 13.121 ........................

§ 13.127 .......................

§ 13.127 ........................

§ 13.127 .......................
§ 13.201 .......................

§ 13.127 ........................
§ 13.121 ........................

§ 13.301 .......................

§ 13.121 ........................

§ 13.307, § 13.309 ........

§ 13.121 ........................

§ 13.401 .......................

§ 13.401 ........................

§ 13.407, § 13.409 ........

§ 13.121 ........................

§ 13.501 .......................

§ 13.121 ........................

N/A ...............................

§ 13.601 ........................

N/A ...............................

§ 13.603 ........................

N/A ...............................

§ 13.605 ........................

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Summary of changes
Adds new section because there are individuals assigned to vessels without lifeboats who
do not need to meet the full requirements for proficiency in survival craft and rescue boats
other than fast rescue boats (PSC), but must still meet the proficiency in the survival craft
installed on their vessels.
This ensures consistency with the STCW Convention.
Adds new section with requirements for Proficiency in survival craft and rescue boats other
than lifeboats and fast rescue boats (PSC).
Adds requirements to maintain the standard of competence every 5 years through a combination of drills and onboard training and experience with shore-side assessments.
This ensures consistency with the STCW Convention.
Adds new section with requirements for Proficiency in fast rescue boats.
Adds requirements to maintain the standard of competence every 5 years through a combination of drills and onboard training and experience with shore-side assessments.
This ensures consistency with the STCW Convention.
Adds new section with requirements to qualify for an STCW endorsement as vessel personnel with designated security duties.
Adds requirement for certification of personnel with security duties (except VSOs) in accordance with the 2010 amendments.
This ensures consistency with the STCW Convention.
Adds the STCW transitional provisions for seafarers with designated security duties that
allow existing mariners who took a course and/or can document service on board vessels
to obtain an endorsement.
Adds new section with requirements to qualify for an STCW endorsement in security awareness.
Adds requirement for all other personnel working onboard the vessels, in accordance with
the 2010 amendments.
This ensures consistency with the STCW Convention.
Adds the STCW transitional provisions for security awareness that allows existing mariners
who took a course and/or can document service onboard vessels to obtain an endorsement.
Amends the requirements for transfers for the renewal of tankerman endorsements.
Also adds requirements for STCW certification valid for tank vessels.
Clarifies the types of transfers required according to the type of endorsement being renewed.
Includes tables of topics for each tanker course.
Clarifies and updates list of subjects that the tanker courses must cover.
Revises service requirements for tankerman-engineer.
Clarifies information that must be included in the service letter for tankerman-engineer.
Amends sea service credit for service onboard ATBs on a case-by-case basis.
Moves the cargo course and firefighting course requirements of this section to § 13.121.
Clarifies existing requirements and makes the regulations easier to read.
Moves the cargo course and firefighting course requirements of this section to § 13.121.
Clarifies existing requirements and makes the regulations easier to read.
Moves the firefighting and cargo course requirements of this section to § 13.121.
Provides firefighting and cargo training course subjects in the appropriate table.
Amends Tankerman-Assistant requirements.
Adds an examination requirement for mariners who qualify for the endorsement on sea service alone.
This ensures that an applicant has the necessary knowledge to obtain this endorsement.
Moves the firefighting and cargo course requirements of this section to § 13.121.
Provides firefighting and cargo training course subjects in the appropriate table.
This makes the regulations easier to follow.
Moves the cargo course and firefighting course requirements of this section to § 13.121.
Clarifies existing requirements and makes the regulations easier to read.
Adds new section with alternative methods of demonstrating competence to provide mariners with multiple options, where allowed by the STCW Convention.
This opens additional paths of demonstrating competence.
Adds requirements for an STCW endorsement as advanced oil tanker cargo operations.
Allows mariners serving on tank barges as tankerman-PIC (barge) to qualify for this STCW
endorsement with a limitation to non-self-propelled vessels.
Allows engineer officers serving as tankerman engineer to qualify for this STCW endorsement for certain tanker operations with a limitation to maintenance and repair of cargo
equipment.
Adds the effective date for new mariners to obtain original STCW tanker endorsements of
March 24, 2014, in accordance with the provisions of the 2010 amendments.
This ensures consistency with the STCW Convention.
Adds requirements for an STCW endorsement as advanced chemical tanker cargo operations.
Allows mariners serving on tank barges as tankerman-PIC (barge) to qualify for this STCW
endorsement with a limitation to non-self-propelled vessels.
Allows engineer officers serving as tankerman engineer to qualify for this STCW endorsement for certain tanker operations with a limitation to maintenance and repair of cargo
equipment.

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77810

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

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Current cite

Cite under final rule

N/A ...............................

§ 13.607 ........................

N/A ...............................

§ 13.609 ........................

N/A ...............................

§ 13.611 ........................

§ 14.309 .......................

§ 14.309 ........................

§ 15.103 .......................

§ 15.105 ........................

§ 15.515 .......................

§ 15.515 ........................

§ 15.605 .......................

§ 15.605 ........................

§§ 15.805, 15.810,
15.820, 15.825,
15.840, 15.845,
15.850, and 15.860.
§ 15.805 .......................

§§ 15.805, 15.810,
15.820, 15.825,
15.840, 15.845,
15.850, and 15.860.
§ 15.805 ........................

§ 15.845 .......................

§ 15.845 ........................

§ 15.915 .......................

§ 15.915 ........................

§ 15.1101 .....................

§ 15.1101 ......................

§ 15.1103 .....................

§ 15.1103 ......................

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Summary of changes
Adds the effective date for new mariners to obtain original STCW tanker endorsements of
March 24, 2014, in accordance with the provisions of the 2010 amendments.
This ensures consistency with the STCW Convention.
Adds requirements for an STCW endorsement as advanced liquefied gas tanker cargo operations.
Allows mariners serving on tank barges as tankerman-PIC (barge) to qualify for this STCW
endorsement with a limitation to non-self-propelled vessels.
Allows engineer officers serving as tankerman engineer to qualify for this STCW endorsement for certain tanker operations with a limitation to maintenance and repair of cargo
equipment.
Adds the effective date for new mariners to obtain original STCW tanker endorsements of
March 24, 2014, in accordance with the provisions of the 2010 amendments.
This ensures consistency with the STCW Convention.
Adds requirements for an STCW endorsement as basic oil and chemical tanker cargo operations.
Adds the effective date for new mariners to obtain original STCW tanker endorsements of
March 24, 2014, in accordance with the provisions of the 2010 amendments.
This ensures consistency with the STCW Convention.
Adds section to include requirements for an STCW endorsement as basic liquefied gas
tanker cargo operations.
Adds the effective date for new mariners to obtain original STCW tanker endorsements of
March 24, 2014, in accordance with the provisions of the 2010 amendments.
Expands options for payment of wages upon discharge of a mariner.
In order to reflect current practices for electronic fund transfer for payment of wages, the
Coast Guard will allow companies to provide, instead of payment, a statement of wages
due and when wages will be deposited.
Adds clarification that a safe manning certificate may be issued to uninspected vessels on
an international voyage.
Provides uninspected vessels on international voyages the necessary information they will
need to provide port state control Officers in foreign ports.
Adds pilot vessels on pilotage duty to the list of vessels not subject to STCW.
This ensures consistency with the STCW Convention.
Clarifies the requirement regarding passenger vessels.
Provides clarification to assist in understanding manning requirements because existing language is confusing.
Adds the requirement that individuals serving on uninspected passenger vessels (UPVs) on
international voyages must comply with the STCW Convention.
UPVs operating on near-coastal domestic voyages are held to be substantially in compliance with the STCW Convention. However, the STCW Convention requires all individuals
to be in compliance with the STCW Convention when on international voyages.
This ensures consistency with the STCW Convention.
This also makes it clear that operators on UPVs on international voyages must obtain the
appropriate STCW endorsement.
Adds provisions requiring mariners who serve on vessels subject to STCW to also hold an
STCW endorsement appropriate to the tonnage/propulsion power for the vessel upon
which he or she is operating.
Provides for all UPVs on international voyages to be under the control of an individual holding a license or endorsement as master.
Provides consistency with the STCW Convention, which requires that all vessels on an international voyage, including UPVs, must be operated by an individual who complies with
the STCW Convention.
Adds manning provision for new lifeboatman-limited rating.
Provides an alternative for those vessels without lifeboats and sets the provisions to use the
lifeboatman-limited endorsement instead of the lifeboatman endorsement.
Removes chief engineer (limited near-coastal) endorsement.
Allows all engineers who currently hold a license as chief engineer (limited near-coastal) to
be upgraded to chief engineer (limited) 1,600 GRT without further sea service or testing
requirements.
Moves definitions of this section to § 10.107, and this section now provides a list of vessels
exempt from having to comply with the STCW Convention. Also provides for certificates
for a single international voyage for persons serving on vessels exempted under this section.
Complies with STCW requirements and makes the regulations easier to read.
Adds requirement for medical certificate as a condition of employment.
In addition, provides an extension, not to exceed 90 days, if the certificate expires during a
voyage.
All mariners must have a medical certificate. The 2010 amendments to the STCW Convention require a 2-year medical certificate for all seafarers holding STCW endorsements.
Adds provisions requiring mariners who serve as able seafarer-deck or able seafarer-engine
on vessels subject to STCW to also hold an STCW endorsement appropriate to the tonnage/propulsion power for the vessel upon which he or she is operating.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
Current cite

Cite under final rule

§ 15.1111 .....................

§ 15.1111 ......................

§ 15.1113 .....................

§ 15.1113 ......................

§ 15.1113 .....................

§ 15.1113 ......................

§ 15.1113 .....................

§ 15.1113 ......................

§ 15.1113 .....................

§ 15.1113 ......................

N/A ...............................

§ 15.403 ........................

N/A ...............................

§ 15.404 ........................

N/A ...............................

§ 15.865 ........................

77811

Summary of changes
Adds implementation date (January 1, 2017) for medical certificates and for endorsements
as able seafarer-deck and able seafarer-engine in accordance with the STCW Convention.
This ensures consistency with the STCW Convention.
Revises hours of work and rest periods for mariners.
The following changes are included as part of the 2010 amendments: (1) Expanded the application for hours of rest periods for mariners; (2) amended the weekly rest hour requirements from 70 hours to 77 hours; (3) recording of hours of rest and (4) included flexibility
from the rest hour requirements in exceptional circumstances.
Revises provision regarding records of daily hours of rest for mariners so that mariners must
receive a copy of the records pertaining to them.
This ensures consistency with the STCW Convention.
Adds requirements for persons to hold an STCW endorsement for personnel with security
duties.
This requirement has already been implemented with regards to VSOs.
This ensures consistency with the STCW Convention.
Adds requirements for persons to hold an STCW endorsement in security awareness.
Adds requirement for all other personnel working onboard the vessels to hold an STCW endorsement in security awareness, in accordance with the 2010 amendments.
This ensures consistency with the STCW Convention.
Adds requirements for contractors to receive security familiarization and that records be
maintained onboard.
This ensures consistency with the STCW Convention.
Adds implementation date for security personnel to effective date of final rule.
Clarifies the progression for security-related training from ‘‘security awareness’’ as the lowest level of training, to ‘‘vessel personnel with designated security duties’’ as the nexthigher level of training, to ‘‘vessel security officer’’ as the highest level of training.
Adds new section to establish when credentials for ratings are required.
Requires mariners serving on vessels over 100 GRT to produce the appropriate credential
for the position sought.
This ensures consistency with the U.S. Code.
Adds new section to provide the various endorsements required for service.
Explains specific endorsements required and covered under these manning requirements.
This makes the regulations easier to follow.
Adds manning provision for qualified member of the engine department (QMED).
Explains that QMEDs are required and covered under these manning requirements
This ensures consistency with the STCW Convention.

The following table provides a
crosswalk showing changes from the
SNPRM to this final rule.
Cite

Summary of changes

Subchapter B ..................................

Tonnage limitation format for endorsements has been returned to the current format.
The tonnage limit format that was proposed in the SNPRM created limitations that were not consistent with
vessel documented tonnages.
Changes domestic to national when used to describe endorsements.
The use of ‘‘domestic’’ to describe endorsements that are restricted to United States waters inside the
STCW boundary line has been replaced by ‘‘national’’ for greater clarity when discussing the domestic
endorsements of other countries.
An MMC endorsement will not use either the word domestic or national.
Adds the definition of able-seafarer deck.
Provides consistency with the STCW Convention.
Adds the definition of able-seafarer engine.
Provides consistency with the STCW Convention.
Removes the definition of apprentice mate (steersman) of towing vessels (utility).
Endorsement has been removed from regulations.
Adds definition of chemical tanker.
Adds definition for the differentiation of dangerous liquids into two endorsements under STCW.
Clarifies the type of vessel on which mariners must serve to qualify for an STCW endorsement for advanced chemical tanker cargo operations.
Adds the definition of communicable disease.
Clarifies what a physician should look for when conducting medical examinations.
Revises definition of day.
Adds clarification on cadet service on a maritime training ship.
Revises definition of disabled vessel.
The definition was revised to provide greater clarity regarding the scope of the assistance towing endorsement.
Changes definition of domestic officer endorsement to national officer endorsement.

Subchapter B ..................................

§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................

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§ 10.107 ..........................................

§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................

§ 10.107 ..........................................

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
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Summary of changes

§ 10.107 ..........................................

§ 10.107 ..........................................

§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................

§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................

§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.107 ..........................................
§ 10.205 ..........................................
§§ 10.209, 10.480 ...........................

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§ 10.219 ..........................................
§ 10.301 ..........................................

§ 10.232 ..........................................

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The use of ‘‘domestic’’ to describe endorsements that are restricted to United States waters inside the
STCW boundary line has been replaced by ‘‘national’’ for greater clarity when discussing the domestic
endorsements of other countries.
This change has been made throughout subchapter B.
Changes definition of domestic rating endorsement to national rating endorsement.
The use of ‘‘domestic’’ to describe endorsements that are restricted to United States waters inside the
STCW boundary line has been replaced by ‘‘national’’ for greater clarity when discussing the domestic
endorsements of other countries.
This change has been made throughout subchapter B.
Revises definition of domestic voyage.
The definition was revised to include voyages beginning and ending at a U.S. port and passing through the
waters of another country if the U.S. has entered into a treaty or agreement with that country.
Adds the definition of electro-technical officer.
Provides consistency with the STCW Convention.
Adds the definition of electro-technical rating.
Provides consistency with the STCW Convention.
Revises definition of Endorsement.
The definition was revised to clarify that all endorsements are listed in § 10.109.
Adds the definition of high-speed craft type rating.
Adds a definition and requirement for a high-speed craft type rating to be compliant with the high-speed
craft code. This puts into regulations existing processes that had previously been completed through
Navigation Vessel Inspection Circular and policy letter.
Adds the definition of International Labor Organization.
This will provide clarification regarding information incorporated by reference.
Adds the definition of International Safety Management Code.
This term is referenced in part 10.
Revises definition of inland waters.
The definition was revised to allow sea service credit towards STCW on certain inland vessels.
Removes the definition of limited.
Definition is not needed because it has the same meaning as in standard English language usage.
Adds definition of liquefied gas tanker.
Adds definition for the change in STCW tanker cargo operations endorsements.
Adds definition of medical certificate.
To describe a new document that serves as proof that a mariner meets the required medical and physical
standards.
Revises definition for near-coastal.
Includes near-coastal waters identified by another country’s Administration when entering into a treaty or
an agreement with that country.
Adds definition of oil tanker.
Adds definition for the differentiation of dangerous liquids into two STCW endorsements.
Revises definition for qualified assessor.
Clarifies this person’s role and professional development.
Removes the definition of restricted.
Definition is not needed because it has the same meaning as in standard English language usage.
Revises definition of seagoing vessel.
To ensure the definition captures all vessels to which STCW Convention and Code apply.
Revises the definition of self-propelled.
Reverts back to existing language regarding self-propelled vessels that are fitted with both sails and mechanical propulsion.
Removes definition for self-propelled tank vessel.
Eliminates redundancy with the definition of tankship.
Revises the definition of ship.
To provide clarity regarding the types of propulsion modes for these vessels.
Adds the definition of unlimited.
Clarifies the annotation on an MMC authorizing service on vessels of any tonnage or any propulsion
power.
Revises postdating.
Clarifies and simplifies the postdating process. Postdating will occur unless the applicant specifies otherwise.
Electronic submission of required documents.
Allows course completion certificates, including radar observer, to be submitted electronically.
Removes proposed amendments in the SNPRM that limited user fee payment options to credit card or
electronic payment only. This change gives mariners the ability to pay by cash, by attaching a check or
money order to their application package, or by electronic means.
Revises medical certificate validity period.
Adds issuance of the new medical certificates with the following period of validity: 2 years for a mariner
who is serving as a first-class pilot, or acting as a pilot under § 15.812.
Revises to include sea service credit for cadets serving onboard academy training ships where sea service
is part of an approved training program.
Will grant 11⁄2 days of sea service credit for each day a cadet serves aboard an academy training ship
where sea service is part of an approved training program.
Expands list of items applicants must provide as documentary evidence of sea service.

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Summary of changes

§§ 10.232, 11.401, 11.404, 11.405,
and 11.406.

Expands provisions granting sea service credit towards STCW endorsements to include those mariners
who hold a national endorsement and provide proof of service on vessels to which STCW applies,
whether on inland or coastwise service.
Service on vessels to which STCW applies, whether inland or coastwise, will be credited on a day-for-day
basis.
Revises course approvals to implement the International Maritime Organization model course format and
terminology.
Adds a provision requiring qualified assessors who renew their qualifications to provide evidence of experience, training, or instruction within the past 5 years.
Ensures that qualified assessors are trained in proper assessment techniques and have completed an ‘‘assessor training’’ course as part of an accepted training program.
Revises the requirements for the request for program approval.
Adds a new paragraph (g) to include International Safety Management, which is an industry-wide system,
as alternate means of compliance for the Quality Standards System (QSS) provision.
Adds implementation date (January 1, 2017) for QSS requirements in accordance with the STCW Convention.
Revises to accept certain towing vessel service, including service in inland tug-barge combinations such as
articulated tug barges (ATBs) and integrated tug barges (ITBs), based on the aggregate tonnage of the
tug and barge(s) when greater than 1,600 GRT.
Grants credit for service on towing vessels using the aggregate tonnage on a 1-for-2 basis (2 days experience equals 1 day of creditable service) for up to 50 percent of the total service on vessels of 1,600
GRT or more.
Revises to provide mariners the opportunity to use the new STCW training requirements when applying for
credentials.
Provides that persons who hold or have held an STCW operational-level endorsement issued prior to the
effective date of this final rule, and are seeking to upgrade to an STCW management-level endorsement,
will not be required to do the assessments for STCW operational-level endorsements.
Separates Basic Safety Training and Advanced Firefighting requirements from the general section
(§ 11.301) into new sections (§§ 11.302 and 11.303, respectively).
Title changes from Basic Safety training (BST) to Basic Training (BT).
Moves the list of STCW deck officer endorsements from § 11.303.
Increased the number of classroom or formal training topics required for STCW endorsements.

§ 10.402 ..........................................
§ 10.405 ..........................................

§ 10.407 ..........................................
§ 10.410 ..........................................

§ 11.211 ..........................................

§ 11.301 ..........................................

§ 11.301 ..........................................
§ 11.304 ..........................................
§§ 11.305 to 11.321; §§ 11.325 to
11.335.
§ 11.335 ..........................................
§ 11.337 ..........................................
§ 11.425 ..........................................

§ 11.465 ..........................................

§ 11.466 ..........................................
§ 11.491 ..........................................
§ 11.493 ..........................................
§ 11.495 ..........................................
§ 11.497 ..........................................

§ 11.518 ..........................................

§ 11.520 ..........................................

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77813

§ 11.522 ..........................................

§ 11.553 ..........................................
§ 11.555 ..........................................

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Adds to the number of classroom or formal training topics required for STCW endorsements.
Clarifies grandfathering provisions for Electro-Technical Officer.
Moves requirements for Vessel Security Officer from § 11.811 to STCW officer endorsement requirements.
Groups all STCW officer endorsements together.
Adds endorsement for mate of ocean self-propelled vessels of less than 200 GRT.
Allows for the issuance of this national endorsement.
Provides a path of progression to master of oceans self-propelled vessels of less than 200 GRT, and in accordance with Regulation II/3 of the STCW Convention.
Removes SNPRM proposal for endorsement for master of towing vessels (harbor assist), and removes endorsement for master of towing vessel (utility).
Coast Guard is currently considering moving these issues to another rulemaking or seeking additional input
from the Towing Safety Advisory Committee (TSAC), which would give the public additional time to comment on this matter.
Removes SNPRM proposal for endorsement as apprentice mate (steersman) of towing vessels (utility).
Coast Guard is currently considering moving this issue to another rulemaking or seeking additional input
from the TSAC, which would give the public additional time to comment on this matter.
Raises the tonnage limitations on national Offshore Supply Vessel endorsements.
Raises the tonnage limitation for officers with a 500 GRT limitation to 1,600 GRT.
Revises language for Master (OSV).
Expands the sea service requirements for this endorsement.
Revises language for Chief Mate (OSV).
Expands the sea service requirements for this endorsement.
Revises language for Mate (OSV).
Eliminates unnecessary language and ensures consistency with STCW Convention and Code requirements.
Expands the sea service requirements for this endorsement.
Removes oceans restriction from chief engineer (limited) endorsement.
Simplifies the regulations by removing the geographical restriction.
To sail beyond the boundary line, the holder of this endorsement must hold the appropriate STCW endorsement.
Removes chief engineer (limited near-coastal) endorsement.
Allows all engineers who currently hold a license as chief engineer (limited near-coastal) to be upgraded to
chief engineer (limited) without further sea service or testing requirements.
Removes oceans restriction from assistant engineer (limited) endorsement.
Simplifies the regulations by removing the geographical restriction.
To sail beyond the boundary line, the holder of this endorsement must hold the appropriate STCW endorsement.
Revises language for Chief Engineer (OSV).
Expands the sea service requirements for this endorsement.
Revises language for Assistant Engineer (OSV).
Expands the sea service requirements for this endorsement.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
Cite

Summary of changes

§ 11.709 ..........................................

Revises language for first-class pilot annual physical examinations.
Integrates the first-class pilot’s annual physical into the biennial medical certificate system.
Defines the applicability of the High-speed craft type rating.
Limits the requirement to hold High-speed craft type rating to mariners operating vessels to which the
High-speed craft code applies.
Revises the list of endorsements requiring examination.
Adds endorsements (that were removed in the SNPRM) that require an examination, based on a change in
policy and progression consistent with the STCW Convention (offshore installation manager, barge supervisor, ballast control operator, chief engineer (MODU), assistant engineer (MODU).
Adds endorsements that require an examination, based on a change in policy and progression consistent
with the STCW Convention (mate of near-coastal vessels of less than 200 GRT, master of near-coastal
vessels of less than 100 GRT, and mate of Great Lakes and inland/river vessels of less than 200 GRT).
Expands the 2010 STCW amendment changes to include training in crowd management, passenger ship
safety training, crisis management and human behavior, and training in passenger safety, cargo safety,
and hull integrity.
Separates Basic Safety Training from the general section (§ 12.601) into a new section (§ 12.602).
Title changes from Basic Safety training to Basic Training.
Establishes that the mariner with an STCW endorsement must also hold the equivalent national endorsement.
Revises to provide mariners the opportunity to use the new STCW training requirements when applying for
credentials.
Includes grandfathering provisions that will be accepted for STCW rating endorsement as able seafarerdeck.
This ensures consistency with the STCW Convention.
Includes grandfathering provisions that will be accepted for STCW rating endorsement as able seafarer-engine.
Includes all domestic Qualified Member of the Engine Department endorsements that will be eligible for the
STCW endorsement as able seafarer-engine.
Provides an alternate path with a reduced sea service requirement to the able seafarer-engine endorsement that will facilitate the transition from domestic to STCW endorsements.
This ensures consistency with the STCW Convention.
Adds to the number of classroom or formal training topics required for STCW endorsements.
Clarifies grandfathering provisions for Electro-Technical Rating.
Revises to include the STCW transitional provisions for seafarers with designated security duties that allow
existing mariners who took a course and/or can document service on board vessels to obtain an endorsement.
Revises to include the STCW transitional provisions for security awareness that allows existing mariners
who took a course and/or can document service onboard vessels to obtain an endorsement.
Amends sea service credit for service onboard ATBs on a case-by-case basis.
Revises to include only requirements for an STCW endorsement as advanced oil tanker cargo operations.
This endorsement was combined with advanced chemical tanker cargo operations in the SNPRM and is
now located in § 13.605.
Allows mariners serving on tank barges as tankerman-PIC (barge) to qualify for this STCW endorsement
with a limitation to non-self-propelled vessels.
Allows engineer officers serving as tankerman engineer to qualify for this STCW endorsement for certain
tanker operations with a limitation to maintenance and repair of cargo equipment.
Revises the effective date for new mariners to obtain original STCW tanker endorsements from January 1,
2017, to March 24, 2014, in accordance with the provisions of the 2010 amendments.
Revises to include only requirements for an STCW endorsement as advanced chemical tanker cargo operations.
Allows mariners serving on tank barges as tankerman-PIC (barge) to qualify for this STCW endorsement
with a limitation to non-self-propelled vessels.
Allows engineer officers serving as tankerman engineer to qualify for this STCW endorsement for certain
tanker operations with a limitation to maintenance and repair of cargo equipment.
Revises the effective date for new mariners to obtain original STCW tanker endorsements from January 1,
2017, to March 24, 2014, in accordance with the provisions of the 2010 amendments.
Revises to include only requirements for an STCW endorsement as advanced liquefied gas tanker cargo
operations.
Allows mariners serving on tank barges as tankerman-PIC (barge) to qualify for this STCW endorsement
with a limitation to non-self-propelled vessels.
Allows engineer officers serving as tankerman engineer to qualify for this STCW endorsement for certain
tanker operations with a limitation to maintenance and repair of cargo equipment.
Revises the effective date for new mariners to obtain original STCW tanker endorsements from January 1,
2017, to March 24, 2014, in accordance with the provisions of the 2010 amendments.
Revises to include only requirements for an STCW endorsement as basic oil and chemical tanker cargo
operations.
Revises the effective date for new mariners to obtain original STCW tanker endorsements from January 1,
2017, to March 24, 2014, in accordance with the provisions of the 2010 amendments.
Adds section to include requirements for an STCW endorsement as basic liquefied gas tanker cargo operations.
Adds the effective date for new mariners to obtain original STCW tanker endorsements from January 1,
2017, to March 24, 2014, in accordance with the provisions of the 2010 amendments.
Adds pilot vessels on pilotage duty to the list of vessels not subject to STCW. Pilots are exempt from
STCW requirements.

§ 11.821 ..........................................
§ 11.903 ..........................................

§ 11.1105 ........................................
§ 12.601 ..........................................
§ 12.601 ..........................................
§ 12.601 ..........................................
§ 12.603 ..........................................
§ 12.607 ..........................................

§ 12.611 ..........................................
§ 12.625 ..........................................
§ 12.627 ..........................................
§ 13.127 ..........................................
§ 13.603 ..........................................

§ 13.605 ..........................................

§ 13.607 ..........................................

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§ 13.609 ..........................................

§ 13.611 ..........................................

§§ 15.105, 15.403, 15.1101 ............

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Cite

Summary of changes

§ 15.401 ..........................................
§§ 15.805, 15.810, 15.820, 15.825,
15.840, 15.845, 15.850, and
15.860.
§ 15.865 ..........................................

Adds implementation date (January 1, 2017) for medical certificates in accordance with STCW Convention.
Includes provisions requiring mariners who serve on vessels subject to STCW to also hold an STCW endorsement appropriate to the tonnage/propulsion power for the vessel upon which he or she is operating.

§ 15.915 ..........................................
§ 15.1103 ........................................

§ 15.1111 ........................................
§ 15.1113 ........................................

Adds manning provision for qualified member of the engine department (QMED).
Explains that QMEDs are required and covered under these manning requirements
This ensures consistency with the STCW Convention.
Removes chief engineer (limited near-coastal) endorsement.
Allows all engineers who currently hold a license as chief engineer (limited near-coastal) to be upgraded to
chief engineer (limited) 1,600 GRT without further sea service or testing requirements.
Includes provisions requiring mariners who serve as able seafarer-deck or able seafarer-engine on vessels
subject to STCW to also hold an STCW endorsement appropriate to the tonnage/propulsion power for
the vessel upon which he or she is operating.
Adds implementation date (January 1, 2017) for medical certificates and for endorsements as able seafarer-deck and able seafarer-engine in accordance with the STCW Convention.
Revises provision regarding records of daily hours of rest for mariners so that mariners must receive a
copy of the records pertaining to them.
Adds requirements for contractors to receive security familiarization and that records be maintained onboard.
Revises implementation date for security personnel to the effective date of this final rule.
Clarifies the progression for security-related training from ‘‘security awareness’’ as the lowest level of training, to ‘‘vessel personnel with designated security duties’’ as the next-higher level of training, to ‘‘vessel
security officer’’ as the highest level of training.
This ensures consistency with the STCW Convention.

VI. Discussion of Comments and
Explanation of Changes

to comments from the public, MERPAC,
or MEDMAC.

In this section, we discuss comments
on the SNPRM and changes made in
response to them. The section consists
of four subsections, the first of which
contains a summary of the changes
made from the SNPRM. Subsection B
follows with a more in-depth discussion
of comments and recommendations
received from the public, MERPAC, and
MEDMAC, together with associated
changes. MERPAC and MEDMAC
recommendations are discussed in
separate groups that appear at the end
of the subsection. Subsection C contains
a discussion of public comments in
response to the MERPAC and the
MEDMAC recommendations. The Coast
Guard announced the availability of
those recommendations in a notice
published in the Federal Register on
November 3, 2011 (76 FR 68202).
Subsection D, entitled ‘‘Additional
Request for Comments’’, contains a
discussion of public comments solicited
by the Coast Guard on six specific issues
in the SNPRM (76 FR 45909).

1. Medical

A. Summary of Changes From the
SNPRM

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77815

The following list provides a brief
description of the major provisions in
this final rule, including changes to the
provisions proposed in the SNPRM. A
detailed explanation of the reasons for
these and other changes can be found in
subsection B of this section, Public
comments on the SNPRM. All of the
changes to the SNPRM described in the
summary below were made in response

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The Coast Guard is changing the
validity period of a medical certificate
issued to a mariner who is serving as a
first-class pilot from 1 year, as proposed
in the SNPRM, to a maximum period of
2 years. The Coast Guard is making this
change in response to comments from
the public, MEDMAC, and MERPAC.
The comments raised concerns that the
Coast Guard would not be able conduct
medical evaluations and issue medical
endorsements in a reasonable amount of
time with a 1-year validity period.
Aligning the validity period of a
medical certificate issued to a first-class
pilot with the validity period of STCW
medical certificates will help to
minimize the numbers of mariners who
will require more frequent medical
evaluation. This change should decrease
the workload on the medical evaluation
staff and help to reduce the possibility
of unreasonable time delays. The
requirement for pilots to obtain annual
physical examinations remains
unchanged.
Additionally, the Coast Guard
received comments requesting clear
direction on implementation of the 2year medical certificate. The 2010
STCW amendments require that
issuance of medical certificates with 2year validity periods be fully
implemented by January 1, 2017.
Accordingly, the Coast Guard is
including that implementation date in
this final rule. To facilitate
implementation, the Coast Guard will

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start issuing 2-year medical certificates
30 days after the publication of this final
rule.
2. STCW Training
The Coast Guard received comments
opposing the increase in on-the-job
training permitted as an alternative to
current implementing policy on
classroom training. Commenters cited
many reasons, including concerns that
the proposed increase would result in
degradation of the competence and
proficiency of U.S. mariners.
Commenters also worried that the
proposed increase might not be practical
because many vessels are currently
minimally manned, and personnel may
not have time to provide more on-thejob training.
The Coast Guard recognizes that the
STCW Convention is competence-based
and not training-based. For this reason,
each administration bears the
responsibility of establishing the
appropriate combination of training and
experience necessary to achieve the
necessary level of competence, and to
establish when and how training must
be accomplished.
The Coast Guard agrees that a more
appropriate balance between on-the-job
training and formal training is required.
Accordingly, the Coast Guard increased
the number of classroom or formal
training topics required for STCW
endorsements in this final rule. These
additional training topics were part of
the extensive list of topics proposed in
the NPRM, which were omitted from the
SNPRM in response to comments
requesting greater opportunities for onthe-job training. This final rule strikes

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an appropriate balance between the two
proposals. This increase in the number
of classroom or formal training topics
does not change the overall cost
estimates presented in the regulatory
analyses because those cost estimates
reflect the costs if all of the training
were formal or classroom training.
Parts 11 and 12 of 46 CFR are
amended to include a combination of
training and in-service requirements
and assessments, to provide mariners
with flexibility, and ensure that
seafarers achieve the level of
competence required for STCW
endorsements. This final rule generally
increases required classroom training
compared to the SNPRM, but the overall
amount of training of all kinds has not
changed. At the same time, this
rulemaking increases flexibility
compared to the SNPRM by providing
for the use of onboard training
programs, approved individual
company training programs, approved
workshop skills training, approved
laboratory training, and where
appropriate, approved simulator
training. We also added an opportunity
for a candidate to complete an approved
program by taking individual courses
offered by different providers. This
change also addresses the concerns that
shipboard factors, including reduced
manning, higher mariner workload, and
mariner fatigue issues, could make it a
challenge for seafarers onboard vessels
to train others.

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3. Utility and Harbor Assist Towing
The Coast Guard is not including the
endorsements for apprentice mate
(steersman) of towing (utility), master of
towing (utility), and master of towing
(harbor assist) that were proposed in the
SNPRM. Public comment raised
sufficient concerns with these
provisions, as discussed below in
‘‘Discussion of Public Comments,’’ that
the Coast Guard wants to seek
additional comment from the industry.
We are currently considering moving
the issue to another rulemaking or
seeking additional input from the
Towing Safety Advisory Committee
(TSAC), which would give the public
additional time to comment on this
matter.
4. Transitional Provisions
Unless specified otherwise, STCW
provisions in this final rule will be
phased in beginning on the effective
date of this final rule with full
compliance required by January 1, 2017.
Additionally, unless specified
otherwise, national endorsement
provisions in this final rule will be
phased in beginning on the effective

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date of this final rule. Individuals
seeking an original credential or raiseof-grade to an existing credential during
this period, who began training or
service before the effective date of this
final rule, need only meet the
requirements in place when they began
training or service. Those individuals
who start training or service on or after
the effective date of this final rule must
meet all provisions described in this
final rule. Changes in terminology on
national endorsements will be made at
the first renewal or raise-of-grade
following the effective date of this final
rule.
Other transitional provisions for
STCW and national endorsement
provisions are discussed below in the
applicable sections of this summary.
5. Chief Engineer (limited near-coastal)
The Coast Guard is removing the
endorsement for chief engineer (limited
near-coastal) currently found in
§ 11.520. We have also removed the
word ‘‘oceans’’ from the remaining chief
engineer (limited) and assistant engineer
(limited) titles in response to
recommendations from the public and
MERPAC that all engineers who
currently hold a license as chief
engineer (limited near-coastal) should
be upgraded to chief engineer (limited)
without further testing requirements.
New applicants for chief engineer
(limited) are required to provide proof
of 2 years of sea service in accordance
with § 11.518 and take the appropriate
examination. Further, we are keeping
the 2-year sea service requirement to
upgrade from assistant engineer
(limited) to chief engineer (limited).
Since the written examination for both
chief engineer (limited) categories are
identical, those mariners going from
chief engineer (limited near-coastal) to
chief engineer (limited) will not be
required to take an examination.
However, a chief engineer (limited nearcoastal) upgrading to chief engineer
(limited) must present at least 1 year of
sea service either as chief engineer
(limited near-coastal), or in combination
with assistant engineer (limited).
Current mariners who hold a chief
engineer (limited near-coastal)
credential may continue to renew that
credential.
6. Articulated Tug Barges (ATBs)
The Coast Guard is making changes in
accepting certain towing vessel service,
including service in inland tug-barge
combinations such as ATBs and
integrated tug barges (ITBs), based on
the aggregate tonnage of the tug and
barge(s) when greater than 1,600 GRT.
We made this change in response to

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comments from the public and
MERPAC, who recommended that the
Coast Guard reconsider its position of
not granting service credit on ATBs
toward an STCW endorsement without
limitation, and adopt a regulation or
policy whereby inland tug-barge
combinations are accepted in computing
license tonnage ratings as they presently
are for ITB and ATB service.
This change will facilitate the towing
industry’s need for career paths to retain
highly-skilled personnel. This service
will be accepted only when properly
documented by the towing company.
7. STCW Applicability
The Coast Guard is exempting pilot
vessels engaged on pilotage duty from
STCW requirements. The Coast Guard
made this change in response to
comments from the public and
MERPAC, who recommended that the
Coast Guard interpret the STCW
Convention to regard pilot vessels as not
being seagoing ships because they
operate ‘‘in waters within, or closely
adjacent to, sheltered waters or areas
where port regulations apply’’ in
accordance with Article II of the STCW
Convention.
We agree that pilot vessels should not
be considered seagoing vessels, and that
persons serving aboard them while
engaged in pilotage duty are exempt
from application of the STCW
Convention. This position is consistent
with the U.S. interpretation of the
STCW Convention, and stating it
explicitly in regulations clarifies the
proper treatment of such vessels and
personnel for mariners and marine
inspectors.
8. Able Seafarer-Deck and Able SeafarerEngine
The Coast Guard is clarifying the
STCW transitional provisions for able
seafarer-deck and able seafarer-engine
endorsements by adding grandfathering
provisions and deadlines for
compliance. We made this change in
response to comments from the public
and MERPAC, who recommended that
the Coast Guard set an effective date for
compliance with those endorsement
requirements that afford affected
mariners and the National Maritime
Center (NMC) enough time to process
the necessary applications. This change
will help facilitate an orderly transition
to full compliance with the new
requirements of the 2010 amendments
by January 1, 2017.
9. STCW Assessments of Competence
The Coast Guard is changing the
STCW endorsement requirements in
§§ 11.301 and 12.601, which will

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provide mariners the opportunity to use
the new STCW training requirements
when applying for credentials. The
Coast Guard made these changes in
response to comments from the public
requesting that onboard and on-the-job
training remain available as an option to
demonstrate proficiency for the
credentialing of mariners.
In addition, the Coast Guard is adding
a new paragraph, § 11.301(g)(4),
providing that persons who hold or
have held an STCW operational-level
endorsement issued prior to the
effective date of this final rule, and are
seeking to upgrade to an STCW
management-level endorsement, will
not be required to do the assessments
for STCW operational-level
endorsements. The Coast Guard made
this change in response to commenters
who were concerned that the SNPRM
would require applicants for
management-level STCW endorsements
who hold domestic management-level
endorsements to provide evidence of
operational-level training and
assessments. The Coast Guard agrees
that these mariners should not be
required to do assessments for STCW
operational-level endorsements because
they will be deemed to have completed
these assessments under the STCW
Convention.

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10. Sea Service Credit for Mariners
Holding National Endorsements on
STCW Vessels
The Coast Guard is further expanding
provisions granting sea service credit
towards STCW endorsements to include
those mariners who hold a national
endorsement and provide proof of
service on vessels to which STCW
applies, whether on inland or coastwise
service. We made this change in
response to comments from the public
and MERPAC, who recommended that
mariners serving on vessels to which
STCW applies, and that engage in
coastwise voyages and inland waters,
should be granted day-for-day service
credit.
This change is applicable to vessels
operating on the Inside Passage between
Puget Sound and Cape Spencer, Alaska.
Service on vessels to which STCW
applies, whether inland or coastwise,
will be credited on a day-for-day basis.
11. STCW Tanker Endorsements
The Coast Guard is including
provisions to allow mariners serving on
tank barges to qualify for an STCW
endorsement with a limitation to nonself-propelled vessels. The Coast Guard
made this change in response to
comments from the public and
MERPAC, who requested that mariners

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who hold an endorsement as
tankerman-PIC (barge) be allowed to
qualify for an STCW endorsement for
advanced oil tanker cargo operations,
advanced chemical tanker cargo
operations, or advanced liquefied gas
tanker cargo operations.
This change is necessary because
these barges operate beyond the
boundary line and are, consequently,
subject to the STCW Code and
Convention. Mariners serving on them
must hold STCW endorsements, and
this change will allow mariners who
hold an endorsement as tankerman-PIC
(barge) to qualify for an STCW
endorsement for advanced oil tanker
cargo operations, advanced chemical
tanker cargo operations, or advanced
liquefied gas tanker cargo operations
provided that they meet the appropriate
sea service requirements and the
standards of competence of the STCW
Code.
The Coast Guard is also including
provisions to allow engineer officers to
qualify for an STCW endorsement for
certain tanker operations with a
limitation to maintenance and repair of
cargo equipment. The Coast Guard made
this change in response to comments
from the public and MERPAC, who
requested that mariners who hold a
national endorsement as tankermanengineer be allowed to qualify for an
STCW endorsement for advanced oil
tanker cargo operations, advanced
chemical tanker cargo operations, or
advanced liquefied gas tanker cargo
operations. The limitation to
maintenance and repair of cargo
equipment is necessary because it aligns
with the duties of a national tankermanengineer endorsement.
Engineers serving onboard tank
vessels subject to STCW are required to
hold a tankerman endorsement. This
change will allow engineer officers
serving on such vessels, who hold or
qualify for a national tankermanengineer endorsement, to qualify for an
STCW endorsement for advanced oil
tanker cargo operations, advanced
chemical tanker cargo operations, or
advanced liquefied gas tanker cargo
operations without having to complete
the onboard assessment requirements
for tankerman-PIC.
In addition, the Coast Guard will
accept service onboard some ATBs
toward the national and STCW
tankerman endorsements, provided the
ATB equipment is equivalent to
comparable tankship equipment. The
Coast Guard made this change in
response to comments from the public
and MERPAC, who requested that
mariners receive credit for service
onboard ATBs, taking into account that

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77817

new ATBs have cargo-handling
equipment identical to the equipment
on tankships. This change is necessary
to ensure career paths remain available
and to facilitate the use of new ATBs as
qualifying platforms for tankerman
endorsements.
The Coast Guard is amending
applicable sections in 46 CFR part 13 to
correct the date by which mariners must
meet the new STCW requirements to
obtain original tanker endorsements
from January 1, 2017, to the effective
date of this final rule, in accordance
with the provisions of the STCW 2010
amendments. After the effective date of
this final rule, all seafarers applying for
an original tankerman endorsement
must meet those requirements. These
corrections are necessary to maintain
consistency with 46 CFR parts 11 and
12, and we made them in response to
comments requesting clarification of
effective dates.
12. Offshore Supply Vessel (OSV)
Endorsements
The Coast Guard is making changes to
the national OSV endorsements for both
deck and engineer officers in response
to comments from the public objecting
to inconsistencies between national and
STCW endorsements. We are changing
the OSV endorsements for both deck
and engineer officers by separating the
national and STCW credentials to
ensure consistency with other
requirements. The exemption from
meeting the STCW requirements in the
existing regulations remains unchanged.
Additional changes to national OSV
endorsements include: (1) Revisions to
sea service requirements for OSV
endorsements to make those
requirements comparable to other
credentials; (2) the option to complete
an approved course for a mate or
assistant engineer to meet the sea
service requirements; and (3) the
progression from vessels less than 1,600
GRT/3,000 GT to more than 1,600 GRT/
3,000 GT for chief mate and master.
The change described in (3) above
addresses Section 617 of the Coast
Guard Authorization Act of 2010 (Pub.
L. 111–281) and its removal of the 500
GRT tonnage limits on OSVs. These
amendments will ensure that mariners
with existing licenses or MMCs can
progress to higher credentials.
13. Security
The Coast Guard is making changes to
the security requirements in parts 12
and 15 in response to comments
expressing concern that the SNPRM did
not include all of the requirements and
different means of compliance,
commonly referred to as ‘‘flexibilities’’,

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contained in the Convention. The Coast
Guard agrees. Based on comments to the
SNPRM, the Coast Guard included
additional security provisions in this
rulemaking, which are described below,
to better facilitate an orderly transition.
In addition, after the development of
the SNPRM, the IMO published Circular
STCW.7/Circ.17 in June 2011, advising
administrations and port state control
authorities that mariners may comply
with section 13 of the International Ship
and Port Facility Security (ISPS) Code
instead of Regulation VI/6 of the STCW
Convention until January 1, 2014. The
Coast Guard has added a provision in
this final rule consistent with the
circular, but amended the date to the
effective date of this final rule, to
facilitate mariner compliance with the
new requirements.
The Coast Guard is making changes to
the security provisions in part 15 to
clarify that all contractors, whether parttime, full-time, temporary, or permanent
are required to have knowledge of the
security topics listed in 33 CFR 104.225,
either through training or equivalent job
experience. The Coast Guard is making
this change in response to comments
from the public and MERPAC indicating
a potential for misinterpreting this
requirement as not covering contractors
or passenger vessels. The 2010
amendments to the STCW Convention
(Section A–VI/6) require that all persons
employed or engaged on a seagoing ship
receive security familiarization. The
term ‘‘all persons’’ includes seafarers
and other personnel, including
contractors, whether part-time, fulltime, temporary, or permanent.
In addition, the Coast Guard is
making changes to the security
application requirements in order to
clarify that Regulations VI/5 and VI/6 of
the 2010 amendments apply only to
vessels of 500 GT or more. The STCW
security requirements only apply to
vessels subject to the STCW
Convention—which are vessels
operating beyond the boundary line—
except for those vessels listed in
§ 15.1101 of this final rule. The Coast
Guard is making this change in response
to comments from the public and
MERPAC questioning the proper
application of the tonnage limitation
required by the STCW Convention. The
security requirements in the STCW
Convention are meant to support the
requirements of the ISPS Code, which
applies to vessels of 500 GT or more.
Additionally, the Coast Guard is
changing transitional provisions for
security awareness and for seafarers
with designated security duties by
adding grandfathering provisions and
deadlines for compliance. The Coast

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Guard is making this change in response
to comments from the public and
MERPAC requesting greater clarity on
the subject. This change will help
mariners meet the implementation date
requirements of the 2010 amendments,
and will provide mariners further
flexibility by allowing them to obtain an
STCW endorsement when they have
completed a Coast Guard-approved
course and/or can provide proof of
service onboard vessels. In accordance
with Section A–VI/6 of the STCW
Convention, these transitional
provisions will only be available until
March 24, 2014.
The Coast Guard also added a
provision permitting mariners to satisfy
the security-related training
requirements in Regulation VI/6 of the
2010 amendments by complying with
33 CFR 104.220 and 104.225. The Coast
Guard made this change in response to
a recommendation from IMO Circular
STCW.7/Circ.17, published in June
2011, advising Administrations and port
state control authorities that mariners
may comply with section 13 of the ISPS
Code instead of Regulation VI/6 until
January 1, 2014. However, the Coast
Guard has amended the date to the
effective date of this final rule. The
Coast Guard has determined that
requirements in 33 CFR 104.220 and
104.225 meet the requirements of
section 13 of the ISPS Code and is
amending § 15.1113 accordingly. This
change will promote an orderly
transition and help ensure that mariners
meet the implementation date
requirements.
The Coast Guard is making changes to
clarify that the security training
requirements in the STCW Convention
and Code were developed as a
progression where ‘‘security awareness’’
is the lowest level of training, ‘‘vessel
personnel with designated security
duties’’ is the next-higher level of
training, and ‘‘vessel security officer’’
(VSO) is the highest level of training.
The Coast Guard agrees with comments
from the public and MERPAC
suggesting that mariners with a higher
level of training should be allowed to
serve in positions that require a lower
level of training. Under this system, for
example, mariners who completed VSO
training would be eligible for any
position with a security training
requirement at the VSO level or lower.
14. Course Approvals
The Coast Guard is changing § 10.402
regarding course approvals in order to
implement the IMO model course
format and terminology. We made this
change in response to comments from
the public and MERPAC, who

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recommended that the Coast Guard
minimize administrative burden and
cost on training providers by requiring
only the information currently required
for IMO model courses.
This change will retain an existing
industry practice to use the IMO model
course format and terminology for the
submission of requests for Coast Guardapproved courses. This change will also
allow minor modifications to courses to
be submitted to the Coast Guard for
review without requiring training
providers to resubmit the entire course.
15. Quality Standards System (QSS)
In response to comments from
MERPAC and the public, the Coast
Guard is amending the proposed QSS
requirements to include ISM, which is
an additional industry-wide system, as
an alternate means of compliance with
one or more of the QSS provisions. The
Coast Guard agrees with these
comments because it recognizes that
overlapping ISM and QSS requirements
allow use of ISM as an alternative to
certain corresponding QSS
requirements.
Additionally, the Coast Guard is
including a deadline for implementation
of the QSS requirements. We made this
change in response to a commenter who
requested clarification of the
implementation deadline. This
transitional provision will help ensure
that all courses, programs, and training
creditable towards STCW will meet the
requirements of a QSS by January 1,
2017.2
16. Post-Dating of Credentials
The Coast Guard is changing § 10.205
regarding post-dating of credentials, by
reducing the permissible post-dating of
an MMC renewal from 12 months to 8
months after the date that the Coast
Guard accepts a complete application.
This change is in accordance with § 614
of the Coast Guard Authorization Act of
2010 (Pub. L. 111–281) (as codified in
46 U.S.C. 7302), which only allows
post-dating of credentials for up to 8
months.
In addition, the Coast Guard has
amended § 10.205 to require automatic
post-dating with the option for
immediate issuance. The Coast Guard
made this change in response to
commenters who requested that the
Coast Guard ensure that post-dating is
automatically completed for every
renewal.
2 We are aligning this deadline with the
implementation of the training requirements in this
rulemaking in order to provide industry with ample
opportunity to implement the change.

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17. Retention of Cash Payment for User
Fees
The Coast Guard is not including the
provisions proposed in § 10.219 of the
SNPRM, which would have required
user fees to be paid by credit card or
electronic payment only. This proposed
change would have eliminated the
ability for mariners to pay user fees by
cash or to attach a check or money order
to their application package. Public
comment raised concerns that mariners
should not be forced to pay by credit
card and that not all mariners have
credit cards.
The Coast Guard agrees, is not
including this proposed requirement,
and will continue to accept cash,
checks, and money orders, as well as
credit cards and electronic payments for
MMCs and associated endorsements.
The Coast Guard has amended § 10.219
accordingly.

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18. Academy Sea-Service Equivalency
The Coast Guard is amending § 10.232
to include sea service credit for cadets
serving onboard academy training ships
where sea service is part of an approved
training program. The Coast Guard
made this change based on a comment
recommending that the Coast Guard
grant 11⁄2 days of sea service credit for
each day a cadet serves aboard an
academy training ship where sea service
is part of an approved training program.
This change is consistent with the
Coast Guard’s existing practice of
crediting academy training ship sea
service reported to the International
Maritime Organization. To maintain
consistency, the Coast Guard is making
a similar revision to the definition of
‘‘day’’ in § 10.107.
19. Qualified Assessor (QA) Approval
The Coast Guard is amending the
definition of ‘‘Qualified Assessor’’ in
§ 10.107 in order to clarify this person’s
role and professional development. We
made this change in response to
comments from the public and
MERPAC, who requested clarification of
QA training requirements and approval.
This change ensures that any person
serving as an assessor for STCW
endorsements has demonstrated the
requisite level of competence in the task
for which the assessment is being made,
and has been individually approved by
the Coast Guard.
For the same reasons, the Coast Guard
is also adding a provision requiring QAs
who renew their qualifications to
provide evidence of experience,
training, or instruction within the past
5 years.
In response to the same comment, the
Coast Guard is also amending § 10.405

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to ensure that QAs are trained in proper
assessment techniques and have
completed an ‘‘assessor training’’ course
as part of an accepted training program.
This topic will be further discussed in
the guidance the Coast Guard is
developing concerning QAs.
20. Endorsement for Mate of Ocean SelfPropelled Vessels of Less Than 200 GRT
In response to a commenter’s request,
the Coast Guard is including an
endorsement in § 11.425 for mate of
ocean self-propelled vessels of less than
200 GRT. We made this change to
provide a path of progression to master
of oceans self-propelled vessels of less
than 200 GRT, and in accordance with
Regulation II/3 of the STCW
Convention.
21. Electro-Technical Officer/Rating
The Coast Guard is amending § 11.335
and § 12.611 to include additional
training topics appropriate for an STCW
endorsement for an electro-technical
officer and electro-technical rating. We
made this change in response to
commenters who requested clarification
of STCW training and grandfathering
requirements applicable to these
endorsements. In addition, § 11.335 and
§ 12.611 are amended to clarify the
grandfathering provisions applicable to
these endorsements in accordance with
the 2010 amendments of the STCW
Convention.
22. Manning
In response to commenters’ requests,
the Coast Guard has included provisions
in 46 CFR part 15, subpart H, requiring
mariners who serve on vessels subject to
STCW to also hold an STCW
endorsement appropriate to the
tonnage/propulsion power for the vessel
upon which he or she is operating. This
change ensures consistency with
domestic manning requirements and
avoids confusion or disagreement with
port state inspectors regarding which
mariners on U.S. vessels must hold
STCW endorsements.
B. Public Comments on the SNPRM
The Coast Guard received more than
900 comments in response to the
SNPRM published on August 1, 2011.
These comments consist of letters to the
docket, remarks at the public meetings
in Miami, New Orleans, Seattle, and
Washington, DC, comments submitted
by MERPAC, and comments submitted
by MEDMAC. The following discussion
contains an analysis of comments
received and an explanation of any
changes made to the rule as proposed in
the SNPRM.

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77819

Several comments note grammatical
and non-substantive errors in the
SNPRM. The Coast Guard has
incorporated these comments, where
appropriate, without further discussion.
1. Comment Period
Thirty-two commenters request that
due to the complexity and broad ranging
impacts of this rulemaking, the Coast
Guard extend the comment period
beyond the 60 days given in the SNRPM
to permit the necessary comprehensive
review of the provisions.
The Coast Guard disagrees. The 2010
amendments to the STCW Convention
came into force on January 1, 2012. As
a signatory State to the Convention, the
U.S. needed to demonstrate by that date,
or as soon as possible thereafter, that it
remains in compliance with its
requirements to minimize the risk of
U.S. flag vessels being detained in
foreign ports. However, while we did
not extend the original comment period,
we provided an additional 30-day
comment period that closed on
December 5, 2011 to respond to
MERPAC and MEDMAC
recommendations (76 FR 68202).
2. Definitions
Two commenters recommend that the
Coast Guard amend the definition of
‘‘Coast Guard-accepted’’ because the
commenters believe the proposed
definition does not take into account
Coast Guard-accepted training for
instructors, supervisors, or assessors
(i.e., Train-The-Trainer courses) or other
types of training that are accepted by the
Coast Guard to meet the familiarization
training requirements of the STCW
Convention.
The Coast Guard disagrees. The
definition in § 10.107 would include
this training even though particular
types of training are not explicitly set
out in the definition.
Five commenters recommend that the
Coast Guard amend the definition of
‘‘day.’’ In their view, the definition for
a day should be the same for vessels of
every tonnage. If it is a condition of
employment to work 12 hours a day,
then the mariner should receive 11⁄2
days of sea service even if working on
a vessel less than 100 gross tons.
The Coast Guard agrees in part. The
definition of day already includes
language that vessels allowed to work
12-hour days as defined in the U.S.
Code will receive 11⁄2 days sea service
credit. However, changes to regulations
on this subject are limited by statutory
restrictions on the type and tonnage of
vessels and the number of watches that
may be run. Accordingly, the definition
of day permits mariners who work 12-

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hour days to receive 11⁄2 days of seaservice credit, to the extent permitted by
statute.
One commenter recommends that the
Coast Guard amend the definition for
‘‘domestic officer endorsement’’ to
provide that the holder of an MMC with
this endorsement will be restricted to
service on vessels on domestic voyages
only.
The Coast Guard disagrees. Vessel
manning requirements are specified in
part 15 and it would be inappropriate to
include them in the definition of the
endorsements.
Two commenters recommend that the
Coast Guard change the term ‘‘domestic
officer endorsement’’ to ‘‘national
officer endorsement’’ and ‘‘domestic
rating endorsement’’ to ‘‘national rating
endorsement’’ to avoid confusion with
usage of the term ‘‘domestic’’ in other
phrases used throughout the SNPRM.
The Coast Guard agrees, and has
changed ‘‘domestic endorsement’’ to
‘‘national endorsement’’ to eliminate
confusion.
Thirteen commenters recommend that
the Coast Guard amend the definition of
‘‘domestic voyage’’ to include voyages
between Washington State and Alaska
through the Inside Passage or Mexico
and the United States.
The Coast Guard agrees, and has
amended the definition to include
voyages beginning and ending at a U.S.
port and passing through the waters of
another country if the U.S. has entered
into a treaty or agreement with that
country.
One commenter recommends that the
Coast Guard amend the definition of
‘‘increase in scope’’ by citing a few
examples. The commenter states that
this would help avoid confusion
between this term and ‘‘raise of grade.’’
The Coast Guard agrees. The key
distinction between the two definitions
is ‘‘existing credential.’’ The Coast
Guard has amended both definitions for
clarity by adding examples.
Two commenters state that the
definitions of ‘‘limited’’ and ‘‘restricted’’
are very similar and should each be
more clearly defined to avoid confusion.
The Coast Guard agrees in part. The
Coast Guard recognizes that the two
terms have been used interchangeably
in the past and that there is no
consistency in the use of the terms in
relation to the title of the credential. The
Coast Guard is of the opinion that all
limited endorsements or credentials
have inherent in their qualifications
some sort of constraint which reduces
the authority of the credential.
Therefore, to avoid confusion, the Coast
Guard is deleting, rather than further
defining, the two definitions because

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the terms have the same meaning as in
standard English language usage. Five
commenters recommend that the Coast
Guard amend the definition of ‘‘nearcoastal’’ by adding the following
sentence: ‘‘While a near-coastal
endorsement does not preclude its use
in another Administration’s waters, that
endorsement is limited to the nearcoastal waters as determined and
accepted by the local administration.’’
The Coast Guard agrees in part.
Amending the definition of ‘‘nearcoastal’’ is not necessary because a
foreign administration would not be
bound to honor such a provision in the
Coast Guard’s regulations absent an
agreement with the United States. The
Coast Guard, however, has amended the
definition of ‘‘domestic voyage’’ to
include voyages beginning and ending
at a U.S. port and passing through the
waters of another country if the U.S. has
entered into a treaty or agreement with
that country.
Two commenters recommend that the
Coast Guard amend the definition of
‘‘overriding operational condition’’ so
that the intent and its use are not abused
or over applied.
The Coast Guard disagrees. Because
the definition comes directly from the
STCW Convention and the meaning of
the phrase is straightforward, adopting
it in U.S. regulations is not
discretionary. Additionally, the
definition was written with the
flexibility necessary to embrace
unforeseen circumstances, which
cannot all be listed in this final rule.
Three commenters recommend that
the Coast Guard amend the definition of
‘‘passenger vessel’’ in § 11.1103. The
commenters expressed concern that all
provisions of Regulation V/2 of the
STCW Convention and A–V/2 of the
STCW Code will be imposed on
passenger vessels, when some of the
provisions are clearly applicable only to
roll-on/roll-off (Ro-Ro) passenger
vessels.
The Coast Guard agrees in part. The
2010 amendments to the STCW
Convention and Code consolidated
passenger vessel requirements, which
are applicable to seafarers serving on
Ro-Ro passenger vessels. The 2010
amendments also consolidated the
requirements applicable to seafarers
serving on passenger vessels other than
a Ro-Ro passenger vessel. The
application of the 2010 amendments is
based on the responsibilities of the
seafarer onboard the vessels and the
type of vessel they served on: (1)
Personnel assisting passengers in
emergency situations must complete
crowd management training; (2)
personnel providing direct service to

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passengers in passenger spaces onboard
passenger vessels shall have completed
the safety training; (3) personnel with
designated responsibility for the safety
of passengers in emergency situations
onboard passenger vessels must have
completed approved training in crisis
management and human behavior; and
(4) personnel assigned immediate
responsibility for embarking and
disembarking passengers, loading,
discharging or securing cargo, or closing
hull openings onboard Ro-Ro passenger
vessels shall have completed approved
training in passenger safety, cargo safety
and hull integrity. To avoid confusion
and facilitate the implementation, the
Coast Guard has amended § 11.1105 to
specify the types of training necessary.
One commenter recommends that the
Coast Guard amend the definition of
‘‘Quality Standard Systems or QSS’’ as
it is too vague.
The Coast Guard disagrees. The QSS
definition derives from established
quality system practices. The provisions
in § 10.410 provide further information
on the specific elements of the QSS. The
Coast Guard will be developing
additional guidance on the
implementation of the QSS.
Three commenters recommend that
the Coast Guard amend the definition of
‘‘rest.’’ In their view, the requirement to
record periods of rest either should be
placed on the mariner, or be removed in
its entirety because employers cannot
assure that their mariners actually rest
when they are away from the workplace.
The Coast Guard disagrees, and is
retaining the existing definition for
‘‘rest’’ in § 10.107. The definition for
‘‘rest’’ is consistent with the STCW
convention. The phrase ‘‘and is allowed
to sleep without interruptions’’ in the
definition does not imply that the
master needs to force the mariner to
sleep, but that the mariner is afforded
time for rest and allowed to sleep. The
2010 amendments to the STCW
Convention, specifically Section A–VIII/
1, paragraph 7, require that records of
daily hours of rest be maintained
onboard the vessel. This final rule does
not specify who is responsible for
recording rest periods because that
determination is within the discretion of
each vessel master.
One commenter recommends that the
term ‘‘sailor’’ be defined in § 10.107
rather than in a portion of a specific
regulation (§ 15.705).
The Coast Guard disagrees. Because
the Coast Guard’s reference to ‘‘sailor’’
is clarified solely for the purpose of part
15, inclusion of the definition in
§ 10.107 would be inappropriate.
One commenter recommends that the
Coast Guard amend the definition of

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‘‘seagoing service’’ to include service on
the Great Lakes and inland waters.
The Coast Guard disagrees. The
definition is intentionally a general one.
The specific requirements for sea
service, which may be earned on the
Great Lakes and inland waters, and the
individual requirements for each
credential, are detailed in § 10.232.
One commenter asks for clarification
of the definition of ‘‘seagoing service.’’
The commenter asks if it is the Coast
Guard’s intent that a mariner serving on
a vessel that is crewed-up, capable, and
occasionally operates outside the
boundary line, will receive all seagoing
service.
The Coast Guard has expanded the
sea service credit requirements in
§ 10.232 to ensure mariners operating on
inland and Great Lakes waters can get
credit toward an STCW credential.
Therefore, even if the vessel has time on
both ocean-going and inland waters,
credit will be awarded accordingly.
One commenter recommends that the
Coast Guard amend the definition of
‘‘senior company official’’ by replacing
the phrase ‘‘a lower level employee’’
with ‘‘a person designated.’’
The Coast Guard agrees and has
changed ‘‘lower level employee’’ to
‘‘another employee.’’
One commenter recommends that the
Coast Guard define the term ‘‘training
ship’’ in § 10.109.
The Coast Guard disagrees. A
‘‘training ship’’ as used in
§ 12.601(b)(1)(ii) is determined by
whether or not, and to what extent, the
vessel is used as part of an approved
program.
Twenty-seven commenters
recommend that the Coast Guard delete
part (2) of the proposed definition of
‘‘utility towing.’’ They pointed out that
TSAC did not recommend part (2), and
the proposed definition appears to
conflict with the Coast Guard
Commandant’s ruling in a 2009 USCG
District 7 Appeal.
The Coast Guard agrees that further
consideration is necessary. Therefore,
the Coast Guard is not including the
proposed new endorsements for utility
towing and harbor assist, and the
definition for ‘‘utility towing.’’ Instead,
we are retaining the existing definition
of ‘‘disabled vessel.’’
Two commenters recommend that the
Coast Guard amend the term ‘‘vessel
personnel with security duties’’ to
‘‘vessel personnel with designated
security duties,’’ saying that using the
latter phrase as it will appear on the
MMC endorsement will add consistency
and clarity.
The Coast Guard agrees and has
added ‘‘designated’’ to the definition.

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The amended definition is consistent
with the 2010 amendments to the STCW
Convention.
Two commenters recommend that the
definition of ‘‘vessel personnel with
security duties’’ should state ‘‘those
with duties as defined in the vessel’s
security plan or Alternate Security
Program.’’ In their view, clarification is
needed so that the skills and abilities an
employee brings to the job may be
recognized as equivalent to training.
The Coast Guard agrees. The Coast
Guard is revising the definition ‘‘vessel
personnel with designated security
duties’’ to harmonize it with the
guidance in Section B–VI/6 of the
STCW Code and to ensure consistency
with the requirements in 33 CFR
104.220 and 104.225. The expression
‘‘with designated security duties’’
denotes those having specific security
duties and responsibilities in
accordance with the vessel security
plan. The Coast Guard has also
amended the requirements in §§ 12.625
and 15.1113 to ensure that the term
‘‘vessel personnel with designated
security duties’’ is used throughout.
One commenter recommends that the
definition of ‘‘Vessel Security Officer or
VSO’’ be amended to ‘‘Vessel Security
Officer or VSO means a person onboard
the vessel accountable to the master,
designated by the Company as
responsible for security of the vessel,
including implementation and
maintenance of the Vessel Security
Plan, and for liaison with the Facility
Security Officer and the vessel’s
Company Security Officer.’’
The Coast Guard disagrees. The
requirements for VSOs in § 11.352 are
intended to meet the requirements of
the STCW Convention. The definition
provided in § 10.107 is consistent with
the definition in the STCW Convention.
One commenter objects to the Coast
Guard changing the format of the
definition of ‘‘Western Rivers.’’
The Coast Guard disagrees. Although
the format of the definition was changed
from a single paragraph of text to a
numbered list, there was no substantive
change to the current definition.
3. Medical
One commenter notes that MMCs are
valid for 5 years, yet the medical
certificates for STCW endorsements are
to be updated every 2 years. The
commenter poses five questions:
(1) Will the mariner be required to
renew his or her STCW endorsements
with the Coast Guard every 2 years
when the medical certificate is
renewed?

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No, the medical certificate will be
managed as a separate stand-alone
document.
(2) Will there be an expiration date
within the MMC under the international
pages for their physical every 2 years?
No, the medical certificate will be
managed as a separate stand-alone
document.
(3) Who will track this information if
it is not indicated in the MMC?
As with all credentials, it is
incumbent upon the mariner to track
whether his or her credential is valid.
Additionally, it is the responsibility of
the company, operator, or master to
ensure that persons serving on a vessel
hold valid documents, see § 15.401.
(4) How will the requirement be
enforced?
This will be enforced through regular
inspections, boardings, and company/
master verification. It is the
responsibility of the company, operator,
or master to ensure that persons serving
on a vessel hold valid documents, in
accordance with § 15.401.
(5) Will the National Maritime Center
(NMC) be able to handle the additional
work load associated with a 2-year
physical as required by the STCW 3?
It is expected that the NMC will be
able to handle the additional workload
through a clarification of medical
guidelines. Additionally, with more
frequent exams there should be the
ability to have additional flexibility
with certain medical conditions.
Although additional funding to support
personnel and credentialing activities at
the NMC is one of the Coast Guard’s
many budget priorities, in the absence
of additional funding the Coast Guard
will continue to evaluate its limited
resources and seek efficiencies to best
handle the additional workload.
One commenter notes that the
requirement for ‘‘Medical certificates/
endorsements issued to a mariner who
is serving as a first-class pilot, or acting
as a pilot under § 15.812 of this
subchapter, to be issued for a maximum
period of 1 year’’ is inconsistent with
Navigation Vessel Inspection Circular
(NVIC) 8–94 which indicates that the
annual physical exam is only required
if serving on vessels greater than 1,600
GRT.
To ensure consistency with 46 U.S.C.
7101(e)(3) and to avoid any ambiguity,
the Coast Guard has amended
3 Mariners with significant medical conditions are
encouraged to submit documentation at least 6
months in advance in order to obtain a credential
prior to expiration. Other mariners may submit as
late as two weeks prior to expiration of the
certificate. 46 U.S.C. 7507 and 7508 (see Public Law
112–213, § 306) authorizes the extension of
credentials and medical certificates for up to 1 year.

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§§ 11.709(b), 11.709(d), and 15.812 for
clarity as recommended by the
commenter.
One commenter recommends that the
Coast Guard amend the proposed
regulations to provide that pilots be
issued 2-year, rather than 1-year,
medical certificates. In the commenter’s
view, such a change would not impact
public or navigation safety and would
provide much needed administrative
and workload relief to the Coast Guard’s
medical review program staff at the
NMC.
The Coast Guard agrees and has
amended § 10.301(b)(2) accordingly.
One commenter believes that this
rulemaking is an opportunity to
improve marine safety, if implemented
effectively. In the commenter’s view, 5
years between medical certifications
among an aging workforce is not
practical. While the direct impact from
incidents that are due to medical
conditions is unclear from Coast Guard
and National Transportation Safety
Board statistics, most operators know it
is a major concern, the commenter says,
and if established effectively, a new
system that better tracks mariner fitness
will have major positive effects on
keeping mariners and the public safe.
Additionally, two commenters believe
that additional clarification is required
regarding the extent of training, the
approval process, and the bodies that
would be accepted for the licensing of
these designated medical examiners
(DME) by the Coast Guard.
The Coast Guard disagrees that more
frequent medical certificates for all
mariners are needed. The Coast Guard is
establishing within this rule the process
to issue limitations, restrictions, and
waivers for medical conditions, which
will allow the Coast Guard to track
mariner fitness where necessary.
Provisions in this final rule will allow
for the use of DMEs in the future. Plans
are underway for the development of a
DME Program, which will address the
information sought by this commenter,
and the Coast Guard will issue future
guidance on this program. During the
development of that guidance, the
public will be invited to participate to
ensure the creation of the best possible
system.
One commenter requests that cadets
issued endorsements as ‘‘cadet (deck) or
cadet (engine)’’ who are enrolled in an
approved 4-year academy training
program and who have obtained a
medical certificate, not be required to
obtain another medical certificate until
they complete their training and apply
for their original MMC as Officer in
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(OICNW) or Officer in Charge of an
Engineering Watch (OICEW).
There are no medical requirements for
the ‘‘cadet’’ endorsement in parts 10 or
12 of this final rule. Cadets will not be
entitled to receive an STCW
endorsement until successful
completion of the training program.
Six commenters support the inclusion
of the ‘‘designated medical examiner’’ to
the list of those who can complete a
mariner’s physical exam, but do so with
concern. They caution not to develop a
system that relies too heavily on these
designated personnel, which may
require a mariner to travel great
distances for a physical examination.
The Coast Guard agrees. As
previously noted, plans for the
development of a DME Program are
underway. Changes in this rulemaking
will allow for the use of DMEs in the
future. The Coast Guard will issue
future guidance for the DME Program.
One commenter states that, due to the
complexity of the mariner’s physical
exam, he would not be in favor of the
DME being anything other than a
licensed medical doctor or licensed
nurse practitioner.
The Coast Guard agrees in part. We
believe that the physician’s assistant has
the necessary training and knowledge to
conduct a physical examination. Midlevel provider utilization for fitness
examinations has been previously
implemented with other transportation
agencies, such as the Federal Motor
Carrier Safety Administration.
Furthermore, the DME program has
not been developed. During the
development process, the public will be
invited to participate to ensure the
creation of the best possible system.
Three commenters note that in
§ 15.401(c), the proposed regulation fails
to specify an effective date. As it will
take mariners and the Coast Guard time
to process the required medical
examinations and to issue these
certificates/endorsements, the
commenters recommend a phase-in
period be specified in the final rule as
recommended by STCW 7/Circ.16.
The Coast Guard has included an
implementation date in §§ 15.401 and
15.1103. Compliance with the 2010
amendments to the STCW Convention
and Code requires that full
implementation of the issuance of
medical certificates is achieved by 2017.
To facilitate implementation, the Coast
Guard will start issuing 2-year medical
certificates 30 days after the publication
of this final rule.
Three commenters state that, with
regard to § 15.401(f), this is an
improvement over current practice and
is strongly supported.

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The Coast Guard agrees, and this
section remains unchanged from the
SNPRM.
Three commenters state that, with
regard to the demonstration of physical
ability, the Coast Guard has removed the
section which allows those applying for
entry level positions to demonstrate
physical ability, rather than undergo a
complete physical examination. The
commenters recommend that this
section be reinserted.
The Coast Guard agrees, and the text
is now included in § 10.304(d)(1)(ii).
Two commenters recommend that the
Coast Guard consider publishing a list
of acceptable eye tests for Engineers that
meet the four-color standard.
The Coast Guard agrees, and has
added a new sentence at the end of
§ 10.305: ‘‘The Coast Guard will accept
Farnsworth D–15 Hue Test as a color
vision test to meet the requirements of
this subparagraph.’’ This test is part of
Commission Internationale de l’Eclarage
Color Vision Report as part of the
recommended testing to qualify for
Standard 3. Additionally, the Coast
Guard will publish guidance on
additional acceptable tests.
One commenter requests that the
Coast Guard consider working with the
U.S. Department of Transportation
(DOT) to develop common medical
certificate standards. He also
recommends that the Coast Guard
accept the results of medical tests
conducted in accordance with other
agency regulations.
There are no current plans for the
Coast Guard to combine medical
credentialing with the other
transportation agencies. We are
currently working with other agencies
on a limited basis to improve our
medical credentialing process and
guidelines.
Thirteen commenters recommend
that, with regard to Medical
Certification—subpart C, the Coast
Guard delay implementation of issuing
medical certificates/endorsements for a
maximum period of 2 years until the
NMC can be properly staffed with
trained medical doctors for reviewing
medical documents.
The Coast Guard disagrees. Immediate
implementation of the STCW 2-year
medical certificate is a requirement set
by the 2010 amendments to the STCW.
One commenter states that, with
regard to § 10.231(c)(8), the Coast Guard
must clarify that physicals are still valid
for 3 years on a license upgrade.
The Coast Guard agrees in part. The
3-year validity of the physical for
license upgrade is only applicable to
national endorsements. This is no
longer applicable for the issuance of

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STCW credentials, since the medical
certificate is valid for only 2 years. The
Coast Guard has amended § 10.231
accordingly to ensure clarity.
One commenter notes that
§ 10.301(b)(1) states that medical
certificates/endorsements issued to a
mariner serving under the authority of
an STCW endorsement will be issued
for a maximum period of 2 years unless
the mariner is under the age of 18, in
which case the maximum period of
validity will be 1 year. The commenter
asks what policy and/or procedures will
be implemented to ensure that those
sailing on the Great Lakes will not have
their renewal applications delayed
because the evaluators will be unaware
that Great Lakes service will not require
a biennial physical, in accordance with
§ 10.301(b)(3).
The STCW Convention does not apply
to the Great Lakes; therefore, mariners
applying for a medical certificate to
serve on these vessels will be issued a
5-year medical certificate. The Coast
Guard will develop guidance for the
medical evaluators to ensure that the
correct requirement is applied to the
mariner’s application.
Twelve commenters note that the
term ‘‘medical certificate,’’ used
throughout the rulemaking, is not
defined. If it is envisioned that this
would be a document separate from a
mariner’s credential issued by the NMC,
the commenters recommend that the
item be removed until it can be fully
defined.
The Coast Guard agrees in part.
Implementation of a 2-year medical
certificate is a requirement set by the
2010 amendments to the STCW. A new
definition has been added in § 10.107.
Two commenters believe that it is
wrong to determine the medical fitness
of mariners remotely, based upon the
submission of medical records and tests
to an evaluator who has not physically
examined the mariner. The commenters
believe that a process which isolates the
evaluator from the mariner results in
excessive and expensive medical
testing, and lengthy time delays in
processing licenses that can interfere
with the mariner’s ability to rejoin their
vessels for scheduled assignments.
Two other commenters state that the
new requirement on medical examiners
to be Coast Guard certified raises
concerns with accessibility, since many
mariners live in isolated Alaskan
communities and currently use local
health care professionals for merchant
marine physicals. The commenters
expect additional expenses for
crewmembers from small coastal
communities who will need to travel
farther for the new biennially required

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Coast Guard physicals. The commenters
recommend that the Coast Guard either
remove the Coast Guard certification
requirement from this definition or
make a simple, fair, and cost-effective
certification process for the limited
number of Alaskan medical providers.
Plans for the development of a DME
program are underway. Provisions in
this final rule allow for the use of DMEs
in the future. The Coast Guard is
reviewing programs used by other
agencies and foreign administrations
when developing the maritime model.
The Coast Guard will issue future
guidance for the DME program.
Additionally, it is envisioned that
mariners will retain the option to use
personal medical providers qualified
under § 10.302, which is expected to
mitigate the impacts on mariners in
remote locations.
One commenter recommends that,
with regard to § 10.301, the Coast Guard
define what exam requirements IMO
and the International Labour
Organization (ILO) deem necessary for
the 2-year medical exam and consider a
modified or limited exam focused on
these specific requirements, along with
significant changes in health history and
medications. This limited exam would
be conducted as an interval exam in
between the 4- or 5-year complete (Coast
Guard Form CG–719K) physical exam.
The Coast Guard disagrees. The
examination and reporting requirements
in the rule match those from STCW,
which requires medical exams every 2
years. The Coast Guard will continue to
use one set of forms, the CG–719K and
CG–719K/E forms, which contain the
exam requirements for all U.S. medical
examinations irrespective of the validity
dates.
One commenter notes that proposed
§ 10.304(b) (current § 10.215(d)(2)) states
that applicants for food-handler
endorsement must obtain a statement
from a licensed physician, physician
assistant, or nurse practitioner attesting
that they are free of ‘‘communicable
diseases.’’ The commenter notes that,
aside from the fact that there is no
definition provided in 46 CFR part 10
for communicable diseases, this
requirement is way too broad and makes
it very unclear as to what the physician
needs to be looking for.
The Coast Guard agrees and has
added a definition of ‘‘communicable
diseases’’.
Twelve commenters note that when a
mariner submits an application for
examination or renewal and a medical
condition requires a review, the time
required to complete the review is
excessive. The commenters recommend
that the Coast Guard provide

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prescriptive guidance for a mariner’s
physician to make the sole
determination as to whether or not a
condition will disqualify a mariner from
successfully completing the
credentialing process.
The Coast Guard will continue to
review determinations of medical
disqualification to ensure consistency,
oversight, and provide mariners the
ability to appeal adverse
determinations. Plans for the
development of a DME program are
underway. Provisions in this final rule
will allow for the use of DMEs in the
future. The Coast Guard will issue
future guidance for the DME program.
The Coast Guard is also working with
MEDMAC to develop guidance on
medical conditions.4
One commenter recommends that the
Coast Guard retain the existing 5-year
rule for validity of medical
endorsements.
The Coast Guard disagrees.
Implementation of the STCW 2-year
medical certificate is required by the
2010 amendments to the STCW and is
not discretionary. The United States is
obligated, as a signatory to the
Convention, to implement the 2-year
certificate.
The same commenter suggested,
alternatively, that the Coast Guard
increase manning at the NMC so that
applications for medical endorsements
can be completed within a specified
time period. The commenter suggests
that this evaluation period should be
something on the order of 2 weeks from
receipt of the application by the NMC.
If the application cannot be completed
in time, the mariner should be provided
with a temporary or conditional medical
endorsement. Regarding the
determination of fitness for duty, the
commenter states that the Coast Guard
should adopt language stating that in no
case should the medical opinion of any
generalist be of a higher priority than
4 The DME program was proposed consistent with
public comments on the SNPRM to increase the
availability of medical personnel for examinations.
The program is based on broad statutory authority
to ensure mariners are physically and mentally fit
(14 U.S.C. 2 and 633 authorize the Coast Guard to
issue regulations for the promotion of life and safety
on waters under the jurisdiction of the United
States; 46 U.S.C. 2103 provides the Coast Guard
broad authority over merchant marine personnel;
and 46 U.S.C. Chapters 71 and 73 include
requirements that mariners be physically qualified
for endorsements). Because of the extent of the
training and administration needed to establish and
run a DME program, it is best to develop guidance
for those areas. Subsequently, the Coast Guard will
consider revising the medical evaluation
regulations in §§ 10.301 through 10.306 of this final
rule, and converting DME program guidance to
regulations. Existing medical evaluation regulations
can be found in 46 CFR 10.215.

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the medical opinion of a specialist in
their field of specialty practice.
With regard to the commenter’s
suggestion on the evaluation period, the
Coast Guard disagrees. While the
average time for evaluating medical
fitness is less than 2 weeks, the
evaluation may take longer for those
with more complex medical conditions.
Where a mariner has made a timely
application or the Coast Guard has a
backlog, his/her credential may be
extended. With regard to the comment
on fitness for duty, the Coast Guard
partially agrees and will continue to
review determinations of medical
disqualification to ensure consistency,
oversight, and provide mariners the
ability to appeal adverse
determinations. Furthermore, the
development of a DME program,
including interim authority issues, is
underway and should provide some
relief to the medical evaluation
program. Provisions in this final rule
allow for the use of designated medical
examiners in the future. The Coast
Guard is reviewing programs used by
other agencies to assist in developing
the maritime model. We intend to work
with stakeholders in the development of
the DME program and will issue future
guidance on this subject. Under the
DME program the Coast Guard will
ensure these physicians receive training
on the maritime industry and the
identification of medical conditions that
they must refer to the Coast Guard for
evaluation.
One commenter stated that a 2-year
limit for deep-sea medical examinations
seems a bit harsh and could become
expensive. Could there be a minimum
period of validity of 2 years and a
maximum of 3 years? The commenter
also suggested that better controls for
tracking the pilot submittal for their
annual physical should be given some
thought.
As discussed above, the Coast Guard
disagrees. Implementation of the STCW
2-year medical certificate is a
requirement set by the 2010
amendments to the STCW and is not
discretionary. The Coast Guard has
implemented controls to track
submittals from pilots as well as
medical waivers. Additionally, with the
establishment of medical certificates, it
will be easier to track all medical
evaluations.
Two commenters are concerned that
the NMC Medical Evaluations Division
will not be able conduct medical
evaluations and issue medical
endorsements in a reasonable time
frame under its current structure and
staffing. Furthermore, the commenters
say, the Coast Guard did not include the

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cost for review and issuance in the
proposal. They recommend that the
Coast Guard set aside this proposal until
it can ensure an efficient, accurate, and
timely review of Medical Endorsement
applications. Additionally, the
commenters believe, the current
practice of medical vetting must be
revised. This should include the
acceptance of reports from medical
specialists at ‘‘face value.’’ The
commenters believe the Coast Guard
should not presume to have general
practitioners and/or physician’s
assistants vetting and ‘‘second guessing’’
the evaluations and reports from
medical specialists holding the requisite
credentials. The commenters
recommend that the Coast Guard put a
hold on proposed § 10.301(b)(1) until
NVIC 04–08 can be rewritten for a
realistic 2-year STCW schedule that will
not place a large financial burden on the
mariner. They also recommend a
suspension until the medical review
process can be vastly improved to
handle a timely 2-year review process.
The Coast Guard disagrees.
Implementation of the STCW 2-year
medical certificate is a requirement set
by the 2010 amendments to the STCW
and is not discretionary. Any delay in
implementation will fail to meet the
requirements of these amendments, and
will subject mariners and vessels on
which they serve to an increased risk of
port-state detention.
The Coast Guard is taking action in
this final rule to minimize the number
of mariners who will require more
frequent medical evaluation. The Coast
Guard also has limited authority to grant
interim operating authorization to
mariners serving under the authority of
an STCW endorsement. The Coast
Guard has amended § 15.1103(h)(3) to
allow mariners to continue to operate if
the mariner’s medical certificate expires
during a voyage, provided the period
after expiration does not exceed 90
days. This is consistent with the STCW
2010 amendments. Additionally, the
Coast Guard Authorization Act of 2010
provides the Coast Guard with the
authority to grant extensions of up to 12
months for national endorsements when
the Coast Guard experiences a backlog.
Furthermore, the Coast Guard will be
working to develop the DME program to
help mitigate any workload issues.
Plans for the development of a DME
program, including interim authorities,
are underway. The Coast Guard is
reviewing programs used by other
agencies when developing the maritime
model, and the Coast Guard intends to
work with its stakeholders in the
development of the DME program.

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The Coast Guard will issue future
guidance for the DME program. The use
of DMEs will also require the Coast
Guard to ensure these physicians
receive training on the maritime
industry and the medical conditions
that must be evaluated by the Coast
Guard, using training methods similar to
those already employed by other federal
agencies. The Coast Guard is also
working with the MEDMAC to review
and improve policy in this area.
The Coast Guard did not factor in any
potential reduction in the cost for
review and issuance of medical
certificates in the proposal as the degree
to which DME will alleviate burden and
the timing of a DME program being up
and running is still under development.
Furthermore, the Coast Guard is seeking
and will continue to seek to improve
efficiencies in the use of our limited
resources, as noted in our response to
comment 5 above. The Coast Guard
estimated that the costs of implementing
the new STCW requirements, including
medical, will be less than $4 million on
a recurring basis.
Finally, mariners are not paying any
fees to the Coast Guard for the review
of their medical records and the
issuance of their medical certificates,
and will not pay any fees associated
with the review and issuance of medical
certificates. Provisions in this final rule
will allow for the use of DMEs in the
future.
One commenter notes that the Coast
Guard is incorporating STCW revisions
to its regulations pertaining to medical
standards and that the revisions will
increase the frequency of required
medical evaluations of mariners from
once every 5 years to once every 2 years.
However, the commenter believes the 2year interval will not alert the Coast
Guard to significant changes in a
mariner’s health that might develop
within even shorter periods. The
commenter recommends that the Coast
Guard require mariners to report to the
Coast Guard, in a timely manner, any
substantive changes in their medical
status or medication use that occur
between required medical evaluations.
The Coast Guard disagrees. As
discussed above, the 2-year reporting
interval is consistent with the 2010
amendments. Moreover, there are valid
concerns that requiring more frequent
medical reporting could overload
available medical evaluation staff and
heighten the possibility of undesirable
processing delays.
One commenter requests that the
Coast Guard use the term medical
‘‘waivers’’ appropriately. In the
commenter’s view, by any common or
generally accepted definition, a

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‘‘waiver’’ should only be used to
describe a situation in which a mariner
does not meet the applicable medical
fitness standards. Because of mitigating
circumstances, however, the NMC
‘‘waives’’ the medical standard or
standards and grants the credential or
endorsement. To clarify this point, the
commenter recommends that the Coast
Guard include specific language from
NVIC 04–08 dealing with NMC
credential issuing actions/options, and
that proposed regulation § 10.303(b) be
amended.
The Coast Guard agrees. The use of
the term ‘‘waivers’’ has caused
confusion; therefore the Coast Guard is
clarifying the meaning of medical
waivers to avoid ambiguity and to
improve consistency. A ‘‘waiver’’ will
be used to describe a situation in which
a mariner does not meet the applicable
medical fitness standards. Operational
limitations will be issued on medical
and physical conditions and restrictions
will be issued based upon medical and
physical conditions. The operational
limitations and restrictions will be
reflected in the medical certificate.
The same commenter argues that the
distinction between Great Lakes pilots’
physical exams and those for other
mariners should be eliminated. The
commenter recommends that proposed
regulations in § 10.302(b) be amended
by striking the last sentence of this
subparagraph (i.e., ‘‘Medical
examinations for Great Lakes pilots
must be conducted by a licensed
medical doctor in accordance with the
physical exam requirements in 46 CFR
402.210.’’). The commenter states that
there is no statutory requirement or
policy justification to require Great
Lakes pilots to see a ‘‘licensed medical
doctor’’ when all other mariners have
the option of seeing other types/classes
of medical professionals.
The Coast Guard disagrees. The Coast
Guard did not propose in this
rulemaking any changes to the physical
examination requirements for Great
Lakes pilots contained in 46 CFR
402.210, but may consider such changes
in a future rulemaking. The existing
requirement in § 10.215(a)(2) has been
moved to § 10.302, but otherwise
remains unchanged to ensure that
mariners are not confused when
applying for a medical certificate.
Two commenters feel that proposed
§§ 11.709(b) and (d) are not clear and
should be amended to remove
ambiguity as to Coast Guard authority
with respect to credential invalidation.
According to these commenters,
amending this proposed regulation
would also ensure that the regulation
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submission of annual physical
examinations.
The Coast Guard agrees, and has
amended those sections accordingly.
One commenter states that the Coast
Guard/NMC should be given flexibility
from the Department of Homeland
Security (DHS) Secretary to utilize
existing resources as interim approved
DMEs. Most major shipping companies
already require annual physicals, so
they have developed a network of
providers, utilizing both union
physicians and private companies, that
has been effective in determining
mariners’ fitness for duty.
The Coast Guard intends to work with
its stakeholders in the development of
the DME program, and interim authority
issues would be addressed in that future
DME proposal.
One commenter asks, with regard to
§ 10.301, why a Coast Guard medical
review is required every 2 years for a
STCW medical certificate if the mariner
is getting a medical review every 5 years
for a renewal.
The implementation of the STCW 2year medical certificate is required by
the 2010 amendments to the STCW, and
is not discretionary. The United States
is obligated, as a signatory to the
Convention, to implement the 2-year
certificate. This final rule implements
the 2-year certificate, which will help
ensure the Coast Guard and mariners
meet the requirements of these
amendments. Mariners to whom STCW
applies seeking to renew their MMC
may either submit a valid medical
certificate or a new form CG–719K.
Five commenters note that the
proposed amendments would require
endorsement or notation on an MMC
every 2 years following a mandatory
medical certification. Presently, MMCs
are re-issued every 5 years. By requiring
medical recertification to be noted on
the MMC, this will increase the burden
on crewmembers to obtain a new MMC
every 2 years. The commenters believe
this would result in a waste of resources
when crewmembers will not only have
to obtain medical certification, but also
a new MMC.
The MMC will remain valid for a 5year period. The Coast Guard has
amended § 10.301 and will issue a
separate medical certificate with the
appropriate validity date through the
NMC to avoid overburdening the system
and the application process.
Five commenters recommend that the
Coast Guard establish a process to grant
‘‘interim operating authorization’’ to
mariners who submit their medical
information in a timely manner but
whose medical certificates cannot be

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77825

processed by the NMC before expiration
of the MMC.
The Coast Guard partially agrees. The
Coast Guard has limited authority to
grant interim operating authorization to
mariners serving under the authority of
an STCW endorsement and has
amended § 15.1103(h)(3) to allow
mariners to continue to operate if the
mariner’s medical certificate expires
during a voyage, provided the period
after expiration does not exceed 90
days.5 This is consistent with the STCW
2010 amendments to the STCW
Convention. Additionally, the Coast
Guard Authorization Act of 2010
provides the Coast Guard with authority
to grant limited extensions for national
endorsements when the Coast Guard
experiences a backlog.6
One commenter asks whether the
medical certificate is separate from, or
part of, a person’s Merchant Mariners
Document (MMD). If it is a separate
certificate, would there be fees for the
review and issuance? The commenter
notes that there is no mention of this in
the rulemaking.
The Coast Guard will issue a separate
medical certificate through the NMC.
This approach will impose less burden
on mariners and the Coast Guard than
the production of medical endorsements
to be added to the MMC. This final rule
does not include additional fees
associated with the medical certificate
because the Coast Guard will not collect
any fees from the mariners for the
review of medical records and issuance
of medical certificates to mariners.
The same commenter asks if a mariner
would be required to pay for and obtain
an MMD if the medical certificate is part
of a person’s MMD, and the mariner was
serving on small passenger vessels and
not currently required to have an MMD.
The Coast Guard plans to continue the
existing practice for personnel who do
not hold an MMC or MMD. They will
not be required to apply for a separate
medical certificate.
One commenter states that the
proposed medical document system is
overly burdensome to the industry in
view of the very small gain in safety that
might possibly be achieved.
The Coast Guard disagrees.
Implementation of the STCW 2-year
medical certificate is a requirement set
5 A mariner not engaged on a voyage on the
expiration date of the medical certificate wouldn’t
receive an extension under this provision. The
Coast Guard may grant an extension, however, to
a mariner who has made timely application, or if
the issuance of the credential is delayed due to
backlog, or due to natural catastrophe.
6 For all activities at NMC a backlog is considered
to be more than 9,000 pending applications. For the
appeals process, a backlog occurs when the average
processing time for appeals exceeds 90 days.

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by the 2010 amendments to the STCW,
and is only applicable to seafarers
serving on vessels to which STCW
applies. The Coast Guard is taking
action in this final rule to minimize the
number of mariners who will require
more frequent medical evaluation by not
requiring 2-year medical certificates for
mariners seeking only national
endorsements. Medical certificates for
such endorsements will be valid for 5
years unless the mariner has a
limitation, restriction, or waiver for a
medical condition. The Coast Guard
also has limited authority to grant
interim operating authorization to
mariners serving under the authority of
an STCW endorsement. The Coast
Guard has amended § 15.1103(h)(3) to
allow mariners to continue to operate if
the mariner’s medical certificate expires
during a voyage, provided the period
after expiration does not exceed 90
days. This is consistent with the 2010
amendments. The Coast Guard will also
be working to develop the DME program
to help mitigate any workload issues,
and the Coast Guard Authorization Act
of 2010 provides the Coast Guard with
the authority to grant limited extensions
for national endorsements when the
Coast Guard experiences a backlog.
Additionally, unidentified medical
conditions can impair a mariner’s
ability to perform tasks and respond,
thus contributing to the human element
of casualties. This final rule will require
more frequent medical exams for STCW
mariners, thus reducing the potential
impacts of medical conditions on
human error. In combination, the
provisions of this final rule are expected
to reduce potential for vessel accidents.
In summary, the 2-year medical
certificate requirement is consistent
with the STCW Convention requirement
for seagoing mariners, and strikes an
appropriate balance between maritime
safety and the administrative processing
burden.
One commenter recommends that the
Coast Guard update its medical
reporting systems, to take advantage of
computer interface capabilities, make it
more secure and Health Insurance
Portability and Accountability Act
compliant, prior to requiring mandatory
medical certification at a minimum of
every other year. Additionally, the
commenter believes common sense
would dictate scaling frequency of these
renewals to a mariner’s age. For
instance, it’s currently 5 years; at age 50,
it becomes annual.
The Coast Guard disagrees. We are
currently working on improving our
medical credentialing process and
guidelines and will issue future
guidance on this subject. However, we

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are not planning on delaying
implementation of the medical
certificate. The 2010 amendments to the
STCW Convention and Code requires
that full implementation of the issuance
of medical certificates be achieved by
January 1, 2017. To facilitate
implementation, the Coast Guard will
start issuing 2-year medical certificates
30 days after the publication of this final
rule. In addition, the STCW Convention
does not base the frequency of medical
examinations on the age of the seafarer.
Therefore, there are no plans for agebased examinations at this time.
4. Training
One commenter supports the way the
Coast Guard has adopted the STCW
standards of competence at the
management and operational levels for
deck officer endorsements in
§ 11.301(a). The commenter believes
that, by publishing them in the rules,
mariners can see the options available to
them under STCW. By adhering to the
terms of the Convention rather than
reflecting the assumed intent of
delegates to the IMO, the commenter
says, the Coast Guard is meeting its
obligations to the international maritime
community and U.S. mariners in a
responsible, reasonable fashion.
The same commenter stated that the
Coast Guard’s proposed revision of
§ 12.605 in response to the comments of
MERPAC is laudable. In view of the
anticipated changes, the commenter
recommends revision of the provisions
of NMC Policy Letter 14–02 to reflect
these standards.
The Coast Guard is currently
reviewing guidance in this area and will
consider future revisions to the Policy
Letter that might be necessary as a result
of this rulemaking.
Thirty-three commenters oppose the
introduction of onboard assessments as
an alternative to the current regime of
structured training. The reasons cited
include concerns that this alternative
method would result in the degradation
of the competency and proficiency of
the U.S. mariner, potentially shift the
overall training responsibilities to
vessel’s personnel onboard minimally
manned vessels, possibly conflict with
STCW Section A–I/6, allow the conduct
of assessments that cannot be safely
done onboard the vessels, and fail to
allow for competencies that are not
conducive to self-learning and must be
supplemented with formal training.
Thirteen commenters agree with the
Coast Guard moving away from only
accepting classroom training as
demonstration of proficiency for the
credentialing of mariners. The
commenters state that onboard and on-

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the-job training should remain an
important part of the industry, and
support this change.
The Coast Guard responds that the
STCW Convention is a competencebased Convention and not a trainingbased Convention. Further, approved
classroom training is not the only means
of acquiring knowledge; on the contrary,
on-the-job training conveys certain
knowledge, understanding and
proficiencies more thoroughly and
efficiently. The STCW Convention does
not specify what competencies
(including knowledge, understanding,
and proficiencies) require approved,
formal training. It is up to the
Administration to establish the required
training and/or experience necessary to
achieve the level of competence, and to
establish when and how the training
should be obtained.
The Coast Guard recognizes
commenters’ concerns that shipboard
operations might make it challenging for
seafarers onboard vessels to train others,
particularly when reduced manning,
higher mariner workload, and mariner
fatigue issues are taken into account.
The Coast Guard also recognizes that
not all STCW competencies and
individual knowledge, understanding,
and proficiencies must be accomplished
as part of a formal structured, training
as there are areas where in-service
experience may fulfill the competency
requirement. Taking this into account,
the Coast Guard reviewed the tables of
competencies and identified the training
topics that must be accomplished as
part of approved formal training.
The increased number of training
topics that must be covered by approved
training will strike an appropriate
balance between providing flexibility
and ensuring mariners achieve a
sufficient level of competence for STCW
endorsements. These training topics in
the final rule were part of the extensive
list of topics proposed in the NPRM, as
well as those listed in the SNPRM. Parts
11 and 12 of this final rule are amended
to include a combination of training and
in-service requirements, validated
through assessments, to ensure that
seafarers achieve the necessary level of
competence. However, these changes do
not prohibit companies and
organizations from developing approved
in-service training.
One commenter recommends that elearning not be proctored.
The Coast Guard agrees. E-learning is
optional under § 10.412 and Section B–
I/6 of the STCW Code, and neither
require proctoring of e-learning courses.
However, all testing must be proctored
to ensure secure procedures for the
examination system to prevent cheating.

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Additionally, all assessments must be
monitored by qualified assessors.
One commenter notes that deck
officers are spending time with cadets
and teaching and assessing them on
required tasks, after the cadet learns the
material in the classroom. The
commenter specifically noted that we
can hardly expect an officer to teach a
three-star fix, explain a mid-latitude
sailing, work an amplitude and do his
job, the commenter says. In the
commenter’s view, not only might a
deck officer feel uncomfortable teaching
those elements (which are no longer a
daily part of his job), there simply may
not be the time to do so.
The Coast Guard agrees in part. The
SNPRM did not propose to require deck
officers to teach cadets onboard. We
agree, however, that the development of
onboard assessments is not intended as
the wholesale transfer of the training of
seafarers from shoreside educational
establishments to the shipboard
personnel responsible for the oversight
of the vessel’s operation. The Coast
Guard recognizes that onboard duties
can preclude the time needed to provide
a comprehensive training program for
subordinates, but that there is still a
burden to ensure that they are
competent to perform their duties,
which include assisting supervisors and
other shipboard personnel with their
duties. The Coast Guard also recognizes
that STCW is a competency-based
system and that by differing
combinations of exposure, training and
self-study each mariner may
independently acquire individual
STCW competencies while onboard
vessels. Therefore, onboard assessments
do not contain a training component
beyond the feedback needed by the
candidates to further develop
themselves and should reasonably be
within the scope of the duties of an
assessor. The Coast Guard will be
developing guidance that includes the
development of qualified assessors,
pertinent guidelines and other standards
that will be needed for the successful
use of onboard assessments.
A training institution asks the reasons
for the Coast Guard’s decision to
eliminate most of the existing approved
education/training and assessor
qualifications (§ 11.301(a)(1)) for
certification as an OICNW, chief officer,
and master on unlimited tonnage
vessels. They asked ‘‘what prompted the
Coast Guard to change its interpretation
after 10 years of precedence?’’
The 1997 interim rule, implementing
the 1995 amendments to STCW with
changes to 46 CFR parts 10 and 12, did
not limit the permissible means of
demonstrating required competencies to

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formal training. Since the publication of
the interim rule, mariners have pointed
out the benefit of permitting greater
flexibility in demonstrating competence
through the many methods allowed by
the Code. Further, the SNPRM reflected
the more flexible approach to
demonstrating competence in the 2010
amendments.
The same commenter asks if the Coast
Guard knows of any other flag state that
shares this interpretation of STCW
competence and training requirements,
and if, from a public policy perspective,
the Coast Guard believes this change is
a reduction in the safety standards for
the industry.
The Coast Guard is aware of a number
of countries that share parts or all of the
interpretations of the flexibilities that
exist within the STCW Convention and
Code. These flexibilities are the basis for
these regulations, which do not
represent a reduction in safety standards
for the industry. This rulemaking will
ensure a consistent implementation of
the Convention requirements
throughout the industry. A consistent
implementation of the proper
combination of training, assessment and
sea service will further increase safety,
security and environmental protection.
One commenter requests that current
§ 10.404(a)(3), which addresses the use
of sea service that is credited as a result
of completing an approved course, be
clarified.
The Coast Guard agrees in part. We
did not propose a change to the existing
requirements in this section. However,
we included new language in
§ 10.404(a)(4) to clarify the applicability
of this provision to STCW
endorsements.
One commenter states that the
sections of this SNPRM regarding the
training and assessment for OICNW
operational level and for chief mate/
master at the management level
represent a circumvention of the intent
and spirit of IMO’s Resolution 7—
Promotion of technical knowledge,
skills and professionalism of seafarers;
In particular paragraphs .1 through .4
and .6 of the Resolution.
The Coast Guard disagrees. The use of
on-board-training supports the intent of
Resolution 7, to ensure that mariners are
involved in the development of junior
officers to ensure qualified
professionals.
One commenter stated that the low
level of understanding of basic
meteorology exhibited by candidates for
endorsement as OICNW extends, to a
lesser degree, to sailing Masters
‘‘grandfathered before STCW.’’ The
commenter recommends that the Coast
Guard review the Detailed Teaching

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77827

Syllabus from IMO model course
Section 11 and require that OICNW
candidates be required to complete this
course.
The Coast Guard agrees. Meteorology
was added to the list of training subjects
that must be completed as part of
structured training at the operational
level.
Two commenters like the option of
using alternate methods of
demonstrating competence.
One commenter states that the Coast
Guard should task MERPAC with
reviewing the training areas for all
ratings/licenses to ensure developing
technologies and operations are
incorporated into the requirements in a
timely manner. The commenter states
that a comprehensive review by
MERPAC relative to these concerns is
warranted and will be valuable in
assuring the necessary competencies are
required for mariners holding specific
endorsements.
The Coast Guard agrees, and asked
MERPAC, in task statement 75, to
review the STCW SNPRM and provide
comments and recommendations to the
Coast Guard, including: (1) Developing
a list of training elements (in addition
to those in the proposed SNPRM) for
operational and management level deck
and engineer officers, where and if
appropriate, that should be completed
as part of a structured program/training
course to address the knowledge,
understanding, and proficiencies (KUPs)
in the competence tables; and (2)
identifying which of the training
elements can be accomplished onboard
vessels, and which could better be
accomplished ashore in a formal
classroom setting.
During its October 5, 2011, meeting,
MERPAC recommended the
competencies that must be subject to
formal training and also recommended
that the content of the training should
be appropriate to the tonnage, route
and/or type of vessel. The Coast Guard
agrees with some of the areas identified
by MERPAC concerning formal training
and has amended part 11, subpart C,
and part 12, subpart F, of this final rule
to include a combination of training and
in-service requirements (validated
through assessments) to ensure that the
seafarers achieve the level of
competence. These formal training
topics were part of the NPRM published
in 2009.
One commenter recommends that
consideration be given to authorizing
approved training facilities that meet
Coast Guard and STCW quality system
standards to issue certificates of
proficiency on completion of an
approved course and assessment that

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would be accepted by the Coast Guard
as meeting the requirements for STCW
endorsement.
The Coast Guard disagrees. The
STCW Convention authorizes the
issuance of ‘‘certificates of proficiency’’
by training institutions for some of the
competency requirements. However,
authorizing training institutions to issue
certificates of proficiency places
additional burdens on them, and would
create significant oversight difficulties.
Training institutions would be required
to deal with port state control
authorities around the world on
confirmations of the validity and
authenticity of the document issued by
the institution. Authorizing training
institutions to issue certificates of
proficiency would also require those
institutions to be responsible for
preventing the issuance of fraudulent
certificates and ensuring they meet a
standardized format.
One commenter recommends that
§ 12.623(a)(2)(ii) be deleted as there are
currently no approved Global Maritime
Distress and Safety System (GMDSS)
maintainer courses in the United States
and there are no published guidelines
for what such a course should contain.
Alternatively, the commenter says, the
Coast Guard should publish course
guidelines/criteria for development of a
GMDSS maintainer course.
The Coast Guard agrees in part. Until
such time as the Coast Guard establishes
criteria for and approves such ‘‘GMDSS
at sea maintainer courses,’’
§ 12.623(a)(2)(ii) will not be a viable
option to demonstrate competency.
Nonetheless, the Coast Guard has
included this option because it intends
to soon begin the process of
promulgating guidelines for GMDSS
course content and approval.
One commenter recommends that, in
§ 11.305(d), allowance should be made
for a mariner to crossover from the 500–
1,600-ton master to second mate, then
with training and sea service progress to
unlimited master, such as the
progression in § 11.404.
The Coast Guard disagrees. The Coast
Guard is providing this career
progression in § 11.305(d) in support of
STCW Regulation II/2. The length of
qualifying service required for master
and chief mate on vessels of 3,000 GT
or more in STCW Regulation II/2,
paragraph 2, is the same as that required
for master and chief mate on vessels of
between 500 and 3,000 GT in paragraph
4 of the same regulation. This career
progression recognizes that service, and
provides a method for mariners holding
the lower tonnage credential to obtain
the master of vessels of 3,000 GT or
more upon completion of additional

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service and any assessments that have
not been completed.
One commenter notes that proposed
§ 10.404(a)(3) states that: ‘‘Unless
otherwise allowed, training obtained
before receiving an endorsement may
not be used for subsequent raises of
grade, increases in scope, or renewals.’’
The commenter says that this provision
would discourage OICNW candidates
from pursuing training beyond the
minimum required. If they opt to
receive training in higher level
professional abilities at the management
level, they become more valuable to the
safe operation of the vessel, the
commenter states, and they can benefit
from practical experience by applying
those higher abilities at the operational
level to assist senior officers.
In addition, one other commenter
states that, with regard to § 10.404(a)(3),
unless there are provisions made within
this section, individuals may need to
take the same class twice to receive or
to maintain a credential when
upgrading or increasing the scope of
their license. The commenter states that
this is an expensive and unnecessary
training requirement.
The Coast Guard partially agrees. The
existing requirements in § 10.404(a)(3)
apply to national endorsements where
the training is used in ‘‘lieu’’ of
‘‘service’’ or ‘‘exam.’’ This requirement
is not applicable to STCW provisions,
since the Convention allows for the
attainment of training and assessment
for management level at the operational
level. The Coast Guard has added
§ 10.404(a)(4) to ensure that this does
not apply to STCW courses.
One commenter asks if, with regard to
§§ 11.309(a)(4)(iii) and 11.319(a)(5)(iii),
it would be possible to include Standard
Marine Communication Phrases (SMCP)
training in the ‘‘Flashing Light’’ course
requirement for STCW.
The Coast Guard allows training
providers broad discretion in
determining how to establish their
courses and programs, and the course
can be approved to meet both
requirements. The Coast Guard will
allow training providers to include the
SMCP training in a ‘‘Flashing Light’’
course, but will not require it.
The same commenter asks if the same
methods of demonstrating competence
will be allowed for chief mates in the
future. In other words, will the course
requirements for advancing to chief
mate no longer be mandatory?
Section 11.307 of this final rule
requires the completion of approved
training in several subject areas for an
endorsement as chief mate on vessels of
3,000 GT or more. That section specifies
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demonstrating competence and the
training requirements for this
endorsement.
One commenter requests that, with
regard to the Towing Officer Assessment
Record (TOAR), sections for barge work
be allowed on simulators and a DE
should be authorized to sign off on
them.
The Coast Guard agrees but does not
believe a change to the rule is needed.
The guidance in NVIC 4–01 allows for
the use of simulators in this case.
One commenter asks if consideration
has been given to modifying
§ 11.516(a)(6) to change the present
3-year requirement for an accepted
training program for an original
unlimited third assistant engineer horse
power license to some shorter period of
time.
The Coast Guard agrees and has
removed the 3-year duration in
§ 11.516(a)(6) for the training program
because each program will be evaluated
based upon its individual merits and its
ability to provide the theoretical
knowledge, understanding and
proficiency to enable the candidate to
serve as third assistant engineer.
One commenter recommends removal
of the requirement in §§ 12.501 and
12.607 for holding/service as a Qualified
Member of the Engine Department/able
seafarer-engine for engineer officer
credentials.
The Coast Guard disagrees. The
requirements to become an engineering
officer are contained in § 11.516 and not
in §§ 12.501 or 12.607. We are keeping
the requirement in § 11.516 for service
as QMED as part of an option to become
a third assistant engineer ‘‘coming up
through the hawsepipe.’’ There are five
classes of QMED listed in § 12.501
through which this service can be met;
some stand watch, while others don’t.
The Coast Guard does not wish to
restrict mariners from these choices.
Candidates for third mate and rating
forming part of a navigational watch
need directed watchstanding duty
experience, whereas third assistant
engineer and ratings forming part of an
engineering watch candidates can gain
relevant experience sailing in any of the
QMED ratings.
One commenter proposes, that
because of the burdens imposed by
STCW on domestic mariners, that the
United States, pursuant to Article XV of
the SCTW Convention, advise the IMO
that the U.S. domestic credentialing
program is ‘‘sufficient for mariners
serving on vessels of 200 to 1,600 GRT
(500 to 300 tons IRT) in domestic
coastwise waters.’’
The Coast Guard disagrees. Although
Article XV provides for a country’s

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withdrawal from the entire Convention,
it does not allow a country to opt out
of certain provisions of the Convention
to which it does not agree. Additionally,
it is the Coast Guard’s view that, overall,
the requirements of STCW are justified
in the interests of safety, security, and
protection of the marine environment.
Finally, recognizing that STCW allows a
variety of ways for a mariner to
demonstrate competence other than
formal classroom training, this final rule
now includes implementation of
assessment-based processes that allow
acceptance of these various methods.
One commenter states that the
SNPRM preamble, on page 45917, says
that § 10.401 revises the applicability to
include training programs, but the
commenter can’t find that in the cited
section. Is it someplace else?
The requirements in § 10.401 apply to
both approved courses and training
programs.
5. Utility and Harbor Assist Towing
One commenter states that he is a
Commercial Tow Boat Operator on Lake
Washington, and that he typically
moves boats (18′ to 40′) to a repair shop,
not unlike taking your car to a shop
with a flat tire. He asks if someone can
tell him why he would need to have any
special treatment or license to do this.
Under section 8904 of 46 U.S.C.,
mariners towing a disabled vessel for
compensation must be credentialed by
the Coast Guard. Additionally, if the
towing vessel is greater than 26 feet in
length, the operator must be
credentialed by the Coast Guard to
operate the vessel in the location.
One commenter states that the
practical demonstration required in
§ 10.227(e)(6) is too vague, that the
assessment and its conditions need to be
further defined. According to the
commenter, ‘‘ongoing participation in
training and drills during the validity of
the license or MMC may be used to
renew but this section does not define
what type of training or drills are
required. This section should define
these issues.’’
The Coast Guard disagrees. The Coast
Guard has provided the towing industry
the documentation being sought for this
issue through guidance in NVIC 04–01
revision 1. The review of NVIC 04–01
and the TOARs is ongoing with the
TSAC task statement 08–01.
Two commenters recommend that,
with regard to the provision for new
towing endorsements included in the
SNPRM, the Coast Guard remove these
provisions and transfer them to the new
subchapter M proposed rulemaking
dealing with the inspection of towing
vessels. In the commenters’ view, the

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creation of the new towing
endorsements is unrelated to the STCW,
raises serious safety concerns, and
should not be fast-tracked as part of a
final rule to implement the STCW
amendments.
In addition, seven other commenters
oppose the creation of the new master
of towing (utility) and master of towing
(harbor assist) licenses.
The Coast Guard is not including in
this final rule the endorsements for
apprentice mate (steersman) of towing
(utility), master of towing (utility), and
master of towing (harbor assist) that
were proposed in §§ 11.466(c),
11.464(d), and 11.464(e) of the SNPRM.
Public comment raised sufficient
concerns with these provisions, as
discussed below in ‘‘Discussion of
Public Comments,’’ that the Coast Guard
wants to seek additional comment from
the industry. We are currently
considering moving the issue to another
rulemaking and seeking additional
input from TSAC, which would give the
public additional time to comment on
this matter. However, we are retaining
the existing definition of ‘‘disabled
vessel.’’
One commenter recommends that the
Coast Guard look closely at the
requirements of the model TOAR in
NVIC 4–01 to ensure that they are easily
used for all towing vessels without
imposing a towing requirement which is
inconsistent with a vessel’s design or
capability.
This issue is outside the scope of this
rulemaking. TSAC is currently
amending NVIC 4–01—Model TOAR
under task statement 08–01.
6. Chief Engineer (Limited Near-Coastal)
One commenter recommends that the
Coast Guard amend § 11.512. The
minimum service required to qualify an
applicant for endorsement as first
assistant engineer of steam, motor, and/
or gas turbine-propelled vessels is 1 year
of service as an assistant engineer while
holding a license or MMC endorsement
as second assistant engineer. The
commenter states that service as a chief
engineer (limited-oceans/limited-nearcoastal) supersedes that of an assistant
engineer (limited). However, the NMC
does not recognize this, thereby refusing
to accept service as chief engineer
(limited-oceans/limited-near-coastal) in
the same manner as assistant (limited).
The Coast Guard agrees with
including sea service as chief engineer
(limited) as an option in the service
requirements for first assistant engineer
and has amended § 11.512 accordingly.
Please note, as discussed below, that the
Coast Guard has eliminated the chief
engineer (limited near-coastal)

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endorsement and dropped the ‘‘Ocean’’
designation from both chief and
assistant engineer (limited). Also
included in this rulemaking is a
crossover path from assistant engineer
(limited) to third assistant engineer.
One commenter recommends that all
engineers who hold a license as chief
engineer (limited) 1,600 GRT nearcoastal or ocean prior to January 1,
2013, should be given an STCW
endorsement as chief engineer meeting
the requirements of STCW III/2, but
with a tonnage limitation to 1,600 GRT.
Evidence of meeting the standard of
competence for leadership and
management skills and for management
of electrical and electronic control
equipment should be required at the
first renewal of such an endorsement,
the commenter says.
The Coast Guard disagrees with the
suggestion that mariners holding certain
national endorsements be ‘‘given’’ an
STCW endorsement. Most national
credential holders qualify in some way
for an STCW endorsement; however,
they must also meet the additional
STCW sea service, training, and/or
assessments involved, as appropriate.
These mariners are able to apply for a
particular STCW endorsement outlined
in the relevant crossover table in the
STCW sections of the rule (part 11,
subpart C, and part 12, subpart E).
The same commenter recommends
that all engineers who currently hold a
license as chief engineer (limited nearcoastal) should be upgraded to chief
engineer (limited-ocean) 1,600 GRT
without further sea service or testing
requirements and given the same STCW
III/2 endorsement restricted to vessels
less than 1,600 GRT.
The Coast Guard agrees in part and
has amended the regulations to remove
chief engineer (limited near-coastal).
New applicants for chief engineer
(limited) and those wishing to upgrade
from near-coastal to the new, single
credential will have to sail the
additional year already specified in the
regulations. Current mariners who hold
a chief engineer (limited near-coastal)
credential may continue to renew that
credential. However, since the written
examination for both chief engineer
(limited) categories are identical, those
mariners going from chief engineer
(limited near-coastal) to chief engineer
(limited) will not be required to take an
examination.
Five commenters recommend that the
Coast Guard eliminate the chief
engineer (limited near-coastal) license
and replace it with a chief engineer
(limited) license limited to vessels less
than 1,600 GRT, unlimited horsepower
(HP). Consistent with the corresponding

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service requirements for deck licenses,
the commenters recommend that the
service time required for a chief
engineer (limited) license also be
reduced from 5 years to 4 years. There
are many unlicensed engineers and
limited scope licensed engineers who
perform duties and have responsibility
as engineer aboard vessels sailing
internationally. The commenters
recommend grandfather provisions for
these engineers upon proof of sea
service. They feel that these mariners
should be granted a limited-scope
license and an STCW endorsement that
allows them to continue to serve in the
capacity in which they have sailed. The
commenters state that this limitation
could be restricted to a specific type of
vessel, tonnage, and/or equipment the
Coast Guard finds appropriate, but it is
crucial that these qualified mariners are
able to continue sailing.
The Coast Guard agrees in part and
has amended the regulations to remove
chief engineer (limited near-coastal).
New applicants for chief engineer
(limited) and those wishing to upgrade
from near-coastal to the new single
oceans credential will have to sail the
additional year already specified in the
regulations, for a total of 5 years.
However, since the written examination
for both chief engineer (limited)
categories are identical, those mariners
going from chief engineer (limited nearcoastal) to chief engineer (limited) will
not be required to take an examination.
The Coast Guard does not agree with the
request to reduce service time from 5
years to 4 years as it is inconsistent with
the STCW Convention and Code.
One commenter believes that limiting
the geographical routes for an engineer’s
license to anything other than nearcoastal or oceans is superfluous. The
commenter states that limits of 1,000 HP
are also fairly useless since few towing
vessels for offshore service are so
underpowered, and that a limit of 4,000
HP is more realistic.
The Coast Guard disagrees. Current
national standards apply to more than
towing vessels and are also applicable to
all vessels of less than 1,600 GRT.
Further, the Designated Duty Engineer
(DDE) endorsements carry not only
horsepower restrictions but also tonnage
and route restrictions. Industry has
demonstrated a use for the 1,000 HP
endorsement. Therefore, we are
retaining it in subpart E of part 11.
Additionally, we have eliminated the
chief engineer (limited near-coastal)
endorsement from § 11.520. All limited
engineers are now authorized to sail
upon oceans on vessels of less than
1,600 GRT but are not restricted as to
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One commenter recommends that the
Coast Guard amend § 11.510, which sets
out the service requirements for
domestic endorsements as chief
engineer of steam, motor, and/or gas
turbine–propelled vessels. As proposed
in the SNPRM, the section accepted
service as a first assistant engineer or
while holding a license or MMC
endorsement for that position. The
commenter points out that chief
engineer (limited-oceans/limited-nearcoastal) and assistant engineer (limited)
are recognized as ‘‘management level’’
endorsements. Therefore, the
commenter says, this section should be
amended to include the following:
Service as chief engineer (limited
oceans/limited near-coastal) or assistant
engineer (limited), while holding a
license as first assistant engineer, is
creditable as first assistant engineer on
a two-for-one basis (2 days of service
creditable as 1 day) on vessels over
1,600 GRT and over 4,000 HP,
applicable to 100 percent of the total
required service.
The Coast Guard agrees and has
amended § 11.510 to allow creditable
sea service as the commenter suggests.
7. Articulated Tug Barges (ATBs)
One commenter recommends that the
Coast Guard reconsider its present
position in the SNPRM, and adopt a
regulation or policy whereby inland tugbarge combinations are accepted in
computing license tonnage ratings as
they presently are for ITB and ATB
service.
In order to facilitate the towing
industry’s need for career paths to retain
highly-skilled personnel, the Coast
Guard has amended text in §§ 10.232
and 11.211 to accept certain towing
vessel service based on the aggregate
tonnage of the tug and barge(s) when
greater than 1,600 GRT. This service
will be accepted only when properly
documented by the towing company.
One commenter notes that § 11.211(d)
provides specific sea service credit for
ATBs. The commenter asks how far
back will the Coast Guard grant sea
service credit with proper
documentation on an ATB.
Service on ATBs will be accepted
subject to the same time considerations
as service on other vessels. Generally,
the only applicable conditions are that
a portion of a mariner’s qualifying
service must meet the ‘‘recency’’
requirements of § 11.201(c).
One commenter notes that § 11.463(g)
acknowledges that the Coast Guard will
issue a towing endorsement restricted to
specific types of vessels, such as ATBs.
It has been accepted that not all tasks on
a TOAR apply to an ATB and,

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consequently, someone on an ATB may
not be able to obtain a completed TOAR.
In the commenter’s view, § 11.464(i)
should contain a provision to authorize
an ATB endorsement for mariners who
are unable to complete the TOAR
because some requirements in the
TOAR do not apply or the equipment is
not specifically fitted on an ATB. The
same provision should be made in
§ 11.465(d)(2).
The Coast Guard disagrees. Both
sections reference the requirements for
a TOAR in § 10.404(c). This section
requires mariners to complete a TOAR
approved by the Coast Guard.
Additionally, the regulations and
implementing policy provide mariners
the opportunity to revise the TOAR to
make it appropriate for the vessel upon
which they serve, if they get those
changes approved by the Coast Guard.
As part of the approval, the Coast Guard
will note the routes and/or vessels for
which the TOAR is approved. Mariners
serving on ATBs will be considered to
have met the requirement to hold a
completed TOAR if they have
completed the Coast Guard-approved
TOAR for ATBs on the applicable
routes.
Three commenters recommend that if
the Coast Guard intends to credit ATB
sea time the same as unlimited vessels,
the Coast Guard is obligated to ensure
that these combined tonnage vessels are
manned as ships, inspected as ships,
and that the crews and vessels meet all
international conventions as ships. Two
of the commenters further recommend
that sea service credit for ATBs should
be limited to no more than one day of
sea service credit for every 3 days
served, up to a maximum of 6 months
credit toward a raise in grade of
unlimited level licenses. The third
commenter recommends that the Coast
Guard award sea service credit for
mariners serving on ATBs on a 2 for 1
basis (2 days of service is awarded 1 day
of sea service credit).
The Coast Guard disagrees. The
proposed standard provides a
comparable service credit to the existing
regulations, and there is no evidence to
demonstrate that it would increase risk
in marine transportation.
Three commenters state that, in
§ 11.211(d), service on ATBs or
sophisticated tank barges should be
permissible to qualify for a tankermanPIC endorsement.
The Coast Guard agrees. The Coast
Guard has amended § 13.127 to accept
service onboard some ATBs toward the
national and STCW tankerman
endorsements (including tankermanPIC), provided the ATB equipment is
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equipment. This change is necessary to
ensure career paths and to facilitate the
use of new ATBs as qualifying platforms
for tankerman endorsements. In
addition, the Coast Guard has provided
a means for mariners serving on tank
barges to qualify for an STCW
endorsement with a limitation to nonself-propelled vessels.
8. Manning
Thirty-four commenters were
concerned that, as worded, § 15.515(b)
would not allow passenger vessels with
the minimum crew complement
required by the Certificate of Inspection
(COI) to conduct drills or shore side
operations (like vehicle inspections)
requiring crew members to be off the
vessel. The commenters recommend
that the Coast Guard clarify that the
crew complement required by the COI
may be off the vessel in rescue boats or
shore side as needed to accomplish
routine operations or emergency
response and drills.
The Coast Guard disagrees. Due to
passenger vessels’ minimum manning, it
is essential for the safety of the
passengers to ensure there are sufficient
personnel on the vessel to respond to
emergencies and passenger needs.
One commenter states that the
proposed change to the 4-on-8-off watch
schedule would greatly affect working
conditions on ships such as his,
working in inland waters on a 6-on-6-off
watch schedule.
The Coast Guard disagrees. We have
not proposed to require a 4-hours-on, 8off watch schedule in § 15.1111. The
section requires that all mariners subject
to STCW must receive: (1) A minimum
10 hours of rest in any 24-hour period;
and (2) 77 hours of rest in any 7-day
period. Mariners subject to STCW, such
as the commenter, who work on vessels
utilizing a 6-on, 6-off watch schedule,
would be given sufficient rest, receiving
12 hours of rest in any 24-hour period,
and 84 hours of rest in a 7-day period.
One commenter states that, in
§ 15.403(c), the phrase ‘‘each person
serving as an able seafarer-deck’’ could
lead to confusion because of the lack of
a definition of that individual. The
commenter recommends that it be
clearly stated that A/B-deck is
equivalent to able seaman (A/B), which
is consistent with the qualification
standards in § 12.603.
The Coast Guard agrees and has
amended §§ 15.404(b) and 15.404(d)(3)
accordingly.
One commenter states that in
§ 15.404(b), which sets out certain
requirements for serving aboard a
vessel, the last sentence makes it sound
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comply, not just those serving as a
rating as A/B. The commenter
recommends that the application of this
provision should be clarified to affect
just those endorsement holders who are
serving to fill a manning standard.
The Coast Guard agrees and has
amended the last sentence in § 15.404(b)
to read ‘‘Each person serving as a nonwatchstanding A/B on vessels must also
hold an STCW endorsement as able
seafarer-deck.’’
One commenter asks, with regard to
§ 12.603, which sets out requirements to
qualify for an STCW endorsement as
able seafarer–deck, how the COIs will be
worded. Will COIs now list both
domestic and STCW endorsements
required?
COIs will list both national and STCW
endorsements. The Coast Guard will be
revising safe manning documents to be
consistent with the changes in this final
rule.
One commenter notes that § 15.1105
does not reference the STCW-required
security familiarization.
At this time, the Coast Guard intends
to satisfy the STCW 2010 amendments
regarding security familiarization
requirements through the regulations in
existing 33 CFR subchapter H, subpart
B, which require that mariners meet the
knowledge requirements via training or
equivalent job experience. The
requirements in 33 CFR 104.220 and
104.225 meet the requirements for
familiarization training. If any changes
to 33 CFR 104.220 and 104.225 are
needed, the Coast Guard will consider
including them in a separate, future
rulemaking.
Three commenters believe that the
requirements of proposed § 15.1113 are
written for a cargo vessel, where the
entire vessel is defined as a secure or
restricted space, and does not take into
account the operation of a typical
passenger vessel, on which most spaces
are open to the general public.
The Coast Guard agrees in part. The
2010 amendments to the STCW
Convention (Section A–VI/6) require
that all persons employed or engaged on
a seagoing vessel receive security
familiarization. The requirements will
apply equally to both cargo and
passenger vessels. The term ‘‘all
persons’’ includes seafarers and other
personnel, including contractors,
whether part-time, full-time, temporary,
or permanent.
As discussed above, the Coast Guard
intends to meet the STCW 2010
amendments regarding security
requirements via the regulations in 33
CFR subchapter H, specifically 33 CFR
104.225, which requires that all
contractors, whether part-time, full-

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time, temporary, or permanent, must
have knowledge on a number of topics,
through training or equivalent job
experience. Accordingly, the Coast
Guard has amended § 15.1113 to ensure
that all contractors, whether part-time,
full-time, temporary, or permanent,
must have knowledge of the topics
listed in 33 CFR 104.225 through
training or equivalent job experience.
One commenter recommends that the
Coast Guard amend § 15.1113 to read as
follows:
(a) Onboard a seagoing vessel of 200
GRT/500 GT or more:
(1) All persons performing duties as
Vessel Security Officer (VSO) must hold
a valid endorsement as VSO;
(2) After July 1, 2012, all personnel
with designated security duties must
hold a valid endorsement as vessel
personnel with designated security
duties, or a certificate of course
completion from an appropriate Coast
Guard-accepted course meeting the
requirements of 33 CFR 104.220; and
(3) After July 1, 2012, all other vessel
personnel, including contractors,
whether part-time, full-time, temporary,
or permanent, must hold a valid
endorsement in security awareness, or a
certificate of course completion from an
appropriate Coast Guard-accepted
course meeting the requirements of 33
CFR 104.225.
The Coast Guard agrees and has
amended § 15.1113 to address the
following issues: (1) Provide for the
appropriate application to vessels over
500 GT; (2) include all transitional
provisions from the STCW Convention
applicable to existing mariners; (3)
include an implementation date of
March 24, 2014, for new mariners; (4)
amend the requirements applicable to
contractors and other personnel to
ensure that they do not have to obtain
an endorsement; and (5) ensure persons
meeting the VSO requirements are
considered to have met the
requirements of training for personnel
with or without security duties.
Two commenters recommend that the
Coast Guard review the language in
§ 15.812(a)(1) to ensure that the intent of
this section is not to require ‘‘all
coastwise towing vessels,’’ which are
propelled by machinery and subject to
inspection under 46 U.S.C. chapter 33,
to carry a pilot irrespective of whether
they are actually engaged in towing.
The Coast Guard proposed no changes
to existing § 15.812(a)(1), and that
provision remains unchanged in this
final rule. For that reason, the
commenter’s request to revise the
conditions under which coastwise
towing vessels are required to carry a
pilot is outside the scope of the

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rulemaking. The Coast Guard may
consider this matter in a future, separate
rulemaking.
Two commenters recommend that, in
order to avoid confusion (or
disagreement with port state control on
what endorsements are required for
mariners on towing vessels), the Coast
Guard should work with vessel owners
to clarify, on a vessel’s Safe Manning
Document, what STCW requirements
must be met (e.g., 1 master (STCW III/
2), 2 licensed mates (STCW III/1), etc.).
The Coast Guard agrees and is
amending the manning requirements in
§§ 15.805 and 15.810 accordingly.
Furthermore, the Coast Guard will be
revising safe manning documents to be
consistent with the changes in this final
rule.
Fifteen commenters note that,
throughout the current language of Part
10 of title 46 of the Code of Federal
Regulations, there remain inaccurate
and outdated statements that mariner
credentials are valid only when
accompanied by a current
Transportation Worker Identification
Credential (TWIC). Since enactment of
the Coast Guard Authorization Act of
2010 (section 809 of Pub. L. 111–281),
these are incorrect statements as a
matter of law. Section 809 relieved a
mariner with a Coast Guard credential
who does not need unescorted access to
a secure or restricted space on a vessel
that has a Coast Guard-approved vessel
security plan (as required by the
Maritime Transportation Security Act of
2004, as amended) from the requirement
of obtaining a TWIC. The commenters
recommend that references to TWIC
should be altered to state ‘‘if required’’
or ‘‘as appropriate.’’
The Coast Guard agrees, and is in the
process of amending the TWIC
requirements in a separate rulemaking
(RIN 1625–AB80). Additionally, the
Coast Guard recently published
CG–CVC Policy Letter 11–15 to revise
the credentialing enforcement in regard
to TWIC.
One commenter states that the
SNPRM creates a de facto manning
requirement for any vessel subject to
STCW to carry a chief engineer. As the
STCW Convention only draws
restrictions for chief engineer
endorsements by horsepower, and most
seagoing towing vessels are well over
4,000 HP, the commenter states that the
regulations will effectively make an
unlimited chief engineer endorsement
required on all towing vessels. The
commenter recommends that the Coast
Guard take steps to minimize the impact
of this rule and assure that the United
States meets the requirements of the
STCW convention.

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The Coast Guard agrees in part. Those
mariners sailing with chief engineer
(limited) and DDE-unlimited
endorsements may obtain a
corresponding STCW endorsement at
the management level without raising
the grade or increasing the scope of their
national endorsement under §§ 11.325,
11.327, and 11.331.
One commenter recommends that,
with regard to existing mariners, the
Coast Guard expand the grandfathering
provisions so that chief engineer
endorsements may be issued for
engineers who are already deemed
qualified and currently sail as engineers
on seagoing towing vessels over 4,000
HP. Upon appropriate presentation of
proof of sea service, the commenter
recommends that these mariners be
granted a limited-scope license and
STCW endorsement that allows them to
continue to serve in their current
capacity.
The Coast Guard disagrees. Paths for
existing mariners with national
engineering endorsements to obtain an
STCW endorsement are already
included in §§ 11.325, 11.327, 11.329,
and 11.331.
One commenter notes that developing
future mariners for engineering licenses
will be more difficult. The engineering
department for towing vessels have
historically consisted of one-man engine
departments, with future engineers
being developed by identifying talented
and motivated deckhands or mechanics
and training them as an extra person
under the tutelage of the engineer for
several months (and, often augmented
by professional classroom training) until
they are deemed qualified. One possible
solution to this, the commenter says, is
to ensure that safe manning certificates
for these vessels only require a DDE and
OICEW (III/1). The commenter states
that this is also appropriate, as from a
competency-based evaluation, an
operational-level engineer is all that is
required to operate these engine rooms
due to the level of support from
shoreside management in managementlevel tasks.
The Coast Guard disagrees that a
change in the proposed rule is
necessary. Under existing regulations,
engineers are developed through on-thejob training and formal courses. The
commenter’s suggested solution is
already allowed under current
regulations, and the cognizant Officer in
Charge, Marine Inspection (OCMI) has
the authority to set manning
requirements on a vessel’s COI.
One commenter recommends that the
Coast Guard make the electro-technical
officer (ETO) and electro-technical

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rating positions mandatory on a vessel’s
COI.
The Coast Guard disagrees. We are not
planning to require these two positions
at this time in §§ 11.335 and 12.611. Not
all vessels require an ETO or rating.
There is no identified need at this time.
9. Transitional Provisions
One commenter states that §§ 11.493
through 11.497 seem to be inconsistent
with the underlying concept of a
domestic credential forming the ‘‘base’’
document upon which an individual
can receive an STCW endorsement. If
the primary requirement for these
endorsements is that an individual meet
the standard for the STCW
endorsement, the commenter asks, why
not simply put these sections in Subpart
C? In the commenter’s view, it seems
unsupportable to require an applicant
for OSV mate to meet the full
requirements for OICNW in § 11.309
and then serve an additional 12 months
to cross over to an STCW OICNW as
stated in Table 11.309(e).
The Coast Guard partially agrees. The
Coast Guard amended §§ 11.491, 11.493,
11.495, and 11.497 to separate the
national and STCW credentials to
ensure consistency with other
endorsement requirements. The Coast
Guard made additional changes to the
OSV endorsements for both deck and
engineer officers to include: (1) Sea
service requirements comparable to
other credentials; (2) the option to
complete an approved course for a mate
or assistant engineer to meet the sea
service requirements; and (3) the
progression from vessels less than 1,600
GRT/3,000 GT to more than 1,600 GRT/
3,000 GT for chief mate and master.
These changes also address the recent
passage of the Coast Guard
Authorization Act of 2010 (Section 617)
and the removal of the 500 GRT tonnage
limits on OSVs. These amendments will
ensure that mariners with existing
licenses or MMCs will have the
opportunity to progress to higher
credentials.
One commenter states that the value
of the transitional provisions will
depend on the date of the requirement
to hold an STCW endorsement as able
seafarer-Deck in accordance with
§§ 15.403(c) and 15.1103(b). If that
requirement comes into force on January
1, 2012, the commenter says, it will be
impossible for mariners to receive the
proper endorsements by the end of this
year, even under the transitional
qualification requirements. The
commenter recommends that the Coast
Guard set a date of compliance that will
give the affected mariners and the NMC

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enough time to process the applications
required.
The Coast Guard agrees. To ensure an
orderly transition consistent with
STCW, full implementation and
compliance is expected to be achieved
by January 1, 2017. The Coast Guard
amended § 15.1103 to reflect full
compliance by January 1, 2017.

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10. Assessments
One commenter recommends that the
Coast Guard amend § 11.323(b)(2) by
specifying the reference to ‘‘steam’’
distilling plants in proposed
§ 11.323(b)(2) and also recommends
adding ‘‘or completing STCW boiler
competencies’’ after ‘‘accepted training’’
to allow demonstration of proficiency in
addition to training.
The Coast Guard disagrees. The
common limitations placed on an
engineering credential will be for
service on vessels without certain
equipment, including auxiliary boilers,
waste heat boilers, distilling plants, oily
water separators, and sewage treatment
plants. An applicant may remove any
limitation at any time by demonstrating
the appropriate competencies. Although
the Coast Guard disagrees with the
comment, we updated and clarified
§ 11.323(b)(2) by including oily water
separators and sewage treatment plants
as additional limitations, and revising
the method available to an applicant to
remove these restrictions for his or her
MMC.
One commenter asks whether, if the
Coast Guard allows onboard
assessments for meeting portions of the
STCW standards of competence, those
vessels will be required to meet the
same QSS as outlined in § 10.410 since
they are in effect acting as a ‘‘training
provider.’’ Onboard assessments are not
training, the commenter states, and
therefore, they should not have to meet
the requirements for a QSS.
The Coast Guard disagrees. Because
onboard assessments are not training,
they will not have to meet the
requirements for a QSS. However, the
Coast Guard will be developing
guidance for the training and
certification of qualified assessors and
will be implementing an oversight
process for them as part of that
guidance.
One commenter states that requiring
the knots to be demonstrated as part of
a Coast Guard-approved course (see
§ 12.405(c)) is unduly restrictive. The
commenter recommends accepting this
demonstration if it is performed as a
Coast Guard-approved assessment
without the framework of a course, in
the same way as many of the proficiency

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demonstrations required for an STCW
officer endorsement.
The Coast Guard agrees. In general,
the Coast Guard will be approving a
system of qualified assessors as part of
this rulemaking. It is envisioned that
this system will allow for the
demonstration of assessments via an
approved course or separate from an
approved course. Any assessment,
associated with a course or not, and
used to satisfy STCW requirements,
must be submitted to the NMC for
approval prior to initiation. The Coast
Guard agrees that demonstration of the
knots is a skill that can be obtained
outside an approved course; therefore, a
demonstration of competence may be
achieved via assessment only.
The same commenter states that it
would be extremely helpful to list in
§§ 12.613(b)(3), 12.615(b)(3), and
12.617(b)(2) what assessments must be
conducted ashore.
The Coast Guard has amended text in
§§ 12.613, 12.615, and 12.617 to specify
the assessments that must be conducted
ashore for proficiency in survival craft,
basic safety training, and advanced
firefighting.
11. Sea Service
One commenter recommends that
mariners serving on the inside waters of
southeast Alaska should be granted dayfor-day service credit.
The Coast Guard agrees, and has
revised § 10.232 to accept service where
STCW is applicable on a day-for-day
credit.
Two commenters believe that there
will be an excess of mariners sailing
internationally as RFPNW if they are not
restricted to lookout duties until they
become able seamen-special in
accordance with the CFR. While the
RFPNW earns sea time and satisfies the
requirements of A/II–5 of the Code, the
path to A/B-special remains balanced if
the restriction remains in place, the
commenters state. Under the 1995
amended STCW Convention, an 11month program was created from entry
to A/B-special to meet the RFPNW/A/Bspecial training and assessment
requirements. Most of the competencies
of A/II–5 are accomplished in this
program. This existing program can be
modified to allow competencies for able
seafarer-deck to be added if the NMC
will continue to grant sea service credit.
Therefore, the commenters recommend
that the Coast Guard grant sea service
credit and actual sea service time to
mariners who are enrolled in an
approved program and who have
completed all other requirements of able
seafarer-deck and are otherwise
qualified for the endorsement.

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The Coast Guard disagrees. The 2010
amendments to the STCW Convention
allow for the reduction of sea service
requirements as part of an approved
training program. The applicant must
also meet the requirements for RFPNW
and the standards of competence for
able seafarer deck in Section A–II/5 of
the STCW Code. Section 12.603 is
consistent with the STCW requirements
for able seafarer deck. Furthermore, an
able seaman special would still need to
meet an additional sea service
requirement of 6 months.
One commenter asks if, with regard to
§ 11.305, the holder of a chief mate
credential working as the mate on a
fishing vessel of more than 1,600 GRT/
3,000 GT would receive sea service
credit as a chief mate, even though
manning does not require he or she to
hold this license and the vessel is not
subject to STCW.
The Coast Guard replies that where
the mariner holds a chief mate
credential, and fills the position as mate
on the fishing vessel, and the position
meets the definition of chief mate found
in § 10.107, that service will be credited
as chief mate.
Two commenters recommend that the
Coast Guard reduce the qualifying time
for near-coastal mate on vessels of less
than 200 GRT to a more attainable level,
perhaps more in line with the domestic
requirement of 1 year of sea time.
The Coast Guard agrees. Section
11.321 of the SNPRM and this final rule
allows seafarers holding a national
endorsement as mate near-coastal of less
than 200 GRT with 6 months of sea
service to qualify for an STCW
endorsement as OICNW of less than 200
GRT/500 GT. This provision is
consistent with Regulation II/3,
paragraph 4 of the STCW Convention.
One commenter believes that sea
service credit should be based on
horsepower and tonnage for engineer
and unlicensed engine room ratings and
that the same should apply to deck
license and ratings unless the scope of
service is excessively limited. The
commenter believes the latter should be
evaluated on a case-by-case basis. Also,
the commenter suggests that the NMC
train or supply their evaluators with
specific guidelines to preclude the
apparent inconsistencies issuing forth
from that office.
The Coast Guard partially agrees with
the commenter’s first statement,
realizing that there are differences in
acceptable sea time structure between
the deck and engine departments simply
because of inherent differences in what
deck officers and engineers are
responsible for. Skills for masters and
mates are relative to conditions, such as

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power versus sail propulsion and the
routes upon which they sail. Engineers
must have training and skills related to
the size and type of propulsion units
they operate, such as diesel engines,
steam boiler and turbines, or gas
turbines.
Currently, sea time for a credential for
licensed engineers (officer
endorsements) is based on both
horsepower and tonnage, depending on
the credential sought. Service is further
restricted to inland vessels only for
mariners who hold DDE 1,000 HP
credentials. However, we removed the
‘‘near-coastal’’ route restriction on chief
engineer (limited) endorsements.
Engine unlicensed (rating
endorsements) sea time is accepted from
any vessel on which such ratings are
required. Likewise, sea time for the
various categories of able seamen is
established in law (46 U.S.C 7306).
There has been no proposal to change
this practice.
With regard to the commenter’s
second suggestion, deck endorsements
that are excessively limited are
currently evaluated on a case-by-case
basis.
The NMC receives and measures
feedback from its customers, and
updates evaluator training. Specific
guidance and checklists tailored to the
endorsement under review are
important parts of all evaluators’ tools.

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12. Endorsements
Three commenters ask, with regard to
the separation of STCW and domestic
endorsements, whether a mariner could
have a domestic endorsement that is a
level up or down from his/her STCW
endorsement. If so, and if there is a
mismatch, which endorsement is
controlling?
The Coast Guard has amended
§§ 11.201(a), 12.201(a), and 13.601(a) to
ensure alignment between a mariner’s
national and STCW endorsements. The
duties and responsibilities must match.
In order to be considered for an STCW
endorsement, the applicant must have
or be receiving the equivalent national
endorsement. Also, the applicant cannot
request nor be considered for a lesser or
greater STCW endorsement than the
equivalent national endorsement that
they hold or will be receiving on their
MMC.
Two commenters state that, with
regard to § 11.422(a), the removal of the
150-ton category will be very helpful to
mariners who have been stranded at the
150 GRT limitation.
The Coast Guard agrees and has
retained the removal of the 150 ton
endorsement.

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Two other commenters recommend
that the Coast Guard reduce the tonnage
requirement for STCW endorsements
over 200 GRT/500 GT and less than
1,600 GRT/3,000 GT to 50 GRT.
The Coast Guard disagrees. It would
be inappropriate to reduce the tonnage
to 50 GRT, because of the differences in
equipment requirements on vessels of
such limited tonnage. The Coast Guard,
however, is revising the lower tonnage
to 100 GRT as was proposed in § 11.402
of the SNPRM.
The same commenters recommend
that the Coast Guard include OICNW on
vessels of less than 200 GRT/500 GT
(§ 11.309) in ‘‘may qualify for’’ master
domestic 500 GRT oceans (§ 11.418(c)).
The Coast Guard agrees to the
crossover from master of ocean or nearcoastal self-propelled vessel less than
500 GRT to OICNW of vessels 200 GRT/
500 GT or more (§ 11.309), and has
amended § 11.418 accordingly.
Four commenters recommend that all
masters and mates on existing
subchapter T/K U.S. flag vessels built
prior to July 18, 1982, with dual
tonnages be allowed to have their Coast
Guard licenses/MMC’s endorsed by the
Coast Guard to show the vessel’s
International Tonnage Certificate (ITC)
tonnage.
The Coast Guard disagrees. The
determination of a vessel’s ITC tonnage
is between the OCMI and the vessel
owner for each vessel. Except as noted
for 200 GRT/500 GT and 1,600 GRT/
3,000 GT, our credentialing scheme is
based on GRT. In addition, this
suggestion would inappropriately allow
a mariner to raise the tonnage authority
of their endorsements without serving
on progressively larger vessels. Also,
where the ITC tonnage is higher,
mariners must meet the higher
credentialing requirement to receive the
appropriate STCW endorsement.
One commenter notes that § 12.607(c)
states:
‘‘Seafarers holding a rating
endorsement as QMED before January 1,
2017 will be eligible for this
endorsement upon showing evidence of
holding an endorsement as an RFPEW.’’
The commenter requests that the Coast
Guard amend this section so there is no
confusion as to which QMED
endorsements apply to this section.
The Coast Guard agrees and has
amended § 12.607 to distinguish
between QMED endorsements.
One commenter does not believe
Table 12.607(e) is easy to read and
understand. The commenter says the
table should be rewritten and
reformatted to provide a complete
understanding of the requirements to

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obtain the endorsement of able seafarerengine.
The Coast Guard agrees and has
rewritten and reformatted Table 1 to
12.607(e) to include all domestic QMED
endorsements that will be eligible for
the STCW endorsement as rating as able
seafarer-engine in table 1 to 12.607(e).
This table provides an alternate path
with a reduced sea service requirement
to the able seafarer-engine endorsement
that will facilitate the transition from
domestic to STCW endorsements.
Additionally, the Coast Guard modified
all similar tables to avoid confusion.
One commenter recommends that
Table 12.609(d) should be rewritten and
reformatted to provide a complete
understanding of the requirements to
obtain the endorsement of electrotechnical rating.
The Coast Guard agrees and has
corrected the errors in Table 1 to
12.611(c), which was mislabeled as
Table 12.609(d).
One commenter recommends that the
Coast Guard add the words, ‘‘* * *
retain the STCW endorsements and
authority in force prior to 7/1/13’’ at the
end of § 11.301(i)(2) to make the intent
clear.
The Coast Guard disagrees that greater
clarity is needed. This section, as
proposed, already provided for
grandfathering, and the commenter’s
suggestion addresses manning
requirements that are addressed in part
15. In addition, in the event that the
operating authority of a mariner’s STCW
endorsement changes, this final rule
provides a means for them to qualify for
the appropriate endorsements.
One commenter recommends that the
Coast Guard reconsider its acceptance of
foreign service and experience in
§ 11.201(c)(4). In the commenter’s view,
any blanket acceptance of foreign
service would be deemed irresponsible
in the assurance of marine safety and
protecting the marine environment.
The Coast Guard agrees in part, but
asserts that no change is needed in
proposed § 11.201(c)(4). That section
does not provide for a blanket
acceptance of foreign service. Rather, it
provides for the Coast Guard to
determine that the foreign service is fair,
reasonable and equivalent to the service
acquired on a U.S. vessel. In addition,
these mariners will also be required to
meet any training and assessment
requirements.
One commenter recommends that the
Coast Guard establish a single
endorsement for Proficiency in Survival
Craft as contained in the STCW
Convention. The actual proficiencies for
this endorsement should cover all
commonly used survival craft. The

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commenter believes the proposed
segregation is unnecessarily
burdensome and the multiple layers of
certification for such a simple group of
proficiencies are pointless.
The Coast Guard disagrees. The
endorsement requirements were drafted
to ensure that mariners do not have to
meet the training requirements for
lifeboats if they sail onboard vessels that
do not carry lifeboats.
13. Security
Nine commenters object to
§ 15.1113(b) and (c). The current
requirements allow companies to tailor
their training to their particular
operation and eliminate areas that don’t
apply. In the commenters’ view, the
proposed rule would require companies
to send all personnel to a school to learn
subjects not pertaining to their
company’s operation, which would be
an unacceptable burden.
The Coast Guard disagrees. The 2010
amendments to the STCW Convention
require that persons serving onboard
STCW-compliant vessels meet a
standard of competence specified in the
Convention. At this time, the Coast
Guard intends to meet the STCW 2010
amendments on security training
through the existing regulations in 33
CFR subchapter H, subpart B, which
requires that such persons meet the
knowledge requirements via training or
equivalent job experience. For that
reason, paragraphs (b) and (c) of
§ 15.1113 in this final rule remain
unchanged from the SNPRM. If any
changes to 33 CFR 104.220 and 104.225
are needed, the Coast Guard will
consider including them in a separate,
future rulemaking.
Fifteen commenters note that the
proposed rule contains requirements
regarding training for vessel personnel
with security duties and also imposes a
responsibility for all other vessel
personnel to demonstrate training in
security. In the commenter’s view, these
provisions appear to apply only to
mariners serving on vessels subject to
the STCW Convention.
The 2010 amendments to the STCW
Convention (Section A–VI/6) require all
persons employed or engaged on a
seagoing vessel to have received
security familiarization. The term ‘‘all
persons’’ includes seafarers and other
personnel, including contractors,
whether part-time, full-time, temporary,
or permanent. At this time, the Coast
Guard intends to meet the STCW 2010
amendments regarding this subject
through the regulations in 33 CFR
104.225, which requires that all
contractors, whether part-time, fulltime, temporary, or permanent, must

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have knowledge on a number of topics,
through training or equivalent job
experience. The Coast Guard has also
amended § 15.1113 to ensure that all
contractors have knowledge of the
requirements, through training or
equivalent job experience, of 33 CFR
104.225.
Eight commenters object to any
suggestion in § 15.1113 to extend STCW
security training provisions to crew
members of vessels in domestic service
not subject to STCW.
The Coast Guard agrees. Under
§ 15.1101, subpart K of part 15 applies
only to seagoing vessels subject to the
STCW Convention, except vessels in
§ 15.1101(a)(1) and (a)(2). Accordingly,
§ 15.1113 applies only to vessels subject
to STCW as provided in § 15.1101. The
Coast Guard is not applying these
requirements to crewmembers on
vessels in domestic service that are not
subject to STCW. However, 33 CFR
104.220 and 104.225 contain the
security personnel requirements for
vessels in domestic service.
Seven commenters believe that the
requirements of § 15.1113(b) are too
stringent and exceed the requirements
of the STCW 2010 amendments. In the
commenters’ view, it fails to take into
account the transitional provisions
provided in STCW Code A–VI/6(5) and
(9).
The Coast Guard agrees. To ensure
mariners can meet the implementation
date requirements, the Coast Guard has
amended the proposed requirements in
§§ 12.625 and 12.627. The revised
sections will include the STCW
transitional provisions for security
awareness and for seafarers with
designated security duties that would
allow existing mariners that took a
course and/or can document service
onboard vessels to obtain an
endorsement. In accordance with
Section A–VI/6 of the STCW
Convention, this transitional provision
will only be available until March 24,
2014.
The same commenter would like
confirmation that individuals who
complete a Coast Guard-approved VSO
course, or those mariners whose MMC
is endorsed as VSO, will meet the
training and/or endorsement
requirements as vessel personnel with
designated security duties.
The Coast Guard agrees. The security
training requirements in the STCW were
developed as a progression where
‘‘security awareness’’ is the lowest level
of training and ‘‘vessel security officer’’
is the highest level of training.
Therefore, the VSO training meets the
requirements for vessel personnel with
security duties, and the vessel personnel

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with security duties meets the
requirements for security awareness.
The Coast Guard has added § 11.337 to
state the requirements for VSO,
amended § 12.625 to clarify
requirements for vessel personnel with
designated security duties, and
amended §§ 15.1113(b) and (d) to
establish the hierarchal relationship
between the three endorsements. Under
this system, for example, mariners who
completed VSO training would be
eligible for any position with a security
training requirement at the VSO level or
lower.
One commenter asks how the
additional requirements in STCW
regarding competencies related to antipiracy and anti-armed attack will be
addressed for existing VSOs and
grandfathered vessel personnel with
specific security duties and Maritime
Security Awareness-certified seafarers.
Will their current certifications be
grandfathered, will there be ‘‘bridging’’
courses covering these additional
requirements, or will they have to take
a new approved course by a certain
date?
At this time, the Coast Guard intends
to meet the STCW 2010 amendments on
this subject through the regulations in
33 CFR 104.220 and 104.225. The Coast
Guard will consider changes to 33 CFR
104.220 and 104.225 as part of a
separate rulemaking. Under this final
rule, all existing VSOs, vessel personnel
with security duties and other personnel
will be grandfathered and will not be
required to take refresher training on
piracy.7
One commenter notes § 15.1113(b)
states that ‘‘all personnel with security
duties’’ must hold a valid endorsement
as vessel personnel with designated
security duties. Unless this section is
revised, the commenter says, it could be
construed so broadly as to include every
person in the crew (except for the VSO),
which raises the concern—particularly
for cargo vessels with crews of limited
size—of placing an unnecessary and
unwieldy certification or formal training
burden on mariners and vessel
operators. The commenter recommends
that this section should use the term
‘‘personnel with designated security
duties’’ throughout.
The Coast Guard agrees. The Coast
Guard is revising the definition of
7 In regard to grandfathering, in general, each
STCW endorsement has grandfathering provisions
associated with it to accept the credentials issued
prior to the effective date of this rule except where
STCW imposes additional requirements. The Coast
Guard does not expect to add training requirements
on piracy for those mariners identified in our
response until 33 CFR part 104 is revised as part
of a separate rulemaking. A projected effective date
of that rule is not yet available.

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‘‘Vessel personnel with designated
security duties’’ to harmonize it with
the guidance in Section B–VI/6 of the
STCW Code and to ensure consistency
with the requirements in 33 CFR
104.220 and 104.225. The expression
‘‘with designated security duties’’
denotes those having specific security
duties and responsibilities in
accordance with the vessel security
plan. The Coast Guard amended the
requirements in §§ 12.625 and 15.1113
to ensure that the term ‘‘vessel
personnel with designated security
duties’’ is used throughout.
The same commenter recommends
minor revisions to §§ 12.625 and 12.627,
where STCW endorsements for ‘‘vessel
personnel with designated security
duties’’ and ‘‘security awareness’’ are
obtained by providing ‘‘satisfactory
documentary evidence’’ of meeting the
requirements in 33 CFR 104.220. Since
‘‘satisfactory documentary evidence’’ is
not defined, the commenter
recommends adding language to read
‘‘Present satisfactory documentary
evidence, such as a certificate or letter
signed by a company official, or a
certificate of completion from an
approved training course, of meeting the
requirements in 33 CFR 104.220.’’
The Coast Guard agrees and has
amended the text accordingly. At this
time, the Coast Guard intends to meet
the STCW 2010 amendments regarding
security training via the regulations in
33 CFR 104.220 and 104.225, which
require personnel to have knowledge on
a number of topics. Documentary
evidence may include a certificate or
letter signed by a company official or a
certificate of course completion from a
Coast Guard accepted course.
One commenter states that, with
regard to §§ 12.625(a) and 12.627(a), the
Coast Guard does not describe or
identify the process for obtaining
security endorsements or certificates for
existing mariners that have already
received security awareness, security
system and security duties-related
training. The ‘‘grandfathering’’ of
existing mariners who received the
appropriate training and are working
under a MTSA-required security system
prior to July 1, 2012, is not addressed.
Neither does the proposal indicate if the
organization may issue course
completion certificates for existing
mariners or define a process for
documentation of past training and
service under a security system.
Previous training needs to be accepted
as meeting the requirements for
issuance of certification prior to July 1,
2012.
The Coast Guard agrees and has
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§§ 12.625 and 12.627. These sections
will include the STCW transitional
provisions for security awareness and
for seafarers with designated security
duties that would allow existing
mariners who took a course and/or can
document service onboard vessels to
obtain an endorsement. In accordance
with Section A–VI/6 of the STCW
Convention, this transitional provision
will only be available until March 24,
2014.
One commenter states that these
requirements should include the
acceptance of approved, non-proctored,
eLearning Computer Based Training
(CBT) to meet the requirements of
§ 15.1113.
The Coast Guard agrees. The
requirements in 33 CFR 104.220 and
104.225 allow for the use of in-house
training, which includes eLearning and
distance learning. The Coast Guard will
consider a separate, future rulemaking if
changes to those sections are needed.
One commenter recommends that the
Coast Guard amend § 12.625 to read as
follows:
(a) An applicant for an STCW
endorsement as vessel personnel with
designated security duties must:
(1) Present satisfactory documentary
evidence of meeting the requirements in
33 CFR 104.220; and
(2) Meet the physical examination
requirements in 46 CFR, part 10, subpart
C.
The same commenter recommends
that the Coast Guard amend § 12.627 to
read as follows:
(a) An applicant for an endorsement
for security awareness must:
(1) Present satisfactory documentary
evidence of meeting the requirements in
33 CFR 104.225; and
(2) Meet the physical examination
requirements in 46 CFR, part 10, subpart
C.
The Coast Guard partially agrees. The
two requirements proposed by the
commenter are included in this final
rule in §§ 12.625 and 12.627. However,
an additional requirement to meet the
safety and suitability requirements and
the National Driver Registry review
requirements in § 10.209(e) is included
in this final rule in accordance with 46
U.S.C. 7101.
One commenter notes that, with
regard to § 15.1113, applicants will, in
the near term, have to rely on the STCW
Code transitional provisions, which
permit use of experience, as opposed to
approved training, to qualify for these
endorsements until January 1, 2014.
This will not be an option for new
mariners and others without relevant
experience. Not only are adequate
training resources unlikely to be

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available, but the commenter states it is
also not clear that there will be
sufficient time for compliance by those
with adequate experience. Presumably
mariners cannot apply for, and the Coast
Guard cannot issue, endorsements until
they are authorized by regulation.
The STCW Convention requires that
mariners who commenced service after
January 1, 2012, meet the training
requirements for vessel personnel with
designated security duties and security
awareness, as appropriate. In addition,
the STCW Convention also provides
transitional provisions for mariners who
started service prior to January 1, 2012.
Recognizing that the implementation
date was fast approaching, and that
there may be practical difficulties for all
seafarers with security related
requirements to obtain necessary
certifications and/or the necessary
endorsements required in accordance
with Regulation VI/6 of the 2010
amendments to the STCW Code and
Convention, the IMO issued Circular
STCW.7/Circ.17 providing advice for
port state control officers on transitional
arrangements leading up to full
implementation of the 2010
amendments to the STCW Code and
Convention on January 1, 2017. The
circular recommends that
administrations should inform their port
state control authorities that, until
March 24, 2014, even if a seafarer’s
documentation with regard to the
security-related training in regulation
VI/6 is not in accordance with the 2010
amendments to the STCW Convention
and Code, it would be sufficient to
accept compliance with section 13 of
the ISPS Code. Taking the information
in the circular into account, the Coast
Guard has amended § 15.1113 to
implement the requirements for ‘‘vessel
personnel with designated security
duties’’ and for ‘‘security awareness.’’
The requirements in 33 CFR 104.220
and 104.225 meet the requirements of
Section 13 of the ISPS Code.
14. Course approvals
One commenter requests existing
guidance on instructor qualification be
published immediately and prior to the
intended NVIC.
The Coast Guard is working to
provide guidance on this subject as soon
as practicable with a NVIC within 60
days of publication of this rule or as
soon as possible.
Two commenters offered several
recommendations for improvement of
the course/program approval process
through clarification, elimination, or
addition of certain requirements. More
specifically, the commenters suggested
that the Coast Guard provide guidance

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on the content of course approval
application components, including the
cover letter, teaching syllabus, goal
statement, assessment tools, and course
completion certificates.
The Coast Guard agrees in part with
these recommendations and some have
been incorporated into this final rule
while some will be published in a NVIC.
For clarification, the cover letter should
contain a general description to clearly
describe the request. The goal statement
should explain the overall intent of the
course or program while the
performance objectives should support
the goal statement with individual
components of the entire course.
Assessment instruments include all
methods used to measure the abilities of
the student to successfully complete the
course/program. For both initial and
renewed approvals, instructors must
have performed the instruction within
the previous 5 years or provide evidence
of current training in instructional
techniques (i.e. Train the Trainer).
One commenter believes the copy of
the course completion certificate in the
course approval submission is
redundant.
The Coast Guard disagrees. The
certificates are required to ensure they
will contain the necessary information
used by professional qualification
evaluators at NMC to verify course
completion. The Coast Guard hopes to
eliminate the need for course
completion certificates with a future
electronic solution. Until then, the
certificates are a required component of
the course approval submission
package.
One commenter notes that, in
§ 10.403(a)(2), the phrase ‘‘visual aids
for realism’’ is vague and unnecessary.
He recommends that the item read,
‘‘Have the equipment necessary,
including simulators where appropriate.
. . .’’
The Coast Guard agrees and has
changed ‘‘visual aids for realism’’ to
‘‘the necessary equipment. . . .’’
Necessary equipment encompasses
more than just visual aids.
The same commenter notes that
§ 11.301(a)(1)(xiii) probably should read
‘‘ . . . successful completion of an
approved course’’ because the courses
are approved. An approved school
could run a non-approved course.
The Coast Guard agrees. This change
has been made to ensure consistency
with other sections.
One commenter contends that the
proposed requirements to obtain course
approval in § 10.402 are excessive and
exceed the information required in IMO
model courses. It is recommended that
the Coast Guard minimize the

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administrative burden and cost on all
training providers by requiring only the
information currently required for IMO
model courses.
The Coast Guard partially agrees. All
of the course approval application
requirements in § 10.402 are critical
components of a curriculum package
and are required for review by the
regulatory agency granting approval.
The IMO model courses are not meant
to be the documentation model for
approval. They are meant to help
organize and present the training
course. To ensure consistency in the use
of the terminology, the Coast Guard has
amended § 10.402 to use the IMO model
course terminology.
The same commenter states that
§ 10.402 for course approval and
§ 10.403 for general standards for
courses appears to have been written
with non-academy training institutions
in mind, who offer only individual
stand-alone courses. The commenter
therefore recommends that the Coast
Guard consider separating the
requirement for approved courses and
approved programs by adding a separate
section in the regulations that apply
only to maritime academies, or other
similar institutions that operate under
multi-year approved education and
training programs.
The Coast Guard agrees and new
section § 10.407 has been created to
apply solely to training programs. The
Coast Guard recognizes that the 4-year
academy training programs are subject
to standards by state and regional/
national accrediting bodies and
therefore will accept information from
these accrediting bodies to meet one or
more of the course approval
requirements. Standardization of the
requirements for training programs will
simplify the regulations and reduce
administrative costs, which can be
passed on to mariners as a reduction of
the cost of training.
The same commenter notes that in the
Coast Guard’s response to comments on
the NPRM, which were published in the
SNPRM, concerning the need for greater
specificity regarding the qualification
requirements for instructors, the Coast
Guard states that this beneficial
information would be better provided
by a NVIC or similar guidance
document. The commenter urges the
Coast Guard to engage in a dialogue
with the public academies before
initiating any such policy.
The Coast Guard agrees. Additional
details on the qualification for
instructors in § 10.402 will be provided
by a NVIC or similar guidance
document which we plan on issuing
after the publication of the final rule.

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The Coast Guard will gather industry
input and comment through MERPAC
and/or through notice and comment.
Three commenters object to
§ 10.403(a)(7), which states that each
school with an approved course must
not change its approved curricula
without approval from the NMC as
specified in § 10.402(e) of this subpart.
Supplemental material to enhance
relevant learning points is regularly
used to enhance Coast Guard-approved
courses and approved curriculum. This
allows students to stay current with
industry and regulatory changes
between course approval submissions.
The commenter recommends that this
section be changed to read ‘‘not
significantly change its approved
curriculum without approval from the
NMC’’.
Another commenter recommends that
the Coast Guard define which
significant changes to courses or
training programs require approval,
including changes in curriculum,
classrooms, and new simulators.
The Coast Guard agrees and has
amended § 10.403(a)(7) to ensure that
only significant changes are submitted
for review and approval. We plan to
issue additional details on changes to
curricula by a NVIC or similar guidance
document after the publication of the
final rule. The Coast Guard will gather
industry input and comment through
MERPAC or through notice in the
Federal Register.
One commenter states that all course
providers know and understand that the
Coast Guard currently uses internal
guidance on instructor qualifications for
approval in each course area. This
guidance would be beneficial to
maritime training providers and would
assist them in saving time, effort, and
resources. The commenter believes that
the Coast Guard should publish the
current internal guidance until a NVIC
can be published.
The Coast Guard agrees that all
guidance on instructor qualification
should be made available to the public.
The Coast Guard will make available
any of the current instructor
qualification requirements on the
NMC’s Web site. Additional details on
the qualification for instructors will be
provided by a NVIC or similar guidance
document, which we plan on issuing
after the publication of the final rule.
The Coast Guard will gather industry
input and comment through MERPAC
and/or through notice in the Federal
Register.
Two commenters recommend that, in
§ 10.402(b)(5)(iii) the word ‘‘hold’’
should be changed to ‘‘has held’’ in the
requirement that course instructors

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‘‘hold a license, endorsement, or other
professional credentials . . . .’’ There
are mariners who have come ashore
and, for whatever reason, did not renew
their licenses.
Another commenter objects to the
requirement in § 10.402(b)(5) that course
instructors ‘‘hold a license,
endorsement, or other professional
credential that provides proof of having
attained a level of qualification equal or
superior to the relevant level of
knowledge, skills, and abilities
described in the performance objective.’’
Many maritime security instructors
come from military or law enforcement
backgrounds and have substantial
relevant experience, but no piece of
paper that proves their qualifications.
The Coast Guard agrees, and has
deleted the requirement that the
instructor hold a license, endorsement,
or other professional credential in
proposed § 10.402(b)(5) and broadened
the requirement for instructors now
found in § 10.402(b)(2)(iii)(C). The
instructor must have the level of
experience and qualification equal or
superior to the relevant level of
knowledge, skills, and abilities
described in the performance objective.
One commenter notes that training
onboard vessels and on-the-job training
are critical to a mariner’s growth and
experience. However, the commenter
states that ships’ facilities and areas
used as ‘‘training rooms’’ may not meet
the Coast Guard requirements for shoreside facilities. This seems in conflict
with the Coast Guard’s initial reasoning
for establishing such classroom criteria.
Additionally, the working environment
onboard a continually operating,
revenue generating ship may be in
conflict with a focused, uninterrupted
learning environment for sufficiently
rested mariners. Will vessels providing
training to meet the onboard
assessments (e.g., Basic Safety
Training’s first aid element) be required
to meet the same course requirements,
training facility requirements, and serve
the Coast Guard the same 21-day
advanced notice of training? If not, then
the commenter says there is a major
discrepancy between shore side and
onboard training.
All Coast Guard-approved training
will have to meet the requirements in
the regulation. The Coast Guard will
issue a NVIC with additional
information on any departure or any
interpretation of these regulations
regarding on-the-job training. The
option for onboard training and
assessments is permitted provided the
vessel has the equipment and
capabilities necessary for successful
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Two commenters object to the
requirements in § 10.402(b)(1)(ii) and
(b)(6), which require training providers
seeking course approval to submit
detailed site information. Holding a
course at an alternative location already
requires approval from the NMC.
This is an integral part of the
oversight process and is necessary to
prevent the use of spaces unsuitable for
classroom purposes. Further, detailed
site information is required as part of an
application for course approval, which
is not redundant with any subsequent
request for approval of an alternative
location. However, the Coast Guard
appreciates the concern and will make
efforts to expedite the process. We plan
to issue additional details on changes to
curricula by a NVIC or similar guidance
document after the publication of the
Final Rule. The Coast Guard will gather
industry input and comment through
MERPAC and/or through notice in the
Federal Register.
15. Quality Standards System (QSS)
One commenter notes that the Coast
Guard proposes to add QSS
requirements for Coast Guard-approved
courses. The commenter states that this
proposal is incomplete in that it does
not include the standard of performance
metrics that are to be applied.
Furthermore, it does not provide
exemptions for companies that maintain
and audit their training programs to ISM
or ISO codes. While the proposal does
appear to provide for the application of
ISM or ISO codes, the commenter says
it seems to do so outside of a company’s
existing ISM safety management system
and framework.
The same commenter notes that the
Coast Guard proposes to accept
documentation from a national
academic accreditation body or from a
national or international quality
standard system as meeting one or more
of the QSS requirements. The
commenter states that this proposal is
superfluous and, if implemented, its
application should be limited to
maritime training institutions and
schools.
Section 10.410(e) as currently written
is broad and does not apply only to
training institutions and schools. That
paragraph of the SNPRM provided that
Coast Guard will accept documentation
from a training institution certified
under ISO as evidence of satisfying one
or more of the requirements in
§ 10.410(c). However, the Coast Guard
recognizes that other management
systems should be included as a means
to comply with the QSS requirement.
Therefore, the Coast Guard has added a
new paragraph (g) to include ISM,

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which is an industry-wide system, as an
alternate means of compliance for the
QSS provision. This will allow schools
that currently implement ISM to comply
with the new QSS requirements without
needing to modify their programs.
Regarding the issue of performance
metrics, the STCW Convention already
specifies the metrics. It is expected that
the QSS ensure compliance with the
STCW requirements as implemented by
the regulations.
One commenter asks for justification
and confirmation regarding the QSS
requirements contained in § 10.410 as
they apply to the state maritime
academies. Based on the rigorous
standards for accreditation by regional
and national organizations, and the
ongoing self-assessment review of their
licensing programs and individual
courses at each of the academies, as well
as Coast Guard and U.S. Department of
Transportation Maritime Administration
(MARAD) oversight of their training
programs through the Joint Coast Guard/
MARAD/Academy Review Committee
Charter utilized since the
implementation of the 1995 STCW
amendments, the commenter believes
the academies already meet the spirit
and intent for a QSS as allowed by
STCW Sections B–l/8–5 and 7 where
‘‘education quality standards’’ and
‘‘government agencies’’ are permitted to
satisfy the QSS requirements.
The Coast Guard disagrees. The Coast
Guard does not have flexibility in
whether or not the QSS or the
independent evaluation is implemented,
since this is a Convention requirement.
All courses and programs in support of
an STCW certificate must meet the
STCW requirements. Section 10.410(e)
was included to give the academies
credit for their accreditation program.
The Coast Guard recognizes that there is
some overlap between the oversight
provided by the different accreditation
bodies and the Coast Guard
responsibility for oversight to meet the
STCW requirements. While we
recognize the Academies’ courses are
already subject to a review and
oversight process, it does not assess
compliance with STCW, nor does this
process ensure a quality system
oversight of those STCW items. It is
envisioned that the academies can use
documentation from the academy
accreditation process to meet the
requirements for a QSS. Consequently,
the manual may take the form of a
reference document for those areas that
are part of the Academies’ accreditation
program, and detailed information will
be required to fill gaps between the QSS
requirements and the Academies’
accreditation information.

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One commenter recommends that,
with regard to § 11.410, the Coast Guard
consider a transitional provision, which
would approve stand-alone courses
containing any new training or
assessments mandated by the 2010
STCW amendments, and would be
required for mariners who begin their
service or training on or after July 1,
2013. This provision would allow
training providers until January 1, 2017,
to implement a QSS for all stand-alone
Continuing Education courses offered
after that date.
The Coast Guard agrees that a
transitional provision is necessary to
ensure course providers are afforded
time for implementation. The Coast
Guard has amended § 10.410(f) to
ensure that all courses, programs and
training creditable towards STCW meet
the requirements of a QSS by January 1,
2017. Furthermore, during this
transitional period, the Coast Guard will
accept course completion certificates
submitted with mariner applications in
order to ensure mariners are not
impacted while the course providers are
in the process of coming into
compliance with the QSS requirements.
One commenter notes that the Coast
Guard proposes to add QSS
requirements for training schools
offering Coast Guard-approved STCW
courses. According to the commenter,
bona fide training schools will have few
issues with this if done in a reasonable
and cost-effective manner. However, in
the commenter’s view, there has been a
lack of any substantive or realistic
oversight by the Coast Guard of training
schools. If the Coast Guard does not
engage itself in meaningful and practical
training school oversight, it’s not clear
how a QSS will solve this issue.
The Coast Guard agrees with the need
for robust oversight. The QSS
requirements are meant to work with
the new oversight provisions in
§§ 10.409 and 10.410. The Coast Guard
continues to work to improve its
oversight responsibilities over the
training schools.
One commenter notes that, with
regard to § 10.410, course providers
have not actually ‘‘arranged’’ for any
Coast Guard audits. The commenter
expects that the Coast Guard will
continue to notify training providers of
the dates of intended administrative
visits.
The Coast Guard agrees and has
amended the text in § 10.410 to clarify
this point.
One commenter believes, with regard
to § 10.410, that the Coast Guard must
retain oversight and provide a no-cost
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The Coast Guard agrees. The Coast
Guard is not mandating the third-party
auditor. The Coast Guard is providing
two alternatives for the QSS in
§ 10.410(b): (1) Third party quality
system oversight through a Coast Guardaccepted QSS organization; or (2) where
the organization develops their own
QSS and the Coast Guard does the
oversight.
One commenter asks why, in
§ 10.409(f), in the information to be
submitted by the QSS Organization
related to approved courses, a oneparagraph description of course content
is required. Wouldn’t it be better to have
a standard course code, developed by
Coast Guard/NMC, to which the QSS
Organization refers in the submission
document?
The Coast Guard disagrees. We allow
training providers discretion to tailor
their courses or programs to meet their
unique needs, and the Coast Guard will
approve such courses and programs for
any requirements the training may
satisfy. Accordingly, we consider it
infeasible to require the use of standard,
‘‘one size fits all’’ course codes because
such a step would significantly reduce
flexibility for training providers.
One commenter asks whether the
reference to certification of international
quality management systems standards
acceptable for training providers in
§ 10.410 includes maritime education
and training standards such as ones
being used internationally by the
commenter’s QSS organization, which
are based on ISO 9001, and are designed
especially for maritime training
providers and courses.
Yes. The Coast Guard has provided
for the use of other nationally and
internationally-accepted quality
management systems standards (e.g.,
ISO 9001) in § 10.410(e).
One commenter asks if the
applicability of the requirement for
approval of training courses and
programs in § 10.401 include courses
and programs put on by ship owners
and operators for their own seafarers or
others. If so, must these ship owners/
operators have their own QSS? And if
so, will the QSS system need approval?
The requirements in § 10.401 do not
differentiate between courses provided
at a training institution or onboard a
vessel. Therefore, all courses which may
be accepted instead of service
experience or examination required by
the Coast Guard must meet the
requirements in § 10.401. Courses
offered by vessel owners/operators will
also need to meet the QSS requirements.
The Coast Guard recognizes that vessels
subject to STCW are also subject to the
ISM and that there is some overlap

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between the QSS requirements in
§ 10.410 and the ISM requirements. To
address this overlap the Coast Guard has
included a new subparagraph
§ 10.410(g). It is envisioned that the
vessel owners and operators will use
ISM documentation to meet the
requirements for a QSS.
One commenter is concerned that the
proposed requirement to participate
with a QSS is not clear. It is unclear
whether or not Coast Guard approval of
a training course is an alternative to
using a QSS. Nonetheless, it is
important that a course provider, having
Coast Guard approval for one or two
courses, be allowed to continue to
submit these courses directly to the
Coast Guard for approval. For small
companies that have one or two courses,
a relationship with a QSS is impractical,
burdensome and unnecessarily
expensive.
Section 10.410(a) requires that all
providers of Coast-Guard approved
courses, programs, training and Coast
Guard-accepted training towards an
STCW endorsement maintain a QSS.
The Coast Guard is providing two
alternatives for the QSS in § 10.410(b):
(1) Third-party quality system oversight
through a Coast Guard-accepted QSS
organization; or (2) where the
organization develops their own QSS
and the Coast Guard does the oversight.
Furthermore, the Coast Guard is
accepting documentation from
equivalent standards as meeting one or
more of the QSS requirements: (1) A
national academic accreditation body;
(2) a national or international quality
management system standard (e.g., ISO
9001); and/or (3) ISM.
Three commenters ask if the QSS
requirements apply only to STCW
courses. If it applies to all courses, this
is a huge expansion, the commenters
said, and doesn’t add any benefit to
non-STCW courses compared to the
pain imposed on small maritime
educators.
The QSS requirements in § 10.410
only apply to Coast-Guard approved
courses, programs, training and Coast
Guard-accepted training leading
towards an STCW endorsement.
One commenter agrees with the QSS
proposal as written. However, the
commenter says there needs to be
further explanation of the ‘‘National
Academic accreditation body’’ the Coast
Guard is proposing. Who, what, and
where is the organization based, what
are their credentials, and how do they
apply to the maritime industry?
The Coast Guard agrees in part.
Because of the large volume of academic
accreditation bodies in the U.S., the
Coast Guard is not including them in

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the rulemaking. The Coast Guard will
publish guidance on those accreditation
bodies accepted by the Coast Guard. The
accreditation bodies include: (a) The
New England Association of Schools
and Colleges; (b) Middle States
Association of Schools and Colleges; (c)
Southern Association of Schools and
Colleges; (d) North Central Association
of Schools and Colleges; (e) Western
Association of Schools and Colleges;
and (f) American Council on Education.
One commenter asks, with regard to
§ 10.409, if there will be user fees
associated with conducting audits,
reviewing programs, and issuing letters
of acceptance to QSS.
The Coast Guard may consider
establishing such fees as part of a
separate, future rulemaking.
16. Applicability
Four commenters state that a lot of the
regulations start out with the phrase ‘‘all
personnel.’’ However, STCW mainly
applies only to self-propelled vessels.
The commenters ask the Coast Guard to
differentiate the application of the
regulations.
The Coast Guard agrees in part. The
Coast Guard has made some additional
changes to the text to ensure clarity.
Section 15.1101 specifies that the
regulations in subpart K apply only to
vessels subject to the STCW
Convention. The requirements apply to
self-propelled vessels that operate
beyond the boundary line specified in
46 CFR part 7, except for those vessels
exempted from the application under
§ 15.1101(a)(1), and small vessels
engaged exclusively on domestic
voyages that are not subject to any
obligations under the STCW Convention
under § 15.1101(a)(2).
One commenter recommends that the
Coast Guard should interpret the STCW
Convention to regard pilot vessels as not
being considered seagoing ships because
they operate ‘‘in waters within, or
closely adjacent to, sheltered waters or
areas where port regulations apply’’ in
accordance with Article II of the STCW
Convention.
The Coast Guard agrees and has
revised §§ 15.105(f) and 15.1101(a) to
exclude pilot vessels engaged on
pilotage duties from the application of
STCW.
One commenter asks how the A/B–
Mobile Offshore Drilling Unit (MODU)
endorsement, which is recognized in the
Marine Safety Manual, will be affected
by the proposed rulemaking.
The rating of A/B–MODU is not
affected by this rulemaking. Unlike the
other A/B ratings established pursuant
to 46 U.S.C. 7306–7311a, A/B–MODU is
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regulation. The A/B–MODU
endorsements for ratings were issued to
address a perceived deficit of seaman
qualified for the unique requirements of
serving onboard a MODU. However, it is
likely that the Coast Guard will work to
phase out this endorsement, providing
transitional procedures that will allow
those currently holding this rating to
continue to serve aboard MODUs.
Two commenters state that proposed
§ 12.409(a) requires every person
serving onboard vessels fitted with
liferafts, but not fitted with lifeboats, to
hold an endorsement as lifeboatmanlimited. The commenter recommends
that the Coast Guard amend this section
to read that ‘‘those serving under the
authority of this rating endorsement’’
must hold the endorsement.
The Coast Guard agrees and has
amended § 12.409(a) to clarify that
persons fulfilling the manning
requirements for lifeboatman must hold
a lifeboatman-limited endorsement.
One commenter states that proposed
§ 15.520(e) would exempt a
dynamically-positioned drillship from
its requirements. As written this section
requires that a drillship be under the
command of an MMC officer with an
endorsement as master when underway,
and an endorsement as offshore
installation manager (OIM) when on
location. Appendix (i) to the Coast
Guard-BOEMRE Deepwater Horizon
Joint Investigation Final Report
concluded that a dynamicallypositioned drillship is never on
location. Therefore, the commenter
concludes that a dynamicallypositioned drillship master would not
require an OIM endorsement since it is
never on location.
The Coast Guard disagrees. The text
in § 15.520(e) has been amended to
clarify that drillships operating with a
dynamic positioning system (DP) must
be under the command of a master with
an OIM endorsement.
One commenter notes that the
proposed rule changes apply to
mariners who operate internationally,
seaward of the boundary line. The Coast
Guard states in the SNPRM that it does
not intend to ‘‘apply strict international
standards upon our domestic mariners.
. . .’’ The commenter does not agree
that operations on the Great Lakes and
in the Inside Passage (extending
between Seattle, Washington; British
Columbia, Canada; and southeast
Alaska) should be exempt from the
STCW Code. Those areas are as
navigationally complex and
operationally challenging as
international oceangoing voyages and
thus deserve the high safety standards
that STCW provides, standards which,

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the commenter believes, are not met by
existing Coast Guard domestic
regulations for inland waters.
The Coast Guard partially agrees. The
STCW Convention applies to mariners
serving on seagoing vessels, except
pleasure craft, fishing vessels, and
vessels entitled to sovereign immunity
such as warships. Article II of the STCW
Convention defines a seagoing ship as a
ship other than one that ‘‘navigates
exclusively in inland waters or in
waters within, or closely adjacent to,
sheltered waters or areas where port
regulations apply.’’ The STCW
Convention does not apply to vessels
operating on the Great Lakes. The
provisions in this final rule that would
implement amendments to the STCW
Convention only apply to commercial
vessels operating seaward of the
boundary line, as specified in 46 CFR
part 7. Vessels on the Inside Passage
between Puget Sound and Cape
Spencer, Alaska, are not exempted from
the application of the STCW
Convention. Discretionary application
of STCW standards on inland waters is
neither necessary nor supported by
historical casualty data, which do not
demonstrate the need for substantive
changes to domestic regulations for
inland waters. The Coast Guard does not
intend to apply international standards
to our domestic mariners in this regard.
One commenter states that the final
rule should clearly state that the
requirements of STCW do not apply to
inland towing operations or to
crewmembers who work on inland
towing vessels.
The Coast Guard agrees and
emphasizes the STCW Convention
applies to mariners serving on seagoing
vessels, except pleasure craft, fishing
vessels, and vessels entitled to sovereign
immunity such as warships. Article II of
the Convention defines a seagoing ship
as a ship other than one that ‘‘navigates
exclusively in inland waters or in
waters within, or closely adjacent to,
sheltered waters or areas where port
regulations apply.’’ The provisions in
this final rule that implement
amendments to the STCW Convention
only apply to commercial vessels
operating seaward of the boundary line,
as specified in 46 CFR part 7.
Three commenters state that, since the
STCW Convention and Code were
written to correct the well-documented
lack of competence and professionalism
on some large, deep-sea vessels with
large and diverse crews, the authors and
users of the U.S. MMC regulations need
to remember that the U.S. workboat
fleet, consisting of tugs, OSVs,
crewboats, seismic boats, etc., are NOT
small ships. These boats have simplistic

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and redundant propulsion systems,
wheelhouse engine control, small crew
size, and typically operate on nearshore
voyages with well-documented
competence and an exemplary safety
record. As such, a ‘‘one-size-fits-all’’
STCW system is unwarranted,
unworkable, and unfair to the workboat
fleet, say the commenters. They note
and appreciate that the SNPRM has
shown some flexibility in application to
workboats, but say more flexibility is
needed to avoid damage to this
industry.
The Coast Guard recognizes that onesize-fits-all is not the correct
implementation of the STCW
Convention to the U.S. industry. Taking
this into account, the Coast Guard has
included the flexibilities provided by
the Convention in this rule. For
example, the regulatory text in 46 CFR
part 11 includes an allowance for
knowledge, understanding and
proficiencies that may not be applicable
to a certain type of vessel, in which case
a limitation would be issued. Such
exemptions are consistent with the
Convention flexibility that allows for
limitations based on size, operational
area and vessel type.
Three commenters state that
§§ 15.403(c) and 15.404(a) are too broad.
They recommend that the Coast Guard
replace ‘‘200 GRT/500 GT or more’’ with
‘‘500 GRT or more on a domestic voyage
or 200 GRT/500 GT or more on an
international voyage’’ for clarity and
accuracy.
The Coast Guard disagrees. The Coast
Guard has amended §§ 15.403(c) and
15.404(a) by replacing ‘‘200 GRT/500
GT or more’’ with ‘‘500 GT or more’’
consistent with the STCW requirements
for RFPNW and able seafarer-deck. The
STCW is a binding agreement with
foreign countries, and these tonnage
cutoffs are required by the STCW
Convention.
The same commenters feel that the
last sentences in §§ 15.404(b) and
15.404(d)(3) are overly broad. They
suggest replacing them with ‘‘An Able
Seaman filling an A/B billet on the COI
and serving onboard a seagoing vessel,
except those vessels listed in § 15.105(f)
or (g) of this part, must also hold an
STCW endorsement as able seafarerdeck.’’ They also suggest replacing the
last sentence in § 14.404(d)(3) with ‘‘A
QMED filling a QMED billet on the
Certificate of Inspection and serving
onboard a seagoing vessel, except those
vessels listed in § 15.105(f) or (g) of this
part, must also hold an STCW
endorsement as able seafarer-engine.’’
The same commenters feel that
§§ 15.404(e) and 15.404(f) are inaccurate
as drafted. They suggest that ‘‘Persons

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serving on vessels subject to the STCW
Convention’’ be replaced with ‘‘Persons
serving as Lifeboatman onboard a
seagoing vessel, except those vessels
listed in § 15.105(f) or (g) of this part’’.
The Coast Guard disagrees with
adding the proposed text because it
would be redundant with the text in
§ 15.105(f) and (g). Furthermore, to add
such a phrase might lead to confusion
on those vessels that have a lifeboatman
manning requirement without the
associated STCW manning requirement.
Finally, the exemptions in §§ 15.105(f)
and (g) apply to all of 46 CFR part 15,
including § 15.404. Vessels listed in
§ 15.105(f) or (g) are already exempted
from STCW compliance.
The same commenters ask if the
endorsements in §§ 15.404(i), (j) and (k)
are national endorsements, STCW
endorsements, or both.
These endorsements are STCW
endorsements.
Three commenters recommend that
the Coast Guard amend proposed
§ 15.1103(b) by replacing ‘‘200 GRT/500
GT or more’’ with ‘‘over 500 GRT on a
domestic voyage or over 200 GRT/500
GT on an international voyage’’ for
clarity and accuracy.
The Coast Guard disagrees. The Coast
Guard amended §§ 15.403(c) and
15.404(a) by replacing ‘‘200 GRT/500
GT or more’’ with ‘‘500 GT or more’’
consistent with the STCW requirements
for RFPNW. STCW is a binding
agreement with foreign countries, and
these tonnage cutoffs are required by the
STCW Convention.
One commenter states that, in
§ 15.1101(a)(2)(ii), STCW vessel
certificates don’t apply to vessels of less
than 200 GRT/500 GT. However in
§ 15.1103(c), language is missing which
would exempt 200 GRT/500 GT vessels.
The commenter recommends that the
exclusion language in § 15.1103(b) be
included in § 15.1103(c).
The Coast Guard disagrees. The
applicability of the entire subpart is
identified in § 15.1101. The
applicability of endorsements for deck
ratings in § 15.1103(b) and (c) is 500 GT
or more. The applicability of
endorsements for engineering ratings in
§ 15.1103(d) and (e) is 1,000 HP/750
kW. These applicability requirements
are consistent with Chapters II and III of
the STCW Convention. Using the deck
rating limitations on engineering ratings
would be inconsistent with the STCW
Convention.
Three commenters recommend that
the Coast Guard amend §§ 15.1105(b)
and (c) by replacing ‘‘Onboard a
seagoing vessel,’’ with ‘‘Onboard a
seagoing vessel, except those vessels
listed in §§ 15.105(f) or (g) of this part.’’

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The Coast Guard agrees, and has
amended §§ 15.1105(b) and (c) to ensure
it clearly specifies the applicability of
the section.
Three commenters feel that the
proposed applicability in proposed
§ 15.1109 seems overly broad. In place
of ‘‘all masters’’ they suggest it should
say ‘‘all masters, except those serving on
the vessels listed in § 15.105(f) or (g) of
this part.’’
The Coast Guard agrees and has
amended § 15.1109 as recommended for
clarity.
Three commenters observe that
§ 15.1109, concerning watchkeeping
principles, refers to provisions of the
Convention and Code that consist of
more than 21 pages. In comparison,
proposed § 15.1111 inserted the STCW
Code text nearly verbatim. The
commenters believe that if the Coast
Guard is going to require the master to
observe an external standard, it should
at least summarize it in this section.
The Coast Guard agrees in part. While
the full text of the STCW Convention
and STCW Code is not readily available
to individuals, the Coast Guard intends
to publish NVICs with the relevant text
of the Convention and Code, most
notably the tables of competency from
Part A of the STCW Code, consistent
with the copyright held by the IMO.
These NVICs will be made available
online and will enable the public to
view them as necessary.
One commenter is concerned that, on
page 45933 of the SNPRM preamble, the
Coast Guard notes that individual
variances issued to small vessels on
international voyages by local Captains
of the Port for vessels on short
international voyages to Canada, the
Bahamas, the British Virgin Islands, and
Mexico will be rendered null and void
once the proposed rulemaking becomes
final. The commenter requests that the
Coast Guard clarify the mariner
credential, endorsement and manning
requirements for small vessels of less
than 200 GRT/500 GT, including towing
vessels, engaged in international
voyages to nearby foreign countries,
such as Canada, the Bahamas, the
British Virgin Islands, and Mexico.
The Coast Guard disagrees that the
proposed regulations are unclear.
Existing regulations excepting smaller
vessels in § 15.105(e) and (f) remain
unchanged. Small vessels are
considered to be in compliance with
STCW when on domestic voyages. The
regulations also provide for issuance of
a restricted STCW endorsement for an
occasional international voyage for
these vessels. This regulatory provision
has never provided for these
endorsements to be used for routine

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international voyages. For those
operators that routinely operate on
international voyages, we have clarified
the requirements for these STCW
endorsements consistent with the STCW
Convention and Code. Further, those
small vessel operators that make routine
international voyages have always been
responsible for holding the appropriate
STCW endorsement or certificate.
Four commenters state that it is the
clear intent of 46 U.S.C. Chapter 143
and the IMO to not impose increased
regulatory burdens on industry if the
Convention measurement were used for
applicability determinations of domestic
and international rules. Therefore, they
feel that any revisions to the regulations
should include language to the effect of:
‘‘Existing Subchapter T/K vessels built
prior to July 18, 1982 shall be allowed
to apply United States regulations and
international conventions, including
SOLAS, STCW and MARPOL using
their respective US regulatory tonnages
that were in force prior to coming into
force of the International Convention on
Tonnage Measurement 1969 (ITC) for
the life of the vessel.’’
The Coast Guard disagrees. Owners of
vessels built prior to the ITC are not
required to obtain an ITC tonnage.
However, if they do, they must comply
with the provisions of STCW and other
international conventions that apply
GRT.
Four commenters state that all U.S.
flag vessels with dual tonnages built
prior to July 18, 1982, should have the
following statements placed on the COI,
International Ship Security Certificate,
Safety Management Certificate, and
SOLAS Passenger Ship Safety
Certificates: (1) ‘‘The gross tonnage
according to the measurement system
previously in force to the measurement
system of the International Convention
on Tonnage Measurement, 1969 is
{insert U.S. Regulatory Tonnage},
according to the regulations of the
United States of America.’’; and (2)
‘‘When operating on an International
Voyage: All licensed individuals must
hold licenses authorizing service on
vessels of a tonnage at least equal to the
vessel’s U.S. Regulatory Tonnage as
indicated on this Certificate of
Inspection.’’
With regard to (1), this
recommendation is beyond the scope of
this rulemaking. With regard to (2), the
Coast Guard disagrees. STCW and the
International Tonnage Convention
require mariners on international
voyages to meet the credentialing
requirements applicable to the tonnage
indicated for the voyage on which they
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One commenter states that
uninspected fishing industry vessels are
currently exempt from STCW. The
United States is not currently a
signatory party to the STCW–F
convention which applies to fishing
industry vessels; however, the
commenter recommends that the
domestic license structure be altered to
include the second engineer, similar to
the proposed limited, OSV, and MODU
engineer license tracks.
The Coast Guard disagrees. The
STCW Convention does not apply to
fishing vessels. This final rule is
intended to implement the STCW
Convention, and provisions solely
addressing domestic credentialing are
outside its scope.
One commenter wants to exempt
persons serving on pilot boats from
application of the STCW Convention.
The commenter recommends that the
United States interpret the STCW
Convention regarding pilot vessels as
follows: Pilot vessels are not considered
seagoing ships because they operate ‘‘in
waters within, or closely adjacent to,
sheltered waters or areas where port
regulations apply.’’ Consistent with this
recommended interpretation of the U.S.
obligations under the STCW
Convention, persons serving aboard
pilot boats should be exempt from
application of the STCW. Therefore, the
commenter recommends that a new
subparagraph (5) be inserted in
§ 15.105(f) as follows: (5) Pilot boats.
The Coast Guard agrees, and has
amended §§ 15.105(f)(5) and
15.1101(a)(1)(v) to exempt pilot vessels
engaged in pilotage duty from STCW
requirements in those sections.
One commenter states that there is no
exclusionary language in § 15.404(c)
exempting vessels of less than 200 GRT/
500 GT. They request that such an
exemption be inserted in this section.
The Coast Guard disagrees. The
STCW Convention’s RFPEW
requirements are based on HP/KW
limitations and not tonnage limitation.
The change proposed by the commenter
would be inconsistent with the
Convention.
One commenter states that there is a
long history of cooperation between
Canada and the United States
concerning reciprocity of recognizing
domestic licensing schemes. The
commenter requests clarification of
STCW applicability to vessels on
voyages on these waters.
The Coast Guard agrees and has
amended text in § 10.232(b)(3) so that
seafarers working under national
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the boundary line can claim STCW sea
service on a one-for-one basis.
17. General requirements
One commenter appreciates the Coast
Guard efforts to listen to comments to
NPRM. Another commenter appreciates
the separation of the domestic and the
STCW licensing schemes, and a third
commenter states that NMC Policy
Letter 11–07 was very beneficial to their
company.
The Coast Guard appreciates these
comments.
One commenter notes that
§ 11.301(c)(2) specifies the form for
providing evidence of continued
competence in fire fighting for STCW
endorsements, but the proposal has no
similar provision for the fire-fighting
training required for domestic
endorsements. The commenter
recommends that a statement be
included to describe the form of
acceptable evidence to document
continued competence for domestic
endorsements.
The Coast Guard disagrees. Changes
to fire-fighting training in this final rule
are required by the STCW Convention
and Code. The requested changes to firefighting training for domestic
endorsements are outside the scope of
this rulemaking because the Coast
Guard proposed no changes in that area
in the SNPRM. Therefore, we are not
extending this requirement to vessels to
which STCW does not apply.
One commenter is concerned that the
Coast Guard is narrowing the spectrum
of jobs that will qualify for sea service
credit in § 10.232(f).
The Coast Guard disagrees. The Coast
Guard did not change the types of jobs
that will receive sea service credit. The
change in sea service credit was limited
to: (1) Consolidating all requirements in
parts 10, 11 and 12 into one section that
addresses sea service; and (2) expanding
the type of service creditable towards
STCW credentials to include nearcoastal and Great Lakes service.
One commenter states that the various
tables in 46 CFR part 11, subparts C, D,
and E are confusing and do not clearly
show how someone with a domestic
license (e.g., second mate) can enter and
qualify for an appropriate STCW
endorsement (e.g., chief mate). The
commenter recommends that these
tables be combined into a single table,
or shown as a figure instead of a table.
The Coast Guard disagrees. The
separate tables in part 11 describe the
endorsement requirements more clearly
than a single consolidation would and
are co-located with the associated
requirements referenced in the tables.

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Two commenters recommend that the
Coast Guard publish a list of existing
policy documents (or portions of policy
documents) that it intends to cancel
upon publication of the final rule.
The Coast Guard agrees. All policy
letters that have been incorporated or
overcome by this final rule will be
cancelled, and the Coast Guard will
notify the public as soon as possible
through a notice in the Federal Register.
18. Hours of Rest
Fourteen commenters feel that, with
regard to § 15.1111(g), requiring records
of daily hours of rest for mariners would
be redundant with records kept in the
official ship’s logbook. This will impose
an unnecessary administrative burden
upon vessel officers, mariners and
oversight authorities since the
information required by this section
should be available for all parties to
check in the official ship’s logbook.
They also recommend that the Coast
Guard change the last sentence to read
‘‘A copy of the records shall be provided
to the mariner upon request.’’
The Coast Guard agrees in part. The
Coast Guard will accept entries in the
logbook. This section, as drafted, does
not preclude the use of the logbook as
a means to keep records of rest periods.
The Coast Guard will consider
developing a consolidated form to
capture mandated work/rest
information. In response to the
commenters’ second recommendation,
the 2010 amendments to the STCW
Convention require that seafarers
receive a copy of the records pertaining
to them. Although the language of the
provision has been altered slightly from
what was proposed in the SNPRM, the
requirement to provide seafarers with a
copy of their records, whether requested
or not, has been retained.
One commenter notes that the
SNPRM proposes to increase the
amount of rest that mariners must be
provided in any 7-day period from 70
hours to a minimum of 77 hours. This
increase enhances mariners’ ability to
reduce fatigue. However, the commenter
notes that the change still falls short in
two areas. First, the commenter
believes, it does not apply to mariners
in domestic service, including those
transiting the Great Lakes and the Inside
Passage. Second, it does not address the
hours of the day/night during which the
rest should be obtained, and thus does
not preclude disrupted circadian
rhythms or fragmented sleep periods
from adversely affecting mariner
performance. The commenter believes
that the Coast Guard should modify its
hours of service rules accordingly.
Moreover, the commenter urges the

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Coast Guard to work with the IMO to
change international rules to ensure that
mariners worldwide operate under work
schedules that, in accordance with the
scientific literature on circadian
rhythms, provide sufficient rest.
One commenter stated that language
should be added to § 15.1111(g) to the
effect that if the vessel is a day boat,
records of daily hours of rest are not
required. Why record the rest period for
a crew member if they have left the
vessel for home and are returning a
different day for another run?
The Coast Guard disagrees. The hours
of rest in part 15, subpart K only apply
to vessels subject to STCW and not
inland vessels. We are unable to modify
the hours of rest for vessels to which
STCW does not apply as part of this
rulemaking because it would require
changes to the U.S. Code and is
therefore outside the scope of this
rulemaking.
Two commenters recommend that,
with regard to § 15.1111, the Coast
Guard, working with MERPAC, develop
a U.S. standard record keeping form or
program for the maintenance of daily
hours of rest so a uniform system across
the U.S. flag fleet can be implemented.
This will not only assist port state
control oversight but also lessen any
additional burden upon the U.S.
mariner.
The Coast Guard agrees in part. The
Coast Guard will accept entries in the
logbook and the use of the standard
IMO/ILO record of hours of rest as a
means to document hours of rest. The
text as currently drafted does not
preclude the use of the logbook as a
means to keep records of rest periods.
The Coast Guard will consider
developing a consolidated form to
capture mandated work/rest.
One commenter notes that, in
§ 15.1111, the term ‘‘rest period’’ has no
real definition. It should be replaced
with the term ‘‘off duty period’’ for the
sake of clarity.
The Coast Guard disagrees and is
retaining the existing definition for
‘‘rest’’ in § 10.107, which provides, in
part, that rest is a period of time during
which the person concerned is off duty.
Two commenters state that, with
regard to § 15.1111, the proposal is
ambiguous and requires amendments to
address, or exclude, off-watch workrelated hours spent on travel, deadheads, etc. The proposal fails to outline
a method by which crews working a 12hour watch, commuting to and from the
vessel on a daily or nightly basis, are to
record so called ‘‘rest periods.’’ Lastly,
the full definition of a ‘‘rest period’’
needs to be presented and clarified.

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The Coast Guard disagrees. Rest is
defined in 46 U.S.C. 8104 and in
§ 10.107 of this final rule, as that period
when the mariner is off duty, not
performing work, and allowed to sleep
without interruption. The Coast Guard
has previously established policy that
traveling to and from the vessel is
neutral time, which is neither rest nor
work.
Seafarers serving onboard vessels
authorized to implement a 12-hour
watch under 46 U.S.C. 8104 will be
required to document the hours of rest.
The Coast Guard will accept entries in
the logbook and the use of the standard
IMO/ILO record of hours of rest as
means to document hours of rest. The
Coast Guard will also consider
developing a consolidated form to
capture mandated work/rest. The Coast
Guard plans to retain the definition for
‘‘rest’’ in § 10.107, which provides, in
part, that rest is a period of time during
which the person concerned is off duty.
One commenter asks, with regard to
§ 15.1111, if the Coast Guard will
summarize the impact of this
requirement on vessel operations and
potentially manning, as it will apply not
only to watchkeepers, but also to those
with safety, pollution prevention and
security responsibilities—this includes
the master and chief engineer.
The rest requirements apply to all
persons assigned duty as an OICNW or
OICEW, or duty as ratings forming part
of a navigational or engineering watch,
or designated safety, prevention of
pollution, and security duties onboard
any vessel. It is the company’s
responsibility to ensure that all persons
mentioned above are afforded rest in
accordance with § 15.1111.
Three commenters note that
§ 15.1111(g) requires both the master
and each mariner to ‘‘endorse’’ the rest
schedule. This ‘‘endorsement’’ is not
required by the STCW Code and will
reduce the rest of all vessel personnel,
if reporting to a central location to sign
the rest schedule after each watch is
required. The commenters recommend
dropping the proposed endorsement
requirement.
The Coast Guard agrees. The copy of
the records due to the mariner is what
is required to be endorsed, and we have
amended § 15.1111(g) to reflect this.
With regard to § 15.1111, one
commenter believes that requiring more
rest for mariners equates to requiring
more crew. Many U.S. shipping
companies are at minimum manning
due to the high cost of maintaining
crews and vessels. Additional
regulations will only drive business
overseas and deplete the U.S. fleet
further.

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The Coast Guard disagrees because no
commenter has provided, and the Coast
Guard is not aware of, any data in
support of these arguments.
Additionally, the STCW Code and
Convention prescribes training, not
manning, requirements, and the hours
of rest are international requirements
that apply to all vessels subject to
STCW.
As discussed in the SNPRM and
supporting Regulatory Analysis, we
believe that the new requirements can
be accommodated without changing
existing watch rotations or current crew
sizes, therefore resulting in no
additional cost. According to Coast
Guard industry experts, STCW vessels
engaged in transoceanic voyages are
staffed with a 3-watch crew rotation.
Even for STCW vessels staffed with only
2 watches, resulting in an average of 12
hours of rest per day or 84 hours a week,
the 77 hours a week rest requirement
should be able to be met without change
in watch schedules. The Coast Guard
will monitor the implementation of rest
hour requirements and report any new
data it finds on industry costs to
implement these requirements.
One commenter notes that offshore
petroleum operators are required to
meet both the work-hour requirements
of the Oil Pollution Act of 1990 (OPA
90) and rest hour requirements of
STCW. The SNPRM includes a
definition of ‘‘rest’’ but not one for
‘‘work.’’ This is problematic, as it could
be interpreted that a mariner, who is not
resting, therefore, must be working. If
that were the case, it will be impossible
for some operators to meet the
requirements of OPA 90, since drills
will be considered work. The
commenter recommends that a
definition of ‘‘work’’ be added that
explicitly states emergencies and drills
will not be considered ‘‘work.’’ This
will allow petroleum operators the
flexibility to track all work/rest/drill
hours in one continuous log rather than
maintain separate logs for each purpose
under unclear guidelines.
The Coast Guard disagrees. Part 15,
subpart K applies to vessels subject to
STCW, and the Convention does not
address work. Therefore, it was not
included in this rulemaking. Adding a
definition for ‘‘work’’ would need to be
part of a separate rulemaking subject to
public notice and comment.
One commenter believes that the need
to track both work and rest hours may
be overly burdensome for these
mariners. With that said, however, the
commenter states that there may be
some trends in identifying fatigue, or
advantages in tracking rest in lieu of
work or vice-versa. The commenter

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recommends that the Coast Guard
examine the efficacy of tracking hours of
rest and hours of work.
This is outside the scope of this
rulemaking. This rulemaking only made
changes related to the hours of rest in
the STCW Convention. This rulemaking
does not include changes to work-hour
requirements. Furthermore, we are
unable to modify the hours of service as
part of this rulemaking because it would
require changes to the U.S. Code.
19. Radar Endorsements
One commenter notes that currently
mariners need only carry the radar
certificate with them and it does not
have to be endorsed on their new
credential. The commenter says the
Coast Guard has provided no rationale
for the change in § 11.480(d), which
requires that an applicant for a radar
observer endorsement or for renewal of
such an endorsement to submit
evidence of training to the Coast Guard.
The commenter states that this is both
time-consuming and an additional
expense for mariners, and recommends
that the current policy remain in place.
The Coast Guard disagrees. The Coast
Guard proposed changes to the radar
observer requirements that explicitly
permit mariners to submit evidence of
training in person, by mail, fax, or other
electronic means. The requirement to
submit such evidence, however,
predates this rulemaking, and was
established by a rule published in the
Federal Register on September 11, 2008,
(73 FR 52789).
Two commenters note that § 10.209
states that if the applicant desires a
credential with a radar-observer
endorsement in accordance with
§ 11.480 of this subchapter, either the
radar-observer certificate or a certified
copy must be presented. The commenter
notes that current Coast Guard policy is
to accept copies of any certificate when
submitting the application. The
commenters recommend that the
current policy be retained and that the
Coast Guard continue to accept copies
of any training certificates and
documents submitted with the
application.
The Coast Guard agrees. We currently
accept copies of all course-completion
certificates, including those for radar,
and we have amended § 10.209
accordingly.
20. Ratings
Four commenters note that, in
§§ 12.603(b) and 12.607(b), it says
‘‘Until January 1, 2017, seafarers may be
considered to have met the
requirements of this section.’’ The
phrase ‘‘may be’’ is unclear. The

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commenters recommend replacing ‘‘may
be’’ with ‘‘will be’’ to improve
application and clarity. Assuming the
effective date of the final rule will be
very soon, this flexibility will be
necessary to avoid overwhelming the
Coast Guard with able seafarer
applications and stripping the U.S. flag
fleet of qualified crew members while
awaiting thousands of new STCW
endorsements.
The Coast Guard agrees and has
revised the sections as recommended to
ensure clarity.
One commenter notes that, in
proposed § 12.701, the paragraph begins
with ‘‘Every person employed in a
rating other than A/B or QMED aboard
U.S. flag vessels requiring such
persons.’’ As drafted, this paragraph
appears intended to apply 46 U.S.C.
8701, but instead expands the
requirements of the law. The commenter
suggests it say instead ‘‘Every person
employed as a rating aboard U.S. flag
vessels of 100 GRT/100 GT or more,
except as exempted by 46 U.S.C. 8701.’’
The Coast Guard agrees in part. As
written, the paragraph appears to
require MMDs in more situations than
envisioned by 46 U.S.C. 8701. Section
12.701 has been revised to clarify: (1)
That a rating endorsement on an MMC
qualifies as holding an MMD; and (2)
that the requirement to hold an MMD
only applies to vessels subject to 46
U.S.C. 8701. The MMD requirement in
the statute extends beyond those
employed as a rating to anyone
employed or engaged upon the vessel.
One commenter notes that, in light of
STCW standards for able seafarer-deck
that go far beyond the U.S. requirements
for service and training that have served
our mariners well, it is laudable that the
Coast Guard has adopted transitional
provisions in §§ 12.603(a) and (b) that
will delay, if not mitigate, the additional
burdens imposed by the Convention.
The table in § 12.603(e), however, could
be read to ‘‘trump’’ those provisions.
The commenter recommends changing
§ 12.603(e) to the effect that, ‘‘Except as
provided in (b) and (c), seafarers with
the following . . . .’’
The Coast Guard agrees in part. The
table in § 12.603(e) already accounts for
the provisions in § 12.603(a).
Additionally, to avoid
misinterpretation, the Coast Guard
amended footnote ‘‘*’’ to link the table
to the requirements for certification as a
RFPNW in § 12.603(a)(2) and (3). The
Coast Guard amended § 12.603(e) to
ensure that it does not override the
provisions in paragraphs (b) and (c).
Two commenters express concern that
the A/B maintenance and watchstander
billets will be replaced by the ordinary

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seaman, who does not have enough
experience to be steering vessels.
Therefore, the commenter recommends
leaving the RFPNW restricted to lookout
duties until he becomes able seamanspecial.
The Coast Guard disagrees. RFPNW is
a prerequisite for able seaman but
requires competence in lookout duties,
steering, etc. U.S. Code and existing
manning regulations also include
provisions on when an ordinary seaman
can actually assume the duties of a
helmsman as well as standing watches.
Two commenters state it is their
understanding that our domestic
RFPNW able seaman-special will no
longer be able to sail internationally
(outside the boundary lines) until he
obtains an able seafarer-deck
endorsement (§§ 15.404 and 12.603).
The commenters ask if a mariner sails
as a RFPNW, will this reduce the need
for able seafarer-deck onboard. They
would like the assurance that entry level
mariners will not replace able seamen
onboard ships sailing beyond the
boundary line.
Entry-level mariners will not replace
able seamen onboard vessels sailing
beyond the boundary line. The numbers
of able seamen are required by
regulation. Section 15.404(b) has been
amended to clarify the manning of
vessels with A/Bs holding either
RFPNW or able seafarer-deck.
One commenter states that § 12.607(e)
could be misconstrued to take
precedence over the transitional
provisions in paragraphs (b) and (c).
The Coast Guard agrees in part. The
table in § 12.607(e) already accounts for
the provisions in § 12.607(a).
Additionally, to avoid misinterpretation
the Coast Guard amended footnote ‘‘*’’
to link the table to the requirements for
certification as a RFPNW in
§ 12.607(a)(2) and (3). The Coast Guard
also is amending § 12.607(e) to ensure
that it does not override the provisions
in paragraphs (b) and (c).
21. Recognition of Certificates
One commenter suggested that the
MMCs issued to foreign mariners in
recognition of their STCW endorsement
contain specific language describing the
scope and authority of the MMC.
The Coast Guard agrees with the
concerns of the commenter and notes
that foreign mariners will not be issued
an MMC. Rather, they will be issued a
separate document. The Coast Guard
has yet to decide upon the specific
design of this document, and will
consider the recommendations of the
commenter when the document is
designed. Part 11, subpart J of this final
rule contains provisions on recognition

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of STCW certificates issued by foreign
nations.
One commenter disagrees with the
proposal to recognize certificates issued
by other parties to the STCW
Convention. Presently there is a
shortage of U.S. merchant mariners, and
the commenter says it is incumbent
upon our regulatory bodies as well as
industry itself to promote the U.S.
merchant marine to maintain a strong
maritime presence in the U.S. and
worldwide.
The Coast Guard disagrees. The U.S.
will recognize certificates issued by
other parties to the STCW Convention
in accordance with existing laws of the
United States. Under 46 U.S.C.
8103(b)(3)(A), the citizenship
requirements can be waived for
mariners other than master on OSVs
operating from a foreign port. To ensure
compliance with the STCW Convention,
in the limited cases of OSVs, the U.S.
needs to recognize seafarer competence
certificates from other countries that
have ratified the STCW Convention.
22. Qualified Assessors (QA)
One commenter notes that, in
§ 10.405(c), the requirement for a
‘‘Train-the-Trainer’’ course to follow
IMO model course 6.09 is contrary to
the Coast Guard’s existing policy of
allowing most 40-hour ‘‘Train-theTrainer’’ courses offered by State
educational systems. The commenter
recommends that the current policy
continue to be accepted as meeting
‘‘another Coast Guard-accepted
syllabus.’’
The Coast Guard agrees and has
amended § 10.405(c) to broaden the
acceptance of courses based on another
Coast Guard-accepted syllabus.
Thirty three commenters feel that, just
because a mariner may possess any
given rating or license, this does not
mean that this mariner is also proficient
in teaching and assessment
competencies. The commenters believe
that any program that includes onboard
teaching and assessments should be
Coast Guard certified as meeting QSS
requirements including ongoing
oversight of assessor qualifications
including periodic audits consistent
with the requirements already imposed
on shore based training providers.
The Coast Guard agrees and will be
developing guidance for qualified
assessors (QAs) and the assessment of
STCW proficiencies.
One commenter states that one
valuable thing that a well-rounded
licensed officer must have is experience
on all type of vessels, in all types of
waters under all types of conditions.
The licenses for third and second mate

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allow the mariner to ‘‘sail’’ on all types
of vessels. However, the proposed rules
will allow assessments to be made on
only one type of vessel. How could a
mariner sailing on an OSV gain any
knowledge of a container ship, car
carrier, tanker, tug boat, etc.? Years of
training have given the U.S. airline
industry one of the safest records in the
world. The commenter believes that the
maritime industry needs to follow this
plan.
The Coast Guard disagrees. The
STCW requirements and the U.S.
credentialing system allow for mariners
to sail on all types of vessels; however,
the average mariner does not have
experience on all types of vessels. The
competence requirements in the STCW
convention and U.S. regulations are
supplemented by familiarization
requirements onboard the vessel prior to
the seafarer taking the responsibilities of
his or her assigned duties.
The Coast Guard will be developing
guidance for QAs and the assessment of
STCW proficiencies. It is important that
the U.S. not reduce its commitment to
ensuring that its mariners develop
according to a high standard of
competence. However, the Coast Guard
also recognizes that this development of
competencies must be flexible and
multifaceted to facilitate mariner
training. The use of QAs and
standardized assessments will provide
options for mariner development, as
well as providing standards for the
training and maritime industries to use
in development of required and optional
courses and programs. Those courses
and programs will also provide other
options for mariner training and
development.
One commenter recommends that
§ 10.405(c) become § 10.405(b)(4). The
commenter points out that applicants
for QA positions may provide
documentary evidence of a ‘‘Train–theTrainer’’ course, which seems
inappropriate. The commenter
recommends that a ‘‘train the assessor’’
course be added as an acceptable
program.
The Coast Guard agrees and has
amended § 10.405 to ensure that the QA
is trained in proper assessment
techniques, by means of an ‘‘assessor
training’’ course. In addition, this topic
will also be discussed in the guidance
that the Coast Guard is developing
concerning QAs.
The Coast Guard disagrees, however,
with re-designating § 10.405(c) as
§ 10.405(b)(4). Section 10.405(c)
provides specific information applicable
to both § 10.405(a) and § 10.405(b),
which set out the requirements for QA
and DE respectively.

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One commenter notes that in
§ 11.301(a)(1)(i), it says that assessments
are signed by a DE, but he believes that
it should read ‘‘qualified assessor’’
because these provisions are specific to
STCW endorsements.
The Coast Guard agrees, and has
revised § 11.301(a)(1)(i) as
recommended.
23. License Progression
One commenter states that, with
regard to § 11.305(e), he strongly
supports the crossover paths from
domestic to STCW endorsements. These
advancement opportunities will not
only encourage ambitious individuals to
enter the maritime workforce, they will
motivate those individuals to obtain the
training needed to establish the required
competence.
The Coast Guard appreciates this
support.
One commenter recommends that the
Coast Guard develop career paths for
chief engineer (MODU) and assistant
engineer (MODU).
The Coast Guard disagrees. The
MODU industry has established
processes for their personnel and the
Coast Guard already has established
progression tasks for engineers who
wish to transition to a conventional
vessel.
Three commenters note that § 11.305
requires evidence of 36 months service
as OICNW to qualify for an STCW
endorsement as unlimited master
oceans without any time required as
chief mate. In current § 11.404, the
minimum service required to qualify an
applicant for an endorsement as master
of ocean any gross tons is 1 year of
service as chief mate or a minimum of
6 months as chief mate with 12 months
as second or third mate. The proposed
reduction in experience is a deskilling
of the unlimited master ocean license.
The commenter recommends retaining
the current requirements.
Another commenter notes that
proposed § 11.305 has a provision that
would permit a master of less than 1,600
GRT/3,000 GT to cross over to master
3,000 GT or more (unlimited) with only
6 months service on vessels of under
1,600 GRT/3,000 GT and no experience
on vessels of unlimited size. Under the
current regulations, a master 1,600 GRT
oceans can cross over to third mate
unlimited oceans with 12 months
service or second mate unlimited with
an examination. The commenter says
that permitting the proposed drastic
reduction in experience from the
current regulation in essence allows an
individual with a license that formerly
was considered equivalent to third or
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unlimited ocean master with only 6
months experience in ships of limited
size. The commenter says this is an
astounding reduction of standards, and
recommends retaining the current
requirements.
The Coast Guard disagrees. This cross
over provision, which is consistent with
the STCW Convention, is available only
to those mariners who have already
obtained a national endorsement with
authority to operate vessels of unlimited
tonnage or offshore support vessels of
up to 10,000 GT. Additionally, the
STCW competence and training
requirements will ensure that those
persons seeking to obtain the
management-level STCW endorsement
have demonstrated competence and
achieved the required level of training.
One commenter notes that the
definition of ‘‘chief mate’’ in § 10.107
clearly characterizes the role and
responsibility of a 1,600 GRT mate on a
vessel allowed to operate under a twowatch system. Therefore the commenter
expects that the use of the term ‘‘chief
mate’’ in § 11.311 will permit such
service (or service while holding a
master endorsement) to satisfy the
provision allowing for a reduction in
service to 24 months provided that 12
months is ‘‘served as chief mate.’’
However, the commenter is concerned
that the provision will be misconstrued
as written and recommend that it be
reworded to allow the reduction ‘‘. . .
if the applicant served in the capacity of
chief mate for not less than 12 months.’’
The Coast Guard agrees in part. Where
the mariner holds a management-level
credential, and fills the position as
mate, and the position meets the
definition of chief mate found in
§ 10.107, then that service will be
credited as chief mate. However, the
Coast Guard does not believe this
section is confusing and likely to be
misconstrued, nor did the Coast Guard
revise this definition as part of this
rulemaking project.
One commenter recommends that the
Coast Guard consider streamlining
ocean, OSV, and Uninspected Vessel
qualification training pipelines by
utilizing current STCW certifications for
their basis rather than the HP rating.
The Coast Guard did not propose a
change in the national endorsement
scheme. Regulatory changes on that
subject would need to be part of a
separate rulemaking and subject to
public notice and comment.
One commenter notes that, for
unlimited tonnage vessels (at least 1,600
GRT), the U.S. domestic license
structure provides for four licenses,
whereas the STCW convention provides
for three licenses. The commenter says

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that our domestic licensing system
works well and is easily adaptable to
meet STCW requirements. It supports a
three-watch system or periodically
unmanned engine rooms.
The Coast Guard has been using the
four-license national structure to fit in
with the STCW three-license system
since the 1997 IR. The national third
assistant engineer and second assistant
engineer endorsements, as well as the
national third and second mate
endorsements, fall neatly within the
STCW OICNW and OICEW
endorsements. Typically, national
master and chief mate align with their
STCW counterparts, and the national
chief engineer and first assistant
engineer endorsements also align with
theirs.
One commenter notes that, for limited
tonnage vessels (at least 500 GT up to
1,600 GT), our domestic license
structure provides for only two licenses,
whereas the STCW convention provides
for three licenses. Currently, the limited
assistant engineer license is endorsed
for oceans. The restricted limited chief
engineer license is endorsed for nearcoastal, where the unrestricted limited
chief engineer license is endorsed for
oceans. Therefore, the commenter
recommends that the Coast Guard
restructure the domestic license track to
mirror STCW and introduce a limited
second engineer license. Any
restrictions, in terms of routes, would be
issued strictly on the basis of STCW
certification. Without the appropriate
STCW certificate, the domestic license
would be restricted to near-coastal,
regardless of the level of the license.
With the appropriate STCW certificate,
the scope of the license would be
extended to oceans, again regardless of
the level of the license. This proposed
license structure would support a twoor three-watch system or a periodically
unmanned engine room.
The same commenter proposes that
the domestic license tracks for OSV and
MODU follow the same pattern as
proposed for the limited-license track,
introducing a second engineer license.
This proposed license structure would
support a two- or three-watch system or
periodically unmanned engine rooms.
The same commenter also notes that,
for limited tonnage vessels less than 500
GT, our domestic license structure
provides for three designated duty
engineer licenses, although most vessels
would carry just one licensed engineer.
The restrictions placed on the DDE
license are based on horsepower and
routes as a function of qualifying sea
service in the engine room. The
commenter recommends that the
horsepower limits be based on

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conventional methods used for the other
license tracks, rather than sea service
requirements.
The Coast Guard agrees in part and
has removed the endorsement for chief
engineer (limited-near-coastal) in
§ 11.520. We also amended sections
§§ 11.518 and 11.522 to establish new
crossover points from limited to
unlimited national engineering
endorsements. However, the remainder
of the commenter’s suggested
progression paths are unnecessarily
complex. The Coast Guard’s licensing
scheme is clearer and is based upon the
Coast Guard’s long experience and the
maritime industry’s needs.
Ten commenters believe that the
proposed changes in the engineering
training requirements in the SNPRM
represent a significant improvement
over the NPRM. The commenters
believe, though, that additional changes
are needed to ensure an engineering
career path that meets the twin goals of
safety and practicality. The commenters
recommend the removal of all route
restrictions in § 15.915 so an engineer
seeking to sail on an international or
ocean voyage will require an STCW
endorsement. The commenters believe
that the need to obtain an STCW
endorsement creates a route restriction.
Additionally, five commenters
recommend that the Coast Guard allow
direct crossover from lower-level to
upper-level licenses where appropriate,
including a new crossover from chief
engineer (limited) to first assistant
engineer (unlimited).
Similarly, five commenters
recommend that the Coast Guard
provide a direct crossover from third
assistant engineer to DDE-unlimited HP
and assistant engineer (limited) to
vessels under 1,600 GRT, and from
second assistant engineer to chief
engineer (limited) to vessels under 1,600
GRT.
The Coast Guard agrees with most of
these comments. In this final rule, the
Coast Guard has provided a crossover
from chief engineer (limited) to first
assistant engineer. Direct crossover from
third assistant engineer and assistant
engineer (limited) to DDE is already
permitted in current regulations.
Additionally, the Coast Guard has
added, in figure § 11.505(a) of this final
rule, a direct crossover from third
assistant engineer to assistant engineer
(limited). The Coast Guard does not
agree, though, with the need for a
crossover from second assistant
engineer to chief engineer (limited)
because first assistant engineer is the
crossover point to chief engineer
(limited). Also, removal of the national
route restrictions would require a

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separate rulemaking subject to public
notice and comment.
One commenter encourages the Coast
Guard to take this opportunity to review
engineer endorsements and licenses for
the operation of 46 CFR chapter I,
subchapter H vessels on inland waters
within three miles from land.
The Coast Guard disagrees. The
current regulations allow the OCMI to
set manning requirements and national
credentials already exist to cover this
type of operation, and changes to these
regulations are outside the scope of this
rulemaking.
One commenter states that proposed
new language will allow officers serving
on vessels subject to 46 CFR chapter I,
subchapters T and K to obtain an STCW
endorsement, but at the same time will
prohibit officers serving on the vessels
subject to 46 CFR chapter I, subchapter
H from realizing the same benefit. The
commenter recommends that the Coast
Guard reverse this policy and grant
STCW endorsements to those officers
serving on 46 CFR chapter I, subchapter
H vessels.
The Coast Guard disagrees. STCW
applies to seagoing commercial vessels,
except fishing vessels. However, special
provisions allow for exempting smaller
vessels on near-coastal voyages from
unreasonable or impracticable
requirements. The exemptions for small
passenger vessels engaged exclusively
on domestic voyages is limited to
vessels less than 100 GRT and engaged
in domestic trade. In 1997, the Coast
Guard determined that an equivalency
between STCW requirements and
current U.S. laws and industry practice
is justified. The revisions to the rules on
inspection and certification of small
passenger vessels (46 CFR chapter I,
subchapters T and K), as well as the fact
that the Coast Guard has the
opportunity to perform direct oversight
of the operational aspects of these
vessels, supports such an equivalency.
Therefore, this final rule imposes no
new requirements either on personnel
serving on these vessels or on their
owners or operators. In contrast, 46 CFR
chapter I, subchapter H applies to
vessels of more than 100 GRT. Because
these vessels are more complex, and can
carry more passengers onboard, STCW
regulations require additional training,
service, and assessments.
One commenter recommends that
Figure 11.403 should include the master
of towing vessels progression and
appropriate crossover points.
The Coast Guard agrees, but has
provided the separate progression paths
as well as credentialing crossovers in
Figure 11.463 for improved readability.

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One commenter recommends that the
Coast Guard add to § 11.412 an upgrade
from master 500 GRT Oceans (domestic)
to 1,600 GRT oceans (domestic) with
one additional year of sea service under
the authority of the license above 50
GRT. This is congruent with the service
requirement in Table 1 to § 11.311(d) for
ocean master more than 200 GRT/500
GT and less than 1,600 GRT/3,000 GT.
The Coast Guard agrees in part and
has added a paragraph noting that
mariners may raise the grade of an
officer endorsement as master from less
than 500 GRT to less than 1,600 GRT
with 1 year of service as a master, mate,
or master or mate (pilot) of towing
vessels on vessels over 100 GRT.
One commenter disagrees with the
route limitation in § 15.915(a)(1) and
recommends that the Coast Guard
remove it, because there is a lot of
towing commerce between the West
Coast, Alaska, and Hawaii. The
commenter believes insertion of this
route restriction will hurt the towing
industry.
The Coast Guard disagrees. The Coast
Guard did not propose any changes to
this paragraph. This final rule provides
for a progression to endorsements valid
for oceans service. If mariners serve on
vessels operating on oceans, they may
obtain one of the engineer endorsements
authorizing service on oceans.
One commenter notes that § 11.420
requires 1 year of service as mate in
order to obtain an original mate 500
GRT Ocean license. This is illogical, the
commenter says, as a mate position is an
entry level deck officer position. A
provision allowing for an original 500
GRT mate license with 3 years of service
on ocean or near-coastal routes on
vessels greater than 50 GRT should be
added.
The Coast Guard disagrees. The Coast
Guard did not propose any changes to
the service requirements for an
endorsement as mate less than 500 GRT
in § 11.420. The requirement in that
section for an applicant to have at least
1 year service as a master, mate or
equivalent supervisory service, of which
at least 6 months must be on vessels of
more than 50 GRT, to qualify for this
endorsement remains unchanged from
the current regulation.
One commenter notes that there are
currently two paths to master on vessels
of less than 200 GRT: 36 months on
vessels of greater than 200 GRT; and 1
year acting as master on a towing vessel,
but there are no tonnages mentioned in
regulation.
The Coast Guard agrees and has
deleted the tonnage requirement from
§ 11.317(a)(1).

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Two commenters recommend that the
Coast Guard look very closely at the
implementation schedule proposed for
these credentials, especially for those
vessels of less than 200 GRT. There will
be a great shortage for engineers on
these vessels. The commenters say the
Coast Guard should work with industry
to develop career paths and a realistic
implementation period.
The Coast Guard disagrees. The rule
provides an implementation period
ending on January 1, 2017. In addition,
we have provided multiple progression
paths to facilitate engineers operating on
tow boats to be able to obtain an STCW
endorsement.
Two commenters believe that the new
STCW requirements will make it even
more challenging for their industry to
develop future engineers. The
commenters recommend that QMED
time be credited on a 2-for-1 basis for up
to 50 percent of the service time
required for upgrade. They believe that
such a provision is necessary in order to
allow individuals with significant
service time as unlicensed engineer to
obtain the STCW endorsement needed
to continue their career in the towing
industry.
The Coast Guard disagrees. The
STCW Convention does not allow for
the use of rating time towards
management level credentials. We have
added new progression paths in part 12,
subpart F to ensure engineering ratings
can qualify.
24. License Separation Scheme
Four commenters state that separation
of the STCW endorsements from the
domestic licensing scheme does nothing
to make it easier for mariners to read
and understand the requirements for
each STCW endorsement. By separating
the two sides of the existing
credentialing scheme, the commenters
believe the Coast Guard fails to consider
the simplicity of the STCW scheme and
the manner in which it accounts for
credentialing options limited to nearcoastal voyages.
The Coast Guard disagrees. This final
rule clarifies endorsement requirements,
while being responsive to comments to
the SNPRM and NPRM from industry
supporting separate schemes. The final
rule also provides clearer career
progression paths from national to
STCW endorsements.
One commenter is in agreement with
the proposal to separate the two
licensing schemes, but notes that there
are many domestic mariners who either
have come from the STCW realm and
continue to work as mariners or are
deep-sea mariners who work
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and then return to their regular duties.
The commenter recommends that
OCMIs should evaluate training and
drill programs of the domestic fleets and
allow credit for any training and drills
that meet OCMI/NMC guidelines.
The Coast Guard agrees in part.
Evaluation of training courses and
evidence of drills are part of the NMC’s
functions. Providing these functions
from a central location ensures a
uniform and consistent implementation
of the STCW Convention requirements.
One of the functions of the Regional
Examination Centers is to provide
oversight for the courses.
One commenter states that, in the
requirements for a domestic 500 GRT
oceans master endorsement (§ 11.418) in
accordance with paragraph (c), an
individual ‘‘may qualify for an STCW
endorsement, according to §§ 11.307,
11.311, 11.313 and 11.315 of this part.’’
However, the proposed rules do not
provide an STCW endorsement as
master beyond 200 GRT/500 GT without
additional sea service; nor do they
provide ability to work as an OICNW on
vessels of less than 200 GRT/500 GT,
requirements which would have been
met according to § 11.309.
The Coast Guard agrees. This
rulemaking only allows the master of
oceans self-propelled vessels of less
than 500 GRT to obtain an endorsement
as master of vessels of less than 500 GT
without providing additional service. If
a seafarer holds an STCW endorsement
as OICNW, §§ 11.307, 11.311, 11.313,
and 11.315 of this final rule contain
provisions for obtaining the
management-level endorsements.
Two commenters state that, according
to § 11.305(d), seafarers holding an
STCW endorsement as master of vessels
of 200 GRT/500 GT or more and less
than 1,600 GRT/3,000 GT in accordance
with § 11.311 are eligible to apply for
the endorsement as master on vessels of
1,600 GRT/3,000 GT or more upon
completion of 6 months of sea service,
under authority of the endorsement; and
complete any items in §§ 11.305(a)(2)
and (a)(3) not previously satisfied. The
commenters ask if this means that
someone holding the respective
domestic license would be able to
upgrade to an unlimited master.
As previously noted, we are
separating the national officer
endorsement from the STCW
endorsement in this final rule, and
mariners must meet the separate
qualification requirements for each
endorsement.
25. GT/GRT Equivalency
One commenter states that, in
§ 15.915(a), the Coast Guard has added

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the 200 GRT wording to what currently
only says 500 GT. The commenter
believes this has a great effect on
uninspected towing vessels between the
200 and 300 GRT range, which would
mean that a DDE-unlimited would no
longer be able to work on vessels in this
range. The commenter recommends
either retaining the original language, or
substituting terms of uninspected
vessels which would limit it to 300
GRT, or defining it as 300 GRT/500 ITC.
This, the commenter believes, would
allow engineers who have been working
on these vessels for many years to
continue doing so.
The Coast Guard agrees, and has
restored the 500 GRT limit as found in
existing § 15.915(a). DDEs working on
vessels subject to STCW are covered by
their STCW endorsements as found in
§§ 11.325 and 11.331. However, the DDE
limitations on their national
endorsements still apply.
One commenter states that
§ 11.301(d)(4) regarding dual-tonnage
service may cause confusion and result
in unintended consequences and notes
that several dual-tonnage vessels have
tonnage that falls above one threshold
but below the other (i.e., 199 GRT/538
ITC or 235 GRT/424 ITC). In these
instances, the commenter believes, the
manning requirements are primarily
driven by whether the vessel is
operating domestically or
internationally. The commenter
recommends that this be considered and
that the Coast Guard modify this section
so that the mariner is given sea service
credit at whichever equivalency is
higher.
The Coast Guard agrees that using
dual-tonnage may cause confusion. In
order to address this issue, the Coast
Guard will issue guidance to specify the
process for determining the tonnage to
be used when applying for a credential.
26. High-Speed Craft (HSC)
Four commenters feel that the type
rating certificate renewal period every 2
years is too short a span and should be
increased to 5 years to match all other
industry standard MMCs. The
commenters recommend that, if the HSC
licensing has to remain at 2-year
renewal intervals: (1) 90 days sea
service should be required as opposed
to 180 days; and, (2) 4 round trips over
each route instead of 12 round trips, as
long as the licensed deck officer also has
current first-class pilotage over the
routes. Another option could be to stay
with the present 12 required round trips
every 2 years, but allow trips aboard
non-HSC type vessels to be credited on
a 2-for-1 basis for up to 50 percent of the

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trips so long as the licensed deck officer
is also a first-class pilot for those routes.
The Coast Guard disagrees. This
proposal would diminish the
requirements applied under the HSC
code that were taken directly from that
code. The Coast Guard has amended the
HSC code section to ensure it is only
applicable to seafarers operating vessels
subject to the HSC Code.
Three commenters are concerned that
the wording in § 11.821 could cause a
problem for every operator of a vessel to
which the HSC Code does not apply.
The commenters recommend that the
wording be changed because the Coast
Guard inspectors may apply this to any
vessel that operates at high speed.
Alternatively, the commenters believe
the Coast Guard should further define
the application here and the term ‘‘High
Speed Craft’’ should be added to the
definitions section in part 10, so that it
is clear to all that the Coast Guard is not
requiring every operator of every craft
that goes over 25 knots to be type rated.
The Coast Guard agrees and has
amended the HSC code section to
ensure it is only applicable to seafarers
operating vessels to which that code
applies.
One commenter is opposed to having
a separate type rating certificate (TRC)
for each type of HSC and believes it
would require repetition in the already
archaic licensing application process. If
existing licensed crew members are
hired, and they have to have a separate
individual type rating added to their
existing license, the commenter believes
it will stall the entire process of hiring.
The Coast Guard disagrees. The HSC
code requires an operator to be trained
on specific vessels or classes of vessels.
If the HSC code is applicable to a vessel,
the Coast Guard will continue to require
compliance with that requirement;
however, the training requirement
would not apply to the owners and
operators of those vessels not subject to
the HSC code.
Three commenters believe that it is
inappropriate and confusing to insert
TRC in proposed § 11.821 and that the
requirement for a TRC for a HSC is
derived from the HSC code, not from
STCW. The commenters note that the
HSC code is not referenced and not
incorporated into this rulemaking and
that there are currently two vessels in
the U.S. operating in compliance with
the HSC code, and a fleet of vessels that
are not ‘‘code boats.’’ The commenters
believe it would be confusing to the
Coast Guard and the industry to have
this section of a separate code
incorporated here without sufficient
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the commenter believes the entire
section should be deleted.
The Coast Guard agrees in part. We
proposed to include the high-speed craft
provisions in the SNPRM, and included
them in this final rule, because these
vessels are in use within the U.S. and
the existing regulations did not account
for them. These new requirements will
further promote safe operation of these
vessels. Section 11.821 has been
amended to clarify that it applies only
to vessels subject to the HSC code.
27. Horsepower
One commenter observes that trade
publications highlighting significant
new vessel deliveries noted all of the
offshore vessels and many inland boats
had propulsion power exceeding 4,000
HP. For that reason, the commenter
recommends increasing all current
domestic credential HP breakpoints to
better reflect the current fleet
composition. The commenter
recommends that the Coast Guard
submit a paper to a future STCW
meeting to increase the STCW limits
from the current 1,000/4,000 HP
breakpoints. More realistic breakpoints
could be 4,000/10,000/20,000 HP.
Alternatively, on a vessel with multiple
identical main engines, regulators could
count only the power level of a single
engine as the required power limit on
the engineer credential.
This comment is outside the scope of
this rulemaking. The Coast Guard did
not propose any new requirements in
this area, and regulatory changes would
require a separate rulemaking, including
public notice and comment.
28. Designated Examiners (DE)
Six commenters agree with the new
definition that restricts DEs to only
evaluating the proficiency of any
applicant for a towing-vessel
endorsement. The commenter also
believes that the current system of
applying for recognition through the
NMC is appropriate.
The Coast Guard agrees and will
continue to approve the DEs for
evaluation of applicants for towing
endorsements.
Three commenters ask if the
definition of ‘‘designated examiner’’
indicates that he or she could be
approved by either the Coast Guard or
a Coast Guard-accepted organization.
The definition in § 10.107(b) has been
revised to reflect that the Coast Guard
will continue to approve all DEs.
29. Equivalency
One commenter urges the Coast Guard
to recognize the limited size and scope
of towing vessel engine rooms and

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account for this by issuing safe manning
certificates for towing vessels subject to
STCW that allow an individual serving
as officer in charge of an engineering
watch or designated duty engineer in a
periodically manned towing vessel
engine room meeting the operational
(STCW III/1) rather than management
(STCW III/2) level training requirements
to serve as chief engineer.
Pursuant to the STCW Convention,
persons with chief engineer functions
are required to meet Regulation III/2 or
III/3 as appropriate. STCW does not
provide for any exemptions from these
requirements. If a DDE is the only
engineer on the boat, then he is the defacto chief engineer and must meet
Regulation III/2 or III/3 of the STCW
Convention. If he or she is an engineer
in addition to another who is acting as
the chief engineer, then he or she would
only be required to meet Regulation III/
1 of the STCW Convention.
One commenter requests that the
Coast Guard allow OCMI’s to exempt
crew members, or at least members of
the steward’s department, on passenger
vessels operating on very short-duration
cruises inside completely protected bays
and harbors from the requirement to
obtain MMCs.
The same commenter requests that the
Coast Guard designate San Francisco
Bay and San Diego Harbor as ‘‘Rivers’’
when applying the MMC requirement.
This comment is outside the scope of
this rulemaking. The Coast Guard did
not propose any new requirements in
this area, and regulatory changes would
require a separate rulemaking, including
public notice and comment.
30. Electro-Technical Officer (ETO)
One commenter recommends that an
additional requirement to qualify for an
endorsement as an ETO aboard an
unlimited tonnage vessel (§ 11.335)
should be an endorsement as an OICEW
(engineers’ license). Service as an ETO
requires a thorough knowledge and
operational experience of all shipboard
engineering systems.
The Coast Guard disagrees.
Qualification as an OICEW is not a
prerequisite for an ETO endorsement
under the STCW Convention. In
addition, the Convention provides for
other personnel without a marine
engineering credential to qualify for this
endorsement.
One commenter states that there is no
clear education, training or certification
requirement for ETO. The commenter
states that the minimum requirement for
an applicant should be that he or she
hold a GMDSS maintainer license and
be certified as CompTia A+ Network+
and Security+. There should also be a

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requirement that he or she is also
certified in the repair and operation of
Automatic Identification System, Long
Range Identification and Tracking, Ship
Security Alert System, Simplified
Voyage Data Recorder Radar/Electronic
Chart Display and Information System
(ECDIS) and all bridge electronics. The
commenter also recommends that there
should be a recertification requirement.
The Coast Guard partially agrees.
Section 11.335 has been amended to
include training requirements
appropriate for an ETO. The Coast
Guard disagrees that the GMDSS
maintainer should be a pre-requisite for
the ETO since the STCW Convention
does not expressly require it. This final
rule allows companies to add this
requirement as an additional
responsibility of an ETO.
One commenter recommends that the
Coast Guard establish the following
minimum knowledge for § 11.335, ETO
and Electro-technical rating: Each
applicant for an endorsement/license as
an electro-technical officer/rating shall
furnish evidence that he or she meets
the standard of the GMDSS maintainers
as required by the Coast Guard and
having met the requirements for electrotechnical officer/rating as outlined in
STCW A–III/6 or A–III/7.
The Coast Guard disagrees. The
GMDSS maintainer and ETO are
separate endorsements that are now
established in STCW. This final rule
allows companies to add this
requirement as an additional
responsibility of an ETO.
One commenter asks, with regard to
§ 11.335:
(1) In what engine room capacity does
the potential ETO have to serve?
(2) If proficiencies are demonstrated
onboard a vessel, who signs the
competencies?
(3) Does any new OICEW or greater
endorsement qualify as ETO without
additional training, service, or
assessment?
(4) Is ETO to be a subsidiary duty of
any OICEW or higher?
(5) Is this the intended outcome or is
the ETO to be a specialized Electronics/
Automation/Controls engineer?
The STCW Convention is not a
manning document; therefore, the Coast
Guard will not require that any vessel
carry a mariner holding this ETO
endorsement. However, anyone serving
in the capacity of ETO must hold the
endorsement. If proficiencies are
demonstrated onboard a vessel, a
qualified assessor would sign the
competencies. Any new OICEW must
meet the requirements of § 11.335 in
order to qualify as an ETO. Any mariner
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§ 11.335 will be issued an ETO
endorsement without regard to whether
they also hold or qualify for a
corresponding national endorsement or
any other STCW endorsement.
31. Examinations
One commenter notes that
§ 11.201(j)(2) contains a
recommendation that an applicant take
the exam ‘‘as soon as possible,’’ even
though the preamble of the SNPRM (76
FR 45939) states that the Coast Guard
agreed with a comment that the advice
is unnecessary and would be dropped.
The commenter recommends deleting
the statement.
The Coast Guard agrees, and
§ 11.201(j)(2) has been amended to
delete this language and indicate only
that the approval for examination is
good for 1 year.
One commenter recommends that, in
§ 12.205, the Coast Guard add a
consequence to the last sentence of (c),
such as ‘‘or the application will be
voided.’’
The Coast Guard disagrees. The
regulatory text is clear that the approval
for examination is good for 1 year.
Two commenters note that
§ 11.201(j)(1)(iii) requires applicants
(e.g., cadets) enrolled in a
comprehensively approved program of
training, service and assessment be
authorized for the Coast Guard exam
‘‘not more than 3 months prior to the
completion of the program provided all
applicable sea service requirements are
completed prior to the examination.’’
The commenters believe the 3-month
period is more restrictive than the 6month period previously allowed by the
Coast Guard and recommended that the
6-month period be retained.
The Coast Guard agrees in part. The
exams need to be completed soon before
or after issuance of the credential to
ensure that new officers have the
knowledge prior to receipt of their
officer endorsement. However, the Coast
Guard recognizes that some training
schools complete the training program
ahead of time and the rest of the time
is spent prepping for the exam. In order
to facilitate the examination process
while ensuring that the examinees have
the knowledge for the exam, the Coast
Guard has added an additional sentence
to allow applicants to test earlier (a
maximum of 6 months prior to the
program end and graduation), provided
they have completed all parts of the
comprehensive program that pertain to
maritime credentialing requirements.
One commenter states that, in Table
11.910–2, the examination topics should
make reference and include specific
knowledge, understanding and

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proficiencies required in the STCW
tables in the applicable deck or engine
license category.
The Coast Guard agrees in part. The
exam subject tables in § 11.910 cover the
general subjects and topics for each
credential issued. Subjects, topics, and
sub-topics related to STCW KUPs will
be defined in guidance issued by the
Coast Guard.
One commenter asks how the Coast
Guard will approve simulators
discussed in § 11.901(c).
The Coast Guard does not approve
individual simulators. The Coast Guard
approves courses that use simulators
and, as part of the approval process,
evaluates whether the simulator is
suitable for the proposed training.
One commenter states that Tables
11.910–2, 11.930–2, and 12.950–2 do
not include security training
requirements.
Tables 11.910–2, 11.930–2, and
12.950–2 depict exam topics for
endorsements requiring examinations.
The security endorsements do not
require examinations.
One commenter suggests that, if the
tables of examination topics (§§ 11.910
and 11.950) were relocated to the
‘‘Examination Guide,’’ they could be
more quickly updated as necessary. If
strictly adhered to, these tables would
provide essential direction to the testing
mariner without compromising the
integrity of the examination.
The Coast Guard agrees in part. The
tables need to remain in the regulations
until such time as the Coast Guard
replaces them in regulation or issues
guidance. The tables are necessary to
provide the mariners with the topics for
the exams. The Coast Guard will
consider issuing a task to MERPAC to
develop suitable information on exam
topics.
The same commenter notes that, with
regard to § 10.219(a), the current
regulations used ‘‘Upper Level’’ to apply
specifically to unlimited master any
gross tons (AGT), near-coastal/oceans
chief mate AGT near-coastal or oceans,
second mate AGT near-coastal or
oceans, third mate AGT near-coastal or
oceans, chief, first, second, and third
engineers without tonnage or route
restrictions. But in the reference beneath
this SNPRM table, ‘‘Upper Level’’ is
defined as AGT or unlimited
horsepower. Is the master inland AGT
considered ‘‘unlimited’’ here for fee
purposes? The new Deck Examination
Guide relies on the old § 10.107
definitions, which included ‘‘Upper
Level’’ as defined above and
distinguishes two retesting procedures
and two waiting periods for ‘‘Upper and
Lower Levels.’’

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The same commenter also pointed out
that ‘‘Upper Level’’ candidates who
failed three sections of their
examinations were required to retest on
all sections. ‘‘Lower Level’’ candidates
did not have to meet this threshold.
‘‘Upper Level’’ candidates had to wait 3
months before beginning a new exam
cycle after having failed a previous goround; ‘‘Lower Level’’ candidates had to
wait only 2 months. Will the procedures
of the Deck Examination Guide remain
in place or will the testing procedures
and waits change to one system for all
candidates as described in § 10.219?
The Coast Guard has changed the
testing procedures and waiting periods
for both deck and engine ‘‘Upper and
Lower’’ level examinations to one
system for all candidates as detailed in
§ 11.217(a) of this final rule. The
examination guide will be changed
accordingly. Additionally, the Coast
Guard has added a definition for
‘‘unlimited’’ in § 10.107.
The same commenter noted that
§ 11.418(b) should be changed to
provide for a limited examination
instead of a full examination.
The Coast Guard agrees, and
provisions in the existing regulations
calling for a limited examination remain
unchanged. We will also retain the
existing regulation specifying a limited
examination in §§ 11.418(b),
11.429(a)(3), 11.446(b), 11.456(a)(3), and
11.467(f)(3).
One commenter requests a near-term
update to the tables of examination
subjects in part 11 to reflect the 1995
and 2010 STCW amendments. Of great
importance, the commenter believes, is
the accuracy of the list of examination
subjects, which enables maritime
educators to determine more precisely
what must be included in training and
education programs to ensure their
students can adequately prepare for the
Coast Guard’s exam.
The Coast Guard agrees and has
amended the examination tables to
include the general topics for the
various examinations. The Coast Guard
recognizes that additional information
may be necessary to further develop
these topics. The Coast Guard will
consider issuing a task to MERPAC to
develop suitable additional information
on exam topics.
The same commenter asks, as an
example, if a mariner has an STCW
endorsement as chief mate on vessels of
1,600 GRT/3,000 GT or more, would the
candidate, among other requirements,
have to pass the chief mate unlimited
near-coastal/ocean examination? And,
having passed that examination, later
on, would the candidate meet the
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domestic chief mate any gross tons, and
would he or she be required to take the
unlimited master/chief examination
again?
A mariner as described in this
comment would not be required to
retake examinations previously and
successfully completed at a lower level.
32. Dynamic Positioning
One commenter expresses
disappointment that the SNPRM does
not include an endorsement for
Dynamic Positioning Officers (DPO)
under B–V/f of the STCW Code. Issuing
this endorsement, even if not required
by the COI on U.S. flag vessels, would
highlight the unique training and
experience of DPOs and set a standard
among other STCW signatory nations.
The commenter urges the Coast Guard
to consider creating such an
endorsement.
DP requirements are being addressed
in a separate rulemaking. Additionally,
§ 15.520 has been amended to clarify the
status of a MODU on DP.
33. Fast Rescue Boats
One commenter recommended that,
since existing SOLAS and U.S.
requirements mandate that the STCW
competency of ‘‘Operate Fast Rescue
Boat Engine’’ be accomplished at least
once a month, the Coast Guard should
add to the list of STCW competencies
that it will accept as onboard training
for the STCW competency ‘‘Operate Fast
Rescue Boat Engine.’’
The Coast Guard agrees and has
amended § 12.617 to include operating
the fast rescue boat engine as a
competency that can be completed
onboard vessels.
34. Deck Officer Requirements
Four commenters note that on page
45918 of the preamble the Coast Guard
cites § 11.401 as ‘‘removing the
requirement for deck officers to obtain
a qualification as Able Seaman,’’ which
‘‘provides consistency with the STCW
Convention.’’ Although the requirement
is absent from STCW endorsements, it is
still found in §§ 11.407(a)(1),
11.414(a)(2), 11.416(a), and 11.421(a),
which are the prerequisite credentials to
obtain STCW authority. Moreover, the
prerequisite to hold A/B is also found in
Great Lakes and Inland §§ 11.437,
11.444, and 11.448. The commenters
recommend that the Coast Guard
remove the prerequisite of holding an
A/B endorsement from these sections.
The Coast Guard agrees and has
amended §§ 11.407(a)(1), 11.414(a)(2),
11.416(a), 11.421(a), 11.437(a)(1),
11.444(a)(1), and 11.448 to remove the
requirement that applicants for these

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endorsements must hold an able seaman
endorsement.
35. Ceremonial License
Six commenters acknowledge and
thank the Coast Guard for recognizing
the importance of a mariner’s credential
by creating the ‘‘ceremonial license.’’
The commenters added that this
document demonstrates respect for the
professionalism of the mariner and that
a ceremonial license means a document
that reflects a mariner’s existing
domestic officer endorsement and is
suitable for framing, but is not valid for
use as an MMC.
One commenter states that, although
he appreciates the Coast Guard’s
willingness to make the ceremonial
license available, it would be nice to
recognize the issue number which is a
source of pride to experienced mariners
as well as a valuable tool for potential
employers.
The Coast Guard appreciates the
desirability of including an issue
number on the ceremonial license.
Because the MMC does not currently
contain an issue number, though, the
Coast Guard is unable to include such
a number on the ceremonial license.
The ceremonial license, however, would
show the existing national officer or
rating endorsement.
One commenter states that a
ceremonial license would fill the gap
left by the current passport format
license. The commenter adds that
passengers have come to expect to see
the master’s license publicly displayed
onboard with all the other documents.
The Coast Guard agrees that
passengers have come to expect to see
the master’s license publicly displayed
onboard, and 46 U.S.C. 7110 requires
the posting of the master’s MMC.
However, the ceremonial license ‘‘is not
valid for use as a Merchant Mariner
Credential’’ (see § 10.107), so its posting
would not satisfy 46 U.S.C. 7110. The
Coast Guard is unable to change this
requirement without a revision of the
statute.
36. Basic Training
Two commenters state that, in current
§§ 11.301(b) and 11.301(c)(3), the
onboard assessments for STCW
elementary first aid are not equal for
officers and ratings.
The Coast Guard did not propose
onboard assessments for elementary first
aid. The Coast Guard agrees that the
requirements for officers and ratings
should be the same and has revised
those requirements accordingly. The
requirements for BT, including
elementary first aid, have been broken
out into separate sections in §§ 11.302

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and 12.602. The Coast Guard has
changed the term ‘‘basic safety training’’
to ‘‘basic training’’ to be consistent with
the STCW Convention.
One commenter expresses concern
over the provision in § 11.201(h)(1)
allowing mariners to demonstrate
having maintained the standard of
competence in basic and/or advanced
firefighting and felt this posed an
additional burden to inland mariners.
The commenter recommends leaving in
place acceptance of 1 year of sea service
in the last 5 years as meeting the
requirements for demonstrating
competence in basic and advanced
firefighting for domestic, inland
credentials.
The Coast Guard disagrees. There are
no firefighting maintenance or renewal
requirements for national endorsements
in § 11.201(h). The firefighting
requirements in § 11.201(h) apply to the
original issue of one of the specified
officer endorsements. It does not apply
to the renewal of an endorsement, or to
a raise of grade from one of the
enumerated endorsements. However,
the Coast Guard has revised this section
to add new provisions specifically
stating that the firefighting requirement
only applies to a raise of grade if the
applicant had not previously met the
requirement.
One commenter remarked that
instructors in first aid and cardiopulmonary resuscitation (CPR) should
be required to demonstrate their
familiarity with the most recent
techniques through certification by the
American Heart Association and/or the
American Red Cross.
The Coast Guard agrees that
instructors must be familiar with the
most current techniques, but does not
feel a change is needed. When courses
are approved or renewed, the Coast
Guard evaluates the qualifications of
instructors to ensure they are qualified
to teach the course. In addition,
continued professional competence of
instructors should be addressed in the
school’s QSS, and will be subject to
periodic audit by the Coast Guard.
Two commenters note that
§ 11.301(b)(3) allows for certain areas of
basic safety training (BST) to be satisfied
with onboard experience. However,
§ 12.601 does not list continued
proficiency being granted for the same
areas through onboard experience and
drills.
The Coast Guard agrees, and has
relocated the requirements for STCW
ratings to accomplish BT to § 12.602.
The new section accepts sea service as
demonstrating continued proficiency in
elementary first aid and personal safety
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The same commenters state that first
aid and CPR are dynamic, ever-changing
courses. They express concern about
how maritime personnel will be
properly trained, while onboard ship, in
the most current/updated procedure and
by whom.
The Coast Guard disagrees. Because
STCW does not require proof of
continued competence in elementary
first aid or personal safety and social
responsibilities, we will accept onboard
training and experience, through
evidence of 1 year of sea service within
the last 5 years as meeting the
requirements for these portions of BT.
Two commenters state that, with
regard to BST and advanced firefighting
renewal requirements, it may be
difficult to obtain shoreside assessment/
competency as there are very few
facilities that have the equipment for
these training purposes.
The Coast Guard disagrees. This final
rule implements the 2010 amendments,
which are very explicit about which
areas of the standard of competence can
be accomplished onboard and which
ones can be accomplished ashore. Initial
BT and advanced firefighting training is
accomplished ashore through Coast
Guard approved courses that cover all
aspects of knowledge, understanding
and proficiency for all the competence
areas. Consequently, we believe that
there are sufficient courses with the
equipment and teaching resources
necessary to cover this training.
One commenter recommends that
BST standards and requirements be
expanded by the Coast Guard to include
all fishing vessels, fish tender vessels,
and certain vessels operating inside the
boundary line.
The Coast Guard disagrees. The
STCW Convention applies to mariners
serving on seagoing vessels, except
pleasure craft, fishing vessels, and
vessels entitled to sovereign immunity,
such as warships. Article II of the
Convention defines a seagoing ship as a
ship other than one that ‘‘navigates
exclusively in inland waters or in
waters within, or closely adjacent to,
sheltered waters or areas where port
regulations apply.’’ The provisions in
this final rule which would implement
amendments to the STCW Convention
only apply to commercial vessels
operating seaward of the boundary line,
as specified in 46 CFR part 7. The Coast
Guard does not intend, and is not
required by STCW, to apply
international standards to our domestic
mariners in this regard. Furthermore, 46
U.S.C. 8105 prohibits the application of
the STCW Convention to fishing vessels.
Two commenters ask what evidence
must be produced by the vessel master

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to verify compliance with
§§ 11.1105(c)(1) and 11.1105(c)(2), and
whether all MMCs will now have an
STCW endorsement for BST.
The proof of compliance will be on
the MMC in the form of an
endorsement. The Coast Guard will
place an endorsement for basic training,
formerly known as BST, on the MMC.
One commenter challenges the
concept, as outlined in §§ 11.301(b)(3)
and 12.601(b)(3), that time served
aboard a vessel can in and of itself
constitute an ongoing demonstration of
competency with regard to the
emergency response skills required by
Table A–VI/1 of the STCW Code.
The Coast Guard disagrees. The 2010
amendments to the STCW Convention,
specifically Section A–VI/1, paragraph
4, are very explicit about which areas of
the standard of competence can be
accomplished through training and
experience onboard and which ones
must be accomplished ashore. The
allowance in the Convention to
demonstrate competence onboard a
vessel does not exempt mariners with
vessel service from the requirement to
demonstrate that they have maintained
the standards of competency through
onboard training and drills.
The same commenter adds that,
depending on their muster-list
assignments, many mariners on vessels
that are running realistic drills may
never have the opportunity to perform
certain emergency duties or demonstrate
competence performing them, such as
boarding a survival craft from the ship
while wearing a lifejacket. If a mariner’s
sea time is served wholly aboard a
vessel whose survival craft are inflatable
liferafts, and the vessel does not launch
and inflate a liferaft, how can it be said
that individual has demonstrated the
ability to board their survival craft from
the ship?
The Coast Guard has addressed this
issue in § 12.615. Seafarers holding an
STCW endorsements for OICNW,
OICEW, and able seafarer-deck are
required to meet the requirements for
proficiency in survival craft and rescue
boats other than fast rescue boats, or
proficiency in survival craft and rescue
boats other than lifeboats and fast rescue
boats. These requirements are consistent
with the STCW 2010 amendments.
Five commenters state that the
proposed regulations pertaining to
requirements for STCW officer and
STCW rating endorsements in §§ 11.301,
12.601, 12.615, and 12.617, respectively,
are a change from current Coast Guard
policy that recognizes at least 1 year of
sea service in the last 5 years as meeting
the BST, advanced firefighting, survival
craft and fast rescue boat proficiency

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standards. The commenter believes that
this is an unnecessary and unwieldy
change to the policy, and will
significantly impact mariners who will
be required to attend a shore-side school
to complete these assessments when no
other shore side assessment option is
available. The STCW Convention does
not allow all assessments to be
conducted onboard. Therefore, the
administration can only choose to
accept onboard assessment for those
permitted by the Convention.
The Coast Guard disagrees. We have
not changed the requirement for
mariners to provide evidence of
continued professional competence in
BT, advanced firefighting, survival craft,
and fast rescue boat through 1 year of
sea service within the last 5 years.
Further, the 2010 amendments to the
STCW Convention require that seafarers
provide evidence of continued
professional competence in those areas
every 5 years. However, the new
amendments also identify those areas
from the standard of competence that
must be assessed ashore.
Implementation of shore-based training
and assessment is required by the 2010
amendments and is not discretionary.
One commenter believes that § 11.301
is confusing as written because the
commenter is unable to determine if
mariners are required to retake the
advanced firefighting and personal
survival courses every 5 years, or if
shipboard drills, training and sea
service will be sufficient to establish
continued professional competence. In
the commenter’s view, the proficiency
in these two areas can be maintained on
the vessel through specific drills,
training and testing aboard vessels.
The Coast Guard agrees in part. The
2010 amendments to the STCW
Convention require that seafarers
provide evidence of continued
professional competence in BT every 5
years. Continued professional
competence may be achieved through a
combination of ashore assessments, and
onboard drills and training.
Furthermore, the new amendments
identify those areas from the standard of
competence that can be maintained
while sailing onboard vessels through
drills and onboard training, and those
areas that must be assessed ashore. If a
mariner cannot complete competencies
onboard, then he or she will have to retake the original courses, or refresher
courses, as applicable. The Coast Guard
has added new sections on this subject
in §§ 11.302(e), 11.303(e), and 12.602(e).
As the same issue would also apply to
proficiency in survival craft and fast
rescue boats, we have also added new

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§§ 12.613(b)(4), 12.615(b)(4), and
12.617(b)(4).
Three commenters expressed concern
that the Coast Guard will be unable to
track sea service dates that have a
bearing on whether a mariner will meet
certain re-qualifying requirements. More
specifically, the commenters point out
that § 12.601(c) states that mariners may
provide evidence of 1 year of sea service
within the last 5 years, as meeting the
requirement for BT. The commenters
feel that implementation of the new
regulations will put a huge burden on
the NMC that will require rigorous
evaluator training and strict oversight.
The Coast Guard disagrees. The Coast
Guard will track BT and will keep
course completion certificates and sea
service records needed to support
issuance of the endorsement. A BT
endorsement will be issued where the
expiration will coincide with the
expiration date of the MMC. The Coast
Guard intends to implement the BT
continued professional competence
requirements by: (1) requiring the
course completion certificate as proof
that the mariner demonstrated the areas
that must be refreshed ashore; and (2)
requiring 1 year of sea service in the last
5 years as proof that the seafarer
demonstrated the topics that can be
demonstrated onboard the vessel.
37. MMC return
Three commenters question the
requirement in § 10.209(g) that mariners
must return all previously issued MMCs
when a new MMC is issued.
This is an existing requirement in
§ 10.227(d)(4). The MMC is used as a
mariner identification document and a
previously issued MMC will need to be
returned if it is still valid when a new
MMC is issued. Computer verification is
not always used and the potential
misuse for the credential warrants
returning valid credentials to the Coast
Guard. We agree, however, that there is
no need to return an expired credential
and the text has been changed to reflect
that.
38. Renewal requirements
Two commenters recommend that the
term ‘‘Qualified Instructor,’’ as defined
in § 10.107, be included in
§§ 10.227(e)(1)(iv) and 10.232(f) to
ensure that maritime academy
instructors will be considered as
meeting the ‘‘closely related service’’
professional standard for renewal of an
MMC.
The Coast Guard agrees, and has
amended §§ 10.227(e)(1)(iv) and
10.232(g) to include qualified
instructors.

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One commenter states that the
required 360 days of sea service in the
last 5 years to renew/upgrade a license
is excessive.
The Coast Guard disagrees. With
regard to STCW endorsements, the
service requirements are as specified in
the STCW Convention and the Coast
Guard does not have discretion to
modify them.
39. Safety and Suitability
One commenter recommends that
Coast Guard consider amending
§§ 10.225 and 11.201 to permit maritime
academies or other institutions that
submit applications on behalf of a cadet
or mariner, to inform the Coast Guard,
when necessary, of an applicant’s
‘‘character and habits of life’’, which
may not be revealed by Coast Guard or
Transportation Security Administration
(TSA) background checks alone.
Another commenter recommends that
the Coast Guard add text allowing
authorized vessel officers and company
representatives to submit applications
on behalf of applicants and be allowed
to inform the Coast Guard, when
necessary, of an applicant’s ‘‘character
and habits of life’’ that may not be
revealed by Coast Guard or TSA
background checks.
The Coast Guard disagrees. The focus
on criminal convictions in §§ 10.225
and 11.201 is important because the
mariner has been provided significant
constitutional protections in criminal
trials, the facts of a particular incident
have been fully investigated, and
matters of contention have been fully
adjudicated. Input from the mariner’s
educational institution or mariner’s
employers, while potentially valuable,
may be problematic. The Coast Guard
does not have the resources or the
authority to investigate and adjudicate
contested matters that occur at an
Academy. The benefit of this
information is outweighed by the
possibility of abuse and privacy
concerns. Information on convictions is
readily available and already fully
documented.
Academies are free to report
violations of law of which they are
aware to the appropriate enforcement
authorities at the time of the offense.
Furthermore, matters that are significant
enough to warrant denying a credential
also probably involve violations of
institutional codes of conduct, which
are probably more properly dealt with
by the institution’s disciplinary system.
Additionally, marine employers are
required to report violations of law of
which they are aware to the appropriate
enforcement authorities at the time of
the offense. For certain vessels, the

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official logbook would provide
sufficient documentation and a legal
method for reporting the items in 46
U.S.C. 11301. Matters significant
enough to prevent issuance of a
credential probably warrant referral to
the Coast Guard for action under 46 CFR
part 5.
40. Sea Service
Two commenters thanked the Coast
Guard for reconsidering the issue of
Great Lakes and inland sea service
credit.
One commenter wants to confirm the
change in § 11.402(a)(1) from the
previous requirement that all service be
on vessels of more than 200 GRT
(§ 11.402(a)) to all service must be on
vessels of 100 GRT or more.
Yes, the Coast Guard has made this
change, accepting that many vessels of
100 GRT have characteristics that can be
applied towards the unlimited tonnage
vessel without endangering safety.
Additionally, the requirement that half
of the experience be gained on vessels
of 1,600 GRT or more ensures that
mariners will have sufficient experience
for these credentials.
One commenter recommends that the
Coast Guard amend § 10.232(f) to allow
closely related service to be applied to
the raise-of-grade to original
management-level endorsements in the
manner of the existing rule. In addition,
this closely related service should be
accepted as meeting the requirements
for ‘‘recency’’ when applying for
renewal or raise-of-grade.
The Coast Guard disagrees. The
regulations already allow using this
credit toward raise-of-grade. Such
service would be inappropriate to grant
an original management-level
endorsement. Closely related service
does not adequately prepare mariners to
demonstrate the competencies required
for a management level endorsement.
Additionally, § 11.201(c) requires recent
qualifying service on vessels.
One commenter recommends that the
Coast Guard amend § 10.232(a)(1) by
adding ‘‘pilot association letter of
attestation’’ to the list of acceptable
forms to document sea service. In
addition, the commenter suggests
§ 10.232(a)(2) be amended by inserting
‘‘, as practicable,’’ between the words
‘‘must’’ and ‘‘contain.’’ This latter
change will allow for the reality that for
full-time independent professional
compulsory pilots, it is not necessary or
practicable to include the precise
number of vessels piloted and the
specific vessel information for the
hundreds of ships that may have been
piloted during a particular reporting
period.

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The Coast Guard agrees in part. We
recognize the burden placed on pilots
and pilot associations to document
pilotage sea service pursuant to
§ 10.232. The Coast Guard has amended
§ 10.232 to accept pilot association
letters of attestation for renewals.
However, the Coast Guard is unable to
accept the same letter for original officer
endorsements or raises in grade as there
is not sufficient information with regard
to the vessel tonnage, horsepower or
propulsion mode. Without the specific
vessel information, it is difficult to
determine whether a pilot meets the
specific requirements for credential
transactions other than renewal.
Two commenters request that
instructors who teach Coast Guardapproved courses be able to self-certify
on those courses that they teach when
those courses are required for license
renewal.
The Coast Guard agrees and has
added § 10.227(e)(1)(v) to recognize that
qualified instructors who have taught a
course, accepted or approved by the
Coast Guard, at least twice within the
past 5 years have met the standards
needed to receive a course completion
certificate for that course.
One commenter recommends that the
Coast Guard delete § 11.407(b). The
Great Lakes Maritime Academy intends
to request a change to their approval
letter to request their training programs
be approved for oceans and/or nearcoastal licenses based on sea service
obtained on the Great Lakes.
The Coast Guard agrees in part. The
Coast Guard has amended § 11.407(b) to
provide for an endorsement to be issued
depending on the program completed.
The distinction between the near-coastal
and oceans programs at the Great Lakes
Maritime Academy is based on several
differences in route, assessment, and
examination. The change is consistent
with the revisions in § 11.401 for oceans
and near-coastal endorsements.
One commenter recommends that the
Coast Guard amend § 10.232(g) by
adding a paragraph (5) that says: ‘‘On
academy training ships where sea
service is part of an approved training
program, a day may be creditable as 11⁄2
days of service.’’ The commenter
believes this is in keeping with the
Coast Guard’s existing practice of
crediting academy training ship sea
service as reported to IMO.
The Coast Guard agrees, and has
revised this section accordingly. We
have also made a similar revision to the
definition of ‘‘day’’ in § 10.107.
Fourteen commenters recommend
that § 11.211 have language that allows
service on inspected Ro/Ro passenger
vessels to be credited day-for-day for

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STCW endorsement, regardless of route.
This is justified, the commenters
believe, by the fact that § 11.1005
requires that masters, chief engineers,
mates, and engineers are required to
have STCW endorsements. If required to
carry the endorsement, the commenters
believe credit should be given to those
officers and ratings who work on
inspected Ro/Ro passenger vessels.
The Coast Guard agrees. Persons
serving on vessels to which STCW
applies will be credited day for day sea
service credit, and § 10.232 has been
amended accordingly.
One commenter notes that § 11.412(a)
requires any seafarer who desires to
upgrade to master 1,600 GRT to sail for
2 years aboard a towing vessel. The
commenter believes this is an
unreasonable requirement, since many
seafarers will never sail aboard a towing
vessel. For those who will, the
requirement elsewhere to gain a TOAR
will suffice to provide the necessary
training and experience for towing. A
similar requirement is contained in
§ 11.414 for those desiring to get a mate
1,600 GRT endorsement (1 year on
towing vessels required).
The Coast Guard agrees that towing
vessels are not the only way to earn sea
service credit, and has amended
§§ 11.412 and 11.414. Mariners may
upgrade to master on vessels of less than
1,600 GRT with service in a licensed
position on any number of vessels,
including, but not limited to, towing
vessels.
One commenter notes that § 11.412(a)
requires 4 years total service to upgrade
from mate 1,600 GRT to master 1,600
GRT. The commenter also notes that
§ 11.418(a)(1) requires 3 years total
service to upgrade from mate 500 tons
to master 500 tons. Over the past year,
the commenter notes, there have been
several successful appeals of this
requirement, and several clarifying
letters from the Coast that have
effectively changed this requirement.
The commenter believes this would
seem to be the right time to correct this
requirement in the CFR so as to prevent
further confusion on this issue for the
future.
The Coast Guard agrees, and has
amended §§ 11.412 and 11.418
accordingly.
Two commenters recommend that the
Coast Guard remove §§ 10.232(b)(1) and
10.232(b)(2), which specify the credit
allowed for service on the Great Lakes
and other inland navigable waters, as
they have no useful purpose whatsoever
and only serve to make professional
advancement more difficult, thereby
decreasing the availability of mariners
for service on ocean-going ships.

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The Coast Guard disagrees. Service on
Great Lakes and inland waters was not
previously permitted to count toward an
STCW endorsement. Inclusion of these
sections will actually increase the
availability of mariners for service on
ocean-going vessels.
One commenter states that, with
regard to § 12.605(a)(2)(i), leaving the
proposed section as ‘‘six months of
seagoing service’’ is overburdening the
mariner for a simple bridge lookout/
helmsman position. The commenter
believes a minimum number of watches
should be specified.
The Coast Guard disagrees. This
requirement is clearly specified in
Regulation II/4.2.2.1 of the STCW
Convention.
One commenter suggests that the term
‘‘full mission simulator’’ be deleted
from the proposed regulations as there
are other simulation software that can
be used that do not meet the
requirements of a ‘‘full mission’’
simulator.
The Coast Guard agrees that a full
mission simulator is not required for all
required training and assessment, but
notes that we did not use this term in
the proposed rule, or in this final rule.
As used throughout this final rule, a
simulator does not need be a full
mission simulator, it need only be
capable of supporting the training and
assessment objectives for its proposed
use.
Two commenters do not support the
proposal in § 10.232, which states that,
‘‘service on inland waters, other than
Great Lakes, that are navigable waters of
the United States, may be substituted for
up to 50 percent of the total required
service toward an oceans, near-coastal,
or STCW endorsement.’’ The
commenters believe there are
insufficient similarities in experience
between inland and ocean service to
justify crediting inland time toward full
ocean service requirements. An
exception, the commenter believes,
should provide that inland service be
credited for a limited STCW
endorsement for ‘‘service on vessels of
any gross tons upon the sheltered waters
of British Columbia as defined in the
treaty between the United States and
Canada signed 11 August 1934.’’
The Coast Guard disagrees. The
STCW defines seagoing service as
‘‘service onboard a ship relevant to the
issue or revalidation of a certificate or
other qualification.’’ The Coast Guard
recognizes that some ‘‘relevant’’
experience can be gained on inland
vessels creditable toward an STCW
document. Accordingly, the Coast
Guard is allowing day-for-day credit for
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the total required service. The credit of
service is justified because many of the
inland navigable waters of the United
States are of such length and/or breadth
that they have the characteristics of
ocean or near-coastal waters.
One commenter requests that, with
regard to § 11.211(b)(2), which sets out
service requirements for national and
STCW officer endorsements,
consideration be given for service on
inland vessels of 1,600 GRT/3,000 GT
and 4,000 HP that have equivalent
equipment to ocean vessels. The
commenter recommends that credit be
given on a day-by-day basis for engine
(OICEW) and engine ratings
endorsements.
Another commenter also requests the
same change with regard to
§ 11.301(d)(3), which sets out
requirements for STCW officer
endorsements. The commenter suggests
consideration be given for service on
inland vessels of 1,600 GRT/3,000 GT
and 4,000 HP that have equivalent
equipment to ocean vessels. The
commenter requests that credit be given
on a day-by-day basis for engine
(OICEW) and engine ratings
endorsements.
The Coast Guard agrees in part.
Section 11.301(d)(3), which has been renumbered as § 11.301(b)(3), has been
revised to provide day-for-day credit for
service on inland waters. Although
there are sufficient common skills and
experience to justify allowing credit for
service on inland waters, the differences
between inland waters and ocean
service prevent allowing use of this
credit to meet 100 percent of the sea
service requirement. Therefore, both
§ 11.211(b)(2) and § 11.301(b)(3) allow
credit for inland service to be credited
on a day-for-day basis for up to 50
percent of the total required service.
One commenter recommends that,
with regard to § 11.329, the proposed
reduction in the requirements to obtain
endorsement as an OICEW be
eliminated. Reducing the requirement to
a mere 12 months of a combination of
sea service and approved training
program, the commenter believes, will
not produce the quality of marine
engineer that the U.S. is accustomed to.
The Coast Guard disagrees. The
requirement is that the applicant must
complete an approved training program.
That program must include a
combination of workshop skills and
seagoing service of not less than 12
months. Furthermore, the training
program must satisfy the standards of
competence in Section A–III/1 of the
STCW Code, which typically takes 3
years. The requirements mirror those for
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assistant engineer which requires either
3 years of service, or completion of an
approved program.
Three commenters state that
historically, almost all sea service has
been creditable on a day-for-day basis
for upgrading a mariner’s credentials. In
recent years, the commenters believe
licensing for chief engineers became
subject to geographic restrictions,
although no reason was provided for
this. Even once this practice was in
place, however, most sea time was still
creditable on a day-for-day basis for 100
percent of the required time. The
commenters believe the proposed
language in § 10.232(b) would reduce
the creditable sea service to 50 percent
of what’s actually earned and then limit
it to a maximum of 50 percent of the
required time. The commenters believe
the existing sea-service applicability
should remain as it currently stands.
The Coast Guard partially agrees.
Section 10.232(b) allows mariners
serving onboard vessels operating on
inland waters or the Great Lakes to
receive credit towards an oceans or
STCW endorsement. It was not the
Coast Guard’s intent to reduce the
creditable sea service for national
credentials. In fact, this provision
permits broader application of Great
Lakes and Inland service towards both
STCW and national ocean endorsements
than is allowed under current
regulations. To avoid confusion, the
Coast Guard has also added a new
paragraph § 10.232(c) that would ensure
day-for-day credit for 100 percent of the
required time when applying for Great
Lakes or inland credentials. We have
also re-designated existing paragraphs
(c) through (h) as new paragraphs (d)
through (i).
Eighteen commenters support
proposed section § 11.211 ‘‘Creditable
service and equivalents for domestic
and STCW officer endorsements’’ as it
will recognize time served on inland
voyages for the issuance of STCW
officer endorsements. However, the
commenters are disappointed that
inland service is to be substituted for
only up to 50 percent of the total
required service. They recommend that
the proposed language be amended so
that inland time is credited on a day-forday basis, as is service on the Great
Lakes.
The Coast Guard disagrees. Although
there are sufficient common skills and
experience involved in service on
inland waters and oceans to justify
allowing credit for service on inland
waters, the differences between inland
waters and ocean service prevent
allowing use of this credit to meet 100
percent of the service requirement for

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near-coastal, oceans, or STCW
endorsements.
One commenter believes that the
military/government service option is a
step in the right direction to encourage
an experienced but un-certificated
mariner to bring their experience to the
merchant fleet. However, without a
specific statement granting STCW
support-level service credit for
watchstanding petty officers,
operational-level service credit for
service as an underway officer on duty
or engineer on watch, and managementlevel service credit for service as
commanding officer/executive officer/
engine officer, the intended benefit will
be minimized or non-existent. The
commenters also believe it is likely
§§ 11.301(f) and 11.305(a)(1) would
block any applicant from getting an
STCW endorsement at the management
level directly following service in a
management-level billet on a military/
government vessel, despite table
11.305(d) creating this path. Perhaps
additional elaboration in the final
regulation on the intended interaction of
§§ 11.301 and 11.305 for military/
government mariners would be helpful
to allow and clarify the full benefit
intended.
The Coast Guard will provide
additional guidance in the future to
address how to implement assessments
for STCW endorsements, including
guidance for those in military or
government service. Such guidance will
address the methods by which a
military/government seafarer may
demonstrate satisfaction of service
requirements, as well as the military/
government assessments and training
that may be accepted towards the
credentials being sought.
One commenter believes that
§ 10.232(d) is a large step backward and
will discourage mariners from beginning
service or remaining on military or
public vessels, and that the section is
even more restrictive and inequitable
than the current NMC Policy Letter 09–
01 addressing these atypical vessels.
The proposed regulations, the
commenter believes, treat mariners on a
MODU, on a liftboat, or a shoreside port
captain significantly differently, while
all are ‘‘atypical’’ service. The
commenter recommends that
§ 10.232(d) specifically state that it does
not apply to liftboats when operating in
the elevated mode. If this proposal is
not acceptable, the commenter thinks at
least the 180-day service cap should be
removed.
The Coast Guard agrees in part. This
requirement is not a change from
current requirements and sea service
limits. The Coast Guard will conduct an

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evaluation of vessel operations and
determine whether additional credit
should be allowed; however, the Coast
Guard still firmly believes that a
mariner must have experience operating
a vessel in order to obtain an original
endorsement or a raise in grade.
One commenter is concerned with the
provisions of § 10.232 regarding the
crediting of sea service on vessels that
may spend a significant amount of their
time moored. Oil Spill Response Vessels
(OSRVs) and their crews are in a
constant state of readiness to respond.
The commenter recommends that NMC
Policy Letter 09–01 be reviewed with a
view towards enhancement and then
adopted in this final rule for sea time
credit for personnel serving aboard
OSRVs to recognize the important
service of these mariners.
The Coast Guard agrees in part. This
requirement is not a change from
§ 10.232 and current sea service limits.
The Coast Guard will conduct an
evaluation of vessel operations and
determine whether additional credit
should be allowed; however, the Coast
Guard still firmly believes that a
mariner must have experience operating
a vessel in order to obtain an original
endorsement or a raise in grade. Where
the Coast Guard conducts an evaluation
of vessel operations and determines a
need for change, NMC Policy Letter 09–
01, or its successor, will be revised.
Six commenters, with regard to
§ 10.232, believe that mariners on
vessels of less than 100 GRT should be
credited 11⁄2 days if working a 12-hour
watch schedule. The size of the vessel
does not reduce the experience gained.
Although they appreciate the Coast
Guard acknowledging and crediting the
experience gained for service on the
Great Lakes, they still feel service on
inland waters should count day-for-day
as well. Navigating on inland waters
requires just as much and in some
instances much more navigating,
piloting, training and drilling than
service on oceans and the Great Lakes.
The Coast Guard disagrees. The
definition of ‘‘day’’ provides that vessels
allowed to work 12-hour days, as
defined in the U.S. Code, will receive
11⁄2 days sea service credit. However,
changes to regulations on this subject
are limited by statutory restrictions on
the type and tonnage of vessels and the
number of watches that may be run.
Further, although there are sufficient
common skills and experience to justify
allowing credit for service on inland
waters, the differences between inland
waters and ocean service prevent
allowing use of this credit to meet 100
percent of the service requirements for

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near-coastal, oceans, or STCW
endorsements.
One commenter notes that under
domestic regulations, the time required
to obtain a near-coastal mate on vessels
of less than 200 GRT/500 GT is and has
always been 1 year. No change is
proposed to this requirement. Under
STCW, however, the same license for
international voyages would require an
endorsement as OICNW, which would
require 3 years of total time, and a
further 2 years to obtain the
endorsement. These voyages have been
made safely and successfully for many
years. Quintupling the time required to
obtain a small-tonnage near-coastal
mate’s license will effectively eliminate
foreign voyages of any kind for our
vessels, resulting in substantial restraint
of trade.
The Coast Guard disagrees. The time
required to obtain a small-tonnage nearcoastal mate’s license has not increased
by 4 years. The minimum service
required to qualify an applicant for an
endorsement as mate of ocean selfpropelled vessels of less than 200 GRT
(§ 11.427) is 12 months of total service
in the deck department of ocean or nearcoastal self-propelled, sail, or auxiliary
sail vessels. The minimum service
required to qualify an applicant for an
endorsement as mate of near-coastal
self-propelled vessels of less than 500
GRT (§ 11.421) is 2 years of total service
in the deck department of ocean or nearcoastal self-propelled, sail, or auxiliary
sail vessels. A mariner holding an
oceans or near-coastal mate less than
200 GRT would need to complete the
following additional service to obtain an
appropriate STCW endorsement: (1)
Twelve months under the authority of
the endorsement, in order to obtain an
OICNW endorsement for vessels less
than 200 GRT/500 GT; and (2) six
months under the authority of the
endorsement, in order to obtain an
OICNW endorsement for vessels less
than 200 GRT/500 GT limited to nearcoastal waters. These entry paths from
mate of oceans or near-coastal to STCW
endorsements as OICNW of vessels less
than 200 GRT/500 GT are provided in
table 1 of 11.319(d) for ocean waters and
table 1 of 11.321(d) for near-coastal
waters.
Five commenters object to the Coast
Guard proposing to grant 3-for-1 sea
service credit for liftboats when they are
elevated, but the mariner on a supply
boat gets 1-for-1 while the boat is
dockside, at anchor or moored to a
structure. The commenters note that
mariners work under our COIs at all
times, when elevated or not, and
recommends day-for-day credit at all
times on a liftboat.

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The Coast Guard agrees in part. This
requirement is not a change from
current requirements in § 10.232 and sea
service limits. The Coast Guard will
conduct an evaluation of vessel
operations and determine whether
additional credit should be allowed or
sea service limits should be reduced.
However, the Coast Guard still firmly
believes that a mariner must have
experience operating a vessel in order to
obtain an original endorsement or a
raise in grade.
One commenter is concerned that,
with the proposal to grant 3-for-1 sea
service credit for liftboats when they are
elevated, mariners will not be able to
renew their 1,600 GRT oceans license.
The Coast Guard appreciates the
commenter’s concerns, and notes that
§ 10.227(e)(1) of this final rule provides
alternatives for mariners without
sufficient or recent sea service to renew
their credentials.
One commenter notes that § 12.403
for A/B-unlimited requires that all sea
service be obtained on ocean waters.
The commenter recommends that this
should be modified to allow ocean or
near-coastal service to be acceptable.
The Coast Guard agrees, but a change
is unnecessary. The definition for
‘‘ocean’’ in § 10.107 includes nearcoastal waters, so this service would be
acceptable towards an A/B
endorsement.
One commenter suggested that the
Coast Guard move the boundary line
closer to the coast of portions of Alaska
and Washington state to enable mariners
to earn sea service creditable towards an
STCW endorsement on voyages seaward
of the new boundary line.
The Coast Guard cannot include such
a provision in this final rule because
moving boundary lines is not within the
scope of this rulemaking, and changes
in this area would require a separate
rulemaking. Additionally, boundary
lines affect the application of several
statutes and regulations beyond those in
this final rule, including those
governing the inspection of seagoing
barges and vessels. However, the Coast
Guard has amended § 10.232 so that
persons serving on vessels to which
STCW applies will be credited day-forday sea service credit.

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41. STCW Officer Endorsements
One commenter notes that § 11.301
does not clearly state that a mariner
cannot apply for any STCW officer
endorsement without holding a
‘‘domestic’’ endorsement. The
commenter recommends that the
requirement be included, possibly as a
blanket statement in this section or

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within each of the sections for STCW
endorsements.
The Coast Guard agrees, and has
amended § 11.201 to require that a
national endorsement must be held that
corresponds to the STCW endorsement
being sought.
42. Tankerman
Six commenters state that mariners
who hold an endorsement as
tankerman-PIC (barge) should be
allowed to qualify for an STCW
endorsement for advanced oil and/or
chemical tanker operations.
Additionally, four commenters noted
that § 15.860 should be revised to allow
mariners who hold domestic tankermanPIC (barge) endorsements to serve on
tank barges.
The Coast Guard agrees, and has
revised § 15.860 accordingly. Personnel
on non-tank vessels towing a barge will
be required to meet the STCW
requirements. For this reason, we
provided a means in §§ 13.603, 13.605,
and 13.607 for mariners serving on tank
barges to qualify for an STCW
endorsement with a limitation to nonself-propelled vessels.
One commenter recommends that the
Coast Guard amend § 13.107(d) by
removing ‘‘including the loading of fuel
oil’’ because, as the section currently
reads, it implies that a tankermanengineer endorsement is needed for
bunkering.
The Coast Guard agrees with the
comment and has amended § 13.107(d)
to ensure that it is not read to apply to
the transfer of anything other than bulk
liquid cargoes and that a tankerman
endorsement is not needed for
bunkering.
One commenter notes that the STCW
treats advanced oil and chemical tanker
operations as separate endorsements,
and recommended that the Coast Guard
do the same, while another commenter
recommended that these should be
combined into a single endorsement for
both cargoes.
The Coast Guard agrees with the first
commenter, and has separated
qualification requirements for oil
tankers and for chemical tankers into
two sections, §§ 13.603 and 13.605,
consistent with the STCW.
Nevertheless, it is possible for a single
‘‘cargo course’’ to be acceptable for both
endorsements, and if the vessel the
mariner serves on is certified to carry
both oil and chemical cargoes, the
mariner will be permitted under this
final rule to use the same service to
qualify for both endorsements.
One commenter notes that it should
be possible to renew tankerman
endorsements via in-service experience.

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The Coast Guard agrees. Section
13.120 allows for the renewal of
national tankerman endorsements with
in-service experience and cargo
transfers, or completion of an approved
course. In addition, for STCW
tankerman endorsements, the STCW
Code allows for the use of in-service
experience to renew the credential.
Two commenters state that the service
requirements for STCW endorsements
for advanced oil and/or chemical tanker
operations should be specifically stated.
The Coast Guard agrees and has
added the specific service requirements
for these endorsements in §§ 13.603 and
13.605.
One commenter states that there
should be reduced requirements for
mariners who hold STCW tanker
operations endorsements for one cargo
(oil, chemical, or liquefied gases) to
‘‘crossover’’ to an endorsement for
another cargo.
The Coast Guard agrees in part.
Therefore, we are retaining the existing
regulations in part 13, subpart F for a
‘‘crossover’’ for a national tankerman
endorsement. The STCW does not
provide for such a crossover, and
mariners must meet the full service
requirements applicable to each cargo.
The same commenter recommends
that a mariner should be able to qualify
for an STCW endorsement for advanced
oil and/or chemical tanker operations
via a 28-day approved training program.
The Coast Guard agrees in part.
Because the STCW Code allows for the
use of a 30-day training program, we
amended §§ 13.603 and 13.605 of this
final rule to permit an approved training
program as an alternative means to
qualify for these endorsements.
However, to be consistent with the
requirements of STCW and the
definition of ‘‘month’’ in § 10.107, the
approved program must be at least 30
days. A similar provision applicable to
liquefied gas tankers has been added to
§ 13.607.
Two commenters note that engineers
serving on tank vessels who hold or
qualify for a tankerman-engineer
endorsement should be allowed to
qualify for an STCW endorsement for
advanced oil and/or chemical tanker
operations without having to meet the
requirements for tankerman-PIC.
The Coast Guard agrees. The STCW
Convention requires that engineers
onboard tank vessels to which STCW
applies hold a tankerman endorsement.
Therefore, part 13, subpart F of this final
rule has provided a means for engineers
to qualify for an STCW endorsement
with a limitation to maintenance and
repair of cargo equipment.

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Two commenters note that mariners
should qualify for tankerman
endorsements with a combination of sea
service, shipboard experience, and
classroom training.
The Coast Guard agrees and has
provided, in part 13, for qualification for
endorsements with a combination of
training, sea service, and practical
experience aboard tank vessels.

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43. Tonnage Limitations
Two commenters do not agree with
the placement of a tonnage limitation in
§ 11.437(a)(3). If the Coast Guard closes
this avenue, towing vessel operators can
never reach the unlimited tonnage
licenses without leaving the pilothouse
and working as an A/B.
The Coast Guard disagrees. Mariners
must have appropriate experience on
vessels of appropriate tonnage for the
credential being sought, including those
for vessels of more than 1,600 GRT. The
tonnage provisions in § 11.437 have
existed for many years, and the Coast
Guard has not proposed to change them.
The regulations also provide a path for
a mariner receiving a tonnage limitation
to remove such a limitation.
One commenter asks the Coast Guard
to address what tonnage limitations will
be placed on officers with domestic
credentials limited to vessels of not
more than 500 GRT or 1,600 GRT when
they use the paths enabling them to
cross over to STCW endorsements. The
crossover tables link the national
endorsements with the STCW
endorsements. Therefore, the
commenter believes, any limitation for
national should correspond to the
appropriate STCW limitation.
The Coast Guard agrees, and
limitations on the national endorsement
correspond to the appropriate STCW
limitation, as shown in the crossover
tables.
Two commenters note that a domestic
1,600 GRT/3,000 GT master (§ 11.412) is
not listed as qualifying for OICNW on
vessels of less than 200 GRT/500 GT.
Implicit in STCW is the recognition that
you are qualified to serve both in your
highest rated capacity and in lowerlevel positions. The commenters believe
this must be reflected in the domestic
rules and that requiring time above 200
GRT/500 GT for STCW advancement for
master and chief mate more than 200
GRT/500 GT and less than 1,600 GRT/
3,000 GT is incongruent with the
recognition elsewhere in the SNPRM
that tonnage should be relative to the
size of license being sought. The
commenters believe that this tonnage
requirement should be reduced to more
than 50 GRT.

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The Coast Guard agrees in part. The
Coast Guard has removed the specific
tonnage requirement from §§ 11.311 and
11.313, and added the requirement for
an applicant to hold an appropriate
national officer endorsement. As a
result, the service requirements for
master 1,600 GRT should be adequate to
obtain the STCW endorsement as master
less than 3,000 GT. The Coast Guard did
not include the master endorsement in
table 1 of 11.321(d) because that
endorsement is associated with the
corresponding STCW endorsement for
master on vessels of 500 GT or more and
less than 3,000 GT instead of the STCW
endorsement for OICNW on vessels of
less than 500 GT.
The same commenters believe that
tonnage requirements for respective
licenses should also be brought into
parity such that someone who has
acquired all of their time on a vessel of
more than 100 GRT for a domestic
unlimited ocean license according to
proposed § 11.402(a)(1) is not rejected
because they do not have time on
vessels of more than 200 GRT/500 GT
required for the STCW endorsement
under § 11.305.
The Coast Guard agrees in part.
Service acquired to obtain the national
endorsement will be credited towards
the STCW endorsement. If specific
service is required, it will be specified
in the associated transition tables found
in part 11, subpart C. Should a mariner
fail to have sufficient tonnage and
receive a tonnage limitation on their
domestic endorsement, that same
limitation will be placed on the STCW
endorsement.
One commenter notes that, in the
past, Coast Guard licenses have been
designated as ‘‘not more than.’’ For
example, a mariner currently holds a
master on steam or motor vessels of not
more than 1,600 GRT. However, the
STCW and domestic endorsements will
now describe the tonnages on the
approximate credentials as master on
vessels of 1,600 GRT/3,000 GT or more
(STCW) and master of ocean or nearcoastal vessels of less than 1,600 GRT/
3,000 GT (domestic). Where does the
current master 1,600 oceans near-coastal
fit? Given the floating one ton, is this
mariner considered to hold both the
STCW for vessels 1,600 GRT or more
and the domestic for vessels 1,600 GRT
or more, one but not the other, or
neither?
The Coast Guard changed domestic
endorsements from ‘‘not more than’’ to
‘‘less than’’ to better align the national
endorsements with the STCW
endorsements. This will reduce the
likelihood that a mariner could hold a
national endorsement and an STCW

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endorsement and still not be able to
operate the vessel due to the ‘floating
ton’. In addition, we have included
manning requirements to show both
national and STCW provisions required
to sail onboard.
The same commenter notes that
§ 11.414(a)(2) requires 3 years of service
in the deck department on ocean or
near-coastal voyages on vessels greater
than 200 GRT/500 GT. This was
modified from the original NPRM,
which changed the requirement to
service on vessels greater than 100 GRT.
The commenter recommends that the
Coast Guard revert back to what was in
the NPRM and this service should be
required only on vessels greater than
100 GRT.
The Coast Guard agrees, and has
amended § 11.414 (a)(2) to use the
current 100 GRT tonnage limit, which is
consistent with § 11.402.
44. Fees
Twenty-seven mariners object to the
proposed requirement in § 10.219(d)
that fee payments for MMCs and
associated endorsements must be made
by credit card or by electronic payment.
They claim that it would be a hardship
on mariners as they do not always have
these means of payment available to
them.
The Coast Guard agrees and is
withdrawing this proposed revision.
The verbiage in the current section will
be retained allowing for multiple forms
of payment.
45. Post-Dating MMCs
Eighteen commenters support the
proposal in § 10.205 to allow the postdating of MMCs. The commenters add
that this is a much-needed step in
ensuring that a mariner receives the full
5 years on an MMC for which the
mariner has paid. Fourteen of these
commenters requested that the Coast
Guard go further and adjust the
proposed language to ensure that the
post-dating is automatically completed
by the Coast Guard for every renewal.
The Coast Guard agrees with postdating credential renewals with the
option for a mariner to choose
immediate issuance. The credentials
will be post-dated to align with the
expiration of the existing credential.
The Coast Guard has amended
§ 10.205(a) to require automatic postdating with the option for immediate
issuance.
46. Wages
Two commenters object to the
proposed language in § 14.309(a)(4),
which would allow the master or
individual responsible for paying the

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mariner his wages at the conclusion of
a voyage to forego the payment of wages
due and instead issue a statement of
when the wages due will be paid or
deposited. The commenters continue by
stating that the requirement for payment
of wages due at the end of a voyage
upon which shipping articles are
required has been in place for many
years. It recognizes the fact that the
voyage may have been of significant
duration and ensures that the interests
of the mariner are represented in the
area of timely compensation for work
already provided.
The Coast Guard agrees, and the
current § 14.309(a)(4) and (b) remain
unchanged.
47. Advanced Firefighting
One commenter objects to the Coast
Guard’s requirement in proposed
§ 11.201(c)(4) that a mariner must show
evidence of maintaining the standard of
competence in advanced firefighting by
completing certain assessments ashore.
The Coast Guard disagrees that all
knowledge, understanding, and
proficiency under the competence
‘‘control firefighting operations aboard
ships’’ should be done onboard vessels.
The 2010 amendments are very explicit
on the areas of the standard of
competence that can be accomplished
onboard and those that can be
accomplished ashore.
One commenter asks the Coast Guard
to clarify the nature of the ‘‘evidence’’
mariners are required to provide in
proposed § 11.201(h)(1).
Mariners will be required to provide
a sea service letter and course
completion certificate, as appropriate.
This section remains unchanged from
that proposed in the SNPRM.
Two commenters state that, with
reference to §§ 11.301(c), 12.613, and
12.617, there are no provisions
containing specific statements as to how
to re-qualify if unable to meet the
continued professional competence in
these areas.
The Coast Guard agrees, and amended
§§ 11.301(c), 12.613, and 12.617 by
adding a new paragraph clearly
providing that a mariner who cannot
demonstrate the required continued
competency by sea service will need to
do so in training ashore. This training
may be the entire course, or an
approved refresher course. If needed,
the Coast Guard may issue additional
guidance in the form of a NVIC on how
this requirement may be met.
48. NMC Web Site
Two commenters believe that the
absence of information on the NMC Web
site detailing the endorsement

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requirements satisfied by approved
courses violates proposed § 10.406. The
commenters recommend the approvals
information be returned to the Web site.
The Coast Guard disagrees. Section
10.406 requires the NMC to maintain on
its Web site a list of training
organizations and the approved courses
they offer, and the NMC does so. Due to
the sheer volume of approved courses
and limited manpower assets at the
NMC, the Coast Guard has not provided
the information requested by the
commenters on the NMC Web site since
2009. The public can use the search
function on the NMC Web site for
provider and course information. For
more information, the public can
communicate with the individual
course providers. The NMC Web site
contains links to provider’s Web sites,
which normally provide additional upto-date information about specific
approved training.
49. Offshore Supply Vessels
Three commenters note that
qualifications for the new OSV
endorsements reflect the applicable
requirements of the STCW Convention
and Code. The commenters are of the
view that certain deck and engineering
equipment needed for crew to
demonstrate competencies required by
the STCW assessment tables are not
always installed on OSVs. Similarly, it
is impossible to get service as an OICEW
to qualify as chief engineer when an
OSV is not required to carry, and
normally has no position for, an OICEW.
Thus, it is impossible to comply with
the deep-draft ship-oriented
assessments and service requirements of
the STCW without reasonable and
realistic accommodations for OSVs and
other small work boats, such as towing
vessels and geophysical vessels, among
others. Similarly, it is unclear why an
OSV-limited endorsement that has the
identical service and STCW assessment
and training requirements as a deepdraft vessel crewmember endorsement
was proposed. The general requirements
for OSV endorsements, and particularly
domestically limited OSV
endorsements, should ‘‘take account of
the special characteristics, methods of
operation, and nature of service of
OSVs’’ versus mandating the deep-draft
STCW standards currently proposed.
Additionally, two commenters note
that the domestic license and STCW
requirements are not separate, despite
the preamble statements in the SNPRM
to the contrary (see §§ 11.493, 11.495,
11.497, 11.553, and 11.555). The
commenters recommend that the Coast
Guard retain part of the existing
regulatory language, which says, ‘‘The

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Coast Guard may exempt an applicant
from meeting any requirement under
STCW that the Coast Guard determines
to be inappropriate or unnecessary for
service on an OSV, or that the applicant
meets under the equivalency provisions
of Article IX of STCW.’’ The same
commenters recommend placing such
regulatory language in an appropriate
location, such as § 11.201, and
amending §§ 11.493, 11.495, 11.497,
11.553 and 11.555.
The Coast Guard has changed the
OSV endorsements for both deck and
engineer officers by separating the
national and STCW endorsements to
ensure consistency with other
requirements. The exemption from
meeting the STCW requirements
included in existing §§ 11.493, 11.495,
11.497, 11.553, and 11.555 remains
unchanged. The Coast Guard made
additional changes to the OSV
endorsements for both deck and
engineer officers to include: (1) Sea
service requirements comparable to
other credentials; (2) the option to
complete an approved course for a mate
or assistant engineer to meet the sea
service requirements; and (3) the
progression from vessels of less than
1,600 GRT/3,000 GT to more than 1,600
GRT/3,000 GT for chief mate and
master. These changes also comply with
§ 617 of the Coast Guard Authorization
Act of 2010, which removed the 500
GRT tonnage limits on OSVs. These
amendments will ensure that mariners
with existing licenses or MMCs can
progress to higher credentials.
Because of the separation of national
and STCW requirements, the Coast
Guard amended the crossover
requirements from OSV mate (§ 11.497)
to OICNW (§ 11.309(e)) to give credit for
the approved training program. The
Coast Guard envisions that the approved
training program in §§ 11.497(a)(2) and
11.555(a)(2) will meet the requirements
for the STCW approved training
program in §§ 11.309(a)(1) and
11.329(a)(1).
The same commenters recommend
that the 200 GRT/500 GT criteria for an
RFPNW or able seafarer, inter-alia,
should be changed to read ‘‘over 200
GRT/500 GT on an international voyage
or over 500 GRT on a domestic voyage.
. . .’’
The Coast Guard disagrees. The Coast
Guard amended §§ 15.403(c) and
15.404(a) by replacing ‘‘200 GRT/500
GT or more’’ with ‘‘500 GT or more’’
consistent with the STCW requirements
for RFPNW and able seafarer-deck. The
STCW is a binding agreement with
foreign countries, and these tonnage
cutoffs are required by STCW.

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50. Proficiency in Survival Craft
One commenter recommends that, in
§ 12.613(b)(2), the Coast Guard add to
the list of STCW competencies that it
will accept as onboard training the
STCW competency ‘‘Operate Survival
Craft Engine’’.
The Coast Guard agrees and has
amended both §§ 12.615 and 12.617 to
include starting the lifeboat engine as
part of the assessments done onboard
the vessel.

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51. Bridge Resource Management (BRM)
One commenter supports the BRM,
leadership and teamworking skills, and
leadership and managerial skills
proposal as written with a comment.
BRM is the basis for mitigating marine
casualties, breaking the error chain and
conditioning the human element, and
the commenter believes it is paramount
that more emphasis is put towards
building that team and getting
participants out of the classrooms. The
commenter believes a ‘‘team’’ must be
built using skills gained through
situational awareness and emergency
situations while underway or at a
training facility utilizing a full mission
bridge simulator.
The Coast Guard agrees. The
requirements for BRM, engineroom
resource management (ERM), leadership
and teamworking skills, and leadership
and managerial skills were included in
the STCW Convention in response to a
request from the United States maritime
industry through MERPAC task
statement 64. The required training and
demonstrations of competence taken
together should provide the following
three skills commensurate with an
officer’s responsibilities: teamwork,
leadership, and management. The Coast
Guard would prefer that emergency
situations for training purposes not be
staged while underway, and that
training for such emergencies be
accomplished through simulator or
other training while not underway.
One commenter suggests that the
benefits of BRM training should not be
limited to international operators, and
urges the Coast Guard to adopt similar
rules for domestic operators as well.
The Coast Guard does not possess
sufficient casualty or other data to
support expansion of STCW
requirements for BRM/ERM, leadership
and teamworking skills, and leadership
and managerial skills to inland vessels
in this rulemaking. The STCW
Convention applies to mariners serving
on seagoing vessels, except pleasure
craft, fishing vessels, and vessels
entitled to sovereign immunity such as
warships. Article II of the STCW

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Convention defines a seagoing ship as a
ship other than one that ‘‘navigates
exclusively in inland waters or in
waters within, or closely adjacent to,
sheltered waters or areas where port
regulations apply.’’ The provisions in
this final rule, which would implement
amendments to the STCW Convention,
only apply to commercial vessels
operating seaward of the boundary line,
as specified in 46 CFR part 7. The Coast
Guard does not intend to apply strict
international standards to our domestic
mariners in this regard.
One commenter notes that his or her
company has worked extensively to
develop the skill sets of all of its
mariners and particularly senior officers
with regard to their leadership and
management skills. The commenter
believes these are vital skills that are not
easy to learn and have a serious impact
on the safe and efficient operation of
any vessel. The commenter suggests that
mariners who have participated in
company training be allowed to present
it for renewal/upgrade, even if the class
was taken prior to the implementation
of this rulemaking. Companies that can
successfully demonstrate they have
trained their senior officers on similar
principles, the commenter states, should
be allowed to renew/upgrade in the
same fashion.
The Coast Guard agrees, but a
regulatory change is not required. The
Coast Guard will evaluate training given
prior to the effective date of this final
rule, and will grant credit for training
that meets the requirements of this final
rule.

53. Incorporation by Reference (IBR)

52. Engineroom Resource Management

One commenter notes that a mariner
who holds a resident alien card issued
by the U.S. Citizenship and Immigration
Services or a work authorization card
issued by DHS, may use that card as
valid identification to obtain a TWIC.
The commenter, therefore, requests that
the DHS work authorization card be
accepted as valid proof of identification
to obtain an MMC.
The Coast Guard disagrees.
Application for an MMC with an officer
endorsement requires that an applicant
be a U.S. citizen (46 U.S.C. 7102).
Applications for all other MMCs require
that an applicant be either a United
States citizen or a resident alien,
lawfully admitted into the United States
for permanent residency (46 CFR
10.221(a)(2)). Because a DHS work
authorization card may be obtained by
someone who is neither a U.S. citizen
nor a resident alien, lawfully admitted
into the United States for permanent
residency, it is an unacceptable form of
identification for application for an

One commenter objects to the
requirement in §§ 11.305, 11.307, and
11.325(b)(1) that applicants provide
evidence of leadership and managerial
skills. The commenter states that
evidence of this is provided by
completion of an approved bridge and
engineroom resource management
course. The commenter notes that most
companies already evaluate their
officers’ leadership and management
skills during a promotion and the
assignment process. The commenter
recommends that this requirement be
accomplished by alternate means or be
removed.
The Coast Guard agrees in part. In this
final rule, we implement the proposals
in the SNPRM that allow mariners to
demonstrate meeting the applicable
standards for leadership and managerial
skills by alternative methods that
include, but are not limited to,
completing approved training.

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Five commenters request that the
Coast Guard either publish the pertinent
text of the STCW Code and Convention
in the CFR or provide the Code and
Convention to the public online rather
than incorporate them by reference.
The Coast Guard agrees in part. As
background, IBR allows Federal
agencies to comply with the
requirement to publish rules in the
Federal Register and the CFR by
referring to materials already published
elsewhere. The legal effect of IBR is that
the material is treated as if it were
published in the Federal Register and
CFR. This material, like any other
properly issued rule, has the force and
effect of law. Congress authorized IBR in
the Freedom of Information Act to
reduce the volume of material published
in the Federal Register and CFR. (5
U.S.C. 552(a) and 1 CFR part 51).
While the Coast Guard endeavors to
promulgate references needed to
implement these regulations,
reproducing all of the relevant STCW
text in this final rule would be
impracticable because doing so would
significantly increase the volume of the
regulation. Instead, the Coast Guard has
incorporated the Convention and Code
by reference, and intends to publish
NVICs with the relevant tables of
competency from part A of the Code.
These NVICs will be made available to
the public online, which will enable the
public to view relevant parts of the
STCW Convention and Code as needed.
54. Identification Cards

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MMC. Changing this requirement is
outside the scope of this rulemaking.
55. Economic Comments
One commenter states that, with
regard to Regulatory Analyses, Section
B. Small Entities of the SNPRM
preamble, the Coast Guard’s discussion
of the proposed rule includes audit and
quality systems requirements for
training providers. The commenter
states the cost analysis that has been
conducted by the Coast Guard is only
for the costs to training providers to
implement and maintain a QSS. What
the analysis of this SNPRM does not
include, the commenter notes, is the
economic impact on many training
providers via lost revenue if the SNPRM
becomes regulation, but also from the
impact of CG–CVC Policy Letter 11–07
of July 1, 2011. Both the SNPRM and
CG–CVC Policy Letter 11–07, the
commenter believes, rescind the
required approved training courses for
an OICNW at the operational level on
vessels of more than 500 GT (ITC). The
commenter believes the SNPRM also
rescinds the chief mate and master
(management level) approved training
presently required by NMC Policy Letter
04–02. Numerous training providers
have spent years engaged in curriculum
and training course development to be
able to provide Coast Guard approved
STCW deck officer training courses at
the operational and management levels.
It should be obvious, the commenter
believes, that training providers make
substantial financial investment to be in
the position to provide the myriad of
required training courses to our
mariners.
This final rule does not rescind the
STCW deck officer training courses at
the operational and management levels.
In fact, it will require mariners to
complete the following STCW courses:
BST refresher, advanced firefighting
refresher, PSC refresher, fast rescue boat
refresher, medical care provider, ERM,
ECDIS, leadership and managerial skills,
and IMO SMCP. In addition, the number
of mariners who will need to complete
some of these courses will significantly
increase and should generate additional
revenue to training facilities. The Coast
Guard does not believe there would be
revenue loss because this final rule
requires STCW deck officer training
courses at the operational and
management levels that the commenter
mentions.
The Coast Guard has included some
additional training in this final rule to
address some of the concerns raised
during the public comment period. The
Coast Guard reviewed the tables of
competences and identified the training

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topics that must be accomplished as
part of structured training. These topics
were part of the NPRM published in
2010. Parts 11 and 12 of this final rule
are amended to include a combination
of training and service requirements
(through assessments) to ensure that
seafarers achieve the necessary level of
competence.
One commenter believes the costs to
maintain a QSS as described in § 10.410,
to maintain training programs and
courses in accordance with § 10.402,
and to maintain records for 5 years in
accordance with § 10.403 are
significantly underestimated. Internal
costs, the commenter notes, are not
necessarily cheaper and the assumption
that these costs will not be passed on is
inaccurate. The analysis also does not
take into account the annual costs to
maintain these new requirements.
Additionally, two other commenters
believe that the Coast Guard has
underestimated the burden of
implementing a QSS, at least with
regard to providers of maritime security
training, many of which are small
businesses that do not offer other types
of maritime training.
The commenters do not provide any
specific data or estimates of their own
regarding the QSS costs other than
mentioning the QSS costs incurred by
another training provider who already
implemented QSS as part of ISO
certification. The Coast Guard
conducted a review of available data
that support the estimated costs of QSS
requirements, and disagrees with the
commenters. As addressed in the
SNPRM, the Coast Guard included a
range of cost estimates to develop a QSS
program between $4,320 and $12,240.
This range of options includes the use
of a professional outside consultant, a
non-governmental entity QSS
organization, or internal human
resources to develop a QSS. Also,
training providers have all the elements
and procedures in place that are
necessary to develop and write a QSS
manual on their own without hiring a
third-party company, which would
potentially minimize their QSS costs.
Six commenters state that it is crucial
that Coast Guard take into account the
cost and cumulative impact of this
regulation on small business. The
commenters note that small companies
are doing everything they can to survive
in this volatile economy, and are greatly
concerned about the economic burdens
imposed by the cumulative impact of
numerous Federal laws and regulations
including the SNPRM. In recent years,
the commenters note, passenger vessel
operators have had to absorb costs
associated with Coast Guard maritime

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security mandates, higher assumptions
about average passenger weight for
purposes of calculating vessel stability,
new rules for serving customers with
disabilities and EPA permit
requirements for discharges incidental
to the normal operation of a vessel.
Another commenter states that federal
regulators must also take into account
that many passenger vessel association
operators have seasonal businesses, and
that they frequently compete with landbased venues. Since the potential
customer can often find similar services
or attractions ashore, more burdensome
rules placed on the vessel operator
(such as hiring mariners with
burdensome credentialing requirements)
create a financial disadvantage, since
the land-based competitor does not have
to shoulder a similar regulatory burden.
The Coast Guard acknowledges that
Executive Order 13563 of January 2011
(‘‘Improving Regulation and Regulatory
Review’’) asks Federal regulatory
agencies to ‘‘tailor regulations to impose
the least burden on society, consistent
with obtaining regulatory objectives,
taking into account, among other things,
and to the extent practicable, the costs
of cumulative regulations’’. Therefore,
the Coast Guard sought to minimize the
cumulative impacts on industry by
allowing alternative methods of proving
competence that would be potentially
less costly to the mariners and their
employers.
Please see Appendix D (Cumulative
Programmatic Costs) of the Regulatory
Analysis of this final rule for a detailed
discussion of the cumulative impacts of
STCW rulemakings since the 1997
interim rule. We estimate the
cumulative annualized costs of STCW
regulations to be about $37.2 million.
This includes $32.6 million from this
final rule and $4.6 million from the
1997 interim rule (estimates discounted
at 7 percent). As previously discussed,
these estimates may overestimate costs
due to unquantified cost savings from
alternative methods of proving
competence that the final rule allows.
56. Grandfathering
One commenter notes that the
SNPRM preamble on page 45912 states
that the cutoff for grandfathering for
domestic credentials is January 1, 2012,
which is significantly different from the
grandfathering provisions for STCW
endorsements and, in the commenter’s
view, highlights the vague and
sometimes strained relationship
between the two forms of authority. If a
domestic endorsement is needed to get
the STCW authority attached to it, the
commenter states, the grandfathering
provisions for both should be the same.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

The Coast Guard agrees. Domestic
requirements provided in this final rule
will be transitioned during a 5-yearperiod after the effective date of this
final rule to coincide with the renewal
of existing national endorsements.
Individuals seeking an original
credential or raise of grade to an existing
credential during this period, and who
begin training or service before the
effective date of this final rule, need
only meet the requirements in place
before that date. Those individuals who
start training or service on or after the
effective date of this final rule, will be
required to meet all provisions
described in this final rule.
Another commenter recommends
combining the two different sections
governing grandfathering (one for
domestic and one for STCW) into one
section.
The Coast Guard disagrees. The
domestic grandfathering process and
STCW grandfathering processes will
need to be handled differently to avoid
confusion and ensure public awareness,
because of the mandatory compliance
dates within the STCW Convention and
Code. The grandfathering provisions are
specific to the individual endorsement
requirements. To avoid confusion, the
Coast Guard included grandfathering
provisions within the STCW
requirements.
One commenter states that
§ 13.603(b), concerning grandfathering,
is not clear and requests clarification.
The Coast Guard agrees and has
amended the applicable sections in part
13 (§§ 13.603(e) and 13.605(e)) to make
it clear that seafarers applying for an
original endorsement after March 24,
2014 must meet the new requirements,
which will ensure that all seafarers meet
the STCW compliance date of January 1,
2017.
One commenter asks if the
grandfathering of approved courses will
include applicable maritime security
courses approved by Coast Guard QSS
organizations.
Any security course or program that is
approved or accepted by the Coast
Guard on the effective date of this final
rule will be grandfathered for the term
of its current approval or no later than
January 1, 2017, whichever is sooner.
After that date, all security courses or
programs must meet the requirements of
STCW. The course or program must
include any additional, relevant
competencies or KUPs that have been
added by the 2010 amendments to the
STCW Convention and Code before the
student completes that course or
program.
One commenter recommends that
mariners holding a DDE-unlimited

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license should be given an STCW
endorsement as OICEW meeting the
requirements of STCW III/1.
The Coast Guard disagrees with the
suggested language that mariners
holding certain national endorsements
be ‘‘given’’ an STCW endorsement. Most
national credential holders qualify in
some way for an STCW endorsement,
but there are sea service requirements,
training, and/or assessments attached.
These mariners are able to apply for a
particular STCW endorsement outlined
in the relevant crossover table in the
STCW sections of this final rule (part
11, subpart C, and part 12, subpart F).
The same commenter recommends
that mariners holding a DDE-unlimited
license should qualify as a chief
engineer (limited) to vessels less than
1,200 GT (III/2). In order to obtain an
unlimited STCW endorsement as chief
engineer, they would require evidence
of meeting the additional sea service
and training requirements.
The Coast Guard agrees in part.
Because there is no basis for the 500
GRT/1,200 GT equivalency, it has not
been added in this final rule. However,
upon satisfying the requirements for
chief engineer set forth in § 11.325 and
Table 1 of 11.325(d), a DDE-unlimited
will qualify for an STCW chief engineer
endorsement limited to 500 GRT.
Two commenters state that all
grandfathering provisions should be in
effect for any original application
submitted prior to January 1, 2013, and
for any renewal prior to January 1, 2017.
The Coast Guard disagrees. Unless
specified otherwise, STCW provisions
in this final rule will be phased in
beginning March 24, 2014 with full
compliance required by January 1, 2017.
This is consistent with the STCW
Convention transitional provisions.
Two commenters state that mariners
who hold an endorsement as
tankerman-PIC (barge) should be
‘‘grandfathered’’ in § 13.603 for an
STCW endorsement for advanced oil
and/or chemical tanker operations.
The Coast Guard agrees in part. In this
final rule, we allow for grandfathering to
an STCW endorsement, but do not agree
to extend grandfathering to selfpropelled vessels because the
requirements for tankerman-PIC are
different than the requirements for
tankerman-PIC (barge).
Three commenters state that there
must be provisions to accommodate
mariners who are using the current
system to advance in their careers. The
SNPRM preamble implies a domestic
credential phase-in period but the actual
regulations are silent on this point and
must clarify the phase-in scheme.
Additionally the phase-in should allow

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a mariner the option to apply under
either the existing system requirements
or the new requirements.
The Coast Guard agrees that the
grandfathering provisions are an
important part of this final rule. The
grandfathering provisions in
§ 11.301(g)(3) permit mariners who
commenced service or training before
March 24, 2014, to use the existing
requirements until January 1, 2017. The
changes to the national credentials will
be phased in over a 5-year period
starting with the effective date of this
final rule, consistent with the Coast
Guard’s normal approach to
implementing credentialing rules.
Four commenters note that
§§ 11.301(f)(2) and (3) require applicants
for management-level STCW
endorsements who hold domestic
management-level endorsements to
provide evidence of operational-level
training and assessments. In the past,
the Coast Guard considered that holding
a qualifying endorsement was evidence
that the individual had experience and
competence equivalent or superior to
that required at the operational level.
Also, this would negate the grandfather
provisions in both the 1995 and 2010
STCW amendments, as those mariners
cannot show this evidence. Moreover,
the crossover tables (Table 1 to
11.305(e), Table 1 to 11.307(e), etc.)
require only management-level
assessments and training. The
commenters recommend continuing the
previous grandfathering policy and
following the crossover tables as
written. To avoid confusion, the
reference to operational-level training
and assessment should be dropped or
specifically excluded for applicants
using the crossover tables.
The Coast Guard agrees and has
added a new paragraph § 11.301(g)(4) so
that persons who hold or have held an
STCW operational-level endorsement
issued prior to the effective date of this
final rule, and are seeking to upgrade to
an STCW management-level
endorsement, will not be required to do
the assessments for STCW operationallevel endorsements as required in
paragraph (f)(2) of that section.
Three commenters note that
§ 11.301(i)(3) states that mariners with
service prior to July 1, 2013, ‘‘will be
required to comply with the
requirements of this part existing before
the publication of these regulations
. . . .’’ Although it is laudable to allow
mariners to follow the rules on which
they based decisions relating to their
careers, these commenters say, it would
also be unfair to deny them the
improved provisions the Coast Guard
has worked so hard to implement. They

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
recommend changing ‘‘will be required’’
to ‘‘may qualify under the requirements
existing either before or after
[EFFECTIVE DATE OF THIS RULE] at
the applicants choice . . . .’’
The Coast Guard agrees and has
amended § 11.301(g)(3) to provide the
mariner with the opportunity to use the
new requirements when applying for
credentials. Some of the new
requirements provide additional
flexibilities that were not available to
mariners before. Taking this into
account, the Coast Guard is also adding
a new paragraph § 11.301(g)(4) in order
to extend the grandfathering provisions
to persons with an operational-level
endorsement upgrading to a
management-level endorsement, who
should not be required to do
assessments for STCW operational-level
endorsements, as they would be deemed
to have completed them.
One commenter notes that, in Table
11.465(a), there is new language which
‘‘requires completion of a TOAR within
5 years.’’ The commenter is concerned
about current mariners who have been
sailing on an inspected license and a
TOAR that was completed more than 5
years ago, because they’re not required
to put that on their license endorsement
at this time. Therefore, the commenter
recommends that it be made clear in
policy or CFR language that mariners be
allowed to obtain the mate towing
endorsement at their next renewal over
the next 5 years regardless of when they
completed their TOAR.
The Coast Guard agrees. The proposed
5-year time limit has been removed from
this final rule. It is the Coast Guard’s
intent to allow mariners to attain these
competencies as they are able and as
they have time in their current position.
Furthermore, the Coast Guard, when
initially implementing the rules for
licensing and manning for officers of
towing vessels, did not require that
mariners add these endorsements. For
this reason, we will allow the addition
of these towing endorsements for those
who currently hold master or mate of
inspected self-propelled vessels greater
than 200 GRT with evidence that the
mariner has completed the TOAR,
regardless of the length of time since
they achieved it.
One commenter notes that
§ 12.603(c)(2) requires a higher level of
Proficiency in Survival Craft for those
being grandfathered than is required for
an original able seafarer-deck
endorsement. Section 12.603(a)(5)
allows for providing evidence of
completing either a PSC or PSC-limited
training, while § 12.603(c)(2) only
allows grandfathering for those with a
full PSC. The commenter recommends

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that § 12.603(c)(2) be modified to
contain the same language as
§ 12.603(a)(5).
The Coast Guard agrees and has
amended § 12.603(c)(2) as
recommended.
One commenter notes that the
SNPRM requires any seafarer who holds
an STCW endorsement prior to January
1, 2012, to provide evidence of meeting
the appropriate standard of competence
for the applicable STCW endorsement
by January 1, 2017. The commenter asks
if he is correct to interpret this as
meaning that a seafarer seeking to renew
their MMC prior to July 1, 2013, will be
bound by the present rules, whereas a
seafarer seeking to renew their MMC
after that time will be bound by the new
rules.
Mariners who hold an STCW
endorsement issued prior to March 24,
2014, seeking to renew their
endorsements prior to July 1, 2017, will
be governed by existing regulations.
However, in order for them to sail on or
after January 1, 2017, mariners with
certain endorsements must meet some
additional requirements as specified in
individual provisions for endorsements
found in parts 11 and 12.
Mariners seeking an STCW
endorsement who start service or
training after March 24, 2014 will be
required to meet the requirements in
this final rule.
57. Miscellaneous Comments
One commenter recommends that the
Coast Guard take full advantage of the
flexibilities incorporated into the STCW
Convention and of the robustness of an
existing licensing scheme, without
compromising safety, security and
protection of mariners or of the marine
environment. The commenter also
recommends that the Coast Guard
interpret the STCW Convention in a
manner which will not compromise the
ability of the U.S. flag merchant fleet to
compete in the international trades.
The Coast Guard agrees. The
regulatory text in this final rule
incorporates some of the flexibilities
provided by the STCW Convention with
regard to sea service, training, and
assessment. However, in some
instances, the U.S. system provides a
higher standard than the STCW
Convention.
The same commenter recommends
that the Coast Guard adopt guiding
principles for the interpretation of the
STCW Convention/Code that will
ensure consistency in its interpretation
as Coast Guard administrations change
and future comprehensive reviews
occur. In the commenter’s view, such
interpretations should be preserved in a

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manner consistent with international
and national laws, regulations, and
policies.
The Coast Guard agrees that guiding
principles can be helpful. Accordingly,
we followed the principles below in the
development of this final rule, and will
continue to do so during
implementation:
(1) The Coast Guard will implement
the STCW Convention and Code within
its constraints, taking advantage of its
flexibilities to the extent possible
without compromising safety, security,
and protection of the marine
environment;
(2) Requirements should not place
any unnecessary burdens on the
industry and the mariners;
(3) Because the STCW Convention is
competence-based and not trainingbased, training will only be required if
it is specifically required by the
Convention or if it is demonstrated that
the competence can only be obtained
via structured training; and
(4) Assessments will be required for
all STCW standards of competence.
It is worth noting that these guiding
principles were also followed during the
development of the 1997 IR.
One commenter asks the Coast Guard
to provide the analysis used to
determine that Regulations I/6, I/8, II/1,
II/2, and II/3 do not apply to the table
of competencies listed in Chapter II,
Part A of the STCW Code.
Because the Coast Guard has
determined that those regulations apply
to all tables of competencies throughout
the STCW Convention, no such analysis
exists. The Tables in part A of the
STCW Code establish the standards of
competence, which provide ways and
means to demonstrate the knowledge,
understanding, and proficiencies
needed to meet each standard. The
Convention is very specific about which
standards of competence require
training. Basic training, Electronic Chart
Display and Information System, and
Automatic Radar Plotting Aids (ARPA)
are examples of such required training.
In most instances, however, the
STCW Convention does not specify
whether structured training is required
to meet the standards of competence. It
is up to each administration to establish
the training and experience necessary to
achieve the level of competence, and
when structured training should be
obtained.
Regulations II/1, II/2, II/3, III/1, III/2,
III/3, and III/6 require that candidates
complete education and training and
meet the standard of competence
specified in the appropriate sections of
the STCW Code. Regulation I/6 requires
that the training and assessment

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specified under the STCW Convention
be administered and supervised by the
administration in accordance with
Section A–I/6 of the STCW Code for
certification. The administration must
also ensure that all instructors and
assessors are appropriately qualified for
the types and levels of training or
assessment of competence of seafarers,
either onboard a vessel, at shore-side
facilities, or by use of simulators. Those
involved in training and/or assessment
must be qualified for the competence for
which the training/assessment is being
conducted, and must also have the
required training in instructional
techniques and assessment methods, as
appropriate.
In accordance with Regulation I/8, all
training and assessment of competence,
certification, endorsement and
revalidation activities should be
continuously monitored by a quality
standards system.
One commenter notes that
§ 10.225(a)(2) states that an applicant
must apply as an original if the MMC
sought is the first credential issued to
applicants after their previous
credential has expired and they do not
hold a Document of Continuity under
§ 10.227(g) of this part or an equivalent
unexpired continuity endorsement on
their license. The commenter believes
that this section conflicts with §§ 10.227
(b) and 10.227(i).
The Coast Guard agrees, and has
amended § 10.225(a)(2) to include the
words ‘‘beyond the grace period’’ after
the words ‘‘after their previous
credential has expired.’’ That section is
no longer in conflict with § 10.227(b)
and (i).
One commenter recommended that
the rule clarify the roles of Coast Guard
offices to better facilitate a smooth
transition to implementation of the new
requirements.
The Coast Guard agrees, and has
amended §§ 1.01–10(b)(ii)(A), 1.01–
10(b)(ii)(D), and 1.01–15(d) of this final
rule to clarify the roles of the Director
of Prevention Policy (CG–5P), the Office
of Vessel Activities (CG–CVC), and the
National Maritime Center.
58. Administrative
One commenter disagrees with the
last paragraph of Section V of the
SNPRM preamble, which states that if
U.S. regulations are non-compliant with
the STCW Convention and Code, there
is a risk that U.S. ships will be detained
in foreign ports by member nations and
that U.S. mariners would not be able to
seek employment on foreign flag
vessels. The commenter states that the
threat of detention is overstated in the
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rulemaking based on such a threat due
to some minor non-conformity with the
STCW Code or Convention is
inappropriate.
The Coast Guard disagrees. The 2010
amendments to the STCW Convention,
specifically Regulation I/7 and Section
A–I/7, require that the Parties submit a
report on the steps taken to implement
the 2010 amendments as part of the
independent evaluation report (I/8
report). Furthermore, Section A–I/8
requires that the 5-year independent
evaluation includes all applicable
provisions of the STCW Convention and
Code, including the amendments. The
independent evaluation report is subject
to review by a panel of competent
persons. Failure to report
implementation of the changes could
potentially result in the removal from
the ‘‘List of Parties giving the
Convention full and complete effect’’
(the so-called ‘‘White List’’). In turn,
removal from the so-called ‘‘White List’’
could result in potential detentions and
delays.
59. Editorial
One commenter states that § 10.209(d)
lists eight items of application
paperwork that can be supplied by fax
or electronic means, but item four says
that the applicants for a radar observer
endorsement must submit either the
certificate or a certified copy, making it
sound like a paper document is
required. The commenter recommends
allowing electronic versions of that
document as well. Given the fact that a
‘‘certificate of training’’ is acceptable
documentation under § 15.815, the
commenter also recommends using the
phrase ‘‘certificate of training required
by § 15.815’’ in place of ‘‘radar-observer
certificate.’’
The Coast Guard agrees and has
amended § 10.209(d)(4) to clarify that
copies of all course-completion
certificates, including those for radar,
are accepted. The Coast Guard also has
amended § 11.480(d) to maintain
consistency with § 15.815.
The same commenter recommends
that, in § 10.402(a)(1), ‘‘sea service’’
might be better than ‘‘service
experience’’ for consistency.
The Coast Guard agrees, and has
amended § 10.402(a)(1) to read ‘‘sea
service’’ for consistency.
The same commenter notes that
§ 11.201(b) provides an exception in
§ 11.467(h), which should be (i).
The Coast Guard agrees and has made
this change in § 11.201(b).
The same commenter notes that
§ 11.301(b) says that mariners qualified
under paragraph (e) of this section must
document continued competence. It

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appears the management level, (f), is not
included in the requirement. The
commenter recommends including the
management level.
The Coast Guard agrees. Basic training
has been re-located to § 11.302, and the
recommended changes have been made
there.
The same commenter believes that, in
both §§ 11.426 and 11.427, the correct
section to cite in paragraph (a) should
be § 15.105.
The Coast Guard agrees that the
citation should have been to § 15.105.
The citation has been removed from
§§ 11.426, 11.427, 11.428, and 11.429,
and has been corrected in § 11.323.
The same commenter notes that, in
§ 11.1003, the citation of § 11.1105 in
paragraph (d) should be § 11.1005.
The Coast Guard agrees and has
amended the cited reference in
§ 11.1003(d) to § 11.1005.
The same commenter recommends
that, in § 12.409(b)(3), the word
‘‘lifeboatman’’ should be ‘‘lifeboatmanlimited.’’
The Coast Guard agrees and has made
the suggested change in
§ 12.409(b)(3).The same commenter
notes that, in § 12.621, the terminology
for the approved course should be
consistent with the requirements for
training in ‘‘management of medical
care’’ found in deck management-level
qualification standards. The commenter
recommends using that phrase in
§ 12.621(a)(1).
The Coast Guard agrees and has
amended § 12.621(a)(1) to include the
appropriate course name.
One commenter notes that an error in
the change list on page 45916 should be
corrected—the reference to § 10.205(h)
should be § 10.205(i).
The Coast Guard agrees. Although the
comment relates to the preamble of the
SNPRM, it is in the Table of Changes,
parts of which have been carried over to
this final rule. We have amended
§ 10.205(h) to read § 10.205(i).
The same commenter notes that, in
table 10.302(a), the able seafarer-engine
vision test reference should be
§ 10.305(b), not § 10.305(a).
The Coast Guard agrees. We have
changed the reference in table 1 to
10.302(a) to § 10.305(b).
Two commenters suggest that
§ 11.317(a) should read ‘‘to qualify for
an STCW endorsement as master.’’
The Coast Guard agrees, and has
amended § 11.317 as suggested.
One commenter believes that in
§ 15.610(a), the last sentence was
superseded by the recent change to 46
U.S.C. 8905 and should be deleted.
The Coast Guard agrees and has
deleted the last sentence of § 15.610(a).

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This is a housekeeping issue to address
a change in statute and does not pose a
burden to the public. The deletion is
consistent with the change in 46 U.S.C.
8905 exempting vessels of less than 200
gross tons engaged in the offshore
mineral and oil industry if the vessel
has offshore mineral and oil industry
sites or equipment as its ultimate
destination or place of departure, from
the requirement that the vessel must be
operated by an individual licensed by
the DHS Secretary.
Two commenters note that to receive
an STCW endorsement as master of
vessels less than 200 GRT/500 GT
(§ 11.315), service of 36 months is
required as OICNW with no tonnage
requirement. It goes on to state that this
period of service may be reduced to 24
months if 12 months are served as
OICNW.
The Coast Guard agrees that, under
STCW, the 12 months should be served
as chief mate, and has amended
§ 11.315(a)(1) accordingly.
The same commenters note that, in
§ 11.317, the requirements listed for
qualification as master less than 200
GRT/500 GT near-coastal are those for
chief mate 1,600 GRT/3,000 GT or more.
The Coast Guard agrees and has
amended § 11.317(a). One commenter
recommends that the Coast Guard move
§ 11.811, requirements to qualify for an
STCW endorsement as VSO, to subpart
C.
The Coast Guard agrees and has
transferred the requirements for VSO,
currently in § 11.811 to § 11.337. The
appropriate sections in 33 CFR 104.215
will be amended accordingly.
One commenter notes that § 11.903(a)
does not contain all of the MODU officer
endorsements.
The Coast Guard agrees. Offshore
Installation Manager, barge supervisor,
and ballast control operator examination
subjects are described in § 11.920–2.
However, these endorsements should be
listed in § 11.903, and the Coast Guard
has amended it to do so.
Three commenters state that, in
proposed § 11.201(h)(1), the Coast
Guard mistakenly said that ‘‘mariners
who completed a firefighting course
within the previous 5 years . . .’’ but
that this was a typographical error that
should read, ‘‘mariners who completed
a firefighting course more than 5 years
ago . . .’’
The Coast Guard agrees and has
revised this section as recommended.
60. Comments Outside the Scope of
This Rulemaking
This section describes comments
requesting changes that are outside the
scope of this rulemaking. Although the

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Coast Guard is unable to include these
suggested changes in this final rule, the
Coast Guard may consider them if and
when the Coast Guard conducts an
additional rulemaking on these subjects.
One commenter claims that, with
regard to proposed § 11.910 and table
11.910–2, the public has a right to free
access to the latest version of every
question and answer, and the Coast
Guard must keep that database up-todate.
The commenter’s suggestion is
outside the scope of this rulemaking.
The Coast Guard did not propose any
regulatory changes concerning access to
examination questions and answers.
One commenter states that, given the
already complex STCW requirements
and regulations, plain-language
guidance is critical for mariners.
The issuance of guidance is outside
the scope of this rulemaking. However,
the Coast Guard will consider issuing
guidance in the future.
One commenter recommends that the
Coast Guard work with MERPAC and
other industry stakeholders to develop a
plain-language guidance document that
will help mariners subject to STCW to
understand readily which STCW
endorsement they require and what they
must do to obtain it. This is outside the
scope of this rulemaking. However, the
Coast will consider issuing plainlanguage guidance.
One commenter noted that he or she
submitted correspondence to the Coast
Guard several months ago concerning
NVIC 11–07.
This is outside the scope of this
rulemaking. NVIC 11–07 is not part of
this rulemaking.
61. MERPAC Comments
Below, the Coast Guard responds to
comments received from MERPAC.
Several of MERPAC’s comments noted
non-substantive, editorial errors in the
SNPRM. The Coast Guard has
incorporated these comments where
appropriate, without further discussion.
MERPAC believes that any persons
serving as an assessor need to be
qualified with training in the skills
required to assess competency and
approved by the Coast Guard, whether
as a QA or as a DE. Therefore, a
definition of Qualified Assessor should
be added as follows: ‘‘Qualified assessor
or QA means a person who is qualified
to evaluate, for STCW endorsements,
whether an applicant has demonstrated
the level of competence in the task for
which the assessment is being made.
This person must be approved by the
Coast Guard or successfully complete a
CG approved or accepted program of
training.’’

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As previously discussed, the Coast
Guard has amended the definition of
‘‘Qualified Assessor’’ in § 10.107 to
require Coast Guard approval and to
clarify this person’s role and
professional development.
MERPAC recommends that Coast
Guard work with MERPAC to develop
the standards for a QA, including
developing an approval process and an
auditing and oversight program. A task
statement should be developed for
MERPAC.
The Coast Guard agrees. Section
10.405 includes requirements for
qualified assessors. The Coast Guard
will consider developing a task
statement for MERPAC to address in the
future.
MERPAC recommends that a
definition for ‘‘Certificate of Registry’’
be added.
The Coast Guard disagrees. The
Certificate of Registry is included under
the MMC definition in 46 U.S.C.
Subtitle II, Part E, with the definitions
of the other credentialing
documentation that the MMC replaced.
MERPAC says that the definition of a
‘‘domestic’’ officer endorsement is
confusing, and recommends striking
‘‘domestic’’ and replacing with
‘‘National’’ globally.
The Coast Guard agrees, and has
changed ‘‘domestic endorsement’’ to
‘‘national endorsement’’ to eliminate
confusion.
MERPAC recommends the Coast
Guard change the definition of
‘‘disabled vessel’’ by removing the last
sentence of the proposed definition, and
revert to the original definition. As
proposed, MERPAC believes this
definition would mean that any time a
vessel maneuvers to and from the dock
with an assist tug, or a vessel takes an
assist/escort tug, that vessel would be
deemed to be a disabled vessel, which
would be incorrect in many instances.
The Coast Guard agrees and has
deleted the sentence. The intent was not
to change the definition, and the Coast
Guard is only making editorial changes
to the original definition of ‘‘disabled
vessel’’ in § 10.107.
MERPAC notes the absence of a
definition for ‘‘direct supervision’’ and
recommends that one be added.
The Coast Guard agrees and is using
the definition of ‘‘directly supervised’’
to also address ‘‘direct supervision’’.
MERPAC recommends that the
definition of ‘‘drug test’’ be amended to
broaden the testing procedure to be in
line with 49 CFR 40.195.
The Coast Guard disagrees.
MERPAC’s recommended change to the
definition of ‘‘drug test’’ is outside the
scope of this rulemaking. The Coast

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Guard did not propose any changes to
the definition of ‘‘drug test’’.
MERPAC recommends that the term
‘‘STCW endorsement’’ include
additional language clarifying that the
underlying domestic endorsement must
be held by the applicant for an STCW
endorsement.
The Coast Guard agrees because the
requested change clarifies the
requirement for mariners to hold
national endorsements as a prerequisite
to an applicable STCW endorsement
unless otherwise specified. The Coast
Guard has amended §§ 11.201 and
12.601 accordingly.
MERPAC recommends that a
definition for ‘‘medical certificate’’ be
added.
The Coast Guard agrees. To ensure
consistency with other terms, a
definition for ‘‘medical certificate’’ has
been added to § 10.107.
MERPAC recommends that the
‘‘coastwise voyage’’ definition
encompass voyages to nations in which
we have a treaty or other arrangements
between nations that allow coastwise
transit. Furthermore, MERPAC
recommends that the definition of
‘‘domestic voyage’’ should not include
the phrase ‘‘without entering waters
under the jurisdiction of another
country.’’
The Coast Guard partially agrees. This
definition is consistent with STCW,
which requires that each Administration
ensure that all mariners serving on
foreign vessels working in their waters
meet the full STCW requirements or the
near coastal provisions in the
Convention as implemented by the
Administration. The Convention allows
for the entry into informal agreements
between countries. Section 10.107 was
amended so that the definition for
‘‘domestic voyage’’ includes voyages
beginning and ending at a U.S. port and
passing through the waters of another
country if the U.S. has entered into a
treaty or agreement with that country.
MERPAC recommends adding the
definition of ‘‘ILO’’, because the term is
used in part 14.
The Coast Guard agrees. The ILO is
referenced within Subchapter B and
should be defined. Section 10.107 has
been amended accordingly.
MERPAC recommends that the
definition of ‘‘limited’’ include
horsepower.
The Coast Guard disagrees. For
purposes of this final rule, the term
‘‘limited’’ is intended to be given its
normal meaning, and the definition has
been removed from § 10.107.
Where used, it is explained within the
regulation how it will be applied. For
example, § 11.463(c) explains that for

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national endorsement as master, mate
(pilot) and apprentice mate (steersman)
of towing vessels, ‘‘limited’’ means an
endorsement to operate a towing vessel
of less than 200 GRT only within a local
area within the Great Lakes, inland
waters, or Western Rivers designated by
the OCMI.
MERPAC recommends that the Coast
Guard review the definitions of a ‘‘self
propelled tank vessel’’ and ‘‘tankship’’
to ensure inclusion of all vessels.
The Coast Guard has reviewed these
definitions for consistency and the
inclusion of all vessels. It has been
determined that the current definitions
do not need revision. To address new
requirements for STCW endorsements
on tank vessels, we have added
definitions for ‘‘oil tanker,’’ ‘‘chemical
tanker’’ and ‘‘liquefied gas tanker.’’
MERPAC recommends correction of
the definition of ‘‘utility towing.’’
MERPAC believes it conflicts with the
proposed definition for ‘‘disabled
vessel.’’
Because the Coast Guard is not
including the requirements for utility
towing credentials in this final rule, we
have deleted the definition of ‘‘utility
towing’’ from § 10.107.
MERPAC recommends that the Coast
Guard amend the definition of
‘‘restricted’’ to read ‘‘. . . endorsement,
for example, specific.’’
The Coast Guard agrees in part. The
Coast Guard recognizes that the terms
‘‘restricted’’ and ‘‘limited’’ have been
used interchangeably in the past and
that there is no consistency in the use
of the terms in relation to the title of the
credential. The Coast Guard is of the
opinion that all limited endorsements or
credentials have inherent in their
qualifications some sort of constraint
that reduces the authority of the
credential. Therefore, to avoid
confusion, the Coast Guard deleted the
two definitions because the terms have
the same meaning in standard English
language usage.
MERPAC recommends that the
definition of ‘‘safe and suitable person’’
needs to include ‘‘safety and security of
life or property.’’
The Coast Guard agrees that this
addition will clarify the definition and
has amended § 10.107 as suggested.
MERPAC recommends that the
definition of ‘‘support level’’ should
coincide with STCW Code (A–I/1)—
management level and operational level.
The Coast Guard agrees that the
definition should be consistent with the
STCW definition and has amended
§ 10.107 accordingly.
MERPAC recommends that the
definition ‘‘vessel personnel with
security duties’’ be revised. Currently, it

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does not accurately capture security
duties and it should be changed to
harmonize with text from B–VI/6 in
STCW.
The Coast Guard agrees. As
previously discussed, the Coast Guard
has revised the definition of ‘‘vessel
personnel with designated security
duties’’ to harmonize it with the
guidance in Section B–VI/6 of the
STCW Code and to ensure consistency
with the requirements in 33 CFR
104.220 and 104.225.
MERPAC recommends that § 10.225
be amended to allow postdating of
endorsements for up to 12 months
unless the applicant makes a written
request to the contrary.
The Coast Guard agrees. As
previously discussed, the Coast Guard
has amended § 10.205 to allow for the
post-dating of credentials for up to 8
months with the option for a mariner to
choose immediate issuance.
MERPAC recommends that a copy of
a radar course certificate should not
have to be certified, as proposed in
§ 10.209(d)(4).
The Coast Guard agrees and has
amended § 11.480 to maintain
consistency with § 15.815. Section
10.209(d)(4) was amended in response
to another comment and no longer
specifically applies to radar course
certificates.
MERPAC recommends that all
references linking the TWIC to the MMC
be modified to reflect changes in the
Coast Guard Authorization Act of 2010.
The Coast Guard agrees. However, as
discussed previously, this issue is being
addressed in a separate rulemaking.
MERPAC does not support limiting
payment of fees to only electronic
means. Mariners should not be forced to
pay via credit card, because not all
mariners have a credit card. The Coast
Guard should allow for payments to be
accepted in cash, certified/cashier’s
check, or money order.
The Coast Guard agrees and will
continue to accept cash, checks, and
money orders, as well as credit cards
and electronic payments for MMCs and
associated endorsements. Section
10.219 has been amended accordingly.
MERPAC recommends that the Coast
Guard add a new paragraph to § 10.221
to address means of proving citizenship
since a TWIC is no longer required for
all MMCs.
The Coast Guard agrees. However, as
discussed previously, TWIC-related
changes from the Coast Guard
Authorization Act of 2010 are being
addressed separately.
MERPAC recommends that, if there is
going to be a national medical
certificate, the Coast Guard de-link the

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medical certificate from the MMC and
issue a separate medical certificate.
Coast Guard needs to check for
consistency with other regulations (e.g.,
§ 10.302) and consider a Legislative
Change Proposal if necessary to assure
that credentials are issued after
evaluating a mariner’s professional
qualifications alone.
The Coast Guard agrees. As
previously discussed, under § 10.301 of
this rulemaking, the Coast Guard will
issue a separate medical certificate
through the NMC.
MERPAC recommends that the Coast
Guard insert a new paragraph in
§ 10.232(b) that would allow the
issuance of an STCW restricted
certificate based on seagoing service on
the waters of British Columbia and the
inland passage (as day-for-day service
on inland waters) to ensure continued
service credit for seafarers working in
this area.
The Coast Guard agrees and has
amended § 10.232(b) to: (1) Allow dayfor-day STCW sea service credit on
Great Lakes vessels and aboard inland
vessels that maintain STCW standards,
especially those inland vessels, that by
the nature of their service must
occasionally go outside the boundary
line; and (2) allow day-for-day service
on vessels to which STCW applies,
whether inland or coastwise. Service on
the waters of the Inside Passage between
Puget Sound and Cape Spencer, Alaska,
will be credited toward near-coastal and
STCW endorsements.
MERPAC is concerned that the change
to the medical review process requiring
the implied issuance of a medical
certificate will exceed the capabilities of
the NMC because of the increase in the
number of reviews necessitated by the
proposed 1- and 2-year cycle of
certificates, and an unacceptable
backlog will be created. Therefore,
mariner’s jobs would be jeopardized.
MERPAC suggests the Coast Guard
replace § 10.301(a) ‘‘operational
limitations’’ with ‘‘limitations and/or
other conditions’’ (to assure consistency
with NVIC).
As previously discussed, the Coast
Guard has no discretion over the
issuance of 2-year medical certificates in
compliance with the STCW Convention.
However, the Coast Guard is taking
actions in this final rule to minimize the
numbers of mariners who will require
more frequent medical evaluation,
including the removal of the 1-year
certificate for pilots. This change should
decrease the workload on the medical
evaluation staff and help to reduce the
possibility of unreasonable time delays.
Additionally, the Coast Guard
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Coast Guard with authority to grant
limited extensions for national
endorsements when the Coast Guard
experiences a backlog. Furthermore, the
Coast Guard will be working to develop
the DME program to reduce workload
issues.
MERPAC recommends that every
person holding a license or MMC
endorsement as first-class pilot must
have a thorough physical examination
each year, to be completed by the first
day of the month following the
anniversary of the individual’s most
recently completed Coast Guard
required physical examination. Every
fifth year, in accordance with the
medical certificate/endorsement
requirements in § 10.301(b), the results
of the physical examination must be
recorded on a CG–719K form and
submitted to the Coast Guard no later
than 30 calendar days after completion
of the physical examination. MERPAC
strongly prefers the above
recommendation. However, as a ‘‘Plan
B’’ in the event the Coast Guard does
not accept MERPAC’s recommendations
that first-class pilots and mariners
merely ‘‘serving as’’ a pilot be required
to have 5-year medical certificates,
MERPAC recommends that first-class
pilots and ‘‘serving as’’ pilots be
required to have 2-year medical
certificates. Under ‘‘Plan B’’,
§§ 11.709(b) and (d) should be amended
as follows: Every person holding a
license or MMC endorsement as firstclass pilot must have a thorough
physical examination each year, to be
completed by the first day of the month
following the anniversary of the
individual’s most recently completed
Coast Guard required physical
examination. Every other year, in
accordance with the medical certificate/
endorsement requirements in
§ 10.301(b), the results of the physical
examination must be recorded on a CG–
719K form and submitted to the Coast
Guard no later than thirty (30) calendar
days after completion of the physical
examination. Finally, if the Coast Guard
moves forward with a certificate for
National mariners, pilots should be
included in § 10.301(b)(3).
The Coast Guard agrees with
MERPAC’s plan B and has amended
§§ 10.301(b)(2), 10.709(b) and 10.709(d)
so that first-class pilots will continue to
be subject to annual physical
examinations, but will only be issued
the biennial medical certificate. Annual
physicals for first-class pilots are
required by 46 U.S.C. 7101. The 2-year
medical certificate requirement is
consistent with the STCW Convention
requirement for oceangoing mariners,
and strikes an appropriate balance

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between maritime safety and the
administrative processing burden.
MERPAC recommends that the Coast
Guard define communicable disease and
define exactly what the concerns are.
Mariners who have only a food-handler
credential are receiving extensive,
potentially unnecessary medical testing.
Clarification needs to be provided in
guidance as there currently is no
standard for ‘‘communicable.’’
The Coast Guard agrees and amended
§ 10.107 to provide a definition of
‘‘communicable disease.’’ The Coast
Guard will clarify these requirements in
future guidance in an effort to balance
the impact on the individual mariner
and the potential risks to public safety
and health.
MERPAC recommends that the
demonstration of physical ability in
§ 10.304(d)(2) remain in guidance and
be struck from the text.
The Coast Guard disagrees. There is a
need to provide minimum requirements
and standards for a medical
examination.
MERPAC recommended amending
§ 10.403(a)(7) by adding the word
‘‘significant’’ before ‘‘change’’, to reduce
the load on course providers and the
NMC by not requiring that every minor
change be handled as an original
submission for course approval.
The Coast Guard agrees, and has
amended § 10.403(a)(7) as
recommended. Additionally, the Coast
Guard will issue guidance in the future
because any changes to a finite or timebased curriculum will have an effect on
the delivery of the entire curriculum
and, hence, require approval.
MERPAC recommends amending
§ 10.404(a)(3) by adding ‘‘substitution of
required service as a result of . . .’’ to
avoid requiring individuals to take the
same class twice to maintain an
endorsement when upgrading.
The Coast Guard agrees in part. This
is an existing requirement that applies
to national endorsements where the
training is used in ‘‘lieu’’ of ‘‘service’’ or
‘‘exam.’’ This requirement is normally
not applicable to STCW provisions,
since the Convention allows for the
attainment of training and assessment
for management level at the operational
level. In some specific instances,
however, it is applicable to STCW, as it
is in the case for tanker refresher
training. The Coast Guard has amended
§ 10.404(a)(3) so that an applicant who
has taken a required course prior to
upgrading from a lower level, can retain
the credit for that course when
upgrading to the level for which the
course was intended.
MERPAC recommends that the Coast
Guard amend § 10.410 to include a

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requirement that if company training is
included under the ISM, Coast Guard
should accept ISM to the extent that it
meets the QSS requirements.
The Coast Guard agrees. This section
of the SNPRM was broad and did not
apply only to training institutions and
schools. However, the Coast Guard
recognizes that other management
systems should be included as a means
to comply with the QSS requirement.
Therefore, the Coast Guard has amended
§ 10.410 by adding a new paragraph (g)
to include ISM as an alternate means of
compliance for the QSS provision.
MERPAC is concerned that the
incorporation by reference provision in
§ 11.102(a) is not helpful and
recommends that the Coast Guard
somehow make STCW available to the
general public. It is not sufficient to
incorporate by reference, since the
document is only available by purchase.
The Coast Guard agrees in part and
will be making relevant portions of
STCW available to the public. Please see
the incorporation by reference section in
the discussion of comments above.
MERPAC recommends that
§ 11.201(j)(1)(iii) be amended to allow
applicants attending approved programs
to test up to 6 months prior to
graduation.
The Coast Guard recognizes that some
training schools complete the training
program ahead of time and the rest of
the time is spent prepping for the exam.
If an applicant completes all parts of a
comprehensive program that pertain to
maritime credentialing requirements,
including all sea service and required
courses and assessments of competency,
a maximum of 6 months prior to
completion of the program, an
examination will be authorized. This
provision is necessary to facilitate the
examination process while ensuring that
new officers have the required
knowledge prior to receipt of their
officer endorsement.

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MERPAC recommends that the Coast
Guard should extend grandfathering
provisions found in § 11.301(i) so that
persons with an operational level
endorsement upgrading to management
level should not be required to do the
assessments for operational level,
because they were already completed.
The Coast Guard agrees and has
added a new paragraph § 11.301(i)(4) so
that persons who hold or have held an
STCW operational level endorsement
issued prior to the effective date of this
rulemaking and are seeking to upgrade
to an STCW management level will not
be required to complete the assessments
for STCW operational level
endorsements as required in
subparagraph (f)(2) of that section.
MERPAC recommends in
§ 11.307(b)(1), but also globally, that the
Coast Guard define leadership
competency and how is it achieved by
amending regulations or policy
concerning what kind of evidence will
be used.
The Coast Guard agrees and has
amended § 11.307(b) and other
regulations to require leadership
training. This change is necessary to
implement requirements in the STCW
Code for mariners to demonstrate
leadership competence at both the
management and operational levels. In
addition, the Coast Guard is developing
guidance with sample assessments to be
used by QAs in their development of
assessments to be used onboard vessels.
MERPAC recommends that
§ 11.325(c) be amended so an applicant
who holds an STCW endorsement as
OICEW, second engineer officer, or chief
engineer officer will be allowed to
receive the ETO endorsements upon
completion of the requirements in
Section A–III/6 of the STCW Code.
The Coast Guard agrees and has
corrected § 11.335(c) accordingly. The
STCW Convention provides for the
issuance of ETO endorsements to

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OICEW, second engineer officer, or chief
engineer officer.
MERPAC is concerned that, based
upon § 11.404 (et seq.), Great Lakes time
is linked with inland time and needs to
be broken out, 12 months for Great
Lakes and 24 months for inland all the
way through, even in uninspected
fishing vessels and towing vessels. The
new policy recognizing Great Lakes time
as equivalent to ocean is not carried
through part 11.
The Coast Guard disagrees. Inland
and Great Lakes service time for the
advancement of inland and Great Lakes
endorsements continues to be on a 1-for1 basis. Therefore, the Great Lakes and
inland service time does not need to be
separated. However, they have been
separated when this service time is
being used for oceans and STCW
endorsements in this rulemaking. This
was done so mariners can use Great
Lakes service time on a 1-for-1 basis, up
to 100 percent of the required sea
service, and inland service time on a 1for-1 basis, up to 50 percent of the
required sea service. The Coast Guard
has also reviewed and amended
§ 11.404 to clarify this.
MERPAC recommends using the
following table to replace or modify
Table 11.505(a). The effect is to
eliminate the chief engineer, limitednear coastal endorsement. Taking into
account that STCW applies to all vessels
operating outside of the boundary line,
there is a need to provide crossovers
between national and STCW
endorsements. MERPAC recommends
that the regulations need to better
explain the crossover from unlimited
DDE to OICEW. Furthermore, MERPAC
recommends that the Coast Guard
negotiate the development of
assessments for chief engineer (limited)
at the 43rd session of the IMO
subcommittee on standards of training
and watchkeeping.

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The Coast Guard partially agrees. We
have amended Figure 11.505(a) as
suggested, except chief engineer
(limited) remains at 5 years sea service,
and crossovers to STCW endorsements
are not part of the figure due to space
limitations but are contained in separate
tables in part 11, subpart C.
MERPAC recommends that
§ 11.516(a)(3) be amended by replacing
‘‘graduation from’’ with ‘‘completion of
an Engineering Officer Qualification
Course.’’ An engineering officer of the
watch (EOOW) letter from the Army,
Coast Guard, or Navy should be prima
facie evidence of competence.
The Coast Guard disagrees. Section
11.516(a)(3) provides for specific 4-year
academic programs which require
graduation in order to receive credit for
the training and experience
requirements for an STCW and national
endorsement. The completion of an

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EOOW course does not meet all of the
STCW competency requirements.
MERPAC recommends that a different
term than ‘‘invalid’’ be used in
§ 11.709(d) and § 11.713(a).
The Coast Guard disagrees. The term
is appropriate and is further supported
by the last sentence in the same
paragraph, which states ‘‘the individual
may not operate under the authority of
that endorsement until a physical
examination has been satisfactorily
completed.’’
MERPAC recommends that § 11.821
be amended. This standard was
extracted from a different HSC code and
is confusing and inappropriate. At a
minimum, add clarification about the
HSC code (reference the code) and to
what vessels it applies.
The Coast Guard agrees, and has
amended § 11.821 to ensure that it is
only applicable to seafarers operating
vessels to which the HSC code applies.

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MERPAC is concerned that tables
11.910–2 and 11.950–2 are pre-STCW
95. MERPAC recommends that the
tables be separated by operational and
management levels. A small working
group should be formed to discuss and
locate any differences between national
and STCW endorsements that occur in
this table. As far as this rulemaking is
concerned, the following should be
considered: (1) Completely remove
tables 11.910–2 and 11.950–2 from the
SNPRM; (2) in lieu of the table, the
Coast Guard should issue
documentation with considerable detail
as to what is contained in each exam for
each license level; (3) MERPAC should
assist in the development of this
documentation, which might take the
form of a module description as has
been used in the past; and (4) MERPAC
Task 71 regarding license exam
questions cannot logically proceed until

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implementation of recommendations 1–
3 are well underway.
The Coast Guard disagrees. The tables
need to remain in the regulations until
the Coast Guard replaces them in
regulation or issues guidance. The tables
are necessary to provide the mariners
with the topics for the exams. The Coast
Guard will consider issuing a task
statement to MERPAC to develop
suitable information about endorsement
examination topics.
MERPAC recommends that a footnote
be added to Table 12.603(e) to allow for
the reduction of the 6-month sea service
requirement by taking an approved
course for able-seafarer-deck.
The Coast Guard agrees that
completion of an approved course for
able seafarer-deck justifies the requested
reduction in sea service, and has
amended Table 1 to 12.603(e).
MERPAC recommends that a footnote
be added to Table 12.605(c) to allow for
the reduction of sea service (4 months)
by taking an approved course for
RFPNW.
The Coast Guard agrees that
completion of an approved course for
RFPNW justifies the requested
reduction in sea service, and has
amended Table 1 to 12.605(c).
MERPAC recommends that §§ 12.625
and 12.627 be amended to ensure that
it provides all of the transitional
provisions from STCW and to check
§ 15.1113 for consistency.
The Coast Guard agrees and has
amended §§ 12.625, 12.627, and 15.1113
by adding implementation deadlines for
security training requirements. These
changes are required by the STCW
Convention.
MERPAC recommends that
§ 13.107(d) be amended as follows: (1)
Remove ‘‘and for maintaining and
operating the bunker systems including
the fuel oil’’ (tankerman engineer is
specifically for cargo operations. Delete
everything after the semicolon.); and (2)
add ‘‘liquid cargo in bulk.’’ MERPAC
recommends that the Coast Guard
ensure that text does not apply to the
transfer of other than bulk liquid
cargoes and a tankerman endorsement is
not needed.
The Coast Guard agrees and has
amended § 13.107(d) to ensure it does
not apply to the transfer of other than
bulk liquid cargoes and a tankerman
endorsement is not needed.
MERPAC recommends that § 13.117
be revised to allow the applicant to
complete an approved course for
renewal of a tankerman endorsement
that expired more than 12 months (see
§ 13.120(a)(3)). Many mariners are not
aware that taking a course counts
toward renewal of tankerman

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endorsements. This would allow
mariners the ability to maintain their
tankerman endorsement following
expiration of greater than 12 months.
Furthermore, MERPAC recommends
changing the reference from ‘‘tankerman
rating’’ to ‘‘tankerman endorsement’’.
The Coast Guard disagrees with the
recommendation to amend § 13.117.
The requirement in that section is
consistent with situations where a
credential has expired beyond the grace
period.
The Coast Guard agrees with the
recommendation to change the reference
from ‘‘tankerman rating’’ to ‘‘tankerman
endorsement.’’ This change is consistent
with the classification of endorsements
in § 10.109.
MERPAC recommends that
§ 13.120(a)(1) be amended by inserting
’’including service aboard a barge, as
appropriate’’ after the words ‘‘tank
vessel.’’ This is to enable mariners
serving on towing vessels, with
tankerman credentials, the ability to
renew those credentials.
The Coast Guard agrees in part. We
agree that certain service on tank barges
should receive credit. However, we do
not believe a change to the regulations
is required because the term ‘‘tank
vessel’’ includes tank ships and tank
barges.
MERPAC recommends that § 13.203
be amended to give mariners serving on
ATBs full credit for sea time and
experience (loads/discharges) towards
full tankerman-PIC endorsement. Many
new ATBs have identical cargohandling equipment as tankships.
The Coast Guard agrees. The Coast
Guard has amended § 13.127 to accept
service onboard some ATBs toward the
national and STCW tankerman
endorsements (including tankermanPIC), provided the ATB equipment is
equivalent to comparable tankship
equipment. This change is necessary to
ensure career paths and to facilitate the
use of new ATBs as qualifying platforms
for tankerman endorsements. In
addition, the Coast Guard has provided
a means for mariners serving on tank
barges to qualify for an STCW
endorsement with a limitation to nonself-propelled vessels.
MERPAC recommends that the
regulations include a crossover program
from different types of tankers. Seafarers
would already have tanker experience.
A shorter course consistent with the
STCW could be appropriate.
The Coast Guard agrees in part. We
are retaining the existing provisions for
a ‘‘crossover’’ for a domestic tankerman
endorsement. The STCW does not
provide for such a crossover, and

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mariners must meet the full service
requirements applicable to each cargo.
MERPAC recommends that the
regulations split oil and chemical tanker
requirements into separate sections and
incorporate the STCW code properly
and include fast track language in
Regulation V/I–1. Seafarers serving
onboard tankers certified to carry both
oil and chemicals should receive sea
credit for both oil and chemicals.
The Coast Guard agrees that the
STCW has separate qualification
requirements for oil tankers and for
chemical tankers, and has separated
these two endorsements into their own
sections, §§ 13.603 and 13.605.
Nevertheless, it is possible for a single
‘‘cargo course’’ to be acceptable for both
endorsements, and if the vessel the
mariner serves on is certified to carry
both oil and chemical cargoes, to use the
same service to qualify for both
endorsements.
MERPAC recommends that § 13.603
be amended to allow tankermanengineers to obtain an STCW
endorsement for advanced oil tanker
cargo operations and advanced chemical
tanker cargo operations so chief
engineers and first assistant engineers
don’t have to get tankerman-PIC
endorsements. Under this proposed text,
chief engineers and first assistant
engineers will be unable to do the
loading and discharges. This section
should include language that allows
mariners with STCW management-level
engine endorsements and tankermanengineer national endorsement to
receive an STCW advanced tanker cargo
operations endorsement if they
complete the STCW assessments.
Changes may be accomplished by
amending the domestic requirements (in
§ 13.201) and the STCW requirements.
The Coast Guard agrees and has
added § 13.603(c) as a means for
engineers to qualify for an STCW
endorsement as the appropriate
advanced tanker cargo operations with a
limitation to maintenance and repair of
cargo equipment.
MERPAC recommends that §§ 13.603
and 13.605 be amended to include an
STCW endorsement for appropriate
advanced tanker cargo operations with a
limitation to non-self-propelled vessels.
The Coast Guard agrees. As
previously discussed, personnel on nontank vessels towing a barge outside the
boundary line will be required to meet
the STCW requirements. Consequently,
we provided a means in § 13.603(b) and
13.605(b) for mariners serving on tank
barges to qualify for an STCW
endorsement with a limitation to nonself-propelled vessels.

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MERPAC recommends that the Coast
Guard amend part 15 by adding a
section about manning documents and
COIs that separately specify the STCW
endorsements that must be carried
onboard for international voyages.
COIs will list both national and STCW
endorsements. The Coast Guard will be
revising safe manning documents to be
consistent with the changes in this final
rule.
MERPAC recommends that the Coast
Guard issue a notice to all ship owners
explaining the implementation of the
U.S. medical certificate to facilitate port
state control inspections.
The Coast Guard agrees and will be
issuing a notice to IMO and all port state
control organizations worldwide. The
Coast Guard will publish this notice on
the NMC Web site.
MERPAC recommends that part 15 be
amended. The text should honor the
original agreement with DOT that the
STCW application in domestic trade
would start at 500 GRT. MERPAC
recommends the Coast Guard amend
part 15 as follows: (1) Global change in
part 15—add ‘‘or 500 GRT on a domestic
voyage’’ wherever 200/500 tonnages are
used. This is pursuant to the DOT
agreement to use 500 GRT on the
application of the STCW; (2) Global
change– add ‘‘seagoing vessel’’
wherever horsepower is mentioned. The
tonnage should be also mentioned (200
GRT/500 GT). For example, ‘‘seagoing
vessel of 200 GRT/500 GT or more
driven by main propulsion machinery of
1,000 HP/750 kW propulsion power or
more . . .’’
The Coast Guard recognizes that the
regulations and policies implementing
the STCW requirements have been the
subject of different interpretations, and
is therefore issuing this final rule to
ensure clarity of interpretations and
applicability of the STCW Convention.
STCW-related provisions in part 15
have been amended to incorporate the
500 GT threshold consistent with the
STCW requirements. Therefore, STCW
tonnage thresholds were not inserted in
the engineering requirements. The Coast
Guard has added the phrase ‘‘seagoing
vessel of 500 GT or more driven by main
propulsion machinery of 1,000 HP/750
kW propulsion power or more or on an
international voyage’’ to § 15.1103(a) in
response to this comment.
MERPAC recommends that a new
paragraph (g)(3) of § 15.105 be added as
follows: ‘‘Pilot vessels are not
considered seagoing ships because they
operate within, or closely adjacent to,
sheltered waters or areas where port
regulations apply.’’
The Coast Guard agrees, and has
amended §§ 15.105(f)(5) and

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15.1101(a)(1)(v) to exempt pilot vessels
engaged in pilotage duty from STCW
requirements in those sections. This
change is appropriate because STCW
applies only to seagoing vessels that
operate outside the boundary line, but
generally does not apply to pilot vessels.
MERPAC recommends that
§ 15.404(d)(3) be deleted. That section
requires that ratings, including wipers,
must possess an endorsement as able
seafarer–engine instead of QMEDs. The
Coast Guard needs to categorize which
QMED categories should be RFPEW
(watchstanding) (Fireman/Watertender
(FWT), oiler) and which QMED
categories should be able seafarer–
engine (non-watchstanding) (all others)
to reflect the rating who stands a watch
and who does not. Requirements should
reflect that all watchstander A/Bs and
QMEDS are required to hold a RFPNW
or RFPEW. QMEDs serving on vessels in
a non-watchstanding position,
excluding wipers, oilers and FWT, must
hold able seafarer-engine endorsements.
The Coast Guard disagrees. The
number of QMEDs and able seamen are
specified in the COI, and those serving
in such positions must also hold an
STCW endorsement. In addition, the
Coast Guard has amended § 15.404 to
specify the correlation of national rating
endorsements and STCW rating
endorsements based upon the SNPRM’s
grandfathering provisions and the usual,
customary duties of each rating.
MERPAC is concerned that
§ 15.515(b), concerning requirements for
crew to be aboard when passengers are
embarked on a passenger vessel, is
overly restrictive and impossible during
normal vessel operations and
recommends that the text be amended.
The Coast Guard disagrees. It is
essential for the safety of the passengers
to ensure there are sufficient personnel
to respond to emergencies and
passenger needs. This is an existing
requirement, and this final rule adds
explanatory detail for clarification
purposes.
MERPAC noted that there are no
guidelines for GMDSS maintainer
courses in the United States. These need
to be developed and provided to
industry.
The Coast Guard agrees. Until such
time as the Coast Guard establishes
criteria for and approves such ‘‘GMDSS
at sea maintainer courses,’’
§ 12.623(a)(2)(ii) will not be a viable
option to demonstrate competency.
Nonetheless, the Coast Guard has
included this option because it intends
to soon begin the process of
promulgating guidelines for GMDSS
course content and approval.

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MERPAC recommends that
§ 15.1105(c)(1) be changed from ‘‘BST or
safety familiarization’’ to ‘‘BT and safety
familiarization specific to that vessel.’’
The Coast Guard disagrees. The term
‘‘BST or safety familiarization’’ does not
appear in § 15.1105(c)(1) of the SNPRM.
The text in § 15.1105(c)(1) refers to basic
training or instruction and not
familiarization training. We have made
a global change in this final rule,
changing ‘‘basic safety training’’ to
‘‘basic training’’ to be consistent with
the STCW Convention. The Coast Guard
does not agree to change § 15.1105(c)(1)
as suggested because basic training or
basic instruction refers to the four
numbered items under paragraph (c),
which are more extensive than safety
familiarization. This text is consistent
with the STCW requirements in
Regulation VI/1 and Section A–VI/1.
MERPAC recommends that § 15.1109
be amended by adding ‘‘serving on
seagoing vessels, except those vessels
listed in 15.1101 of this part.’’
The Coast Guard agrees and has
amended § 15.1109 as recommended for
clarity. That section refers to § 15.105(f)
and (g), which contains the same
exemptions as § 15.1101. This change is
appropriate because STCW
watchkeeping requirements apply only
to seagoing vessels.
MERPAC states § 15.1113 should be
amended to ensure (a), (b), and (c) apply
only to vessels over 500 GT.
The Coast Guard agrees with the
recommendation to ensure that the
requirements in § 15.1113 apply only to
vessels of more than 500 GT. In
accordance with the 2010 amendments
to the STCW Convention, the security
requirements are meant to support the
requirements of the ISPS Code which
applies to vessels of 500 GT or more.
Therefore, the Coast Guard has amended
§ 15.1113 to ensure that the application
of the security requirements is only to
vessels of 500 GT or more.
MERPAC recommends that § 15.1113
be amended to include all transitional
provisions from STCW.
The Coast Guard agrees. As
previously discussed, the Coast Guard
has amended § 15.1113 to include all
transitional provisions from the STCW
Convention applicable to vessel
personnel with designated security
duties and security awareness.
MERPAC recommends that § 15.1113
be amended to account for existing
mariner compliance by 2012, and to
account for new mariners compliance
by 2014. The Coast Guard agrees. As
previously discussed, the Coast Guard
has amended § 15.1113 to include all
transitional provisions from the STCW

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Convention applicable to existing and
new mariners.
MERPAC recommends § 15.1113 be
amended to address contractors and
other personnel who should not be
required to obtain an endorsement.
The 2010 amendments to the STCW
Convention (Section A–VI/6) require all
persons employed or engaged on a
seagoing vessel to have received
security familiarization. The term ‘‘all
persons’’ includes seafarers and other
personnel, including contractors,
whether part-time, full-time, temporary,
or permanent. At this time, the Coast
Guard intends to meet the STCW 2010
amendments through the regulations in
33 CFR 104.225, which requires that all
contractors, whether part-time, fulltime, temporary, or permanent, must
have knowledge on a number of topics,
through training or equivalent job
experience. The Coast Guard has also
amended § 15.1113 to ensure that all
contractors have knowledge of the
requirements in 33 CFR 104.225 through
training or equivalent job experience.
MERPAC recommends that § 15.1113
be amended to provide that individuals
who have completed a USCG accepted
VSO course, or have been designated as
VSO are considered to have met the
requirements of training for personnel
with or without security duties.
The Coast Guard agrees, and has
amended the requirements in § 15.1113
to ensure persons meeting the VSO
requirements are considered to have met
the requirements of training for
personnel with or without security
duties. The Coast Guard is revising the
definition ‘‘vessel personnel with
designated security duties’’ to
harmonize it with the guidance in
Section B–VI/6 of the STCW Code and
to ensure consistency with the
requirements in 33 CFR subchapter H.
The expression ‘‘with designated
security duties’’ denotes those having
specific security duties and
responsibilities in accordance with the
vessel security plan. The Coast Guard
amended the requirements in §§ 12.625
and 15.113 to ensure that the term
‘‘vessel personnel with designated
security duties’’ is used throughout.
MERPAC recommends that § 15.1113
be amended to ensure that requirements
take into account STCW Circ 7(16)
providing a compliance waiver until
2017.
The STCW Convention requires that
mariners who commenced service after
January 1, 2012, meet the training
requirements for vessel personnel with
designated security duties and security
awareness, as appropriate. In addition,
the STCW Convention also provides
transitional provisions for mariners who

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started service prior to January 1, 2012.
Recognizing that the implementation
date was fast approaching, and that
there may be practical difficulties for all
seafarers with security-related
requirements to obtain necessary
certifications and/or the necessary
endorsements required in accordance
with regulation VI/6 of the 2010
amendments to the STCW Convention
and Code, the IMO issued Circular
STCW.7/Circ.17 providing advice for
port state control officers on transitional
arrangements leading up to full
implementation of the 2010
amendments to the STCW Convention
and Code on January 1, 2017. The
Circular recommends that
Administrations should inform their
port state control authorities that, until
January 1, 2014, even if a seafarer’s
documentation with regard to the
security-related training in regulation
VI/6 is not in accordance with the 2010
amendments to the STCW Convention
and Code, it would be sufficient to
accept compliance with section 13 of
the ISPS. Taking the information in the
Circular into account, the Coast Guard
has amended § 15.1113 to implement
the requirements for ‘‘vessel personnel
with designated security duties’’ and for
‘‘security awareness.’’ The requirements
in 33 CFR 104.220 and 104.225 meet the
requirements of Section 13 of the ISPS
Code.
MERPAC notes the lack of training
requirements within the SNPRM as
follows: (1) Generally, the officers do
not have the time to perform training
and assessment onboard due to minimal
manning, higher workload and
operational constraints; (2) under STCW
mandatory rest period rules, the time
available for training is limited; (3) The
officers may not have the requisite
knowledge to teach and assess the
needed subjects effectively; (4) training
is not part of a ship’s officers job
description; (5) most officers have not
been exposed to ‘‘train the trainer’’
techniques; (6) most officers are
reluctant to assume the legal liability of
training; (7) some subjects can be better
conducted ashore due to safety and
economic reasons; and (8) if a company
wants to address the above issues, then
the company must provide the resources
to conduct approved onboard training.
Therefore, MERPAC recommends that
additional formal classroom training be
required.
The STCW Convention is a
competence-based Convention, and not
a training-based Convention. The Coast
Guard does not believe that training is
the only means of imparting knowledge,
and recognizes that some knowledge,

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understanding, and proficiency is better
acquired through experience.
The Tables in part A of the STCW
Code establish the standards of
competence, which provide ways and
means to demonstrate the knowledge,
understanding, and proficiencies
needed to meet each standard. The
Convention is very specific about which
standards of competence require
training. Basic training, Electronic Chart
Display and Information System, and
Automatic Radar Plotting Aids are
examples of such required training.
In most instances, however, the
STCW Convention does not specify
whether structured training is required
to meet the standards of competence. It
is up to each Administration to establish
the training and experience necessary to
achieve the level of competence, and
when structured training should be
obtained.
The Coast Guard recognizes concerns
raised by comments that shipboard
factors, including reduced manning,
higher mariner workload, and mariner
fatigue issues, could make it a challenge
for seafarers onboard vessels to train
others. The Coast Guard also recognizes
that not all STCW competencies,
individual knowledge, understanding
and proficiencies must be accomplished
as part of structured training because
there are areas where in-service
experience may fulfill the competency
requirement. For these reasons, the
Coast Guard reviewed the tables of
competencies and identified the training
topics that must be accomplished as
part of approved formal training. The
training topics in the final rule were
part of the extensive list of topics
proposed in the NPRM, as well as those
listed in the SNPRM.
Accordingly, parts 11 and 12 of this
final rule have been amended to include
a combination of training and in-service
requirements, which will be validated
through assessments, to ensure that
seafarers achieve the necessary level of
competence.
MERPAC also recommends that the
content of the training should be
appropriate to the tonnage, route and/or
type of vessel. For example, advanced
and emergency ship handling can be
performed onboard OSVs, tugs, and
ferries, rather than in a full mission
simulator.
The Coast Guard partially agrees. The
text in part 11, subpart C has been
amended in each appropriate section for
each STCW endorsement to indicate
which courses will be required. The
Coast Guard also agrees with the
comment that the content of training
should be appropriate to the tonnage,
route and/or type of vessel. The

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regulatory text also includes a provision
to allow for the modification of KUPs
based on the characteristics and size of
vessels, and for the issuance of the
appropriate limitations and restrictions.
MERPAC recommends amending
§ 11.480 to ensure the current practice
of not putting radar endorsements on
MMCs is stated.
The Coast Guard did not propose any
changes in this area. The requested
change is outside the scope of this
rulemaking.
MERPAC recommends that a working
group be formed with Coast Guard
Headquarters, NMC, and industry to
clarify and define the certification
process for single or limited size
engineroom staffing. In addition, this
working group should also develop the
same for deck staffing on vessels of
limited size.
Although this suggestion is beyond
the scope of this rulemaking, the Coast
Guard will consider issuing a task on
this subject to MERPAC in the future.
MERPAC recommends that the NMC
process refocus the medical review of
mariners so that the process is riskbased.
The Coast Guard agrees that the focus
should be reviewed for possible
improvement, but this is outside the
scope of this rulemaking. The Coast
Guard is considering plans for the
development of a DME program. The
Coast Guard will develop guidance on
the DME program in the future.
MERPAC recommends that the
government pursue creating methods of
funding for maritime education due to
the impact of the regulatory training and
education requirements. (46 U.S.C.
51103).
Although this suggestion is outside
the scope of this rulemaking, the Coast
Guard will continue to promote
maritime education.
62. MEDMAC Comments
Below, the Coast Guard responds to
recommendations received from
MEDMAC.
MEDMAC recommends replacing the
term ‘‘medical certificate/endorsement’’
with ‘‘medical certificate’’ throughout
the document.
The Coast Guard agrees and has made
this change throughout the document.
This change is appropriate because the
Coast Guard will be issuing separate
medical certificates rather than
endorsements to existing MMCs.
MEDMAC recommends removing the
last sentence of § 10.301(a) and
replacing it with the text from NVIC 04–
08, Enclosure (6), Paragraph 7.
The Coast Guard agrees and has
replaced the last paragraph of

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§ 10.301(a) with the recommended text.
This change is appropriate because it
continues and codifies established Coast
Guard policy on the evaluation of
physical examinations.
MEDMAC recommends that
§§ 10.301(b)(1) and (2) be amended to
allow pilots to be issued 2-year medical
certificates but not change the statutory
requirement for pilots to undergo
annual physicals.
The Coast Guard agrees and has
amended § 10.301(b)(2) to allow pilots
to be issued 2-year medical certificates
to ensure consistency with the statute
and to avoid any ambiguity.
MEDMAC recommends in § 10.303(b)
removing the text ‘‘for medical
conditions and medications when’’ and
replacing it with ‘‘when an applicant
does not meet the applicable medical
standards, but’’.
The Coast Guard agrees that the
suggested language is more accurate,
and has made this change in § 10.303(b).
MEDMAC recommends removing the
last sentence of § 10.304(a) and
replacing it with the content of
paragraph § 10.304(c), and then
removing § 10.304(c).
The Coast Guard agrees that issuing
future guidance on disqualifying
medical conditions is preferable to the
incomplete list in the last sentence of
§ 10.304(a) of the SNPRM. Accordingly,
we have amended § 10.304(a) and have
removed § 10.304(c).
MEDMAC requests clarification of
guidance on food handlers found in
§ 10.304(b) that relates to NVIC 04–08
Enclosure 1 ‘‘food handler’’ link to
Homeport.
The requested guidance is beyond the
scope of this rulemaking. However, the
Coast Guard has provided in this
rulemaking a definition for
‘‘communicable disease,’’ which should
have direct impact on MEDMAC’s
concerns. The Coast Guard also will be
revising policies associated with this
rulemaking and publishing them as
required to ensure broadest notification.
MEDMAC recommends that all food
handlers be required to submit a general
medical exam.
The Coast Guard disagrees. Our
requirements must be consistent with
the underlying statutes. At present, the
Coast Guard does not have authority to
require entry-level food handlers to
complete the general medical exam.
MEDMAC requests clarification from
the Coast Guard on how practitioners
shall perform each of the listed
demonstrations in § 10.304(d)(2). If the
Coast Guard does not have clarification,
working group 11–03 recommends a
task statement be developed to address
this section.

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The information regarding
demonstrations should be addressed in
the revision of NVIC 04–08 which is
already a task statement provided to the
MEDMAC (MEDMAC Task Statement
1).
C. Discussion of Public Comments in
Response to the Merchant Marine
Personnel Advisory Committee
(MERPAC) and the Merchant Mariner
Medical Advisory Committee
(MEDMAC) Recommendations
On November 3, 2011, the Coast
Guard announced the availability of
recommendations from MERPAC in
response to Task Statement 75, in which
the Coast Guard requested review of the
SNPRM (76 FR 68202). The Coast Guard
also announced the availability of
recommendations from MEDMAC after
its review of the SNPRM. The
recommendations from both committees
were made available to the public for
comment. The public comments to these
recommendations and the Coast Guard
response to the comments received are
detailed below.
One commenter supports MERPAC’s
recommendation that Qualified
Assessors should be approved by the
Coast Guard.
The Coast Guard agrees. As
previously discussed, we have amended
the definition of ‘‘Qualified Assessor’’ in
§ 10.107 to add clarification of this
person’s role and professional
development.
The same commenter supports the
MERPAC recommendations regarding
Listing of Training Elements for 46 CFR
part 11 (Deck Competencies with
Formal Training Requirements) in its
entirety. The commenter states that
interpreting the Code to require an
approved education and training system
for deck officer competencies is in
keeping with the generally accepted
view of the international maritime
community and Coast Guard policy for
nearly 10 years. That system would be
operated under a QSS and is described
in Tables A–II/1, A–II/2 et al. of the
STCW Code.
The Coast Guard partially agrees. The
Coast Guard reviewed the tables of
competencies and identified the training
topics that must be accomplished as
part of approved formal training. These
topics were part of the NPRM published
in 2010. Parts 11 and 12 of this final
rule are amended to include a
combination of training and in-service
requirements, validated through
assessments, to ensure that the seafarers
achieve the necessary level of
competence.
One commenter disagrees with
MERPAC’s recommendation that

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mariners should not be able to obtain an
STCW endorsement without meeting
the service requirements for the
associated national endorsement.
MERPAC adds that its recommendation
is about progression requirements rather
than qualification requirements. The
commenter states that this MERPAC
recommendation would reverse the
Coast Guard’s stated intent to separate
STCW and domestic endorsements. By
recombining domestic and STCW seaservice requirements, irrespective of
possible conflicts between the two, the
Coast Guard would undermine another
of its stated intentions, that the new
regulations will be easier for mariners to
read and understand the requirements
for each MMC endorsement.
The Coast Guard disagrees. One of the
underlying principles used in the
development of this rulemaking is that
the STCW endorsement is an
international, independent overlay of
the national endorsement. Therefore,
the mariner cannot have any STCW
endorsement unless that mariner
possesses the equivalent national
endorsement.
One commenter disagrees with
MERPAC’s recommendation that the
Coast Guard amend its definition of
‘‘disabled vessel’’ by removing the last
sentence of the proposed definition, and
by reverting to the definition currently
found in the regulations. The
commenter states that if the Coast Guard
agrees to this recommendation, the
continued financial wellbeing of many
assistance companies whose livelihood
depends on towing and assistance jobs
allowed by the inclusion of the last
sentence of the definition of ‘‘disabled
vessel’’ in the SNPRM will be severely
threatened. Many marine assistance
companies have no other means of
income, and for them this amendment
will be disastrous.
The Coast Guard disagrees and has
only retained non-substantive editorial
changes to the original definition of
‘‘disabled vessel’’ in § 10.107. The
expansion of the definition proposed in
the SNPRM would have granted
authority beyond the intended scope of
the meaning of ‘‘disabled vessel,’’ and
the final rule is substantially the same
as the current regulation. The Coast
Guard may consider possible changes to
this definition after public notice and
comment in a future rulemaking.
There were several comments
received in the docket that were not
related to MERPAC or MEDMAC
recommendations. Those comments are
summarized below.
One commenter states that the Coast
Guard is placing mariners in peril in
§ 11.402(c)(1), by allowing a mariner

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with only 6 months’ experience as
master of a 1,600 GRT vessel to become
a domestic master of an unlimitedtonnage vessel. The commenter states
that you need experience as a chief mate
on a large vessel in order to understand
how to do the captain’s job on such a
vessel.
Because this final rule makes no
changes to the current regulations in
§ 11.402(c)(1), this comment is outside
the scope of this rulemaking.
The same commenter states that the
Coast Guard is again placing mariners in
peril in § 11.404(a)(2)(ii), by allowing a
mariner to become a domestic master of
an unlimited-tonnage vessel after 3
years of sea time, without ever having
sailed as chief mate. The commenter
states that you need experience as a
chief mate on a large vessel in order to
understand how to do the captain’s job
on such a vessel.
The Coast Guard disagrees that there
is no requirement for experience as a
chief mate on large vessels to qualify as
master of such a vessel. Section
11.404(a)(2)(i) requires that, in addition
to the requirements discussed in
§ 11.404(a)(2)(ii), mariners must provide
evidence of 6 months’ service as chief
mate on vessels of unlimited tonnage.
One commenter asks why chief
engineer (limited-near coastal) is listed
above chief engineer (limited-oceans)
hierarchically in Table 11.325(d). The
same commenter asks if the required
service is cumulative (12 months of
service to get from chief engineer
(limited-oceans) to chief engineer
(limited-near coastal), then an
additional 12 months of service to get to
chief engineer on vessels of unlimited
horsepower).
The order of endorsements listed in
the table is not meant to be hierarchical.
Further, in response to several other
comments to the SNPRM docket, the
Coast Guard is eliminating the
endorsement for chief engineer (limitednear-coastal). An additional 12 months
of service is required to cross over to
first assistant engineer (unlimited), and
an additional year to qualify for chief
engineer (unlimited).
The same commenter asks if the
proposed regulations eliminate STCW
endorsements for chief engineer
(limited-oceans) and chief engineer
(limited-near coastal), or rather limit
them to domestic service. The
commenter recommends that the Coast
Guard revise the SNPRM to maintain
the current scope of authority for chief
engineer (limited oceans and nearcoastal).
As stated above, the Coast Guard is
eliminating the chief engineer (limitednear-coastal) endorsement, leaving only

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the assistant engineer (limited) and
chief engineer (limited) endorsements.
Both endorsements authorize service on
oceangoing vessels of any horsepower,
but restrict service to vessels of less than
1,600 GRT (hence the ‘‘limited’’ title).
The same commenter states that the
progression paths listed in the NPRM
have been changed in the SNPRM. He
asks if a path remains for a chief
engineer (limited-oceans) to become
either a chief engineer or first assistant
engineer (second engineer officer) on
vessels of unlimited horsepower.
As discussed in the SNPRM, there is
a path for the endorsements the
commenter cites. For changes to the
limited engineers’ officer endorsements,
including crossover points, see Figure
11.505(a).
One commenter states that an
unspecified section, figure or table does
not appear to be a path to STCW chief
engineering officer for vessels of more
than 4,000 HP. In the commenter’s view,
the credentialing system contains
‘‘confusion,’’ again without specifying
what the particular uncertainty might
be. The commenter further takes
exception to the amount of sea service
proposed in the SNPRM for a chief
engineer (limited) to obtain an STCW
endorsement as chief engineer officer.
As discussed above, the SNPRM
established the national and STCW
credentials as separate entities. Figure
11.505(a) graphically displays the
progression and crossover provisions for
the national engineering officer
endorsements only. All national
limitations and restrictions apply. It is
recognized that the holder of a national
endorsement might also be required to
hold an STCW endorsement to sail
beyond the boundary line and into
foreign ports. Since the applicant for an
STCW endorsement must first hold an
appropriate national endorsement, the
purpose of the tables in § 11.325 is to
list those national endorsements that
might enable the holder to obtain a
relevant STCW endorsement, and to
indicate if additional assessment and
training are required.
A common misconception is that if a
mariner holds a particular national
credential (e.g., chief engineer
(limited)), that he/she automatically has
the right to an ‘‘equivalent’’ STCW
endorsement as chief engineer officer
(e.g., more than 3,000 kW (4,000 HP)).
This is not the case, as the STCW
endorsement usually requires additional
practical assessment, examination and/
or training. The tables in part 11,
subpart C are guides for mariners to
obtain STCW endorsements. Another
factor in the equation is that once
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dependent on any restrictions on the
face of the national endorsement. For
example, engineers (limited) may serve
on vessels of any horsepower, but are
restricted to vessels of less than 1,600
GRT. The DDEs are restricted to vessels
of less than 500 GRT, and some have
further horsepower limitations and/or
route restrictions placed on their
credentials.

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D. Additional Request for Comments
In the ‘‘Additional Request for
Comments’’ section of the SNPRM, the
Coast Guard sought specific comments
from the public on six issues. These
issues and the Coast Guard response to
the comments received are outlined
below. Detailed Coast Guard responses
to specific comments are located above
in subsection A of this section, entitled
‘‘Public comments on the SNPRM.’’
1. The Coast Guard asked about the
value of tonnage and route restrictions
for engineering endorsements.
The Coast Guard removed route
restrictions and the endorsement for
chief engineer (limited near-coastal) in
this final rule, but retained the 1,600
GRT limitation for the engineer (limited)
series of endorsements. Likewise, the
Coast Guard retained both route and
tonnage restrictions for the DDE series
of engineer endorsements.
2. The Coast Guard asked about
alternative or additional requirements
for limiting engineer authority, such as
maintaining current horsepower
restrictions, or any other alternative
requirements.
The responses from the public ranged
from a suggestion to remove the
endorsement of chief engineer (limited
near-coastal) to an elaborate 13-page
plan for the complete revision of the
national and STCW endorsement
scheme. The Coast Guard has made
several changes including the removal
of the chief engineer (limited nearcoastal) endorsement and expanded the
structure of assistant engineer-OSV, as
discussed previously.
3. The Coast Guard asked about
potential changes to the qualification
requirements for a DE for TOARs to
allow mariners to serve as DEs by virtue
of their endorsements without any
further approval process.
The commenters believe that the
current system for a DE to apply for
recognition and approval through the
NMC is appropriate. The Coast Guard
will continue to approve the DEs
through the current process.
4. The Coast Guard asked about who,
within the mariner population, will take
advantage of the alternatives to formal
training provided to meet the standards

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of competence for an STCW
endorsement.
Some commenters object to allowing
competency to be demonstrated by
alternative methods and not exclusively
through approved formal training. In
their view, the language of the STCW
Convention and Code places a strong
emphasis on formal training and
assessment, and requires education and
training for all categories of STCW
certification. Other commenters support
the concept of onboard training as an
alternative to formal classroom training
but believe that there are professional
knowledge and development areas
where in-service experience alone will
not fill the need for professional
training.
The Coast Guard has added training
courses for STCW endorsements that
must be accomplished as part of
approved formal training. These courses
were part of the NPRM. Parts 11 and 12
of this final rule are amended to include
a combination of training and in-service
requirements (validated through
assessments) to ensure that the seafarers
achieve the level of competence
required for STCW endorsements.
5. The Coast Guard asked about the
extent to which changes to sea service
requirements, particularly in § 10.232,
will increase the availability of mariners
for service on oceangoing vessels.
Three commenters recommended that
the Coast Guard remove §§ 10.232(b)(1)
and 10.232(b)(2) in their entirety in
regard to sea service credit for mariners
serving on the Great Lakes and on
inland waters. They believe there is no
useful purpose for these provisions, and
their inclusion would make professional
advancement more difficult, thereby
decreasing the availability of mariners
for service on oceangoing vessels.
The Coast Guard has retained the
proposed provisions in § 10.232(b)(1)
(providing day-for-day credit on the
Great Lakes), and § 10.232(b)(2)
(providing credit up to 50 percent of
total service required). These new
requirements were not previously
available for those mariners seeking an
STCW endorsement. Further, the Coast
Guard believes that the inclusion of
these sections will actually increase the
number of mariners with credentials
necessary to make them available for
service on ocean-going vessels by
expanding the opportunity to earn sea
service credit.
6. The Coast Guard asked about the
possible changes to fee payment
options, as proposed in § 10.219, which
would eliminate the ability to pay by
cash or check. The commenters objected
to the proposed requirement in
§ 10.219(d) that fee payments for MMCs

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and associated endorsements must be
made by credit card or by electronic
payment. They claimed that it would be
a hardship on mariners as they do not
always have these means of payment
available to them.
The Coast Guard is withdrawing this
proposed revision. The current
§ 10.219(d) will be retained, allowing for
multiple forms of payment.
VII. Incorporation by Reference
The Director of the Federal Register
has approved the material listed in
§§ 10.103, 11.102, 12.103, 13.103, and
15.103 for incorporation by reference
under 5 U.S.C. 552 and 1 CFR part 51.
Copies of the material are available from
the sources listed in those sections.
VIII. Regulatory Analyses
We developed this final rule after
considering numerous statutes and
executive orders related to rulemaking.
Below we summarize our analyses
based on 14 of these statutes or
executive orders.
A. Regulatory Planning and Review
Executive Orders 12866 (‘‘Regulatory
Planning and Review’’) and 13563
(‘‘Improving Regulation and Regulatory
Review’’) direct agencies to assess the
costs and benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility. This final
rule has been designated a ‘‘significant
regulatory action’’ although not
economically significant, under section
3(f) of Executive Order 12866.
Accordingly, this final rule has been
reviewed by the Office of Management
and Budget. A combined ‘‘Regulatory
Analysis and Final Regulatory
Flexibility Analysis’’ report is available
in the docket as indicated under the
ADDRESSES section of this preamble. A
summary of the report follows:
This final rule will ensure that U.S.
mariners comply with the standards set
forth in the STCW Convention and
Code. This final rule will implement all
amendments under the Convention,
including the 2010 amendments
previously discussed. In addition, the
Coast Guard is responding to the
comments, feedback, and concerns
received from the public as a result of
the SNPRM. In order to address those
comments and concerns, this final rule

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will simplify national licensing
requirements and separate them from
STCW requirements; provide alternative
means for demonstrating competence;
clarify oversight requirements for
approved courses; amend lifeboatmen
requirements; and allow for acceptance
of sea service on vessels serving the
Great Lakes and inland waters to meet
STCW requirements (see ‘‘Discussion of
Final Rule’’ for additional details).
The changes in this final rule from the
current regulations that result in
additional impacts involve the
following categories of provisions:
1. Medical Examinations and
Endorsements
The medical certificate will be
reduced from a maximum period of
validity of 5 years to 2 years for
mariners serving onboard STCW vessels
in accordance with the 2010
amendments to the STCW Convention.
2. Leadership and Managerial Skills
This final rule will require leadership
and managerial skills for the
management-level credential in
accordance with the 2010 amendments
to the STCW Convention.
3. Engineroom Resource Management
This final rule will require ERM
training for engineers seeking
operational-level credential, and
leadership and managerial skills for the
management-level credential in
accordance with the 2010 amendments
to the STCW Convention.
4. Tankerman Endorsements
This final rule will add new STCW
endorsements for basic and advanced
oil and chemical tanker cargo
operations, and for basic and advanced
liquefied gas tanker cargo operations, in
accordance with the STCW 2010
amendments.

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5. Safety Refresher Training
Requirements
This final rule will require safety
refresher training every 5 years for all
STCW-endorsed mariners holding a
credential in basic training (BT),
advanced firefighting, proficiency in
survival craft and rescue boats other
than fast rescue boats, or proficiency in
fast rescue boats, in accordance with the
2010 amendments to the STCW
Convention and Code.
6. Able Seafarer Deck and Engine
This final rule will require that
personnel serving on STCW vessels as
able seafarers meet the requirements for
certification in order to comply with the
STCW 2010 amendments.

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In order to address the comments
received on the SNPRM, the Coast
Guard made several changes to the
SNPRM in this final rule. Part A of the
Discussion of Comments and
Explanation of Changes section
summarizes the changes between this
final rule and the SNPRM and the
‘‘Tables of Changes’’ in section V of the
preamble provides a detailed
explanation for each change. None of
the changes between the SNPRM and
this final rule, however, will result in
additional impacts to the maritime
industry. However, in response to
comments from the public, the Coast
Guard has added a transitional
provision for the implementation of the
QSS requirements by January 1, 2017.
This will delay the cost impact of QSS
requirements to training providers and
provide additional time for compliance.
Costs
We estimate that this final rule will
affect approximately 60,000 U.S.
mariners 8 and 316 owners and
operators of 1,044 vessels by imposing
additional costs. This rule also affects
U.S. mariners operating inside the
boundary line by imposing new
requirements. However, we do not
anticipate the new requirements for
national endorsements will impose
additional costs. Each of the
requirements will affect a different
subset of these mariner and owner/
operator populations. We used Coast
Guard’s data on mariners, publicly
available information on training costs
and mariner wages, and other available
industry information to develop the
estimates of potential costs to affected
mariners and to the owners and
operators employing affected mariners
for each requirement. We did not find
additional data or receive public
comments in response to the analysis
presented in the SNPRM that would
result in changing these estimates for
affected mariners or vessel owners and
operators.
This final rule will also affect
approximately 141 STCW training
providers by requiring them to
implement a quality standards system
and write and maintain a QSS manual;
subjecting them to internal and external
audit requirements of each Coast Guardapproved course, and extending the
time period for which they must keep a
paper or electronic record on each
student completing a course. Similarly,
we did not find additional data or
receive public comments that would
8 Includes all mariners to which STCW applies,
which is limited to voyages beyond the boundary
line.

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result in changing our estimates for
affected STCW training providers other
than delaying the cost impact of QSS
requirements to training providers by 3
years and providing additional time for
compliance.
The costs of this final rule are
presented in Table 1. We estimate the
total present value cost over the 10-year
period of analysis to be $228.9 million
at a 7-percent discount rate ($272.6
million at a 3-percent discount rate).
Over the same 10-year period of
analysis, we estimate the annualized
costs to be about $32.6 million at a 7percent discount rate ($32.0 million at
a 3-percent discount rate).

TABLE 1—SUMMARY OF PRESENT
VALUE COSTS OF FINAL RULE
[$ Millions]
Discount rate
Year
7 percent

3 percent

1 ........................
2 ........................
3 ........................
4 ........................
5 ........................
6 ........................
7 ........................
8 ........................
9 ........................
10 ......................

$17.0
38.5
36.0
35.0
31.8
29.7
11.3
10.5
9.8
9.2

$17.7
41.5
40.3
40.8
38.5
37.4
14.7
14.3
13.9
13.5

Total* .........

228.9

272.6

Annualized ........

32.6

32.0

* Totals may not sum due to rounding.

We estimate the mariner training
requirements are the primary cost driver
throughout the 10-year period of
analysis. See Table 2 for a summary of
annualized costs by requirement
category.

TABLE 2—SUMMARY OF THE
ANNUALIZED COSTS OF THE FINAL
RULE
[$ Millions]
Annualized*
Category
7 percent

3 percent

Mariner Training** .....
2-Year Medical .........
Examination ..............
Sea Service ..............
Training Providers ....

$27.06

$26.40

3.99
1.04
0.50

3.99
1.04
0.51

Total ...................

32.60

31.96

** Includes changes for officer, engineer and
rating endorsements.

The changes to mariner training make
up about 83 percent of the costs
throughout the 10-year period of
analysis. Table 3 below presents a

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summary of the costs by requirement as
a percentage of the total annualized
costs of this final rule.

TABLE 3—SUMMARY OF COSTS BY REQUIREMENT OF THE FINAL RULE (AS
A PERCENTAGE
COST)

OF

Requirements

ANNUALIZED

Annualized
cost
percent

Mariner Training .......................
2-Year Medical Examination ....
Sea Service ..............................
Training Providers ....................

83
12
3
2

Total ...................................

100

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We believe that the training costs
discussed above would likely be high
estimates, as this final rule provides
flexibility in choosing alternative
methods if these are more cost effective
to the mariners, owners and operators.
In the absence of additional
information, such as the choice of
alternative methods by company size
and time differences to complete one
alternative compared to another, we
estimate potential regulatory
compliance costs by assuming that
mariners and their employers would
fulfill these requirements through
classroom training. This results in
upper-bound monetized costs for these
training provisions.
Benefits 9
This final rule will implement all
amendments to the STCW and ensure
that the U.S. is meeting its obligations
under the STCW Convention. The
STCW Convention sets the standards of
competence for mariners
internationally, bringing U.S. mariners
in line with training, certification and
medical standards developed by the
International Maritime Organization
(IMO). In addition to the benefit of
improving marine safety and decreasing
the risk of shipping accidents,
additional benefits of this final rule are
expected to accrue to the U.S. economy
in the form of: (1) Preventing and
mitigating accidents on STCW
Convention-compliant foreign vessels in
U.S. waters due to the Coast Guard’s
increased ability to enforce
requirements; (2) Maintaining U.S.
status on the ‘‘White List’’ and avoiding
the detention of U.S. vessels in foreign
ports due to non-compliance with the
STCW Convention; (3) Ensuring U.S.
9 The Coast Guard did not receive any comments
from the public on the benefits analysis for the
SNPRM. The changes between the SNPRM and this
final rule did not result in any modifications to
benefits estimated in this section.

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mariners can compete in the global
workforce market; and, (4) Ensuring that
U.S. regulations are consistent with
international performance standards
based on international consensus and
IMO convention, which minimizes
variation in standards of training and
watchkeeping.
One benefit of this final rule is an
increase in vessel safety and a resulting
decrease in the risk of shipping
casualties. According to one study on
the Review and Analysis of Accident
Databases by the American Bureau of
Shipping (ABS), the human element is
involved in 80 percent of shipping
casualties, with 45 percent of those
casualties primarily due to human error,
and another 35 percent attributable to a
failure to adequately respond.10
The final rule seeks to decrease
human error and improve
responsiveness through a three-pronged
approach—increased training and
service requirements, improved
consistency of training, and enhanced
medical evaluation and reporting.
Lack of mariner competence in
situational awareness and assessment
are primary causes of human error. The
enhanced competency and service
requirements of the STCW Convention
are expected to increase mariners’
situational awareness and situational
assessment, and improve their ability to
respond to potential hazards.
The requirements for training
providers to develop and follow a
quality standard system help to ensure
that the STCW training given to
mariners is of consistent quality.
Unidentified medical conditions can
also impair a mariner’s ability to
perform tasks and respond, thus
contributing to the human element of
casualties. This final rule will require
more frequent medical exams for STCW
mariners, thus reducing the potential
contribution of medical conditions to
human error.11 In combination, the
provisions of this final rule are expected
to reduce potential for vessel accidents,
10 Clifford C. Baker and Denise B. McCafferty.
2004. ABS Review and Analysis of Accident
Databases. American Bureau of Shipping. Accessed
at http://www.slc.ca.gov/Division_Pages/MFD/
Prevention_First/Documents/2004/
Human%20and%20Organizational%20Factors/
McCafferty%20paper.pdf.
11 Examples of major accidents that resulted in
deaths, injuries, environmental contamination or
property damage in which an unidentified medical
condition was a causal factor include: the allision
of the M/V Cosco Busan with the San FranciscoOakland Bay Bridge, the allision of the passenger
ferry Andrew J. Barberi, and Towboat Robert Y.
Love allision with Interstate 40 Highway Bridge.
Although these did not directly involve STCW
mariners, the same risk from unidentified medical
conditions applies.

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77877

including those with small and large
consequences.
Based on data and information from
the Coast Guard’s Marine Information
for Safety and Law Enforcement
(MISLE) database system, between 2002
and 2009, there were an average of 11
fatalities and 126 injuries (ranging in
severity) per year on U.S. flag SOLAS
vessels that could be prevented or
mitigated by this rulemaking. These
form the baseline for this final rule.
Likewise, pollution from incidents
involving U.S. flag SOLAS vessels
resulted in an annual average of 285,152
gallons of oil spilled per year that are
also part of the baseline damages that
could be prevented or otherwise
mitigated by this rulemaking. Table 4
summarizes the annual damages
associated with fatalities, injuries, and
oil spills for U.S. flag SOLAS vessels.
These estimates do not include
quantified measures of secondary
impacts that result from vessel
accidents.

TABLE 4—ANNUAL BASELINE OF FATALITIES, INDUSTRIES, OIL SPILLS,
AND PROPERTY DAMAGE (2002–
2009)
Impact
Fatalities ..........................
Injuries .............................
Oil Spills ..........................
Amount of Oil Spilled ......
Property Damage ............
Congestion and Delays ...

SOLAS
11.
126.
169.
285,152 gallons.
$25.7 million.
Not quantified.

The training, sea service and QSS
provisions of the final rule would most
likely reduce the risk of accident-related
consequences such as fatalities, injuries,
and pollution. Estimating the precise
reduction in risk from improved
training and sea service requirements is
difficult given existing information. We
found limited information on how
STCW, or other competency-based
marine transportation training,
quantitatively increases marine safety
by reducing the risk of accidents.
We did find research conducted for
other industries on the impact of
training programs on outcomes and
behaviors. This research found a wide
range of potential reductions in risk:
from a low of no impact to a high of
approximately 87 percent. See the
‘‘Regulatory Analysis and Final
Regulatory Flexibility Analysis’’ report
available in the docket for more
information. No additional data or
updates to estimates were received as
part of public comments.
If the annual costs of $28.1 million we
estimate for the cost of training and sea

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service requirements (exclusive of the
QSS training provider and the medical
examination requirements) are
compared against the accident-related
baseline damages for SOLAS vessels
including fatalities, injuries, property
damage and oil spilled, this final rule
would have to reduce damages by 23
percent to reach break even. Using the
cost of training and sea service
requirements, if only fatalities are
considered, the final rule would need to
prevent approximately 4.5 fatalities per
year to break even, out of about 11 total
fatalities per year on SOLAS vessels.
Accident-related fatalities represent
approximately 20 percent of the total
baseline damages.
The annualized cost of the training
and sea service requirements (exclusive
of the QSS training provider and the
medical examination requirements) is
approximately $28.1 million per year at
a 7-percent discount rate (See Table 2
for a summary of annualized costs by
requirement category). Based on the
distribution of potential risk reduction
derived from the studies described
above applied to the baseline
consequences of accident-related
damages for U.S. flag, SOLAS vessels,
we estimate the discounted, annualized
benefits of this final rule could be about
$24.3 million, with a range of $23.7
million to $29.4 million.
The medical examination
requirements will also reduce risk, both
for fatalities due to medical conditions
and for accident-related fatalities and oil
spills. The incapacitation of mariners on
vessels due to undiagnosed and
untreated medical and/or physical
conditions could contribute to vessel
mishaps and associated public safety
risks. Data from the trucking industry
indicate that certain medical conditions
can increase the risk of accidents. For
example, truck drivers with diabetes
have a 19 percent higher risk of causing
an accident. Similarly, drivers with
cardio-vascular disease have a 43
percent greater risk of causing an
accident.12
More frequent medical exams can
help ensure that medical conditions that
could impair performance and increase
the risk of an incident are identified
earlier, thus increasing opportunities to
treat the condition and reducing the
chances that uncontrolled symptoms
and side-effects could cause decreased
performance and increased risk of
accidents.
12 Source: Final Rule Regulatory Evaluation,
‘‘Medical Certification Requirements as Part of the
Commercial Driver’s License,’’ Final Rule, Federal
Motor Carrier Safety Administration, July 2008
(FMCSA–1997–2210–0211.1).

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The annual costs of the medicalrelated requirements are approximately
$3.99 million at a 7-percent discount
rate. If we compare this cost with the
damages associated with the five
fatalities related to medical conditions,
this final rule would need to result in
a 12.7 percent reduction in risk to break
even.
To summarize, we estimate the
monetized annualized costs of this final
rule to be about $32.6 million (at a 7percent discount rate). However, we
believe that this may likely be a high
cost estimate as this final rule provides
flexibility in choosing alternative
methods of demonstrating competency
if these are more cost effective to the
mariners, owners and operators.
We considered five alternatives to this
final rule:
• Alternative 1: Maintain the current
STCW Convention interim rule.
• Alternative 2: Implement the
NPRM-proposed requirements.
• Alternative 3: Implement the
SNPRM STCW-related proposed
requirements only.
• Alternative 4: Implement NPRM
with a separate rulemaking for 2010
STCW amendments.
• Alternative 5: Implement the
SNPRM.
The first alternative is not feasible as
it would not meet all U.S.
responsibilities as a party to the
Convention. The second alternative
would partially meet U.S.
responsibility, but would not implement
the 2010 STCW amendments. The third
alternative would meet the U.S.
responsibilities under the STCW
Convention, but would not provide
clarifications and modification to
national endorsements for which costs
are minimal. The fourth alternative
would not have met U.S. STCW
responsibilities. The fifth alternative
would not incorporate any comments,
feedback, and concerns received from
the public as a result of the SNPRM.
Public comments helped the Coast
Guard reorganize and clarify certain
STCW and non-STCW provisions of the
SNPRM and led this final rule to be
more efficient.
The ‘‘Regulatory Analysis and Final
Regulatory Flexibility Analysis’’ report
available on the docket provides
additional detail on the alternatives,
costs, and benefits of this rulemaking.
At this time, based on available
information, we expect that this
rulemaking will not be economically
significant under Executive Order 12866
(e.g., have an annual effect on the
economy of $100 million or more).

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B. Small Entities
Under the Regulatory Flexibility Act
(5 U.S.C. 601–612), we have considered
whether this final rule will have a
significant economic impact on a
substantial number of small entities.
The term ‘‘small entities’’ comprises
small businesses, not-for-profit
organizations that are independently
owned and operated and are not
dominant in their fields, and
governmental jurisdictions with
populations of less than 50,000.
A Final Regulatory Flexibility
Analysis discussing the impact of this
final rule on small entities is available
in the docket where indicated under
ADDRESSES.
This final rule will directly regulate
mariners and training providers.
Individuals, such as the mariners
regulated by this final rule are not small
entities under the definition of a small
entity in the Regulatory Flexibility Act
(RFA).
This final rule includes audit and
quality system requirements for training
providers. Based on Coast Guard data,
approximately 84 percent of the STCW
training providers that are affected by
this final rule are small by the (SBA)
size standards.
While we do not expect training
providers to offer new training programs
unless it is beneficial to their business
model, we have estimated the impact of
this final rule to training providers as if
they would not pass any of their costs
to mariners. Therefore, the revenue
impacts to the small training providers
discussed below may be overestimates.
We found that this final rule will have
a significant economic impact (more
than 1 percent impact on revenue) on 62
percent of small training providers in
the first year they implement QSS
requirements. After the first year of
implementation, we found that this final
rule will have a significant economic
impact on 29 percent of small training
providers.
In response to comments from the
public, the Coast Guard has delayed
implementation of the QSS
requirements to January 1, 2017. This
will delay the cost impact of QSS
requirements to training providers and
provide additional time for compliance.
The impacts discussed above are not
based on discounted present value costs
and do not account for the additional
time for compliance.
This final rule does not directly
require companies or maritime
employers to pay for the final training
requirements for affected mariners.
However, we acknowledge that some
marine employers fund training and

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might be indirectly impacted. In
recognition of this possibility, we
analyzed impacts on small entities to
include a sensitivity analysis showing
the impact of additional training costs
on employers of mariners. We provided
this analysis in the Initial Regulatory
Flexibility Analysis for the SNPRM and
summarized it in Final Regulatory
Flexibility Analysis for this rule.
Based on this sensitivity analysis, we
found that about 80 percent of the vessel
owners and operators affected by this
final rule will be small entities under
the Regulatory Flexibility Act and the
Small Business Administration (SBA)
size standards. We estimate that this
final rule will have a more than 1
percent cost impact on annual revenue
for 69 to 83 percent of the small vessel
owners and operators affected by this
rulemaking, depending on the year.
However, under this final rule, the
Coast Guard will accept various, flexible
methods for demonstrating competence
that will reduce the costs of training
requirements, a potential cost relief to
maritime employers that fund training.
C. Assistance for Small Entities
Under section 213(a) of the Small
Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104–121),
we want to assist small entities in
understanding this final rule so that
they can better evaluate its effects on
them and participate in the rulemaking.
If this final rule would affect your small
business, organization, or governmental
jurisdiction and you have questions
concerning its provisions or options for
compliance, please consult Ms. Zoe
Goss, Maritime Personnel Qualifications
Division, Coast Guard; telephone 202–
372–1425. The Coast Guard will not
retaliate against small entities that
question or complain about this rule or
any policy or action of the Coast Guard.
Small businesses may send comments
on the actions of Federal employees
who enforce, or otherwise determine
compliance with, Federal regulations to
the Small Business and Agriculture
Regulatory Enforcement Ombudsman
and the Regional Small Business
Regulatory Fairness Boards. The
Ombudsman evaluates these actions
annually and rates each agency’s
responsiveness to small business. If you
wish to comment on actions by
employees of the Coast Guard, call 1–
888–REG–FAIR (1–888–734–3247).
D. Collection of Information
This final rule calls for modifications
to collections of information under the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501–3520). It modifies two
existing Office of Management and

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Budget (OMB) Collections of
Information: OMB Control Number
1625–0028, ‘‘Course Approvals for
Merchant Marine Training Schools;’’
and OMB Control Number 1625–0079,
‘‘Standards of Training, Certification
and Watchkeeping for Seafarers
(STCW), 1995 and 1997 Amendments to
the International Convention.’’
As defined in 5 CFR 1320.3(c),
‘‘collection of information’’ comprises
reporting, recordkeeping, monitoring,
posting, labeling, and other, similar
actions. The title and description of the
information collections, a description of
those who must collect the information,
and an estimate of the total annual
burden follow. The estimate covers the
time for reviewing instructions,
searching existing sources of data,
gathering and maintaining the data
needed, and completing and reviewing
the collection.
This final rule adds to recordkeeping
requirements of training providers and
credentialed merchant mariners.
Title: Course Approval and Records
for Merchant Mariner Training Schools.
OMB Control Number: 1625–0028.
Title 46 United States Code (U.S.C.)
7315 authorizes a license or document
applicant to substitute the completion of
an approved course for a portion of the
required sea service. 46 CFR 10.402
specifies the information that must be
submitted for the Coast Guard to
evaluate and approve each course. 46
CFR 10.403 specifies recordkeeping
requirements that a school teaching
approved courses must meet for each
student taking each course.
Under this final rule, training
providers who teach STCW Convention
courses will: (1) Develop and maintain
a QSS, including writing and
maintaining a QSS manual; (2) Undergo
an internal audit and undergo an
external audit every 5 years and keep
the audit records for Coast Guard
inspection as needed; and (3) Store
student course records for an additional
4 years.
Since training providers are currently
required to store student records for 1
year and many of them store records for
several years more, the burden of the
new requirement that will extend
recordkeeping from 1 year to 5 years is
small.
Summary of the Collection of
Information: A licensed mariner is
authorized to substitute the completion
of an approved course for a portion of
the required sea service. Training
providers must submit specific
information to the Coast Guard to
evaluate and approve each course.
This final rule will require training
providers to write and maintain a QSS

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77879

manual and arrange two internal audits
of STCW Convention courses within 5
years.
Need for Information: The
information is necessary to show
evidence that training providers meet
the minimum quality standards and
recordkeeping requirements for each
course established by the IMO.
Proposed Use of Information: The
Coast Guard will use this information to
document that the training level of
mariners meets international
requirements.
Description of the Respondents: The
respondents are the mariner training
schools that will be required to
complete form CG–719B.
Number of Respondents: According to
the Coast Guard National Maritime
Center (NMC), there are approximately
285 training schools. However, only 141
training providers teach STCW courses.
The number of respondents is 141
STCW training providers in the first
year and recurring annually.
Frequency of Response: Respondents
are required to write a QSS manual in
the first year and modify it as needed.
They will also arrange internal audits on
their STCW courses every two and a
half years.
Burden of Response: Writing a QSS
manual will take a training provider
approximately 206 hours in the first
year (205 hours for reporting and 1 hour
for recordkeeping), and modifying it
will take 9 hours every year (8 hours for
reporting and 1 hour recordkeeping).
We estimate that it will take 10 hours
for each respondent to complete an
internal audit twice every 5 years (9
hours for reporting and 1 hour for
recordkeeping) or approximately 4
hours per year.
Estimate of Total Annual Burden: The
existing OMB-approved total annual
burden, as adjusted in May 2012, is
97,260 hours. This rule will increase the
burden for 141 training providers by
approximately 225 hours each. The total
additional hours requested for this
rulemaking is 30,879 [141 × (206 + 9 +
4)]. The new annual burden for the first
year is 29,046 hours and about 1,833
hours each year after the first year.
Title: Standards of Training,
Certification and Watchkeeping for
Seafarers (STCW), 1995 and 1997
Amendments to the International
Convention.
OMB Control Number: 1625–0079.
The International Convention for
Standards of Training, Certification and
Watchkeeping for Seafarers (STCW) sets
qualifications for masters, officers and
watchkeeping personnel on seagoing
merchant ships. The United States is a
signatory to these conventions, which

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define standards of competence
necessary to protect safety of life at sea
and the marine environment and
address the responsibilities of all StateParties to ensure seafarers meet defined
standards of competence and quality.
The information collection requirements
are necessary to implement the
amendments to this important
international convention.
This final rule makes three changes
that impact this collection. This final
regulation will: (1) Change the medical
exam requirements for STCW
credentialed mariners from once every 5
years to once every 2 years; (2) require
documented evidence of security
training or awareness for 2 groups of
mariners—personnel with security
duties (except vessel security officers)
and all other mariners working aboard
a vessel; and (3) recognize STCW
endorsements issued by foreign
governments.
To comply with changes in medical
examination requirements, mariners
will be required to submit a CG–719K
form as filled out by a physician. To
comply with security training or
awareness for personnel, vessel owners/
operators will need to provide
documentary evidence that personnel
with security duties other than VSOs
meet requirements set forth in 33 CFR
104.220, and provide documentary
evidence of meeting the requirements of
33 CFR 104.225 for all other personnel
working on a vessel. Additionally, this
final rule allows for the recognition of
STCW endorsements issued by foreign
governments if proper documentation is
submitted by a vessel owner/operator.
Summary of the Collection of
Information: The STCW Convention sets
qualifications for mariners on seagoing
merchant ships. As a signatory party,
the United States must collect
information to document that
requirements described in this
important international treaty are being
met.
This final rule, which adopts 2010
amendments to the STCW convention,
requires STCW mariners to provide
documentation of a medical exam
occurring once every two years;
establishes the need for documentary
evidence certifying security training or
awareness for personnel; and provides
the means to recognize STCW
endorsements issued by foreign
governments.
Need for Information: The collection
of information is needed to ensure that
mariners have completed training and
medical assessment necessary to receive
STCW certification or endorsement.
Collection of information is also needed
to demonstrate to the International

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Maritime Organization that the United
States has in place certain specific
regulations that implement the
international requirements and related
amendments to the STCW convention.
Proposed Use of Information: The
information collected will help to
ensure compliance with international
requirements and to maintain
acceptable quality in activities
associated with training and assessment
of merchant mariners.
Description of the Respondents: The
respondents will be merchant mariners
holding STCW endorsements who need
to update their medical records with the
NMC, and the vessel owner/operators
employing STCW endorsed mariners.
Number of Respondents: According to
Coast Guard NMC data, an estimated
60,000 merchant mariners hold STCW
endorsements. Of those mariners,
approximately 12,000 submit medical
examination forms each year. Since this
final rule requires medical exams every
2 years, approximately 18,000
additional mariners will need to
respond each year.
This final rule will also require
employers of STCW endorsed mariners
to submit documentary evidence of
security training or awareness.
Approximately 316 employers will need
to submit this one-time requirement for
23,413 mariners—12,020 mariners who
fall under 33 CFR 104.220 and 11,393
mariners who fall under 33 CFR
104.225.
Additionally, approximately 105
owner/operators and approximately
1,800 mariners holding STCW
endorsements issued by foreign
governments will need to respond.
Frequency of Response: For medical
examination requirements, mariners
will need to respond every two years.
We will assume half of the mariner
population would respond annually.
For security training or knowledge,
mariners will need to make a one-time
response that includes the proof of
meeting the requirement. Credentials for
mariners holding foreign-issue STCW
endorsements are valid for 5 years and
response will be once every 5 years.
Burden of Response: For medical
examinations, the mariner will take
approximately 20 minutes to complete
form CG–719K and another 5 minutes to
submit that form. Total response burden
will be approximately 25 minutes.
For personnel with security training,
we estimate it will take employers 15
minutes per mariner to provide
documentary evidence of security
training or awareness.
For mariners with STCW
endorsements issued by foreign
governments, filling out form CG–719B

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takes approximately 15 minutes to
complete.
Estimate of Total Annual Burden: For
medical examinations, existing OMBapproved total annual burden, as
adjusted in January 2013, is 17,927
hours. This rule will increase the annual
burden by 7,950 hours (7,500 hours for
medical exams plus 450 hours for
foreign-issued STCW endorsements).
Additionally, this final rule will impose
a one-time burden of 5,853 hours on
owner/operators to provide
documentary evidence of training.
This final rule will increase the
annual burden on 18,000 respondents
submitting medical examination forms
by approximately 25 minutes each. A
total of 7,500 additional hours is
requested for this rulemaking [18,000 ×
(25/60)]. For the approximately 1,800
mariners holding STCW endorsements
issued by foreign governments, this final
rule will increase the annual burden by
approximately 15 minutes each. The
total additional hours requested for this
rulemaking is 450 [1,800 × (15/60)]. For
other personnel with security training or
awareness, this one-time requirement
will impose a burden on 316
respondents of 15 minutes each, or
approximately 5,853 hours [23,413
mariners × (15/60)].
As required by the Paperwork
Reduction Act of 1995 (44 U.S.C.
3507(d)), we submitted a copy of this
final rule to the Office of Management
and Budget (OMB) for its review of the
collection of information.
You are not required to respond to a
collection of information unless it
displays a currently valid OMB control
number.
E. Federalism
A rule has implications for federalism
under Executive Order 13132,
Federalism, if it has a substantial direct
effect on the States, on the relationship
between the national government and
the States, or on the distribution of
power and responsibilities among the
various levels of government. We have
analyzed this final rule under that Order
and have determined that it does not
have implications for federalism.
It is well settled that States may not
regulate in categories reserved for
regulation by the Coast Guard. It is also
well settled that all of the categories
covered in 46 U.S.C. 3306, 3703, 7101,
and 8101 (design, construction,
alteration, repair, maintenance,
operation, equipping, personnel
qualification, and manning of vessels),
as well as the reporting of casualties and
any other category in which Congress
intended the Coast Guard to be the sole
source of a vessel’s obligations, are

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
within the field foreclosed from
regulation by the States. (See the
decision of the Supreme Court in the
consolidated cases of United States v.
Locke and Intertanko v. Locke, 529 U.S.
89, 120 S.Ct. 1135 (March 6, 2000).)
In United States v. Locke, the
Supreme Court referenced the STCW
Convention as evidence that such areas
are exclusively Federal, stating: ‘‘That
training is a field reserved to the Federal
Government is further confirmed by the
circumstance that the STCW
Convention addresses crew ‘training’
and ‘qualification’ requirements, and
that the United States has enacted crew
training regulations.’’ United States v.
Locke and Intertanko v. Locke, 529 U.S.
89, 120 S.Ct. 1135 (March 6, 2000). This
rule addresses the training and
credentialing of mariners and would
impact manning of vessels, areas
reserved for regulation by the Coast
Guard. Because the States may not
regulate within these categories, this
rule does not affect the relationship
between the national government and
the States, or the distribution of power
and responsibilities among the various
levels of government.
This rule would not extend Federal
jurisdiction into those areas of pilotage
that are reserved to the States in 46
U.S.C. 8501. Section 8501 provides for
State regulation of pilots in the bays,
rivers, harbors, and ports of the U.S.
unless the law specifies otherwise.
F. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act
of 1995 (2 U.S.C. 1531–1538) requires
Federal agencies to assess the effects of
their discretionary regulatory actions. In
particular, the Act addresses actions
that may result in the expenditure by a
State, local, or tribal government, in the
aggregate, or by the private sector of
$100,000,000 (adjusted for inflation) or
more in any one year. This final rule
will not result in such an expenditure;
however, we discuss the economic
effects of this final rule elsewhere in
this preamble.

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G. Taking of Private Property
This final rule will not cause a taking
of private property or otherwise have
taking implications under Executive
Order 12630, Governmental Actions and
Interference with Constitutionally
Protected Property Rights.
H. Civil Justice Reform
This final rule meets applicable
standards in sections 3(a) and 3(b)(2) of
Executive Order 12988, Civil Justice
Reform, to minimize litigation,
eliminate ambiguity, and reduce
burden.

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77881

I. Protection of Children

M. Environment

We have analyzed this final rule
under Executive Order 13045,
Protection of Children from
Environmental Health Risks and Safety
Risks. This rule is not an economically
significant rule and does not create an
environmental risk to health or risk to
safety that might disproportionately
affect children.

We have analyzed this final rule
under Department of Homeland
Security Management Directive 023–01
and Commandant Instruction
M16475.lD, which guide the Coast
Guard in complying with the National
Environmental Policy Act of 1969 (42
U.S.C. 4321 et seq.), and have
concluded that this action is one of a
category of actions that do not
individually or cumulatively have a
significant effect on the human
environment. This rule is categorically
excluded under section 2.B.2, figure 2–
1, paragraph (34) (a) and (c) of the
Instruction. This rule involves the
credentialing of mariners to meet IMO
standards. An environmental analysis
checklist and a categorical exclusion
determination are available in the
docket where indicated under
ADDRESSES.

J. Indian Tribal Governments
This final rule does not have tribal
implications under Executive Order
13175, Consultation and Coordination
with Indian Tribal Governments,
because it does not have a substantial
direct effect on one or more Indian
tribes, on the relationship between the
Federal Government and Indian tribes,
or on the distribution of power and
responsibilities between the Federal
Government and Indian tribes.

List of Subjects

K. Energy Effects
We have analyzed this final rule
under Executive Order 13211, Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use. We have
determined that it is not a ‘‘significant
energy action’’ under that order. Though
it is a ‘‘significant regulatory action’’
under Executive Order 12866, it is not
likely to have a significant adverse effect
on the supply, distribution, or use of
energy. The Administrator of the Office
of Information and Regulatory Affairs
has not designated it as a significant
energy action. Therefore, it does not
require a Statement of Energy Effects
under Executive Order 13211.

46 CFR Part 1
Administrative practice and
procedure, Organization and functions
(Government agencies), Reporting and
recordkeeping requirements.
46 CFR Part 10
Incorporation by reference, Penalties,
Reporting and recordkeeping
requirements, Schools, Seamen.
46 CFR Part 11
Incorporation by reference, Penalties,
Reporting and recordkeeping
requirements, Schools, Seamen,
Transportation Worker Identification
Card.

L. Technical Standards

46 CFR Part 12

The National Technology Transfer
and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use
voluntary consensus standards in their
regulatory activities unless the agency
provides Congress, through the Office of
Management and Budget, with an
explanation of why using these
standards would be inconsistent with
applicable law or otherwise impractical.
Voluntary consensus standards are
technical standards (e.g., specifications
of materials, performance, design, or
operation; test methods; sampling
procedures; and related management
systems practices) that are developed or
adopted by voluntary consensus
standards bodies.
This final rule does not use technical
standards. Therefore, we did not
consider the use of voluntary consensus
standards.

Incorporation by reference, Penalties,
Reporting and recordkeeping
requirements, Seamen.

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46 CFR Part 13
Incorporation by reference, Cargo
vessels, Reporting and recordkeeping
requirements, Seamen.
46 CFR Part 14
Oceanographic research vessels,
Reporting and recordkeeping
requirements, Seamen.
46 CFR Part 15
Incorporation by reference, Reporting
and recordkeeping requirements,
Seamen, Vessels.
For the reasons discussed in the
preamble, the Coast Guard amends 46
CFR parts 1, 10, 11, 12, 13, 14, and 15
as follows:

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

PART 1—ORGANIZATION, GENERAL
COURSE AND METHODS GOVERNING
MARINE SAFETY FUNCTIONS
1. The authority citation for part 1
continues to read as follows:

■

Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46
U.S.C. 7701; 46 U.S.C. Chapter 93; Pub. L.
107–296, 116 Stat. 2135; Department of
Homeland Security Delegation No. 0170.1;
§ 1.01–35 also issued under the authority of
44 U.S.C. 3507.
§ 1.01–10

[Amended]

2. In § 1.01–10(d)(1)(ii)(D), after the
words ‘‘under technical control of the’’,
remove the words ‘‘Director of
Inspections and Compliance (CG–5PC),’’
and add, in their place, the words
‘‘Director of Prevention Policy (CG–5P),
and subject to the policy and guidance
of the Office of Vessel Activities (CG–
CVC),’’.

■

§ 1.01–15

[Amended]

3. In § 1.01–15(d), after the words
‘‘same authority as an OCMI’’, add the
words ‘‘, subject to the policy and
guidance of the Office of Vessel
Activities (CG–CVC),’’.

■

§ 1.03–40

[Amended]

4. In § 1.03–40, after the words ‘‘make
a formal appeal of that decision or
action’’, remove the text ‘‘, via the
NMC,’’.

■

PART 10—MERCHANT MARINER
CREDENTIAL
5. Revise the authority citation for part
10 to read as follows:

■

Authority: 14 U.S.C. 633; 31 U.S.C. 9701;
46 U.S.C. 2101, 2103, 2110; 46 U.S.C. chapter
71; 46 U.S.C. chapter 73; 46 U.S.C. chapter
75; 46 U.S.C. 2104; 46 U.S.C. 7701, 8903,
8904, and 70105; Executive Order 10173;
Department of Homeland Security Delegation
No. 0170.1.

6. Amend § 10.101 as follows:
a. Revise the heading of § 10.101 to
read as set forth below;
■ b. In paragraph (b), remove the word
‘‘their’’ and add, in its place, the words
‘‘his or her’’; and
■ c. In paragraph (d), remove the words
‘‘holder of’’ and add, in their place, the
words ‘‘applicant for’’.
■
■

§ 10.101

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*

*

§ 10.103

Purpose.

*

*

*

[Amended]

7. Amend § 10.103 as follows:
a. In paragraph (b)(1), remove
‘‘STCW—’’ and the year ‘‘1995’’; after
the word ‘‘amended’’ add ‘‘, 2011’’; and
after the words ‘‘incorporation by
reference approved for §§ 10.107,

■
■

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10.109,’’ remove the section number
‘‘and10.231’’ and add, in its place, the
section numbers ‘‘10.201, and 10.410’’;
and
■ b. In paragraph (b)(2), after the word
‘‘amended’’ remove the year ‘‘1995’’ and
add, in its place, ‘‘, 2011’’; and after the
words ‘‘incorporation by reference
approved for §§ 10.107, 10.109,’’ remove
the section numbers ‘‘10.227, and
10.231’’ and add, in their place, the
section numbers ‘‘10.201, 10.404,
10.411, and 10.412’’.
■ 8. Revise § 10.107 to read as follows:
§ 10.107

Definitions in subchapter B.

(a) With respect to part 16 of this
subchapter only, if the definitions in
paragraph (b) of this section differ from
those set forth in § 16.105, the definition
set forth in § 16.105 applies.
(b) As used in this subchapter, the
following terms apply only to merchant
marine personnel credentialing and the
manning of vessels subject to the
manning provisions in the navigation
and shipping laws of the United States:
Able seafarer-deck means a rating
qualified in accordance with the
provisions of Regulation II/5 of the
STCW Convention.
Able seafarer-engine means a rating
qualified in accordance with the
provisions of Regulation III/5 of the
STCW Convention.
Apprentice mate (steersman) of
towing vessels means a credentialed
mariner in training to perform bridge
watchkeeping duties onboard a towing
vessel, who must be under the direct
supervision and in the continuous
presence of a master or mate (pilot) of
towing vessels.
Approved means approved by the
Coast Guard.
Approved training means training that
is approved by the Coast Guard or meets
the requirements of § 10.408 of this part.
Articulated tug barge or ATB means
any tug-barge combination which,
through the use of an articulated or
‘‘hinged’’ connection system between
the tug and barge, allows independent
movement in the critical area of fore and
aft pitch.
Assistance towing means towing a
disabled vessel for consideration.
Assistant engineer, for national
endorsements, means a qualified officer
in the engine department other than the
chief engineer.
Authorized official includes, but is
not limited to, a Federal, State or local
law enforcement officer.
Ballast control operator or BCO means
an officer restricted to service on mobile
offshore drilling units (MODUs) whose
duties involve the operation of the
complex ballast system found on many

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MODUs. When assigned to a MODU, a
ballast control operator is equivalent to
a mate on a conventional vessel.
Barge means a non-self propelled
vessel as defined in 46 U.S.C 102.
Barge supervisor or BS means an
officer restricted to service on MODUs
whose duties involve support to the
offshore installation manager (OIM) in
marine-related matters including, but
not limited to, maintaining watertight
integrity, inspecting and maintaining
mooring and towing components, and
maintaining emergency and other
marine-related equipment. A barge
supervisor, when assigned to a MODU,
is equivalent to a mate on a
conventional vessel.
Boatswain means the leading seaman
and immediate supervisor of deck crew
who supervises the maintenance of deck
gear.
Boundary line marks the dividing
point between internal and offshore
waters for the purposes of several U.S.
statutes and, with exceptions, generally
follows the trend of the seaward,
highwater shorelines. See 46 CFR part 7.
Cargo engineer means a person
holding an officer endorsement on a
dangerous-liquid tankship or a
liquefied-gas tankship whose primary
responsibility is maintaining the cargo
system and cargo-handling equipment.
Ceremonial license means a document
that reflects a mariner’s existing
national officer endorsement and is
suitable for framing, but is not valid for
use as a Merchant Mariner Credential
(MMC).
Chemical tanker means a tank vessel
that is certificated to carry or carries
chemicals in bulk as cargo or cargo
residue. For the purposes of qualifying
for an STCW endorsement for advanced
chemical tanker cargo operations, this
includes tank barges.
Chief engineer means the senior
engineer responsible for the mechanical
propulsion and the operation and
maintenance of the mechanical and
electrical installations of the vessel.
Chief mate means the deck officer
next in rank to the master and upon
whom the command of the vessel will
fall in the event of incapacity of the
master.
Coast Guard-accepted means—
(1) That the Coast Guard has officially
acknowledged in writing that the
material or process at issue meets the
applicable requirements;
(2) That the Coast Guard has issued an
official policy statement listing or
describing the material or process as
meeting the applicable requirements; or
(3) That an entity acting on behalf of
the Coast Guard under a Memorandum
of Agreement has determined that the

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
material or process meets the applicable
requirements.
Coast Guard-accepted QSS
organization means an entity that has
been approved by the Coast Guard to
accept and monitor training on behalf of
the Coast Guard.
Coastwise seagoing vessel means a
vessel that is authorized by its
Certificate of Inspection to proceed
beyond the Boundary Line established
in part 7 of this chapter.
Coastwise voyage is a domestic
voyage and means a voyage in which a
vessel proceeds—
(1) From one port or place in the
United States to another port or place in
the United States;
(2) From a port or place in a United
States possession to another port or
place in the same possession, and
passes outside the line dividing inland
waters from the high seas; or
(3) From a port or place in the United
States or its possessions and passes
outside the line dividing inland waters
from the high seas and navigates on the
high seas, and then returns to the same
port or place.
Communicable disease means any
disease capable of being transmitted
from one person to another directly, by
contact with excreta or other discharges
from the body; or indirectly, via
substances or inanimate objects
contaminated with excreta or other
discharges from an infected person.
Pursuant to 42 U.S.C. 12113, the
Department of Health and Human
Services periodically publishes in the
Federal Register a list of infectious and
communicable diseases that are
transmissible through the food supply,
and that list provides examples of
communicable diseases for purposes of
§ 10.304 of this title.
Conviction means that the applicant
for a merchant mariner credential has
been found guilty, by judgment or plea
by a court of record of the United States,
the District of Columbia, any State,
territory, or possession of the United
States, a foreign country, or any military
court, of a criminal felony or
misdemeanor or of an offense described
in section 205 of the National Driver
Register Act of 1982, as amended (49
U.S.C. 30304). If an applicant pleads
guilty or no contest, is granted deferred
adjudication, or is required by the court
to attend classes, make contributions of
time or money, receive treatment,
submit to any manner of probation or
supervision, or forgo appeal of a trial
court’s conviction, then the Coast Guard
will consider the applicant to have
received a conviction. A later
expungement of the conviction will not
negate a conviction unless the Coast

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Guard is satisfied that the expungement
is based upon a showing that the court’s
earlier conviction was in error.
Credential means any or all of the
following:
(1) Merchant mariner’s document.
(2) License.
(3) STCW endorsement.
(4) Certificate of registry.
(5) Merchant Mariner Credential.
Criminal record review means the
process or action taken by the Coast
Guard to determine whether an
applicant for, or holder of, a credential
is a safe and suitable person to be issued
such a credential or to be employed on
a vessel under the authority of such a
credential.
Dangerous drug means a narcotic
drug, a controlled substance, or a
controlled-substance analogue (as
defined in section 102 of the
Comprehensive Drug Abuse and Control
Act of 1970 (21 U.S.C. 802)).
Dangerous liquid or DL means a
liquid listed in 46 CFR 153.40 of this
chapter that is not a liquefied gas as
defined in this part. Liquid cargoes in
bulk listed in 46 CFR part 153, Table 2,
of this chapter are not dangerous-liquid
cargoes when carried by non-oceangoing
barges.
Day means, for the purpose of
complying with the service
requirements of this subchapter, 8 hours
of watchstanding or day-working not to
include overtime. On vessels authorized
by 46 U.S.C. 8104 and 46 CFR 15.705,
to operate a two-watch system, a 12hour working day may be creditable as
1 1/2 days of service. On vessels of less
than 100 GRT, a day is considered as 8
hours unless the Coast Guard
determines that the vessel’s operating
schedule makes this criteria
inappropriate; in no case will this
period be less than 4 hours. When
computing service on MODUs for any
endorsement, a day of MODU service
must be a minimum of 4 hours, and no
additional credit is received for periods
served over 8 hours. For cadet service
on a training ship furnished by the
Maritime Administration under 46 CFR
310.4, a day may be creditable as 11⁄2
days of service.
Deck crew (excluding individuals
serving under their officer endorsement)
means, as used in 46 U.S.C. 8702, only
the following members of the deck
department: able seamen, boatswains,
and ordinary seamen.
Deck department means the
department aboard a ship responsible
for navigation, cargo, command, and
control functions.
Designated areas means those areas
within pilotage waters for which firstclass pilot’s endorsements are issued

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77883

under part 11, subpart G, of this chapter,
by the Officer in Charge, Marine
Inspection (OCMI). The areas for which
first-class pilot’s endorsements are
issued within a particular Marine
Inspection Zone and the specific
requirements to obtain them may be
obtained from the OCMI concerned.
Designated duty engineer or DDE
means a qualified engineer, who may be
the sole engineer on vessels with a
periodically unmanned engine room.
Designated examiner or DE means a
person who has been trained or
instructed in techniques of training or
assessment on towing vessels and is
otherwise qualified to evaluate whether
an applicant has achieved the level of
proficiency required to hold a towing
vessel endorsement on a merchant
mariner credential (MMC). This person
must be approved by the Coast Guard.
Designated medical examiner means a
licensed physician, licensed physician’s
assistant, or licensed nurse practitioner
who has been trained and approved to
conduct medical and physical
examinations of merchant mariners on
behalf of the U.S. Coast Guard and may
be delegated limited authority to grant
waivers and approve physical/medical
suitability for service.
Directly supervised/direct supervision
(only when referring to issues related to
tankermen) means being in the direct
line of sight of the person-in-charge or
maintaining direct, two-way
communications by a convenient,
reliable means, such as a predetermined
working frequency over a handheld
radio.
Disabled vessel means a vessel that
needs assistance, whether docked,
moored, anchored, aground, adrift, or
underway. This does not mean a barge
or any other vessel not regularly
operated under its own power.
Document of Continuity means a
document issued by the Coast Guard to
seafarers who are unwilling or
otherwise unable to meet the
requirements of § 10.227, for the sole
purpose of maintaining an individual’s
eligibility for renewal of an
endorsement.
Domestic voyage means a voyage from
one United States port to another United
States port, without entering waters
under the jurisdiction of another
country unless the United States has
entered into a treaty or an agreement
with that country respecting mutual
recognition of national mariner
qualifications. This includes a voyage to
nowhere that returns to the originating
port.
Drug test means a chemical test of an
individual’s urine for evidence of
dangerous drug use.

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Dual-mode integrated tug barge
means an integrated tug barge (ITB)
involving an articulated (flexible)
coupling system where the towing unit
rolls and heaves (articulates) about a
horizontal pivot point. Dual mode units
resemble a conventional tug and are
capable of towing in other
configurations (astern or alongside).
Electro-technical officer means an
officer qualified in accordance with the
provisions of Regulation III/6 of the
STCW Convention.
Electro-technical rating means a
rating qualified in accordance with the
provisions of Regulation III/7 of the
STCW Convention.
Employment assigned to means the
total period of time a person is assigned
to work on MODUs, including time
spent ashore as part of normal crew
rotation.
Endorsement is a statement of a
mariner’s qualifications and, for the
purposes of this chapter, includes only
those endorsements listed in § 10.109 of
this part.
Engine department means the
department aboard a ship responsible
for the main propulsion and auxiliary
systems, and other mechanical,
electrical, hydraulic, and refrigeration
systems, including deck machinery and
cargo-handling equipment.
Entry-level mariner means a mariner
holding no rating other than ordinary
seaman, wiper, steward’s department, or
steward’s department food handler
(F.H.).
Evaluation means processing an
application, from the point of receipt to
approval or denial of the application,
including review of all documents and
records submitted with an application
as well as those obtained from public
records and databases.
Fails a chemical test for dangerous
drugs means that the result of a
chemical test conducted under 49 CFR
part 40 was reported as ‘‘positive’’ by a
Medical Review Officer because the
chemical test indicated the presence of
a dangerous drug at a level equal to or
exceeding the levels established in 49
CFR part 40.
First assistant engineer means the
engineer officer next in rank to the chief
engineer and upon whom the
responsibility for the mechanical
propulsion and the operation and
maintenance of the mechanical and
electrical installations of the vessel will
fall in the event of the incapacity of the
chief engineer.
Great Lakes, for the purpose of
calculating service requirements for an
endorsement, means the Great Lakes
and their connecting and tributary
waters, including the Calumet River as

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far as the Thomas J. O’Brien Lock and
Controlling Works (between miles 326
and 327), the Chicago River as far as the
east side of the Ashland Avenue Bridge
(between miles 321 and 322), and the
Saint Lawrence River as far east as the
lower exit of Saint Lambert Lock. For
purposes of requiring MMCs with rating
endorsements, the connecting and
tributary waters are not part of the Great
Lakes.
Gross register tons or GRT means the
gross ton measurement of the vessel
under 46 U.S.C. chapter 145, Regulatory
Measurement.
Gross tonnage or GT means the gross
tonnage measurement of the vessel
under 46 U.S.C. chapter 143,
Convention Measurement.
Harbor assist means the use of a
towing vessel during maneuvers to
dock, undock, moor, or unmoor a vessel,
or to escort a vessel with limited
maneuverability.
High-speed craft type rating (HSC)
means an endorsement for specific duty
on a particular type and model of highspeed craft (compliant with the highspeed craft code).
Horsepower or HP means, for the
purpose of this subchapter, the total
maximum continuous shaft horsepower
of the entire vessel’s main propulsion
machinery as determined by the
manufacturer. This term is used when
describing a vessel’s propulsion power
and also when placing limitations on an
engineer officer license or endorsement.
One horsepower equals 0.75 kW.
ILO means the International Labour
Organization.
IMO means the International Maritime
Organization.
Increase in scope means additional
authority added to an existing
credential, such as adding a new route
or increasing the authorized horsepower
or tonnage.
Inland waters means the navigable
waters of the United States shoreward of
the Boundary Lines as described in part
7 of this chapter, excluding the Great
Lakes, and, for towing vessels,
excluding the Western Rivers.
Integrated tug barge or ITB means any
tug barge combination which, through
the use of special design features or a
specially designed connection system,
has increased seakeeping capabilities
relative to a tug and barge in the
conventional pushing mode. An ITB can
be divided into either a dual-mode ITB
or a push-mode ITB. The definitions for
those categories can be found elsewhere
in this section.
Invalid credential means an MMC,
MMD, license, STCW endorsement, or
Certificate of Registry that has been
suspended or revoked, has expired, has

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been tampered with, has not been
signed, or has been superseded in
accordance with § 10.205 of this part.
ISM means the International Safety
Management Code.
Kilowatt or kW means 11⁄3
horsepower. This term is used when
describing a vessel’s propulsion power
and also when placing limitations on an
engineer officer license or endorsement.
Large passenger vessel, for the
purposes of subpart H of part 12, and
part 15, means a vessel of more than
70,000 gross tons, as measured under 46
U.S.C. 14302 and documented under the
laws of the United States, with capacity
for at least 2,000 passengers and a
coastwise endorsement under 46 U.S.C.
chapter 121.
Lifeboatman means a mariner who is
qualified to take charge of, lower, and
operate survival craft and related
survival equipment on a vessel.
Lifeboatman-Limited means a mariner
who is qualified to take charge of, lower,
and operate liferafts, rescue boats, and
other survival equipment on vessels
where lifeboats are not installed.
Liquefied gas or LG means a cargo that
has a vapor pressure of 172 kPa (25 psia)
or more at 37.8°C (100 °F).
Liquefied gas tanker means a tank
vessel that is certificated to carry or
carries liquefied gases in bulk as cargo
or cargo residue. For the purposes of
qualifying for an STCW endorsement for
advanced liquefied gas tanker cargo
operations, this includes tank barges.
Liquid cargo in bulk means a liquid or
liquefied gas listed in § 153.40 of this
chapter and carried as a liquid cargo or
liquid-cargo residue in integral, fixed, or
portable tanks, except a liquid cargo
carried in a portable tank actually
loaded and discharged from a vessel
with the contents intact.
Management level means the level of
responsibility associated with—
(1) Serving as master, chief mate,
chief engineer officer or second engineer
officer onboard a seagoing ship; and
(2) Ensuring that all functions within
the designated area of responsibility are
properly performed.
Marine chemist means a person
certificated by the National Fire
Protection Association as a marine
chemist.
Master means the officer having
command of a vessel.
Mate means a qualified officer in the
deck department other than the master.
Medical Certificate means a certificate
issued by the Coast Guard under 46 CFR
part 10, subpart C that serves as proof
that the seafarer meets the medical and
physical standards for merchant
mariners.
Merchant Mariner Credential or MMC
means a credential issued by the Coast

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Guard under 46 CFR part 10. It
combines the individual merchant
mariner’s document, license, and
certificate of registry enumerated in 46
U.S.C. subtitle II part E as well as the
STCW endorsement into a single
credential that serves as the mariner’s
qualification document, certificate of
identification, and certificate of service.
MMC application means the
application for the MMC, as well as the
application for any endorsement on an
MMC.
Mobile offshore drilling unit or MODU
means a vessel capable of engaging in
drilling operations for the exploration
for or exploitation of subsea resources.
MODU designs include the following:
(1) Bottom bearing units, which
include—
(i) Self-elevating (or jack-up) units
with moveable, bottom bearing legs
capable of raising the hull above the
surface of the sea; and
(ii) Submersible units of ship-shape,
barge-type, or novel hull design, other
than a self-elevating unit, intended for
operating while bottom bearing.
(2) Surface units with a ship-shape or
barge-type displacement hull of single
or multiple hull construction intended
for operating in a floating condition,
including semi-submersibles and drill
ships.
Month means 30 days, for the purpose
of complying with the service
requirements of this subchapter.
National Driver Register or NDR
means the nationwide repository of
information on drivers maintained by
the National Highway Traffic Safety
Administration under 49 U.S.C. chapter
303.
National officer endorsement means
an annotation on an MMC that allows a
mariner to serve in the capacities listed
in § 10.109(a) of this part. The officer
endorsement serves as the license and/
or certificate of registry pursuant to 46
U.S.C. subtitle II part E.
National rating endorsement means
an annotation on an MMC that allows a
mariner to serve in those capacities set
out in § 10.109(b) and (c) of this part.
The rating endorsement serves as the
merchant mariner’s document pursuant
to 46 U.S.C. subtitle II part E.
NDR-listed convictions means a
conviction of any of the following motor
vehicle-related offenses or comparable
offenses:
(1) Operating a motor vehicle while
under the influence of, or impaired by,
alcohol or a controlled substance; or
(2) A traffic violation arising in
connection with a fatal traffic accident,
reckless driving, or racing on the
highways.

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Near-coastal means ocean waters not
more than 200 miles offshore from the
U.S. and its possessions, except for
MMCs endorsed as Operator of
Uninspected Passenger Vessel for which
near-coastal is limited to waters not
more than 100 miles offshore from the
U.S. and its possessions. This would
also include those near-coastal waters
identified by another Administration
when the U.S. has entered into a treaty
or an agreement with that country
respecting the recognition of the U.S.
near-coastal endorsement.
Non-resident alien, for the purposes
of subchapter H of part 12, and part 15,
means an individual who is not a
citizen or alien lawfully admitted to the
United States for permanent residence,
but who is employable in the United
States under the Immigration and
Nationality Act (8 U.S.C. 1101 et seq.),
including an alien crewman described
in section 101(a)(15)(D)(i) of that Act
who meets the requirements of 46
U.S.C. 8103(k)(3)(A).
Oceans means the waters seaward of
the Boundary Lines as described in 46
CFR part 7. For the purposes of
establishing sea service credit, the
waters of the Inside Passage between
Puget Sound and Cape Spencer, Alaska,
and the inland waters of another
country are not considered oceans.
Officer endorsement means an
annotation on an MMC that allows a
mariner to serve in the capacities listed
in § 10.109 of this part.
Officer in Charge, Marine Inspection,
or OCMI means, for the purposes of this
subchapter, the commanding officer of
the National Maritime Center, or any
person designated as such by the
Commandant, in accordance with 46
CFR 1.01–5(b).
Officer in charge of an engineering
watch in a manned engine room or
designated duty engineer in a
periodically unmanned engine room
(OICEW) means an engineering officer
qualified at the operational level.
Officer in charge of a navigational
watch (OICNW) means a deck officer
qualified at the operational level.
Offshore installation manager or OIM
means an officer restricted to service on
MODUs. An assigned offshore
installation manager is equivalent to a
master on a conventional vessel and is
the person designated by the owner or
operator to be in complete and ultimate
command of the unit.
Oil tanker means a tank vessel that is
certificated to carry or carries oil in bulk
as cargo or cargo residue. For the
purposes of qualifying for an STCW
endorsement for advanced oil tanker
cargo operations, this includes tank
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On location means that a mobile
offshore drilling unit is bottom bearing
or moored with anchors placed in the
drilling configuration.
Operate, operating, or operation (as
applied to the manning requirements of
vessels carrying passengers) refers to a
vessel any time passengers are
embarked whether the vessel is
underway, at anchor, made fast to shore,
or aground.
Operational level means the level of
responsibility associated with—
(1) Serving as officer in charge of a
navigational or engineering watch, or as
designated duty engineer for
periodically unmanned machinery
spaces, or as radio operator onboard a
seagoing ship; and
(2) Maintaining direct control over the
performance of all functions within the
designated area of responsibility in
accordance with proper procedures and
under the direction of an individual
serving in the management level for that
area of responsibility.
Orally assisted examination means an
examination as described in 46 CFR,
part 11, subpart I of this subchapter
administered orally and documented by
a Coast Guard examiner.
Overriding operational condition
means circumstances in which essential
shipboard work cannot be delayed due
to safety or environmental reasons, or
could not have reasonably been
anticipated at the commencement of the
voyage.
Participation, when used with regard
to the service on transfers required for
tankerman by §§ 13.120, 13.203, or
13.303 of this chapter, means either
actual participation in the transfers or
close observation of how the transfers
are conducted and supervised.
Passes a chemical test for dangerous
drugs means that the result of a
chemical test conducted according to 49
CFR part 40 is reported as ‘‘negative’’ by
a Medical Review Officer according to
that part.
Periodically unattended engine room
means a space containing main
propulsion and associated machinery
and all sources of main electrical supply
which is not at all times manned under
all operating conditions, including
maneuvering.
PIC means a person in charge.
Pilot of towing vessels means a
qualified officer of a towing vessel
operated only on inland routes.
Pilotage waters means the navigable
waters of the United States, including
all inland waters and offshore waters to
a distance of 3 nautical miles from the
baseline from which the Territorial Sea
is measured.

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Practical demonstration means the
performance of an activity under the
direct observation of a designated
examiner or qualified assessor for the
purpose of establishing that the
performer is sufficiently proficient in a
practical skill to meet a specified
standard of competence or other
objective criterion.
Propulsion power means the total
maximum continuous-rated output
power of the main propulsion
machinery of a vessel determined by the
manufacturer, in either kilowatts or
horsepower, which appears on the
ship’s Certificate of Registry or other
official document and excludes
thrusters and other auxiliary machinery.
Public vessel means a vessel that—
(1) Is owned, or demise chartered, and
operated by the United States
Government or a government of a
foreign country; and
(2) Is not engaged in commercial
service.
Push-mode ITBs means those ITBs
that involve a rigid coupling system
and, when not coupled to the barge, are
incapable of conducting towing in any
other configuration (such as astern or
alongside) because, by themselves, they
have very limited seakeeping capability.
The propelling unit moves as one with
the barge unit.
Qualified Assessor or QA means a
person who is qualified to evaluate, for
STCW endorsements, whether an
applicant has demonstrated the
necessary level of competence in the
task for which the assessment is being
made. This person must be individually
approved by the Coast Guard.
Qualified instructor means a person
who has been trained in instructional
techniques and is otherwise qualified to
provide required training to candidates
for an MMC endorsement. A faculty
member employed at a State maritime
academy or the U.S. Merchant Marine
Academy operated under 46 CFR part
310 and instructing a course on
merchant marine officer or rating
knowledge, understanding, or
proficiency requirements is qualified to
serve as a qualified instructor in his or
her area of specialization without
individual evaluation by the Coast
Guard.
Qualified rating means various
categories of able seaman, qualified
member of the engine department, or
tankerman endorsements issued on
MMCs.
Quality Standard System or QSS
means a set of policies, procedures,
processes, and data required to establish
and fulfill the organization’s objectives.
Raise of grade means an increase in
the level of authority and responsibility

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associated with an officer or rating
endorsement, such as from mate to
master or second assistant engineer to
first assistant engineer.
Rating endorsement is an annotation
on an MMC that allows a mariner to
serve in those capacities set out in
§ 10.109 of this part.
Regional examination center or REC
means a field office of the National
Maritime Center that receives and
screens credential applications,
conducts approved course oversight,
and administers Coast Guard
examinations as required by this
subchapter.
Rest means a period of time during
which the person concerned is off duty,
is not performing work (which includes
administrative tasks such as chart
correction or preparation of port-entry
documents), and is allowed to sleep
without interruption.
Restricted tankerman endorsement
means a valid tankerman endorsement
on a merchant mariner credential
restricting its holder as the Coast Guard
deems appropriate. For instance, the
endorsement may restrict the holder to
one or a combination of the following:
A specific cargo or cargoes; a specific
vessel or vessels; a specific facility or
facilities; a specific employer or
employers; a specific activity or
activities (such as loading or unloading
in a cargo transfer); or a particular area
of water.
Rivers means a river, canal, or other
similar body of water designated as such
by the Coast Guard.
Safe and suitable person means a
person whose prior record, including
but not limited to criminal record and/
or NDR record, provides no information
indicating that his or her character and
habits of life would support the belief
that permitting such a person to serve
under the MMC and/or endorsement
sought would clearly be a threat to the
safety and security of life or property,
detrimental to good discipline, or
adverse to the interests of the United
States. See 46 CFR 10.211 and 10.213
for the regulations associated with this
definition.
Seagoing service means service
onboard a ship/vessel relevant to the
issue of a credential or other
qualification.
Seagoing vessel means a ship that
operates beyond the boundary line
specified in 46 CFR part 7.
Second engineer officer means an
engineer officer next in rank to the chief
engineer officer and upon whom the
responsibility for the mechanical
propulsion and the operation and
maintenance of the mechanical and
electrical installations of the ship will

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fall in the event of the incapacity of the
chief engineer officer.
Self propelled has the same meaning
as the terms ‘‘propelled by machinery’’
and ‘‘mechanically propelled.’’ This
term includes vessels fitted with both
sails and mechanical propulsion.
Senior company official means the
president, vice president, vice president
for personnel, personnel director, or
similarly titled or responsible
individual, or another employee
designated in writing by one of these
individuals for the purpose of certifying
employment.
Service (as used when computing the
required service for endorsements)
means the time period, in days, a person
is assigned to work. On MODUs, this
excludes time spent ashore as part of
crew rotation.
Ship means a vessel using any mode
of propulsion, including sail and
auxiliary sail.
Simulated transfer means a transfer
practiced in a course meeting the
requirements of § 13.121 of this
subchapter that uses simulation to meet
part of the service on transfers required
for tankerman by §§ 13.203 or 13.303 of
this subchapter.
Staff officer means a person who
holds an MMC with an officer
endorsement listed in § 10.109(a)(36)
through (a)(43) of this part.
Standard of competence means the
level of proficiency to be achieved for
the proper performance of duties
onboard vessels according to national
and international criteria.
Steward’s department means the
department that includes entertainment
personnel and all service personnel,
including wait staff, housekeeping staff,
and galley workers, as defined in the
vessel security plan approved by the
Secretary under 46 U.S.C. 70103(c).
These personnel may also be referred to
as members of the hotel department on
a large passenger vessel.
STCW means the International
Convention on Standards of Training,
Certification and Watchkeeping for
Seafarers, 1978, as amended
(incorporated by reference, see § 10.103
of this subpart).
STCW Code means the Seafarers’
Training, Certification and
Watchkeeping Code (incorporated by
reference, see § 10.103 of this subpart).
STCW endorsement means an
annotation on an MMC that allows a
mariner to serve in those capacities
under § 10.109(d) of this subpart. The
STCW endorsement serves as evidence
that a mariner has met the requirements
of the STCW Convention.
Support level means the level of
responsibility associated with

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performing assigned tasks, duties, or
responsibilities onboard a seagoing ship
under the direction of an individual
serving in the operational or
management level.
Tank barge means a non-selfpropelled tank vessel.
Tank vessel means a vessel that is
constructed or adapted to carry, or that
carries, oil or hazardous material in bulk
as cargo or cargo residue, and that—
(1) Is a vessel of the United States;
(2) Operates on the navigable waters
of the United States; or
(3) Transfers oil or hazardous material
in a port or place subject to the
jurisdiction of the United States.
Tankerman assistant means a person
holding a valid ‘‘Tankerman-Assistant’’
endorsement on his or her MMC. See 46
CFR, part 13, subpart D.
Tankerman engineer means a person
holding a valid ‘‘Tankerman-Engineer’’
endorsement on his or her MMC. See 46
CFR part 13, subpart E.
Tankerman PIC means a person
holding a valid ‘‘Tankerman-PIC’’
endorsement on his or her MMC. See 46
CFR part 13, subpart B.
Tankerman PIC (Barge) means a
person holding a valid ‘‘Tankerman-PIC
(Barge)’’ endorsement on his or her
MMC. See 46 CFR part 13, subpart C.
Tankship means any self-propelled
tank vessel constructed or adapted
primarily to carry oil or hazardous
material in bulk as cargo or as cargo
residue.
Training program means a
combination of training, practical
assessment, and service which provides
an individual with all or part of the
necessary knowledge, understanding,
and proficiency required for a specific
qualification.
Transfer means any movement of fuel,
dangerous liquid, or liquefied gas as
cargo in bulk or as cargo residue to or
from a vessel by means of pumping,
gravitation, or displacement.
Transportation Worker Identification
Credential or TWIC means an
identification credential issued by the
Transportation Security Administration
under 49 CFR part 1572.
Underway means that a vessel is not
at anchor, made fast to the shore, or
aground. When referring to a mobile
offshore drilling unit (MODU),
underway means that the MODU is not
in an on-location or laid-up status and
includes that period of time when the
MODU is deploying or recovering its
mooring system.
Undocumented vessel means a vessel
not required to have a certificate of
documentation issued under the laws of
the United States.

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Unlimited means an annotation on an
MMC authorizing service on vessels of
any tonnage or any propulsion power.
Vessel personnel with designated
security duties means a person,
excluding the designated security officer
(e.g., Company Security Officer (CSO),
as defined in 33 CFR chapter I,
subchapter H, and Vessel Security
Officer (VSO)), having specific security
duties and responsibilities in
accordance with the ship security plan.
Vessel Security Officer (VSO) means a
person onboard the vessel accountable
to the Master and designated by the
Company as responsible for security of
the vessel, including implementation
and maintenance of the Vessel’s
Security Plan, and for liaison with the
Facility Security Officer and the vessel’s
Company Security Officer.
Western Rivers means—
(1) The Mississippi River;
(2) The Mississippi River’s tributaries,
South Pass, and Southwest Pass, to the
navigational demarcation lines dividing
the high seas from harbors, rivers, and
other inland waters of the United States;
(3) The Port Allen-Morgan City
Alternate Route;
(4) That part of the Atchafalaya River
above its junction with the Port AllenMorgan City Alternate Route including
the Old River and the Red River; and
(5) Those waters specified in 33 CFR
89.25.
Year means 360 days for the purpose
of complying with the service
requirements of this subchapter.
■

9. Revise § 10.109 to read as follows:

§ 10.109

Classification of endorsements.

(a) National officer endorsements. The
following national officer endorsements
are established in part 11 of this
subchapter. The endorsements indicate
that an individual holding a valid MMC
with this endorsement is qualified to
serve in that capacity and the
endorsement has been issued under the
requirements contained in part 11 of
this subchapter:
(1) Master.
(2) Chief mate.
(3) Second mate.
(4) Third mate.
(5) Mate.
(6) Master of towing vessels.
(7) Master of towing vessels, limited.
(8) Mate (pilot) of towing vessels.
(9) Apprentice mate (Steersman).
(10) Apprentice mate (Steersman),
limited.
(11) Assistance towing.
(12) Offshore installation manager
(OIM).
(13) Barge supervisor (BS).
(14) Ballast control operator (BCO).

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(15) Operator of uninspected
passenger vessels (OUPV).
(16) Master of uninspected fishing
industry vessels.
(17) Mate of uninspected fishing
industry vessels.
(18) Master (OSV).
(19) Chief mate (OSV).
(20) Mate (OSV).
(21) Chief engineer.
(22) Chief engineer (limited).
(23) First assistant engineer.
(24) Second assistant engineer.
(25) Third assistant engineer.
(26) Assistant engineer (limited).
(27) Designated duty engineer (DDE).
(28) Chief engineer (OSV).
(29) Assistant engineer (OSV).
(30) Chief engineer MODU.
(31) Assistant engineer MODU.
(32) Chief engineer uninspected
fishing industry vessels.
(33) Assistant engineer uninspected
fishing industry vessels.
(34) Radio officer.
(35) First-class pilot.
(36) Chief purser.
(37) Purser.
(38) Senior assistant purser.
(39) Junior assistant purser.
(40) Medical doctor.
(41) Professional nurse.
(42) Marine physician assistant.
(43) Hospital corpsman.
(44) High-speed craft type rating.
(45) Radar observer.
(b) National rating endorsements. The
following national rating endorsements
are established in part 12 of this
subchapter. The endorsements indicate
that an individual holding a valid MMC
with this endorsement is qualified to
serve in that capacity and the
endorsement has been issued under the
requirements contained in part 12 of
this subchapter:
(1) Able seaman:
(i) Unlimited;
(ii) Limited;
(iii) Special;
(iv) Special (OSV);
(v) Sail; and
(vi) Fishing industry.
(2) Ordinary seaman.
(3) Qualified member of the engine
department (QMED), including the
following specialty endorsements:
(i) Oiler;
(ii) Fireman/Watertender;
(iii) Junior engineer;
(iv) Pumpman/Machinist; and
(v) Electrician/Refrigerating engineer.
(4) Lifeboatman.
(5) Lifeboatman-Limited.
(6) Wiper.
(7) Steward’s department.
(8) Steward’s department (F.H.).
(9) Cadet (deck or engine).
(10) Student observer.

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(11) Apprentice engineer.
(12) Apprentice mate.
(c) The following ratings are
established in part 13 of this subchapter.
The national endorsements indicate that
an individual holding a valid MMC with
this endorsement is qualified to serve in
that capacity and the endorsement has
been issued under the requirements
contained in part 13 of this subchapter:
(1) Tankerman-PIC.
(2) Tankerman-PIC (Barge).
(3) Restricted Tankerman-PIC.
(4) Restricted Tankerman-PIC (Barge).
(5) Tankerman assistant.
(6) Tankerman engineer.
(d) STCW endorsements. The
following STCW endorsements are
issued according to the STCW
Convention, the STCW Code, and parts
11, 12, and 13 of this subchapter. The
endorsements indicate that an
individual holding a valid MMC with
this endorsement is qualified to serve in
that capacity and the endorsement has
been issued under the requirements
contained in parts 11, 12 or 13 of this
subchapter as well as the STCW
Convention and STCW Code
(incorporated by reference, see § 10.103
of this subpart):
(1) Master.
(2) Chief mate.
(3) Officer in charge of a navigational
watch (OICNW).
(4) Chief engineer officer.
(5) Second engineer officer.
(6) Officer in charge of an engineering
watch in a manned engineroom or
designated duty engineer in a
periodically unmanned engineroom
(OICEW).
(7) Electro-technical officer (ETO).
(8) Rating forming part of a
navigational watch (RFPNW).
(9) Able seafarer-deck.
(10) Rating forming part of an
engineering watch in a manned
engineroom or designated to perform
duties in a periodically unmanned
engineroom (RFPEW).
(11) Able seafarer-engine.
(12) Electro-technical rating.
(13) Basic training (BT).
(14) Advanced firefighting.
(15) Proficiency in survival craft and
rescue boats other than fast rescue boats
(PSC).
(16) Proficiency in survival craft and
rescue boats other than fast rescue
boats—limited (PSC—limited).
(17) Proficiency in fast rescue boats.
(18) Person in charge of medical care.
(19) Medical first-aid provider.
(20) GMDSS at-sea maintainer.
(21) GMDSS operator.
(22) Advanced oil tanker cargo
operation.
(23) Advanced chemical tanker cargo
operation.

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(24) Advanced liquefied gas tanker
cargo operation.
(25) Basic oil and chemical tanker
cargo operation.
(26) Basic liquefied gas tanker cargo
operation.
(27) Vessel Security Officer.
(28) Vessel personnel with designated
security duties.
(29) Security awareness.
(30) High-speed craft (HSC) type
rating certificate.
§ 10.201

[Amended]

10. Amend § 10.201 as follows:
a. In paragraph (a), remove the words
‘‘incorporated by reference in § 10.103’’
and add, in their place, the words
‘‘(incorporated by reference, see
§ 10.103 of this part)’’; and
■ b. In paragraph (c), remove the words
‘‘National Maritime Center or at any
Regional Examination Center during
usual business hours, or through the
mail’’ and add, in their place, the words
‘‘Coast Guard’’.
■
■

acceptance at which time the currently
active credential will become invalid in
accordance with paragraph (d) of this
section. Otherwise, the new credential
issue validity date will coincide with
the expiration date of the active
credential held by the mariner. All other
MMC transactions will be processed for
immediate issuance.
*
*
*
*
*
(h) When a Document of Continuity is
replaced with an MMC re-issued in
accordance with § 10.227 of this part,
the Document of Continuity that has
been replaced becomes invalid. In the
event that not all endorsements on a
Document of Continuity are activated, a
new Document of Continuity will be
issued for the remaining endorsements.
§ 10.207

§ 10.209
§ 10.205

[Amended]

11. Amend § 10.205 as follows:
a. Revise paragraph (a) to read as set
forth below;
■ b. In paragraph (b), after the words
‘‘All endorsements’’, add the words ‘‘,
unless otherwise noted,’’;
■ c. In paragraph (c), remove the word
‘‘one’’ and add, in its place, the numeral
‘‘1’’ and remove the text ‘‘§ 10.227(f)’’
and add, in its place, the text
‘‘§ 10.227(h)’’;
■ d. In paragraph (d), after the words ‘‘in
accordance with § 10.227’’, add the
words ‘‘of this part’’; and after the words
‘‘becomes invalid’’, add the words
‘‘unless otherwise noted in paragraph
(a) of this section’’.
■ e. Remove paragraph (f), and
redesignate paragraphs (g) and (h) as
paragraphs (f) and (g), respectively; and
■ f. Add new paragraph (h) to read as
follows:
■
■

§ 10.205 Validity of a merchant mariner
credential.

(a) An MMC is valid for a term of 5
years from the date of issuance. Except
upon the written request for the
immediate issuance by the applicant,
the Coast Guard will post-date the
issuance of an MMC renewal that
includes no other transactions up to 8
months from the date that the Coast
Guard accepts a complete application as
required in this part. If the expiration
date of the mariner’s active credential is
beyond 8 months of the date that the
Coast Guard accepts a complete
application as required in this part, the
new credential issue date will be 8
months from the date of application

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[Amended]

12. In § 10.207, after the words ‘‘a
unique serial number,’’, add the words
‘‘called the mariner reference number,’’.
■ 13. Revise § 10.209 to read as follows:
■

General application procedures.

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

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identification, MMD, MMC, license,
STCW endorsement, Certificate of
Registry (COR), or, if it has not expired,
a photocopy of the credential, including
the back and all attachments;
(3) Proof, documented on CG–719K or
CG–719K/E, as appropriate, that the
applicant passed the applicable vision,
hearing, medical, or physical exam as
required by subpart C of this part, or an
unexpired medical certificate issued by
the Coast Guard;
(4) Copies of course completion
certificates or other evidence of course
completion;
(5) Evidence of sea service, or an
accepted substitute for sea service, if
required;
(6) For an endorsement as a medical
doctor or professional nurse as required
in § 11.807 of this subchapter, evidence
that the applicant holds a currently
valid, appropriate license as physician,
surgeon, or registered nurse, issued
under the authority of a state or territory
of the United States, the Commonwealth
of Puerto Rico, or the District of
Columbia. Any MMC issued will retain
any limitation associated with the
medical license;
(7) Any certificates or other
supplementary materials required to
show that the mariner meets the
mandatory requirements for the specific
endorsement sought, as established in
parts 11, 12 or 13 of this subchapter;
and
(8) An open-book exercise, in
accordance with § 10.227(e)(1) of this
part.
(e) The following requirements must
be satisfied before an original or renewal
MMC, or new endorsement or a raise of
grade added to a previously issued
MMC, will be issued. These materials
will be added to the individual’s record
by the Coast Guard:
(1) Determination of safety and
suitability. No MMC will be issued as an
original or reissued with a new
expiration date, and no new officer
endorsement will be issued if the
applicant fails the criminal record
review as set forth in § 10.211 of this
part.
(2) NDR review. No MMC will be
issued as an original or reissued with a
new expiration date, and no new officer
endorsement will be issued if the
applicant fails the NDR review as set
forth in § 10.213 of this part.
(3) Information supplied by the
Transportation Security Administration

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(TSA). No MMC or endorsement will be
issued until the Coast Guard receives
the following information from the
applicant’s TWIC enrollment: the
applicant’s fingerprints, FBI number
and criminal record (if applicable),
photograph, proof of citizenship, or
Nationality with proof of legal resident
status (if applicable). If the information
is not available from TSA, the mariner
may be required to visit a Regional
Exam Center or a TWIC enrollment
center to provide this information.
(f) Upon determining that the
applicant satisfactorily meets all
requirements for an MMC or an
endorsement thereon, the Coast Guard
will issue the properly endorsed MMC
to the applicant. The Coast Guard will
not issue an MMC until it has received
proof that the mariner holds a valid
TWIC.
(g) When a new MMC is issued, the
mariner must return any previously
issued and unexpired MMC, license,
MMD, COR, or STCW endorsement to
the Coast Guard, unless the new MMC
is being issued to replace a lost or stolen
credential.
(h) No MMC will be issued if the
applicant fails a chemical test for
dangerous drugs as required in
§§ 10.225(b)(5), 10.227(d)(5), and
10.231(c)(6).
(i) Ceremonial licenses. A mariner
may obtain a ceremonial license when
applying for his or her credential or
Document of Continuity.
§ 10.211

[Amended]

14. Amend § 10.211 as follows:
a. Remove the words ‘‘table 10.211(g)’’
wherever they appear and add, in their
place, the words ‘‘table 1 to § 10.211’’;
■ b. In paragraph (a)(1), after the words
‘‘written disclosure of all’’, add the
word ‘‘prior’’;
■ c. In paragraph (d), remove the word
‘‘disapproved’’ and add, in its place, the
word ‘‘denied’’;
■ d. In paragraph (e), remove the word
‘‘disapproved’’ and add, in its place, the
word ‘‘denied’’; and remove the word
‘‘disapproval’’ and add, in its place, the
word ‘‘denial’’;
■ e. In paragraph (g), after the words
‘‘The Coast Guard will use table
10.211(g)’’, add the words ‘‘of this
section’’;
■ f. In paragraphs (h) and (i), after the
words ‘‘table 10.211(g)’’ wherever they
appear, add the words ‘‘of this section’’;
■
■

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77889

g. In paragraph (j), remove the word
‘‘their’’ in the first sentence and add, in
its place, the words ‘‘his or her’’; and
remove the word ‘‘disapprove’’ in the
last sentence and add, in its place, the
word ‘‘deny’’; and
■ h. In paragraph (k), remove the word
‘‘their’’ in the first sentence and add, in
its place, the words ‘‘his or her’’; and
after the words ‘‘in table 10.211(g)’’
wherever they appear, add the words
‘‘of this section’’.
■ 15. Revise § 10.213 to read as follows:
■

§ 10.213

National Driver Register.

(a) No MMC will be issued as an
original or reissued with a new
expiration date, and no new officer
endorsement will be issued, unless the
applicant consents to a check of the
NDR for offenses described in section
205(a)(3)(A) or (B) of the NDR Act (i.e.,
operation of a motor vehicle while
under the influence of, or impaired by,
alcohol or a controlled substance; and
any traffic violations arising in
connection with a fatal traffic accident,
reckless driving, or racing on the
highways).
(b) The Coast Guard will not consider
NDR-listed civil convictions that are
more than 3 years old from the date of
request unless that information relates
to a current suspension or revocation of
the applicant’s license to operate a
motor vehicle. The Coast Guard may
determine minimum and maximum
assessment periods for NDR-listed
criminal convictions using table
10.213(c) of this section. An applicant
conducting simultaneous MMC
transactions is subject to only one NDR
check.
(c) The guidelines in table 1 to
paragraph (c) will be used by the Coast
Guard in evaluating applicants who
have drug or alcohol related NDR-listed
convictions. Non-drug or alcohol related
NDR-listed convictions will be
evaluated by the Coast Guard under
table 1 to § 10.211 of this part as
applicable. The Coast Guard may
consider non-drug or alcohol related
NDR-listed convictions that are more
than 3 years old from the date of the
request when the information relates to
a current suspension or revocation of
the applicant’s license to operate a
motor vehicle.

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TABLE 1 TO § 10.213(c)—GUIDELINES FOR EVALUATING APPLICANTS FOR MMCS WHO HAVE NDR MOTOR VEHICLE
CONVICTIONS INVOLVING DANGEROUS DRUGS OR ALCOHOL 1
Number of
convictions

Date of conviction

Assessment period

1 ........................
1 ........................

Less than 1 year ............................
More than 1, less than 3 years ......

1 ........................
2 or more ..........

More than 3 years old ....................
Any less than 3 years old ..............

2 or more ..........

All more than 3 years old ...............

1 year from date of conviction.
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.
Application will be processed.
1 year since last conviction and at least 3 years from 2nd most recent conviction, unless suspension or revocation is still in effect.
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 must meet the requirements of paragraph (f) of this
section.
2 Suspension or revocation, when referred to in table 10.213, means a State suspension or revocation of a motor vehicle operator’s license.

(d) Any application may be denied if
information from the NDR check leads
the Coast Guard to determine that the
applicant cannot be entrusted with the
duties and responsibilities of the
endorsement for which the application
is made. If an application is denied, the
Coast Guard will notify the applicant in
writing of the reason(s) for denial and
advise the applicant that the appeal
procedures in subpart 1.03 of part 1 of
this chapter apply. No examination will
be given pending decision on appeal.
(e) Before denying an application
because of information received from
the NDR, the Coast Guard will make the
information available to the applicant
for review and written comment. The
applicant may submit records from the
applicable State concerning driving
record and convictions to the Coast
Guard processing the application. The
Coast Guard will hold an application
with NDR-listed convictions pending
the completion of the evaluation and
delivery by the individual of the
underlying State records.
(f) If an applicant has one or more
alcohol or dangerous drug-related
criminal or NDR-listed convictions, if
the applicant has ever been the user of,

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

§ 10.217 Merchant mariner credential
application and examination locations.

§ 10.215

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

■
■

[Removed]

16. Remove § 10.215
17. Revise § 10.217 to read as follows:

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

18. Revise § 10.219 to read as follows:

§ 10.219

Fees.

TABLE 1 TO § 10.219(a)—FEES
And you need

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If you apply for

Evaluation then
the fee is . . .

MMC with officer endorsement:
Original:
Upper level 1 .............................................................................................................
Lower level 2 .............................................................................................................
Renewal ....................................................................................................................
Raise of grade ..........................................................................................................
Modification or removal of limitation or scope .........................................................
Radio officer endorsement:
Original .....................................................................................................................
Renewal ....................................................................................................................
Staff officer endorsements:
Original .....................................................................................................................
Renewal ....................................................................................................................
MMC with rating endorsement:

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Examination then
the fee is . . .

Issuance then
the fee is . . .

$100
100
50
100
50

$110
95
45
45
45

$45
45
45
45
45

50
50

45
n/a

45
45

90
50

n/a
n/a

45
45

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77891

TABLE 1 TO § 10.219(a)—FEES—Continued
And you need
If you apply for

Evaluation then
the fee is . . .

Original endorsement for ratings other than qualified ratings ..................................
Original endorsement for qualified rating .................................................................
Upgrade or raise of Grade .......................................................................................
Renewal endorsement for ratings other than qualified ratings ................................
Renewal endorsement for qualified rating ...............................................................
Modification or removal of limitation or scope .........................................................
STCW endorsement:
Original .....................................................................................................................
Renewal ....................................................................................................................
Reissue, replacement, and duplicate .......................................................................

Examination then
the fee is . . .

Issuance then
the fee is . . .

95
95
95
50
50
50

n/a
140
140
n/a
45
45

45
45
45
45
45
45

(4)
(4)
n/a

( 4)
( 4)
n/a

(4 )
(4 )
3 45

1 Upper

level means credentials authorizing service on vessels of any gross tons/unlimited tonnage or unlimited propulsion power.
level means credentials authorizing service on vessels of less than 1,600 GRT/3,000 GT.
3 Duplicate for MMC lost as result of marine casualty—No Fee.
4 No Fee.

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2 Lower

(b) Fee payment procedures.
Applicants may pay—
(1) All fees required by this section at
the time the application is submitted; or
(2) A fee for each phase as follows:
(i) An evaluation fee when the
application is submitted.
(ii) An examination fee before the first
examination section is taken.
(iii) An issuance fee before issuance of
the MMC.
(c) If the examination is administered
at a place other than a Regional
Examination Center (REC), the
examination fee must be paid to the REC
at least one week before the scheduled
examination date.
(d) Unless the Coast Guard provides
additional payment options, fees must
be paid as follows:
(1) Fee payments must be for the exact
amount.
(2) Fee payments may be made by
electronic payment in a manner
specified by the Coast Guard. For
information regarding current forms of
electronic payment, go to the National
Maritime Center’s (NMC) Web site,
www.uscg.mil/nmc. To assist with the
automation of mariner credential
applications, applicants are encouraged
to pay the fees electronically.
(3) Payments may be made by cash,
check, money order, or credit card.
(4) Payments submitted by mail may
not be made in cash. Mailed payments
should specify the type of credential
sought and the type of fee (e.g.,
evaluation, examination, issuance)
being paid. The address for sending
payment by mail can be found at the
NMC Web site, www.uscg.mil/nmc.
(5) Checks or money orders must be
made payable to the U.S. Coast Guard,
and the full legal name and last four
digits of applicant’s social security
number must appear on the front of
each check or money order.

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(e) Unless otherwise specified in this
part, when two or more endorsements
are processed on the same application
the fees will be as follows:
(1) Evaluation fees. If an applicant
simultaneously applies for a rating
endorsement and a deck or engineer
officer’s endorsement, only the
evaluation fee for the officer’s
endorsement will be charged. If an
applicant simultaneously applies for a
staff officer or radio officer endorsement
along with the deck or engineer officer
endorsement, only the evaluation fee for
the deck or engineer officer’s
endorsement will be charged. No
evaluation fee is charged for an STCW
endorsement.
(2) Examination fees. One
examination fee will be charged for each
exam or series of exams for an original,
raise of grade, or renewal of an
endorsement on an MMC taken within
1 year from the date of the application
approval. An examination fee will also
be charged to process an open-book
exercise used to renew an MMC. If an
officer endorsement examination under
part 11 of this chapter also fulfills the
examination requirements in part 12 of
this chapter for rating endorsements,
only the fee for the officer endorsement
examination is charged.
(3) Issuance fees. Only one issuance
fee will be charged for each MMC
issued, regardless of the number of
endorsements placed on the credential.
There is no fee for a Document of
Continuity.
(f) The Coast Guard may assess
additional charges to anyone to recover
collection and enforcement costs
associated with delinquent payments or
failure to pay a fee. The Coast Guard
will not provide credentialing services
to a mariner who owes money for
credentialing services previously
provided.

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(g) Anyone who fails to pay a fee or
charge established under this section is
liable to the United States Government
for a civil penalty of not more than
$6,500 for each violation.
(h) No-fee MMC for certain
applicants. For the purpose of this
section, a no-fee MMC applicant is a
person who is a volunteer or a part- or
full-time employee of an organization
that is—
(1) Charitable in nature;
(2) Not for profit; and
(3) Youth oriented.
(i) Determination of eligibility. (1) An
organization may submit a written
request to U.S. Coast Guard National
Maritime Center, 100 Forbes Drive,
Martinsburg, WV 25404, in order to be
considered an eligible organization
under the criteria set forth in paragraph
(h) of this section. With the written
request, the organization must provide
evidence of its status as a youthoriented, not-for-profit, charitable
organization.
(2) The following organizations are
accepted by the Coast Guard as meeting
the requirements of paragraph (h) of this
section and need not submit evidence of
their status: Boy Scouts of America, Sea
Explorer Association, Girl Scouts of the
United States of America, and Young
Men’s Christian Association of the
United States of America.
(j) A letter from an organization
determined eligible under paragraph (h)
of this section must also accompany the
person’s MMC application to the Coast
Guard. The letter must state that the
purpose of the person’s application is
solely to further the conduct of the
organization’s maritime activities. The
applicant will then be eligible under
this section to obtain a no-fee MMC if
other requirements for the MMC are
met.

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(k) An MMC issued to a person under
paragraph (h) of this section will be
endorsed restricting its use to vessels
owned or operated by the sponsoring
organization.
(l) The holder of a no-fee MMC issued
under paragraph (h) of this section may
have the restriction removed by paying
the appropriate evaluation,
examination, and issuance fees that
would have otherwise applied.
§ 10.221

[Amended]

19. Amend § 10.221 as follows:
a. In paragraph (a)(1), remove the
word ‘‘part’’ and add, in its place, the
word ‘‘subchapter’’; and
■ b. In paragraph (a)(2), remove the
section number ‘‘§ 12.40–11’’ and add,
in its place, the section number
‘‘§ 12.809’’.
■
■

20. Amend § 10.223 as follows:
a. In paragraphs (c)(3)(i), (c)(3)(ii), and
(c)(3)(iii), remove the word ‘‘chapter’’
and add, in its place, the word
‘‘subchapter’’; and
■ b. Revise paragraphs (c)(2) and
(c)(3)(iv) to read as set forth below.
■
■

§ 10.223 Modification or removal of
limitations or scope.

*

*
*
*
*
(c) * * *
(2) Proof that the mariner either holds
a valid TWIC or has applied for a TWIC.
(3) * * *
(iv) The mandatory requirements for
STCW endorsements are contained in
parts 11, 12, and 13 of this subchapter.
*
*
*
*
*
■ 21. Revise § 10.225 to read as follows:

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§ 10.225 Requirements for original
merchant mariner credentials.

(a) An applicant must apply as an
original if the MMC sought is—
(1) The first credential issued to the
applicant;
(2) The first credential issued to
applicants after their previous
credential has expired beyond the grace
period and they do not hold a Document
of Continuity under § 10.227(g) of this
part or an equivalent unexpired
continuity endorsement on their license
or MMD; or
(3) The first credential issued to
applicants after their previous
credential was revoked pursuant to
§ 10.235 of this part.
(b) A complete application for an
original MMC must contain the
following, except as otherwise noted in
§ 10.227(i) of this subpart:
(1) A completed, signed application.
(2) Proof that the mariner either holds
a valid TWIC or has applied for a TWIC.
(3) All supplementary materials
required to show that the mariner meets

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the mandatory requirements for all
endorsements sought as follows:
(i) The mandatory requirements for
officer endorsements are contained in
part 11 of this subchapter.
(ii) The mandatory requirements for
rating endorsements are contained in
part 12 of this subchapter.
(iii) The mandatory requirements for
tanker rating endorsements are
contained in part 13 of this subchapter.
(iv) The mandatory requirements for
STCW endorsements are contained in
parts 11, 12, and 13 of this subchapter.
(4) The appropriate fee as set forth in
§ 10.219 of this part.
(5) Evidence of having passed a
chemical test for dangerous drugs or of
qualifying for an exemption from testing
in § 16.220 of this subchapter.
(6) Where sea service is required,
documentary evidence in accordance
with § 10.232 of this part.
(7) Proof, documented on CG–719–K
or CG–719–K/E, as appropriate, that the
applicant passed all applicable vision,
hearing, medical, and/or physical exams
as required by subpart C of this part or
a valid medical certificate issued by the
Coast Guard.
(8) Consent to a Coast Guard check of
the NDR for offenses described in
section 205(a)(3)(A) or (B) of the
National Driver Register Act of 1982, as
amended.
(9) The oath as required in paragraph
(c) of this section.
(c) Oath. Every person who receives
an original MMC must first take an oath,
before an official authorized to give
such an oath, that he or she will
faithfully and honestly, according to his
or her best skill and judgment, without
concealment or reservation, perform all
the duties required by law and obey all
lawful orders of superior officers. An
oath may be administered by any Coast
Guard-designated individual or any
person legally permitted to administer
oaths in the jurisdiction where the
person taking the oath resides. An oath
administered at a location other than the
Coast Guard must be verified in writing
by the administering official and
submitted to the same Regional
Examination Center (REC) where the
applicant applied for his or her MMC.
This oath remains binding for any
subsequently issued MMC and
endorsements added to the MMC,
unless specifically renounced in
writing.
■

22. Revise § 10.227 to read as follows:

§ 10.227

Requirements for renewal.

(a) Except as provided in paragraph
(g) of this section, an applicant for
renewal of a credential must establish

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possession of all of the necessary
qualifications before the MMC will be
renewed.
(b) A credential may be renewed at
any time during its validity and for 1
year after expiration.
(c) No credential will be renewed if it
has been suspended without probation
or revoked as a result of action under
part 5 of this chapter or if facts that
would render a renewal improper have
come to the attention of the Coast
Guard.
(d) Except as provided in paragraph
(g) of this section, a complete
application for renewal must contain
the following:
(1) A completed, signed application.
(2) Proof that the mariner either holds
a valid TWIC or has applied for a TWIC.
(3)The appropriate fee as set forth in
§ 10.219 of this part.
(4) Any uncanceled MMD, MMC,
license, STCW endorsement, Certificate
of Registry (COR), or Document of
Continuity held by the applicant. If one
or more of these credentials are still
valid at the time of application, a
photocopy—front, back, and all
attachments—will satisfy this
requirement.
(5) Evidence of having passed a
chemical test for dangerous drugs or of
qualifying for an exemption from testing
in § 16.220 of this subchapter.
(6) Applicants seeking a national
endorsement must either hold an
unexpired medical certificate or submit
a medical certificate application.
(7) Consent to a Coast Guard check of
the NDR for offenses described in
section 205(a)(3)(A) or (B) of the
National Driver Register Act of 1982, as
amended.
(e) Except as provided in paragraph
(e)(8) of this section and 46 CFR 13.120,
the applicant must meet the following
professional requirements for renewal:
(1) The applicant must either—
(i) Present evidence of at least 1 year
of sea service during the past 5 years;
(ii) Pass a comprehensive, open-book
exercise covering the general subject
matter contained in appropriate sections
of subpart (I) of this part;
(iii) Complete an approved refresher
training course;
(iv) Provide evidence of employment
as a qualified instructor or in a position
closely related to the operation,
construction, or repair of vessels (either
deck or engineer as appropriate) for at
least 3 years during the past 5 years. An
applicant for a deck license or officer
endorsement with this type of
employment must also demonstrate
knowledge on an applicable Rules of the
Road open-book exercise; or
(v) Provide evidence of being a
qualified instructor who has taught a

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Coast Guard-approved or -accepted
course relevant to the endorsement or
credential being applied for, at least
twice within the past 5 years, therefore
meeting the standards needed to receive
a course completion certificate for that
course.
(2) The qualification requirements for
renewal of radar observer endorsement
as contained in § 11.480 of this
subchapter.
(3) Additional qualification
requirements for renewal of an officer
endorsement as first-class pilot as
contained in § 11.713 of this subchapter.
(4) An applicant for renewal of a radio
officer’s endorsement must, in addition
to meeting the requirements of this
section, present a copy of a currently
valid license as first- or second-class
radiotelegraph operator issued by the
Federal Communications Commission.
(5) An applicant for renewal of an
endorsement as medical doctor or
professional nurse must, in addition to
meeting the requirements of this
section, present evidence that he or she
holds a currently valid, appropriate
license as physician, surgeon, or
registered nurse issued under the
authority of a State or territory of the
United States, the Commonwealth of
Puerto Rico, or the District of Columbia.
Any such renewal will retain the
limitations placed upon the medical
license by the issuing body. There are
no professional requirements for
renewal of an endorsement as marine
physician assistant or hospital
corpsman.
(6) An applicant for renewal of an
endorsement as master or mate (pilot) of
towing vessels, in addition to the other
requirements in this paragraph, must
also submit satisfactory evidence of—
(i) Having completed a practical
demonstration of maneuvering and
handling a towing vessel to the
satisfaction of a designated examiner; or
(ii) Ongoing participation in training
and drills during the validity of the
license or MMC being renewed.
(7) An applicant seeking to renew a
tankerman endorsement must meet the
additional requirements listed in
§ 13.120 of this subchapter.
(8) There are no professional
requirements for renewal for the
following endorsements:
(i) Staff officers (all types).
(ii) Ordinary seaman.
(iii) Wiper.
(iv) Steward’s department.
(v) Steward’s department (F.H.).
(vi) Cadet.
(vii) Student observer.
(viii) Apprentice engineer.
(ix) Apprentice mate (issued under
part 12 of this subchapter).

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(x) Person in charge of medical care.
(xi) Medical first-aid provider.
(xii) GMDSS at-sea maintainer.
(xiii) GMDSS operator.
(f) Except as otherwise provided, each
candidate for a renewal of an STCW
endorsement must meet the applicable
requirements of part 11, subpart C, and/
or part 12, subpart F.
(g) Document of Continuity. (1)
Applicants for renewal of national
endorsements, who are unwilling or
otherwise unable to meet the
requirements of paragraph (d) of this
section, including but not limited to the
medical and physical standards of
subpart C of this part, suitability
standards of § 10.211 of this part, drug
tests, professional requirements, and
TWIC, may apply for a Document of
Continuity issued by the Coast Guard.
Documents of Continuity do not expire
and are issued solely to maintain an
individual’s eligibility for renewal. A
Document of Continuity does not entitle
an individual to serve as a merchant
mariner. A holder of a Document of
Continuity may obtain a properly
endorsed, valid MMC at any time by
satisfying the requirements for renewal
as provided in paragraphs (d), (e), or (f)
of this section as applicable. When a
valid MMC is issued to replace a
previously held Document of
Continuity, the previously issued
Document of Continuity becomes void.
(2) Applications for a Document of
Continuity must include the following:
(i) The endorsements to be placed into
continuity.
(ii) An application including a signed
statement from the applicant attesting to
an awareness of the limited purpose of
the Document of Continuity, his or her
inability to serve, and the requirements
to obtain an MMC.
(3) If not all MMC endorsements are
to be converted into a Document of
Continuity, a new MMC will be issued
with the active endorsements. Once the
new MMC and/or Document of
Continuity is issued the previous MMC
is no longer valid and must be returned
to the Coast Guard.
(4) STCW endorsements may not be
placed in continuity. If an individual
continues to maintain a valid MMC
while placing specific national
endorsements into continuity, those
STCW endorsements associated with
the national endorsements that were
placed in continuity are no longer valid.
(5) No credential expired beyond the
12-month administrative grace period in
paragraph (h) of this section can be
converted into a Document of
Continuity.
(6) A holder of a Document of
Continuity may obtain a properly

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endorsed, valid MMC, including STCW
endorsements, at any time by satisfying
the requirements for renewal as
provided in paragraphs (d) and (f) of
this section.
(h) Administrative grace period. A
credential may be renewed up to 12
months after expiration. For a credential
to be re-issued by the Coast Guard more
than 12 months after its expiration, an
applicant must comply with the
requirements of paragraph (i) of this
section. When an applicant’s credential
expires during a time of service with the
Armed Forces and there is no
reasonable opportunity for renewal,
including by mail, this period may be
extended. The period of military service
following the date of expiration which
precluded renewal may be added to the
12-month grace period. The 12-month
grace period and any extensions do not
affect the expiration date of the
credential. A license, MMD, COR,
STCW endorsement, MMC, and any
endorsements thereon, are not valid for
use after the expiration date.
(i) Re-issuance of expired credentials.
(1) If an applicant applies for reissuance of an endorsement as deck
officer, engineer officer, or qualified
rating more than 12 months after its
expiration, instead of the requirements
of paragraph (e) of this section, the
applicant must demonstrate continued
professional knowledge by completing a
course approved for this purpose, or by
passing the complete examination for
original issue of the endorsement. The
examination may be oral-assisted if the
expired credential was awarded based
on the results of an oral exam. The fees
set forth in § 10.219 of this part apply
to these examinations. In the case of an
expired radio officer’s endorsement, the
endorsement may be issued upon
presentation of a valid first- or secondclass radiotelegraph operator license
issued by the Federal Communications
Commission.
(2) An endorsement for chief purser,
purser, senior assistant purser, junior
assistant purser, hospital corpsman,
marine physician assistant, medical
doctor, or professional nurse that has
been expired for more than 12 months
must be renewed in the same way as a
current endorsement of that type. There
are no additional requirements for reissuing endorsements for chief purser,
purser, senior assistant purser, junior
assistant purser, hospital corpsman,
marine physician assistant, medical
doctor, or professional nurse that have
been expired for more than 12 months.
(3) Applicants applying for reissuance of an endorsement as master or
mate (pilot) of towing vessels more than
12 months after expiration of the

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previous endorsement must complete
the practical demonstration of
maneuvering and handling a towing
vessel required under (e)(6)(i) of this
section.
(4) Applicants applying for reissuance of an endorsement as any
tankerman rating more than 12 months
after expiration of the previous
endorsement must meet the
requirements in § 13.117 of this
subchapter.
■ 23. Amend § 10.229 as follows:
■ a. Revise the section heading to read
as set forth below;
■ b. Revise paragraph (a) to read as set
forth below;
■ c. In paragraph (b), in the first
sentence, after the words ‘‘The
duplicate’’, add the word ‘‘credential’’
and remove the second sentence;
■ d. In paragraph (c), after the words ‘‘a
duplicate’’, add the word ‘‘credential’’;
and
■ e. In paragraph (d), after the words
‘‘the appropriate fees set out in
§ 10.219’’, add the words ‘‘of this part’’.
§ 10.229 Replacement of lost merchant
mariner credentials.

(a) Upon request and without
examination, a mariner may be issued a
duplicate credential and medical
certificate after submitting an
application with an affidavit describing
the circumstances of the loss. The Coast
Guard will only issue the duplicate
credential, MMC and/or medical
certificate, after confirming the validity
of the mariner’s credentials and the
validity of the mariner’s TWIC.
*
*
*
*
*
■ 24. Revise § 10.231 to read as follows:

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§ 10.231 Requirements for raises of grade
or new endorsements.

(a) This section applies to applicants
who already hold a valid credential and
want to make either of the following
transactions:
(1) Add a new endorsement.
(2) Obtain a raise of grade of an
existing endorsement.
(b) If an applicant for new
endorsement or raise of grade meets the
renewal requirements under § 10.227 of
this subpart for every endorsement
listed on the MMC and requests
renewal, the applicant will receive a
credential valid for 5 years. When an
applicant does not meet the renewal
requirements for every endorsement
held, the applicant’s new endorsement
will be issued with the expiration date
that is the same as the current MMC.
(c) A complete application for a new
endorsement or raise of grade must
contain the following:
(1) A completed, signed application.

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(2) Proof that the mariner either holds
a valid TWIC or has applied for a TWIC.
(3) All supplementary materials
required to show that the mariner meets
the mandatory requirements for the new
endorsements sought as follows:
(i) The mandatory requirements for
officer endorsements as contained in
part 11 of this subchapter and paragraph
(d) of this section.
(ii) The mandatory requirements for
rating endorsements as contained in
part 12 of this subchapter.
(iii) The mandatory requirements for
tankerman rating endorsements are
contained in part 13 of this subchapter.
(iv) The mandatory requirements for
STCW endorsements as contained in
parts 11, 12, and 13 of this subchapter.
(4) The appropriate fee as contained
in § 10.219 of this part.
(5) Any uncanceled MMD, MMC,
license, STCW endorsement, or COR
held by the applicant. If one or more of
these credentials are still valid at the
time of application, a photocopy—front,
back, and all attachments—will satisfy
this requirement.
(6) Applicants for the following
endorsements must produce evidence of
having passed a chemical test for
dangerous drugs or of qualifying for an
exemption from testing in § 16.220 of
this subchapter:
(i) Any officer endorsement.
(ii) The first endorsement as able
seaman, lifeboatman, lifeboatmanlimited, qualified member of the engine
department, or tankerman.
(7) Where sea service is required,
documentary evidence in accordance
with § 10.232 of this part.
(8) Applicants seeking a new
endorsement must either hold an
unexpired medical certificate or submit
a medical certificate application.
(9) Consent to a Coast Guard check for
offenses described in section
205(a)(3)(A) or (B) of the National Driver
Register Act of 1982, as amended.
(d) Additional requirements for an
applicant seeking a raise of grade of an
officer endorsement are as follows:
(1) Sea service acquired before the
issuance of an officer endorsement is
generally not accepted as any part of the
service required for a raise of grade of
that endorsement. However, service
acquired before issuance of an officer
endorsement will be accepted for
certain crossovers, endorsements, or
increases in scope of an MMC, as
appropriate. In the limited tonnage
categories for deck officers, total
accumulated service is a necessary
criterion for most raises of grade;
therefore, service acquired before the
issuance of such officer endorsements
will be accepted.

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(2) An applicant remains eligible for
a raise of grade while on probation as
a result of action under part 5 of this
chapter. A raise of grade issued to a
person on probation will be subject to
the same probationary conditions
imposed against his or her other
credentials. The offense for which he or
she was placed on probation will be
considered on the merits of the case in
determining fitness to hold the
endorsement applied for. No applicant
will be examined for a raise of grade
during any period when a suspension
without probation or a revocation
imposed under part 5 of this chapter is
effective against his or her credential or
while an appeal from these actions is
pending.
(3) Professional examination. (i)
When the Coast Guard finds an
applicant’s experience and training for
raise of grade is satisfactory, and the
applicant is eligible in all other respects,
the Coast Guard will authorize a
professional examination.
(ii) Oral-assisted examinations may be
administered in accordance with
§ 11.201(j) of this subchapter.
(iii) The general instructions for
administration of examinations and the
lists of subjects for all endorsements are
found in part 11, subpart I; part 12,
subpart E; and part 13, subpart A of this
subchapter.
■ 25. Add § 10.232 to read as follows:
§ 10.232

Sea service.

(a) Documenting sea service. (1) Sea
service may be documented in various
forms such as certificates of discharge,
pilotage service and billing forms, and
service letters or other official
documents from marine companies
signed by the owner, operator, master,
or chief engineer of the vessel. The
Coast Guard must be satisfied as to the
authenticity and acceptability of all
evidence of experience or training
presented.
(2) Documentary evidence produced
by the applicant, unless in the form of
a Certificate of Discharge conforming to
§ 14.307 of this subchapter, must
contain all of the following information:
(i) Vessel name(s) and official
numbers listed on the registration,
certificate, or document issued.
(ii) Gross tonnage of the vessel.
(iii) Propulsion power and mode of
propulsion of the vessel.
(iv) The amount and nature (e.g. chief
mate, assistant engineer, etc.) of the
applicant’s experience.
(v) Applicable dates of service for
each vessel, and the ports or terminals
if applicable.
(vi) The routes upon which the
experience was acquired.

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(vii) For those seeking service credit
on towing vessels in accordance with
§ 11.211(e) of this subchapter, the
aggregate tonnage of the tug and barges
during the mariner’s service.
(viii) Any other information necessary
to determine the applicability of STCW
to the vessel.
(ix) Whether the vessel is manned and
equipped in accordance with SOLAS.
(x) Where required for an officer
endorsement, time served as bridge
watchkeeping or engine watchkeeping
duties under the supervision of a
qualified officer.
(3) An MMC endorsement, in certain
cases, may be considered as satisfactory
evidence of any qualifying experience
for obtaining other endorsements.
(4) For service on vessels of less than
200 GRT, owners of vessels may attest
to their own service and provide proof
of ownership. Those who do not own a
vessel must obtain letters or other
evidence from licensed personnel or the
owners of the vessels listed.
(5) If the required sea service is
associated with watchkeeping functions
and the performance of duties, as
required in §§ 11.323, 11.329, and
11.333, the service must be documented
as having been carried out under the
direct supervision of the appropriate
person. If the required sea service is
associated with the performance of
duties, as required in §§ 11.470, 11.472,
and 11.474, the service must be
documented as having been carried out
under the supervision of the appropriate
person.
(6) An applicant who has been acting
as a pilot may submit a letter from a
pilot’s association attesting to the
applicant’s sea service. Pilots not part of
an association may submit other
relevant records indicating service, such
as billing forms. For a raise-of-grade,
pilots must comply with the
requirements of paragraph (a)(2) of this
section.
(b) Service toward an oceans, nearcoastal, or STCW endorsement will be
credited as follows:
(1) Service on the Great Lakes will be
credited on a day-for-day basis up to
100 percent of the total required service.
(2) Service on inland waters, other
than Great Lakes, that are navigable
waters of the United States, will be
credited on a day-for-day basis for up to
50 percent of the total required service.
(3) Service on vessels to which STCW
applies, whether inland or coastwise,
will be credited on a day-for-day basis.
For establishing credit for sea service,
the waters of the Inside Passage between
Puget Sound and Cape Spencer, Alaska
will be credited for a near-coastal and
STCW endorsement.

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(c) Service toward a near-coastal or a
Great Lakes endorsement will be
credited on a day-for-day basis and in
accordance with the individual
requirements for the specific credential.
(d) Sea service as a member of the
Armed Forces of the United States and
civilian service on vessels owned by the
United States as required experience. (1)
Sea service as a member of the Armed
Forces of the United States will be
accepted as required experience for an
original, raise of grade, renewal, or
increase in scope of all endorsements. In
most cases, military sea service will
have been performed upon ocean
waters; however, inland service, as may
be the case on smaller vessels, will be
credited in the same manner as
conventional evaluations. The applicant
must submit an official transcript of sea
service or history of assignments as
verification of the service claimed when
the application is submitted. A DD–214
is not acceptable evidence of sea
service. The applicant must also provide
the Coast Guard with other necessary
information as to tonnage, routes,
propulsion power, percentage of time
underway, and assigned duties upon the
vessels on which he or she served. Such
service will be evaluated by the Coast
Guard for a determination of its
equivalence to sea service acquired on
merchant vessels and the appropriate
grade, class, and limit of endorsement
for which the applicant is eligible.
Normally, 60 percent of the total time
onboard is considered equivalent
underway service; however, the periods
of operation of each vessel may be
evaluated separately. In order to be
eligible for a master’s or chief engineer’s
unlimited endorsement, the applicant
must have acquired military service in
the capacity of commanding officer or
engineer officer, respectively.
(2) Applicants for management-level,
operational-level or support-level STCW
endorsements must demonstrate
competence in accordance with part 11,
subpart C; part 12, subpart F; and part
13, subpart F of this subchapter.
(3) Service in deck ratings on military
vessels such as seaman apprentice,
seaman, boatswain’s mate,
quartermaster, or Radarman/Operations
Specialist are considered deck service
for the purposes of this part. Service in
other ratings may be considered if the
applicant establishes that his or her
duties required a watchstanding
presence on or about the bridge of a
vessel. Service in engineer ratings on
military vessels such as fireman
apprentice, fireman, engineman,
machinists mate, machinery technician,
or boiler tender are considered engineer
service for the purposes of this part.

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There are also other ratings such as
electrician, hull technician, or damage
controlman, which may be credited
when the applicant establishes that his
or her duties required watchstanding
duties in an operating engine room.
(4) In addition to service on vessels
that get underway regularly, members of
the Armed Forces may obtain creditable
service for assignment to vessels that get
underway infrequently, such as tenders
and repair vessels. Normally, a 25percent factor is applied to these time
periods. This experience can be equated
with general shipboard familiarity,
training, ship’s business, and other
related duties.
(5) Sea service obtained on
submarines is creditable, as if it were
surface vessel service, for deck and
engineer officer and qualified ratings
endorsements under the provision of
paragraph (a) of this section. For
application for deck officer and
qualified ratings endorsements,
submarine service may be creditable if
at least 25 percent of all service
submitted for the endorsement was
obtained on surface vessels (e.g. if 4
years’ total service were submitted for
an original officer endorsement, at least
1 year must have been obtained on
surface craft in order for the submarine
service to be eligible for evaluation).
(6) Service gained in a civilian
capacity as commanding officer, master,
mate, engineer, or pilot, etc., of any
vessel owned and operated by the
United States, in any service in which
a license or officer endorsement as
master, mate, engineer, or pilot was not
required at the time of such service, will
be evaluated by the Coast Guard for a
determination of equivalence.
(e) Sea service on vessels that do not
get underway. This requirement applies
to service obtained on vessels mandated
by the Certificate of Inspection (COI)
which are in operation but do not get
underway or occasionally get underway
for short voyages. Service while the
vessel is not underway must be credited
as follows:
(1) Engineering department. Service
may be credited day-for-day for up to 50
percent of the service credit for renewal,
raise in grade, and original issue for
each day the engineering plant is
operational.
(2) Deck department. Service may be
credited as follows:
(i) Original issue and raise in grade.
Service is creditable on a 3-for-1 basis
(12 months of experience equals 4
months of creditable service) for up to
6 months of service credit.
(ii) Renewal. Service in any capacity
in the deck department is creditable as
closely related service under

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§ 10.227(e)(1)(iv). When submitted in
combination with underway service,
service is creditable on a 3-for-1 basis
(12 months of experience equals 4
months of creditable service) for up to
6 months of service credit.
(f) Foreign sea service. (1) Experience
and service acquired on foreign vessels
is creditable for establishing eligibility
for an original or renewal of an officer,
rating, or STCW endorsement, subject to
evaluation by the Coast Guard to
determine that it is a fair and reasonable
equivalent to service acquired on
merchant vessels of the United States
with respect to grade, tonnage,
horsepower, waters, and operating
conditions. This experience and service
is also creditable to meet recency
requirements.
(2) Experience and service acquired
on foreign vessels while holding a valid
U.S. endorsement is creditable for
establishing eligibility for a raise of
grade of an officer, rating, or STCW
endorsement, subject to evaluation as
specified in paragraph (d)(1) of this
section. This experience and service is
also creditable to meet recency
requirements.
(3) An applicant who has obtained
qualifying experience on foreign vessels
must submit satisfactory documentary
evidence of such service (including any
necessary official translation to the
English language) in accordance with
paragraph (a)(1) and (a)(2) of this
section.
(g) Closely related service. The Coast
Guard may accept evidence of
employment in a position closely
related to the operation, construction, or
repair of vessels (either deck or engineer
as appropriate) as meeting the sea
service requirements for renewal under
§ 10.227(e)(1)(iv). Service as port
engineer, port captain, shipyard
superintendent, qualified instructor, or
similar related service may be creditable
for service for raise of grade of an
engineer or deck officer endorsement;
however, it may not be used for
obtaining an original management-level

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endorsement. The service is creditable
as follows:
(1) Port engineer, port captain or
shipyard superintendent experience is
creditable on a 3-for-1 basis for a raise
of grade (e.g., 12 months of experience
equals 4 months of creditable service).
For a raise-of-grade, this credit is
limited to 6 months of service.
(2) Service as a qualified instructor in
a Coast Guard approved course or a
training program is creditable on a 2-for1 basis for a raise of grade (e.g., 12
months of experience equals 6 months
of creditable service). For a raise-ofgrade, this credit is limited to 6 months
of service.
(h) Day. (1) Except as noted otherwise,
for the purpose of calculating service in
this subchapter, a day is equal to 8
hours of watchstanding or day-working
not to include overtime.
(2) On vessels authorized by 46 U.S.C.
8104 and 46 CFR 15.705, to operate a
two-watch system, a 12-hour working
day may be creditable as 11⁄2 days of
service.
(3) On vessels of less than 100 GRT,
a day is considered as 8 hours unless
the Coast Guard determines that the
vessel’s operating schedule makes this
criterion inappropriate; in no case will
this period be less than 4 hours.
(4) When computing service on
MODUs for any endorsement, a day of
MODU service must be a minimum of
4 hours, and no additional credit is
received for periods served over 8
hours.
(5) For cadet service on a training ship
furnished by the Maritime
Administration under 46 CFR 310.4, a
day may be creditable as 11⁄2 days of
service.
(i) Tonnage equivalency. For the
purpose of parts 10, 11 and 12, 200 GRT
will be considered equivalent to 500 GT,
and 1,600 GRT will be considered
equivalent to 3,000 GT.
■ 26. Amend § 10.235 as follows:
■ a. In paragraph (d), after the words ‘‘of
those endorsements are suspended or
revoked,’’, remove the words ‘‘the

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mariner’’ and add, in their place, the
words ‘‘he or she’’, and after the words
‘‘will be issued’’, add the words ‘‘,
without payment of a fee,’’;
■ b. In paragraph (e), after the words
‘‘has been suspended’’, add the words
‘‘without probation’’;
■ c. Redesignate paragraphs (f) through
(h) as paragraphs (g) through (i);
■ d. Add new paragraph (f) to read as set
forth below;
■ e. In redesignated paragraph (g),
remove the text ‘‘§ 10.227(d)(8)(vi)(A)’’
and add, in its place, the words
‘‘§ 10.227(e)(6)(i) of this subpart’’;
■ f. In redesignated paragraph (h),
remove the words ‘‘Beginning April 15,
2009, if’’ and add, in their place, the
word ‘‘If’’; and
■ g. In redesignated paragraph (i),
remove the words ‘‘Beginning April 15,
2009, a’’ and add, in their place, the
letter ‘‘A’’.
§ 10.235 Suspension or revocation of
merchant mariner credentials.

*

*
*
*
*
(f) When applying for an original
endorsement on an MMC, pursuant to
paragraph (d) of this section, an
individual’s existing service and
training may be considered by the Coast
Guard when determining the grade of
the endorsement to be issued.
*
*
*
*
*
§ 10.237

[Amended]

27. In § 10.237(a), after the words ‘‘an
MMC’’, add the words ‘‘, medical
certificate,’’; after the word
‘‘endorsement,’’, add the words, ‘‘it will
provide’’; and after the words ‘‘listing
the reason(s) for denial’’, remove the
words ‘‘will be provided to the
applicant’’.
■ 28. Revise § 10.239 to read as follows:
■

§ 10.239 Quick reference table for MMC
requirements.

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

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§ 11.201(e) ............
Note: exceptions.

STCW Deck Officer
endorsements.

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§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.

Towing vessels .......

§ 11.201(e) ............
Note: exceptions.

Electro-technical officer.

Pilot .........................

§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.

National Designated
Duty Engineer
(DDE).

STCW Engineering
Officer endorsements.

§ 11.201(e) ............
Note: exceptions.

N/A ........................

§ 11.201(e) ............
Note: exceptions
here and in
§ 11.201(l).

Operator of
Uninspected Passenger Vessels
(OUPV).

Officer on a passenger ship when
on an international
voyage.
Engineers (original)

§ 11.201(e) ............
Note: exceptions.

Minimum age

Master, mates .........

Endorsement
category

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U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

N/A ........................................

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

§ 10.221(a)(1) ........................
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

Citizenship

§ 10.302(a) ............

§ 10.302(a);
§ 11.709.

§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

10.302(a) ...............

N/A ........................

§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

Medical and
physical exam

46 CFR Part 11—
Subpart D.

§ 11.703; § 11.705

§ 11.335(a)(1) ........
note exception in
§ 11.335(b) &
§ 11.33 5(c).

11.524(b) ...............

46 CFR Part 11—
Subpart C.

46 CFR Part 11—
Subpart E.

N/A ........................

46 CFR Part 11—
Subpart C.

§ 11.467(c); (d); (e);
(f); (g).

46 CFR Part 11—
Subpart D.

Experience

N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.

N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.

N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A ........................

Recommendations
and character
check

§ 11.201(h)(1)(ii)
§ 11.201(h)(2)(ii).
Note: exceptions

N/A ........................

§ 11.335(a)(3)(ii) ....

§ 11.201(h)(1)(iv) ...

§ 11.303 .................
Renewal:
§ 11.303(b) and
(c)

§ 11.201(h) ............

N/A ........................

§ 11.303 .................
Renewal:
§ 11.303(b) and
(c)

N/A ........................

§ 11.201(h) ............

Firefighting

[For tankerman endorsements, see table 1 to § 13.129.]

§ 11.201(j);
§ 11.903;
§ 11.910.

§ 11.707; § 11.903;
§ 11.910.

N/A ........................

§ 11.903 .................

N/A ........................

§ 11.201(j); 11.903;
§ 11.950.
Note: § 11.903(b)

N/A ........................

N/A ........................

§§ 11.201(j);
11.903; § 11.910.

§ 11.201(j);
§ 11.903;
§ 11.910.
Note: § 11.903(b)

Professional exam

TABLE 1 TO § 10.239: QUICK REFERENCE TABLE FOR MMC REQUIREMENTS

§ 11.464; § 11.465

§ 11.705 .................

§ 11.335(a)(2), (3)
note exception in
§ 11.335(b) & (c).

Chief § 11.325;
§ 11.331;.
2nd engineer officer; § 11.327;
§ 11.333.
OICEW/DDE
§ 11.329.
N/A ........................

N/A ........................

Master § 11.305;
.311; .315; .317.
Chief Mate
§ 11.307; .313;.
OICNW § 11.309;
11.319; 11.321.
§ 11.1105(a)(1); (2)

N/A ........................

N/A ........................

Demonstration
of professional
ability

original § 11.201
(c)(2).
renewal § 10.227(e)

§ 11.705(e),
§ 11.713.

................................

original § 11.201
(c)(2).
renewal § 10.227(e)

original § 11.201
(c)(2).
renewal § 10.227(e)

original § 11.201
(c)(2).
renewal § 10.227(e)

§ 11.1105(c) ...........

original § 11.201
(c)(2).
renewal § 10.227(e)

original § 11.201
(c)(2).
renewal § 10.227(e)

original § 11.201
(c)(2).
renewal § 10.227(e)

Recency of service

§ 11.201(i).

§ 11.201(i).

§ 11.335(a)(3)(i).

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

N/A.

§ 11.201(i).

§§ 11.201(i): Note
exceptions.

§ 11.201(i) Note:
exceptions.

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N/A ........................
§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.
§ 12.401(c)(1) ........

§ 12.603(a)(1)) .......

§ 12.605(a)(1) ........

§ 12.501(c)(1) ........

Officer renewals ......

Staff officer ..............

Staff officer renewals.
Able seaman ...........

Able-seafarer deck ..

Ratings for forming
a navigational
watch.

Qualified members
of engine department.

§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.

§ 11.201(e) ............
Note: exceptions.

Minimum age

GMDSS Operator ...
Officer raises of
grade.

Radio officer ............

Uninspected fishing
industry vessels.

MODU licenses .......

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Offshore Supply
Vessels.

Endorsement
category

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U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).
U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

N/A ........................................
U.S., § 10.221(a)(1) ...............
§ 11.201(d).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

U.S., § 10.221(a)(1) ...............
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

Citizenship

§ 10.302(a) ............

§ 10.302(a) ............

§ 12.503 .................

§ 12.605(a)(2) ........

§ 12.603(a)(3) ........

§ 12.403 .................

§ 10.302(a),
§ 12.401(c)(2).

§ 10.302(a) ............

N/A ........................

§ 11.807 .................

§ 10.227(d) and (e)
Note: exceptions

N/A ........................
§ 10.231(c); Part
11, subparts D
and E.

N/A ........................

Deck: § 11.462(c);
(d);.
Engine:
§ 11.530(c); (d);
(e).

OIM: § 11.470 ........
B.S.: § 11.472
BCO: § 11.474
ChEng: § 11.542
Asst. Eng: § 11.544

Master § 11.493 .....
Chief Mate
§ 11.495.
Mate § 11.497
C/E § 11.553
Engineer § 11.555

Experience

§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

N/A ........................
§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

Medical and
physical exam

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A ........................

N/A ........................

N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A ........................
N/A ........................

N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.

Recommendations
and character
check

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................
N/A ........................

N/A ........................

§ 11.201(h) ............
Note: exceptions

§ 11.201(h): note
exceptions.

§ 11.201(h) ............

Firefighting

[For tankerman endorsements, see table 1 to § 13.129.]

§ 12.505 .................

N/A ........................

N/A ........................

§ 12.401(c)(5) ........

N/A ........................

N/A ........................

N/A ........................
§ 10.231(d);
§ 11.903;
§ 11.910;
§ 11.920;
§ 11.950.
N/A ........................

N/A ........................

§ 11.201(j);
§ 11.903;
§ 11.910.

§ 11.201(j); .............
Master § 11.493
Chief Mate
§ 11.495
Mate § 11.497
C/E § 11.553;
§ 11.903
Eng § 11.555;
§ 11.903.
§ 11.201(j);
§ 11.903;
§ 11.920.

Professional exam

N/A ........................

§ 12.605(a)(3) ........

§ 12.603(a)(2)
§ 12.603(a)(4)
§ 12.603(a)(5).

§ 12.401(c)(6)
§ 12.405.

N/A ........................

§ 11.807 .................

Towing officers,
§ 10.227(d) and
(e).

11.604 ...................
Part 11, subparts D
and E.

§ 11.603 .................

N/A ........................

N/A ........................

Master § 11.493 .....
Chief Mate
§ 11.495.
Mate § 11.497
C/E § 11.553
Engineer
§ 11.555

Demonstration
of professional
ability

TABLE 1 TO § 10.239: QUICK REFERENCE TABLE FOR MMC REQUIREMENTS—Continued

Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative

N/A ........................

1 year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
N/A ........................

N/A ........................
3 months in past 3
years, § 11.201
(c)(2).

N/A ........................

original § 11.201
(c)(2).
renewal
§ 10.227(e).

original § 11.201
(c)(2).
renewal
§ 10.227(e).

original § 11.201
(c)(2).
renewal
§ 10.227(e).

Recency of service

N/A.

§ 12.601(c).

§ 12.601(c).

N/A.

N/A.

§ 11.201(i).

N/A.

N/A.
N/A.

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

First aid and CPR

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N/A ........................................

N/A ........................................

§ 12.623(a) ............

N/A ........................

GMDSS at sea
maintainer.
Medical first-aid provider.

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(1)
§ 10.221(a)(2.

§ 11.337(a) ............

U.S. § 10.221(a)(1) ................

N/A ........................................

N/A ........................

N/A ........................................

N/A ........................

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

N/A ........................

§ 12.615(a)(1) ........

§ 12.613(a)(1) ........

§ 12.617(a)(1) ........

N/A ........................

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2)§ 12.803;
§ 12.809.

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2).

High Speed Craft ....

Assistance Towing
endorsement.
Radar Observer endorsement.
Vessel Security Officer.

Proficiency in survival craft and rescue boats other
than lifeboats and
fast rescue boatslimited.

Proficiency in survival craft and rescue boats other
than fast rescue
boats.

Proficiency in fast
rescue boats.

Lifeboatman-Limited

N/A ........................

N/A ........................

Entry level ratings ...

Lifeboatman ............

§ 12.611(a)(1) ........

§ 12.609(a)(1) ........

Ratings for forming
an engineering
watch.

Electro-technical rating.

§ 12.607(a)(1) ........

Able-seafarer engine

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N/A ........................

N/A ........................

N/A ........................

§ 10.302(a) ............

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

§ 10.302(a) ............

N/A; note exception
in § 12.811(a)(2).
Note: Food Handler
(F.H.) requirements in Table
§ 10.302(a).
(xiii) § 10.302(a)
(xiv).
§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

§ 10.302(a) ............

§ 12.619(b) ............

N/A ........................

§ 11.821(b)(1)
§ 11.821(c).

§ 11.337(a) ............

N/A ........................

§ 11.482 .................

§ 12.615(a)(2) ........

§ 12.613(a)(2) ........

N/A ........................

§ 12.409(b)(1) ........

§ 12.407(b)(1) ........

N/A ........................

§ 12.611(a)(2) ........

§ 12.609(a)(2) ........

§ 12.607(a)(3) ........

N/A ........................

N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A: Note exceptions in
§ 11.201(g) for
original national
or STCW endorsements.
N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

N/A ........................

§ 11.482 .................

N/A ........................

N/A ........................

N/A ........................

§ 12.409(b)(2); (4)

§ 12.407(b)(2); (4)

N/A ........................

N/A ........................

N/A ........................

N/A ........................

§ 12.619(a)(1); (2)

§ 12.623(b) ............

§ 11.821(b)(2) ........

§ 11.337(a) ............

§ 11.480(d); (h) ......

§ 11.482 .................

§ 12.615(a)(3) ........

§ 12.613(a)(3) ........

§ 12.617(a)(2); (3);
(4).

§ 12.409(b)(2); (3)

§ 12.407(b)(2); (3)

N/A ........................

§ 12.611(a)(3);
§ 12.611(b).

§ 12.609(a)(3) ........

§ 12.607(a)(2); (4)
§ 12.607(b); (c).

N/A ........................

N/A ........................

Renewal:
§ 11.821(e).

original § 11.201
(c)(2).
renewal
§ 10.227(e).

Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
Renewal
§ 12.617(b)(2).
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
Renewal:
§ 12.613(b)(2).
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
Renewal:
§ 12.615(b)(2).
original
§ 11.201(c)(2).
N/A ........................

Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
N/A ........................

§ 12.619(a)(1).

N/A.

N/A.

§ 11.201(i).

N/A.

N/A.

§ 12.601(c).

§ 12.601(c).

§ 12.601(c).

N/A.

N/A.

N/A.

§ 12.601(c).

§ 12.601(c).

§ 12.601(c).

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Ratings serving on
passenger ships
on international
voyages.

N/A ........................

§ 12.627(a)(1) ........

Security awareness

N/A ........................................

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2)§ 12.803.

N/A ........................................

U.S. or alien admitted for
permanent residence,
§ 10.221(a)(2)§ 12.803.

§ 12.625(a)(1) ........

Citizenship

N/A ........................

Minimum age

N/A ........................

§ 12.627(a)(2) ........

§ 12.625(a)(2) ........

N/A ........................

Medical and
physical exam

N/A ........................

§ 12.627(a)(1) ........

§ 12.625(a)(1) ........

§ 12.621(b) ............

Experience

N/A ........................

N/A ........................

N/A ........................

N/A ........................

Recommendations
and character
check

N/A ........................

N/A ........................

N/A ........................

N/A ........................

Firefighting

[For tankerman endorsements, see table 1 to § 13.129.]

N/A ........................

N/A ........................

N/A ........................

N/A ........................

Professional exam

§ 12.905(a); (b) ......

§ 12.627(a)(1) ........

§ 12.625(a)(1) ........

§ 12.621(a)(1); (2)

Demonstration
of professional
ability

TABLE 1 TO § 10.239: QUICK REFERENCE TABLE FOR MMC REQUIREMENTS—Continued

Person in charge of
medical care.
Vessel personnel
with designated
security duties.

Endorsement
category

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Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
Renewal only, 1
year in past 5,
§ 10.227(e) and
(f).
Note: alternative.
Renewal
§ 12.905(d).

N/A ........................

Recency of service

N/A.

N/A.

N/A.

§ 12.621(a)(1).

First aid and CPR

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
29. Add subpart C, consisting of
§§ 10.301 through 10.306, to read as
follows:

■

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

Subpart C—Medical Certification
§ 10.301

General requirements.

(a) The Coast Guard will issue a
medical certificate to a mariner meeting
the medical and physical standards for
merchant mariners. The medical
certificate will be issued for various
periods of time based upon the
endorsements the mariner holds. The
Coast Guard will review all information
provided and will determine whether—
(1) The applicant is physically and
medically qualified for the medical
certificate without any limitations,
waivers and/or other conditions;
(2) The applicant is physically and
medically qualified for the medical
certificate with limitations and/or other
conditions as specified by the Coast
Guard;
(3) For an applicant who does not
possess the vision, hearing, or general
physical condition necessary, a medical
certificate may be issued with
appropriate limitations, waivers and/or
other conditions as specified by the
Coast Guard;

(4) Additional information is
necessary to determine if the applicant
is physically and/or medically qualified
for the medical certificate. The Coast
Guard will request additional
information from the applicant. The
Coast Guard may hold the package
pending receipt of that information
before the package and/or application is
denied; or
(5) The applicant is not physically
and/or medically qualified for the
medical certificate. The application for
a medical certificate will be denied by
the Coast Guard.
(b) Except as otherwise noted,
medical certificates will be issued for
the following periods of time:
(1) All persons employed or engaged
onboard vessels to which STCW applies
will be issued a medical certificate valid
for 2 years unless the mariner is under
the age of 18, in which case the
maximum period of validity will be 1
year.
(2) Medical certificates issued to a
mariner who is serving as a first-class
pilot, or acting as a pilot under § 15.812
of this subchapter, will be issued for a
maximum period of 2 years.
(3) Medical certificates issued to all
other mariners will be issued for a
maximum period of 5 years.
(4) Applicants seeking additional
MMC endorsements holding a current
medical certificate are not required to
submit a new medical physical exam if
their existing medical certification
meets all of the requirements of this
section for the endorsement sought.

77901

(c) Applicants holding no
endorsement other than a staff officer
endorsement need not meet the medical
and physical requirements of this
section.
§ 10.302 Medical and physical
requirements.

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

TABLE 1 TO § 10.302(a)—MEDICAL AND PHYSICAL REQUIREMENTS FOR MARINER ENDORSEMENTS
2
Vision
test

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1
Credential
(1) Deck officer, including pilot ........................................................................
(2) Engineering officer .....................................................................................
(3) Radio officer ...............................................................................................
(4) Offshore installation manager, barge supervisor, or ballast control operator ...............................................................................................................
(5) Able seaman ..............................................................................................
(6) QMED .........................................................................................................
(7) Able seafarer deck .....................................................................................
(8) RFPNW ......................................................................................................
(9) Able seafarer engine ..................................................................................
(10) RFPEW ....................................................................................................
(11) Electro-technical rating .............................................................................
(12) Tankerman ...............................................................................................
(13) Lifeboatman and Proficiency in survival craft and rescue boats other
than fast rescue boats (PSC) .......................................................................
(14) Lifeboatman-Limited and Proficiency in survival craft and rescue boats
other than fast rescue boats—limited (PSC—limited) .................................
(15) Fast Rescue Boat ....................................................................................
(16) Food handler serving on vessels to which STCW does not apply ..........
(17) Food handler serving on vessels to which STCW applies ......................
(18) Ratings, including entry level, serving on vessels to which STCW applies, other than those listed above .............................................................

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3
Hearing
test

4
General
medical exam

5
Demonstration
of physical
ability

§ 10.305(a)
§ 10.305(b)
§ 10.305(b)

§ 10.306
§ 10.306
§ 10.306

§ 10.304(a)
§ 10.304(a)
§ 10.304(a)

§ 10.304(c)
§ 10.304(c)
§ 10.304(c)

§ 10.305(b)
§ 10.305(a)
§ 10.305(b)
§ 10.305(a)
§ 10.305(a)
§ 10.305(b)
§ 10.305(b)
§ 10.305(b)
§ 10.305(b)

§ 10.306
§ 10.306
§ 10.306
§ 10.306
§ 10.306
§ 10.306
§ 10.306
§ 10.306
§ 10.306

§ 10.304(a)
§ 10.304(a)
§ 10.304(a)
§ 10.304(a)
§ 10.304(a)
§ 10.304(a)
§ 10.304(a)
§ 10.304(a)
§ 10.304(a)

§ 10.304(c)
§ 10.304(c)
§ 10.304(c)
§ 10.304(c)
§ 10.304(c)
§ 10.304(c)
§ 10.304(c)
§ 10.304(c)
§ 10.304(c)

§ 10.305(b)

§ 10.306

§ 10.304(a)

§ 10.304(c)

§ 10.305(b)
§ 10.305(b)
........................
........................

§ 10.306
§ 10.306
........................
........................

§ 10.304(a)
§ 10.304(a)
§ 10.304(b)
§ 10.304(b)

§ 10.304(c)
§ 10.304(c)
........................
§ 10.304(c)

........................

........................

........................

§ 10.304(c)

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

TABLE 1 TO § 10.302(a)—MEDICAL AND PHYSICAL REQUIREMENTS FOR MARINER ENDORSEMENTS—Continued
1
Credential

2
Vision
test

3
Hearing
test

4
General
medical exam

5
Demonstration
of physical
ability

(19) Ratings, including entry level, serving on vessels to which STCW does
not apply, other than those listed above .....................................................
(20) Vessel security officer ..............................................................................

........................
§ 10.305(a)

........................
§ 10.306

........................
§ 10.304(a)

........................
§ 10.304(c)

sroberts on DSK5SPTVN1PROD with RULES

§ 10.303 Medical waivers, limitations, and
restrictions.

(a) The Coast Guard may grant a
waiver if, after review of all relevant
supporting medical documents and
consultation with the examining
physician, as needed, an applicant does
not possess the vision, hearing, or
general physical condition necessary;
and extenuating circumstances warrant
special consideration. An applicant may
submit to the Coast Guard additional
correspondence, records, and reports in
support of a waiver. In this regard,
recommendations from agencies of the
Federal Government operating
government vessels, as well as owners
and operators of private vessels, made
on behalf of their employees, will be
given full consideration.
(b) In general, medical waivers are
approved when an applicant does not
meet the applicable medical standards,
but objective medical evidence indicates
that the condition is sufficiently
controlled and the effects of medication
pose no significant risk to maritime and
public safety. The Coast Guard retains
final authority for the issuance of
medical waivers.
(c) Medical waivers may be granted
with specific conditions to which the
applicant must adhere, such as more
frequent monitoring of the medical
conditions, submission of medical
exams and/or tests at varying intervals
to track the ongoing status of the
medical condition, or operational
limitations in the manner the mariner
may serve under the MMC.
(d) The Coast Guard may place an
operational limitation on medical and
physical conditions. Any operational
limitations will be reflected in the
medical certificate.
(e) The Coast Guard may place a
restriction on a medical certificate based
upon medical and physical conditions
of an applicant. Any restriction will be
reflected on the medical certificate and
may include restriction of route or trade.
§ 10.304

General medical exam.

(a) The general medical exam must be
documented and of such scope to
ensure that there are no conditions that
pose significant risk of sudden

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incapacitation or debilitating
complication. This exam must also
document any condition requiring
medication that impairs cognitive
ability, judgment, or reaction time. The
Coast Guard will provide guidance on
the conduct of general medical exams.
Examiners should be familiar with the
content and recommended medical
evaluation data compiled in the medical
guidelines.
(b) Food handlers are not required to
submit to a general medical exam, but
must obtain a statement from a licensed
physician, physician assistant, or nurse
practitioner attesting that they are free
of communicable diseases that pose a
direct threat to the health or safety of
other individuals in the workplace.
(c) Demonstration of physical ability.
(1) A demonstration of physical ability
is required only if—
(i) The medical practitioner
conducting the general medical exam is
concerned that an applicant’s physical
ability may impact maritime safety; or
(ii) Table 1 to § 10.302(a) of this
subpart shows that the mariner must
pass a demonstration of physical ability.
(2) For an applicant to satisfactorily
pass a demonstration of physical ability,
the examiner must be satisfied that the
applicant—
(i) Has no disturbance in the sense of
balance;
(ii) Is able, without assistance, to
climb up and down vertical ladders and
inclined stairs;
(iii) Is able, without assistance, to step
over a door sill or coaming;
(iv) Is able to move through a
restricted opening of 24-by-24 inches
(61-by-61 centimeters);
(v) Is able to grasp, lift, and
manipulate various common shipboard
tools, move hands and arms to open and
close valve wheels in vertical and
horizontal directions, and rotate wrists
to turn handles;
(vi) Does not have any impairment or
disease that could prevent normal
movement and physical activities;
(vii) Is able to stand and walk for
extended periods of time;

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(viii) Does not have any impairment
or disease that could prevent response
to a visual or audible alarm; and
(ix) Is capable of normal conversation.
(3) Guidance on demonstration of
physical ability is contained in the
relevant Coast Guard guidance for the
conduct of general medical exams.
(d) Reports of medical and physical
exams, demonstrations, and tests. These
reports must be submitted within 12
months from the date signed by the
licensed medical professional. When
submitted with a complete application
package, these reports remain valid for
12 months from the date the Coast
Guard accepts a complete application.
§ 10.305

Vision requirements.

(a) Deck standard. (1) A mariner must
have correctable vision to at least 20/40
in one eye and uncorrected vision of at
least 20/200 in the same eye. The color
sense must be determined to be
satisfactory when tested by any of the
following methods or an alternative test
acceptable to the Coast Guard, without
the use of color-sensing lenses:
(i) Pseudoisochromatic Plates
(Dvorine, 2nd Edition; AOC; revised
edition or AOC–HRR; Ishihara 14-, 24, or 38-;plate editions).
(ii) Farnsworth Lantern.
(iii) Titmus Vision Tester/OPTEC
2000.
(iv) Optec 900.
(v) Richmond Test, 2nd and 4th
edition.
(2) After January 1, 2017, applicants
for an STCW endorsement must have
correctable vision to at least 20/40 in
both eyes and uncorrected vision of at
least 20/200 in both eyes. A mariner
who meets these requirements and who
suffers loss of vision in one eye after
being issued an MMC is subject to the
requirements of paragraphs (c), (d), and
(e) of this section, as applicable. A
mariner holding an MMC prior to
January 1, 2017, must continue to meet
the requirements of paragraph (a)(1) of
this section.
(b) Engineering, radio officer,
tankerman, and MODU standard. A
mariner must have correctable vision to

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
at least 20/50 in one eye and
uncorrected vision of at least 20/200 in
the same eye and need only the ability
to distinguish the colors red, green,
blue, and yellow. The color sense must
be determined to be satisfactory when
tested by any color-vision test listed in
paragraph (a) of this section, or an
alternative test acceptable to the Coast
Guard, without the use of color-sensing
lenses. The Coast Guard will accept
Farnsworth D–15 Hue Test as a color
vision test to meet the requirements of
this paragraph.
(c) Vision waiver. Any applicant
whose uncorrected vision does not meet
the 20/200 standard and is correctable
to listed standards above may be granted
a medical waiver in accordance with
§ 10.303 of this subpart. If a vision
waiver is granted, a limitation will be
placed on his or her MMC indicating the
mariner may not serve under the
authority of the endorsement unless
corrective lenses are worn and spare
lenses are carried onboard a vessel.
Waivers are not normally granted to an
applicant whose corrected vision in the
better eye is not at least 20/40 for deck
officers or 20/50 for engineer officers.
(d) Vision operational limitation. If
corrective lenses are required in order to
meet the vision standards above, a
mariner may not serve under the
authority of the endorsement unless
corrective lenses are worn and spare
lenses are carried onboard a vessel. This
operational limitation will be placed on
his or her medical certificate.
(e) Loss of vision. A mariner having
lost vision in one eye must wait 6
months from the date of the vision loss
before submitting any application, and
must provide a statement of
demonstrated ability on his or her
medical examination.

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§ 10.306

Hearing requirements.

(a) If the medical practitioner
conducting the general medical exam
has concerns that an applicant’s ability
to hear may impact maritime safety, the
examining medical practitioner must
refer the applicant to an audiologist or
other hearing specialist to conduct an
audiometer test and a speech
discrimination test, as appropriate.
(b) The audiometer test must include
testing at the following thresholds: 500
Hz; 1,000 Hz; 2,000 Hz; and 3,000 Hz.
The frequency responses for each ear
must be averaged to determine the
measure of an applicant’s hearing
ability. Applicants must demonstrate an
unaided threshold of 30 decibels or less
in at least one ear.
(c) The functional speech
discrimination test must be carried out
at a level of 65 decibels. For issuance of

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an original MMC or endorsement the
applicant must demonstrate functional
speech discrimination of at least 90
percent. For renewal or raise of grade,
the applicant must demonstrate
functional speech discrimination of at
least 80 percent.
(d) Hearing waivers. An applicant
who is unable to meet the hearing
standards of the audiometer test, but
who can pass the functional speech
discrimination test; or who requires
hearing aids to meet the hearing
standards, may be eligible for a medical
waiver in accordance with § 10.303 of
this subpart.
(e) Hearing operational limitation. If
hearing aids are required in order to
meet the hearing standards above, a
mariner may not serve under the
authority of the endorsement unless
hearing aids are worn in the operational
mode, and spare batteries are carried
onboard a vessel. This operational
limitation will be placed on his or her
medical certificate.
30. Add subpart D, consisting of
§§ 10.401 through 10.412, to read as
follows:
Subpart D—Training Courses and Programs
Sec.
10.401 Applicability.
10.402 Approval of training courses.
10.403 General standards.
10.404 Substitution of training for required
service, use of training-record books
(TRBs), and use of towing officer
assessment records (TOARs).
10.405 Qualification as qualified assessor
(QA) and designated examiner (DE).
10.406 Approved courses.
10.407 Approval of training programs.
10.408 Coast Guard-accepted training other
than approved courses and programs.
10.409 Coast Guard-accepted Quality
Standard System (QSS) organizations.
10.410 Quality Standard System (QSS)
requirements.
10.411 Simulator performance standards.
10.412 Distance and e-learning.
§ 10.401

Applicability.

This subpart prescribes the general
requirements applicable to offerors of all
approved courses and training programs
which may be accepted instead of sea
service, examination required by the
Coast Guard, or STCW assessments, or
which satisfy course completion
requirements.
§ 10.402

Approval of training courses.

(a) Categories. The Coast Guard may
approve courses designed to substitute
for or fulfill any or all of the following:
(1) A portion of sea service
requirement.
(2) Examinations required by the
Coast Guard.
(3) Professional competency
requirements.

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77903

(4) Regulatory requirements.
(b) Request for approval.
Organizations desiring course approval
by the Coast Guard must submit a
written request and a complete
curriculum package to the National
Maritime Center, either by mail or
electronically. The curriculum package
must be provided in a format specified
by the Office of Vessel Activities (CG–
CVC) and include:
(1) A cover letter. The cover letter
must contain—
(i) The name of the organization
providing the instruction and the course
name;
(ii) The locations where the course
will be held;
(iii) A general description and
overview of the course;
(iv) The category of acceptance being
sought, as listed in paragraph (a) of this
section; and
(v) Reference to regulatory
requirements met by the training.
(2) Part A: Course framework. The
course framework must contain—
(i) The following specific course
intentions:
(A) Course scope.
(B) Course objective;
(ii) The following conditions relative
to students:
(A) Student entry standards.
(B) Class-size limitations.
(C) Student/teacher ratio;
(iii) Documentary evidence that each
instructor and/or assessor—
(A) Has either experience, training, or
evidence of instruction in effective
instructional techniques and/or effective
assessment techniques;
(B) Is qualified in the task for which
the training is being conducted and
have relevant experience; and
(C) Has attained a level of experience
and qualification equal or superior to
the relevant level of knowledge, skills,
and abilities described in the
performance objective;
(iv) Site information, which must
include—
(A) A description of the facility,
measurements of the instructional
space, pictures showing multiple views
of the space, and a description of the
instruction or assessment being
performed; and
(B) A request, if applicable, to teach
at an alternative site. This requires
contact with the local Regional Exam
Center and approval by the National
Maritime Center; and
(v) A description of the following
materials used for development,
instruction, and performance
measurement:
(A) Equipment.
(B) Teaching aids.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

(C) Textbooks and presentations.
(D) Reference bibliography.
(3) Part B: Course outline. The course
outline must contain—
(i) Course subjects/topics; and
(ii) Course schedule, including the
duration and order of lessons, and an
indication as to whether each lesson
is—
(A) A classroom lecture;
(B) A practical demonstration;
(C) A simulator exercise;
(D) An examination; or
(E) Another method of instructional
reinforcement.
(4) Part C: Detailed teaching syllabus.
The detailed teaching syllabus must be
written in a learning objective format in
which the objectives describe what the
student must do to demonstrate that the
specific knowledge has been transferred.
The detailed teaching syllabus must
contain—
(i) The learning objectives as related
to the subjects/topics;
(ii) The specific references from
which the instruction was developed;
and
(iii) Reference to the specific teaching
aids, textbooks, or technical materials
used for instruction and performance
measurement.
(5) Part D–1: Lesson plans. The lesson
plans must contain the following
specific instructional contents of the
individual course lessons:
(i) The main element learning
objective.
(ii) Student assignments.
(iii) Training outcomes, which are
statements that identify the specific
knowledge, skill, or ability that students
must gain and display as a result of the
training or instructional activity. A
training outcome is made up of three
elements: expected student
performance, condition, and criterion.
(6) Part D–2: Instructor notes. The
instructor notes must contain—
(i) The specific instructional
methodologies utilized in the particular
lesson; and
(ii) The instructional materials,
including instructional directions
containing the following:
(A) Pre-instructional activities.
(B) Content presentation.
(C) Student participation.
(D) Assessment process.
(E) Other instructional activities, such
as homework and reading assignments.
(7) Part E: Evaluations. The
evaluations section must contain—
(i) Any methodology that is used to
measure a student’s knowledge,
performance, or level of achievement,
including—
(A) Homework;
(B) Quizzes;

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(C) Exams;
(D) Laboratory projects;
(E) Competency assessments;
(F) Remediation; and
(G) Testing strategies;
(ii) Assessment instruments, which
are any tools used to determine whether
the student has achieved the desired
level of knowledge, understanding, or
proficiency; and
(iii) Any methodology that is used to
measure the effectiveness of the training
or instructor, including—
(A) Instructor evaluations;
(B) Course evaluations/surveys; and
(C) Other feedback.
(8) Course completion certificate. A
sample course completion certificate
that allows for the following
information to be entered:
(i) Course provider number.
(ii) Course number.
(iii) Terms of approval.
(c) Approval notification. The Coast
Guard will notify each applicant for
course approval when an approval is
granted or denied. If the Coast Guard
denies a request for approval, the Coast
Guard will inform the applicant of the
reasons for the denial and describe the
corrections required for granting an
approval.
(d) Validity of course approval.
Unless surrendered, suspended, or
withdrawn, an approval for a course is
valid for up to a maximum of 5 years
after issuance, unless—
(1) The school ceases operation;
(2) The school gives notice that it will
no longer offer the course;
(3) The owner or operator fails to
submit any required information; or
(4) Any change occurs in the
ownership of the school to which the
approval was issued.
(e) Significant changes to the course
approval. (1) Any significant changes to
the course approval or the content of the
course will be handled as a request for
renewal of an approval (as specified in
paragraph (f) of this section), or as a
request for an original approval (as
specified in paragraph (b) of this
section), depending on the nature and
scope of the change.
(2) The Coast Guard may not accept
course completion certificates if the
course does not follow the conditions of
the course approval.
(f) Renewal of course approval. (1) If
the owner or operator of a training
school desires to have a course’s
approval renewed, the owner or
operator must submit a request to the
NMC accompanied by the information
from paragraph b of this section.
(2) If satisfied that the content and
quality of instruction remain
satisfactory, the Coast Guard will
approve the request.

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(3) The renewed approval is valid as
detailed in paragraph (d) of this section.
(g) Suspension of approval. (1) The
Coast Guard may suspend the approval,
require the holder to surrender the
certificate of approval, and may direct
the holder to cease claiming the course
is Coast Guard-approved, if it
determines that a specific course does
not comply with the—
(i) Applicable provisions of 46 CFR
parts 10, 11, 12, or 13;
(ii) Requirements specified in the
course’s approval; or
(iii) Course’s curriculum package as
submitted for approval.
(2) The Coast Guard will notify the
approval holder in writing of the intent
to suspend course approval and the
reasons for suspension. If the approval
holder fails to correct the conditions
leading to suspension, the course will
be suspended. The Coast Guard will
notify the approval holder that the
specific course fails to meet applicable
requirements and explain how the
deficiencies can be corrected.
(3) The Coast Guard may grant the
approval holder up to 90 days to correct
the deficiency.
(4) Course completion certificates will
not be accepted for training provided
during a period of suspension or
expiration.
(h) Withdrawal of approval. The Coast
Guard may withdraw approval for any
course—
(1) When the approval holder fails to
correct the deficiency of a suspended
course within 90 days; or
(2) Upon determining that the
approval holder has demonstrated a
pattern or history of any of the
following:
(i) Failing to comply with the
applicable regulations or the course
approval requirements.
(ii) Deviating from approved course
curricula.
(iii) Presenting courses in a manner
that does not achieve the learning
objectives.
(iv) Falsifying any document required
and integral to the conduct of the
course, including, but not limited to,
attendance records, written test grades,
course completion grades, or assessment
of practical demonstrations.
(i) Appeals of suspension or
withdrawal of approval. Anyone
directly affected by a decision to
suspend or withdraw an approval may
appeal the decision to the Commandant
as provided in § 1.03–40 of this chapter.
§ 10.403

General standards.

(a) Each school with an approved
course must—
(1) Have a well-maintained facility
that accommodates the students in a

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

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from the NMC as specified in § 10.402(e)
of this subpart;
(8) Conduct an internal audit midway
through the term of the course’s
approval and maintain the results of the
audit for a period of not less than 5
years. The audit will evaluate whether—
(i) Records are being maintained
according to these regulations;
(ii) The course is being presented in
accordance with the approval letter; and
(iii) Surveys from students indicate
that the course is meeting their needs;
and
(9) At any time, allow the Coast Guard
to—
(i) Inspect its facilities, equipment,
and records, including scholastic
records;
(ii) Conduct interviews and surveys of
students to aid in course evaluation and
improvement;
(iii) Assign personnel to observe or
participate in the course of instruction;
and
(iv) Supervise or administer the
required examinations or practical
demonstrations, including the
substitution of an applicable Coast
Guard examination in a course
approved to substitute for a Coast Guard
administered examination.
(b) [Reserved]
§ 10.404 Substitution of training for
required service, use of training-record
books (TRBs), and use of towing officer
assessment records (TOARs).

(a) Substitution of training for
required service. (1) Satisfactory
completion of an approved training
course may be substituted for a portion
of the required service on deck or in the
engine department for national deck or
engineer endorsements. Satisfactory
completion of an approved training
program which includes sea service may
be substituted for a portion of or all of
the required service on deck or in the
engine department, except as limited by
law for ratings. The list of all currently
approved courses and programs,
including the equivalent service and
applicable endorsements, is maintained
by the NMC.
(2) Unless otherwise allowed, recency
requirements may not be achieved by
service granted as a result of successful
completion of approved training or by
training on a simulator; however,
underway service obtained as a portion
of an approved course or program may
be used for this purpose.
(3) Unless otherwise allowed, training
obtained before receiving an
endorsement may not be used for
service credit for subsequent raises of
grade, increases in scope, or renewals.
(4) This provision for crediting service
for training is not applicable to STCW

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77905

endorsements unless provided
otherwise.
(b) Use of training-record books
(TRBs). (1) Approved training programs
for STCW endorsements for OICNW and
OICEW must maintain a TRB for each
student where training and/or
assessments of competence are
conducted onboard the ship. The TRB
must contain at least the following
information:
(i) The name of the applicant.
(ii) The tasks to be performed or the
skills to be demonstrated, with reference
to the standards of competence set forth
in the tables of the appropriate sections
in part A of the STCW Code
(incorporated by reference, see § 10.103
of this part).
(iii) The method for demonstrating
competence to be used in determining
that the tasks or skills have been
performed properly, with reference to
the standards of competence set forth in
the tables of competence in the
appropriate sections in part A of the
STCW Code (incorporated by reference,
see § 10.103 of this part).
(iv) A place for a qualified instructor
to indicate by his or her initials that the
applicant has received training in the
proper performance of the task or skill.
(v) A place for a qualified assessor
(QA) to indicate by his or her initials
that the applicant has successfully
completed a practical demonstration
and has proved competent in the task or
skill under the criteria, when
assessment of competence is to be
documented in the record books.
(vi) The printed name of each
qualified instructor, including any MMC
endorsements held, and the instructor’s
signature.
(vii) The printed name of each
qualified assessor, when any assessment
of competence is recorded, including
any MMC endorsement, license, or
document held by the assessor, and the
assessor’s signature confirming that his
or her initials certify that he or she has
witnessed the practical demonstration
of a particular task or skill by the
applicant.
(2) The TRB referred to in paragraph
(b) of this section may be maintained
electronically, provided the electronic
record meets Coast Guard-accepted
standards for accuracy, integrity, and
availability.
(3) The Coast Guard may accept other
forms of documentation as meeting the
requirements to maintain the trainingrecord book.
(c) Use of towing officer assessment
records (TOARs). Each applicant for an
endorsement as master or mate (pilot) of
towing vessels, and each master or mate
of self-propelled vessels of 200 GRT or

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more, seeking an endorsement for
towing vessels, must complete a TOAR
approved by the Coast Guard that
contains at least the following:
(1) Identification of the applicant,
including his or her full name, and
reference number.
(2) Objectives of the training and
assessment.
(3) Tasks to perform or skills to
demonstrate.
(4) Criteria to use in determining that
the tasks or skills have been performed
properly.
(5) A means for a designated examiner
(DE) to attest that the applicant has
successfully completed a practical
demonstration and has proved
proficient in the task or skill under the
criteria.
(6) Identification of each DE by his or
her full name and reference number, job
title, ship name and official number,
and serial number of the MMC, license,
or document held, and printed name
and signature confirming that his or her
initials certify that he or she has
witnessed the practical demonstration
of a particular task or skill by the
applicant.

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

(a) To become a QA, an applicant
must have documentary evidence to
establish—
(1) Experience, training, or instruction
in assessment techniques;
(2) Qualifications in the task for
which the assessment is being
conducted; and
(3) Possession of the level of
endorsement, or other professional
credential, which provides proof that he
or she has attained a level of experience
and qualification equal or superior to
the relevant level of knowledge, skills,
and abilities to be assessed.
(b) To become a DE for towing officer
assessment records (TOARs), an
applicant must have documentary
evidence to establish—
(1) Experience, training, or instruction
in assessment techniques on towing
vessels;
(2) Qualifications on towing vessels in
the task for which the assessment is
being conducted; and
(3) Possession of the level of
endorsement on towing vessels, or other
professional credential, which provides
proof that he or she has attained a level
of qualification equal or superior to the
relevant level of knowledge, skills, and
abilities described in the training
objectives.
(c) Documentary evidence may be in
the form of performance evaluations,

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which include an evaluation of
effectiveness in on-the-job organization
and delivery of training, or a certificate
of successful completion from an
‘‘assessor training’’ course.
(d) In order to renew his or her
qualifications, each QA and DE must
have either experience, training, or
evidence of instruction in effective
assessment within the past 5 years.
§ 10.406

Approved courses.

The NMC maintains the list of
training organizations and the approvals
given to the training they offer. This
information is available online at
www.uscg.mil/nmc.
§ 10.407

Approval of training programs.

(a) Training programs approved to
qualify a mariner to hold an STCW or
national endorsement must meet the
standards in this section or the
requirements in § 10.402 of this subpart.
All such programs must also meet the
same standards as those found in
§ 10.403 of this subpart. The Coast
Guard will accept information
submitted by training providers to state,
regional, and/or national accrediting
bodies as evidence such providers
satisfy one or more of the requirements
of this section.
(b) Categories. The Coast Guard may
approve programs designed to substitute
for or fulfill any or all of the following:
(1) A portion of sea service
requirements.
(2) Examinations required by the
Coast Guard.
(3) Professional competency
requirements.
(4) Regulatory requirements.
(c) Request for approval.
Organizations desiring program
approval by the Coast Guard must
submit a written request and a complete
curriculum package to the National
Maritime Center (NMC), either by mail
or electronically. The curriculum
package must include the following
information:
(1) A cover letter. The cover letter
must contain—
(i) The name of the organization
providing the instruction;
(ii) The location(s) where it will be
held;
(iii) A general description and
overview of the program, including the
individual courses that are part of the
program;
(iv) The category of acceptance being
sought as listed in paragraph (b) of this
section; and
(v) Reference to regulatory
requirements met by the training.
(2) A goal statement(s). The goal
statement should describe—

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(i) The specific performance behaviors
to be measured;
(ii) The conditions under which the
performance behavior(s) will be
exhibited; and
(iii) The level of performance
behavior(s) that is to be achieved.
(3) Performance objectives.
Performance objectives are statements,
which identify the specific knowledge,
skill, or ability the student should gain
and display as a result of the training or
instructional activity. A performance
objective is made up of three elements:
Expected student performance,
condition, and criterion.
(4) Assessment instruments.
Assessment instruments are any tools
used to determine whether the student
has achieved the desired level of
knowledge, understanding, or
proficiency.
(5) Instructor information.
Documentary evidence that each
instructor and assessor—
(i) Has either experience, training, or
evidence of instruction in effective
instructional techniques and/or in
effective assessment techniques;
(ii) Is qualified in the task for which
the training is being conducted and
have relevant experience; and
(iii) Has attained a level of experience
and qualification equal or superior to
the relevant level of knowledge, skills,
and abilities described in the
performance objective.
(6) Site information. Site information
must include a description of the
facility or facilities at which the training
will be held. Authority to teach at an
alternative site requires approval by the
NMC.
(7) A teaching syllabus. A detailed
teaching syllabus providing the
following information:
(i) Instructional strategy. Aspects of
instructional strategies should include—
(A) The order of presentation;
(B) The level of interaction, including
the student-to-teacher ratio;
(C) Feedback;
(D) Remediation;
(E) Testing strategies; and
(F) Media used to present
information.
(ii) Instructional materials, including
lesson plans containing—
(A) Pre-instructional activities;
(B) Content presentation;
(C) Student participation;
(D) Assessment processes; and
(E) Other instructional activities, such
as homework and reading assignments.
(iii) Course surveys on the relevance
and effectiveness of the training
completed by students.
(iv) Course schedule, including the
duration and order of lessons, and an

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indication as to whether each lesson
is—
(A) A classroom lecture;
(B) A practical demonstration;
(C) A simulator exercise;
(D) An examination; or
(E) Another method of instructional
reinforcement.
(8) Program completion certificate. A
sample program completion certificate.
(d) Approval notification. The Coast
Guard will notify each applicant for
program approval when an approval is
granted or denied. If the Coast Guard
denies a request for approval, the Coast
Guard will inform the applicant of the
reasons for the denial and describe the
corrections required for granting an
approval.
(e) Validity of program approval.
Unless surrendered, suspended, or
withdrawn, an approval for a program is
valid for up to a maximum of 5 years
after issuance, unless—
(1) The school ceases operation;
(2) The school gives notice that it will
no longer offer the program;
(3) The owner or operator fails to
submit any required report; or
(4) Any change occurs in the
ownership of the school to which the
approval was issued.
(f) Significant changes to the course
program approval. (1) Any significant
changes to the program approval or the
content of the program will be handled
as a request for renewal of an approval
(as specified in paragraph (f) of this
section), or as a request for an original
approval (as specified in paragraph (b)
of this section), depending on the nature
and scope of the change.
(2) The Coast Guard may not accept
program completion certificates if the
program does not follow the conditions
of its approval.
(g) Renewal of program approval. (1)
If the owner or operator of a training
school desires to have a program’s
approval renewed, the owner or
operator must submit a request to the
NMC accompanied by the information
from paragraphs (c)(1), (c)(5), (c)(6), and
(c)(7) of this section.
(2) If satisfied that the content and
quality of instruction remain
satisfactory, the Coast Guard will
approve the request.
(3) The renewed approval is valid as
detailed in paragraph (d) of this section.
(h) Suspension of approval. (1) The
Coast Guard may suspend the approval,
require the holder to surrender the
certificate of approval, and may direct
the holder to cease claiming the
program is Coast Guard-approved, if it
determines that a specific program does
not comply with the—
(i) Applicable provisions of 46 CFR
parts 10, 11, 12, or 13;

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(ii) Requirements specified in the
program’s approval; or
(iii) Program’s curriculum package as
submitted for approval.
(2) The Coast Guard will notify the
approval holder in writing of the intent
to suspend program approval and the
reasons for suspension. If the approval
holder fails to correct the reasons for
suspension, the program will be
suspended. The Coast Guard will notify
the approval holder that the specific
program fails to meet applicable
requirements and explain how the
deficiency can be corrected.
(3) The Coast Guard may grant the
approval holder up to 90 days to correct
the deficiency.
(4) Program completion certificates
will not be accepted for training
provided during a period of suspension
or expiration.
(i) Withdrawal of approval. The Coast
Guard may withdraw approval for any
program—
(1) When the approval holder fails to
correct the deficiency of a suspended
program within 90 days; or
(2) Upon determining that the
approval holder has demonstrated a
pattern or history of any of the
following:
(i) Failing to comply with the
applicable regulations or the program
approval requirements.
(ii) Deviating from approved program
curricula.
(iii) Presenting instructional material
in a manner that does not achieve the
learning objectives.
(iv) Falsifying any document required
and integral to the conduct of the
program, including, but not limited to,
attendance records, written test grades,
course completion grades, or assessment
of practical demonstrations.
(j) Appeals of suspension or
withdrawal of approval. Anyone
directly affected by a decision to
suspend or withdraw an approval may
appeal the decision to the Commandant
as provided in § 1.03–40 of this chapter.
§ 10.408 Coast Guard-accepted training
other than approved courses and programs.

(a) When the training and assessment
of competence required by this part are
not subject to Coast Guard approval
under §§ 10.402 and 10.407 of this
subpart, but are used to qualify a
mariner to hold an endorsement, the
offeror of the course or program must
ensure that such training and
assessment meets the same standards as
those found in §§ 10.402 and 10.403 of
this subpart.
(b) The Coast Guard will accept
courses approved and monitored by a
Coast Guard-accepted Quality Standard

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77907

System (QSS) organization. The Coast
Guard maintains a list of training
organizations conducting accepted
training that are independently
monitored by a Coast Guard-accepted
QSS organization. The Coast Guardaccepted QSS organization must comply
with the following requirements:
(1) Submit a certificate of acceptance
of training to the Coast Guard.
(2) Submit an updated certificate of
acceptance to the Coast Guard if the
terms of acceptance have been changed.
(3) Sign each certificate to the training
organization owner or operator, or its
authorized representative(s), stating that
the training fully complies with the
requirements of this section, and
identifying the Coast Guard-accepted
QSS organization being used for
independent monitoring.
(c) The training must be audited
periodically in accordance with the
requirements of § 10.409(e)(7) of this
subpart. If the Coast Guard determines,
on the basis of its own observations or
conclusions or those of the Coast Guardaccepted QSS organization, that the
particular training does not satisfy one
or more of the conditions described in
paragraph (a) of this section—
(1) The Coast Guard or Coast Guardaccepted QSS organization will so
notify the offeror of the training by
letter, enclosing a report of the
observations and conclusions;
(2) The offeror may, within a period
of time specified in the notice, either
appeal the observations or conclusions
to the Commandant (CG–CVC) or bring
the training into compliance; and
(3) If the appeal is denied—or if the
deficiency is not corrected in the
allotted time, or within any additional
time period judged by the Coast Guard
to be appropriate, considering progress
toward compliance—the Coast Guard
will remove the training from the list
maintained under paragraph (b) of this
section until it can verify full
compliance. The Coast Guard may deny
applications for endorsements based, in
whole or in part, on training not on the
list, until additional training or
assessment is documented.
§ 10.409 Coast Guard-accepted Quality
Standard System (QSS) organizations.

(a) Organizations wishing to serve as
a Coast Guard-accepted QSS
organization, to accept and monitor
training on behalf of the Coast Guard,
should apply to the National Maritime
Center. An organization submitting an
application may not act as a Coast
Guard-accepted QSS organization until
it has received its letter of acceptance.
(b) Validity of acceptance.
Organizations meeting the requirements

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in paragraph (e) of this section will be
issued a letter of acceptance valid for a
maximum period of 5 years from the
date of issuance.
(c) An organization wishing to
become a Coast Guard-accepted QSS
organization must have processes for
reviewing, accepting, and monitoring
training that are equal to the Coast
Guard’s course approval and oversight
processes in §§ 10.402 through 10.410 of
this subpart.
(d) Each person conducting
evaluation and monitoring of the
training must be knowledgeable about
the subjects being evaluated or
monitored and about the national and
international requirements that apply to
the training, and must not be involved
in the training and assessment of
students.
(e) The documentation submitted to
the Coast Guard must contain the
information listed below. An
organization approved as a recognized
classification society in accordance with
46 CFR part 8, subpart B, need not
present evidence of compliance with
paragraphs (e)(1) and (e)(8) of this
section.
(1) Identification of the organization:
Name of the organization, address,
contact information, and organizational
structure (including the QSS
department).
(2) Scope of approval: Training and
assessment the organization wishes to
accept and monitor.
(3) Background of the organization:
Historical information outlining the
organization’s experience reviewing and
accepting training and/or assessment
activities.
(4) Staffing and support
infrastructure, including—
(i) Names and qualifications of the
individuals who will be involved in the
review, acceptance, and monitoring of
training and assessment;
(ii) Description of the training given to
individuals who will be conducting
review, acceptance, and monitoring
activities; and
(iii) Technical and support resources
within the organization that support the
review, acceptance and monitoring
activities.
(5) Submission guidelines:
Information for client organizations to
submit courses for review and
acceptance, including criteria for course
design, instructor/assessor
qualifications, syllabi, equipment, and
facilities.
(6) Review and acceptance
procedures. (i) Descriptions of the
methods of evaluation of the physical,
administrative, and infrastructure
support aspects of client organizations;

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(ii) Descriptions of the methods of
evaluation of the instructors or qualified
assessors of a client organization and
the maintenance of their records;
(iii) Descriptions of format for
accepting training material;
(iv) Descriptions of the methods by
which the course acceptance process
responds to the client organization
modifications to the training
curriculum, changes to instructors or
examiners, changes to the infrastructure
support; and
(v) Descriptions of the renewal
procedures.
(7) Audit procedures: Description of
the methods for auditing accepted
courses. Client organizations must be
audited once in a 5-year period.
(8) Quality commitment: Provide
evidence of having a quality
management system that includes the
following elements:
(i) A documented statement of a
quality policy and quality objectives.
(ii) A quality manual.
(iii) Documented procedures and
records.
(iv) Documents, including records,
determined by the organization to be
necessary to ensure the effective
planning, operation, and control of its
processes.
(f) Coast Guard-accepted QSS
organizations must notify the NMC of
the training they have accepted within
14 days of the acceptance date. The
notification must include the name and
address of the institution, the course
title and the requirement the course
meets, and a one-paragraph description
of the course’s content.
(g) Audits. (1) A Coast Guard-accepted
QSS organization must conduct internal
audits at least once in 5 years with a
minimum of 2 years between reviews.
Results of the internal audits must be
available upon request to the Coast
Guard within 60 days of completion.
(2) Each Coast Guard-accepted QSS
organization may be audited by the
Coast Guard at least once every 5 years.
The results of the audit will be available
to the Coast Guard-accepted QSS
organization within 60 days of
completion of the audit.
(3) Results of Coast Guard-accepted
QSS organizations’ audits to client
organizations must be available upon
request to the Coast Guard within 60
days of completion.
(h) Disenrollment. (1) A Coast Guardaccepted QSS organization must give
each client organization it serves a 180day notice of its intention to cease to
function as a Coast Guard-accepted QSS
organization.
(2) If the Coast Guard determines that
a Coast Guard-accepted QSS

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organization is not meeting its
obligations to review, accept, and
monitor training and assessment, the
NMC will notify the organization in
writing and will enclose information
about the events that led to this
determination. The organization will
then have a specified period of time to
correct the deficiency or appeal the
conclusions to the Commandant (CG–
5P). If the organization appeals, and the
appeal is denied, or the deficiencies are
not corrected within the allotted time,
the NMC will withdraw the acceptance
of the Coast Guard-accepted QSS
organization. The NMC will notify all
client organizations affected by this
decision so that they may make
arrangements to transfer to another
Coast Guard-accepted QSS organization
or seek NMC approval for their training.
(i) A Coast Guard-accepted QSS
organization may not approve courses
provided by subsidiary organizations.
§ 10.410 Quality Standard System (QSS)
requirements.

(a) Providers of Coast Guard-approved
courses, programs, training, and Coast
Guard-accepted training creditable
towards an STCW endorsement must
establish and maintain a Quality
Standard System (QSS), in accordance
with Regulation I/8 of the STCW
Convention (incorporated by reference,
see § 10.103 of this part).
(b) The QSS must be monitored by the
Coast Guard or monitored through a
third party that is designated as a Coast
Guard-accepted QSS organization.
(c) The Coast Guard-monitored QSS
must—
(1) Have a documented quality policy
and quality objectives that align with
the commitment by the training
institution to achieve its missions and
goals;
(2) Maintain a manual that documents
the objectives, authorities, and
responsibilities that are essential
controls for the implementation of the
QSS, including—
(i) The core procedures required to
meet the missions and goals of the
institution;
(ii) The documents necessary for
effective design, planning, operation,
and control for the delivery of courses
meeting the regulatory requirements;
(iii) The filing and archiving of
records so they are retrievable and
legible;
(iv) Action taken to stop recurrence of
system, process, and product
nonconformity; and
(v) Auditing, reviewing, and
improving the performance of the
training management system.
(d) Documentation from a nationally
recognized academic accreditation body

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
may be accepted by the Coast Guard as
meeting one or more of the requirements
listed in paragraph (c) of this section.
The documentation must be readily
available for inspection upon request.
(e) The Coast Guard will accept
documentation from a training
institution certified under a national or
international Quality Management
System Standard as meeting one or
more of the requirements listed in
paragraph (c) of this section. The
documentation must be readily
available for inspection upon request.
(f) Coast Guard-approved courses,
programs, and training creditable
towards an STCW endorsement must
meet the requirements of this section by
January 1, 2017.
(g) The Coast Guard will accept
company ISM documentation as
meeting one or more of the requirements
listed in paragraph (c) of this section.
(h) Organizations are subject to audits
at least twice in a 5-year period.
Organizations must cooperate with
Coast Guard audits.
§ 10.411 Simulator performance
standards.

Simulators used in assessment of
competence must meet the appropriate
performance standards set out in
Section A–I/12 of the STCW Code
(incorporated by reference, see § 10.103
of this part). However, a simulator
installed or brought into use before
February 1, 2002, need not meet those
standards if it fulfills the objectives of
the assessment of competence or
demonstration of proficiency.
§ 10.412

Distance and e-learning.

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

31. Revise part 11 to read as follows:

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PART 11—REQUIREMENTS FOR
OFFICER ENDORSEMENTS
Subpart A—General
Sec.
11.101 Purpose of regulations.
11.102 Incorporation by reference.
11.103–11.105 [Reserved]
11.107 Paperwork approval.
11.109–11.113 [Reserved]
Subpart B—General Requirements for
Officer Endorsements
11.201 General requirements for national
and STCW officer endorsements.
11.203–11.210 [Reserved]

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11.211 Creditable service and equivalents
for national and STCW officer
endorsements.
11.212–11.216 [Reserved]
11.217 Examination procedures and denial
of officer endorsements.
11.219–11.223 [Reserved]
Subpart C—STCW Officer Endorsements
11.301 Requirements for STCW officer
endorsements.
11.302 Basic training.
11.303 Advanced firefighting.
11.304 STCW deck officer endorsements.
11.305 Requirements to qualify for an
STCW endorsement as master on vessels
of 3,000 GT or more (management level).
11.307 Requirements to qualify for an
STCW endorsement as chief mate on
vessels of 3,000 GT or more
(management level).
11.309 Requirements to qualify for an
STCW endorsement as officer in charge
of a Navigational Watch (OICNW) on
vessels of 500 GT or more (operational
level).
11.311 Requirements to qualify for an
STCW endorsement as master on vessels
of 500 GT or more and less than 3,000
GT (management level).
11.313 Requirements to qualify for an
STCW endorsement as chief mate on
vessels of 500 GT or more and less than
3,000 GT (management level).
11.315 Requirements to qualify for an
STCW endorsement as master on vessels
of less than 500 GT (management level).
11.317 Requirements to qualify for an
STCW endorsement as master on vessels
of less than 500 GT limited to nearcoastal waters (management level).
11.319 Requirements to qualify for an
STCW endorsement as Officer in Charge
of a Navigational Watch (OICNW) on
vessels of less than 500 GT (operational
level).
11.321 Requirements to qualify for an
STCW endorsement as Officer in Charge
of a Navigational Watch (OICNW) on
vessels of less than 500 GT limited to
near-coastal waters (operational level).
11.323 STCW engineer officer
endorsements.
11.325 Requirements to qualify for an
STCW endorsement as chief engineer
officer on vessels powered by main
propulsion machinery of 3,000 kW/4,000
HP propulsion power or more
(management level).
11.327 Requirements to qualify for an
STCW endorsement as second engineer
officer on vessels powered by main
propulsion machinery of 3,000 kW/4,000
HP propulsion power or more
(management level).
11.329 Requirements to qualify for an
STCW endorsement as Officer in Charge
on an Engineering Watch (OICEW) in a
manned engineroom, or as a designated
duty engineer in a periodically
unmanned engineroom, on vessels
powered by main propulsion machinery
of 750 kW/1,000 HP propulsion power or
more (operational level).
11.331 Requirements to qualify for an
STCW endorsement as chief engineer

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officer on vessels powered by main
propulsion machinery of 750 kW/1,000
HP or more and less than 3,000 kW/
4,000 HP propulsion power
(management level).
11.333 Requirements to qualify for an
STCW endorsement as second engineer
officer on vessels powered by main
propulsion machinery of 750 kW/1,000
HP or more and less than 3,000 kW/
4,000 HP propulsion power
(management level).
11.335 Requirements to qualify for an
STCW endorsement as an electrotechnical officer on vessels powered by
main propulsion machinery of 750 kW/
1,000 HP or more (operational level).
11.337 Requirements to qualify for an
STCW endorsement as vessel security
officer.
Subpart D—Professional Requirements for
National Deck Officer Endorsements
11.401 Ocean and near-coastal national
officer endorsements.
11.402 Tonnage requirements for national
ocean or near-coastal endorsements for
vessels of 1,600 GRT or more.
11.403 Structure of national deck officer
endorsements.
11.404 Service requirements for master of
ocean or near-coastal self-propelled
vessels of unlimited tonnage.
11.405 Service requirements for chief mate
of ocean or near-coastal self-propelled
vessels of unlimited tonnage.
11.406 Service requirements for second
mate of ocean or near-coastal selfpropelled vessels of unlimited tonnage.
11.407 Service requirements for third mate
of ocean or near-coastal self-propelled
vessels of unlimited tonnage.
11.410 Requirements for deck officer
endorsements for vessels of less than
1,600 GRT.
11.412 Service requirements for master on
ocean or near-coastal self-propelled
vessels of less than 1,600 GRT.
11.414 Service requirements for mate on
ocean self-propelled vessels of less than
1,600 GRT.
11.416 Service requirements for mate on
near-coastal self-propelled vessels of less
than 1,600 GRT.
11.418 Service requirements for master on
ocean or near-coastal self-propelled
vessels of less than 500 GRT.
11.420 Service requirements for mate on
ocean self-propelled vessels of less than
500 GRT.
11.421 Service requirements for mate on
near-coastal self-propelled vessels of less
than 500 GRT.
11.422 Tonnage limitations and qualifying
requirements for endorsements as master
or mate on vessels of less than 200 GRT.
11.424 Requirements for master on ocean
self-propelled vessels of less than 200
GRT.
11.425 Requirements for mate on ocean
self-propelled vessels of less than 200
GRT.
11.426 Requirements for master on nearcoastal self-propelled vessels of less than
200 GRT.

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11.427 Requirements for mate on nearcoastal self-propelled vessels of less than
200 GRT.
11.428 Requirements for master on nearcoastal self-propelled vessels of less than
100 GRT.
11.429 Requirements for a limited master
on near-coastal self-propelled vessels of
less than 100 GRT.
11.430 Endorsements for the Great Lakes
and inland waters.
11.431 Tonnage requirements for Great
Lakes and inland endorsements for
vessels of 1,600 GT or more.
11.433 Requirements for master of Great
Lakes and inland self-propelled vessels
of unlimited tonnage.
11.435 Requirements for master of inland
self-propelled vessels of unlimited
tonnage.
11.437 Requirements for mate of Great
Lakes and inland self-propelled vessels
of unlimited tonnage.
11.442 Requirements for master of Great
Lakes and inland self-propelled vessels
of less than 1,600 GRT.
11.444 Requirements for mate of Great lakes
and inland self-propelled vessels of less
than 1,600 GRT.
11.446 Requirements for master of Great
Lakes and inland self-propelled vessels
of less than 500 GRT.
11.448 Requirements for mate of Great
Lakes and inland self-propelled vessels
of less than 500 GRT.
11.450 Tonnage limitations and qualifying
requirements for endorsements as master
or mate of Great Lakes and inland vessels
of less than 200 GRT.
11.452 Requirements for master of Great
Lakes and inland self-propelled vessels
of less than 200 GRT.
11.454 Requirements for mate of Great
Lakes and inland self-propelled vessels
of less than 200 GRT.
11.455 Requirements for master of Great
Lakes and inland self-propelled vessels
of less than 100 GRT.
11.456 Requirements for limited master of
Great Lakes and inland self-propelled
vessels of less than 100 GRT.
11.457 Requirements for master of inland
self-propelled vessels of less than 100
GRT.
11.459 Requirements for national
endorsement as master or mate of rivers.
11.462 Requirements for national
endorsement as master or mate of
uninspected fishing industry vessels.
11.463 General requirements for national
endorsements as master, mate (pilot),
and apprentice mate (steersman) of
towing vessels.
11.464 Requirements for national
endorsements as master of towing
vessels.
11.465 Requirements for national
endorsements as mate (pilot) of towing
vessels.
11.466 Requirements for national
endorsements as apprentice mate
(steersman) of towing vessels.
11.467 Requirements for a national
endorsement as operator of uninspected
passenger vessels of less than 100 GRT.
11.468 National officer endorsements for
mobile offshore drilling units (MODUs).

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11.470 National officer endorsements as
offshore installation manager.
11.472 National officer endorsements as
barge supervisor.
11.474 National officer endorsements as
ballast control operator.
11.480 Radar observer.
11.482 Assistance towing.
11.491 National officer endorsements for
service on offshore supply vessels.
11.493 Master (OSV).
11.495 Chief mate (OSV).
11.497 Mate (OSV).
Subpart E—Professional Requirements for
National Engineer Officer Endorsements
11.501 Grades and types of national
engineer endorsements issued.
11.502 General requirements for national
engineer endorsements.
11.503 Propulsion power limitations for
national endorsements.
11.504 Application of deck service for
national limited engineer endorsements.
11.505 National engineer officer
endorsements.
11.510 Service requirements for national
endorsement as chief engineer on steam,
motor, and/or gas turbine-propelled
vessels.
11.512 Service requirements for national
endorsement as first assistant engineer of
steam, motor, and/or gas turbinepropelled vessels.
11.514 Service requirements for national
endorsement as second assistant
engineer of steam, motor, and/or gas
turbine-propelled vessels.
11.516 Service requirements for national
endorsement as third assistant engineer
of steam, motor, and/or gas turbinepropelled vessels.
11.518 Service requirements for national
endorsement as chief engineer (limited)
of steam, motor, and/or gas turbinepropelled vessels.
11.522 Service requirements for national
endorsement as assistant engineer
(limited) of steam, motor, and/or gas
turbine-propelled vessels.
11.524 Service requirements for national
endorsement as designated duty engineer
(DDE) of steam, motor, and/or gas
turbine-propelled vessels.
11.530 Endorsements as engineers of
uninspected fishing industry vessels.
11.540 Endorsements as engineers of
mobile offshore drilling units (MODUs).
11.542 Endorsement as chief engineer
(MODU).
11.544 Endorsement as assistant engineer
(MODU).
11.551 Endorsements for service on
offshore supply vessels.
11.553 Chief engineer (OSV).
11.555 Assistant engineer (OSV).
Subpart F—Credentialing of Radio Officers
11.601 Applicability.
11.603 Requirements for radio officers’
endorsements.
11.604 Requirements for an STCW
endorsement for Global Maritime
Distress and Safety System (GMDSS)
radio operators.

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Subpart G—Professional Requirements for
Pilots
11.701 Scope of pilot endorsements.
11.703 Service requirements.
11.705 Route familiarization requirements.
11.707 Examination requirements.
11.709 Annual physical examination
requirements.
11.711 Tonnage requirements.
11.713 Requirements for maintaining
current knowledge of waters to be
navigated.
Subpart H—Registration of Staff Officers
and Miscellaneous Endorsements
11.801 Applicability.
11.803 Staff departments.
11.805 General requirements.
11.807 Experience requirements for
registry.
11.821 High-speed craft-type rating.
Subpart I—Subjects of Examinations
11.901 General provisions.
11.903 Officer endorsements requiring
examinations.
11.910 Subjects for deck officer
endorsements.
11.920 Subjects for MODU endorsements.
11.950 Examination subjects for engineer
officer endorsements.
Subpart J—Recognition of Other Parties’
STCW Certificates
11.1001 Purpose of rules.
11.1003 General requirements.
11.1005 Employer application
requirements.
11.1007 Basis for denial.
11.1009 Restrictions.
Subpart K—Officers on a Passenger Ship
When on an International Voyage
11.1101 Purpose of rules.
11.1103 Definitions.
11.1105 General requirements for officer
endorsements.
Authority: 14 U.S.C. 633; 31 U.S.C. 9701;
46 U.S.C. 2101, 2103, and 2110; 46 U.S.C.
chapter 71; 46 U.S.C. 7502, 7505, 7701, 8906,
and 70105; Executive Order 10173;
Department of Homeland Security Delegation
No. 0170.1. Section 11.107 is also issued
under the authority of 44 U.S.C. 3507.

Subpart A—General
§ 11.101

Purpose of regulations.

(a) The purpose of this part is to
provide—
(1) A means of determining the
qualifications an applicant must possess
to be eligible for an officer endorsement
as a staff officer, deck officer, engineer
officer, pilot, or radio officer on
merchant vessels, or for an endorsement
to operate uninspected passenger
vessels; and
(2) A means of determining that an
applicant is competent to serve as a
master, chief mate, officer in charge of
a navigational watch, chief engineer
officer, second engineer officer (first
assistant engineer), officer in charge of

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
an engineering watch, designated duty
engineer, or Global Maritime Distress
and Safety System (GMDSS) radio
operator, in accordance with the
provisions of the International
Convention on Standards of Training,
Certification and Watchkeeping for
Seafarers, 1978, as amended (the STCW
Convention or STCW), and other laws,
and to receive the appropriate
endorsement as required by STCW.
(b) With few exceptions, these
regulations do not specify or restrict
officer endorsements to particular types
of service such as tankships, freight
vessels, or passenger vessels. However,
each officer credentialed under this part
must become familiar with the relevant
characteristics of a vessel prior to
assuming his or her duties as required
in the provisions of § 15.405 of this
subchapter.
(c) The regulations previously found
in subpart C of this part that prescribe
the requirements applicable to approved
training courses, training for a particular
officer endorsement, and training and
assessment associated with meeting the
standards of competence established by
the STCW Convention have been moved
to 46 CFR part 10, subpart C.

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§ 11.102

Incorporation by reference.

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§§ 11.103–11.105
§ 11.107

[Reserved]

Paperwork approval.

(a) This section lists the control
numbers assigned by the Office of
Management and Budget (OMB) under
the Paperwork Reduction Act of 1980
(Pub. L. 96–511) for the reporting and
recordkeeping requirements in this part.
(b) The following control numbers
have been assigned to the sections
indicated:
(1) OMB 1625–0040–46 CFR 11.201,
11.202, 11.205, 11.470, 11.472, 11.474,
11.542, and 11.544.
(2) OMB 1625–028–46 CFR 11.480.
§§ 11.109–11.113

(a) Certain material is incorporated by
reference into this part with the
approval of the Director of the Federal
Register under 5 U.S.C. 552(a) and 1
CFR part 51. To enforce any edition
other than that specified in this section,
the Coast Guard must publish a notice
of change in the Federal Register and
the material must be available to the
public. All approved material is
available for inspection at the Coast
Guard, Office of Operating and
Environmental Standards (CG–CG–
OES), 2100 2nd St. SW., Stop 7126,
Washington, DC 20593–7126, 202–372–
1405 and is available from the sources
listed below. It is also available for
inspection at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030 or
go to http://www.archives.gov/federal_
register/code_of_federal_regulations/
ibr_locations.html.
(b) International Maritime
Organization (IMO), 4 Albert
Embankment, London SE1 7SR,
England:
(1) The International Convention on
Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, as
amended, 2011 (the STCW Convention
or the STCW), incorporation by
reference approved for §§ 11.201,
11.426, 11.427, 11.428, 11.429, 11.493,

VerDate Mar<15>2010

11.495, 11.497, 11.553, 11.555, 11.1001,
11.1003, 11.1009, and 11.1105.
(2) The Seafarers’ Training,
Certification and Watchkeeping Code, as
amended, 2011 (the STCW Code),
incorporation by reference approved for
§§ 11.201, 11.301, 11.302, 11.303,
11.305, 11.307, 11.309, 11.311, 11.313,
11.315, 11.317, 11.319, 11.321, 11.325,
11.327, 11.329, 11.331, 11.333, 11.335,
11.604, 11.901, and 11.1105.
(3) The International Convention for
the Safety of Life at Sea, 1974 (SOLAS),
incorporation by reference approved for
§ 11.601.

[Reserved]

Subpart B—General Requirements for
Officer Endorsements
§ 11.201 General requirements for national
and STCW officer endorsements.

(a) General. In addition to the
requirements of part 10 of this
subchapter, the applicant for an officer
endorsement, whether original, renewal,
duplicate, or raise of grade, must
establish to the satisfaction of the Coast
Guard that he or she possesses all the
qualifications necessary (including but
not limited to age, experience, character,
physical health, citizenship, approved
training, professional competence, and a
test for dangerous drugs) before the
Coast Guard will issue to him or her a
merchant mariner credential (MMC). An
applicant for any STCW endorsement
must hold the appropriate national
endorsement unless otherwise specified.
(b) English language requirements.
Except as provided in § 11.467(i) of this
part, an applicant for an officer
endorsement must demonstrate an
ability to speak and understand English
as found in the navigation rules, aids to
navigation publications, emergency
equipment instructions, machinery
instructions, and radiotelephone
communications instructions.
(c) Experience and service. (1)
Applicants for officer endorsements
should refer to § 10.232 of this

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subchapter for information regarding
requirements for documentation and
proof of sea service.
(2) An applicant for a national officer
endorsement must have at least 3
months of required service on vessels of
appropriate tonnage or horsepower
within the 3 years immediately
preceding the date of application.
(3) No original officer endorsement
may be issued to any naturalized citizen
based on less experience in any grade or
capacity than would have been required
of a citizen of the United States by birth.
(4) Experience and service acquired
on foreign vessels is creditable for
establishing eligibility for an officer
endorsement, subject to evaluation by
the Coast Guard to determine that it is
a fair and reasonable equivalent to
service acquired on merchant vessels of
the United States, with respect to grade,
tonnage, horsepower, waters, and
operating conditions. An applicant who
has obtained qualifying experience on
foreign vessels must submit satisfactory
documentary evidence of such service
(including any necessary translation
into English) in accordance with
§ 10.232 of this subchapter.
(5) No applicant for an original officer
endorsement who is a naturalized
citizen and who has obtained
experience on foreign vessels will be
given an original officer endorsement in
a grade higher than that upon which he
or she has actually served while acting
under the authority of a foreign
credential.
(6) Experience acquired while the
applicant was less than 16 years of age
is generally not creditable. Compelling
circumstances and unique experiences
acquired before the applicant reaches 16
years of age will be evaluated on a caseby-case basis.
(d) Citizenship. No officer
endorsement may be issued to any
person who is not a citizen of the
United States with the exception of
operators of uninspected passenger
vessels that are not documented under
the laws of the United States.
(e) Age. Except as specified in this
paragraph, no officer endorsement may
be issued to a person who has not
attained the age of 21 years. The
required evidence of age may be
established using any of the items
submitted to establish citizenship set
out in 49 CFR 1572.17.
(1) An endorsement may be granted to
an applicant who has reached the age of
19 years as—
(i) Master of near-coastal, Great Lakes
and inland, or river vessels of 25–200
GRT;
(ii) Third mate;
(iii) Third assistant engineer;

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(iv) Mate of vessels of between 200
GRT and 1,600 GRT;
(v) Ballast control operator (BCO);
(vi) Assistant engineer (MODU);
(vii) Assistant engineer of fishing
industry vessels;
(viii) Mate (pilot) of towing vessels;
(ix) Radio officer;
(x) Assistant engineer (limited); or
(xi) Designated duty engineer of
vessels of less than 4,000 HP/3,000 kW.
(2) An endorsement may be granted to
an applicant who has reached the age of
18 years as—
(i) Limited master of near-coastal
vessels of less than 100 GRT;
(ii) Limited master of Great Lakes and
inland vessels of less than 100 GRT;
(iii) Mate of Great Lakes and inland
vessels of 25–200 GRT;
(iv) Mate of near-coastal vessels of 25–
200 GRT;
(v) Operator of uninspected passenger
vessels (OUPV);
(vi) Designated duty engineer of
vessels of less than 1,000 HP/750 kW;
(vii) Apprentice mate (steersman) of
towing vessels;
(viii) Officer in charge of a
navigational watch (OICNW);
(ix) Officer in charge of an
engineering watch (OICEW); and
(x) Electro-technical officer (ETO).
(f) Physical examination. (1) Persons
serving or intending to serve in the
merchant marine service are encouraged
to take the earliest opportunity to
ascertain, through examination, whether
their visual acuity, color vision, hearing,
and general physical condition, are such
as to qualify them for service in that
profession. Any physical impairment or
medical condition that would render an
applicant incompetent to perform the
ordinary duties required of an officer is
cause for denial of an officer
endorsement.
(2) Applications for an original officer
endorsement, raises of grade, and
extensions of route, must be current and
up to date with respect to service and
the physical examination, as
appropriate. Physical examinations and
applications are valid for 12 months
from the date the application is
approved.
(g) Character check. (1) An individual
may apply for an original officer
endorsement, or officer or STCW
endorsement of a different type, while
on probation as a result of
administrative action under part 5 of
this chapter. The offense for which the
applicant was placed on probation will
be considered in determining his or her
fitness to hold the endorsement applied
for. An officer or STCW endorsement
issued to an applicant on probation will
be subject to the same probationary

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conditions as were imposed against the
applicant’s other credential. An
applicant may not take an examination
for an officer or STCW endorsement
during any period of time when a
suspension without probation or a
revocation is effective against the
applicant’s currently held license,
merchant mariner document (MMD), or
MMC, or while an appeal from these
actions is pending.
(2) If information about the
applicant’s habits of life and character is
brought to the attention of the Coast
Guard after an original license,
certificate of registry, or officer
endorsement has been issued, and if
such information reasonably supports
the conclusion that the applicant cannot
be entrusted with the duties and
responsibilities of the license, certificate
of registry, or officer endorsement
issued, or indicates that the application
for the license, certificate of registry, or
officer endorsement was false or
incomplete, the Coast Guard may notify
the holder in writing that the license,
certificate of registry, or officer
endorsement is considered null and
void, direct the holder to return the
credential to the Coast Guard, and
advise the holder that, upon return of
the credential, the appeal procedures of
§ 10.237 of this subchapter apply.
(h) Firefighting certificate. (1)
Applicants for an original officer
endorsement in the following categories
must present a certificate of completion
from a firefighting course of instruction
that has been approved by the Coast
Guard. (1) The firefighting course must
have been completed within the past 5
years, or if it was completed more than
5 years before the date of application,
the applicant must provide evidence of
maintaining the standard of competence
in accordance with the firefighting
requirements for the credential sought.
(2) The following categories must
meet the requirements for basic and
advanced firefighting in Regulations
VI/1 and VI/3 of the STCW Convention
and Tables A–VI/1–2 and A–VI/3 of the
STCW Code (both incorporated by
reference, see § 11.102 of this part):
(i) National officer endorsements as
master or mate on seagoing vessels of
200 GRT or more.
(ii) All national officer endorsements
for master or mate (pilot) of towing
vessels, except apprentice mate
(steersman) of the vessels, on oceans.
(iii) All national officer endorsements
for MODUs.
(iv) All national officer endorsements
for engineers.
(v) All national officer endorsements
for OSVs.

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(vi) All STCW officer endorsements
except GMDSS radio operator.
(3) The following categories must
meet the requirements for basic
firefighting in Regulation VI/1 of the
STCW Convention and Table A–VI/1–2
of the STCW Code:
(i) Officer endorsement as master on
vessels of less than 500 GT in ocean
service.
(ii) All officer endorsements for
master or mate (pilot) of towing vessels,
except apprentice mate (steersman) of
towing vessels, in all services except
oceans.
(4) Applicants for a raise of grade of
an officer endorsement who have not
previously met the requirements of
paragraph (h) of this section must do so.
(i) First-aid and cardiopulmonary
resuscitation (CPR) course certificates.
All applicants for an original officer
endorsement, except as provided in
§§ 11.429, 11.456, and 11.467 of this
part, must present to the Coast Guard—
(1) Evidence of continued competency
in STCW basic training in accordance
with § 11.302 of this part or a certificate
indicating completion not more than 1
year from the date of application of —
(i) The American National Red Cross
Standard First Aid course or American
National Red Cross Community First
Aid & Safety course; or
(ii) A Coast Guard-approved first-aid
course; and
(2) A currently valid certificate of
completion of a CPR course from
either—
(i) The American National Red Cross;
(ii) The American Heart Association;
or
(iii) A Coast Guard-approved CPR
course.
(j) Professional examination. (1)
When the Coast Guard finds the
applicant’s experience and training to
be satisfactory, and the applicant is
eligible in all other respects, the Coast
Guard will authorize examination in
accordance with the following
requirements:
(i) Except for an endorsement
required by the STCW Convention, any
applicant for a deck or engineer officer
endorsement limited to vessels less than
200 GRT, or an officer endorsement
limited to uninspected fishing industry
vessels, may request an orally assisted
examination instead of any written or
other textual examination. If there are
textual questions that the applicant has
difficulty reading and understanding,
the Coast Guard will offer the orally
assisted examination. Each officer
endorsement based on an orally assisted
examination is limited to the specific
route and type of vessel upon which the

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applicant obtained the majority of
service.
(ii) The general instructions for
administration of examinations and the
lists of subjects for all officer
endorsements appear in subpart I of this
part. The Coast Guard will place in the
applicant’s file a record indicating the
subjects covered.
(iii) An applicant enrolled in an
approved comprehensive program of
training, service, and assessment will be
authorized for an examination not more
than 6 months prior to completion of
the comprehensive program, provided
all sea service and assessments of
competency are completed prior to the
examination.
(iv) The examination, whether
administered orally or by other means,
must be conducted only in the English
language.
(2) When the application has been
approved for examination, the approval
is valid for 1 year.
(3) An examination is not required for
a staff officer or radio officer
endorsement.
(k) Radar observer. Applicants for an
endorsement as radar observer must
present a certificate of completion from
a radar observer course as required by
§ 11.480 of this part.
(l) Restrictions. The Coast Guard may
modify the service and examination
requirements in this part to satisfy the
unique qualification requirements of an
applicant or distinct group of mariners.
The Coast Guard may also lower the age
requirement for OUPV applicants. The
authority granted by an officer
endorsement will be restricted to reflect
any modifications made under the
authority of this paragraph.
§§ 11.202–11.210

[Reserved]

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

(a) Applicants for officer
endorsements should refer to § 10.232 of
this subchapter for information
regarding requirements for
documentation and proof of sea service.
(b) Service toward an oceans, nearcoastal, or STCW endorsement will be
credited as follows:
(1) Service on the Great Lakes will be
credited on a day-for-day basis up to
100 percent of the total required service.
(2) Service on inland waters, other
than Great Lakes, that are navigable
waters of the United States, will be
credited on a day-for-day basis for up to
50 percent of the total required service.
(c) Service on mobile offshore drilling
units. (1) MODU service is creditable for
raise of grade of an officer endorsement.

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Evidence of 1 year of service on MODUs
as mate or equivalent while holding an
officer endorsement or license as third
mate, or as engineering officer of the
watch or equivalent while holding an
officer endorsement or license as third
assistant engineer, is acceptable for a
raise of grade to second mate or second
assistant engineer, respectively.
However, any subsequent raises of grade
of unlimited, non-restricted officer
licenses or endorsements must include
a minimum of 6 months of service on
conventional vessels.
(2) Service on MODUs maintaining
station by means of dynamic
positioning, may be credited as service
on conventional vessels for any raise in
grade; however, time more than 8 hours
each day will not be credited.
(3) A day of creditable MODU service
must be a minimum of 4 hours, and no
additional credit will be granted for
periods of more than 8 hours.
(4) Creditable MODU service excludes
time spent ashore due to crew rotation.
(d) Service on Articulated Tug Barges
(ATBs) and Integrated Tug Barges
(ITBs). Service on ATB or Dual Mode
ITB units is creditable for an original
deck officer endorsement or raise of
grade of any deck officer endorsement.
Service on an ATB or Dual Mode ITB
with an aggregate tonnage of 1,600 GRT/
3,000 GT or more is creditable on a twofor-one basis (2 days experience equals
1 day of creditable service) for up to 50
percent of the total service on vessels of
1,600 GRT/3,000 GT or more required
for an unlimited officer endorsement.
The remaining required service on
vessels of more than 1,600 GRT/3,000
GT must be obtained on conventional
vessels or Push Mode ITBs.
(e) Service on towing vessels. Service
as master or mate (pilot) on towing
vessels, when the aggregate tonnage of
the tug and barges is 1,600 GRT/3,000
GT or more, is creditable, using the
aggregate tonnage, on a two-for-one
basis (2 days experience equals 1 day of
creditable service) for up to 50 percent
of the total service on vessels of 1,600
GRT/3,000 GT or more required for an
unlimited officer endorsement. The
remaining required service on vessels of
more than 1,600 GRT/3,000 GT must be
obtained on conventional vessels. This
service must be documented as
specified in § 10.232(a) of this
subchapter.
(f) Individuals obtaining sea service as
part of an approved training curriculum
pursuant to either § 11.407(a)(2) or
§ 11.516(a)(3) of this part must do so in
the capacity of cadet (deck) or cadet
(engine), as appropriate,
notwithstanding any other rating
endorsements the individual may hold

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77913

or any other capacity in which the
individual may have served.
(g) Other experience. Other
experience in a marine-related area,
other than at sea, or sea service
performed on unique vessels, will be
evaluated by the Coast Guard for a
determination of equivalence to
traditional service.
(h) Tonnage. When determining sea
service credit for officer endorsement
applicants under subpart D of this part,
the tonnage of a vessel solely
admeasured using the Convention
measurement scheme under 46 U.S.C.
Chapter 143 will be credited as Gross
Register Tonnage. This paragraph does
not apply to those vessels measured
under the optional regulatory
measurement provisions of 46 U.S.C.
14305.
§ 11.212–§ 11.216

[Reserved]

§ 11.217 Examination procedures and
denial of officer endorsements.

(a) The examination fee set out in
Table 1 to § 10.219(a) of this subchapter
must be paid before the applicant may
take the first examination section. If an
applicant fails three or more sections of
the examination, a complete reexamination must be taken. On the
subsequent exam, if the applicant again
fails three or more sections, at least 3
months must elapse before another
complete examination is attempted, and
a new examination fee is required. If an
applicant fails one or two sections of an
examination, the applicant may be
retested twice on these sections during
the next 3 months. If the applicant does
not successfully complete these sections
within the 3-month period, a complete
re-examination must be taken at least 3
months from the date of the last retest,
and a new examination fee is required.
The 3-month retest period may be
extended by the Coast Guard if the
applicant presents evidence
documenting sea time that prevented
the taking of a retest during the 3-month
period. The retest period may not be
extended beyond 7 months from the
initial examination. All examinations
and retests must be completed within 1
year of approval for examination.
(b) If the Coast Guard refuses to grant
an applicant the endorsement applied
for due to the applicant’s failure to pass
a required examination, the Coast Guard
will provide the applicant with a
written statement setting forth the
portions of the examination that must be
retaken and the date by which the
examination must be completed.

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§§ 11.219–11.223

[Reserved]

Subpart C—STCW Officer
Endorsements

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§ 11.301 Requirements for STCW officer
endorsements.

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

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structured/formal training or instruction
provided by an approved training
school or facility.
(x) Practical demonstration of
competence: Documentation of
successful completion of assessments
approved or accepted by the Coast
Guard.
(xi) Practical test and practical
experience: Documentation of
successful completion of assessments
approved or accepted by the Coast
Guard.
(xii) Examination: Successful
completion of a Coast Guard
examination.
(xiii) Instruction or course:
Documentation of successful
completion of an approved or accepted
course of instruction.
(2) Knowledge components may be
documented by—
(i) Successful completion of the Coast
Guard examination for the associated
officer endorsement;
(ii) Successful completion of an
approved course; or
(iii) Successful completion of an
approved program.
(3) The Coast Guard will publish
assessment guidelines that should be
used to document assessments that
demonstrate meeting the standard of
competence, as required by paragraph
(a)(1) of this section. Organizations may
develop alternative assessment
documentation for demonstrations of
competence; however, such
documentation must be approved by the
Coast Guard prior to its use and
submittal with an application.
(b) Service. (1) Service as a rating will
not be accepted to upgrade from the
operational-level to management-level
STCW endorsements.
(2) Service on the Great Lakes will be
credited on a day-for-day basis for up to
100 percent of the total required service.
(3) Service on inland waters other
than Great Lakes, which are navigable
waters of the United States, will be
credited on a day-for-day basis for up to
50 percent of the total required service.
(4) Service accrued onboard vessels
with dual tonnages (both domestic and
international) will be credited using the
international tonnage for the credential
sought.
(5) Applicants who cannot meet the
requirement for 1 year of sea service
within the last 5 years as described in
§ 11.303(c) of this subpart, will be
required to meet the requirements of
§ 11.303(a) of this subpart.
(c) Operational-level endorsement.
Applicants holding national officer
endorsements, who seek to add an
STCW endorsement at the operational
level, must provide evidence of meeting

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the STCW requirements found in this
subpart, including—
(1) Meeting the service requirements
for the operational-level STCW
endorsement;
(2) Satisfactory completion of the
STCW operational-level standards of
competence; and
(3) Satisfactory completion of the
STCW operational-level training as
required in this part.
(d) Management-level endorsement.
Applicants holding national officer
endorsements as master, chief mate,
chief engineer, or first assistant
engineer, and who seek to add an STCW
endorsement at the management level,
must provide evidence of meeting the
STCW requirements found in this
subpart, including—
(1) Meeting the service requirements
for the management-level STCW
endorsement;
(2) Satisfactory completion of the
STCW operational- and managementlevel standards of competence; and
(3) Satisfactory completion of the
STCW operational- and managementlevel training as required in this part.
(e) Training and assessment for
Automatic Radar Plotting Aids (ARPA),
Electronic Chart Display and
Information System (ECDIS), or Global
Maritime Distress and Safety System
(GMDSS). Training and assessment in
the use of ARPA, ECDIS, or GMDSS is
not required for those who serve
exclusively on ships not fitted with
ARPA, ECDIS, or GMDSS. For ARPA
and ECDIS, this limitation must be
reflected in the endorsement issued to
the seafarer concerned. GMDSS is a
separate endorsement that will only be
added if the applicant qualifies for it.
(f) Exemptions and Limitations. (1)
The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in the appropriate
table of competence in the STCW Code.
These exemptions must be approved by
the Coast Guard based upon vessel type.
Under these circumstances, the
certificate may include a corresponding
limitation. (2) A seafarer may have a
limitation removed by providing the
Coast Guard with evidence of having
completed the individual knowledge,
understanding, and proficiency
required.
(g) Grandfathering. (1) Except as
noted otherwise, each candidate who
applies for a credential based on
approved or accepted training or
approved seagoing service that was
started on or after March 24, 2014, or
who applies for the MMC endorsement
on or after January 1, 2017, must meet
the requirements of this part.

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(2) Except as noted by this subpart,
seafarers holding an STCW endorsement
prior to March 24, 2014, will not be
required to complete any additional
training required under this part to
retain the STCW endorsements until
January 1, 2017.
(3) Except as noted otherwise,
candidates who apply for a credential
based on approved or accepted training
or approved seagoing service that was
completed before March 24, 2014, may
qualify under the requirements of this
part existing before that date. This
includes the assessments published
prior to March 24, 2014, as well as the
additional requirements for the STCW
endorsement section.
(4) Persons who hold or have held an
STCW operational-level endorsement
issued prior to March 24, 2014 and are
seeking to upgrade to an STCW
management-level endorsement will not
be required to complete the practical
assessments for STCW operational-level
endorsements as required in paragraph
(d)(2) of this section.
(5) Except as noted by this subpart,
the Coast Guard will continue to issue
STCW endorsements meeting the
requirements of this part existing before
March 24, 2014, for seafarers identified
in paragraph (g)(3) of this section, until
January 1, 2017.
(h) Notwithstanding § 11.901 of this
part, each mariner found qualified to
hold any of the following national
officer endorsements will also be
entitled to hold an STCW endorsement
corresponding to the service or other
limitations of the license or officer
endorsements on the MMC. The vessels
concerned are not subject to further
obligation under STCW because of their
special operating conditions as small
vessels engaged in domestic, nearcoastal voyages.
(1) Masters, mates, or engineers
endorsed for service on small passenger
vessels that are subject to subchapter T
or K of this chapter and that operate
beyond the boundary line.
(2) Masters, mates, or engineers
endorsed for service on seagoing vessels
of less than 200 GRT, other than
passenger vessels subject to subchapter
H of this chapter.
(i) Mariners serving on, and owners or
operators of any of the following
vessels, do not need to hold an STCW
endorsement, because they are exempt
from application of STCW:
(1) Fishing vessels as defined in 46
U.S.C. 2101(11)(a).
(2) Fishing vessels used as fish-tender
vessels as defined in 46 U.S.C.
2101(11)(c).

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(3) Barges as defined in 46 U.S.C. 102,
including non-self-propelled mobile
offshore drilling units.
(4) Vessels operating exclusively on
the Great Lakes or on the inland waters
of the United States in the Straits of
Juan de Fuca or on the Inside Passage
between Puget Sound and Cape
Spencer.
(j) Mariners serving on, and owners or
operators of uninspected passenger
vessels as defined in 46 U.S.C.
2101(42)(B), do not need to hold an
STCW endorsement. The vessels
concerned are not subject to further
obligation under STCW because of their
special operating conditions as small
vessels engaged in domestic, nearcoastal voyages.
§ 11.302

Basic training.

(a) Applicants seeking an STCW
officer endorsement must provide
evidence of meeting the standard of
competence for basic training (BT) as
follows:
(1) Personal survival techniques as set
out in Table A–VI/1–1 of the STCW
Code (incorporated by reference, see
§ 11.102 of this part).
(2) Fire prevention and firefighting as
set out in Table A–VI/1–2 of the STCW
Code.
(3) Elementary first aid as set out in
Table A–VI/1–3 of the STCW Code.
(4) Personal safety and social
responsibilities as set out in Table A–
VI/1–4 of the STCW Code.
(b) Every 5 years seafarers qualified in
accordance with § 11.301(c) and (d) of
this subpart must provide evidence of
maintaining the standard of competence
for BT.
(c) The Coast Guard will accept
onboard training and experience,
through evidence of 1 year of sea service
within the last 5 years, for the following
areas:
(1) Personal survival techniques as set
out in Table A–VI/1–1 of the STCW
Code:
(i) Donning a lifejacket.
(ii) Boarding a survival craft from the
ship, while wearing a lifejacket.
(iii) Taking initial actions on boarding
a lifeboat to enhance chance of survival.
(iv) Streaming a lifeboat drogue or
sea-anchor.
(v) Operating survival craft
equipment.
(vi) Operating location devices,
including radio equipment.
(2) Fire prevention and firefighting as
set out in Table A–VI/1–2 of the STCW
Code:
(i) Using self-contained breathing
apparatus.
(ii) Performing a rescue in a smokefilled space, using an approved smoke-

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77915

generating device aboard, while wearing
a breathing apparatus.
(3) Elementary first aid as set out in
Table A–VI/1–3 of the STCW Code.
(4) Personal safety and social
responsibilities as set out in Table A–
VI/1–4 of the STCW Code.
(d) The Coast Guard will only accept
evidence of approved assessments
conducted ashore for the following
areas:
(1) Personal survival techniques as set
out in Table A–VI/1–1 of the STCW
Code:
(i) Donning and using an immersion
suit.
(ii) Safely jumping from a height into
the water.
(iii) Righting an inverted liferaft while
wearing a lifejacket.
(iv) Swimming while wearing a
lifejacket.
(v) Keeping afloat without a lifejacket.
(2) Fire prevention and firefighting as
set out in Table A–VI/1–2 of the STCW
Code:
(i) Using various types of portable fire
extinguishers.
(ii) Extinguishing smaller fires, e.g.,
electrical fires, oil fires, and propane
fires.
(iii) Extinguishing extensive fires with
water, using jet and spray nozzles.
(iv) Extinguishing fires with foam,
powder, or any other suitable chemical
agent.
(v) Fighting fire in smoke-filled
enclosed spaces wearing self-contained
breathing apparatus.
(vi) Extinguishing fire with water fog
or any other suitable firefighting agent
in an accommodation room or simulated
engineroom with fire and heavy smoke.
(vii) Extinguishing oil fire with fog
applicator and spray nozzles, dry
chemical powder, or foam applicators.
(e) Applicants who cannot meet the
requirement for 1 year of sea service
within the last 5 years, as described in
paragraph (c) of this section, will be
required to meet the requirements of
paragraph (a) of this section or complete
approved or accepted refresher training.
§ 11.303

Advanced firefighting.

(a) Advanced firefighting. Applicants
seeking an STCW officer endorsement
must provide evidence of meeting the
standard of competence as set out in
Table A–VI/3 of the STCW Code
(incorporated by reference, see § 11.102
of this part). Applicants for an original
STCW officer endorsement, who met the
requirements of § 11.201(h) of this part
will be deemed to have met the
requirement of this paragraph.
(b) Every 5 years seafarers qualified in
accordance with paragraph (a) of this
section must provide evidence of

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maintaining the standard of competence
as set out in Table A–VI/3 of the STCW
Code.
(c) The Coast Guard will accept
onboard training and experience,
through evidence of 1 year of sea service
within the last 5 years, as meeting the
requirements of paragraph (b) of this
section for the following areas as set out
in Table A–VI/3 of the STCW Code:
(1) Control firefighting operations
aboard ships with the following
knowledge, understanding, and
proficiencies:
(i) Firefighting procedures at sea and
in port, with particular emphasis on
organization, tactics and command.
(ii) Communication and coordination
during firefighting operations.
(iii) Ventilation control, including
smoke extraction.
(iv) Control of fuel and electrical
systems.
(v) Firefighting process hazards (dry
distillation, chemical reactions, boiler
uptake).
(vi) Fire precautions and hazards
associated with the storage and
handling of materials.
(vii) Management and control of
injured persons.
(viii) Procedures for coordination
with shore-based firefighters.
(2) Inspect and service fire-detection
and extinguishing systems and
equipment.
(i) Requirements for statutory and
classification surveys.
(ii) Reserved.
(d) The Coast Guard will only accept
evidence of assessments conducted
ashore as meeting the requirements of
paragraph (b) of this section for the
following areas as set out in Table A–
VI/3 of the STCW Code:
(1) Control firefighting operations
aboard ships with the following
knowledge, understanding, and
proficiencies:
(i) Use of water for fire-extinguishing,
the effect on ship stability, precautions
and corrective procedures.
(ii) Firefighting involving dangerous
goods.
(2) Organize and train fire parties.
(3) Inspect and service fire-detection
and extinguishing systems and
equipment.
(i) Fire detection. Fire-detection
systems; fixed fire-extinguishing
systems; portable and mobile fire-

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extinguishing equipment, including
appliances, pumps and rescue, salvage;
life-support; personal protective and
communication equipment.
(ii) Reserved.
(4) Investigate and compile reports on
incidents involving fire.
(e) Applicants who cannot meet the
requirement for 1 year of sea service
within the last 5 years, as described in
paragraph (c) of this section, will be
required to meet the requirements of
paragraph (a) of this section or complete
approved or accepted refresher training.
§ 11.304

STCW deck officer endorsements.

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

(a) To qualify for an STCW
endorsement as master, an applicant
must—
(1) Provide evidence of 36 months of
service as OICNW on vessels operating
in oceans, near-coastal waters, and/or
Great Lakes. This period may be
reduced to not less than 24 months if
the applicant served as chief mate for
not less than 12 months. Service on
inland waters that are navigable waters
of the United States may be substituted
for up to 50 percent of the total required
service. Experience gained in the engine

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department on vessels may be creditable
for up to 3 months of the service
requirements;
(2) Provide evidence of meeting the
standard of competence specified in
Section A–II/2 of the STCW Code
(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Advanced shiphandling.
(ii) Advanced stability.
(iii) Advanced meteorology.
(iv) Leadership and managerial skills.
(v) Search and rescue.
(vi) ARPA, if serving on a vessel with
this equipment.
(vii) ECDIS, if serving on a vessel with
this equipment.
(viii) GMDSS, if serving on a vessel
with this equipment.
(ix) Management of medical care.
(b) For a renewal of an STCW
endorsement as master of vessels of
3,000 GT or more to be valid on or after
January 1, 2017, each candidate must
provide evidence of successful
completion of approved training in the
following:
(1) Leadership and managerial skills.
(2) ECDIS, if serving on a vessel with
this equipment.
(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/2
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(d) Seafarers holding an STCW
endorsement as masters of vessels of
500 GT or more and less than 3,000 GT,
in accordance with § 11.311 of this
subpart, are eligible to apply for the
endorsement as master on vessels of
3,000 GT or more upon completion of 6
months of sea service, under the
authority of the endorsement, and must
complete any items in paragraphs (a)(2)
and (a)(3) of this section not previously
satisfied.
(e) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
table 1 to this paragraph:

E:\FR\FM\24DER2.SGM

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

77917

TABLE 1 TO § 11.305(e)—STCW ENDORSEMENT AS MASTER ON VESSELS OF 3,000 GT OR MORE
Entry path from national endorsements

Sea
service under
authority of
the endorsement 1

Competence—STCW Table
A–II/2 2

Master ocean or near-coastal, unlimited tonnage .................................
Master OSV ...........................................................................................

None ..................................
None ..................................

Yes ........................................
Yes ........................................

Training
required by
this
section 3
Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
3 Complete any items in paragraph (a)(3) of this section not previously satisfied.
2 Complete

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

(a) To qualify for an STCW
endorsement as chief mate, an applicant
must—
(1) Provide evidence of 12 months of
service as OICNW on vessels operating
in oceans, near-coastal waters, and/or
Great Lakes. Service on inland waters,
bays, or sounds that are navigable
waters of the United States may be
substituted for up to 50 percent of the
total required service. Experience
gained in the engine department on
vessels may be creditable for up to 1
month of the service requirements;
(2) Meet the standard of competence
specified in Section A–II/2 of the STCW
Code (incorporated by reference, see
§ 11.102 of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:

(i) Advanced shiphandling.
(ii) Advanced stability.
(iii) Advanced meteorology.
(iv) Leadership and managerial skills.
(v) Search and rescue.
(vi) ARPA, if serving on a vessel with
this equipment.
(vii) ECDIS, if serving on a vessel with
this equipment.
(viii) GMDSS, if serving on a vessel
with this equipment.
(ix) Management of medical care.
(b) For a renewal of an STCW
endorsement as chief mate of vessels of
3,000 GT or more to be valid on or after
January 1, 2017, each candidate must
provide evidence of successful
completion of approved training in the
following:
(1) Leadership and managerial skills.
(2) ECDIS, if serving on a vessel with
this equipment.
(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and

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

TABLE 1 TO § 11.307(e)—STCW ENDORSEMENT AS CHIEF MATE ON VESSELS OF 3,000 GT OR MORE
Training
required by
this
section 3

Entry path from national
endorsements

Sea service under authority of the endorsement 1

Competence—STCW Table A–II/2 2

Chief mate ocean or
near-coastal, unlimited
tonnage.
Master ocean or nearcoastal, less than 500
GRT.
Chief mate OSV .............
Master towing vessel
ocean or near-coastal.

None ......................................................................

Yes ............................................................................

Yes.

12 months ..............................................................

Yes ...........................................................................

Yes.

None ......................................................................
12 months ..............................................................

Yes ............................................................................
Yes ............................................................................

Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
any items in paragraph (a)(3) of this section not previously satisfied.

2 Complete
3 Complete

sroberts on DSK5SPTVN1PROD with RULES

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

(a) To qualify for an STCW
endorsement as OICNW, an applicant
must—
(1) Provide evidence of seagoing
service as follows:
(i) Thirty-six months of seagoing
service in the deck department on

VerDate Mar<15>2010

20:23 Dec 23, 2013

Jkt 232001

vessels operating in oceans, near-coastal
waters, and/or Great Lakes. Service on
inland waters, bays, or sounds that are
navigable waters of the United States
may be substituted for up to 50 percent
of the total required service; or
(ii) Twelve months of seagoing service
as part of an approved training program,
which includes onboard training that
meets the requirements of Section A–II/

PO 00000

Frm 00123

Fmt 4701

Sfmt 4700

1 of the STCW Code (incorporated by
reference, see § 11.102 of this part);
(2) Provide evidence of having
performed, during the required seagoing
service, bridge watchkeeping duties
under the supervision of an officer
holding the STCW endorsement as
master, chief mate, second mate, or
OICNW, for a period of not less than 6
months;

E:\FR\FM\24DER2.SGM

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77918

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

(3) Provide evidence of meeting the
standard of competence specified in
Section A–II/1 of the STCW Code; and
(4) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Medical first-aid provider.
(ii) Radar observer.
(iii) Search and rescue.
(iv) Basic and advanced firefighting in
accordance with § 11.303 of this
subpart.
(v) Proficiency in survival craft and
rescue boats other than fast rescue boats.
(vi) Visual signaling.
(vii) Bridge resource management
(BRM).
(viii) Terrestrial and celestial
navigation, and electronic navigation
systems.
(ix) Watchkeeping, including
International Regulations for Preventing

Collisions at Sea (COLREGS) and IMO
standard marine communication
phrases (SMCP).
(x) Cargo handling and stowage.
(xi) Ship handling.
(xii) Stability and ship construction.
(xiii) Meteorology.
(xiv) ARPA, if serving on a vessel
with this equipment.
(xv) GMDSS, if serving on a vessel
with this equipment.
(xvi) ECDIS, if serving on a vessel
with this equipment.
(b) Experience gained in the engine
department on vessels may be creditable
for up to 3 months of the service
requirements in paragraph (a)(1)(i) of
this section.
(c) For a renewal of an STCW
endorsement as OICNW of vessels of
500 GT or more to be valid on or after

January 1, 2017, each candidate must
provide the following:
(1) Evidence of meeting the standard
of competence in leadership and
teamworking skills.
(2) Completion of approved training
in ECDIS, if serving on a vessel with this
equipment.
(d) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/1
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(e) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

TABLE 1 TO § 11.309(e)—STCW ENDORSEMENT AS OICNW ON VESSELS OF 500 GT OR MORE
Entry path from national endorsements

Sea service under authority
of the endorsement 1

Mate ocean or near-coastal, unlimited tonnage ....................................
Master ocean or near-coastal, less than 500 GRT ...............................
Mate ocean or near-coastal, less than 1,600 GRT ...............................
Mate ocean or near-coastal, less than 500 GRT ..................................
Mate OSV ..............................................................................................
Mate towing vessel ocean or near-coastal ............................................

None ..................................
6 months ............................
None ..................................
12 months ..........................
12 months 1 ........................
6 months ............................

1 This

Competence—STCW Table
A–II/2 2
Yes
Yes
Yes
Yes
Yes
Yes

........................................
........................................
........................................
........................................
........................................
........................................

Training
required by
this
section 3
Yes.
Yes.
Yes.
Yes.
Yes.
Yes.

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(3) of this section not previously satisfied.
any items in paragraph (a)(4) of this section not previously satisfied.

2 Complete
3 Complete

sroberts on DSK5SPTVN1PROD with RULES

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

(a) To qualify for an STCW
endorsement as master, an applicant
must—
(1) Provide evidence of 36 months of
service as OICNW on vessels operating
in oceans, near-coastal waters, and/or
Great Lakes. However, this period may
be reduced to not less than 24 months
if the applicant served as chief mate for
not less than 12 months. Service on
inland waters, bays, or sounds that are
navigable waters of the United States
may be substituted for up to 50 percent
of the total required service. Experience
gained in the engine department on
vessels may be creditable for up to 3
months of the service requirements;
(2) Provide evidence of meeting the
standard of competence specified in

VerDate Mar<15>2010

20:23 Dec 23, 2013

Jkt 232001

Section A–II/2 of the STCW Code
(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Advanced shiphandling.
(ii) Advanced stability.
(iii) Advanced meteorology.
(iv) Leadership and managerial skills.
(v) Search and rescue.
(vi) Management of medical care.
(vii) ECDIS, if serving on a vessel with
this equipment.
(viii) ARPA, if serving on a vessel
with this equipment.
(ix) GMDSS, if serving on a vessel
with this equipment.
(b) For a renewal of an STCW
endorsement as master of vessels of 500
GT or more and less than 3,000 GT to
be valid on or after January 1, 2017,

PO 00000

Frm 00124

Fmt 4701

Sfmt 4700

each candidate must provide evidence
of successful completion of approved
training in the following:
(1) Leadership and managerial skills.
(2) ECDIS, if serving on a vessel with
this equipment.
(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/2
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(d) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

E:\FR\FM\24DER2.SGM

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

77919

TABLE 1 TO § 11.311(d)—STCW ENDORSEMENT AS MASTER ON VESSELS OF 500 GT OR MORE AND LESS THAN 3,000
GT
Sea service under authority
of the endorsement 1

Entry path from national endorsements

Master
Master
Master
Master

oceans or near-coastal, less than 1,600 GRT ..........................
OSV ...........................................................................................
oceans or near-coastal, less than 500 GRT .............................
towing vessel oceans or near-coastal .......................................

1 This

None ..................................
None ..................................
12 months ..........................
12 months ..........................

Competence—STCW Table
A–II/3 2
Yes
Yes
Yes
Yes

........................................
........................................
........................................
........................................

Training
required by
this
section 3
Yes.
Yes.
Yes.
Yes.

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
any items in paragraph (a)(3) of this section not previously satisfied.

2 Complete
3 Complete

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

(a) To qualify for an STCW
endorsement as chief mate, an applicant
must—
(1) Provide evidence of 12 months of
service as OICNW on vessels operating
in oceans, near-coastal waters, and/or
Great Lakes. Service on inland waters,
bays, or sounds that are navigable
waters of the United States may be
substituted for up to 50 percent of the
total required service. Experience
gained in the engine department on
vessels may be creditable for up to 1
month of the service requirements;
(2) Provide evidence of meeting the
standard of competence specified in
Section A–II/2 of the STCW Code

(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Advanced shiphandling.
(ii) Advanced stability.
(iii) Advanced meteorology.
(iv) Leadership and managerial skills.
(v) Search and rescue.
(vi) Management of medical care.
(vii) ECDIS, if serving on a vessel with
this equipment.
(viii) ARPA, if serving on a vessel
with this equipment.
(ix) GMDSS, if serving on a vessel
with this equipment.
(b) For a renewal of an STCW
endorsement as chief mate of vessels of
500 GT or more and less than 3,000 GT
to be valid on or after January 1, 2017,

each candidate must provide evidence
of successful completion of approved
training in the following:
(1) Leadership and managerial skills.
(2) ECDIS, if serving on a vessel with
this equipment.
(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/2
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(d) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

TABLE 1 TO § 11.313(d)—STCW ENDORSEMENT AS CHIEF MATE ON VESSELS OF 500 GT OR MORE AND LESS THAN
3,000 GT
Entry path from national endorsements

Sea service under authority
of the endorsement 1

Competence—STCW Table
A–II/2 2

Chief mate OSV .....................................................................................
Master oceans or near-coastal, less than 500 GRT .............................
Master towing vessel oceans or near-coastal .......................................

None ..................................
6 months ............................
6 months ............................

Yes ........................................
Yes ........................................
Yes ........................................

Training
required by
this
section 3
Yes.
Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
3 Complete any items in paragraph (a)(3) of this section not previously satisfied.
2 Complete

sroberts on DSK5SPTVN1PROD with RULES

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

(a) To qualify for an STCW
endorsement as master, an applicant
must—
(1) Provide evidence of 36 months of
seagoing service as OICNW on vessels
operating in oceans, near-coastal waters,
and/or Great Lakes; however, this
period may be reduced to not less than
24 months if not less than 12 months of
such seagoing service has been served as
chief mate. Service on inland waters,
bays, or sounds that are navigable
waters of the United States may be

VerDate Mar<15>2010

20:23 Dec 23, 2013

Jkt 232001

substituted for up to 50 percent of the
total required service. Experience
gained in the engine department may be
creditable for up to 3 months of the
service requirements;
(2) Provide evidence of meeting the
standard of competence specified in
Section A–II/2 of the STCW Code
(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Search and rescue.
(ii) Management of medical care.
(iii) Leadership and managerial skills.

PO 00000

Frm 00125

Fmt 4701

Sfmt 4700

(iv) ECDIS, if serving on a vessel with
this equipment.
(v) ARPA, if serving on a vessel with
this equipment.
(vi) GMDSS, if serving on a vessel
with this equipment.
(b) For a renewal of an STCW
endorsement as master of vessels of less
than 500 GT to be valid on or after
January 1, 2017, each candidate must
provide evidence of successful
completion of approved training in the
following:
(1) Leadership and managerial skills.
(2) ECDIS, if serving on a vessel with
this equipment.

E:\FR\FM\24DER2.SGM

24DER2

77920

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/3
of the STCW Code. These exemptions

must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.

(d) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

TABLE 1 TO § 11.315(d)—STCW ENDORSEMENT AS MASTER OF VESSELS OF LESS THAN 500 GT
Entry path from national endorsements

Sea service under authority
of the endorsement 1

Competence—STCW Table
A–II/3 2

Master oceans or near-coastal, less than 500 GRT .............................
Master towing vessel oceans or near-coastal .......................................
Master oceans or near-coastal, less than 200 GRT .............................

None ..................................
None ..................................
12 months ..........................

Yes ........................................
Yes ........................................
Yes ........................................

1 This

Training
required by
this section 3
Yes.
Yes.
Yes.

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
any items in paragraph (a)(3) of this section not previously satisfied.

2 Complete
3 Complete

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

(a) To qualify for an STCW
endorsement as master, an applicant
must—
(1) Provide evidence of 12 months of
service as OICNW, on vessels operating
in oceans, near-coastal waters, and/or
Great Lakes. Service on inland waters,
bays, or sounds that are navigable
waters of the United States may be
substituted for up to 50 percent of the
total required service. Experience
gained in the engine department on
vessels may be creditable for up to 1
month of the service requirements;
(2) Provide evidence of meeting the
standard of competence specified in
Section A–II/3 of the STCW Code

(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Medical first-aid provider.
(ii) Basic and advanced firefighting in
accordance with § 11.303 of this
subpart.
(iii) Proficiency in survival craft and
rescue boats other than fast rescue boats.
(iv) Leadership and managerial skills.
(v) ECDIS, if serving on a vessel with
this equipment.
(vi) Radar observer, if serving on a
vessel with this equipment.
(vii) ARPA, if serving on a vessel with
this equipment.
(b) For a renewal of an STCW
endorsement as master of vessels of less
than 500 GT limited to near-coastal

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

TABLE 1 TO § 11.317(d)—STCW ENDORSEMENT AS MASTER OF VESSELS OF LESS THAN 500 GT LIMITED TO
NEAR-COASTAL WATERS
Entry path from national endorsements

Sea service under
authority of the endorsement 1

Mate oceans or near-coastal, less than 500 GRT ................................
Mate towing vessel oceans or near-coastal ..........................................
Master oceans or near-coastal, less than 200 GRT .............................
Mate oceans or near-coastal, less than 200 GRT ................................

None ..................................
None ..................................
6 months ............................
12 months ..........................

1 This

Yes
Yes
Yes
Yes

Competence—STCW
Table A–II/3 2

Training
required by
this
section 3

........................................
........................................
........................................
........................................

Yes.
Yes.
Yes.
Yes.

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
any items in paragraph (a)(3) of this section not previously satisfied.

2 Complete
3 Complete

sroberts on DSK5SPTVN1PROD with RULES

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

(a) To qualify for an STCW
endorsement as OICNW, an applicant
must—
(1) Provide evidence of seagoing
service as follows:
(i) Provide evidence of 36 months of
service in the deck department on

VerDate Mar<15>2010

20:23 Dec 23, 2013

Jkt 232001

vessels operating in oceans, near-coastal
waters, and/or Great Lakes. Service on
inland waters, bays, or sounds that are
navigable waters of the United States
may be substituted for up to 50 percent
of the required service. Experience
gained in the engine department may be
creditable for up to 3 months of the
service requirements; or
(ii) Provide evidence of not less than
12 months of seagoing service as part of

PO 00000

Frm 00126

Fmt 4701

Sfmt 4700

an approved training program that
includes onboard training that meets the
requirements of Section A–II/1 of the
STCW Code (incorporated by reference,
see § 11.102 of this part).
(2) Provide evidence of having
performed during the required seagoing
service, bridge watchkeeping duties,
under the supervision of an officer
holding the STCW endorsement as
master, chief mate, or OICNW, for a

E:\FR\FM\24DER2.SGM

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
period of not less than 6 months. The
Coast Guard will accept service on
vessels as boatswain, able seaman, or
quartermaster while holding the
appropriate deck watchkeeping rating
endorsement, which may be accepted
on a two-for-one basis to a maximum
allowable substitution of 3 months (6
months of experience equals 3 months
of creditable service);
(3) Provide evidence of meeting the
standard of competence specified in
Section A–II/1 of the STCW Code; and
(4) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Medical first-aid provider.
(ii) Radar observer, if serving on a
vessel with this equipment.

(iii) Watchkeeping, including
COLREGS and IMO standard marine
communication phrases (SMCP).
(iv) Basic and advanced firefighting in
accordance with § 11.303 of this
subpart.
(v) Proficiency in survival craft and
rescue boats other than fast rescue boats.
(vi) Visual signaling.
(vii) Bridge resource management;
(viii) ARPA, if serving on a vessel
with this equipment.
(ix) GMDSS, if serving on a vessel
with this equipment.
(x) ECDIS, if serving on a vessel with
this equipment.
(b) For a renewal of an STCW
endorsement as OICNW of vessels of
less than 500 GT to be valid on or after
January 1, 2017, each candidate must
provide the following:

77921

(1) Evidence of meeting the standard
of competence in leadership and
teamworking skills.
(2) Completion of approved training
in ECDIS, if serving on a vessel with this
equipment.
(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/3
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(d) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

TABLE 1 TO § 11.319(d)—STCW ENDORSEMENT AS OFFICER IN CHARGE OF A NAVIGATIONAL WATCH (OICNW) OF
VESSELS OF LESS THAN 500 GT.
Entry path from national endorsements

Sea service under authority
of the endorsement 1

Mate oceans or near-coastal, less than 500 GRT ................................
Mate towing vessel oceans or near-coastal ..........................................
Master oceans or near-coastal, less than 200 GRT .............................
Mate oceans or near-coastal, less than 200 GRT ................................

None ..................................
None ..................................
6 months ............................
12 months ..........................

Yes
Yes
Yes
Yes

Competence—STCW
Table A–II/3 2

Training
required by
this
section 3

........................................
........................................
........................................
........................................

Yes.
Yes.
Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
3 Complete any items in paragraph (a)(3) of this section not previously satisfied.
2 Complete

sroberts on DSK5SPTVN1PROD with RULES

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

(a) To qualify for an STCW
endorsement as OICNW, an applicant
must—
(1) Provide evidence of seagoing
service as follows:
(i) Twenty-four months of seagoing
service in the deck department on
vessels operating in oceans, near-coastal
waters, and/or Great Lakes. Service on
inland waters, bays, or sounds that are
navigable waters of the United States
may be substituted for up to 50 percent
of the total required service. Experience
gained in the engine department may be
creditable for up to 3 months of the
service requirements; or
(ii) Successful completion of an
approved training program that includes
seagoing service as required by the
Coast Guard; or

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20:23 Dec 23, 2013

Jkt 232001

(iii) Successful completion of
approved training for this section and
obtain 12 months of seagoing service;
(2) Provide evidence of meeting the
standard of competence specified in
Section A–II/3 of the STCW Code
(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Medical first-aid provider.
(ii) Basic and advanced firefighting in
accordance with § 11.303 of this
subpart.
(iii) Proficiency in survival craft and
rescue boats other than fast rescue boats.
(iv) Bridge resource management;
(v) ECDIS, if serving on a vessel with
this equipment.
(vi) Radar observer, if serving on a
vessel with this equipment.
(vii) ARPA, if serving on a vessel with
this equipment.
(b) For a renewal of an STCW
endorsement as OICNW of vessels of

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Frm 00127

Fmt 4701

Sfmt 4700

less than 500 GT limited to near-coastal
waters to be valid on or after January 1,
2017, each candidate must provide the
following:
(1) Evidence of meeting the standard
of competence in leadership and
teamworking skills.
(2) Completion of approved training
in ECDIS, if serving on a vessel with this
equipment.
(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/3
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(d) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

E:\FR\FM\24DER2.SGM

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77922

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

TABLE 1 TO § 11.321(d)—STCW ENDORSEMENT AS OICNW OF VESSELS OF LESS THAN 500 GT LIMITED TO NEARCOASTAL WATERS
Entry path from national endorsements

Sea service under authority
of the endorsement 1

Mate oceans or near-coastal less than 500 GRT .................................
Mate towing vessel oceans or near-coastal ..........................................
Master oceans or near-coastal, less than 200 GRT .............................
Mate oceans or near-coastal, less than 200 GRT ................................

None ..................................
None ..................................
None ..................................
6 months ............................

Yes
Yes
Yes
Yes

Competence—STCW
Table A–II/3 2

Training
required by
this
section 3

........................................
........................................
........................................
........................................

Yes.
Yes.
Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
3 Complete any items in paragraph (a)(3) of this section not previously satisfied.
2 Complete

sroberts on DSK5SPTVN1PROD with RULES

§ 11.323 STCW engineer officer
endorsements.

(a) Specific requirements for all
STCW engineer officer endorsements
are detailed in the applicable sections in
this part.
(1) Chief engineer officer on vessels
powered by main propulsion machinery
of 3,000 kW/4,000 HP propulsion power
or more (management level).
(2) Second engineer officer on vessels
powered by main propulsion machinery
of 3,000 kW/4,000 HP propulsion power
or more (management level).
(3) Officer in charge of an engineering
watch (OICEW) in a manned
engineroom, or as a designated duty
engineer in a periodically unmanned
engineroom, on vessels powered by
main propulsion machinery of 750 kW/
1,000 HP propulsion power or more
(operational level).
(4) Chief engineer officer on vessels
powered by main propulsion machinery
of between 750 kW/1,000 HP and 3,000
kW/4,000 HP propulsion power
(management level).
(5) Second engineer officer on vessels
powered by main propulsion machinery
of 750 kW/1,000 HP to 3,000 kW/4,000
HP propulsion power (management
level).
(6) Electro-technical officer on vessels
powered by main propulsion machinery
of 750 kW/1,000 HP or more
(operational level).
(b) Limitations. (1) STCW engineer
officer endorsements issued in
accordance with §§ 11.325, 11.327,
11.329, 11.331, 11.333, and 11.335 of
this subpart will be restricted to specific
propulsion modes for steam, motor, or
gas turbine-propelled vessels as
appropriate.
(2) STCW engineer officer
endorsements issued in accordance with

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20:23 Dec 23, 2013

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§§ 11.325, 11.327, 11.329, 11.331,
11.333, and 11.335 of this subpart for
motor or gas turbine-propelled vessels
may be endorsed as limited to serve on
vessels without auxiliary boilers, wasteheat boilers, distilling plants, oily water
separators, or sewage treatment plants.
An applicant may qualify for removal of
any of these limitations by
demonstrating the appropriate
competencies.
(c) An engineer officer who does not
hold an STCW endorsement may serve
on seagoing vessels propelled by
machinery of less than 750 kW/1,000
HP, the vessels specified in § 15.105(f)
and (g) of this subchapter, and vessels
operating on the Great Lakes or inland
waters of the United States.
(d) An officer endorsement issued in
the grade of chief engineer (limited) or
assistant engineer (limited) allows the
holder to serve within any propulsion
power limitations on vessels of
unlimited tonnage on inland waters, on
vessels of less than 3,000 GT in Great
Lakes service, and on the vessels
specified in § 15.105(f) and (g) of this
subchapter.
§ 11.325 Requirements to qualify for an
STCW endorsement as chief engineer
officer on vessels powered by main
propulsion machinery of 3,000 kW/4,000 HP
propulsion power or more (management
level).

(a) To qualify for an STCW
endorsement as chief engineer officer,
an applicant must—
(1) Provide evidence of not less than
36 months of service as OICEW on ships
powered by main propulsion machinery
of 750 kW/1,000 HP propulsion power
or more. This period may be reduced to
not less than 24 months if the applicant
has served for not less than 12 months

PO 00000

Frm 00128

Fmt 4701

Sfmt 4700

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

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

77923

TABLE 1 TO § 11.325(d)—STCW ENDORSEMENT AS CHIEF ENGINEER OFFICER ON VESSELS POWERED BY MAIN
PROPULSION MACHINERY OF 3,000KW/4,000HP PROPULSION POWER OR MORE
Entry path from national endorsements

Sea service 1

Chief engineer ................................................................................
Chief engineer (limited) ..................................................................
Chief engineer (MODU) .................................................................
Chief engineer (OSV) ....................................................................
Designated duty engineer, any horsepower 5 ................................

None ................................
12 months .......................
12 months/24 months 4 ...
None ................................
24 months as DDE ..........

Competence—STCW
Table A–III/2 2
Yes
Yes
Yes
Yes
Yes

.....................................
.....................................
.....................................
.....................................
.....................................

Training required
by this section 3
Yes.
Yes.
Yes.
Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
any items in paragraph (a)(3) of this section not previously satisfied.
4 Depending on the type of sea service used to obtain chief engineer (MODU) (refer to § 11.542 of this part)
5 STCW certificate should be limited to vessels less than 500 GRT.
2 Complete
3 Complete

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

(a) To qualify for an STCW
endorsement as second engineer officer,
an applicant must—
(1) Provide evidence of not less than
12 months of service as OICEW on
vessels powered by main propulsion
machinery of 750kW/1,000 HP or more;
or 12 months of sea service as a chief
engineer on vessels powered by
propulsion machinery of vessels
between 750kW/1,000 HP and 3,000
kW/4,000 HP;
(2) Provide evidence of meeting the
standard of competence specified in
Section A–III/2 of the STCW Code

(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following areas:
(i) Engineroom resource management
(ERM) if not completed at the
operational level.
(ii) Leadership and managerial skills.
(iii) Management of electrical and
electronic control equipment.
(b) For a renewal of an STCW
endorsement as second engineer officer
on vessels powered by main propulsion
machinery of 3,000 kW/4,000 HP
propulsion power or more to be valid on
or after January 1, 2017, each candidate
must provide evidence of successful
completion of approved training in the
following:

(1) ERM if not completed at the
operational level.
(2) Leadership and managerial skills.
(3) Management of electrical and
electronic control equipment.
(c) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–III/2
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(d) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

TABLE 1 TO § 11.327(d)—STCW ENDORSEMENT AS SECOND ENGINEER OFFICER ON VESSELS POWERED BY MAIN
PROPULSION MACHINERY OF 3,000 KW/4,000 HP PROPULSION POWER OR MORE
Entry path from national endorsements

Sea service 1

First assistant engineer ..................................................................
Second assistant engineer ............................................................
Third assistant engineer ................................................................
Assistant engineer (limited) ...........................................................
Chief engineer MODU ...................................................................
Chief engineer OSV .......................................................................
Designated duty engineer, unlimited 4 ...........................................

None ................................
None ................................
12 months .......................
12 months .......................
12 months .......................
None ................................
12 months as DDE ..........

Competence—STCW
Table A–III/2 2
Yes
Yes
Yes
Yes
Yes
Yes
Yes

.....................................
.....................................
.....................................
.....................................
.....................................
.....................................
.....................................

Training required
by this section 3
Yes.
Yes.
Yes.
Yes.
Yes.
Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
3 Complete any items in paragraph (a)(3) of this section not previously satisfied.
4 STCW certificate should be limited to vessels less than 500 GRT.

sroberts on DSK5SPTVN1PROD with RULES

2 Complete

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

(a) To qualify for an STCW
endorsement as OICEW, an applicant
must—
(1) Provide evidence of seagoing
service as follows:

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20:23 Dec 23, 2013

Jkt 232001

(i) Thirty-six months of seagoing
service in the engine department; or
(ii) Successful completion of an
approved training program, which
includes a combination of workshop
skill training and seagoing service of not
less than 12 months, and that meets the
requirements of Section A–III/1 of the
STCW Code (incorporated by reference,
see § 11.102 of this part);
(2) Provide evidence of having
performed during the required seagoing
service, engine room watchkeeping

PO 00000

Frm 00129

Fmt 4701

Sfmt 4700

duties, under the supervision of an
officer holding the STCW endorsement
as chief engineer officer or as a qualified
engineer officer, for a period of not less
than 6 months;
(3) Provide evidence of meeting the
standard of competence specified in
Section A–III/1 of the STCW Code; and
(4) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Medical first-aid provider.

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24DER2

77924

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

(ii) Basic and advanced firefighting in
accordance with § 11.303 of this
subpart.
(iii) Proficiency in survival craft and
rescue boats other than fast rescue boats.
(iv) Engineroom resource management
(ERM).
(v) Engineering terminology and
shipboard operations.
(vi) Auxiliary machinery.
(vii) Gas turbine plants, as applicable.
(viii) Steam plants, as applicable.
(ix) Motor plants, as applicable.
(x) Electrical machinery and basic
electronics.

(xi) Control systems.
(b) Experience gained in the deck
department may be creditable for up to
3 months of the service requirements in
paragraph (a)(1)(i) of this section.
(c) For a renewal of an STCW
endorsement as OICEW to be valid on
or after January 1, 2017, each candidate
must provide evidence of having
satisfactorily completed ERM training
and meeting the standard competence in
leadership and teamworking skills if not
previously completed.

(d) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–III/1
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(e) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

TABLE 1 TO § 11.327(d)—STCW ENDORSEMENT AS SECOND ENGINEER OFFICER ON VESSELS POWERED BY MAIN
PROPULSION MACHINERY OF 3,000 KW/4,000 HP PROPULSION POWER OR MORE
Competence—STCW Table
A–III/2 2

Entry path from national endorsements

Sea service 1

First assistant engineer ..........................................................................
Second assistant engineer .....................................................................
Third assistant engineer .........................................................................
Assistant engineer (limited) ....................................................................
Chief engineer MODU ............................................................................
Chief engineer OSV ...............................................................................
Designated duty engineer, unlimited 4 ...................................................

None ..................................
None ..................................
12 months ..........................
12 months ..........................
12 months ..........................
None ..................................
12 months as DDE ............

Yes
Yes
Yes
Yes
Yes
Yes
Yes

........................................
........................................
........................................
........................................
........................................
........................................
........................................

Training
required by
this section 3
Yes.
Yes.
Yes.
Yes.
Yes.
Yes.
Yes.

1 This

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
3 Complete any items in paragraph (a)(3) of this section not previously satisfied.
4 STCW certificate should be limited to vessels less than 500 GRT.
2 Complete

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

sroberts on DSK5SPTVN1PROD with RULES

(a) To qualify for an STCW
endorsement as chief engineer officer,
an applicant must—
(1) Provide evidence of meeting the
requirements for certification as OICEW,
and have not less than 24 months of
service on seagoing vessels powered by
main propulsion machinery of not less
than 750 kW/1,000 HP, of which not
less than 12 months must be served
while qualified to serve as second
engineer officer. Experience gained in
the deck department may be creditable
for up to 2 months of the total service
requirements;
(2) Provide evidence of meeting the
standard of competence specified in
Section A–III/3 of the STCW Code
(incorporated by reference, see § 11.102
of this part); and

(3) Provide evidence of having
satisfactorily completed approved
training in the following areas:
(i) Engineroom resource management
(ERM) if not completed at the
operational level.
(ii) Leadership and managerial skills.
(iii) Management of electrical and
electronic control equipment.
(b) For a renewal of an STCW
endorsement as chief engineer officer on
vessels powered by main propulsion
machinery of 750 kW/1,000 HP or more
and less than 3,000 kW/4,000 HP
propulsion power to be valid on or after
January 1, 2017, each candidate must
provide evidence of successful
completion of approved training in the
following:
(1) ERM if not completed at the
operational level.
(2) Leadership and managerial skills.
(3) Management of electrical and
electronic control equipment.
(c) An engineer officer qualified to
serve as second engineer officer on

vessels powered by main propulsion
machinery of 3,000 kW/4,000 HP or
more, may serve as chief engineer
officer on vessels powered by main
propulsion machinery of 750 kW/1,000
HP or more and less than 3,000 kW/
4,000 HP provided the certificate is so
endorsed.
(d) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–III/3
of the STCW Code. These exemptions
must be approved by the Coast Guard
based upon vessel type. Under these
circumstances, the credential may
include a corresponding limitation.
(e) Seafarers with one of the following
national officer endorsements are
eligible to apply for this endorsement
upon completion of the requirements in
the following table:

TABLE 1 TO § 11.331(e)—STCW ENDORSEMENT AS CHIEF ENGINEER OFFICER ON VESSELS POWERED BY MAIN
PROPULSION MACHINERY OF 750 KW/1,000 HP OR MORE AND LESS THAN 3,000 KW/4,000 HP PROPULSION POWER
Entry path from national endorsements

Sea service 1

Competence—STCW
Table A–III/2 2

Chief engineer ................................................................................
First assistant engineer ..................................................................

None ................................
None ................................

Yes .....................................
Yes .....................................

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20:23 Dec 23, 2013

Jkt 232001

PO 00000

Frm 00130

Fmt 4701

Sfmt 4700

E:\FR\FM\24DER2.SGM

24DER2

Training required
by this section 3
Yes.
Yes.

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

77925

TABLE 1 TO § 11.331(e)—STCW ENDORSEMENT AS CHIEF ENGINEER OFFICER ON VESSELS POWERED BY MAIN PROPULSION MACHINERY OF 750 KW/1,000 HP OR MORE AND LESS THAN 3,000 KW/4,000 HP PROPULSION POWER—Continued
Entry path from national endorsements

Sea service 1

Chief engineer (limited) ..................................................................
Chief engineer OSV .......................................................................
Chief engineer MODU ...................................................................
Designated duty engineer, 3,000 kW/4,000 HP ............................
Designated duty engineer, 750 kW/1,000 HP ...............................

None ................................
None ................................
12 months .......................
12 months .......................
24 months .......................

1 This

Competence—STCW
Table A–III/2 2
Yes
Yes
Yes
Yes
Yes

.....................................
.....................................
.....................................
.....................................
.....................................

Training required
by this section 3
Yes.
Yes.
Yes.
Yes.
Yes.

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
any items in paragraph (a)(3) of this section not previously satisfied.

2 Complete
3 Complete

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

(a) To qualify for an STCW
endorsement as second engineer officer,
an applicant must—
(1) Provide evidence of meeting the
requirements for certification as OICEW,
as well as serving for not less than 12
months as assistant engineer officer or
engineer officer on vessels powered by
main propulsion machinery of not less
than 750 kW/1,000 HP. Experience
gained in the deck department may be
creditable for up to 1 month of the total
service requirements;
(2) Provide evidence of meeting the
standard of competence specified in

Section A–III/3 of the STCW Code
(incorporated by reference, see § 11.102
of this part); and
(3) Provide evidence of having
satisfactorily completed approved
training in the following areas:
(i) Engineroom resource management
(ERM) if not completed at the
operational level.
(ii) Leadership and managerial skills.
(iii) Management of electrical and
electronic control equipment.
(b) For a renewal of an STCW
endorsement as second engineer officer
on vessels powered by main propulsion
machinery of 750 kW/1,000 HP or more
and less than 3,000 kW/4,000 HP
propulsion power to be valid on or after
January 1, 2017, each candidate must
provide evidence of successful

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

TABLE 1 TO § 11.333(d)—STCW ENDORSEMENT AS SECOND ENGINEER OFFICER ON VESSELS POWERED BY MAIN
PROPULSION MACHINERY OF 750 KW/1,000 HP OR MORE AND LESS THAN 3,000 KW/4,000 HP PROPULSION POWER

Entry path from national endorsements

Sea service 1

First assistant engineer .........................................................................
Second assistant engineer ....................................................................
Third assistant engineer ........................................................................
Assistant engineer (limited) ...................................................................
Assistant engineer OSV ........................................................................
Assistant engineer MODU .....................................................................

None ............................................
None ............................................
12 months ...................................
None ............................................
None ............................................
12 months ...................................

1 This

Competence—STCW Table
A–III/2 2

Training
required
by
this
section 3

Yes
Yes
Yes
Yes
Yes
Yes

Yes.
Yes.
Yes.
Yes.
Yes.
Yes.

.......................................
.......................................
.......................................
.......................................
.......................................
.......................................

column provides the minimum additional service required of the seafarer in order to meet the requirements of this section.
any items in paragraph (a)(2) of this section not previously satisfied.
any items in paragraph (a)(3) of this section not previously satisfied.

2 Complete

sroberts on DSK5SPTVN1PROD with RULES

3 Complete

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

(a) To qualify for an STCW
endorsement as an electro-technical
officer (ETO), an applicant must—
(1) Provide evidence of 36 months
combined workshop skills training and

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20:23 Dec 23, 2013

Jkt 232001

approved seagoing service of which not
less than 30 months must be seagoing
service in the engine department of
vessels. Experience gained in the deck
department may be creditable for up to
3 months of the service requirements; or
completion of an approved training
program, that includes a combination of
workshop skill training and seagoing

PO 00000

Frm 00131

Fmt 4701

Sfmt 4700

service of not less than 12 months, and
which meets the requirements of
Section A–III/6 of the STCW Code
(incorporated by reference, see § 11.102
of this part);
(2) Provide evidence of meeting the
standard of competence specified in
Section A–III/6 of the STCW Code;

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(3) Provide evidence of having
satisfactorily completed approved
training in the following subject areas:
(i) Medical first-aid provider.
(ii) Basic and advanced firefighting in
accordance with § 11.303 of this
subpart.
(iii) Proficiency in survival craft and
rescue boats other than fast rescue boats;
and
(4) Provide evidence of having
satisfactorily completed approved
professional training in the following
subject areas:
(i) Onboard computer networking and
security.
(ii) Radio electronics.
(iii) Integrated navigation equipment.
(iv) Ship propulsion and auxiliary
machinery.
(v) Instrumentation and control
systems.
(vi) High-voltage power systems.
(b) Any applicant who has served in
a relevant capacity onboard a vessel for
a period of not less than 12 months
within the last 60 months and meets the
standards of competence specified in
Section A–III/6 of the STCW Code is
considered by the Coast Guard to be
suitably qualified but must provide
evidence of—
(1) Seagoing service; and
(2) Having achieved the standards of
competence specified in Section
A–III/6 of the STCW Code.
(c) An applicant who holds an STCW
endorsement as OICEW, second
engineer officer, or chief engineer officer
will be allowed to receive the ETO
endorsement upon completion of the
requirements in Section A–III/6 of the
STCW Code.
(d) An applicant who does not hold
any other national or STCW
endorsement will be issued, upon
completion of the requirements in this
section, the ETO endorsement without
any corresponding national
endorsement.

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§ 11.337 Requirements to qualify for an
STCW endorsement as vessel security
officer.

(a) The applicant for an endorsement
as vessel security officer must present
satisfactory documentary evidence in
accordance with the requirements in 33
CFR 104.215.
(b) All applicants for an endorsement
must meet the physical examination
requirements in 46 CFR part 10, subpart
C.
(c) All applicants for this
endorsement must meet the safety and
suitability requirements and the
National Driver Registry review
requirements in § 10.209(e) of this
subchapter, unless they have met these

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requirements within the previous 5
years in connection with another
endorsement.

(3) Service on vessels to which STCW
applies, whether inland or coastwise,
will be credited on a day-for-day basis.

Subpart D—Professional
Requirements for National Deck Officer
Endorsements

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

§ 11.401 Ocean and near-coastal national
officer endorsements.

(a) To qualify for a national ocean or
near-coastal endorsement for service on
vessels of unlimited tonnage—
(1) All the required experience must
be obtained on vessels of 100 GRT or
more; and
(2) At least one-half of the required
experience must be obtained on vessels
of 1,600 GRT or more.
(b) If an applicant for a national
endorsement as master or mate of
unlimited tonnage does not have the
service on vessels of 1,600 GRT or more
as required by paragraph (a)(2) of this
section, a tonnage limitation will be
placed on the MMC based on the
applicant’s qualifying experience. The
endorsement will be limited to the
maximum tonnage on which at least 25
percent of the required experience was
obtained, or 150 percent of the
maximum tonnage on which at least 50
percent of the service was obtained,
whichever is higher. However, the
minimum tonnage limitation calculated
according to this paragraph will be
2,000 GRT. Limitations are in multiples
of 1,000 GRT using the next higher
figure when an intermediate tonnage is
calculated. When the calculated
limitation equals or exceeds 10,000
GRT, the applicant is issued an
unlimited tonnage endorsement.
(c) Tonnage limitations imposed
under paragraph (b) of this section may
be raised or removed in one of the
following manners:
(1) When the applicant provides
evidence of 6 months of service on
vessels of 1,600 GRT or more in the
highest grade endorsed, all tonnage
limitations will be removed.
(2) When the applicant provides
evidence of 6 months of service on
vessels of 1,600 GRT or more in any
capacity as an officer other than the
highest grade for which he or she is
endorsed, all tonnage limitations for the
grade in which the service is performed
will be removed and the next higher
grade endorsement will be raised to the
tonnage of the vessel on which the
majority of the service was performed.
The total cumulative service before and
after issuance of the limited license or
MMC officer endorsement may be
considered in removing all tonnage
limitations.
(3) When the applicant has 12 months
of service as able seaman on vessels of
1,600 GRT or more while holding a

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

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77927

license or endorsement as third mate, all
tonnage limitations on the third mate’s
license or MMC officer endorsement
will be removed.
(d) No applicant holding any national
endorsement as master or mate of
vessels of less than 1,600 GRT, less than

500 GRT, or less than 25–200 GRT may
use the provisions of paragraph (c) of
this section to increase the tonnages of
his or her license or endorsement.

§ 11.403 Structure of national deck officer
endorsements.

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

charge of a navigational watch equals 6
months of creditable service).
(b) An individual holding an
endorsement or license as master of
Great Lakes and inland, self-propelled
vessels of unlimited tonnage, or master
of inland, self-propelled vessels of
unlimited tonnage, may obtain an
endorsement as master of oceans or
near-coastal self-propelled vessels of
unlimited tonnage by providing
evidence of sea service of not less than
24 months under the authority of the
credential and by completing the
prescribed examination in subpart I of
this part. Service will be credited as
follows:
(1) Service on the Great Lakes will be
credited on a day-for-day basis up to
100 percent of the total required service.

(2) Service on inland waters, other
than Great Lakes, that are navigable
waters of the United States, will be
credited on a day-for-day basis for up to
50 percent of the total required service.
(3) Service on vessels to which STCW
applies, whether inland or coastwise,
will be credited on a day-for-day basis.
(c) A person holding this endorsement
may qualify for an STCW endorsement,
according to § 11.305 of this part.

(a) The minimum service required to
qualify an applicant for an endorsement
as master of ocean or near-coastal selfpropelled vessels of unlimited tonnage
is—
(1) One year of service as chief mate
on ocean self-propelled vessels; or
(2) While holding a license or MMC
endorsement as chief mate of ocean selfpropelled vessels of unlimited tonnage,
12 months of service on deck as follows:
(i) A minimum of 6 months of service
as chief mate.
(ii) Service as second mate, third
mate, or officer in charge of a
navigational watch accepted on a twofor-one basis (12 months as officer in

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

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

(a) The minimum service required to
qualify an applicant for an endorsement
as chief mate of ocean or near-coastal
self-propelled vessels of unlimited
tonnage is 1 year of service as officer in
charge of a navigational watch on ocean

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self-propelled vessels while holding a
license or MMC endorsement as second
mate.
(b) Service towards an oceans, nearcoastal, or STCW endorsement will be
credited as follows:
(1) Service on the Great Lakes will be
credited on a day-for-day basis.
(2) Service on inland waters, other
than Great Lakes, that are navigable
waters of the United States, may be
substituted for up to 50 percent of the
total required service.
(3) Service on vessels to which STCW
applies, whether inland or coastwise,
will be credited on a day-for-day basis.
(c) A person holding this endorsement
may qualify for an STCW endorsement,
according to § 11.307 of this part.

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

(a) The minimum service required to
qualify an applicant for an endorsement
as second mate of ocean or near-coastal
self-propelled vessels of unlimited
tonnage is—
(1) One year of service as officer in
charge of a navigational watch on ocean
self-propelled vessels while holding a
license or endorsement as third mate; or
(2) While holding a license or MMC
endorsement as third mate of ocean selfpropelled vessels of unlimited tonnage,
12 months of service on deck as follows:
(i) A minimum of 6 months service as
officer in charge of a deck watch on
ocean self-propelled vessels.
(ii) Service on ocean self-propelled
vessels as boatswain, able seaman, or
quartermaster while holding a certificate
or MMC endorsement as able seaman,
which may be accepted on a two-for-one
basis to a maximum allowable
substitution of six months (12 months of
experience equals 6 months of
creditable service).
(b) Service towards an oceans, nearcoastal or STCW endorsement will be
credited as follows:
(1) Service on the Great Lakes will be
credited on a day-for-day basis up to
100 percent of the total required service.
(2) Service on inland waters, other
than Great Lakes, that are navigable
waters of the United States, will be
credited on a day-for-day basis for up to
50 percent of the total required service.
(3) Service on vessels to which STCW
applies, whether inland or coastwise,
will be credited on a day-for-day basis.
(c) If an individual holds an
endorsement or license as master of
Great Lakes and inland self-propelled
vessels of unlimited tonnage or master
of inland self-propelled vessels of
unlimited tonnage, he or she may obtain
an endorsement as second mate of ocean

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or near-coastal self-propelled vessels of
unlimited tonnage by completing the
prescribed examination in subpart I of
this part.
(d) A person holding this
endorsement may qualify for an STCW
endorsement, according to § 11.309 of
this part.
§ 11.407 Service requirements for third
mate of ocean or near-coastal self-propelled
vessels of unlimited tonnage.

(a) The minimum service or training
required to qualify an applicant for an
endorsement as third mate of ocean or
near-coastal self-propelled vessels of
unlimited tonnage is—
(1) Three years of service in the deck
department on ocean self-propelled
vessels, with a minimum of 6 months of
bridge watchkeeping duties under the
supervision of the master or a qualified
officer. Experience gained in the engine
department on vessels of appropriate
tonnage may be creditable for up to 3
months of the service requirements for
this officer endorsement;
(2) Graduation from—
(i) The U.S. Merchant Marine
Academy (deck curriculum);
(ii) The U.S. Coast Guard Academy
with qualification as an underway
officer in charge of a navigational watch,
underway officer of the deck, or deck
watch officer;
(iii) The U.S. Naval Academy with
qualification as an underway officer in
charge of a navigational watch,
underway officer of the deck or deck
watch officer; or
(iv) The deck class of a maritime
academy approved by and conducted
under rules prescribed by the Maritime
Administrator and listed in part 310 of
this title, including the ocean option
program in the deck class of the Great
Lakes Maritime Academy; or
(3) Satisfactory completion of a
comprehensive apprentice mate training
program approved by the Coast Guard.
(b) Graduation from the deck class of
the Great Lakes Maritime Academy will
qualify the graduate to be examined for
an endorsement as third mate selfpropelled vessels of unlimited tonnage
with a route appropriate to the program
completed.
(c) While holding a license or MMC
endorsement as master of ocean or nearcoastal self-propelled vessels of less
than 1,600 GRT, 1 year of service as
master on vessels of more than 200 GRT
operating on ocean or near-coastal
waters will qualify the applicant for an
endorsement as third mate of ocean or
near-coastal self-propelled vessels of
unlimited tonnage.
(d) An individual holding an
endorsement or license as mate of Great

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Lakes and inland, self-propelled vessels
of unlimited tonnage, or master of
inland, self-propelled vessels of
unlimited tonnage, may obtain an
endorsement as third mate of oceans or
near-coastal self-propelled vessels of
unlimited tonnage by completing the
prescribed examination in subpart I of
this part.
(e) A person holding this endorsement
may qualify for an STCW endorsement,
according to § 11.309 of this part.
§ 11.410 Requirements for deck officer
endorsements for vessels of less than 1,600
GRT.

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

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

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

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

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

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77929

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

according to §§ 11.307, 11.309, 11.311,
11.313, and 11.315 of this part.

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

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

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

(a) The minimum service required to
qualify an applicant for an endorsement
as master of ocean or near-coastal selfpropelled vessels of less than 500 GRT
is—
(1) Three years total of service on
ocean or near-coastal waters. Service on
Great Lakes and inland waters may
substitute for up to 18 months of the
required service. Two years of the
required service must have been as a
master, mate, or equivalent position
while holding a license or MMC
endorsement as master, mate, or
operator of uninspected passenger
vessels. One year of the required service
as master, mate, or equivalent position
must have been on vessels of more than
50 GRT; or
(2) One year of service on vessels of
more than 50 GRT on ocean or nearcoastal waters as a master or mate of
self-propelled vessels, or master or mate
of towing vessels while holding a
license or MMC endorsement as mate of
ocean self-propelled vessels of less than
500 GRT.
(b) The holder of a license or MMC
endorsement as master or mate (pilot) of
towing vessels authorizing service on
oceans or near-coastal routes is eligible
for an endorsement as master of ocean
or near-coastal self-propelled vessels of
less than 500 GRT after both 1 year of
service as master or mate of towing
vessels on oceans or near-coastal routes
and completion of a limited
examination.
(c) A person holding this endorsement
may qualify for an STCW endorsement,

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

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

(a) Each national endorsement as
master or mate of vessels of less than
200 GRT is issued with a tonnage
limitation based on the applicant’s
qualifying experience. The tonnage
limitation will be issued at the 25, 50,
100, or 200 GRT level. The endorsement
will be limited to the maximum GRT on
which at least 25 percent of the required
experience was obtained, or 150 percent
of the maximum GRT on which at least
50 percent of the service was obtained,

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whichever is higher. Limitations are as
stated above, using the next higher
figure when an intermediate tonnage is
calculated. If more than 75 percent of
the qualifying experience is obtained on
vessels of 5 GRT or less, the MMC will
automatically be limited to vessels of
less than 25 GRT.
(b) The tonnage limitation may be
raised as follows:
(1) For an endorsement as mate, with
at least 45 days of additional service on
deck of a vessel in the highest tonnage
increment authorized by the officer
endorsement.
(2) For an endorsement as master,
with at least 90 days of additional
service on deck of a vessel in the highest
tonnage increment authorized by the
master endorsement.
(3) With additional service, which,
when combined with all previously
accumulated service, will qualify the
applicant for a higher tonnage officer
endorsement under the basic formula
specified in paragraph (a) of this
section.
(4) With 6 months additional service
in the deck department on vessels
within the highest tonnage increment on
the officer’s license or MMC
endorsement. In this case, the tonnage
limitation may be raised one increment.
(c) When the service is obtained on
vessels upon which no personnel need
an officer endorsement or license, the
Coast Guard must be satisfied that the
nature of this required service (i.e., size
of vessel, route, equipment, etc.) is a
reasonable equivalent to the duties
performed on vessels which are
required to engage individuals with
officer endorsements.
(d) Service gained in the engine room
on vessels of 200 GRT or less may be
creditable for up to 90 days of the deck
service requirements for mate.

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

(a) The minimum service required to
qualify an applicant for an officer
endorsement as master of ocean selfpropelled vessels of less than 200 GRT
is—
(1) Three years of total service on
ocean or near-coastal waters. Service on
Great Lakes and inland waters may
substitute for up to 18 months of the
required service. Two years of the
required service must have been as
master, mate, or equivalent position
while holding a license or MMC
endorsement as master, as mate, or as
operator of uninspected passenger
vessels; or
(2) Two years of total service as a
master or mate of ocean or near-coastal

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towing vessels. Completion of an
examination is also required.
(b) In order to obtain an officer
endorsement for sail or auxiliary sail
vessels, the applicant must submit
evidence of 12 months of service on sail
or auxiliary sail vessels. The required 12
months of service may have been
obtained prior to issuance of the
master’s license or MMC endorsement.
(c) A person holding this endorsement
may qualify for an STCW endorsement,
according to §§ 11.315, 11.317, 11.319,
and 11.321 of this part.
§ 11.425 Requirements for mate of ocean
self-propelled vessels of less than 200 GRT.

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

(a) The minimum service required to
qualify for a master of near-coastal selfpropelled vessels of less than 200 GRT
is—

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(1) Two years total service on ocean
or near-coastal waters. Service on Great
Lakes and inland waters may substitute
for up to 1 year of the required service.
One year of the required service must
have been as a master, mate, or
equivalent position while holding a
license or endorsement as master, mate,
or operator of uninspected passenger
vessels; or
(2) One year of total service as master
or mate of towing vessels on ocean or
near-coastal routes. Completion of an
examination is also required.
(b) To obtain this officer endorsement
for sail or auxiliary sail vessels, the
applicant must submit evidence of 12
months of service on sail or auxiliary
sail vessels. These 12 months of
experience may have been obtained
before qualifying for an officer
endorsement.
(c) Holders of this endorsement are
considered to be in compliance with the
STCW Convention (incorporated by
reference, see § 11.102) while operating
within the limitations of this
endorsement.
§ 11.427 Requirements for mate of nearcoastal self-propelled vessels of less than
200 GRT.

(a) The minimum service required to
qualify for the endorsement as mate of
near-coastal self-propelled vessels of
less than 200 GRT is—
(1) Twelve months of total service in
the deck department of ocean or nearcoastal self-propelled, sail, or auxiliary
sail vessels. Service on Great Lakes and
inland waters may substitute for up to
6 months of the required service; or
(2) Three months of service in the
deck department of self-propelled
vessels operating on ocean, near-coastal,
Great Lakes, or inland waters while
holding a license or MMC endorsement
as master of inland self-propelled, sail,
or auxiliary sail vessels of less than 200
GRT.
(b) The holder of a license or MMC
endorsement as operator of uninspected
passenger vessels with a near-coastal
route endorsement may obtain this
endorsement by successfully completing
an examination on rules and regulations
for small passenger vessels.
(c) To obtain this officer endorsement
for sail or auxiliary sail vessels, the
applicant must submit evidence of 6
months of deck service on sail or
auxiliary sail vessels.
(d) A license or MMC endorsement as
master of near-coastal self-propelled
vessels may be endorsed as mate of sail
or auxiliary sail vessels upon
presentation of 3 months of service on
sail or auxiliary sail vessels.

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
(e) To obtain a tonnage endorsement
for 100 GRT or more, the applicant must
complete the additional examination
topics indicated in subpart I of this part.
(f) Holders of this endorsement are
considered to be in compliance with the
STCW Convention (incorporated by
reference, see § 11.102) while operating
within the limitations of this
endorsement.
§ 11.428 Requirements for master of nearcoastal self-propelled vessels of less than
100 GRT.

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(a) The minimum service required to
qualify for the endorsement as master of
self-propelled, seagoing vessels of less
than 100 GRT limited to domestic
voyages upon near-coastal waters is 2
years of service in the deck department
of a self-propelled vessel on ocean or
near-coastal waters. Service on Great
Lakes and inland waters may substitute
for up to 1 year of the required service.
(b) To obtain an endorsement for sail
or auxiliary sail vessels, the applicant
must submit evidence of 12 months of
service on sail or auxiliary-sail vessels.
This required service may have been
obtained before issuance of the license
or MMC.
(c) Holders of this endorsement are
considered to be in compliance with the
STCW Convention (incorporated by
reference, see § 11.102 of this part)
while operating within the limitations
of this endorsement.
(d) All endorsements issued for
master or mate of vessels of less than
100 GRT are issued in tonnage
increments based on the applicant’s
qualifying experience in accordance
with the provisions of § 11.422 of this
subpart.

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

(a) An endorsement as limited master
for service on near-coastal waters on
vessels of less than 100 GRT may be
issued to an applicant to be employed
by organizations such as yacht clubs,
marinas, formal camps, and educational
institutions. An endorsement issued
under this section is limited to the
specific activity and the locality of the
yacht club, marina, or camp. To obtain
this restricted endorsement, an
applicant must—
(1) Have 4 months of service on any
waters in the operation of the type of
vessel for which the endorsement is
requested;
(2) Satisfactorily complete a safe
boating course approved by the National
Association of State Boating Law
Administrators, or a safe boating course
conducted by the U.S. Power Squadron
or the American Red Cross, or a Coast
Guard-approved course. This course
must have been completed within 5
years before the date of application; and
(3) Pass a limited examination
appropriate for the activity to be
conducted and the route authorized.
(b) The first aid and cardiopulmonary
resuscitation (CPR) course certificates
required by § 11.201(i) of this part will
only be required when, in the opinion
of the Coast Guard, the geographic area
over which service is authorized
precludes obtaining medical services
within a reasonable time.
(c) To obtain an endorsement for sail
or auxiliary sail vessels, the applicant
must submit evidence of 4 months of
service on sail or auxiliary sail vessels.
The required 4 months of service may
have been obtained prior to issuance of
the license or MMC endorsement.
(d) Holders of this endorsement are
considered to be in compliance with the

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77931

STCW Convention (incorporated by
reference, see § 11.102 of this part)
while operating within the limitations
of this endorsement.
§ 11.430 Endorsements for the Great
Lakes and inland waters.

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

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

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

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

(a) The minimum service required to
qualify an applicant for an endorsement
as master of Great Lakes and inland selfpropelled vessels of unlimited tonnage
is—
(1) One year of service as a mate or
first-class pilot while acting in the
capacity of first mate of Great Lakes selfpropelled vessels of 1,600 GRT or more
while holding a license or MMC
endorsement as mate inland or firstclass pilot of Great Lakes and inland
self-propelled vessels of unlimited
tonnage;
(2) Two years of service as master of
self-propelled vessels of 1,600 GRT or

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more on inland waters, excluding the
Great Lakes; or
(3) One year of service upon Great
Lakes waters while holding a license or
MMC endorsement as mate or first-class
pilot of Great Lakes and inland selfpropelled vessels of 1,600 GRT or more.
A minimum of 6 months of this service
must have been in the capacity of first
mate. Service as second mate is
accepted for the remainder on a two-forone basis to a maximum of 6 months (2
days of service equals 1 day of
creditable service).
(b) [Reserved]
§ 11.435 Requirements for master of
inland self-propelled vessels of unlimited
tonnage.

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

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supervision of the master or a qualified
officer while holding a mate/first-class
pilot license or MMC endorsement.
(b) [Reserved]
§ 11.437 Requirements for mate of Great
Lakes and inland self-propelled vessels of
unlimited tonnage.

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

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
months of the service requirements
under paragraph (a)(1) of this section.
§ 11.442 Requirements for master of Great
Lakes and inland self-propelled vessels of
less than 1,600 GRT.

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

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

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

(a) The minimum service required to
qualify an applicant for an endorsement
as master of Great Lakes and inland selfpropelled vessels of less than 500 GRT
is—
(1) Three years of total service on
vessels. One year of the required service
must have been as a master, mate, or
equivalent position on vessels of 50

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GRT or more while holding a license or
MMC endorsement as master, mate, or
OUPV.
(2) [Reserved]
(b) An applicant holding a license or
MMC endorsement as master of ocean,
near-coastal, or Great Lakes and inland
towing vessels is eligible for this
endorsement after 6 months of service
as master of towing vessels and
completion of a limited examination.
This requires 3 1/2 years of service. Two
years of this service must have been
served while holding a license or MMC
endorsement as master or mate (pilot) of
towing vessels, or mate.
§ 11.448 Requirements for mate of Great
Lakes and inland self-propelled vessels of
less than 500 GRT.

The minimum service required to
qualify an applicant for an endorsement
as mate of Great Lakes and inland selfpropelled vessels of less than 500 GRT
is 2 years of total service in the deck
department of self-propelled vessels.
One year of the required service must
have been on vessels of 50 GRT or more.
Three months of the required service
must have been while performing bridge
watchkeeping duties under the
supervision of the master or a qualified
officer on vessels of 50 GRT or more.
§ 11.450 Tonnage limitations and
qualifying requirements for endorsements
as master or mate of Great Lakes and
inland vessels of less than 200 GRT.

(a) Except as noted in paragraph (d) of
this section, all endorsements issued for
master or mate of vessels of less than
200 GRT are issued in 50 GRT
increments based on the applicant’s
qualifying experience in accordance
with the provisions of § 11.422 of this
subpart.
(b) Service gained in the engineroom
on vessels of less than 200 GRT may be
creditable for up to 25 percent of the
deck service requirements for mate.
(c) When the service is obtained on
vessels upon which personnel with
licenses or endorsements are not
required, the Coast Guard must be
satisfied that the nature of this required
service (i.e., size of vessel, route,
equipment, etc.) is a reasonable
equivalent to the duties performed on
vessels which are required to engage
individuals with endorsements.
(d) If more than 75 percent of the
qualifying experience is obtained on
vessels of 5 GRT or less, the license will
automatically be limited to vessels of
less than 25 GRT.

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77933

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

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

(a) The minimum service required to
qualify an applicant for an endorsement
as mate of Great Lakes and inland selfpropelled vessels of less than 200 GRT
is 6 months of service in the deck
department of self-propelled vessels. To
obtain authority to serve on the Great
Lakes, 3 months of the required service
must have been on Great Lakes waters;
otherwise the endorsement will be
limited to the inland waters of the
United States (excluding the Great
Lakes).
(b) To obtain an endorsement for sail
or auxiliary sail vessels, the applicant
must submit evidence of 3 months of
service on sail or auxiliary sail vessels.
(c) A mariner holding an endorsement
as master of self-propelled vessels may
be endorsed as mate of sail or auxiliary
sail vessels upon presentation of 3
months service on sail or auxiliary sail
vessels.
(d) The holder of a license or MMC
endorsement as operator of inland
uninspected passenger vessels may
obtain this endorsement by successfully
completing an examination on rules and
regulations for small passenger vessels.
To obtain authority to serve on the Great
Lakes, 3 months of the required service
must have been on Great Lakes waters;
otherwise the endorsement will be
limited to the inland waters of the
United States (excluding the Great
Lakes).

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

(e) To obtain a tonnage endorsement
for 100 GRT or more, the applicant must
complete the additional examination
topics indicated in subpart I of this part.
§ 11.455 Requirements for master of Great
Lakes and inland self-propelled vessels of
less than 100 GRT.

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

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

(a) An endorsement as limited master
for vessels of less than 100 GRT upon
Great Lakes and inland waters may be
issued to an applicant to be employed
by organizations such as formal camps,
educational institutions, yacht clubs,
and marinas with reduced service
requirements. An endorsement issued
under this paragraph is limited to the
specific activity and the locality of the
camp, yacht club, or marina. To obtain
this restricted endorsement, an
applicant must—
(1) Have 4 months of service in the
operation of the type of vessel for which
the endorsement is requested;
(2) Satisfactorily complete a safe
boating course approved by the National
Association of State Boating Law
Administrators, a public education
course conducted by the U.S. Power
Squadron or the American Red Cross, or
a Coast Guard-approved course. This
course must have been completed
within 5 years before the date of
application; and
(3) Pass a limited examination
appropriate for the activity to be
conducted and the route authorized.
(b) The first aid and cardiopulmonary
resuscitation (CPR) course certificates

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required by § 11.201(i) of this part will
only be required when, in the opinion
of the Coast Guard, the geographic area
over which service is authorized
precludes obtaining medical services
within a reasonable time.
§ 11.457 Requirements for master of
inland self-propelled vessels of less than
100 GRT.

(a) An applicant for an endorsement
as master of inland self-propelled
vessels of less than 100 GRT must
present 1 year of service on any waters.
In order to raise the tonnage limitation
to more than 100 GRT, the examination
topics indicated in subpart I of this part
must be completed in addition to
satisfying the experience requirements
of § 11.452(a) of this subpart.
(b) To obtain an endorsement for sail
or auxiliary sail vessels, the applicant
must submit evidence of 6 months of
service on sail or auxiliary sail vessels.
The required 6 months of service may
have been obtained prior to issuance of
the license or MMC endorsement.
(c) All endorsements issued for master
or mate of vessels of less than 100 GRT
are issued in tonnage increments based
on the applicant’s qualifying experience
in accordance with the provisions of
§ 11.422 of this subpart.
§ 11.459 Requirements for national
endorsement as master or mate of rivers.

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

(a) This section applies to
endorsements for masters and mates of
all vessels, however propelled,
navigating the high seas, which are
documented to engage in the fishing
industry, with the exception of—
(1) Wooden ships of primitive build;
(2) Unrigged vessels; and
(3) Vessels of less than 200 GRT.
(b) Endorsements as master or mate of
uninspected fishing industry vessels are
issued for either ocean or near-coastal
routes, depending on the examination
completed. To qualify for an
uninspected fishing industry vessel

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endorsement, the applicant must satisfy
the training and examination
requirements of § 11.201(h)(1) of this
part.
(c) An applicant for an endorsement
as master of uninspected fishing
industry vessels must have 4 years of
total service on ocean or near-coastal
routes. Service on Great Lakes or inland
waters may substitute for up to 2 years
of the required service. One year of the
required service must have been as
master, mate, or equivalent position
while holding a license or MMC
endorsement as master or mate of selfpropelled vessels, or master or mate
(pilot) of towing vessels, or OUPV.
(1) To qualify for an endorsement for
less than 500 GRT, at least 2 years of the
required service, including the 1 year as
master, mate, or equivalent, must have
been on vessels of 50 GRT or more.
(2) To qualify for an endorsement for
less than 1,600 GRT, at least 2 years of
the required service, including the 1
year as master, mate, or equivalent,
must have been on vessels of 100 GRT
or more.
(3) To qualify for an endorsement for
more than 1,600 GRT, but not more than
5,000 GRT, the vessel tonnage upon
which the 4 years of required service
was obtained will be used to compute
the tonnage. The endorsement is limited
to the maximum tonnage on which at
least 25 percent of the required service
was obtained or 150 percent of the
maximum tonnage on which at least 50
percent of the service was obtained,
whichever is higher. Limitations are in
multiples of 1,000 GRT, using the next
higher figure when an intermediate
tonnage is calculated. An endorsement
as master of uninspected fishing
industry vessels authorizing service on
vessels more than 1,600 GRT also
requires 1 year as master, mate, or
equivalent on vessels of 100 GRT or
more.
(4) The tonnage limitation for this
endorsement may be raised using one of
the following methods but cannot
exceed 5,000 GRT. Limitations are in
multiples of 1,000 GRT, using the next
higher figure when an intermediate
tonnage is calculated.
(i) Three months of service as master
on a vessel results in a limitation in that
capacity equal to the tonnage of that
vessel rounded up to the next multiple
of 1,000 GRT.
(ii) Six months of service as master on
a vessel results in a limitation in that
capacity equal to 150 percent of the
tonnage of that vessel.
(iii) Six months of service as master
on vessels more than 1,600 GRT results
in raising the limitation to 5,000 GRT.

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(iv) Six months of service as mate on
vessels more than 1,600 GRT results in
raising the limitation for master to the
tonnage on which at least 50 percent of
the service was obtained.
(v) Two years of service as a deckhand
on a vessel while holding a license or
MMC endorsement as master results in
a limitation on the MMC equal to 150
percent of the tonnage of that vessel up
to 5,000 GRT.
(vi) One year of service as deckhand
on a vessel while holding a license or
MMC endorsement as master results in
a limitation on the MMC equal to the
tonnage of that vessel.
(d) An applicant for an endorsement
as mate of uninspected fishing industry
vessels must have 3 years of total
service on ocean or near-coastal routes.
Service on Great Lakes or inland waters
may substitute for up to 18 months of
the required service.
(1) To qualify for an endorsement of
less than 500 GRT, at least 1 year of the
required service must have been on
vessels of 50 GRT or more.
(2) To qualify for an endorsement of
less than 1,600 GRT, at least 1 year of
the required service must have been on
vessels of 100 GRT or more.
(3) To qualify for an endorsement of
more than 1,600 GRT, but not more than
5,000 GRT, the vessel tonnage upon
which the 3 years of required service
was obtained will be used to compute
the tonnage. The endorsement is limited
to the maximum tonnage on which at
least 25 percent of the required service
was obtained, or 150 percent of the
maximum tonnage on which at least 50
percent of the service was obtained,
whichever is higher. Limitations are in
multiples of 1,000 GRT, using the next
higher figure when an intermediate
tonnage is calculated.
(4) The tonnage limitation on this
endorsement may be raised using one of
the following methods, but cannot
exceed 5,000 GRT. Limitations are in
multiples of 1,000 GRT, using the next
higher figure when an intermediate
tonnage is calculated.
(i) Three months of service as mate on
a vessel results in a limitation in that
capacity equal to the tonnage of that
vessel rounded up to the next multiple
of 1,000 GRT.
(ii) Six months of service as mate on
a vessel results in a limitation in that
capacity equal to 150 percent of the
tonnage of that vessel.
(iii) Six months of service as mate on
vessels more than 1,600 GRT results in
raising the limitation to 5,000 GRT.
(iv) One year of service as deckhand
on vessels more than 1,600 GRT while

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holding a license or MMC endorsement
as mate, results in raising the limitation
on the MMC to 5,000 GRT;
(v) Two years of service as a deckhand
on a vessel while holding a license or
MMC endorsed as mate results in a
limitation on the MMC equal to 150
percent of the tonnage of that vessel up
to 5,000 GRT.
(vi) One year of service as deckhand
on a vessel while holding a license or
MMC endorsement as mate results in a
limitation on the MMC equal to the
tonnage of that vessel.
(e) Applicants may request an oral
examination on the subjects listed in
subpart I of this part.
§ 11.463 General requirements for national
endorsements as master, mate (pilot), and
apprentice mate (steersman) of towing
vessels.

(a) The Coast Guard issues the
following endorsements for towing
vessels:
(1) Master of towing vessels.
(2) Master of towing vessels, limited.
(3) Mate (pilot) of towing vessels.
(4) Apprentice mate (steersman).
(5) Apprentice mate (steersman),
limited.
(b) An endorsement as master of
towing vessels means an endorsement to
operate towing vessels not restricted to
local areas designated by OCMIs. This
also applies to a mate (pilot) of towing
vessels.
(c) For this section, ‘‘limited’’ means
an endorsement to operate a towing
vessel of less than 200 GRT only within
a local area on the Great Lakes, inland
waters, or Western Rivers designated by
the OCMI.
(d) Mariners who met the training and
service requirements for towing vessels
before May 21, 2001, and have
maintained a valid Coast Guard-issued
credential may obtain a towing
endorsement if they meet the following:
(1) Demonstrate at least 90 days of
towing service before May 21, 2001.
(2) Provide evidence of successfully
completing the apprentice mate exam,
its predecessor exam, or a superior
exam.
(3) Meet the renewal requirements in
§ 10.227(e)(6)(i) of this subchapter.
(e) Mariners who operated towing
vessels in the offshore oil and mineral
industry prior to October 15, 2010, may
obtain a towing endorsement until
December 24, 2018 as follows:
(1) Mariners who held officer
endorsements as operator of
uninspected towing vessels (OUTV) or
mate or master of inspected selfpropelled vessels may qualify for a

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77935

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

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

(a) An applicant for an endorsement
as master of towing vessels with a route

listed in column 1 of table 1 to this
section, must complete the service
requirements indicated in columns 2
through 5. Applicants may serve on the

subordinate routes listed in column 5
without further endorsement.

TABLE 1 TO § 11.464(a)—REQUIREMENTS FOR ENDORSEMENT AS MASTER OF TOWING VESSELS 1

(1)
(2)
(3)
(4)

1

2

3

4

5

Route endorsed

Total
service 2

TOS 3
on T/V
as mate
(pilot)

TOS 3 on
particular
route

Sub-ordinate
route authorized

OCEANS (O) ........................................
NEAR-COASTAL (NC) .........................
GREAT LAKES-INLAND (GL–I) ...........
WESTERN RIVERS (WR) ....................

48
48
48
48

18
18
18
18

3
3
3
3

NC, GL–I.
GL–I.
None.
None.

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

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(c) To obtain an endorsement as
master of towing vessels (limited),
applicants must complete the
requirements listed in columns 2

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through 5 of table 1 to paragraph (c) of
this section.

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ER24DE13.003

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1 The holder of an endorsement as master of towing vessels may have an endorsement placed on the MMC as mate (pilot) of towing vessels
for a route superior to the current route on which the holder has no operating experience after passing an examination for that additional route.
After the holder completes 90 days of experience and completes a Towing Officer Assessment Record (TOAR) on that route, the Coast Guard
will add it to the holder’s endorsement as master of towing vessels and remove the endorsement for mate (pilot) of towing vessels.
2 Service is in months.
3 TOS is time of service.

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

77937

TABLE 1 TO § 11.464(c)—REQUIREMENTS FOR NATIONAL ENDORSEMENT AS MASTER OF TOWING VESSELS (LIMITED)
1

2

3

4

5

Route endorsed

Total
service 1

TOS 2
on T/V as
limited
apprentice mate
(steersman)

TOAR
or an
approved
course

TOS on
particular
route

LIMITED LOCAL AREA (LLA) .........................................................

36

18

Yes

3.

1 Service

is in months.
2 TOS is time of service.

(d) Those holding a license or MMC
endorsement as mate (pilot) of towing
vessels, may have master of towing
vessels (limited) added to their MMC for
a limited local area within the scope of
their current route.
(e) Before serving as master of towing
vessels on the Western Rivers, mariners
must possess 90 days of observation and
training and their MMC must include an
endorsement for Western Rivers.
(f) Each company must maintain
evidence that every vessel it operates is
under the direction and control of a
mariner with the appropriate
endorsement and experience, including
30 days of observation and training on
the intended route other than Western
Rivers.
(g) Those holding a license or MMC
endorsement as a master of selfpropelled vessels of more than 200 GRT,
may operate towing vessels within any

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

restrictions on their endorsement if
they—
(1) Have a minimum of 30 days of
training and observation on towing
vessels for the route being assessed,
except as noted in paragraph (f) of this
section; and
(2) Either—
(i) Hold a completed Towing Officer
Assessment Record (TOAR) described in
§ 10.404(c) of this part that shows
evidence of assessment of practical
demonstration of skills; or
(ii) Complete an approved training
course.
(h) A license or MMC does not need
to include a towing endorsement if
mariners hold a TOAR or complete an
approved training course.

(a) To obtain an endorsement as mate
(pilot) of towing vessels endorsed with
a route listed in column 1 of Table 1 to
paragaph (a) of this section, applicants
must complete the service in columns 2
through 5. Mariners holding a license or
MMC endorsement as master of towing
vessels (limited) wishing to upgrade it
to mate (pilot) of towing vessels must
complete the service in columns 5 and
6. An endorsement with a route
endorsed in column 1 authorizes service
on the subordinate routes listed in
column 7 without further endorsement.
Time of service requirements as an
apprentice mate (steersman) of towing
vessels may be reduced by an amount
equal to the time specified in the
approval letter for a completed Coast
Guard-approved training program.

TABLE 1 TO § 11.465(a)—REQUIREMENTS FOR NATIONAL ENDORSEMENT AS MATE (PILOT 1) OF TOWING VESSELS

sroberts on DSK5SPTVN1PROD with RULES

(1)
(2)
(3)
(4)

1

2

3

4

5

6

7

Route endorsed

Total
service 2

TOS 3 on T/V
as apprentice
mate
(steersman) 4

TOS on
particular
route

TOAR 5 or an
approved
course

30 days of
observation and
training
while holding master
(limited)
and pass
an
examination

Subordinate
route
authorized

OCEANS (O) .............................................
NEAR-COASTAL (NC) ..............................
GREAT LAKES-INLAND (GL–I) ................
WESTERN RIVERS (WR) .........................

30
30
30
30

12
12
12
12

3
3
3
3

YES
YES
YES
YES

.............
.............
.............
.............

YES .............
YES .............
YES.
NO (90 days
service required).

NC, GL–I.
GL–I.

1 For all inland routes, as well as Western Rivers, the endorsement as pilot of towing vessels is equivalent to that as mate of towing vessels.
All qualifications and equivalencies are the same.
2 Service is in months unless otherwise indicated.
3 TOS is time of service.
4 Time of service requirements as an apprentice mate (steersman) of towing vessels may be reduced by an amount equal to the time specified
in the approval letter for a completed Coast Guard-approved training program.
5 TOAR is a Towing Officer Assessment Record.

(b) Before serving as mate (pilot) of
towing vessels on the Western Rivers,
mariners must possess 90 days of
observation and training and have their

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MMC include an endorsement for
Western Rivers.
(c) Each company must maintain
evidence that every vessel it operates is
under the direction and control of a

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mariner with the appropriate
endorsement and experience, including
30 days of observation and training on

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

the intended route other than Western
Rivers.
(d) Those holding a license or MMC
endorsement as a mate of inspected,
self-propelled vessels of more than 200
GRT or one as first-class pilot, may
operate towing vessels within any
restrictions on their credential if they—
(1) Have a minimum of 30 days of
training and observation on towing
vessels for the route being assessed,
except as noted in paragraph (b) of this
section; and
(2) Hold a completed Towing Officer
Assessment Record (TOAR) described in
§ 10.404(c) of this subchapter that shows
evidence of assessment of practical
demonstration of skills.
(e) A license or MMC does not need
to include a towing endorsement if you
hold a TOAR or a course completion
certificate.
(f) Those holding any endorsement as
a master of self-propelled vessels of any
tonnage that is less than 200 GRT,

except for the limited masters
endorsements specified in §§ 11.429 and
11.456 of this subpart, may obtain an
endorsement as mate (pilot) of towing
vessels by meeting the following
requirements:
(1) Providing proof of 36 months of
service as a master under the authority
of an endorsement described in this
paragraph.
(2) Successfully completing the
appropriate TOAR.
(3) Successfully completing the
appropriate apprentice mate exam.
(4) Having a minimum of 30 days of
training and observation on towing
vessels for the route being assessed,
except as noted in paragraph (b) of this
section.
(g) An approved training course for
mate (pilot) of towing vessels must
include formal instruction and practical
demonstration of proficiency either
onboard a towing vessel or at a
shoreside training facility before a

designated examiner, and must cover
the material (dependent upon route)
required by Table 2 to § 11.910 of this
part for apprentice mate (steersman),
towing vessels on ocean and nearcoastal routes; apprentice mate
(steersman), towing vessels on Great
Lakes and inland routes; or steersman,
towing vessels on Western Rivers
routes.
(h) A person holding this
endorsement may qualify for an STCW
endorsement, according to §§ 11.309,
11.317, 11.319, and 11.321 of this part.
§ 11.466 Requirements for national
endorsements as apprentice mate
(steersman) of towing vessels.

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

TABLE 1 TO § 11.466(a)—REQUIREMENTS FOR NATIONAL ENDORSEMENT AS APPRENTICE MATE (STEERSMAN) OF TOWING
VESSELS
1

2

Endorsement

Route
endorsed

(1) APPRENTICE MATE (STEERSMAN) ..............................

(2) APPRENTICE MATE (STEERSMAN) (LIMITED) ............

3

4

5

6

Total
service 1

TOS 2

TOS on
particular
route

Pass
examination 3

OCEANS (O) .........................
NEAR-COASTAL (NC) ..........
GREAT LAKES .....................
INLAND (GL–I) ......................
WESTERN RIVERS (WR) ....
NOT APPLICABLE ................

on T/V

18
18
18
18
18
18

12
12
12
12
12
12

3
3
3
3
3
3

YES.
YES.
YES.
YES.
YES.
YES.

1 Service

is in months.
is time of service.
3 The examination for apprentice mate is specified in subpart I of this part.
2 TOS

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(b) Those holding a license or
endorsement as apprentice mate
(steersman) of towing vessels may
obtain a restricted endorsement as
apprentice mate (steersman) (limited).
This endorsement will go on the
mariner’s MMC after passing an
examination for a route that is not
included in the current endorsements
and on which the mariners have no
operating experience. Upon completion
of 3 months of experience on that route,
mariners may have the restriction
removed.
§ 11.467 Requirements for a national
endorsement as operator of uninspected
passenger vessels of less than 100 GRT.

(a) This section applies to an
applicant for the endorsement to operate
an uninspected vessel of less than 100
GRT, equipped with propulsion
machinery of any type, carrying six or
fewer passengers.

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(b) An endorsement as OUPV for nearcoastal waters limits the holder to
service on domestic, near-coastal waters
not more than 100 miles offshore, the
Great Lakes, and all inland waters.
Endorsements issued for inland waters
include all inland waters except the
Great Lakes. Endorsements may be
issued for a particular local area under
paragraph (f) or paragraph (g) of this
section.
(c) For an endorsement as OUPV on
near-coastal waters, an applicant must
have a minimum of 12 months of
experience in the operation of vessels,
including at least 3 months of service on
vessels operating on ocean or nearcoastal waters.
(d) For an endorsement as OUPV on
the Great Lakes and inland waters, an
applicant must have 12 months of
service on Great Lakes or inland waters,
including at least 3 months of service
operating vessels on Great Lakes waters.

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(e) For an endorsement as OUPV on
inland waters, an applicant must have a
minimum of 12 months of experience in
the operation of vessels.
(f) A limited OUPV endorsement may
be issued to an applicant to be
employed by organizations such as
formal camps, yacht clubs, educational
institutions, and marinas. An
endorsement issued under this
paragraph will be limited to the specific
activity and the locality of the camp,
yacht club, or marina. In order to obtain
this restricted endorsement, an
applicant must—
(1) Have 3 months of service in the
operation of the type of vessel for which
the endorsement is requested;
(2) Satisfactorily complete a safeboating course approved by the National
Association of State Boating Law
Administrators, or those public
education courses conducted by the
U.S. Power Squadron or the American

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
National Red Cross or a Coast Guardapproved course; and
(3) Pass a limited examination
appropriate for the activity to be
conducted and the route authorized.
(4) Hold the first aid and
cardiopulmonary resuscitation (CPR)
course certificates required by
§ 11.201(i) of this part when, in the
opinion of the Coast Guard, the
geographic area over which service is
authorized precludes obtaining medical
services within a reasonable time.
(g) Restricted OUPV endorsements
may be issued to applicants to be
employed on inland navigable waters.
An endorsement under this paragraph
will be limited to specific bodies of
water that have been approved by the
cognizant OCMI. In order to obtain this
endorsement, the applicant must be
qualified for the endorsement under this
section; however, the OCMI may modify
the service and examination
requirements as follows:
(1) At least 3 months of service in the
operation of the type of vessel and on
each body of water for which the
endorsement is requested.
(2) Satisfactorily pass an examination
appropriate for the activity to be
conducted and the waters authorized.
(h) An applicant for an officer
endorsement as OUPV who speaks
Spanish, but not English, may be issued
an officer endorsement restricted to the
navigable waters of the United States in
the vicinity of Puerto Rico.
§ 11.468 National officer endorsements for
mobile offshore drilling units (MODUs).

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

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§ 11.470 National officer endorsements as
offshore installation manager.

(a) Officer endorsements as offshore
installation manager (OIM) include:
(1) OIM Unrestricted.
(2) OIM Surface Units on Location.
(3) OIM Surface Units Underway.
(4) OIM Bottom Bearing Units on
Location.
(5) OIM Bottom Bearing Units
Underway.
(b) To qualify for an endorsement as
OIM unrestricted, an applicant must—
(1) Present evidence of one of the
following:
(i) Four years of employment assigned
to MODUs, including at least 1 year of
service as driller, assistant driller,
toolpusher, assistant toolpusher, barge
supervisor, mechanical supervisor,

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electrician, crane operator, ballast
control operator, or equivalent
supervisory position on MODUs, with a
minimum of 14 days of that supervisory
service on surface units.
(ii) A degree from a program in
engineering or engineering technology
which is accredited by the Accreditation
Board for Engineering and Technology
(ABET). The National Maritime Center
will give consideration to accepting
education credentials from programs
having other than ABET accreditation.
An applicant qualifying through a
degree program must also have at least
168 days of service as driller, assistant
driller, toolpusher, assistant toolpusher,
barge supervisor, mechanical
supervisor, electrician, crane operator,
ballast control operator, or equivalent
supervisory position on MODUs, with a
minimum of 14 days of that supervisory
service on surface units;
(2) Present evidence of training course
completion as follows:
(i) A certificate from a Coast Guardapproved stability course approved for
OIM unrestricted.
(ii) A certificate from a Coast Guardapproved survival suit and survival craft
training course.
(iii) A certificate from a firefighting
training course as required by
§ 11.201(h) of this part; and
(3) Provide a recommendation signed
by a senior company official which—
(i) Provides a description of the
applicant’s experience and
qualifications;
(ii) Certifies that the individual has
successfully directed, while under the
supervision of an experienced rig
mover, two rig moves each of surface
units and of bottom bearing units; and
(iii) Certifies that one of the rig moves
required under paragraph (b)(3)(ii) of
this section was completed within 1
year preceding date of application.
(c) An applicant for an endorsement
as OIM unrestricted who holds an
unlimited license or MMC endorsement
as master or chief mate must satisfy the
requirements in paragraphs (b)(2) and
(b)(3) of this section and have at least 84
days of service on surface units and at
least 28 days of service on bottom
bearing units.
(d) To qualify for an endorsement as
OIM surface units on location, an
applicant must—
(1) Present evidence of one of the
following:
(i) Four years of employment assigned
to MODUs, including at least 1 year of
service as driller, assistant driller,
toolpusher, assistant toolpusher, barge
supervisor, mechanical supervisor,
electrician, crane operator, ballast
control operator or equivalent

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77939

supervisory position on MODUs, with a
minimum of 14 days of that supervisory
service on surface units.
(ii) A degree from a program in
engineering or engineering technology
which is accredited by the Accreditation
Board for Engineering and Technology
(ABET). The National Maritime Center
will give consideration to accepting
education credentials from programs
having other than ABET accreditation.
An applicant qualifying through a
degree program must also have at least
168 days of service as driller, assistant
driller, toolpusher, assistant toolpusher,
barge supervisor, mechanical
supervisor, electrician, crane operator,
ballast control operator, or equivalent
supervisory position of MODUs, with a
minimum of 14 days of that supervisory
service on surface units; and
(2) Present evidence of training course
completion as follows:
(i) A certificate from a Coast Guardapproved stability course approved for a
license or MMC endorsement as OIM
surface units.
(ii) A certificate from a Coast Guardapproved survival suit and survival craft
training course.
(iii) A certificate from a firefighting
training course as required by
§ 11.201(h) of this part.
(e) An applicant for an endorsement
as OIM surface units on location who
holds an unlimited license or MMC
endorsement as master or chief mate
must satisfy the requirements of
paragraph (d)(2) of this section and have
at least 84 days of service on surface
units.
(f) To qualify for an endorsement as
OIM surface units underway, an
applicant must—
(1) Provide the following:
(i) Evidence of the experience
described in paragraph (d)(1) of this
section and a recommendation signed
by a senior company official which—
(A) Provides a description of the
applicant’s experience and
qualifications;
(B) Certifies that the individual has
successfully directed, while under the
supervision of an experienced rig
mover, three rig moves of surface units;
and
(C) Certifies that one of the rig moves
required under paragraph (f)(1)(i)(B) of
this section was completed within 1
year preceding date of application; or
(ii) A recommendation signed by a
senior company official which—
(A) Provides a description of the
applicant’s experience and company
qualifications program completed;
(B) Certifies that the applicant has
witnessed ten rig moves either as an

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

observer in training or as a rig mover
under supervision;
(C) Certifies that the individual has
successfully directed, while under the
supervision of an experienced rig
mover, five rig moves of surface units;
and
(D) Certifies that one of the rig moves
required under paragraph (f)(1)(ii)(C) of
this section was completed within 1
year preceding the date of application;
and
(2) Present evidence of training course
completion as follows:
(i) A certificate from a Coast Guardapproved stability course approved for
an OIM surface units endorsement.
(ii) A certificate from a Coast Guardapproved survival suit and survival craft
training course.
(iii) A certificate from a firefighting
training course as required by
§ 11.201(h) of this part.
(g) An applicant for endorsement as
OIM surface units underway who holds
an unlimited license or MMC
endorsement as master or chief mate
must satisfy the requirements in
paragraph (f)(2) of this section and
provide a company recommendation
signed by a senior company official
which—
(1) Provides a description of the
applicant’s experience and
qualifications;
(2) Certifies that the individual has
successfully directed, while under the
supervision of an experienced rig
mover, three rig moves on surface units;
and
(3) Certifies that one of the rig moves
required under paragraph (g)(2) of this
section was completed within 1 year
preceding the date of application.
(h) To qualify for an endorsement as
OIM bottom bearing units on location,
an applicant must—
(1) Present evidence of one of the
following:
(i) Four years of employment assigned
to MODUs, including at least 1 year of
service as driller, assistant driller,
toolpusher, assistant toolpusher, barge
supervisor, mechanical supervisor,
electrician, crane operator, ballast
control operator, or equivalent
supervisory position on MODUs.
(ii) A degree from a program in
engineering or engineering technology
that is accredited by ABET. The
National Maritime Center will give
consideration to accepting education
credentials from programs having other
than ABET accreditation. An applicant
qualifying through a degree program
must also have at least 168 days of
service as driller, assistant driller,
toolpusher, assistant toolpusher, barge
supervisor, mechanical supervisor,

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electrician, crane operator, ballast
control operator, or equivalent
supervisory position on MODUs; and
(2) Present evidence of training course
completion as follows:
(i) A certificate from a Coast Guardapproved survival suit and survival craft
training course.
(ii) A certificate from a firefighting
training course as required by
§ 11.201(h) of this part.
(i) An applicant for an endorsement as
OIM bottom bearing units on location
who holds an unlimited license or MMC
endorsement as master or chief mate
must satisfy paragraph (h)(2) of this
section and have at least 28 days of
service on bottom bearing units.
(j) To qualify for an endorsement as
OIM bottom bearing units underway, an
applicant must—
(1) Provide the following:
(i) Evidence of the experience
described in paragraph (h)(1) of this
section with a recommendation signed
by a senior company official which—
(A) Provides a description of the
applicant’s experience and
qualifications;
(B) Certifies that the individual has
successfully directed, while under the
supervision of an experienced rig
mover, three rig moves of bottom
bearing units; and
(C) Certifies that one of the rig moves
required under paragraph (j)(1)(i)(B) of
this section was completed within 1
year preceding date of application; or
(ii) A recommendation signed by a
senior company official which—
(A) Provides a description of the
applicant’s experience and company
qualifications program completed;
(B) Certifies that the applicant has
witnessed ten rig moves either as an
observer in training or as a rig mover
under supervision;
(C) Certifies that the individual has
successfully directed, while under the
supervision of an experienced rig
mover, five rig moves of bottom bearing
units; and
(D) Certifies that one of the rig moves
required under paragraph (j)(1)(ii)(C) of
this section was completed within 1
year preceding date of application; and
(2) Present evidence of training course
completion as follows:
(i) A certificate from a Coast Guardapproved stability course approved for a
license or MMC endorsement as OIM
bottom bearing units.
(ii) A certificate from a Coast Guardapproved survival suit and survival craft
training course.
(iii) A certificate from a firefighting
training course as required by
§ 11.201(h) of this part.
(k) An applicant for endorsement as
OIM bottom bearing units underway

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who holds an unlimited license or MMC
endorsement as master or chief mate
must satisfy the requirements in
paragraph (j)(2) of this section and
provide a company recommendation
signed by a senior company official,
which—
(1) Provides a description of the
applicant’s experience and
qualifications;
(2) Certifies that the individual has
successfully directed, while under the
supervision of an experienced rig
mover, three rig moves of bottom
bearing units; and
(3) Certifies that one of the rig moves
required under paragraph (k)(2) of this
section was completed within 1 year
preceding the date of application.
§ 11.472 National officer endorsements as
barge supervisor.

(a) To qualify for an endorsement as
barge supervisor (BS), an applicant
must—
(1) Present evidence of one of the
following:
(i) Three years of employment
assigned to MODUs including at least
168 days of service as driller, assistant
driller, toolpusher, assistant tool pusher,
mechanic, electrician, crane operator,
subsea specialist, ballast control
operator, or equivalent supervisory
position on MODUs. At least 84 days of
that service must have been as a ballast
control operator, or barge supervisor
trainee.
(ii) A degree from a program in
engineering or engineering technology
that is accredited by the Accreditation
Board for Engineering and Technology
(ABET). The National Maritime Center
will give consideration to accepting
education credentials from programs
having other than ABET accreditation.
An applicant qualifying through a
degree program must also have at least
168 days of service as driller, assistant
driller, toolpusher, assistant toolpusher,
mechanic, electrician, crane operator,
subsea specialist, ballast control
operator, or equivalent supervisory
position on MODUs. At least 84 days of
that service must have been as a ballast
control operator, or barge supervisor
trainee; and
(2) Present evidence of training course
completion as follows:
(i) A certificate from a Coast Guardapproved stability course approved for
barge supervisor.
(ii) A certificate from a Coast Guardapproved survival suit and survival craft
training course.
(iii) A certificate from a firefighting
training course as required by
§ 11.201(h) of this part.
(b) An applicant for an endorsement
as barge supervisor who holds an

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unlimited license or MMC endorsement
as master or mate must satisfy the
requirements in paragraph (a)(2) of this
section and have at least 84 days of
service as ballast control operator or
barge supervisor trainee.
§ 11.474 National officer endorsements as
ballast control operator.

(a) To qualify for an endorsement as
ballast control operator (BCO), an
applicant must—
(1) Present evidence of one of the
following:
(i) One year of employment assigned
to MODUs, including at least 28 days of
service as a trainee under the
supervision of an individual holding a
license or MMC endorsement as ballast
control operator.
(ii) A degree from a program in
engineering or engineering technology
that is accredited by the Accreditation
Board for Engineering and Technology
(ABET). The National Maritime Center
will give consideration to accepting
education credentials from programs
having other than ABET accreditation.
An applicant qualifying through a
degree program must also have at least
28 days of service as a trainee under the
supervision of an individual holding a
license or MMC endorsement as ballast
control operator; and
(2) Present evidence of training course
completion as follows:
(i) A certificate from a Coast Guardapproved stability course approved for
barge supervisor or ballast control
operator.
(ii) A certificate from a Coast Guardapproved survival suit and survival craft
training course.
(iii) A certificate from a firefighting
training course as required by
§ 11.201(h) of this part.
(b) An applicant for an endorsement
as BCO who holds an unlimited license
or MMC endorsement as master, mate,
chief engineer, or assistant engineer
must satisfy the requirements in
paragraph (a)(2) of this section and have
at least 28 days of service as a trainee
under the supervision of an individual
holding an endorsement as BCO.

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§ 11.480

Radar observer.

(a) This section contains the
requirements that an applicant must
meet to qualify as a radar observer.
(b) If an applicant meets the
requirements of this section, one of the
following radar observer endorsements
will be added to his or her MMC:
(1) Radar observer (unlimited).
(2) Radar observer (inland waters and
Gulf Intercoastal waterways (GIWW)).
(3) Radar observer (rivers).
(c) Radar observer (unlimited) is valid
on all waters. Radar observer (inland

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waters and GIWW) is valid only for
those waters other than the Great Lakes
covered by the Inland Navigational
Rules. Radar observer (rivers) is valid
only on any river, canal, or similar body
of water designated by the OCMI, but
not beyond the boundary line.
(d) Except as provided by paragraph
(e) of this section, each applicant for a
radar observer endorsement or for
renewal of a radar observer endorsement
must complete the appropriate course
approved by the Coast Guard, receive
the appropriate certificate of training,
and present the certificate or a copy of
the certificate to the Coast Guard in
person, by mail, fax, or other electronic
means.
(e) A radar observer endorsement
issued under this section is valid for 5
years from the date of issuance of the
certificate of training from a course
approved by the Coast Guard.
(f) A mariner may maintain the
validity of a radar observer endorsement
by completing a refresher or recertification course approved for that
purpose.
(g) An applicant for renewal of a
license or MMC that does not need a
radar observer endorsement may renew
without meeting the requirements for
the endorsement. However, a radar
endorsement will not be placed on the
MMC unless the mariner submits a
course completion certificate or a copy
of the certificate from an approved radar
course.
(h) An applicant seeking to raise the
grade of a license or MMC endorsement
or increase its scope, where the
increased grade or scope requires a
radar observer certificate, may use an
expired certificate to fulfill that
requirement. However, a radar
endorsement will not be placed on the
MMC unless the mariner submits a
course completion certificate or a copy
of the certificate from an approved radar
course.
§ 11.482

Assistance towing.

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

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77941

approved course demonstrating his or
her knowledge of assistance towing
safety, equipment, and procedures.
(c) The holder of a license or MMC for
master, mate, or operator endorsed for
assistance towing is authorized to
engage in assistance towing on any
vessel within the scope of the license or
MMC.
(d) The period of validity of the
endorsement is the same as the license
or MMC on which it is included, and it
may be renewed with the MMC.
§ 11.491 National officer endorsements for
service on offshore supply vessels.

(a) Each officer endorsement for
service on offshore supply vessels
(OSVs) authorizes service on OSVs as
defined in 46 U.S.C. 2101(19) and as
interpreted under 46 U.S.C. 14104(b),
subject to any restrictions placed on the
license or MMC.
(b) For those officers who previously
received a 500 GRT limitation on their
national officer endorsement due to the
definition of OSV existing before
October 15, 2010, the limitation will be
raised to 1,600 GRT to be consistent
with other national officer
endorsements.
§ 11.493

Master (OSV).

(a) The minimum service required to
qualify an applicant for an endorsement
as master (OSV) of offshore supply
vessels less than 1,600 GRT/3,000 GT is
24 months of total service as mate, chief
mate, or master of ocean or near-coastal
and/or Great Lakes on self-propelled
vessels of more than 100 GRT. Service
on inland waters may substitute for up
to 50 percent of the required service. At
least one-half of the required experience
must be served as chief mate.
(b) The minimum service required to
qualify an applicant for an endorsement
as master (OSV) of 1,600 GRT/3,000 GT
or more is 24 months of total service as
mate, chief mate, or master of ocean or
near-coastal and/or Great Lakes on selfpropelled vessels of more than 100 GRT.
At least one-half of the required
experience must be served as chief mate
and be obtained on vessels of 1,600
GRT/3,000 GT or more.
(c) If an applicant for an endorsement
as master (OSV) of more than 1,600
GRT/3,000 GT does not have the service
on vessels of 1,600 GRT/3,000 GT or
more as required by paragraph (b) of this
section, a tonnage limitation will be
placed on the officer endorsement based
on the applicant’s qualifying
experience. The endorsement will be
limited to the maximum tonnage on
which at least 25 percent of the required
experience was obtained, or 150 percent
of the maximum tonnage on which at

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least 50 percent of the service was
obtained, whichever is higher. However,
the minimum tonnage limitation
calculated according to this paragraph
will be 2,000 GRT. Limitations are in
multiples of 1,000 GRT using the next
higher figure when an intermediate
tonnage is calculated. In no case will the
limitation exceed 10,000 GRT/GT for
OSVs unless the applicant meets the full
requirements for an unlimited tonnage
endorsement.
(d) A person holding an endorsement
as master (OSV) may qualify for an
STCW endorsement, according to
§§ 11.305 and 11.311 of this part.
(e) The Coast Guard may exempt an
applicant from meeting any requirement
under STCW Regulation II/2
(incorporated by reference, see § 11.102
of this part) that the Coast Guard
determines to be inappropriate or
unnecessary for service on an OSV, or
that the applicant meets under the
equivalency provisions of Article IX of
STCW.

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§ 11.495

Chief mate (OSV).

(a) The minimum service required to
qualify an applicant for an endorsement
as chief mate (OSV) of offshore supply
vessels less than 1,600 GRT/3,000 GT is
12 months of total service as mate, chief
mate, or master of ocean or near-coastal
and/or Great Lakes on self-propelled
vessels of more than 100 GRT. Service
on inland waters may substitute for up
to 50 percent of the required service.
(b) The minimum service required to
qualify an applicant for an endorsement
as chief mate (OSV) of 1,600 GRT/3,000
GT or more is 12 months of total service
as mate, chief mate, or master of ocean
or near-coastal and/or Great Lakes on
self-propelled vessels of more than 100
GRT. At least one-half of the required
experience must be obtained on vessels
of 1,600 GRT/3,000 GT or more.
(c) If an applicant for an
endorsements as chief mate (OSV) of
1,600 GRT/3,000 GT or more does not
have the service on vessels of 1,600
GRT/3,000 GT or more as required by
paragraph (b) of this section, a tonnage
limitation will be placed on the officer
endorsement based on the applicant’s
qualifying experience. The endorsement
will be limited to the maximum tonnage
on which at least 25 percent of the
required experience was obtained, or
150 percent of the maximum tonnage on
which at least 50 percent of the service
was obtained, whichever is higher.
However, the minimum tonnage
limitation calculated according to this
paragraph will be 2,000 GRT.
Limitations are in multiples of 1,000
GRT using the next higher figure when
an intermediate tonnage is calculated. In

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no case will the limitation exceed
10,000 GRT/GT for OSVs unless the
applicant meets the full requirements
for an unlimited tonnage endorsement.
(d) A person holding an endorsement
as chief mate (OSV) may qualify for an
STCW endorsement, according to
§§ 11.307 and 11.313 of this part.
(e) The Coast Guard may exempt an
applicant from meeting any requirement
under STCW Regulation II/2
(incorporated by reference, § 11.102 of
this part) that the Coast Guard
determines to be inappropriate or
unnecessary for service on an OSV, or
that the applicant meets under the
equivalency provisions of Article IX of
STCW.
§ 11.497

Mate (OSV).

(a) The minimum service required to
qualify an applicant for an endorsement
as mate (OSV) of offshore supply vessels
is—
(1) Twenty-four months of total
service in the deck department of ocean
or near-coastal self-propelled, sail, or
auxiliary sail vessels. Service on Great
Lakes and inland waters may substitute
for up to 1 year of the required service.
One year of the required service must
have been on vessels of more than 100
GRT; or
(2) One year of total service as part of
an approved or accepted mate (OSV)
training program.
(b) A person holding an endorsement
as mate (OSV) may qualify for an STCW
endorsement, according to § 11.309 of
this part.
(c) The Coast Guard may exempt an
applicant from meeting any requirement
under STCW Regulation II/1
(incorporated by reference, see § 11.102
of this part) that the Coast Guard
determines to be inappropriate or
unnecessary for service on an OSV, or
that the applicant meets under the
equivalency provisions of Article IX of
STCW.
Subpart E—Professional Requirements
for National Engineer Officer
Endorsements
§ 11.501 Grades and types of national
engineer endorsements issued.

(a) National engineer endorsements
are issued in the grades of—
(1) Chief engineer;
(2) First assistant engineer;
(3) Second assistant engineer;
(4) Third assistant engineer;
(5) Chief engineer (limited);
(6) Assistant engineer (limited);
(7) Designated duty engineer;
(8) Chief engineer uninspected fishing
industry vessels;
(9) Assistant engineer uninspected
fishing industry vessels;

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

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

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§ 11.503 Propulsion power limitations for
national endorsements.

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(a) Engineer endorsements of all
grades and types may be subject to
propulsion power limitations. Other
than as provided in § 11.524 of this
subpart for the designated duty engineer
(DDE), the propulsion power limitation
placed on a license or MMC
endorsement is based on the applicant’s
qualifying experience considering the
total shaft propulsion power of each
vessel on which the applicant has
served.
(b) When an applicant for an original
or raise of grade of an engineer
endorsement, other than a DDE, has not
obtained at least 50 percent of the
required experience on vessels of 4,000
HP/3,000 kW or more, a propulsion
power limitation is placed on the MMC
based on the applicant’s qualifying
experience. The endorsement is limited
to the maximum propulsion power on
which at least 25 percent of the required
experience was obtained, or 150 percent
of the maximum propulsion power on
which at least 50 percent of the service
was obtained, whichever is higher.
Limitations are in multiples of 1,000
HP/750 kW, using the next higher figure

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when an intermediate horsepower is
calculated. When the limitation as
calculated equals or exceeds 10,000 HP/
7,500 kW, an unlimited propulsion
power endorsement is issued.
(c) The following service on vessels of
4,000 HP/3,000 kW or more will be
considered qualifying for raising or
removing the propulsion power
limitations placed on an engineer
endorsement:
(1) Six months of service in the
highest-grade endorsed: Removal of all
propulsion power limitations.
(2) Six months of service as an
engineer officer in any capacity other
than the highest grade for which the
applicant is licensed or endorsed:
Removal of all propulsion power
limitations for the grade in which
service is performed and raised to the
next higher grade endorsement to the
propulsion power of the vessel on
which service was performed. The total
cumulative service before and after
issuance of the limited engineer
endorsement may be considered in
removing all propulsion power
limitations.
(3) Twelve months of service as oiler
or junior engineer while holding a
license or MMC endorsement as third
assistant engineer or assistant engineer
(limited): Removal of all propulsion
power limitations on third assistant

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engineer or assistant engineer’s (limited)
endorsement.
(4) Six months of service as oiler or
junior engineer while holding a license
or MMC endorsement as second
assistant engineer: removal of all
propulsion power limitations on third
assistant engineer’s endorsement.
(d) Raising or removing propulsion
power limitations based on service
required by paragraph (c) of this section
may be granted without further written
examination, if the Coast Guard
considers further examination
unnecessary.
§ 11.504 Application of deck service for
national limited engineer endorsements.

Service gained in the deck department
on vessels of appropriate tonnage may
substitute for up to 25 percent or 6
months, whichever is less, of the service
requirement for an endorsement as chief
engineer (limited), assistant engineer
(limited), or DDE.
§ 11.505 National engineer officer
endorsements.

Figure 11.505(a) illustrates the
national engineering endorsement
structure, including crossover points.
Figure 11.505(a)—Structure of
national engineer officer endorsements
for non-seagoing service.

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ER24DE13.004

(4) Completion of a Coast Guardapproved training course for this
endorsement.

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

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

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

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§ 11.514 Service requirements for national
endorsement as second assistant engineer
of steam, motor, and/or gas turbinepropelled vessels.

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

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(b) A person holding this
endorsement may qualify for an STCW
endorsement, according to §§ 11.327,
11.329, and 11.333 of this part.

(c) A person holding this endorsement
may qualify for an STCW endorsement,
according to §§ 11.327, 11.329, and
11,333 of this part.

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

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

(a) The minimum service required to
qualify an applicant for endorsement as
third assistant engineer of steam, motor,
and/or gas turbine-propelled vessels
is—
(1) Three years of service in the
engineroom of vessels, 2 years of which
must have been as a qualified member
of the engine department or equivalent
position;
(2) Three years of service as an
apprentice to the machinist trade
engaged in the construction or repair of
marine, locomotive, or stationary
engines, together with 1 year of service
in the engineroom as oiler, fireman/
watertender, or junior engineer;
(3) Graduation from—
(i) The U.S. Merchant Marine
Academy (engineering curriculum);
(ii) The U.S. Coast Guard Academy
and completion of an onboard engineer
officer qualification program required
by the service;
(iii) The U.S. Naval Academy and
completion of an onboard engineer
officer qualification program required
by the service; or
(iv) The engineering class of a
Maritime Academy approved by and
conducted under the rules prescribed by
the Maritime Administrator and listed
in part 310 of this title;
(4) Graduation from the marine
engineering course of a school of
technology accredited by the
Accreditation Board for Engineering and
Technology, together with 3 months of
service in the engine department of
steam, motor, or gas turbine-propelled
vessels;
(5) Graduation from the mechanical or
electrical engineering course of a school
of technology accredited by the ABET,
together with 6 months of service in the
engine department of steam, motor, or
gas turbine-propelled vessels;
(6) Satisfactory completion of a
comprehensive apprentice engineers
training program approved by the Coast
Guard; or
(7) One year of service as assistant
engineer (limited) of self-propelled
vessels and completion of the
appropriate examination described in
subpart I of this part.
(b) Experience gained in the deck
department on vessels of 100 GRT or
more can be credited for up to 3 months
of the service requirements under
paragraph (a)(1) of this section.

(a) The minimum service required to
qualify an applicant for endorsement as
chief engineer (limited) of steam, motor,
and/or gas turbine-propelled vessels is 5
years of total service in the engineroom
of vessels. Two years of this service
must have been as an engineer officer
while holding an engineer officer
endorsement. Thirty months of the
service must have been as a qualified
member of the engine department or
equivalent position.
(b) A person holding this
endorsement may qualify for an STCW
endorsement, according to §§ 11.325
and 11.331 of this part.

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§ 11.522 Service requirements for national
endorsement as assistant engineer (limited)
of steam, motor, and/or gas turbinepropelled vessels.

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

(a) DDE endorsements are issued in
three levels of propulsion power
limitations dependent upon the total
service of the applicant and completion
of an appropriate examination. These
endorsements are limited to vessels of
less than 500 GRT on certain waters as
specified in § 11.501 of this subpart.
(b) The service requirements for
endorsements as DDE are—
(1) For designated duty engineer of
steam, motor, and/or gas turbinepropelled vessels of unlimited
propulsion power, the applicant must
have 3 years of service in the
engineroom. Eighteen months of this
service must have been as a qualified
member of the engine department or
equivalent position;
(2) For designated duty engineer of
steam, motor, and/or gas turbinepropelled vessels of less than 4,000 HP/

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
3,000 kW, the applicant must have 2
years of service in the engineroom. One
year of this service must have been as
a qualified member of the engine
department or equivalent position; and
(3) For designated duty engineer of
steam, motor, and/or gas turbinepropelled vessels of less than 1,000 HP/
750 kW, the applicant must have 1 year
of service in the engineroom. Six
months of this service must have been
as a qualified member of the engine
department or equivalent position.
(c) A person holding this endorsement
may qualify for an STCW endorsement,
according to §§ 11.325, 11.327, 11.329,
and 11.331 of this part.
§ 11.530 Endorsements as engineers of
uninspected fishing industry vessels.

(a) This section applies to
endorsements for chief and assistant
engineers of all vessels, however
propelled, which are documented to
engage in the fishing industry, with the
exception of—
(1) Wooden ships of primitive build;
(2) Unrigged vessels; and
(3) Vessels of less than 200 GRT.
(b) Endorsements as chief engineer
and assistant engineer of uninspected
fishing industry vessels are issued for
ocean waters and with propulsion
power limitations in accordance with
the provisions of § 11.503 of this
subpart.
(c) For an endorsement as chief
engineer, the applicant must have
served 4 years in the engineroom of
vessels. One year of this service must
have been as an assistant engineer
officer or equivalent position.
(d) For an endorsement as assistant
engineer, an applicant must have served
3 years in the engine room of vessels.
(e) Two-thirds of the service required
under this section must have been on
motor vessels.
(f) Applicants may request an orally
assisted examination on the subjects
listed in subpart I of this part.
§ 11.540 Endorsements as engineers of
mobile offshore drilling units (MODUs).

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

(a) To qualify for an endorsement as
chief engineer (MODU) an applicant
must—
(1) Present evidence of one of the
following:

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(i) Six years of employment assigned
to MODUs, including 3 years of
employment as mechanic, motorman,
subsea engineer, electrician, barge
engineer, toolpusher, unit
superintendent, crane operator, or
equivalent. Eighteen months of that
employment must have been assigned to
self-propelled or propulsion assisted
units.
(ii) Two years of employment
assigned to MODUs as an assistant
engineer (MODU). Twelve months of
that employment must have been
assigned to self-propelled or propulsion
assisted units; and
(2) Present evidence of completion of
a firefighting training course as required
by § 11.201(h) of this part.
(b) If an applicant successfully
completes an examination and
possesses the total required sea service
for an endorsement as chief engineer
(MODU), but does not possess the
required sea service onboard selfpropelled or propulsion assisted units,
the Coast Guard may issue the applicant
an endorsement limited to non-selfpropelled units. The Coast Guard may
remove the limitation upon presentation
of satisfactory evidence of the required
self-propelled sea service and
completion of any additional required
examination.
(c) A person holding this endorsement
may qualify for an STCW endorsement,
according to §§ 11.325, 11.327, and
11.331 of this part.
§ 11.544 Endorsement as assistant
engineer (MODU).

(a) To qualify for an endorsement as
assistant engineer (MODU) an applicant
must—
(1) Present evidence of one of the
following experience:
(i) Three years of employment
assigned to MODUs including 18
months of employment as mechanic,
motorman, subsea engineer, electrician,
barge engineer, toolpusher, unit
superintendent, crane operator, or
equivalent. Nine months of that
employment must have been assigned to
self-propelled or propulsion assisted
unit.
(ii) Three years of employment in the
machinist trade engaged in the
construction or repair of diesel engines
and 1 year of employment assigned to
MODUs in the capacity of mechanic,
motorman, oiler, or equivalent. Nine
months of that employment must have
been assigned to self-propelled or
propulsion assisted units.
(iii) A degree from a program in
marine, mechanical, or electrical
engineering technology that is
accredited by the Accreditation Board

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77945

for Engineering and Technology (ABET).
The National Maritime Center will give
consideration to accepting education
credentials from programs having other
than ABET accreditation. An applicant
qualifying through a degree program
must also have at least 6 months of
employment in any of the capacities
listed in paragraph (a)(1)(i) of this
section aboard self-propelled or
propulsion-assisted units; and
(2) Present evidence of completion of
a firefighting training course as required
by § 11.201(h) of this part.
(b) If an applicant successfully
completes an examination and
possesses the total required sea service
for an endorsement as an assistant
engineer (MODU), but does not possess
the required sea service onboard selfpropelled or propulsion assisted units,
the Coast Guard may issue the applicant
an endorsement limited to non-selfpropelled units. The Coast Guard may
remove the limitation upon presentation
of the satisfactory evidence of the
required self-propelled sea service and
completion of any additional required
examination.
(c) A person holding this endorsement
may qualify for an STCW endorsement,
according to §§ 11.329 and 11.333 of
this part.
§ 11.551 Endorsements for service on
offshore supply vessels.

Each endorsement for service on
OSVs as chief engineer (OSV) or
engineer (OSV) authorizes service on
OSVs as defined in 46 U.S.C. 2101(19)
and as interpreted under 46 U.S.C.
14104(b), subject to any restrictions
placed on the MMC.
§ 11.553

Chief engineer (OSV).

(a) The minimum service required to
qualify an applicant for an endorsement
as chief engineer (OSV) is 4 years of
total service in the engineroom of
vessels. One year of this service must
have been as an engineer officer while
holding an engineer officer
endorsement. Two years of the service
must have been as a qualified member
of the engine department or equivalent
position.
(b) If an applicant has not obtained at
least 50 percent of the required
experience on vessels of 4,000 HP/3,000
kW or more, a propulsion power
limitation is placed on the MMC based
on the applicant’s qualifying
experience. The endorsement is limited
to the maximum propulsion power on
which at least 25 percent of the required
experience was obtained, or 150 percent
of the maximum propulsion power on
which at least 50 percent of the service
was obtained, whichever is higher.

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Limitations are in multiples of 1,000
HP/750 kW, using the next higher figure
when an intermediate propulsion power
is calculated. When the limitation as
calculated equals or exceeds 10,000 HP/
7,500 kW, an unlimited propulsion
power endorsement is issued.
(c) A person holding an endorsement
as chief engineer (OSV) may qualify for
an STCW endorsement, according to
§§ 11.325, 11.327, and 11.331 of this
part.
(d) The Coast Guard may exempt an
applicant from meeting any requirement
under STCW Regulation III/2
(incorporated by reference, see § 11.102
of this part) that the Coast Guard
determines to be inappropriate or
unnecessary for service on an OSV, or
that the applicant meets under the
equivalency provisions of Article IX of
STCW.

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§ 11.555

Assistant engineer (OSV).

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

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Subpart F—Credentialing of Radio
Officers
§ 11.601

Applicability.

This subpart provides for
endorsement as radio officers for
employment on vessels, and for the
issue of STCW endorsements for those
qualified to serve as radio operators on
vessels subject to the provisions on the
Global Maritime Distress and Safety
System (GMDSS) of Chapter IV of
SOLAS (incorporated by reference, see
§ 11.102 of this part).
§ 11.603 Requirements for radio officers’
endorsements.

Each applicant for an original
endorsement or renewal of license must
present a current first or second class
radiotelegraph operator license issued
by the Federal Communications
Commission. The applicant must enter
on the endorsement application form
the number, class, and date of issuance
of his or her Federal Communications
Commission license.
§ 11.604 Requirements for an STCW
endorsement for Global Maritime Distress
and Safety System (GMDSS) radio
operators.

Each applicant for an original
endorsement must present a certificate
of completion from a Coast Guardapproved course for operator of radio in
the GMDSS meeting the requirements of
Section A–IV/2 of the STCW Code
(incorporated by reference, see § 11.102
of this part).
Subpart G—Professional
Requirements for Pilots
§ 11.701

Scope of pilot endorsements.

(a) An applicant for an endorsement
as first-class pilot need not hold any
other officer endorsement issued under
this part.
(b) The issuance of an endorsement as
first-class pilot to an individual
qualifies that individual to serve as pilot
over the routes specified on the
endorsement, subject to any limitations
imposed under paragraph (c) of this
section.
(c) The OCMI issuing an endorsement
as first-class pilot imposes appropriate
limitations commensurate with the
experience of the applicant, with
respect to class or type of vessel,
tonnage, route, and waters.
(d) A license or MMC endorsement
issued for service as a master, mate, or
operator of uninspected towing vessels
authorizes service as a pilot under the
provisions of § 15.812 of this
subchapter. Therefore, first-class pilot
endorsements will not be issued with
tonnage limitations of 1,600 GRT or less.

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§ 11.703

Service requirements.

(a) The minimum service required to
qualify an applicant for an endorsement
as first-class pilot is predicated upon the
nature of the waters for which pilotage
is desired.
(1) General routes (routes not
restricted to rivers, canals and small
lakes. The applicant must have at least
36 months of service in the deck
department of self-propelled vessels
navigating on oceans, coastwise, and
Great Lakes, or bays, sounds, and lakes
other than the Great Lakes, as follows:
(i) Eighteen months of the 36 months
of service must be performing bridge
watchkeeping duties under the
supervision of the master or a qualified
officer.
(ii) At least 12 months of the 18
months of service required in paragraph
(a)(1)(i) of this section must be on
vessels operating on the class of waters
for which pilotage is desired.
(2) River routes. The applicant must
have at least 36 months of service in the
deck department of any vessel including
at least 12 months of service on vessels
operating on the waters of rivers while
the applicant is performing bridge
watchkeeping duties under the
supervision of the master or a qualified
officer.
(3) Canal and small lakes routes. The
applicant must have at least 24 months
of service in the deck department of any
vessel including at least 8 months of
service on vessels operating on canals or
small lakes.
(b) A graduate of the Great Lakes
Maritime Academy in the deck class
meets the service requirements of this
section for an endorsement as first-class
pilot on the Great Lakes.
(c) Completion of an approved or
accepted pilot training course may be
substituted for a portion of the service
requirements of this section in
accordance with § 10.404 of this
subchapter. Additionally, roundtrips
made during this training may apply
toward the route familiarization
requirements of § 11.705 of this subpart.
An individual using substituted service
must have at least 9 months of
shipboard service.
(d) An individual holding a license or
MMC endorsement as master or mate of
inspected self-propelled vessels of more
than 1,600 GRT meets the service
requirements of this section for an
endorsement as first-class pilot.
§ 11.705 Route familiarization
requirements.

(a) The Officer in Charge, Marine
Inspection (OCMI) has jurisdiction and
determines within the range limitations
specified in this section, the number of

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
roundtrips required to qualify an
applicant for a particular route,
considering the following:
(1) The geographic configuration of
the waterway.
(2) The type and size of vessels using
the waterway.
(3) The abundance or absence of aids
to navigation.
(4) The background lighting effects.
(5) The known hazards involved,
including waterway obstructions or
constrictions such as bridges, narrow
channels, or sharp turns.
(6) Any other factors unique to the
route that the OCMI deems appropriate.
(b) An applicant holding no other
deck officer endorsement seeking an
endorsement as first-class pilot must
furnish evidence of having completed a
minimum number of roundtrips, while
serving as quartermaster, wheelsman,
able seaman, apprentice pilot, or in an
equivalent capacity, standing regular
watches at the wheel or in the pilot
house as part of routine duties, over the
route sought. Evidence of having
completed a minimum number of
roundtrips while serving as an observer,
properly certified by the master and/or
pilot of the vessel, is also acceptable.
The range of roundtrips for an
endorsement is a minimum of 12
roundtrips and a maximum of 20
roundtrips. An applicant may have
additional routes added to the first-class
pilot endorsement by meeting the
requirements in paragraph (c) of this
section.
(c) An applicant who currently holds
a deck officer license or MMC
endorsement seeking an endorsement as
first-class pilot for a particular route
must furnish evidence of having
completed the number of roundtrips
over the route, specified by the OCMI,
within the range limitations of this
paragraph, for the particular grade of
existing license or MMC endorsement
held. The range of roundtrips for an
endorsement is a minimum of eight
roundtrips and a maximum of 15
roundtrips.
(d) Unless determined impracticable
by the OCMI, 25 percent of the
roundtrips required by the OCMI under
this section must be made during the
hours of darkness.
(e) One of the roundtrips required by
the OCMI under this section must be
made over the route within the 6
months immediately preceding the date
of application.
(f) For an endorsement of unlimited
tonnage, applicants must meet tonnage
requirements for roundtrips specified in
§ 11.711(b) of this subpart.

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§ 11.707

Examination requirements.

(a) An applicant for an endorsement
as first-class pilot, except as noted in
paragraph (b) of this section, is required
to pass the examination described in
subpart I of this part.
(b) An applicant for an extension of
route, or an applicant holding a license
or MMC endorsement as master or mate
authorized to serve on vessels of more
than 1,600 GRT seeking an endorsement
as first-class pilot, is required to pass
those portions of the examination
described in subpart I of this part that
concern the specific route for which
endorsement is sought.
§ 11.709 Annual physical examination
requirements.

(a) This section applies only to an
individual who pilots a vessel of 1,600
GRT or more.
(b) Every person holding a license or
MMC endorsement as first-class pilot
must have a thorough physical
examination each year, to be completed
by the first day of the month following
the anniversary of the individual’s most
recently completed Coast Guardrequired physical examination. Every
other year, in accordance with the
medical certificate requirements in
§ 10.301(b) of this subchapter, the
results of the physical examination must
be recorded on a CG–719K form and
submitted to the Coast Guard no later
than 30 calendar days after completion
of the physical examination.
(c) Each annual physical examination
must meet the requirements specified in
46 CFR, part 10, subpart C and be
recorded on a CG–719–K.
(d) An individual’s first-class pilot
endorsement becomes invalid on the
first day of the month following the
anniversary of the individual’s most
recently completed Coast Guardrequired physical examination, if the
person does not meet the physical
examination requirement as provided in
paragraph (b) of this section. The
individual may not operate under the
authority of that endorsement until a
physical examination has been
satisfactorily completed.
§ 11.711

Tonnage requirements.

(a) In order to obtain a first-class pilot
endorsement authorizing service on
vessels of unlimited tonnage over a
particular route, the applicant must
have sufficient experience on vessels of
more than 1,600 GRT.
(b) For purposes of this section, an
applicant is considered to have
sufficient experience if the applicant
has 18 months of experience as master,
mate, quartermaster, wheelsman, able
seaman, apprentice pilot, or in an

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77947

equivalent capacity, standing regular
watches at the wheel or in the
pilothouse as part of routine duties, on
vessels of 1,600 GRT or more, and twothirds of the minimum number of
roundtrips required for the route have
been on vessels of 1,600 GRT or more.
(c) If an applicant does not have
sufficient experience on vessels of 1,600
GRT or more, the endorsement will be
for a limited tonnage until the applicant
completes the 18 months of sea service,
as mentioned in paragraph (b) of this
section, on vessels of 1,600 GRT or
more.
(d) For purposes of this section, for
experience with respect to tonnage on
towing vessels, the combined gross
tonnage of the towing vessels and the
vessels towed will be considered.
However, the Coast Guard may require
that all or a portion of the required
number of roundtrips be obtained on
self-propelled vessels of 1,600 GRT or
more, when the Coast Guard determines
that due to the nature of the waters and
the overall experience of the applicant,
self-propelled vessel experience is
necessary to obtain a first-class pilot
endorsement that is not restricted to tug
and barge combinations.
§ 11.713 Requirements for maintaining
current knowledge of waters to be
navigated.

(a) If a first-class pilot has not served
over a particular route within the past
60 months, that person’s license or
MMC endorsement is invalid for that
route, and remains invalid until the
individual has made one refamiliarization round trip over that
route, except as provided in paragraph
(b) of this section. Whether this
requirement is satisfied or not has no
effect on the renewal of other licenses
or MMC endorsements. Roundtrips
made within the 90-day period
preceding renewal will be valid for the
duration of the renewed license or MMC
endorsement.
(b) For certain long or extended
routes, the OCMI may, at his or her
discretion, allow the re-familiarization
requirement to be satisfied by reviewing
appropriate navigation charts, coast
pilots tide and current tables, local
Notice to Mariners, and any other
materials that would provide the pilot
with current knowledge of the route.
Persons using this method of refamiliarization must certify, when
applying for renewal of their license or
MMC endorsement, the material they
have reviewed and the dates on which
this was accomplished. Review within
the 90-day period preceding renewal is
valid for the duration of the renewed
MMC endorsement.

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Subpart H—Registration of Staff
Officers and Miscellaneous
Endorsements
§ 11.801

Applicability.

This subpart provides for the
registration of staff officers for
employment on vessels documented or
numbered under the laws of the United
States. Staff officers must be registered
if serving on most vessels in ocean
service or on the Great Lakes.
§ 11.803

Staff departments.

(a) Title 46 U.S.C. 8302 contains the
requirements for staff departments on
U.S. flag vessels.
(b) Title 46 U.S.C. 8302 does not
apply to—
(1) A fishing or whaling vessel or
yacht;
(2) A vessel operated only on bays,
sounds, inland waters, and lakes (other
than the Great Lakes); and
(3) A vessel ferrying passengers and
cars on the Great Lakes.
§ 11.805

General requirements.

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(a) The applicant for an endorsement
as staff officer is not required to take any
examination; however, the applicant
must present to the Coast Guard a letter
justifying the need for the endorsement.
(b) An applicant for a higher grade in
the staff department must apply in the
same manner as for an original
endorsement and must surrender the
previous Coast Guard-issued credentials
upon issuance of the new MMC. A staff
officer may serve in a lower grade of
service for which he or she is registered.
(c) Title 46 U.S.C. 8302 addresses
uniforms for staff officers who are
members of the Naval Reserve.
(d) A duplicate MMC may be issued
by the Coast Guard. (See § 10.229 of this
subchapter.)
(e) An MMC is valid for a term of 5
years from the date of issuance.
Procedures for renewing endorsements
are found in § 10.227 of this subchapter.
(f) Each applicant for an original or a
higher grade of endorsement, as
described in paragraph (b) of this
section, must produce evidence of
having passed a chemical test for
dangerous drugs or of qualifying for an
exception from testing in § 16.220 of
this subchapter. An applicant who fails
a chemical test for dangerous drugs will
not be issued an MMC.
§ 11.807 Experience requirements for
registry.

(a) The applicant for a certificate of
registry as staff officer must submit
evidence of experience as follows:
(1) Chief purser. Two years of service
aboard vessels performing duties
relating to work in the purser’s office.

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(2) Purser. One year of service aboard
vessels performing duties relating to
work in the purser’s office.
(3) Senior assistant purser. Six
months of service aboard vessels
performing duties relating to work in
the purser’s office.
(4) Junior assistant purser. Previous
experience not required.
(5) Medical doctor. A valid license as
physician or surgeon issued under the
authority of a state or territory of the
United States, the Commonwealth of
Puerto Rico, or the District of Columbia.
(6) Professional nurse. A valid license
as a registered nurse issued under
authority of a state or territory of the
United States, the Commonwealth of
Puerto Rico, or the District of Columbia.
(7) Marine physician assistant.
Successful completion of an accredited
course of instruction for a physician’s
assistant or nurse practitioner program.
(8) Hospital corpsman. A rating of at
least hospital corpsman or health
services technician, first class in the
U.S. Navy, U.S. Coast Guard, U.S.
Marine Corps, or an equivalent rating in
the U.S. Army (not less than Staff
Sergeant, Medical Department, U.S.A.),
or in the U.S. Air Force (not less than
Technical Sergeant, Medical
Department, U.S.A.F.), and a period of
satisfactory service of at least 1 month
in a military hospital or U.S. Public
Health Service Hospital.
(b) Employment on shore in
connection with a vessel’s business may
be accepted instead of service aboard
vessels. Related shore employment is
accepted in the ratio of 2 months of
shore service to 1 month of creditable
service aboard vessels.
(c) In computing the length of service
required of an applicant for an
endorsement, service of one season on
vessels on the Great Lakes is counted as
service of 1 year.
(d) In the event an applicant for an
endorsement, other than medical doctor
or professional nurse, presents evidence
of other qualifications that, in the
opinion of the Coast Guard, is
equivalent to the experience
requirements of this section and is
consistent with the duties of a staff
officer, the Coast Guard may issue the
MMC.
§ 11.821

High-speed craft type-rating.

(a) This section is only applicable to
those persons who will be serving or
have served upon those vessels built
and operated in accordance with the
International Code of Safety for High
Speed Craft (HSC Code).
(b) To qualify for a high-speed craft
type-rating certificate (TRC) for

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operating vessels to which the HSC
Code applies, an applicant must—
(1) Hold a valid officer endorsement
for vessels of commensurate grade,
tonnage, route, and/or horsepower; and
(2) Present evidence of successful
completion of a Coast Guard-approved
type rating training program.
(c) A separate TRC will be issued for
each type and class of high speed craft.
The original route will be as specified
in the approved type rating program.
Additional routes may be added to an
existing TRC by completing at least 12
roundtrips over each route under the
supervision of a type-rated master on
the class of high speed craft the TRC
will be valid for. Six of the trips must
be made during the hours of darkness or
a ‘‘daylight only’’ restriction will be
imposed.
(d) A TRC will be valid for 2 years.
The expiration date of a TRC will not be
changed due to the addition of
additional routes.
(e) To renew a TRC, an applicant must
provide evidence of—
(1) At least 6 months of service in the
appropriate position on the type crafts
to which the TRC applies during the
preceding 2 years, including at least 12
roundtrips over each route, together
with evidence of a completed
revalidation assessment; or
(2) Completion of an approved
revalidation training program.
Subpart I—Subjects of Examinations
§ 11.901

General provisions.

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

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objective of the assessment of
competence or demonstration of
proficiency.
§ 11.903 Officer endorsements requiring
examinations.

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

(19) Apprentice mate (steersman) of
towing vessels.
(20) Apprentice mate (steersman) of
towing vessels, limited.
(21) Offshore Installation Manager.
(22) Barge Supervisor.
(23) Ballast Control Operator.
(24) Operator of uninspected
passenger vessels.
(25) Master of uninspected fishing
industry vessels.
(26) Mate of uninspected fishing
industry vessels.
(27) Master (OSV).
(28) Chief mate (OSV).
(29) Mate (OSV).
(30) First assistant engineer (limited
or unlimited propulsion power).
(31) Third assistant engineer (limited
or unlimited propulsion power).
(32) Chief engineer (limited) steam/
motor vessels.
(33) Assistant engineer (limited)
steam/motor vessels.
(34) Designated duty engineer steam/
motor vessels.
(35) Chief engineer (uninspected
fishing industry vessels).
(36) Assistant engineer (uninspected
fishing industry vessels).
(37) Chief engineer (MODU).
(38) Assistant engineer (MODU).
(39) Chief engineer (OSV).
(40) Assistant engineer (OSV).
(b) In paragraphs (a)(1) through (4),
and (a)(6), (7), (15), and (16) of this
section, examinations will vary
depending on route desired.
(c) The following officer
endorsements do not require
examinations:
(1) Master of oceans or near-coastal
vessels of unlimited tonnage when
upgrading from MMC officer
endorsements, or a license and STCW
endorsement as chief mate of oceans or
near-coastal vessels of unlimited
tonnage, provided the applicant has
already been examined at the
management level.
(2) Master of oceans or near-coastal
vessels of unlimited tonnage when

77949

adding an endorsement as offshore
installation manager (OIM).
(3) Master of oceans or near-coastal
self-propelled vessels of less than 200
GRT, when upgrading from mate of
near-coastal self-propelled vessels of
less than 200 GRT. Master of oceans
self-propelled vessels of less than 200
GRT would, however, require an
examination in celestial navigation.
(4) Second mate of oceans or nearcoastal vessels when upgrading from
third mate of oceans or near-coastal
vessels, provided the applicant has
already been examined at the
operational level.
(5) Master of Great Lakes and inland
vessels, or river vessels of less than 200
GRT when upgrading from mate of less
than 200 GRT on the same route.
(6) Chief engineer unlimited,
provided the applicant has already been
examined at the management level.
(7) Chief engineer limited to service
on steam, motor, or gas turbinepropelled vessels of less than 10,000
HP/7,500 kW on near-coastal routes,
provided the applicant has already been
examined at the management level.
(8) Chief engineer limited to service
on steam, motor, and/or gas turbinepropelled vessels of less than 4,000 HP/
3,000 kW on near-coastal routes,
provided the applicant has already been
examined at the management level.
(9) Second assistant engineer when
upgrading from third assistant engineer,
provided the applicant has already been
examined at the operational level.
§ 11.910 Subjects for deck officer
endorsements.

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

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TABLE 1 TO § 11.910—CODES FOR DECK OFFICER ENDORSEMENTS
Deck Officer Endorsements
1. Master/chief mate, oceans/near-coastal, unlimited tonnage.
2. Master, oceans/near-coastal, less than 500 GRT and less than 1,600 GRT.
3. Second mate/third mate, oceans/near-coastal, unlimited tonnage, and mate less than 500 GRT and less than 1600 GRT, oceans/nearcoastal.
4. Master, oceans/near-coastal, and mate, near-coastal, less than 200 GRT (includes master, near-coastal, less than 100 GRT).
5. Operator, uninspected passenger vessels, near-coastal.
6. Operator, uninspected passenger vessels, Great Lakes/inland.
7. Apprentice mate, towing vessels, ocean (domestic trade) and near-coastal routes.
8. Apprentice mate (steersman), towing vessels, Great Lakes, and inland routes.
9. Steersman, towing vessels, Western Rivers.
10. Master, Great Lakes/inland, or master, inland, unlimited tonnage.
11. Mate, Great Lakes/inland, unlimited tonnage.
12. Master, Great Lakes/inland, less than 500 GRT and less than 1,600 GRT.
13. Mate, Great Lakes/inland, less than 500 GRT and less than 1,600 GRT.
14. Master or mate, Great Lakes/inland, less than 200 GRT (includes master, Great Lakes/inland, less than 100 GRT).

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TABLE 1 TO § 11.910—CODES FOR DECK OFFICER ENDORSEMENTS—Continued

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15.
16.
17.
18.
19.
20.
21.
22.
23.
24.

Master, rivers, unlimited tonnage.
Master, rivers, less than 500 GRT and less than 1,600 GRT.
Mate, rivers, less than 500 GRT and less than 1,600 GRT.
Master or mate, rivers, less than 200 GRT (includes master, rivers, less than 100 GRT).
Master, uninspected fishing industry vessels, oceans/near-coastal.
Mate, uninspected fishing industry vessels, oceans/near-coastal.
First-class pilot.
Master (OSV).
Chief mate (OSV).
Mate (OSV).

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77960

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

§ 11.920 Subjects for MODU
endorsements.

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

TABLE 1 TO § 11.920—CODES FOR
MODU ENDORSEMENTS
1.
2.
3.
4.

TABLE 1 TO § 11.920—CODES FOR
MODU ENDORSEMENTS—Continued
5. OIM/Bottom Bearing Units on Location.
6. Barge Supervisor.
7. Ballast Control Operator.

OIM/Unrestricted.
OIM/Surface Units Underway.
OIM/Surface Units on Location.
OIM/Bottom Bearing Units Underway.

TABLE 2 TO § 11.920—SUBJECTS FOR MODU LICENSES

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

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TABLE 2 TO § 11.920—SUBJECTS FOR MODU LICENSES—Continued
Examination topics
Knowledge and use of:
First aid ............................................................................................................
First response medical action .........................................................................
Maritime law and regulation:
National maritime law:
Certification and documentation of vessels ....................................................
Ship sanitation .................................................................................................
Regulations for vessel inspection ....................................................................
Pollution prevention regulations ......................................................................
Credentialing regulations .................................................................................
Rules and regulations for MODUs ..................................................................
International Maritime law:
International Maritime Organization ................................................................
International Convention on Load Lines .................................................................
MARPOL 73/78 .......................................................................................................
Personnel Management and Training:
Ship’s business including:
Required logs and recordkeeping ...................................................................
Casualty reports and records ..........................................................................
Communications:
Radio communications and FCC permit ................................................................
Radiotelephone procedures ....................................................................................
Lifesaving/Survival: .................................................................................................
Lifesaving appliance operation (launching, boat handling) ....................................
Procedures/rules for lifeboats, survival suits, personal flotation devices (PFDs),
life rafts and emergency signals .........................................................................
Emergency radio transmissions .............................................................................
Survival at sea ........................................................................................................

§ 11.950 Examination subjects for
engineer officer endorsements.

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TABLE 1 TO § 11.950—CODES FOR
ENGINEER OFFICER ENDORSEMENTS

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

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1

1.
2.
3.
4.
5.
6.
7.
8.

First assistant engineer (unlimited).
Third assistant engineer (unlimited).
Chief engineer (limited).
Assistant engineer (limited).
Designated duty engineer (unlimited).
Designated duty engineer (4,000 HP).
Designated duty engineer (1,000 HP).
Chief engineer (uninspected fishing industry vessels).

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TABLE 1 TO § 11.950—CODES FOR
ENGINEER
OFFICER
ENDORSEMENTS—Continued
9. Assistant engineer (uninspected fishing industry vessels).
10. Chief engineer (MODU).
11. Assistant engineer (MODU).
12. Chief engineer (OSV unlimited).
13. Assistant engineer (OSV unlimited).
14. Chief engineer (OSV 4,000 HP).
15. Assistant engineer (OSV 4,000 HP).

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77974

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Subpart J—Recognition of Other
Parties’ STCW Certificates
§ 11.1001

Purpose of rules.

(a) The rules in this subpart
implement Regulation I/10 of the
International Convention on Standards
of Training, Certification and
Watchkeeping for Seafarers, 1978 as
amended (STCW) (incorporated by
reference, see § 11.102 of this part) by
establishing requirements and
procedures for the recognition and
endorsement of officer certificates of
competence issued by other Parties to
STCW.
(b) Specific regulations on the use of
non-U.S. credentialed officers and
mariners with officer endorsements
(except those of master) are found in
§ 15.720 of this subchapter.
§ 11.1003

General requirements.

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

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§ 11.1005 Employer application
requirements.

(a) The employer must submit the
following to the Coast Guard, as a part
of the applicant’s application for a
‘‘Certificate attesting recognition,’’ on
behalf of the applicant:
(1) A signed report that contains all
material disciplinary actions related to
the applicant, such as, but not limited
to, violence or assault, theft, drug and
alcohol policy violations, and sexual
harassment, along with an explanation
of the criteria used by the employer to
determine the materiality of those
actions.
(2) A signed report regarding an
employer-conducted background check.
The report must contain—
(i) A statement that the applicant has
successfully undergone an employerconducted background check;

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(ii) A description of the employerconducted background check; and
(iii) All information derived from the
employer-conducted background check.
(b) If a ‘‘Certificate attesting
recognition’’ is issued to the applicant,
the employer must maintain a detailed
record of the seaman’s total service on
all authorized U.S. flag vessels, and
must make that information available to
the Coast Guard upon request.
(c) In addition to the initial material
disciplinary actions report and the
initial employer-conducted background
check specified in paragraph (a) of this
section, the employer must submit an
annual material disciplinary actions
report to update whether there have
been any material disciplinary actions
related to the applicant since the last
material disciplinary actions report was
submitted to the Coast Guard.
(d) The employer must also submit to
the Coast Guard the applicant’s copy of
the following:
(1) Base credential (certificate of
competency), as well as any other
documentary evidence of proficiency
(such as Basic Training in accordance
with § 11.302 of this part, Basic/
Advanced Firefighting in accordance
with § 11.303 of this part, Survival Craft,
etc.) to verify that the applicant meets
the manning requirements. The
documentation must include any
necessary official translation into the
English language.
(2) Valid medical certificate.
(3) Valid identification document,
such as a passport or Seaman’s Identity
Document (SID).
(e) The employer is subject to the civil
penalty provisions specified in 46
U.S.C. 8103(f) for any violation of this
section.
§ 11.1007

Basis for denial.

An applicant for a ‘‘Certificate
attesting recognition’’ of an officer
certificate issued by another party
must—
(a) Have no record of material
disciplinary actions during employment
on any U.S. flag vessel of the employer,
as verified in writing by the owner or
managing operator of the U.S. flag
vessels on which the applicant will be
employed; and
(b) Have successfully completed an
employer-conducted background check,
to the satisfaction of both the employer
and the Coast Guard.
§ 11.1009

Restrictions.

(a) A ‘‘Certificate attesting
recognition’’ of an STCW certificate
issued by another party to a nonresident alien under this subpart
authorizes service only on vessels

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owned and/or operated in accordance
with § 15.720 of this subchapter.
(b) The certificate will be issued for
service only in the department for
which the application was submitted.
(c) No other certificate is authorized,
unless all applicable requirements of
this subpart and the STCW Convention
(incorporated by reference, see § 11.102
of this part) are met, and the employer
makes subsequent application for a new
endorsement.
(d) This certificate is not valid for
service on U.S. vessels operating in U.S.
waters.
Subpart K—Officers on a Passenger
Ship When on an International Voyage
§ 11.1101

Purpose of rules.

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

Definitions.

Passenger ship in this subpart means
a ship carrying more than 12 passengers
when on an international voyage.
§ 11.1105 General requirements for officer
endorsements.

(a) To serve on a passenger vessel on
international voyages, masters, deck
officers, chief engineers and engineer
officers, must—
(1) Meet the appropriate requirements
of the STCW Regulation V/2 and of
section A–V/2 of the STCW Code
(incorporated by reference, see § 11.102
of this part) as follows:
(i) Masters, officers, and other
personnel designated on the muster list
to assist passengers in emergency
situation onboard passenger ships must
have completed training in crowd
management specified in section A–V/2
of the STCW Code.
(ii) Personnel providing direct service
to passengers in passenger spaces
onboard passenger ships must have
completed the safety training specified
in section A–V/2 of the STCW Code.
(iii) Masters, chief engineer officers,
chief mates, second engineer officers,
and any person designated on muster
lists of having responsibility for the
safety of passengers in emergency
situations onboard passenger ships must
have completed approved training in
crisis management and human behavior
as specified in section A–V/2 of the
STCW Code.
(iv) Masters, chief engineer officers,
chief mates, second engineer officers,
and every person assigned immediate
responsibility for embarking and
disembarking passengers, loading,
discharging or securing cargo, or closing
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ships must have completed approved
training in passenger safety, cargo
safety, and hull integrity as specified in
section A–V/2 of the STCW Code; and
(2) Hold documentary evidence as
proof of meeting these requirements
through approved or accepted training.
(b) Seafarers who are required to be
trained in accordance with paragraph (a)
of this section must provide, at intervals
not exceeding 5 years, evidence of
maintaining the standard of
competence.
(c) The Coast Guard will accept
onboard training and experience,
through evidence of 1 year of sea service
within the last 5 years, as meeting the
requirements of paragraph (b) of this
section.
(d) Personnel serving onboard small
passenger vessels engaged in domestic,
near-coastal voyages, as defined in
§ 11.301(h) of this subchapter, are not
subject to any obligation for the purpose
of this STCW requirement.
■ 32. Revise part 12 to read as follows:
PART 12—REQUIREMENTS FOR
RATING ENDORSEMENTS
Subpart A—General
Sec.
12.101 Purpose.
12.103 Incorporation by reference.
12.105 Paperwork approval.
Subpart B—General Requirements for
Rating Endorsements
12.201 General requirements for national
and STCW rating endorsements.
12.203 Creditable service and equivalents
for national and STCW ratings
endorsements.
12.205 Examination procedures and denial
of rating and STCW endorsements.
Subpart C—[Reserved]

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Subpart D—Requirements for National Deck
Rating Endorsements
12.401 General requirements for able
seaman (A/B) endorsements.
12.403 Service or training requirements for
able seaman (A/B) endorsements.
12.405 Examination and demonstration of
ability for able seaman (A/B)
endorsements.
12.407 General requirements for
lifeboatman endorsements.
12.409 General requirements for
lifeboatman-limited endorsements.
Subpart E—Requirements for National
Engineer Rating Endorsements
12.501 General requirements for a qualified
member of the engine department
(QMED).
12.503 Service or training requirements.
12.505 Examination requirements.
Subpart F—Requirements for STCW Rating
Endorsements
12.601 General requirements for STCW
rating endorsements.

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12.602 Basic training.
12.603 Requirements to qualify for an
STCW endorsement as able seafarerdeck.
12.605 Requirements to qualify for an
STCW endorsement as ratings forming
part of a navigational watch (RFPNW).
12.607 Requirements to qualify for an
STCW endorsement as rating as able
seafarer-engine.
12.609 Requirements to qualify for an
STCW endorsement as rating forming
part of an engineering watch (RFPEW).
12.611 Requirements to qualify for an
STCW endorsement as electro-technical
rating (ETR) on vessels powered by main
propulsion machinery of 750 kW/1,000
HP or more.
12.613 Requirements to qualify for an
STCW endorsement in proficiency in
survival craft and rescue boats other than
fast rescue boats (PSC).
12.615 Requirements to qualify for an
STCW endorsement in proficiency in
survival craft and rescue boats other than
lifeboats and fast rescue boats-limited
(PSC-limited).
12.617 Requirements to qualify for an
STCW endorsement in proficiency in fast
rescue boats.
12.619 Requirements to qualify for an
STCW endorsement as medical first-aid
provider.
12.621 Requirements to qualify for an
STCW endorsement as person in charge
of medical care.
12.623 Requirements to qualify for an
STCW endorsement as Global Maritime
Distress and Safety System (GMDSS) atsea maintainer.
12.625 Requirements to qualify for an
STCW endorsement as vessel personnel
with designated security duties.
12.627 Requirements to qualify for an
STCW endorsement for security
awareness.
Subpart G—Entry-Level National Ratings
and Miscellaneous Ratings
12.701 Credentials required for entry-level
and miscellaneous ratings.
12.703 General requirements for entry-level
ratings.
12.705 Endorsements for persons enrolled
in a Maritime Administration approved
training program.
12.707 Student observers.
12.709 Apprentice engineers.
12.711 Apprentice mate.
Subpart H—Non-Resident Alien Members of
the Steward’s Department on U.S. Flag
Large Passenger Vessels
12.801 Purpose.
12.803 General requirements.
12.805 Employer requirements.
12.807 Basis for denial.
12.809 Citizenship and identity.
12.811 Restrictions.
12.813 Alternative means of compliance.
Subpart I—Crewmembers on a Passenger
Ship on an International Voyage
12.901 Purpose.
12.903 Definitions.
12.905 General requirements.

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Authority: 31 U.S.C. 9701; 46 U.S.C. 2101,
2103, 2110, 7301, 7302, 7503, 7505, 7701,
and 70105; Department of Homeland
Security Delegation No. 0170.1.

Subpart A—General
§ 12.101

Purpose.

(a) The purpose of this part is to
provide—
(1) A comprehensive and adequate
means of determining and verifying the
professional qualifications an applicant
must possess to be eligible for
certification to serve on merchant
vessels of the United States; and
(2) A means of determining that an
applicant is qualified to receive the
endorsement required by the
International Convention on Standards
of Training, Certification and
Watchkeeping for Seafarers, 1978, as
amended (the STCW Convention, or
STCW).
(b) The requirements applicable to
approved and accepted training,
training for a particular rating
endorsement, and training and
assessment associated with meeting the
standards of competence established by
the STCW Convention have been moved
to 46 CFR part 10, subpart D.
§ 12.103

Incorporation by reference.

(a) Certain material is incorporated by
reference into this part with the
approval of the Director of the Federal
Register under 5 U.S.C. 552(a) and 1
CFR part 51. To enforce any edition
other than that specified in this section,
the Coast Guard must publish a notice
of change in the Federal Register and
the material must be available to the
public. All approved material is
available for inspection at the Coast
Guard, Office of Operating and
Environmental Standards (CG–OES),
2100 Second Street SW., Stop 7126,
Washington, DC 20593–7126, and is
available from the sources listed below.
It is also available for inspection at the
National Archives and Records
Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030 or
go to http://www.archives.gov/federal_
register/code_of_federal_regulations/
ibr_locations.html.
(b) International Maritime
Organization (IMO), 4 Albert
Embankment, London SE1 7SR,
England:
(1) The Seafarers’ Training,
Certification and Watchkeeping Code, as
amended, 2011 (the STCW Code),
incorporation by reference approved for
§§ 12.601, 12.602, 12.603, 12.605,
12.607, 12.609, 12.611, 12.613, 12.615,
12.617, 12.619, 12.621, 12.623, 12.811,
and 12.905.

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(2) [Reserved]
§ 12.105

Paperwork approval.

(a) This section lists the control
numbers assigned by the Office of
Management and Budget under the
Paperwork Reduction Act of 1980 (Pub.
L. 96–511) for the reporting and
recordkeeping requirements in this part.
(b) The following control numbers
have been assigned to the sections
indicated:
(1) OMB 1625–0079—46 CFR 12.217
and 12.301.
(2) [Reserved]
Subpart B—General Requirements for
Rating Endorsements
§ 12.201 General requirements for national
and STCW rating endorsements.

Subpart C—[Reserved]

(a) General. (1) An MMC issued to a
deck or engineer officer will be
endorsed for all entry-level ratings and
any other ratings for which they qualify
under this part. An applicant for any
STCW endorsement must hold the
appropriate national endorsement,
unless otherwise specified.
(2) The authorized holder of any valid
rating endorsement may serve in any
capacity in the staff department of a
vessel, except in those capacities
requiring a staff officer; except that
whenever the service includes the
handling of food, no person may be so
employed unless his or her credential
bears the food handler’s endorsement
indicated by the notation ‘‘(F.H.)’’.
(3) When an applicant meets the
requirements for certification set forth
in this part, the Coast Guard will issue
the appropriate endorsement.
(b) Physical and medical
requirements. The physical and medical
requirements applicable to the
endorsements in this subpart are found
in 46 CFR part 10, subpart C.

Subpart D—Requirements for National
Deck Rating Endorsements

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

Applicants for endorsements should
refer to § 10.232 of this subchapter for
information regarding requirements for
documentation and proof of sea service.
§ 12.205 Examination procedures and
denial of rating and STCW endorsements.

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examined and failed the examination
may seek reexamination at any time
after the initial examination. However,
an applicant who fails an examination
for the third time must wait 90 days
before re-testing. All examinations and
retests must be completed within 1 year
of approval for examination.
(d) Upon receipt of an application for
an STCW endorsement, the Coast Guard
will evaluate the applicant’s
qualifications. The Coast Guard will
issue the appropriate endorsement after
determining that the applicant
satisfactorily meets all requirements for
any requested STCW rating or
qualification.

(a) The examination fee set out in
Table 1 to § 10.219(a) of this subchapter
must be paid before the applicant may
take the first section of the examination.
(b) Upon receipt of an application for
a rating endorsement, the Coast Guard
will give any required examination as
soon as practicable after determining
that the applicant is otherwise qualified
for the endorsement.
(c) An applicant for a rating
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§ 12.401 General requirements for able
seaman (A/B) endorsements.

(a) General. An A/B is any person
below officer and above ordinary
seaman who holds a merchant mariner
credential (MMC) or merchant mariner
document (MMD) endorsed as A/B by
the Coast Guard.
(b) Categories. The following
categories of able seaman endorsements
are established:
(1) Able seaman—unlimited.
(2) Able seaman—limited.
(3) Able seaman—special.
(4) Able seaman—offshore supply
vessels.
(5) Able seaman-sail.
(6) Able seaman-fishing industry.
(c) Requirements for certification. To
qualify for an endorsement as able
seaman, an applicant must—
(1) Be at least 18 years of age;
(2) Pass the prescribed physical and
medical examination requirements
specified in 46 CFR, part 10, subpart C;
(3) Present evidence of having passed
a chemical test for dangerous drugs or
of qualifying for an exemption from
testing as described in § 16.220 of this
subchapter;
(4) Meet the sea service or training
requirements set forth in this part;
(5) Pass an examination for able
seaman;
(6) Qualify for an endorsement as
lifeboatman or lifeboatman-limited; and
(7) Speak and understand the English
language as would be required in
performing the general duties of able
seaman and during an emergency
aboard ship.
(d) Additional requirements. (1) The
holder of an MMC or MMD endorsed for
the rating of A/B may serve in any rating
in the deck department without
obtaining an additional endorsement,
provided—

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(i) That the holder possesses the
appropriate A/B endorsement for the
service of the vessel; and
(ii) That the holder possesses the
appropriate STCW endorsement when
serving as an able seafarer-deck or
Ratings forming part of the navigational
watch on a seagoing ship.
(2) After March 24, 2014, any MMC
endorsed as A/B will also be endorsed
as lifeboatman or lifeboatman-limited,
as appropriate.
(3) The A/B endorsement will clearly
describe the type of rating that it
represents (see paragraph (a) of this
section).
§ 12.403 Service or training requirements
for able seaman (A/B) endorsements.

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

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(2) Training programs, other than
those classified as a school ship, may be
substituted for up to one-third of the
required service on deck. The Coast
Guard will determine the service/
training ratio for each program and may
allow a maximum of 3 days of deck
service credit for each day of
instruction.
§ 12.405 Examination and demonstration
of ability for able seaman (A/B)
endorsements.

(a) Before an applicant is issued an
endorsement as an A/B, he or she must
prove, to the satisfaction of the Coast
Guard, by oral or other means of
examination, or by actual demonstration
in a Coast Guard-approved course, his
or her knowledge of seamanship and the
ability to carry out effectively all the
duties that may be required of an A/B,
including those of a lifeboatman or
lifeboatman-limited.
(b) The examination, whether
administered orally or by other means,
must be conducted only in the English
language and must consist of questions
regarding—
(1) The applicant’s knowledge of
nautical terms, use of the compass for
navigation, running lights, passing
signals, and fog signals for vessels on
the high seas, inland waters, or Great
Lakes, and distress signals; and
(2) The applicant’s knowledge of
commands in handling the wheel by
obeying orders passed to him or her as
helmsman, and knowledge of the use of
the engine room telegraph.
(c) The applicant must provide
evidence, to the satisfaction of the Coast
Guard, of the knowledge of principal
knots, bends, splices, and hitches in
common use by actually making them.
(d) The applicant must demonstrate,
to the satisfaction of the Coast Guard,
knowledge of pollution laws and
regulations, procedures for discharge
containment and cleanup, and methods
for disposal of sludge and waste
material from cargo and fueling
operations.

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§ 12.407 General requirements for
lifeboatman endorsements.

(a) General. Every person fulfilling the
manning requirements as lifeboatman
on any United States vessel must hold
an endorsement as lifeboatman. No
endorsement as lifeboatman is required
of any person employed on any
unrigged vessel, except on a seagoing
barge and on a tank barge navigating
waters other than rivers and/or canals.
(b) Requirements for certification. (1)
To qualify for an endorsement as
lifeboatman, an applicant must—
(i) Be at least 18 years of age;

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

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77977

English language as would be required
in the rating of lifeboatman and in an
emergency aboard ship.
§ 12.409 General requirements for
lifeboatman-limited endorsements.

(a) General. Every person fulfilling the
manning requirements for lifeboatman
on any United States vessel fitted with
liferafts, but not fitted with lifeboats,
must hold an endorsement as
lifeboatman or as lifeboatman-limited.
No endorsement as lifeboatman or
lifeboatman-limited is required of any
person employed on any unrigged
vessel, except on a seagoing barge and
on a tank barge navigating waters other
than rivers and/or canals.
(b) Requirements for certification.
(1) To qualify for an endorsement as
lifeboatman-limited, an applicant
must—
(i) Be at least 18 years of age;
(ii) Pass the prescribed physical and
medical examination requirements
specified in 46 CFR Part 10, subpart C;
and
(iii) Present evidence of having passed
a chemical test for dangerous drugs or
of having qualified for an exemption for
testing, as described in § 16.220 of this
subchapter.
(2) An applicant, to be eligible for an
endorsement as lifeboatman-limited,
must meet one of the following sea
service requirements:
(i) At least 12 months of sea service
in any department of vessels on ocean,
coastwise, inland, and Great Lakes
routes.
(ii) At least 6 months of sea service in
any department of vessels, and
successful completion of an approved
course.
(3) Before an applicant is issued an
endorsement as a lifeboatman-limited,
he or she must prove, to the satisfaction
of the Coast Guard, by oral or other
means of examination, and by actual
practical demonstration of abilities, his
or her knowledge of seamanship and
ability to carry out effectively all the
duties that may be required of a
lifeboatman-limited.
(4) The practical demonstration must
consist of a demonstration of the
applicant’s ability to—
(i) Take charge of a rescue boat,
liferaft, or other lifesaving apparatus
during and after launch;
(ii) Operate a rescue boat engine;
(iii) Manage a survival craft and
survivors after abandoning ship;
(iv) Safely recover rescue boats; and
(v) Use locating and communication
devices.
(5) The examination, whether
administered orally or by other means,
must be conducted only in the English

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language and must consist of questions
regarding—
(i) Liferafts, rescue boats, and other
survival craft except lifeboats, the
names of their essential parts, and a
description and use of the required
equipment;
(ii) The clearing away, launching, and
handling of rescue craft, except
lifeboats; and
(iii) The operation and functions of
commonly used launching devices for
rescue boats and survival craft other
than lifeboats.
(6) An applicant, to be eligible for an
endorsement as lifeboatman-limited,
must be able to speak and understand
the English language as would be
required in the rating of lifeboatmanlimited and in an emergency aboard
ship.
Subpart E—Requirements for National
Engineer Rating Endorsements
§ 12.501 General requirements for a
qualified member of the engine department
(QMED).

(a) General. A qualified member of the
engine department is any person below
officer and above the rating of coal
passer or wiper, who holds an MMC or
MMD endorsed as QMED by the Coast
Guard.
(b) Categories. (1) Each QMED rating
must be endorsed separately, unless the
applicant qualifies for all QMED ratings,
in which case the endorsement will read
‘‘QMED—any rating.’’ The ratings are—
(i) Fireman/Watertender;
(ii) Oiler;
(iii) Junior engineer;
(iv) Electrician/Refrigerating engineer;
and
(v) Pumpman/Machinist.

(2) The Coast Guard will no longer
issue original endorsements for deck
engineer, deck/engine mechanic, or
engineman, or individual endorsements
for refrigerating engineer, machinist,
electrician, and pumpman. However, a
mariner who holds any of these
endorsements may continue to renew
them as long as he or she is otherwise
qualified.
(3) If the holder of an endorsement as
pumpman only or machinist only seeks
the combined endorsement of
pumpman/machinist, the mariner must
pass the examination described in Table
1 to § 12.505(c) of this subpart.
(4) If the holder of an endorsement as
electrician only or refrigerating engineer
only seeks the combined endorsement
of electrician/refrigerating engineer, the
mariner must pass the examination
described in Table 1 to § 12.505(c) of
this subpart.
(c) Requirements for certification. To
qualify for any endorsement as QMED,
an applicant must—
(1) Be at least 18 years of age;
(2) Pass the prescribed physical and
medical examination requirements
specified in 46 CFR Part 10, subpart C;
(3) Present evidence of having passed
a chemical test for dangerous drugs or
of having qualified for an exemption
from testing, as described in § 16.220 of
this subchapter;
(4) Meet the sea service or training
requirements in § 12.503 of this subpart;
(5) Pass an examination as QMED;
and
(6) Speak and understand the English
language as would be required in
performing the general duties of QMED
and during an emergency aboard ship.

§ 12.503

Service or training requirements.

(a) An applicant for an endorsement
as QMED must provide the Coast Guard
with proof of qualification based on 6
months of service in a rating at least
equal to that of wiper or coal passer.
(b) Approved training programs may
be substituted for the required periods
of service as follows:
(1) A graduate of a school ship may
qualify for a rating endorsement as
QMED, without further service, upon
satisfactory completion of the program
of instruction. For this purpose, school
ship is interpreted to mean an
institution that offers a complete
approved program of instruction,
including a period of at-sea training, in
the skills appropriate to the rating of
QMED.
(2) Training programs, other than
those classified as a school ship, may be
substituted for up to one-half of the
required service. The service/training
ratio for each program is determined by
the Coast Guard.
§ 12.505

Examination requirements.

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

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TABLE 1 TO § 12.505(c)—EXAMINATION SUBJECTS FOR QMED RATINGS
Subjects

Pumpman/
machinist

Fireman/
watertender

Oiler

Electrician/
refrigerating
engineer

Junior
engineer

General subjects:
Auxiliary machinery .......................................................
Basic safety procedures ...............................................
Bearings ........................................................................
Care of equipment and machine parts .........................
Deck machinery ............................................................
Drawings and tables .....................................................
Heat exchangers ...........................................................
Hydraulic principles .......................................................
Instrumentation principles .............................................
Lubrication principles ....................................................
Maintenance procedures ..............................................
Measuring instruments .................................................
Pipes, fittings, and valves .............................................
Pollution prevention ......................................................
Properties of fuel ..........................................................
Pumps, fans, and blowers ............................................
Refrigeration principles .................................................
Remote control equipment ...........................................
Use of hand/power tools ...............................................

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77979

sroberts on DSK5SPTVN1PROD with RULES

TABLE 1 TO § 12.505(c)—EXAMINATION SUBJECTS FOR QMED RATINGS—Continued
Subjects

Pumpman/
machinist

Fireman/
watertender

Oiler

Electrician/
refrigerating
engineer

Junior
engineer

Watch duties .................................................................
Electrical subjects:
A/C circuits ....................................................................
Batteries ........................................................................
Calculations ..................................................................
Communication devices ................................................
D/C circuits ...................................................................
Distribution systems ......................................................
Electronic principles ......................................................
Generation equipment ..................................................
Maintenance .................................................................
Measuring devices ........................................................
Motor controllers ...........................................................
Motors ...........................................................................
Safety ............................................................................
Troubleshooting ............................................................
Safety and environmental protection subjects:
Communications ...........................................................
Damage control ............................................................
Elementary first aid .......................................................
Emergency equipment ..................................................
Environmental awareness ............................................
Fire prevention ..............................................................
Firefighting equipment ..................................................
Firefighting principles ....................................................
General safety ..............................................................
Hazardous materials .....................................................
Shipboard equipment and systems subjects:
Air conditioning .............................................................
Ballast ...........................................................................
Bilge ..............................................................................
Compressed air ............................................................
Desalination ..................................................................
Fuel oil storage/transfer ................................................
Fuel treatment ...............................................................
Heating/ventilation ........................................................
Lubrication ....................................................................
Potable water ................................................................
Refrigeration .................................................................
Sanitary/sewage ...........................................................
Steering .........................................................................
Steam propulsion subjects:
Auxiliary turbines ..........................................................
Boiler fundamentals ......................................................
Combustion principles ..................................................
Condensate systems ....................................................
Drive systems ...............................................................
Feedwater systems .......................................................
Fuel service systems ....................................................
Maintenance .................................................................
Safety ............................................................................
Steam fundamentals .....................................................
Turbine fundamentals ...................................................
Motor propulsion subjects:
Air-charge systems .......................................................
Cooling water systems .................................................
Diesel engine principles ................................................
Drive systems ...............................................................
Fuel service systems ....................................................
Intake/exhaust ...............................................................
Lubrication systems ......................................................
Starting systems ...........................................................
Waste heat/auxiliary boiler ...........................................

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

Subpart F—Requirements for STCW
Rating Endorsements

sroberts on DSK5SPTVN1PROD with RULES

§ 12.601 General requirements for STCW
rating endorsements.

(a) General. An applicant for any
STCW endorsement must hold the
appropriate national endorsement,
unless otherwise specified. The Coast
Guard will issue an STCW endorsement
to qualified applicants for any of the
following ratings or qualifications:
(1) Able seafarer-deck.
(2) Ratings forming part of a
navigational watch (RFPNW).
(3) Able seafarer-engine.
(4) Ratings forming part of a watch in
a manned engineroom or designated to
perform duties in a periodically
unmanned engineroom (RFPEW).
(5) Electro-technical rating on vessels
powered by main propulsion machinery
of 750 kW/1,000 HP or more.
(6) Proficiency in survival craft and
rescue boats, other than fast rescue boats
(PSC).
(7) Proficiency in survival craft and
rescue boats, other than lifeboats and
fast rescue boats (PSC-limited).
(8) Proficiency in fast rescue boats.
(9) Medical first-aid provider.
(10) Person in charge of medical care.
(11) GMDSS at-sea maintainer.
(12) Vessel personnel with designated
security duties.
(13) Security awareness.
(b) Standard of competence. (1) The
Coast Guard will accept one or more
methods listed in the STCW Code to
demonstrate meeting the standard of
competence in this subpart. See Column
3, ‘‘Methods for demonstrating
competence,’’ of the Tables of
Competence in the STCW Code
(incorporated by reference, see § 12.103
of this part). The Coast Guard will
accept the following as evidence of
meeting the standard of competence
under each of these methods:
(i) In-service experience:
Documentation of successful
completion of assessments, approved or
accepted by the Coast Guard, and signed
by a qualified assessor, deck or
engineering, as appropriate.
(ii) Training ship experience:
Documentation of successful
completion of an approved training
program involving formal training and
assessment onboard a training ship.
(iii) Simulator training:
Documentation of successful
completion of training and assessment
from a Coast Guard-approved course
involving maritime simulation.
(iv) Laboratory equipment training:
Documentation of successful
completion of training and assessments
from an approved training course or

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completion certificate from an approved
training school or facility.
(v) Practical training or instruction:
(A) Documentation of successful
completion of assessment as part of
structured/formal training or instruction
provided by an organization or company
as part of an accepted safety or quality
management system; or
(B) Documentation of successful
completion of an approved training
course from a school or facility.
(vi) Specialist training:
Documentation of successful
completion of assessment as part of a
company training or specialized training
provided by a maritime or equipment
specialist.
(vii) Workshop skills training:
Documentation of successful
completion of assessments or
completion certificate from an approved
training program, school or facility.
(viii) Training program:
Documentation of successful
completion of an approved training
program.
(ix) Practical demonstration and
practical demonstration of competence:
Documentation of successful
completion of assessments approved or
accepted by the Coast Guard.
(x) Practical test and practical
experience: Documentation of
successful completion of assessments
approved or accepted by the Coast
Guard.
(xi) Examination: Successful
completion of a Coast Guard
examination.
(xii) Instruction or course:
Documentation of successful
completion of a course of instruction
offered by an approved training school
or facility.
(2) Knowledge components may be
documented by—
(i) Successful completion of the Coast
Guard examination for the associated
rating endorsement;
(ii) Successful completion of an
approved course; or
(iii) Successful completion of an
approved program.
(3) The Coast Guard will publish
assessment guidelines that should be
used to document assessments that
demonstrate meeting the standard of
competence, as required by paragraph
(b)(1) of this section. Organizations may
develop alternative assessment
documentation for demonstrations of
competence; however, such
documentation must be approved by the
Coast Guard prior to its use and
submittal with an application.
(c) Grandfathering. (1) Except as
noted otherwise, each candidate who
applies for a credential based on

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approved or accepted training or
approved seagoing service that was
started on or after March 24, 2014, or
who applies for the MMC endorsement
on or after January 1, 2017, must meet
the requirements of this part.
(2) Except as noted by this subpart,
seafarers holding an STCW endorsement
prior to March 24, 2014, will not be
required to complete any additional
training required under this part to
retain the STCW endorsements.
(3) Except as noted otherwise,
candidates who apply for a credential
based on approved or accepted training
or approved seagoing service that was
completed before March 24, 2014, may
qualify under the requirements of this
part existing before that date. This
includes the assessments published
prior to March 24, 2014, as well as the
additional requirements for the STCW
endorsement section.
(4) Except as noted by this subpart,
the Coast Guard will continue to issue
STCW endorsements meeting the
requirements of this part existing before
March 24, 2014, for seafarers identified
in paragraph (c)(3) of this section, until
January 1, 2017.
§ 12.602

Basic training.

(a) Applicants seeking an STCW
rating endorsement must provide
evidence, with their application, of
meeting the standard of competence for
basic training as described below:
(1) Personal survival techniques, as
set out in Table A–VI/1–1 of the STCW
Code (incorporated by reference, see
§ 12.103 of this part).
(2) Fire prevention and firefighting, as
set out in Table A–VI/1–2 of the STCW
Code.
(3) Elementary first aid, as set out in
Table A–VI/1–3 of the STCW Code.
(4) Personal safety and social
responsibilities, as set out in Table A–
VI/1–4 of the STCW Code.
(b) Every 5 years, seafarers qualified
in accordance with § 12.601 (a) of this
subpart must provide evidence of
maintaining the standard of competence
for basic training (BT).
(c) The Coast Guard will accept
onboard training and experience,
through evidence of 1 year of sea service
within the last 5 years for the following
areas:
(1) Personal survival techniques, as
set out in Table A–VI/1–1 of the STCW
Code:
(i) Donning a lifejacket.
(ii) Boarding a survival craft from the
ship, while wearing a lifejacket.
(iii) Taking initial actions on boarding
a lifeboat to enhance chance of survival.
(iv) Streaming a lifeboat drogue or
sea-anchor.

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(v) Operating survival craft
equipment.
(vi) Operating location devices,
including radio equipment.
(2) Fire prevention and firefighting, as
set out in Table A–VI/1–2 of the STCW
Code:
(i) Using self-contained breathing
apparatus.
(ii) Performing a rescue in a smokefilled space, using an approved smokegenerating device aboard, while wearing
a breathing apparatus.
(3) Elementary first aid, as set out in
Table A–VI/1–3 of the STCW Code.
(4) Personal safety and social
responsibilities, as set out in Table A–
VI/1–4 of the STCW Code.
(d) The Coast Guard will only accept
evidence of approved assessments
conducted ashore for the following
areas:
(1) Personal survival techniques, as
set out in Table A–VI/1–1 of the STCW
Code:
(i) Donning and use an immersion
suit.
(ii) Safely jumping from a height into
the water.
(iii) Righting an inverted liferaft while
wearing a lifejacket.
(iv) Swimming while wearing a
lifejacket.
(v) Keeping afloat without a lifejacket.
(2) Fire prevention and firefighting as
set out in Table A–VI/1–2 of the STCW
Code:
(i) Using various types of portable fire
extinguishers.
(ii) Extinguishing smaller fires. e.g.,
electrical fires, oil fires, and propane
fires.
(iii) Extinguishing extensive fires with
water, using jet and spray nozzles.

77981

(ii) Proficiency in survival craft and
rescue boats, other than lifeboats or fast
rescue boats-limited (PSC-limited), as
appropriate.
(b) Until January 1, 2017, seafarers
will be considered to have met the
requirements of this section if they have
served as a watchstanding A/B or as an
RFPNW for a period of not less than 12
months within the 60 months prior to
application.
(c) Seafarers holding a rating
endorsement as able seaman before
January 1, 2017, will be eligible for this
endorsement upon showing evidence
of—
(1) Holding an endorsement as an
RFPNW; and
(2) Having satisfactorily completed
approved training in—
(i) Proficiency in survival craft and
rescue boats, other than fast rescue boats
(PSC); or
(ii) Proficiency in survival craft and
rescue boats, other than lifeboats or fast
rescue boats-limited (PSC-limited), as
appropriate.
(d) The Coast Guard may exempt an
applicant from meeting any individual
knowledge, understanding, and
proficiency required in Section A–II/5
of the STCW Code. These exemptions
must be approved by the Coast Guard,
based upon vessel type. Under these
circumstances, the endorsement may
include a corresponding limitation.
(e) Except as provided in paragraphs
(b) and (c) of this section, seafarers with
the following national rating
endorsements will be eligible for this
endorsement upon completion of the
requirements designated in this section:

(iv) Extinguishing fires with foam,
powder, or any other suitable chemical
agent.
(v) Fighting fire in smoke-filled
enclosed spaces wearing self-contained
breathing apparatuses.
(vi) Extinguishing fire with water fog
or any other suitable firefighting agent
in an accommodation room or simulated
engine room with fire and heavy smoke.
(vii) Extinguishing oil fire with fog
applicator and spray nozzles, dry
chemical powder, or foam applicators.
(e) Applicants who cannot meet the
requirement for 1 year of sea service
within the last 5 years, as described in
paragraph (c) of this section, will be
required to meet the requirements of
paragraph (a) of this section or complete
approved or accepted refresher training.
§ 12.603 Requirements to qualify for an
STCW endorsement as able seafarer-deck.

(a) To qualify for this endorsement as
able seafarer-deck, an applicant must—
(1) Be not less than 18 years of age;
(2) Meet the requirements for
certification as a RFPNW;
(3) While qualified as an RFPNW,
have seagoing service in the deck
department of—
(i) Not less than 18 months; or
(ii) Not less than 12 months and have
completed approved training;
(4) Provide evidence of meeting the
standard of competence specified in
Table A–II/5 of the STCW Code
(incorporated by reference, see § 12.103
of this part); and
(5) Provide evidence of having
satisfactorily completed approved
training in—
(i) Proficiency in survival craft and
rescue boats other than fast rescue boats
(PSC); or

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TABLE 1 TO § 12.603(e)—STCW ENDORSEMENT AS ABLE SEAFARER-DECK
Entry path from national endorsements

Sea service under authority
of the endorsement 1

Competence—
STCW
Table A–II/4 2

Competence—
STCW
Table A–II/5 3

Training
required by
this section 4

A/B unlimited ...................................................................
A/B limited .......................................................................
A/B special ......................................................................
A/B-offshore supply vessels ............................................
A/B sail ............................................................................
A/B-fishing industry .........................................................

None ...................................
None ...................................
6 months 5 ..........................
12 months 6 ........................
12 months 6 ........................
12 months 6 ........................

Y
Y
Y
Y
Y
Y

Y
Y
Y
Y
Y
Y

N
N
N
N
N
N

1 This column provides the minimum additional service required of the seafarer already holding an RFPNW endorsement in order to meet the
requirements of this section.
2 Complete any items in paragraph (a)(2) of this section not previously satisfied.
3 Complete any items in paragraph (a)(4) of this section not previously satisfied.
4 Complete any items in paragraph (a)(5) of this section not previously satisfied.
5 The service may be reduced to 3 months if training has been completed as part of an approved training program meeting the requirements of
paragraph (a)(4) of this section.
6 The service may be reduced to 6 months if training has been completed as part of an approved training program meeting the requirements of
(a)(4) of this section.

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

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

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

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

TABLE 1 TO § 12.605(c)—STCW
ENDORSEMENT AS RFPNW

Entry path from
national
endorsements

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A/B unlimited ......
A/B limited ..........
A/B special .........
A/B-offshore supply vessels.
A/B sail ...............
A/B-fishing industry.
Ordinary seaman

Sea
service
under
authority
of the
endorsement 1
None
None
None
None

Competence—
STCW Table
A–II/4 2

....
....
....
....

Y
Y
Y
Y

None ....
None ....

Y
Y

TABLE 1 TO § 12.607(e)—STCW ENDORSEMENT AS ABLE SEAFARER-ENGINE

6 mo.3 ..

Y

1 This column provides the minimum additional service required of the seafarer in order
to meet the requirements of this section.
2 Complete any items in paragraph (a)(3) of
this section not previously satisfied.
3 The service may be reduced to 2 months if
training has been completed as part of an approved training program meeting the requirements of paragraph (a)(2)(ii) of this section.

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Domestic QMED
endorsement
Engineman ................
Deck Engine Mechanic.
Electrician ..................
Refrigerating Engineer.

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TABLE 1 TO § 12.607(e)—STCW ENDORSEMENT AS ABLE SEAFARER-ENGINE—Continued
Domestic QMED
endorsement
Pumpman ..................
Machinist ...................

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

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

TABLE 1 TO § 12.609(c)—STCW
ENDORSEMENT AS RFPEW

Entry path from
national
endorsements

Sea
service
under
authority
of the
endorsement 1

Competence—
STCW Table
A–III/4 2

Any QMED .........

None ....

Y

6 months.1
6 months.1

Sfmt 4700

6 months.1
6 months.1

1 Service may be reduced to 3 months if
training has been completed as part of an approved training program.

Additional sea service
for AS–E
None.
None.

Additional sea service
for AS–E

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
(i) Computer systems and
TABLE 1 TO § 12.609(c)—STCW ENDORSEMENT AS RFPEW—Contin- maintenance; and
(ii) High-voltage power systems.
ued

Entry path from
national
endorsements

Wiper ..................

Sea
service
under
authority
of the
endorsement 1
6

Competence—
STCW Table
A–III/4 2

Y
months.

1 This column provides the minimum additional service required of the seafarer in order
to meet the requirements of this section.
2 Complete any items in paragraph (a)(3) of
this section not previously satisfied.

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

(b) An applicant who holds an STCW
endorsement as able seafarer-engine and
a national rating endorsement as
electrician, electrician/refrigerating
engineer, or junior engineer will be
issued the ETR endorsement upon
completion of the requirements in
Section A–III/7 of the STCW Code and
evidence of completion of the training
required in paragraph (a)(4) of this
section.
(c) Seafarers with the following
national rating endorsement will be
eligible for this endorsement upon
completion of the requirements
designated in this section:

TABLE 1 TO § 12.611(c)—STCW ENDORSEMENT
AS
ELECTRO§ TECHNICAL RATING

Entry path from
national endorsements

Electrician/refrigerating engineer.
Junior engineer ..

Sea
service
under
authority
of the
endorsement 1

Competence—
STCW Table
A–III/7 2

None ....

Y

None ....

Y

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

column provides the minimum additional service required of the seafarer in order
to meet the requirements of this section.
2 Complete any items in paragraph (a)(3) of
this section not previously satisfied.

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

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

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1 This

(a) To qualify for an STCW
endorsement in proficiency in survival
craft and rescue boats other than fast
rescue boats (PSC), the applicant must—
(1) Be at least 18 years of age;
(2) Meet the requirements for a
lifeboatman endorsement in § 12.407 of
this part and Table A–VI/2–1 of the
STCW Code (incorporated by reference,
see § 12.103 of this part); and
(3) Complete basic training (BT),
found in § 12.601(c) of this subpart.
(b) Continued professional
competence. (1) Seafarers qualified in
accordance with paragraph (a) of this
section must provide evidence of
maintaining the standard of competence
as set out in Table A–VI/2–1 of the
STCW Code every 5 years.
(2) The Coast Guard will accept
onboard training and experience,
through evidence of 1 year of sea service
within the last 5 years, as meeting the
requirements of paragraph (b)(1) of this

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77983

section for the following areas, as set out
in Table A–VI/2–1 of the STCW Code:
(i) Taking charge of a survival craft or
rescue boat during and after launch,
including—
(A) Interpreting the markings on
survival craft as to the number of
persons they are intended to carry;
(B) Giving correct commands for
launching and boarding survival craft,
clearing the ship, and handling and
disembarking persons from survival
craft;
(C) Preparing and safely launch
survival craft, operating its engine, and
clearing the ship’s side quickly; and
(D) Safely recovering survival craft
and rescue boats.
(ii) Operating a survival craft engine,
including—
(A) Rowing and steering a boat and
steer by compass;
(B) Using individual items of
equipment of survival craft, except for
pyrotechnics; and
(C) Rigging devices to aid location.
(iii) Using locating devices, including
communication and signaling
apparatus, including—
(A) Using of portable radio equipment
for survival craft.
(B) [Reserved]
(iv) Applying first aid to survivors.
(3) The Coast Guard will only accept
evidence of assessments conducted
ashore as meeting the requirements of
paragraph (b)(1) of this section for the
areas not included in paragraph (b)(2) of
this section, as set out in Table A–VI/
2–1 of the STCW Code.
(4) Applicants who cannot meet the
requirement for 1 year of sea service
within the last 5 years, as described in
paragraph (b)(2) of this section, will be
required to meet the requirements of
paragraph (a) of this section or complete
approved or accepted refresher training.
(c) Seafarers holding an MMD or
MMC endorsement as lifeboatman
before January 1, 2017 will be eligible
for this endorsement upon showing
evidence of sea service of not less than
12 months within the last 60 months.
The sea service must be completed prior
to January 1, 2017.
§ 12.615 Requirements to qualify for an
STCW endorsement in proficiency in
survival craft and rescue boats other than
lifeboats and fast rescue boats-limited
(PSC-limited).

(a) To qualify for an STCW
endorsement in proficiency in survival
craft and rescue boats other than
lifeboats and fast rescue boats–limited
(PSC–limited), the applicant must—
(1) Be at least 18 years of age;
(2) Meet the requirements for a
lifeboatman-limited endorsement in

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

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showing evidence of sea service of not
less than 12 months within the last 60
months. The sea service must be
completed prior to January 1, 2017.
§ 12.617 Requirements to qualify for an
STCW endorsement in proficiency in fast
rescue boats.

(a) To qualify for an STCW
endorsement in proficiency in fast
rescue boats, an applicant must—
(1) Be not less than 18 years of age;
(2) Hold an endorsement in
proficiency in survival craft and rescue
boats other than fast rescue boats (PSC)
or in proficiency in survival craft and
rescue boats other than lifeboats and fast
rescue boats–limited (PSC–limited)
under this subpart;
(3) Provide evidence of successful
completion of a Coast Guard-approved
or -accepted course; and
(4) Provide evidence of meeting the
standard of competence specified in
Table A–VI/2–2 of the STCW Code
(incorporated by reference, see § 12.103
of this part).
(b) Continued professional
competence. (1) Seafarers qualified in
accordance with paragraph (a) of this
section must provide evidence of
maintaining the standard of competence
as set out in Table A–VI/2–2 of the
STCW Code every 5 years.
(2) The Coast Guard will accept
onboard training and experience,
through evidence of 1 year of sea service
within the last 5 years, as meeting the
requirements of paragraph (b)(1) of this
section for the following areas, as set out
in Table A–VI/2–2 of the STCW Code:
(i) Taking charge of a fast rescue boat
during and after launch, including—
(A) Controlling safe launching,
operating of the engine, and recovering
a fast rescue boat;
(B) Handling a fast rescue boat in
prevailing weather and sea conditions;
(C) Using communication and
signaling equipment between the fast
rescue boat and a helicopter and a ship;
(D) Using the emergency equipment
carried; and
(E) Carrying out search patterns,
taking account of environmental factors.
(ii) [Reserved]
(3) The Coast Guard will only accept
evidence of assessments conducted
ashore as meeting the requirements of
paragraph (b)(1) of this section for the
areas not included in paragraph (b)(2) of
this section, as set out in Table A–VI/
2–2 of the STCW Code.
(4) Applicants who cannot meet the
requirement for 1 year of sea service
within the last 5 years, as described in
paragraph (b)(2) of this section, will be
required to meet the requirements of
paragraph (a)(3) of this section or

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complete approved or accepted
refresher training.
§ 12.619 Requirements to qualify for an
STCW endorsement as medical first-aid
provider.

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

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

To qualify for an STCW endorsement
as GMDSS at-sea maintainer, an
applicant must—
(a) Be not less than 18 years of age;
(b) Provide evidence of—
(1) Successful completion of a
training program that covers at least the
scope and content of the training
outlined in Section B–IV/2 of the STCW

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
Code (incorporated by reference, see
§ 12.103 of this part); or
(2) Passing an approved GMDSS atsea maintainer course; and
(c) Hold a valid Federal
Communications Commission (FCC)
certificate as GMDSS at-sea maintainer.
§ 12.625 Requirements to qualify for an
STCW endorsement as vessel personnel
with designated security duties.

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

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

(a) An applicant for an endorsement
for security awareness must—
(1) Present satisfactory documentary
evidence, such as a certificate or letter
signed by a company official, or a
certificate of completion from a Coast
Guard-accepted or Coast Guardapproved course, of meeting the
requirements in 33 CFR 104.225;
(2) Meet the physical examination
requirements in 46 CFR, part 10, subpart
C; and
(3) Meet the safety and suitability
requirements and the National Driver
Registry review requirements in
§ 10.209(e) of this subchapter, unless the
applicant has met these requirements
within the previous 5 years in
connection with another endorsement.

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(b) Until March 24, 2014, seafarers
will be able to apply for an endorsement
in security awareness by—
(1) Having performed approved
seagoing service for a period of at least
6 months in total during the preceding
3 years;
(2) Having performed security
functions considered to be equivalent to
the seagoing service required in
paragraph (b)(1) of this section; or
(3) Successfully completing Coast
Guard-accepted or Coast Guardapproved training.
Subpart G—Entry-Level National
Ratings and Miscellaneous Ratings
§ 12.701 Credentials required for entrylevel and miscellaneous ratings.

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

(a) Rating endorsements will be
issued without professional
examination to applicants in capacities
other than able seaman, lifeboatman,
lifeboatman-limited, tankerman, or
QMED, including—
(1) Ordinary seaman;
(2) Wiper;
(3) Steward’s department; and
(4) Steward’s department (F.H.).
(b) Holders of MMCs or MMDs
endorsed as ordinary seaman may serve
in any unqualified rating in the deck or
steward’s department, except as a food
handler.
(c) Holders of MMCs or MMDs
endorsed as wiper may serve in any
unqualified rating in the engine or
steward’s department, except as a food
handler.
(d) Only MMCs or MMDs endorsed as
steward’s department (F.H.) will
authorize the holder’s service in any
capacity in the steward’s department,
including food handler.
§ 12.705 Endorsements for persons
enrolled in a Maritime Administrationapproved training program.

MMCs issued to individuals obtaining
sea service as part of an approved
training curriculum while enrolled at
either the United States Merchant
Marine Academy or a deck or
engineering class of a Maritime
Academy approved by and conducted
under the rules prescribed by the
Maritime Administrator and listed in 46
CFR Part 310 will include an
endorsement of cadet (deck) or cadet
(engine), as appropriate, and

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lifeboatman. Individuals obtaining sea
service as part of such an approved
training curriculum must do so in the
capacity of cadet (deck) or cadet
(engine), as appropriate,
notwithstanding any other rating
endorsements the individual may hold
or any other capacity in which the
individual may have previously served.
§ 12.707

Student observers.

Students in technical schools who are
enrolled in courses in marine
management, naval architecture, and
ship operations, and who present a
letter or other documentary evidence
that they are enrolled, will be issued an
MMC endorsed as ‘‘student observer—
any department’’ and may be signed on
ships as such. Students holding these
endorsements will not take the place of
any of the crew, or replace any of the
regular required crew.
§ 12.709

Apprentice engineers.

(a) Persons enrolled in an engineer
training program approved by the Coast
Guard, and who present a letter or other
documentary evidence that they are
enrolled, may be issued an MMC
endorsed as apprentice engineer and
may be signed on ships as such. The
endorsement as apprentice engineer
may be in addition to other
endorsements; however, this
endorsement does not authorize the
holder to replace any of the regular
required crew.
(b) Persons holding the endorsement
as apprentice engineer are deemed to be
seamen.
§ 12.711

Apprentice mate.

(a) A person enrolled in a mate
training program approved by the Coast
Guard, and who presents a letter or
other documentary evidence that he or
she is enrolled, may be issued an MMC
rating endorsement as apprentice mate
and may be signed on a vessel in this
capacity. The rating endorsement as
apprentice mate may be in addition to
other endorsements; however, this
endorsement does not authorize the
holder to replace any of the regular
required crew.
(b) Persons holding the endorsement
as apprentice mate are deemed to be
seamen.
Subpart H—Non-Resident Alien
Members of the Steward’s Department
on U.S. Flag Large Passenger Vessels
§ 12.801

Purpose.

The rules in this subpart implement
46 U.S.C. 8103(k) by establishing
requirements for the issuance of MMCs,
valid only for service in the steward’s

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department of U.S. flag large passenger
vessels, to non-resident aliens.
§ 12.803

General requirements.

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

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§ 12.805

Employer requirements.

(a) The employer must submit the
following to the Coast Guard, as a part
of the applicant’s MMC application, on
behalf of the applicant:
(1) A signed report that contains all
material disciplinary actions related to
the applicant, such as, but not limited
to, violence or assault, theft, drug and
alcohol policy violations, and sexual
harassment, along with an explanation
of the criteria used by the employer to
determine the materiality of those
actions.
(2) A signed report regarding an
employer-conducted background check.
The report must contain—
(i) A statement that the applicant has
successfully undergone an employerconducted background check;
(ii) A description of the employerconducted background check, including
all databases and records searched. The
background check must, at a minimum,
show that the employer has reviewed all
information reasonably and legally
available to the owner or managing
operator, including the review of
available court and police records in the
applicant’s country of citizenship, and
any other country in which the
applicant has received employment
referrals, or resided, for the past 20
years prior to the date of application;
and
(iii) All information derived from the
employer-conducted background check.
(3) An employer-conducted
background check, which must be
conducted to the satisfaction of the
Coast Guard for an MMC to be issued to
the applicant.
(b) If an MMC is issued to the
applicant, the report and information
required in paragraph (a)(2) of this
section must be securely kept by the
employer on the U.S. flag large
passenger vessel on which the applicant
is employed. The report and
information must remain on the last
U.S. flag large passenger vessel on
which the applicant was employed until
such time as the MMC is returned to the

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Coast Guard in accordance with
paragraph (d) of this section.
(c) If an MMC or a transportation
worker identification credential (TWIC)
is issued to the applicant, each MMC
and TWIC must be securely kept by the
employer on the U.S. flag large
passenger vessel on which the applicant
is employed. The employer must
maintain a detailed record of the
seaman’s total service on all authorized
U.S. flag large passenger vessels, and
must make that information available to
the Coast Guard upon request, to
demonstrate that the limitations of
§ 12.811(c) of this subpart have not been
exceeded.
(d) In the event that the seaman’s
MMC and/or TWIC expires, the
seaman’s visa status terminates, the
seaman serves onboard the U.S. flag
large passenger vessel(s) for 36 months
in the aggregate as a nonimmigrant
crewman, the employer terminates
employment of the seaman, or, if the
seaman otherwise ceases working with
the employer, the employer must return
the MMC to the Coast Guard and/or the
TWIC to the Transportation Security
Administration (TSA) within 10 days of
the event.
(e) In addition to the initial material
disciplinary actions report and the
initial employer-conducted background
check specified in paragraph (a) of this
section, the employer must—
(1) Submit to the National Maritime
Center an annual material disciplinary
actions report to update whether there
have been any material disciplinary
actions related to the applicant since the
last material disciplinary actions report
was submitted to the Coast Guard. The
annual material disciplinary actions
report must—
(i) Be submitted to the satisfaction of
the Coast Guard in accordance with the
same criteria set forth in paragraph
(a)(1) of this section, except that the
period of time examined for the material
disciplinary actions report need only
extend back to the date of the last
material disciplinary actions report; and
(ii) Be submitted to the Coast Guard
on or before the anniversary of the
issuance date of the MMC; and
(2) Conduct a background check each
year that the MMC is valid to search for
any changes that might have occurred
since the last employer-conducted
background check was performed. The
annual background check must—
(i) Be conducted to the satisfaction of
the Coast Guard in accordance with the
same criteria set forth in paragraph
(a)(2) of this section, except that the
period of time examined during the
annual background check need only

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extend back to the date of the last
background check; and
(ii) Be submitted to the Coast Guard
on or before the anniversary of the
issuance date of the MMC.
(f) The employer is subject to the civil
penalty provisions specified in 46
U.S.C. 8103(f) for any violation of this
section.
§ 12.807

Basis for denial.

In addition to the requirements for an
MMC established elsewhere in this
subchapter, and the basis for denial
established in §§ 10.209, 10.211, and
10.213 of this subchapter, an applicant
for an MMC issued pursuant to this
subpart must—
(a) Have been employed for a period
of at least 1 year on a foreign flag
passenger vessel that is under the same
common ownership or control as the
U.S. flag large passenger vessel on
which the applicant will be employed
upon issuance of an MMC under this
subpart;
(b) Have no record of material
disciplinary actions during the
employment required under paragraph
(a) of this section, as verified in writing
by the owner or managing operator of
the U.S. flag large passenger vessel on
which the applicant will be employed;
(c) Have successfully completed an
employer-conducted background check
to the satisfaction of both the employer
and the Coast Guard; and
(d) Meet the citizenship and identity
requirements of § 12.809 of this subpart.
§ 12.809

Citizenship and identity.

(a) Instead of the requirements of
§ 10.221 of this subchapter, a nonresident alien may apply for a Coast
Guard-issued MMC, endorsed and valid
only for service in the steward’s
department of a U.S. flag large passenger
vessel, as defined in 46 U.S.C.
8103(k)(5)(B), if he or she is employable
in the United States under the
Immigration and Nationality Act (8
U.S.C. 1101, et seq.), including an alien
crewman described in section 101
(a)(15)(D)(i) of that Act.
(b) To meet the citizenship and
identity requirements of this subpart, an
applicant must present an unexpired
passport issued by the government of
the country of which the applicant is a
citizen or subject, and either a valid U.S.
C–1/D Crewman Visa or another valid
U.S. visa or authority deemed
acceptable by the Coast Guard.
(c) Any non-resident alien applying
for an MMC under this subpart may not
be a citizen of, or a temporary or
permanent resident of, a country
designated by the Department of State as
a ‘‘State Sponsor of Terrorism’’ pursuant

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
to section 6(j) of the Export
Administration Act of 1979 (50 U.S.C.
App. 2405(j)) or section 620A of the
Foreign Assistance Act of 1961 (22
U.S.C. 2371).

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§ 12.811

Restrictions.

(a) An MMC issued to a non-resident
alien under this subpart authorizes
service only in the steward’s department
of the U.S. flag large passenger vessel(s),
that is/are under the same common
ownership and control as the foreign
flag passenger vessel(s) on which the
non-resident alien served to meet the
requirements of § 12.807(a) of this
subpart.
(1) The MMC will be endorsed for
service in the steward’s department, in
accordance with § 12.703 of this part.
(2) The MMC may also be endorsed
for service as a food handler if the
applicant meets the requirements of
§ 12.703 of this part.
(3) No other rating or endorsement is
authorized, except lifeboatman or
lifeboatman-limited, in which case all
applicable requirements of this
subchapter and the STCW Convention
and STCW Code (incorporated by
reference, see § 12.103 of this part) must
be met.
(b) The following restrictions must be
printed on the MMC, or be listed in an
accompanying Coast Guard letter, or
both:
(1) The name and official number of
all U.S. flag vessels on which the nonresident alien may serve. Service is not
authorized on any other U.S. flag vessel.
(2) Upon issuance, the MMC must
remain in the custody of the employer
at all times.
(3) Upon termination of employment,
the MMC must be returned to the Coast
Guard within 10 days, in accordance
with § 12.805 of this subpart.
(4) A non-resident alien issued an
MMC under this subpart may not
perform watchstanding, engine room
duty watch, or vessel navigation
functions.
(5) A non-resident alien issued an
MMC under this subpart may perform
emergency-related duties, provided
that—
(i) The emergency-related duties do
not require any other rating or
endorsement, except lifeboatman or
lifeboatman-limited as specified in
paragraph (a)(3) of this section;
(ii) The non-resident alien has
completed familiarization and basic
training (BT), as required in § 15.1105 of
this subchapter;
(iii) If the non-resident alien serves as
a lifeboatman or lifeboatman-limited, he
or she has the necessary lifeboatman or
lifeboatman-limited endorsement; and

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(iv) The non-resident alien has
completed the training for crewmembers
on passenger ships performing duties
involving safety or care for passengers,
as required in § 15.1103 of this
subchapter.
(c) A non-resident alien may only
serve for an aggregate period of 36
months of actual service on all
authorized U.S. flag large passenger
vessels combined under the provisions
of this subpart.
(d) Once this 36-month limitation is
reached, the MMC becomes invalid and
must be returned to the Coast Guard
under § 12.805(d) of this subpart, and
the non-resident alien is no longer
authorized to serve in a position
requiring an MMC on any U.S. flag large
passenger vessel.
(e) An individual who successfully
adjusts his or her immigration status to
become either an alien lawfully
admitted for permanent residence to the
United States, or a citizen of the United
States, may apply for an MMC, subject
to the requirements of § 10.221 of this
subchapter, without any restrictions or
limitations imposed by this subpart.
§ 12.813

Alternative means of compliance.

(a) The owner or managing operator of
a U.S. flag large passenger vessel
seeking to employ non-resident aliens
issued MMCs under this subpart may
submit a plan to the Coast Guard,
which, if approved, will serve as an
alternative means of complying with the
requirements of this subpart.
(b) The plan must address all the
elements contained in this subpart, as
well as the related elements contained
in § 15.530 of this subchapter, to the
satisfaction of the Coast Guard.
Subpart I—Crewmembers on a
Passenger Ship on an International
Voyage
§ 12.901

Purpose.

This subpart establishes requirements
for the qualification of ratings serving
on passenger ships as defined in
§ 12.903 of this part.
§ 12.903

Definitions.

Passenger ship in this subpart means
a ship carrying more than 12 passengers
when on an international voyage.
§ 12.905

General requirements.

(a) Any seafarer may serve on a
passenger vessel on an international
voyage and perform duties that involve
safety or care for passengers, only
after—
(1) Meeting the appropriate
requirements of the STCW Regulation
V/2 and of section A–V/2 of the STCW

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77987

Code (incorporated by reference, see
§ 12.103 of this part); and
(2) Holding documentary evidence to
show that the mariner meets these
requirements through approved or
accepted training.
(b) Seafarers who are required to be
trained in accordance with paragraph
(a)(1) of this section must, at intervals
not exceeding 5 years, provide evidence
of maintaining the standard of
competence.
(c) The Coast Guard will accept
onboard training and experience,
through evidence of 1 year of sea service
within the last 5 years, as meeting the
requirements of paragraph (a)(2) of this
section.
(d) Personnel serving onboard small
passenger vessels engaged in domestic,
near-coastal voyages, as defined in
§ 15.105(g)(1) of this subchapter, are not
subject to any obligation for the purpose
of this STCW requirement.
PART 13—CERTIFICATION OF
TANKERMAN
33. The authority citation for part 13
continues to read as follows:

■

Authority: 44 U.S.C. 3507; 46 U.S.C. 3703,
7317, 8703, 9102; Department of Homeland
Security Delegation No. 0170.1.
■

34. Revise § 13.101 to read as follows:

§ 13.101

Purpose.

This part describes the various
tankerman endorsements issued by the
Coast Guard on a merchant mariner
credential (MMC).
(a) This part prescribes the
requirements for the following
endorsements:
(1) Tankerman-PIC.
(2) Tankerman-PIC (Barge).
(3) Restricted Tankerman-PIC.
(4) Restricted Tankerman-PIC (Barge).
(5) Tankerman-assistant.
(6) Tankerman-engineer.
(b) This part prescribes the
requirements for the following STCW
endorsements:
(1) Advanced oil tanker cargo
operation.
(2) Advanced chemical tanker cargo
operation.
(3) Advanced liquefied gas tanker
cargo operation.
(4) Basic oil and chemical tanker
cargo operation.
(5) Basic liquefied gas tanker cargo
operation.
■ 35. Add § 13.103 to read as follows:
§ 13.103

Incorporation by reference.

(a) Certain material is incorporated by
reference into this part with the
approval of the Director of the Federal
Register under 5 U.S.C. 552(a) and 1

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CFR part 51. To enforce any edition
other than that specified in this section,
the Coast Guard must publish a notice
of change in the Federal Register and
the material must be available to the
public. All approved material is
available for inspection at the Coast
Guard, Office of Operating and
Environmental Standards (CG–OES),
2100 2nd St. SW., Stop 7126,
Washington, DC 20593–7126, 202–372–
1405, and is available from the sources
listed below. It is also available for
inspection at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030 or
go to http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html.
(b) International Maritime
Organization (IMO), 4 Albert
Embankment, London SE1 7SR,
England:
(1) The Seafarers’ Training,
Certification and Watchkeeping Code, as
amended, 2011 (the STCW Code),
approved for incorporation by reference
in §§ 13.601, 13.603, 13.605, 13.607,
13.609, and 13.611; and
(2) [Reserved]
§ 13.106

[Amended]

36. In § 13.106, remove the word
‘‘chapter’’ and add, in its place, the
word ‘‘subchapter’’.
■ 37. Amend § 13.107 as follows:
■ a. In paragraph (a), remove the words
‘‘OCMI at an REC’’ and add, in their
place, the words ‘‘Coast Guard’’; remove
the words ‘‘ ‘‘Tankerman-PIC’’ ’’ and
add, in their place, the words
‘‘tankerman-PIC’’; and remove the
words ‘‘Tankerman-Engineer’’ and add,
in their place, the words ‘‘tankermanengineer’’;
■ b. In paragraph (b), remove the words
‘‘OCMI at an REC’’ and add, in their
place, the words ‘‘Coast Guard’’; and
remove the words ‘‘ ‘‘Tankerman-PIC
(Barge)’’ ’’ and add, in their place, the
words ‘‘tankerman-PIC (barge)’’;
■ c. In paragraph (c), remove the words
‘‘OCMI at an REC’’ and add, in their
place, the words ‘‘Coast Guard’’; remove
the words ‘‘ ‘‘Tankerman-Assistant’’ ’’
and add, in their place, the words
‘‘tankerman-assistant’’; and remove the
word ‘‘shall’’ and add, in its place, the
word ‘‘must’’;
■ d. Revise paragraphs (d), (e), and (f) to
read as set forth below; and
■ e. Remove paragraph (g).

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■

§ 13.107 Tankerman endorsement:
General.

*

*

*

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(d) If an applicant meets the
requirements of subpart E of this part,
the Coast Guard may endorse his or her
MMC as tankerman-engineer. No person
holding this endorsement may act as a
PIC or tankerman-assistant of any
transfer of liquid cargo in bulk, or of
cargo-tank cleaning unless he or she
also holds an endorsement authorizing
such service. A person holding this
endorsement and acting in this capacity
has the primary responsibility, on his or
her self-propelled tank vessel carrying
dangerous liquid (DL) or liquefied gas
(LG), for maintaining both the cargo
systems and equipment for transfer of
liquid cargo in bulk. No person licensed
or credentialed under part 11 of this
chapter may serve as a chief engineer,
first assistant engineer, or cargo
engineer aboard an inspected selfpropelled tank vessel when liquid cargo
in bulk or cargo residue is carried unless
he or she holds an endorsement as
tankerman-engineer or equivalent.
(e) If an applicant meets the
requirements of § 13.111 of this subpart,
the Coast Guard may place on his or her
MMC an endorsement as a tankermanPIC restricted according to the
definitions of ‘‘restricted tankerman
endorsement’’ in § 10.107 of this
subchapter.
(f) This section does not apply to any
person solely by reason of his or her
involvement in bunkering or fueling.
§ 13.109
■
■

[Amended]

38. In § 13.109, remove paragraph (c).
39. Revise § 13.111 to read as follows:

§ 13.111 Restricted tankerman
endorsement.

(a) An applicant may apply for a
tankerman endorsement restricted to
specific cargoes, specific vessels, or
groups of vessels (such as uninspected
towing vessels and Oil Spill Response
Vessels), specific facilities, and/or
specific employers. The Coast Guard
will evaluate each application and may
modify the applicable requirements for
the endorsement, allowing for special
circumstances and for whichever
restrictions the endorsement will state.
(b) To qualify for a restricted
tankerman-PIC endorsement, an
applicant must meet §§ 13.201
(excluding paragraph (c)(4)), 13.203, and
13.205 of this part.
(1) Twenty-five percent of the service
described in § 13.203(a) of this part
must have occurred within the past 5
years.
(2) Two of the transfers described in
§ 13.203(b) of this part must have
occurred within the past 5 years.
(c) To qualify for a restricted
tankerman-PIC (barge) endorsement, an

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applicant must meet §§ 13.301
(excluding paragraph (c)(4)), 13.303, and
13.305 of this part.
(1) Twenty-five percent of the service
described in § 13.303(a) of this part
must have occurred within the past 5
years.
(2) Two of the transfers described in
§ 13.303(b) of this part must have
occurred within the past 5 years.
(d) To qualify for a restricted
tankerman-PIC (barge) endorsement
restricted to a tank-cleaning and gasfreeing facility, an applicant must—
(1) Be at least 18 years old;
(2) Apply on a form provided by the
Coast Guard;
(3) Present evidence of passing a
physical and medical examination
according to § 13.125 of this part;
(4) Present evidence in the form of a
letter, which must be dated within the
5 years prior to the application for the
credential, on company letterhead from
the operator of the facility stating that
OSHA considers the applicant a
‘‘competent person (as designated under
29 CFR 1915.7)’’ for the facility and that
the applicant has the knowledge
necessary to supervise tank-cleaning
and gas-freeing; and
(5) Be capable of speaking and
understanding, in English, all
instructions needed to commence,
conduct, and complete a transfer of
cargo, and of reading and understanding
the English found in the Declaration of
Inspection, vessel response plans, and
Cargo Information Cards.
(e) The restricted tankerman-PIC
(barge) endorsement restricted to a tankcleaning and gas-freeing facility is valid
only while the applicant is employed by
the operator of the facility that provided
the letter of service required by
paragraph (d)(4) of this section, and this
and any other appropriate restrictions
will appear in the endorsement.
(f) A restricted tankerman-PIC
endorsement limited to operation on
vessels inside the boundary line is not
valid where STCW certification is
required.
■ 40. Add § 13.115 to read as follows:
§ 13.115

Chemical testing requirements.

Each applicant for an original
tankerman endorsement must provide
evidence of having passed a chemical
test for dangerous drugs or of qualifying
for an exemption from testing in
§ 16.220 of this chapter as specified in
§ 10.225(b)(5) of this subchapter.
■ 41. Add § 13.117 to read as follows:
§ 13.117 Re-issuance of expired
tankerman endorsements.

Whenever an applicant applies for reissuance of an endorsement as any

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tankerman rating more than 12 months
after expiration of the previous
endorsement, the applicant must meet
the requirements for an original
endorsement.
■ 42. Revise § 13.120 to read as follows:
§ 13.120 Renewal of tankerman
endorsement.

An applicant seeking renewal of a
tankerman endorsement or an STCW
endorsement valid for service on tank
vessels must meet the requirements of
§ 10.227 of this subchapter, except
§ 10.227(e)(1), for renewing an MMC
and meet the following additional
requirements:
(a) For endorsements as tankermanPIC, advanced oil and chemical tanker
cargo operation; and advanced liquefied
gas tanker cargo operations, present
evidence of—
(1) At least 90 days of service during
the preceding 5 years onboard a tank
vessel for which the endorsement is
valid, performing duties appropriate to
the tankerman endorsement held; and
participation in at least two transfers of
liquid cargo in bulk of the type for
which the endorsement is valid within
the preceding 5 years; or
(2) Completion of an approved course
for Tankship: Dangerous Liquids or
Tankship: Liquefied Gases, appropriate
for the endorsement to be renewed,
within the previous 5 years.
(b) For endorsements as tankermanassistant, basic oil and chemical tanker
cargo operation; and basic liquefied gas
tanker cargo operations, present
evidence of—
(1) At least 90 days of service during
the preceding 5 years onboard a tank
vessel for which the endorsement is
valid, performing duties appropriate to
the tankerman endorsement held; or
(2) Completion of an approved course
for Tankship: Dangerous Liquids or
Tankship: Liquefied Gases, appropriate

for the endorsement to be renewed,
within the previous 5 years.
(c) For endorsements as tankermanPIC (Barge), present evidence of—
(1) Participation in at least two
transfers of liquid cargo in bulk of the
type for which the endorsement is valid,
within the preceding 5 years; or
(2) Completion of a course approved
for this purpose, appropriate for the
endorsement to be renewed, within the
previous 5 years.
(d) For endorsements as tankermanengineer, present evidence of—
(1) At least 90 days of service during
the preceding 5 years onboard a tank
vessel for which the endorsement is
valid, performing duties appropriate to
the tankerman endorsement held; or
(2) Completion of a course approved
for this purpose, appropriate for the
endorsement to be renewed, within the
previous 5 years.
■ 43. Revise § 13.121 to read as follows:
§ 13.121 Courses for tankerman
endorsements.

(a) This section prescribes the
requirements, beyond those in §§ 10.302
and 10.304 of this subchapter,
applicable to schools offering courses
required for a tankerman endorsement
and courses that are a substitute for
experience with transfers of liquid cargo
in bulk required for the endorsement.
(b) A course that uses simulated
transfers to train students in loading and
discharging tank vessels may replace up
to two loadings and two discharges, one
commencement and one completion of
loading, and one commencement and
one completion of discharge required
for a tankerman-PIC or tankerman-PIC
(barge) endorsement. The request for
approval of the course must specify
those segments of a transfer that the
course will simulate. The letter from the
Coast Guard approving the course will
state the number and kind of segments
that the course will replace.

77989

(c) The liquid cargo course required
for an endorsement as—
(1) Tankerman-PIC DL is Tankship:
Dangerous Liquids;
(2) Tankerman-PIC (barge) DL is Tank
Barge: Dangerous Liquids;
(3) Tankerman-PIC LG is Tankship:
Liquefied Gases;
(4) Tankerman-PIC (barge) LG is Tank
Barge: Liquefied Gases;
(5) Tankerman assistant DL is
Tankship: Familiarization (Dangerous
Liquids);
(6) Tankerman assistant LG is
Tankship: Familiarization (Liquefied
Gases);
(7) Tankerman-engineer DL is
Tankship: Dangerous Liquids; and
(8) Tankerman-engineer LG is
Tankship: Liquefied Gases.
(d) The firefighting course required
for an endorsement as—
(1) Tankerman-PIC (barge) is Tank
Barge: Firefighting or basic firefighting;
and
(2) Tankerman-PIC, tankermanassistant, and tankerman-engineer is
basic firefighting.
(e) The Coast Guard will evaluate and
approve the curricula of courses to
ensure adequate coverage of the
required subjects. Training may employ
classroom instruction, demonstrations,
or simulated or actual operations.
(1) The course curricula for Tankship
Familiarization must consist of the
topics identified in Table 1 to
§ 13.121(e) of this subpart.
(2) The course curricula for
tankerman-PIC, tankerman-PIC (barge),
and tankerman-engineer endorsements
must consist of the topics identified in
Table 2 to § 13.121(e) of this subpart.
(3) The course curricula for
firefighting courses must consist of the
topics identified in Table 3 to
§ 13.121(e) of this subpart.

TABLE 1 TO § 13.121(e)

sroberts on DSK5SPTVN1PROD with RULES

Tankship familiarization topics
Basic knowledge of tankers:
types of oil and chemical vessels or liquefied gas tanker vessels ..................................................................
general arrangement and construction ............................................................................................................
Basic knowledge of cargo operations:
piping systems and valves ...............................................................................................................................
cargo pumps and cargo handling equipment ...................................................................................................
loading and unloading and care in transit ........................................................................................................
tank cleaning, purging, gas-freeing and inerting ..............................................................................................
Basic knowledge of the physical properties of oil and chemicals:
pressure and temperature, including vapor pressure/temperature relationship ..............................................
types of electrostatic charge generation ..........................................................................................................
chemical symbols .............................................................................................................................................
Basic knowledge of the physical properties of liquefied gases, including:
properties and characteristics ..........................................................................................................................
pressure and temperature, including vapor pressure/temperature relationship ..............................................
types of electrostatic charge generation ..........................................................................................................

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77990

Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
TABLE 1 TO § 13.121(e)—Continued
Tankship familiarization topics

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chemical symbols .............................................................................................................................................
Knowledge and understanding of tanker safety culture and safety management ..................................................
Basic knowledge of the hazards associated with tanker operations, including:
health hazards ..................................................................................................................................................
environmental hazards .....................................................................................................................................
reactivity hazards ..............................................................................................................................................
corrosion hazards .............................................................................................................................................
explosion and flammability hazards .................................................................................................................
sources of ignition ............................................................................................................................................
electrostatic hazards .........................................................................................................................................
toxicity hazards .................................................................................................................................................
vapor leaks and clouds ....................................................................................................................................
extremely low temperatures .............................................................................................................................
pressure hazards ..............................................................................................................................................
Basic knowledge of hazard controls:
inerting, water padding, drying agents and monitoring techniques .................................................................
anti-static measures .........................................................................................................................................
ventilation ..........................................................................................................................................................
segregation .......................................................................................................................................................
cargo inhibition .................................................................................................................................................
importance of cargo compatibility .....................................................................................................................
atmospheric control ..........................................................................................................................................
gas testing ........................................................................................................................................................
Understanding of information on a Material Safety Data Sheet (MSDS) ...............................................................
Function and proper use of gas-measuring instruments and similar equipment ....................................................
Proper use of safety equipment and protective devices, including:
breathing apparatus and tank-evacuating equipment ......................................................................................
protective clothing and equipment ...................................................................................................................
resuscitators .....................................................................................................................................................
rescue and escape equipment .........................................................................................................................
Basic knowledge of safe working practices and procedures in accordance with legislation and industry guidelines and personal shipboard safety relevant to oil and chemical tankers, including:
precautions to be taken when entering enclosed spaces ................................................................................
precautions to be taken before and during repair and maintenance work ......................................................
safety measures for hot and cold work ............................................................................................................
electrical safety .................................................................................................................................................
ship/shore safety checklist ...............................................................................................................................
Basic knowledge of first aid with reference to a Material Safety Data Sheet (MSDS)
Basic knowledge of emergency procedures, including emergency shutdown .......................................................
Basic knowledge of the effects of oil and chemical pollution on human and marine life .......................................
Basic knowledge of shipboard procedures to prevent pollution .............................................................................
Basic knowledge of measures to be taken in the event of spillage, including the need to:
report relevant information to the responsible persons ...................................................................................
assist in implementing shipboard spill-containment procedures ......................................................................
prevent brittle fracture ......................................................................................................................................

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Column 1—Tankship familiarization (dangerous liquids).
Column 2—Tankship familiarization (liquefied gases).

sroberts on DSK5SPTVN1PROD with RULES

TABLE 2 TO § 13.121(e)
Tankship and tank barge course topics

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General characteristics, compatibility, reaction, firefighting procedures, and safety precautions for the cargoes
of: .........................................................................................................................................................................
Bulk liquids defined as Dangerous Liquids in 46 CFR Part 13 .......................................................................
Bulk liquefied gases & their vapors defined as Liquefied Gases in 46 CFR Part 13 ......................................
Knowledge and understanding of the physical and chemical properties of oil and chemical cargoes ...........
Physical phenomena of liquefied gas, including: ....................................................................................................
Basic concept ...................................................................................................................................................
Compression and expansion ............................................................................................................................
Mechanism of heat transfer ..............................................................................................................................
Potential hazards of liquefied gas, including: ..........................................................................................................
Chemical and physical properties ....................................................................................................................
Combustion characteristics ..............................................................................................................................
Results of gas release to the atmosphere .......................................................................................................
Health hazards (skin contact, inhalation, and ingestion) .................................................................................
Control of flammability range with inert gas .....................................................................................................
Thermal stress in structure and piping of vessel .............................................................................................
Cargo systems, including:
Principles of containment systems ...................................................................................................................
Construction, materials, coating, & insulation of cargo tanks ..........................................................................

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sroberts on DSK5SPTVN1PROD with RULES

TABLE 2 TO § 13.121(e)—Continued
Tankship and tank barge course topics

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2

3

4

General arrangement of cargo tanks ...............................................................................................................
Venting and vapor-control systems ..................................................................................................................
Cargo-handling systems, including:
Piping systems, valves, pumps, and expansion systems ................................................................................
Operating characteristics ..................................................................................................................................
Instrumentation systems, including:
Cargo-level indicators .......................................................................................................................................
Gas-detecting systems .....................................................................................................................................
Temperature-monitoring systems, cargo ..........................................................................................................
Temperature-monitoring systems, hull .............................................................................................................
Automatic-shutdown systems ...........................................................................................................................
AuXiliary systems, including:
Ventilation, inerting ...........................................................................................................................................
Valves, including:
Quick-closing .............................................................................................................................................
Remote-control ..........................................................................................................................................
Pneumatic ..................................................................................................................................................
Excess-flow ...............................................................................................................................................
Safety-relief ...............................................................................................................................................
Pressure-vacuum ......................................................................................................................................
Heating-systems: cofferdams & ballast tanks ..................................................................................................
Operations connected with the loading and discharging of cargo, including:
Lining up the cargo and vapor-control systems ...............................................................................................
Pre-transfer inspections and completion of the Declaration of Inspection ......................................................
Hooking up of cargo hose, loading arms, and grounding-strap ......................................................................
Starting of liquid flow ........................................................................................................................................
Calculation of loading rates ..............................................................................................................................
Discussion of loading .......................................................................................................................................
Ballasting and deballasting ...............................................................................................................................
Topping off of the cargo tanks .........................................................................................................................
Discussion of discharging .................................................................................................................................
Stripping of the cargo tanks .............................................................................................................................
Monitoring of transfers ......................................................................................................................................
Gauging of cargo tanks ....................................................................................................................................
Disconnecting of cargo hoses or loading arms ................................................................................................
Cargo-tank-cleaning procedures and precautions ...........................................................................................
Slop arrangements ...........................................................................................................................................
Ship-to-ship transfers .......................................................................................................................................
Operating procedures and sequence for:
Inerting of cargo tanks and void spaces ..........................................................................................................
Cooldown and warmup of cargo tanks ............................................................................................................
Gas-freeing .......................................................................................................................................................
Loaded or ballasted voyages ...........................................................................................................................
Testing of cargo-tank atmospheres for oxygen & cargo vapor .......................................................................
Stability and stress considerations connected with loading and discharging of cargo ...........................................
Loadline, draft, and trim ...........................................................................................................................................
Disposal of boil-off, including:
System design ..................................................................................................................................................
Safety features .................................................................................................................................................
Stability-letter requirements .....................................................................................................................................
Emergency procedures, including notice to appropriate authorities, for:
Fire ....................................................................................................................................................................
Collision ............................................................................................................................................................
Grounding .........................................................................................................................................................
Equipment failure ..............................................................................................................................................
Leaks and spills ................................................................................................................................................
Structural failure ...............................................................................................................................................
Emergency discharge of cargo ........................................................................................................................
Entering cargo tanks ........................................................................................................................................
Emergency shutdown of cargo-handling ..........................................................................................................
Emergency systems for closing cargo tanks ...................................................................................................
Rules & regulations (international and Federal, for all tank vessels) on conducting operations and preventing
pollution ................................................................................................................................................................
Pollution prevention, including:
Procedures to prevent air and water pollution .................................................................................................
Measures to take in event of spillage ..............................................................................................................
Danger from drift of vapor cloud ......................................................................................................................
Environmental protection equipment, including oil discharge monitoring equipment ......................................
Terminology for tankships carrying oil and chemicals ............................................................................................
Terminology for tank barges carrying oil and chemicals ........................................................................................
Terminology for tankships carrying liquefied gases ................................................................................................
Terminology for tank barges carrying liquefied gases ............................................................................................

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
TABLE 2 TO § 13.121(e)—Continued
Tankship and tank barge course topics

1

2

3

4

Principles & procedures of crude-oil-washing (COW) systems, including:
Purpose ....................................................................................................................................................................
Equipment and design ......................................................................................................................................
Operations ........................................................................................................................................................
Safety precautions ............................................................................................................................................
Maintenance of plant and equipment ...............................................................................................................
Principles & procedures of the inert-gas systems (IGSs), including:
Purpose ............................................................................................................................................................
Equipment and design ......................................................................................................................................
Operations ........................................................................................................................................................
Safety precautions ............................................................................................................................................
Maintenance of plant and equipment ...............................................................................................................
Principles & procedures of vapor-control systems, including:
Purpose ............................................................................................................................................................
Principles ..........................................................................................................................................................
Coast Guard regulations ..................................................................................................................................
Hazards ............................................................................................................................................................
Active system components ...............................................................................................................................
Passive system components ............................................................................................................................
Operating procedures, including:
Testing and inspection requirements ...............................................................................................................
Pre-transfer procedures ....................................................................................................................................
Connecting sequence .......................................................................................................................................
Start-up sequence ............................................................................................................................................
Normal operations ............................................................................................................................................
Loading and unloading plans ...........................................................................................................................
Emergency procedures ............................................................................................................................................
Cargo-hazard-information systems ..........................................................................................................................
Safe entry into confined spaces, including:
Testing tank atmospheres for oxygen & hydrocarbon vapors .........................................................................
Definition and hazards of confined spaces ......................................................................................................
Cargo tanks and pumprooms ...........................................................................................................................
Evaluation and assessment of risks and hazards ...........................................................................................
Safety precautions and procedures .................................................................................................................
Enclosed space rescue ....................................................................................................................................
Personnel protective equipment (PPE) and clothing .......................................................................................
Maintenance of PPE .........................................................................................................................................
Dangers of skin contact ....................................................................................................................................
Inhalation of vapors ..........................................................................................................................................
Electricity and static electricity—hazards and precautions ..............................................................................
Emergency procedures ....................................................................................................................................
Federal regulations, national standards & industry guidelines ........................................................................
Inspections by marine chemists & competent persons, including hot-work permits & procedures ................
Vessel response plans:
Purpose, content, and location of information .................................................................................................
Procedures for notice and mitigation of spills ..................................................................................................
Geographic-specific appendices ......................................................................................................................
Vessel-specific appendices ..............................................................................................................................
Emergency-action checklist ..............................................................................................................................

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Column
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1—Tankship: Dangerous Liquids.
2—Tank Barge: Dangerous Liquids.
3—Tankship: Liquefied Gases.
4—Tank Barge: Liquefied Gases.

TABLE 3 TO § 13.121(e)

sroberts on DSK5SPTVN1PROD with RULES

Firefighting course topics
Elements of fire (Fire triangle):
Fuel ...............................................................................................................................................................................................
Source of ignition ..........................................................................................................................................................................
Oxygen .........................................................................................................................................................................................
Ignition sources (general):
Chemical .......................................................................................................................................................................................
Biological ......................................................................................................................................................................................
Physical ........................................................................................................................................................................................
Ignition sources applicable to barges ..................................................................................................................................................
Definitions of flammability and combustibility:
Flammability ..................................................................................................................................................................................
Ignition point .................................................................................................................................................................................
Burning temperature .....................................................................................................................................................................

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sroberts on DSK5SPTVN1PROD with RULES

TABLE 3 TO § 13.121(e)—Continued
Firefighting course topics

1

2

Burning speed ..............................................................................................................................................................................
Thermal value ...............................................................................................................................................................................
Lower flammable limit ...................................................................................................................................................................
Upper flammable limit ...................................................................................................................................................................
Flammable range ..........................................................................................................................................................................
Inerting ..........................................................................................................................................................................................
Static electricity .............................................................................................................................................................................
Flash point ....................................................................................................................................................................................
Auto-ignition ..................................................................................................................................................................................
Spread of fire:
By radiation ...................................................................................................................................................................................
By convection ...............................................................................................................................................................................
By conduction ...............................................................................................................................................................................
Reactivity .............................................................................................................................................................................................
Fire classifications and applicable extinguishing agents .....................................................................................................................
Main causes of fires:
Oil leakage ....................................................................................................................................................................................
Smoking ........................................................................................................................................................................................
Overheating pumps ......................................................................................................................................................................
Galley appliances .........................................................................................................................................................................
Spontaneous ignition ....................................................................................................................................................................
Hot work .......................................................................................................................................................................................
Electrical apparatus ......................................................................................................................................................................
Reaction, self-heating, and auto-ignition ......................................................................................................................................
Fire prevention:
General .........................................................................................................................................................................................
Fire hazards of DL and LG ..........................................................................................................................................................
Fire detection:
Fire- and smoke-detection systems .............................................................................................................................................
Automatic fire alarms ....................................................................................................................................................................
Firefighting equipment:
Fire mains, hydrants .....................................................................................................................................................................
International shore-connection .....................................................................................................................................................
Smothering-installations, carbon dioxide (CO2), foam * * * ........................................................................................................
Pressure-water spray system in special-category spaces ...........................................................................................................
Automatic sprinkler system ..........................................................................................................................................................
Emergency fire pump, emergency generator ...............................................................................................................................
Chemical-powder applicants ........................................................................................................................................................
General outline of required and mobile apparatus ......................................................................................................................
Fireman’s outfit, personal equipment ...........................................................................................................................................
Breathing apparatus .....................................................................................................................................................................
Resuscitation apparatus ...............................................................................................................................................................
Smoke helmet or mask ................................................................................................................................................................
Fireproof life-line and harness ......................................................................................................................................................
Fire hose, nozzles, connections, and fire axes ............................................................................................................................
Fire blankets .................................................................................................................................................................................
Portable fire extinguishers ............................................................................................................................................................
Limitations of portable and semiportable extinguishers ...............................................................................................................
Emergency procedures:
Arrangements:
Escape routes .......................................................................................................................................................................
Means of gas-freeing tanks ...................................................................................................................................................
Class A, B, and C divisions ..................................................................................................................................................
Inert-gas system ....................................................................................................................................................................
Ship firefighting organization:
General alarms ......................................................................................................................................................................
Fire-control plans, muster stations, and duties .....................................................................................................................
Communications ....................................................................................................................................................................
Periodic shipboard drills ........................................................................................................................................................
Patrol system .........................................................................................................................................................................
Basic firefighting techniques:
Sounding alarm .....................................................................................................................................................................
Locating and isolating fires ...................................................................................................................................................
Stopping leakage of cargo ....................................................................................................................................................
Jettisoning .............................................................................................................................................................................
Inhibiting ................................................................................................................................................................................
Cooling ..................................................................................................................................................................................
Smothering ............................................................................................................................................................................
Sizing up situation .................................................................................................................................................................
Locating information on cargo ...............................................................................................................................................
Extinguishing .........................................................................................................................................................................
Extinguishing with portable units ...........................................................................................................................................

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TABLE 3 TO § 13.121(e)—Continued
Firefighting course topics

1

2

Setting reflash watch .............................................................................................................................................................
Using additional personnel ....................................................................................................................................................
Firefighting extinguishing-agents:
Water (solid jet, spray, fog, and flooding) .............................................................................................................................
Foam (high, medium and low expansion) .............................................................................................................................
Carbon dioxide (CO2) ............................................................................................................................................................
Aqueous-film-forming foam (AFFF) .......................................................................................................................................
Dry chemicals ........................................................................................................................................................................
Use of extinguisher on:
Flammable and combustible liquids ......................................................................................................................................
Manifold-flange fire ................................................................................................................................................................
Drip-pan fire ...........................................................................................................................................................................
Pump fire ...............................................................................................................................................................................
Drills for typical fires on barges ....................................................................................................................................................
Field exercises:
Extinguish small fires using portable extinguishers:
Electrical ................................................................................................................................................................................
Manifold-flange ......................................................................................................................................................................
Drip-pan .................................................................................................................................................................................
Pump .....................................................................................................................................................................................
Use self-contained breathing apparatus (SCBA) ..................................................................................................................
Extinguish extensive fires with water ....................................................................................................................................
Extinguish fires with foam, or chemical ................................................................................................................................
Fight fire in smoke-filled enclosed space wearing SCBA .....................................................................................................
Extinguish fire with water fog in an enclosed space with heavy smoke ..............................................................................
Extinguish oil fire with fog applicator and spray nozzles, dry-chemical, or foam applicators ..............................................
Effect a rescue in a smoke-filled space while wearing breathing apparatus .......................................................................

X
X

X
X

..........
..........
X
..........
X

X
X
X
X
X

X
X
X
X
X

X
X
X
X
..........

X
X
X
X
..........
..........
..........
..........
..........
..........
..........

X
X
X
X
X
X
X
X
X
X
X

Column 1—tankerman-PIC (barge).
Column 2—tankerman-PIC, tankerman-engineer, and tankerman-assistant.
§ 13.123

[Amended]

44. In § 13.123, remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’; remove the text ‘‘%’’ and add,
in its place, the word ‘‘percent’’; and
remove the word ‘‘five’’ and add, in its
place, the number ‘‘5’’.

■

§ 13.125

[Amended]

45. In § 13.125, remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’; and after the words ‘‘physical
requirements of’’, remove the words
‘‘§ 10.215 of this chapter, excluding
paragraph (d)(2) of that section’’ and
add, in their place, the words ‘‘part 10,
subpart C, of this chapter’’.
■ 46. Amend § 13.127 as follows:
■ a. Revise paragraph (a) to read as set
forth below;
■ b. In paragraph (b) introductory text,
remove the words ‘‘paragraph (a)(2)’’
and add, in their place, the words
‘‘paragraph (a)(3)’’;
■ c. In paragraphs (b)(2) and (b)(5),
remove the word ‘‘four’’ and add, in its
place, the number ‘‘4’’;
■ d. In paragraph (b)(4), after the word
‘‘one discharge’’, remove the word ‘‘a’’
and add, in its place, the words
‘‘conducted during each’’;
■ f. In paragraph (b)(6), remove the word
‘‘cargo’’ wherever it appears;
■ g. In paragraph (b)(7), after the words
‘‘Declaration of Inspection, the
connection of’’, remove the word

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■

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‘‘cargo’’; and after the words ‘‘the start
of the’’, remove the word ‘‘cargo’’;
■ h. In paragraph (b)(9), remove the
words ‘‘§ 13.203(b) or 13.303(b)’’ and
add, in their place, the words
‘‘§§ 13.203(b) or 13.303(b) of this
subchapter’’; and
■ i. Add new paragraph (c) to read as
follows:
§ 13.127

Service: General.

(a) A service letter must be signed by
the owner, operator, master, or chief
engineer of the vessel and must specify
the following:
(1) The name of the vessel, official
number for the vessel, and date of
service for each vessel.
(2) For endorsements as tankermanPIC, tankerman-PIC (barge), and
tankerman-assistant, the classification of
cargo (DL, LG, or, for a restricted
endorsement, a specific product)
handled while the applicant
accumulated the service.
(3) The dates, the numbers and kinds
of transfers the applicants have
participated in, the ports or terminals, if
applicable, and the number of transfers
that involved commencement or
completion of loading or discharge.
(4) For endorsements as tankermanPIC or tankerman-PIC (barge), that the
applicant has demonstrated to the
satisfaction of the signer that he or she
is fully capable of supervising transfers
of liquid cargo, including—

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(i) Pre-transfer inspection;
(ii) Pre-transfer conference and
execution of the Declaration of
Inspection;
(iii) Connection of cargo hoses or
loading-arms;
(iv) Line-up of the cargo system for
loading and discharge;
(v) Start of liquid flow during loading;
(vi) Start of cargo pump and increase
of pressure to normal discharge
pressure;
(vii) Calculation of loading-rates;
(viii) Monitoring;
(ix) Topping-off of cargo tanks during
loading;
(x) Stripping of cargo tanks;
(xi) Ballasting and deballasting, if
appropriate;
(xii) Disconnection of the cargo hoses
or loading-arms; and
(xiii) Securing of cargo systems.
(5) For endorsements as tankermanengineer, that the applicant has
demonstrated to the satisfaction of the
signer that he or she is fully capable of
supervising transfers of fuel oil,
including—
(i) Pre-transfer inspection;
(ii) Pre-transfer conference and
execution of the Declaration of
Inspection;
(iii) Connection of hoses or loadingarms;
(iv) Line-up of the piping system for
loading and transfer of fuel oil;
(v) Start of liquid flow during loading;

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aggregate tonnage of 1,600 GRT or more
will be creditable on a case-by-case
basis and with prior authorization by
the Coast Guard, provided the ATB
equipment is comparable to tank vessel
equipment. The Coast Guard may issue
blanket authorizations for classes of
ATBs.

(vi) Calculation of loading rates;
(vii) Monitoring;
(viii) Topping-off of tanks during
loading;
(ix) Disconnection of the hoses or
loading arms; and
(x) Securing of fuel oil systems.
*
*
*
*
*
(c) Service on Articulated Tug Barges
(ATBs). Service on ATBs with an

■

§ 13.129 Quick-reference table for
tankerman endorsements.

Table 1 to § 13.129 provides a guide
to the requirements for various
tankerman endorsements. Provisions in
the reference sections are controlling.

47. Revise § 13.129 to read as follows:

TABLE 1 TO § 13.129
Category

Minimum age

Physical required

Service

Recency of
service

Proof of
service

Firefighting

Cargo
training

Tankerman-PIC Subpart B
Tankerman-PIC (Barge)
Subpart C.
Tankerman-Assistant Subpart D.
Tankerman-Engineer Subpart E.
Restricted Tankerman-PIC
Restricted Tankerman-PIC
(Barge).
Restricted Tankerman-PIC
(Barge), Facility.

18; 13.201(a) .....
18; 13.301(a) .....

Yes; Part 10, subpart C ...
Yes; Part 10, subpart C ...

13.203 ........
13.303 ........

13.123 ........
13.123 ........

13.205 ........
13.305 ........

13.201(c)(3)
13.301(c)(3)

13.201(c)(4)
13.301(c)(4)

13.201(d).
13.301(d).

18; 13.401(a) .....

Yes; Part 10, subpart C ...

13.401(e)(2)

13.123 ........

13.405 ........

13.401(d) ....

13.401(e)(1)

13.401(f).

18; 13.501(a) .....

Yes; Part 10, subpart C ...

13.503 ........

13.123 ........

13.505 ........

13.501(c)(3)

13.501(c)(4)

13.501(d).

18; 13.111(b) .....
18; 13.111(c) .....

Yes; Part 10, subpart C ...
Yes; Part 10, subpart C ...

13.111(b) ....
13.111(c) ....

13.111(b) ....
13.111(c) ....

13.111(b) ....
13.111(c) ....

13.111(b) ....
13.111(c) ....

No ...............
No ...............

13.111(b).
13.111(c).

18; 13.111(d)(1)

Yes; Part 10, subpart C ...

13.111(d)(4)

No ...............

13.111(d)(4)

No ...............

No ...............

13.111(d)(5).

48. Revise the heading for subpart B
to read as follows:

■

Subpart B—Requirements for
Tankerman-PIC Endorsement
■

49. Revise § 13.201 to read as follows:

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§ 13.201 Original application for
tankerman-PIC endorsement.

Each applicant for an original
tankerman-PIC endorsement must—
(a) Be at least 18 years old;
(b) Apply on a form provided by the
Coast Guard;
(c) Present evidence of—
(1) Passing a physical and medical
examination in accordance with
§ 13.125 of this part;
(2) Service on tankships in
accordance with § 13.203 of this
subpart;
(3) Completion of an approved
firefighting course that provides training
in the subjects listed in Table 1 to
§ 13.121(g) of this part completed within
5 years of the date of application for the
endorsement, unless he or she has
previously submitted such a certificate
for a license, tankerman endorsement,
or officer endorsement on an MMC; and
(4) Completion of an approved course
for Tankship: Dangerous Liquids or
Tankship: Liquefied Gases appropriate
to the endorsement applied for within
the previous 5 years. A course certificate
used for original issuance or renewal of
an endorsement cannot be used for a
subsequent renewal of the same
endorsement; and
(d) Be capable of speaking and
understanding, in English, all
instructions needed to commence,

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conduct, and complete a transfer of
cargo, and be capable of reading and
understanding the English language
found in the Declaration of Inspection,
vessel response plans, and Material
Safety Data Sheet.
■ 50. Amend § 13.203 as follows:
■ a. Revise the section heading to read
as set forth below;
■ b. In the introductory text, remove the
words ‘‘‘‘Tankerman-PIC’’’’ and add, in
their place, the words ‘‘tankerman-PIC’’;
and remove the word ‘‘shall’’ and add,
in its place, the word ‘‘must’’;
■ c. In paragraph (a), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’; and
■ d. In paragraphs (b) introductory text
and (c) introductory text, remove the
word ‘‘shall’’ and add, in its place, the
word ‘‘must’’; and remove the words
‘‘‘‘Tankerman-PIC’’’’ and add, in their
place, the words ‘‘tankerman-PIC’’.
§ 13.203

Service requirements.

*

*
*
*
*
■ 51. Amend § 13.205 as follows:
■ a. Revise the section heading to read
as set forth below; and
■ b. In the introductory text, remove the
words ‘‘Service must be proved by’’ and
add, in their place, the words ‘‘Proof of
service must be provided in’’.
§ 13.205 Proof of service for tankermanPIC endorsement.

*

*

§ 13.207
■

*

*

[Removed]

52. Remove § 13.207.

§ 13.209
■

*

[Removed]

53. Remove § 13.209.

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English
language

54. Revise the heading for subpart C
to read as follows:

■

Subpart C—Requirements for
Tankerman-PIC (Barge) Endorsement
■

55. Revise § 13.301 to read as follows:

§ 13.301 Original application for
tankerman-PIC (barge) endorsement.

Each applicant for a tankerman-PIC
(barge) endorsement must—
(a) Be at least 18 years old;
(b) Apply on a form provided by the
Coast Guard;
(c) Present evidence of—
(1) Passing a physical and medical
examination according to § 13.125 of
this part;
(2) Service on tank vessels in
accordance with § 13.303 of this
subpart;
(3) Completion of an approved Tank
Barge: Firefighting course providing
training in the subjects identified in
Table 1 to § 13.121(g) of this part
completed within 5 years of the date of
application for the endorsement, unless
he or she has previously submitted such
a certificate for a license, tankerman
endorsement, or officer endorsement on
an MMC; and
(4) Completion of an approved Tank
Barge: Dangerous Liquids or Tank Barge:
Liquefied Gases course appropriate for
the endorsement applied for within the
previous 5 years. A course certificate
used for original issuance or renewal of
an endorsement cannot be used for a
subsequent renewal of the same
endorsement; and
(d) Be capable of speaking, and
understanding, in English, all

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instructions needed to commence,
conduct, and complete a transfer of
cargo, and be capable of reading and
understanding the English language
found in the Declaration of Inspection,
vessel response plans, and Material
Safety Data Sheet.
■ 56. Amend § 13.303 as follows:
■ a. Revise the section heading to read
as set forth below;
■ b. In the introductory text, remove the
words ‘‘‘‘Tankerman-PIC (Barge)’’’’ and
add, in their place, the words
‘‘tankerman-PIC (barge)’’; and remove
the word ‘‘shall’’ and add, in its place,
the word ‘‘must’’;
■ c. In paragraph (a) introductory text,
remove the word ‘‘shall’’ and add, in its
place, the word ‘‘must’’;
■ d. In paragraph (b) introductory text,
remove the words ‘‘‘‘Tankerman-PIC’’ or
‘‘Tankerman-PIC (barge),’’’’ and add, in
their place, the words ‘‘tankerman-PIC
or tankerman-PIC (barge),’’; and
■ e. In paragraph (c) introductory text,
remove the words ‘‘‘‘Tankerman-PIC
(Barge)’’’’ and add, in their place, the
words ‘‘tankerman-PIC (barge)’’; and
remove the word ‘‘shall’’ and add, in its
place, the word ‘‘must’’.
§ 13.303

Service requirements.

*

*
*
*
*
■ 57. Amend § 13.305 as follows:
■ a. Revise the section heading to read
as set forth below; and
■ b. Remove the words ‘‘Service must be
proved by’’ and add, in their place, the
words ‘‘Proof of service must be
provided in’’; and remove the words
‘‘paragraph (a)(3)(vii)’’ and add, in their
place, the words ‘‘paragraph (a)(4)(vii)’’.
§ 13.305 Proof of service for tankermanPIC (barge).

*

*

§ 13.307
■

*

*

*

[Removed]

58. Remove § 13.307.

§ 13.309

[Removed]

59. Remove § 13.309.
■ 60. Revise the heading for subpart D
to read as follows:
■

61. Revise § 13.401 to read as follows:

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§ 13.401 Original application for
tankerman-assistant endorsement.

Each applicant for a tankermanassistant endorsement must—
(a) Be at least 18 years old;
(b) Apply on a form provided by the
Coast Guard;
(c) Present evidence of passing a
physical and medical examination
according to § 13.125 of this part;

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§ 13.403

Service requirements.

(a) Each applicant already holding an
MMD or MMC endorsed tankermanassistant for DL and seeking one for LG,
or the converse, must—
(1) Provide evidence of at least half
the service required in § 13.401(e)(2) of
this subpart and successfully complete
a professional examination for the
topics identified in Table 1 to
§ 13.121(e) of this part appropriate to
the endorsement applied for; or
(2) Complete a course in DL or LG
appropriate to the endorsement applied
for as prescribed in § 13.401(e)(1) of this
subpart.
(b) [Reserved]
■ 63. Revise § 13.405 to read as follows:
§ 13.405 Proof of service for tankermanassistant endorsement.

Subpart D—Requirements for
Tankerman-Assistant Endorsement
■

(d) Present evidence of completion of
an approved firefighting course
providing training in the subjects
identified in Table 1 to § 13.121(g) of
this part completed within 5 years of the
date of application for the endorsement,
unless he or she has previously
submitted such a certificate for a
license, tankerman endorsement, or
officer endorsement on an MMC;
(e) Present evidence of either—
(1) Completion of an approved
Tankship Familiarization course
providing training in the subjects
identified in Table 1 to § 13.121(e) of
this part within the previous 5 years. A
course certificate used for original
issuance or renewal of an endorsement
cannot be used for a subsequent renewal
of the same endorsement; or
(2) At least 90 days of deck service on
tankships or self-propelled tank vessels
certified to carry DL or LG appropriate
to the endorsement applied for and
successfully complete a professional
examination for the topics identified in
Table 1 to § 13.121(e) of this part; and
(f) Be capable of speaking and
understanding, in English, all
instructions needed to commence,
conduct, and complete a transfer of
cargo.
■ 62. Revise § 13.403 to read as follows:

Service must be proved by either—
(a) A letter on company letterhead
from the owner, operator, or master of
a tankship or self-propelled tank vessel.
The letter must specify—
(1) The name of the vessel(s), the
applicable dates, and the port(s) or
terminal(s);
(2) The classification of cargo (DL or
LG) carried while the applicant
accumulated the service;
(3) The number of days of deck
service the applicant accumulated on
the tankship or self-propelled tank
vessel; and

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(4) That the applicant has
demonstrated an understanding of cargo
transfer and a sense of responsibility
that, in the opinion of the signer, will
allow the applicant to safely carry out
duties respecting cargo transfer and
transfer equipment assigned by the PIC
of the transfer without direct
supervision by the PIC; or
(b) Certificates of Discharge from
tankships with the appropriate
classification of cargo (DL, LG, or both);
and a letter on company letterhead from
the owner, operator, or master of one of
the tankships or self-propelled tank
vessels stating that he or she has
demonstrated—
(1) An understanding of cargo
transfers; and
(2) A sense of responsibility that, in
the opinion of the signer, will allow him
or her to safely carry out duties
respecting cargo and its equipment
assigned by the PIC of the transfer
without direct supervision by the PIC.
§ 13.407
■

[Removed]

64. Remove § 13.407.

§ 13.409

[Removed]

65. Remove § 13.409.
■ 66. Revise the heading for subpart E
to read as follows:
■

Subpart E—Requirements for
Tankerman-Engineer Endorsement
■

67. Revise § 13.501 to read as follows:

§ 13.501 Original application for
tankerman-engineer endorsement.

Each applicant for a tankermanengineer endorsement must—
(a) Be at least 18 years old;
(b) Apply on a form provided by the
Coast Guard;
(c) Present evidence of—
(1) Passing a physical and medical
examination according to § 13.125 of
this part;
(2) Service on tankships and selfpropelled tank vessels in accordance
with § 13.503 of this subpart;
(3) Completion of an approved
firefighting course providing training in
the subjects identified in Table 1 to
§ 13.121(g) of this part completed within
5 years of the date of application for the
endorsement, unless he or she has
previously submitted such a certificate
for a license, tankerman endorsement,
or officer endorsement on an MMC; and
(4) Completion of an approved
Tankship course in dangerous liquids or
liquefied gases, appropriate for the
endorsement applied for within the
previous 5 years. A course certificate
used for original issuance or renewal of
an endorsement cannot be used for a

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subsequent renewal of the same
endorsement; and
(d) Be capable of speaking and
understanding, in English, all
instructions needed to commence,
conduct, and complete a transfer of
cargo or fuel.
■ 68. Amend § 13.503 as follows:
■ a. Revise the section heading to read
as set forth below;
■ b. In paragraph (a) introductory text,
remove the words ‘‘TankermanEngineer’’ and add, in their place, the
words ‘‘tankerman-engineer’’; and
remove the word ‘‘shall’’ and add, in its
place, the word ‘‘must’’; and
■ c. In paragraph (b), remove the words
‘‘Tankerman-Engineer’’ and add, in their
place, the words ‘‘tankerman-engineer’’;
after the words ‘‘and seeking’’, remove
the word ‘‘one’’ and add, in its place,
the words ‘‘an endorsement’’, and after
the words ‘‘or the converse,’’, remove
the word ‘‘shall’’ and add, in its place,
the word ‘‘must’’.
§ 13.503

Service requirements.

*

*
*
*
*
■ 69. Amend § 13.505 by revising the
section heading to read as follows:
§ 13.505 Proof of service for tankermanengineer endorsement.

*

*

§ 13.507
■

*

*

*

[Removed]

70. Remove § 13.507

§ 13.509

[Removed]

71. Remove § 13.509
72. Add new subpart F, consisting of
§§ 13.601 through 13.611, to read as
follows:

■
■

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Subpart F—Requirements for STCW
Tankerman Endorsements
Sec.
13.601 General.
13.603 Requirements to qualify for an
STCW endorsement for advanced oil
tanker cargo operations.
13.605 Requirements to qualify for an
STCW endorsement for advanced
chemical tanker cargo operations.
13.607 Requirements to qualify for an
STCW endorsement for advanced
liquefied gas tanker cargo operations.
13.609 Requirements to qualify for an
STCW endorsement for basic oil and
chemical tanker cargo operations.
13.611 Requirements to qualify for an
STCW endorsement for basic liquefied
gas tanker cargo operations.

Subpart F—Requirements for STCW
Tankerman Endorsements
§ 13.601

General.

(a) When all tankerman endorsements
are issued, renewed, or otherwise
modified, the Coast Guard will

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determine, upon request, whether the
applicant meets the requirements for an
STCW tankerman endorsement for
service on seagoing vessels. If the
applicant is qualified, the Coast Guard
will issue the appropriate endorsement.
An applicant for any STCW
endorsement must hold the appropriate
national endorsement unless otherwise
specified.
(b) Applicants for an STCW
tankerman endorsement must—
(1) Meet the training and service
requirements for the endorsement
sought; and
(2) Meet the appropriate standard of
competence identified in the STCW
Code (incorporated by reference, see
§ 13.103 of this part).
(c) The Coast Guard will accept the
following as proof of meeting the
standards of competence:
(1) In-service experience:
Documentation of successful
completion of assessments, approved or
accepted by the Coast Guard, and signed
by a qualified assessor, deck or
engineering, as appropriate.
(2) Training ship experience:
Documentation of successful
completion of an approved training
program involving formal training and
assessment onboard a school ship.
(3) Simulator training: Documentation
of successful completion of training and
assessment from a Coast Guardapproved course involving maritime
simulation.
(4) Training program: Documentation
of successful completion of an approved
training program involving formal
training and assessments.
(d) The Coast Guard will publish
guidelines that should be used to
document successful demonstrations of
competence. Organizations may develop
alternative assessment documentation
for demonstrations of competence ;
however, such documentation must be
approved by the Coast Guard prior to its
use and submittal with an application.
§ 13.603 Requirements to qualify for an
STCW endorsement for advanced oil tanker
cargo operations.

(a) Every applicant for an
endorsement in advanced oil tanker
cargo operations must—
(1) Qualify for a national endorsement
as tankerman-PIC dangerous liquid;
(2) Meet the standards of competence
identified in Table A–V/1–1–2 of the
STCW Code (incorporated by reference,
see § 13.103 of this part); and
(3) Provide evidence of 90 days of sea
service onboard oil tankers. The Coast
Guard will accept service submitted to
qualify for a national endorsement as
required in § 13.203 of this part,

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77997

provided that the service was on oil
tankers.
(b) Applicants may qualify for an
endorsement in advanced oil tanker
cargo operations with a limitation to
non-self-propelled vessels. To qualify
for this endorsement, an applicant
must—
(1) Hold a national endorsement as
tankerman-PIC (barge) dangerous
liquids;
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–1–2 of the STCW Code;
and
(3) Provide evidence of at least 90
days of service, whether shore-based or
vessel-based, on one or more oil tankers.
The Coast Guard will accept service
submitted to qualify for a national
endorsement required in § 13.303 of this
part, provided that the service was on
oil tankers.
(c) Applicants may qualify for an
endorsement in advanced oil tanker
cargo operations with a limitation to
maintenance and repair of cargo
equipment. To qualify for this
endorsement, an applicant must—
(1) Qualify for a national endorsement
as tankerman-engineer;
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–1–2 of the STCW Code
applicable to maintenance and repair of
cargo equipment; and
(3) Provide evidence of—
(i) At least 90 days of service as an
engineering officer on oil tankers;
(ii) At least 90 days of rating or cadet
service on deck or in the engine
department on oil tankers; or
(iii) A combination of the service in
paragraphs (c)(3)(i) and (c)(3)(ii) of this
section.
(d) Applicants holding an
endorsement in advanced chemical
tanker cargo operations or advanced
liquefied gas tanker cargo operations
may qualify for an endorsement in
advanced oil tanker cargo operations by
completing, in a supernumerary
capacity, an approved training program
onboard oil tankers. The program must
be at least 1 month and include at least
three loading and three discharge
operations.
(e) Grandfathering. Seafarers holding
valid tankerman-PIC dangerous liquid,
tankerman-PIC (barge) dangerous liquid,
or tankerman-engineer endorsements
issued prior to March 24, 2014, will be
issued STCW endorsements for
advanced oil and chemical tanker cargo
operations, with any appropriate
limitations, without meeting the
requirements of this section. Seafarers
holding an endorsement as tankermanPIC (barge) dangerous liquid, and

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

holding an advanced oil tanker cargo
operations endorsement issued on or
before March 24, 2014, will be limited
to non-self-propelled vessels. Seafarers
holding an endorsement as tankermanengineer, and holding an advanced oil
tanker cargo operations endorsement
issued on or before March 24, 2014, will
be limited to maintenance and repair of
cargo equipment. After March 24, 2014,
all seafarers applying for an original
endorsement in advanced oil tanker
cargo operations must meet the
requirements of this section.

sroberts on DSK5SPTVN1PROD with RULES

§ 13.605 Requirements to qualify for an
STCW endorsement for advanced chemical
tanker cargo operations.

(a) Every applicant for an
endorsement in advanced chemical
tanker cargo operations must:
(1) Qualify for a national endorsement
as tankerman-PIC dangerous liquid;
(2) Meet the standards of competence
identified in Table A–V/1–1–3 of the
STCW Code (incorporated by reference,
see § 13.103 of this part); and
(3) Provide evidence of 90 days of sea
service onboard chemical tankers. The
Coast Guard will accept service
submitted to qualify for a national
endorsement as required in § 13.203 of
this part, provided that the service was
on chemical tankers.
(b) Applicants may qualify for an
endorsement in advanced chemical
tanker cargo operations with a
limitation to non-self-propelled vessels.
To qualify for this endorsement, an
applicant must:
(1) Qualify for a national endorsement
as tankerman-PIC (barge) dangerous
liquid;
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–1–3 of the STCW Code;
and
(3) Provide evidence of at least 90
days of service, whether shore-based or
vessel-based, on chemical tankers. The
Coast Guard will accept service
submitted to qualify for a national
endorsement as required in § 13.303 of
this part, provided that the service was
on chemical tankers.
(c) Applicants may qualify for an
endorsement in advanced chemical
tanker cargo operations with a
limitation to maintenance and repair of
cargo equipment. To qualify for this
endorsement, an applicant must:
(1) Qualify for a national endorsement
as tankerman-engineer;
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–1–3 of the STCW Code
applicable to maintenance and repair of
cargo equipment; and
(3) Provide evidence of—

VerDate Mar<15>2010

17:20 Dec 23, 2013

Jkt 232001

(i) At least 90 days of service as an
engineering officer on chemical tankers;
(ii) At least 90 days of rating or cadet
service on deck or in the engine
department on chemical tankers; or
(iii) A combination of the service in
paragraphs (c)(3)(i) and (c)(3)(ii) of this
section.
(d) Applicants holding an
endorsement in advanced oil tanker
cargo operations or advanced liquefied
gas tanker cargo operations may qualify
for an endorsement in advanced
chemical tanker cargo operations by
completing, in a supernumerary
capacity, an approved training program
onboard chemical tankers. The program
must be at least 1 month and include at
least three loading and three discharge
operations.
(e) Grandfathering. Seafarers holding
valid tankerman-PIC dangerous liquid,
tankerman-PIC (barge) dangerous liquid,
or tankerman-engineer endorsements
issued prior to March 24, 2014 will be
issued STCW endorsements for
advanced oil and chemical tanker cargo
operations, with any appropriate
limitations, without meeting the
requirements of this section. Seafarers
holding an endorsement as tankermanPIC (barge) dangerous liquid, and
holding an advanced chemical tanker
cargo operations endorsement issued on
or before March 24, 2014, will be
limited to non-self-propelled vessels.
Seafarers holding an endorsement as
tankerman-engineer, and holding an
advanced chemical tanker cargo
operations endorsement issued on or
before March 24, 2014, will be limited
to maintenance and repair of cargo
equipment. After March 24, 2014, all
seafarers applying for an original
endorsement in advanced chemical
tanker cargo operations must meet the
requirements of this section.
§ 13.607 Requirements to qualify for an
STCW endorsement for advanced liquefied
gas tanker cargo operations.

(a) Every applicant for an
endorsement in advanced liquefied gas
tanker cargo operations must:
(1) Qualify for a national endorsement
as tankerman-PIC liquefied gas;
(2) Meet the standards of competence
identified in Tables A–V/1–2–2 of the
STCW Code (incorporated by reference,
see § 13.103 of this part); and
(3) Provide evidence of 90 days of
service on liquefied gas tankers. The
Coast Guard will accept service
submitted to qualify for a national
endorsement as required in § 13.203 of
this part, provided that the service was
on liquefied gas tankers.
(b) Applicants may qualify for an
endorsement in advanced liquefied gas

PO 00000

Frm 00204

Fmt 4701

Sfmt 4700

tanker cargo operations with a
limitation to non-self-propelled vessels.
To qualify for this endorsement, an
applicant must:
(1) Qualify for a national endorsement
as tankerman-PIC (barge) liquefied gas;
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–2–2 of the STCW Code;
and
(3) Provide evidence of at least 90
days of service, whether shore-based or
vessel-based, on liquefied gas tankers.
The Coast Guard will accept service
submitted to qualify for a national
endorsement as required in § 13.303 of
this part, provided that the service was
on liquefied gas tankers.
(c) Applicants may qualify for an
endorsement in advanced liquefied gas
tanker cargo operations with a
limitation to maintenance and repair of
cargo equipment. To qualify for this
endorsement, an applicant must:
(1) Qualify for a national endorsement
as tankerman-engineer;
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–2–2 of the STCW Code
applicable to maintenance and repair of
cargo equipment; and
(3) Provide evidence of—
(i) At least 90 days of service as an
engineering officer on liquefied gas
tankers;
(ii) At least 90 days of rating or cadet
service on deck or in the engine
department on liquefied gas tankers; or
(iii) A combination of the service in
paragraphs (c)(3)(i) and (c)(3)(ii) of this
section.
(d) Applicants holding an
endorsement in advanced oil tanker
cargo operations or advanced chemical
tanker cargo operations may qualify for
an endorsement in advanced liquefied
gas tanker cargo operations by
completing, in a supernumerary
capacity, an approved training program
onboard liquefied gas tankers. The
program must be at least 1 month and
include at least three loading and three
discharge operations.
(e) Grandfathering. Seafarers holding
valid tankerman-PIC liquefied gas,
tankerman-PIC (barge) liquefied gas, or
tankerman-engineer endorsements
issued prior to March 24, 2014, will be
issued an STCW endorsement for
advanced liquefied gas tanker cargo
operations, with any appropriate
limitations, without meeting the
requirements of paragraph (a) of this
section. Seafarers holding an
endorsement as tankerman-PIC (barge)
liquefied gas, and holding an advanced
liquefied gas tanker cargo operations
endorsement issued on or before March
24, 2014, will be limited to non-self-

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
propelled vessels. Seafarers holding an
endorsement as tankerman-engineer,
and holding an advanced liquefied gas
tanker cargo operations endorsement
issued on or before March 24, 2014, will
be limited to maintenance and repair of
cargo equipment. After March 24, 2014,
all seafarers applying for an original
endorsement in advanced liquefied gas
tanker operations must meet the
requirements of this section.

(a) Every applicant for an
endorsement in basic oil and chemical
tanker operations must:
(1) Qualify for a national endorsement
as tankerman-assistant dangerous
liquid; and
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–1–1 of the STCW Code
(incorporated by reference, see § 13.103
of this part).
(b) Grandfathering. Seafarers holding
a valid tankerman-assistant dangerous
liquid or tankerman-engineer
endorsement issued prior to March 24,
2014 will be issued an STCW
endorsement for basic oil and chemical
tanker cargo operations without meeting
the requirements of paragraph (a) of this
section. After March 24, 2014, all
seafarers applying for an original
endorsement in basic oil and chemical
tanker operations must meet the
requirements of this section.

sroberts on DSK5SPTVN1PROD with RULES

§ 13.611 Requirements to qualify for an
STCW endorsement for basic liquefied gas
tanker cargo operations.

(a) Every applicant for an
endorsement in basic liquefied gas
tanker operations must:
(1) Qualify for a national endorsement
as tankerman-assistant liquefied gas;
and
(2) Provide evidence of meeting the
standards of competence identified in
Table A–V/1–2–1 of the STCW Code
(incorporated by reference, see § 13.103
of this part).
(b) Grandfathering. Seafarers holding
a valid tankerman-assistant liquefied gas
or tankerman-engineer endorsement
issued prior to March 24, 2014, will be
issued an STCW endorsement for basic
liquefied gas tanker cargo operations
without meeting the requirements of
paragraph (a) of this section. After
March 24, 2014, all seafarers applying
for an original endorsement in basic
liquefied gas tanker operations must
meet the requirements of this section.

17:20 Dec 23, 2013

Jkt 232001

73. The authority citation for part 14
continues to read as follows:

■

Authority: 5 U.S.C. 552; 46 U.S.C.
Chapters 103 and 104; 46 U.S.C. 70105.
§ 14.201

[Amended]

74. Amend § 14.201 as follows:
a. In paragraph (a), remove the word
‘‘shall’’ wherever it appears and add, in
its place, the word ‘‘must’’; and
■ b. In paragraph (b), after the words
‘‘Except as provided by § 14.203’’, add
the words ‘‘of this subpart’’; and remove
the words ‘‘gross tons’’ wherever they
appear and add, in their place, the word
‘‘GRT’’.
■

§ 14.205

75. In § 14.205, remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’.
■ 76. Revise § 14.207 to read as follows:
§ 14.207 Content and form of shipping
articles.

(a)(1) The content and form of
shipping articles for each vessel of the
United States of 100 GRT or more upon
a foreign or intercoastal voyage must
comply with the requirements of 46
U.S.C. 10302, 10303, 10304, and 10305.
The articles must identify the nature of
the voyage and specify at least the
name, license, MMD or MMC number,
capacity of service, time due onboard to
begin work, name and address of the
next of kin, and wages due to each
merchant mariner, either who was
discharged or whose services were
otherwise terminated during the month.
(2) The content and form of articles
for each such vessel upon a coastwise
voyage (including a voyage on the Great
Lakes) must also comply with the
requirements of 46 U.S.C. 10502. The
articles must specify at least the matter
identified by paragraph (a)(1) of this
section, except that they must not
specify the wages due to the mariner.
The wages section of the form must be
left blank for coastwise voyages.
(b) Any shipping company that
manually prepares the articles may,
upon request, obtain a form from the
Coast Guard.
(c) Any company that electronically
prepares the articles may develop its
own software or buy it off the shelf; but,
in either of these cases, it must secure
approval to use the software for these
purposes from the National Maritime
Center at any of the addresses provided
in § 14.103 of this part.

Frm 00205

Fmt 4701

§ 14.211

[Amended]

78. In § 14.211, remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’.
■ 79. Amend § 14.213 as follows:
■ a. In paragraph (a), remove the word
‘‘shall’’ wherever it appears, and add, in
its place, the word ‘‘must’’;
■ b. Revise paragraph (b) to read as set
forth below; and
■ c. In paragraph (c), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’.
■

§ 14.213 Report of shipment of merchant
mariner.

*

[Amended]

■

PO 00000

[Amended]

77. In § 14.209, remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’.

■

■

§ 13.609 Requirements to qualify for an
STCW endorsement for basic oil and
chemical tanker cargo operations.

VerDate Mar<15>2010

§ 14.209

PART 14—SHIPMENT AND
DISCHARGE OF MERCHANT
MARINERS

77999

Sfmt 4700

*
*
*
*
(b) When a vessel of the United States
sails exclusively on the Great Lakes—
(1) Each master or individual in
charge must, at the commencement of
the season, or once the vessel is put into
service, whichever occurs earlier, send
one copy of articles, signed by the
master and by each mariner, to the
owner, charterer, or managing operator;
(2) The master or individual in charge
must every 60 days send supplementary
particulars of engagement covering each
mariner engaged during this period,
signed by the master and by each
mariner, to the owner, charterer, or
managing operator; and
(3) The master or individual in charge
must, at the close of the season, or once
the vessel is withdrawn from service,
whichever occurs later, send articles,
signed by the master and by each
mariner, to the owner, charterer, or
managing operator.
*
*
*
*
*
§ 14.301

[Amended]

80. In § 14.301, remove the word
‘‘shall’’ wherever it appears and add, in
its place, the word ‘‘must’’.

■

§ 14.303

[Amended]

81. In § 14.303, remove the words ‘‘the
master shall’’ and add, in their place,
the words ‘‘the master must’’; and
remove the words ‘‘the consular officer
shall’’ and add, in their place, the words
‘‘the consular officer will’’.

■

§ 14.305

[Amended]

82. In § 14.305, remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’.
■ 83. Amend § 14.307 as follows:
■ a. Revise paragraph (a) to read as set
forth below; and
■ b. In paragraphs (b) through (e),
remove the word ‘‘shall’’ wherever it
■

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations

appears and add, in its place, the word
‘‘must’’.
§ 14.307 Entries on certificate of
discharge.

(a) Each master or individual in
charge of a vessel must, for each
merchant mariner being discharged
from the vessel, prepare a certificate of
discharge and two copies, whether by
writing or typing them on the prescribed
form with permanent ink or generating
them from computer in the prescribed
format, and must sign them with
permanent ink. The prescribed format
for a certificate of discharge is the same
as the current form CG–718A. The form
has the mariner’s printed name,
signature, citizenship, MMD or MMC
number, certification statement, date,
master’s signature, rate/rank the mariner
is serving on the voyage, date and place
of shipment, date and place of
discharge, name of the vessel, name of
the operating company, official number
of the vessel, class of the vessel, and
nature of the voyage.
*
*
*
*
*
§ 14.309

[Amended]

84. Amend § 14.309 as follows:
a. In paragraph (a) introductory text,
remove the word ‘‘shall’’ and add, in its
place, the word ‘‘must’’;
■ b. In paragraph (a)(3), after the word
‘‘certificate’’, add the words ‘‘of
discharge’’; and
■ c. In paragraph (b), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’.
■
■

§ 14.311

[Amended]

85. Amend § 14.311 as follows:
a. In paragraph (a), remove the word
‘‘shall’’ and add, in its place, the word
‘‘may; after the words ‘‘certificates of
discharge to’’, remove the word ‘‘an’’
and add, in its place, the word ‘‘the’’;
and remove the words ‘‘which the
shipping company may request from the
National Maritime Center’’ and add, in
their place, the words ‘‘provided by the
Coast Guard in § 14.103 of this part’’;
and
■ b. In paragraph (b), remove the word
‘‘shall’’ wherever it appears and add, in
its place, the word ‘‘must’’.
■ 86. Amend § 14.313 as follows:
■ a. In paragraphs (a) and (b), remove
the word ‘‘shall’’ wherever it appears
and add, in its place, the word ‘‘must’’;
■ b. Redesignate paragraph (c) as
paragraph (d); and
■ c. Add new paragraph (c) to read as
follows:

sroberts on DSK5SPTVN1PROD with RULES

■
■

§ 14.313 Storage of shipping articles and
of certificates of discharge.

*

*

*

VerDate Mar<15>2010

*

§ 14.403

Jkt 232001

[Amended]

87. Amend § 14.403 as follows:
a. In paragraph (a) introductory text,
remove the words ‘‘Department of
Transportation’’ and add, in their place,
the words ‘‘Department of Homeland
Security’’; and
■ b. In paragraph (a)(2), remove the
word ‘‘shall’’ and add, in its place, the
word ‘‘must’’.
■
■

§ 14.405

[Amended]

88. Amend § 14.405 as follows:
a. In paragraph (a), remove the words
‘‘OCMI of the Coast Guard’’ and add, in
their place, the words ‘‘Coast Guard
OCMI’’;
■ b. In paragraph (c), remove the word
‘‘OCMI’’ wherever it appears; and
remove the word ‘‘shall’’ and add, in its
place, the word ‘‘must’’; and
■ c. In paragraph (d), before the word
‘‘OCMI’’, wherever it appears, add the
words ‘‘Coast Guard’’; and remove the
word ‘‘shall’’ and add, in its place, the
word ‘‘must’’.
■ 89. Amend § 14.407 as follows:
■ a. In paragraph (a), remove the words
‘‘gross tons’’ and add, in their place, the
word ‘‘GRT’’; remove the word ‘‘shall’’
wherever it appears and add, in its
place, the word ‘‘must’’; and after the
words ‘‘in the form of a copy of a
certificate of discharge, or
electronically’’, add the words ‘‘to the
address provided in § 14.103 of this
part’’;
■ b. In paragraph (b), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’; after the words ‘‘a copy of each
certificate’’, add the words ‘‘of
discharge’’; remove the words ‘‘After
January 3, 1997, the’’ and add, in their
place, the word ‘‘The’’; and after the
words ‘‘copies of certificates’’, add the
words ‘‘of discharge’’;
■ c. In paragraph (c), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’; and after the words ‘‘on a
certificate’’, add the words ‘‘of
discharge’’;
■ d. Revise paragraph (d) to read as set
forth below;
■ e. In paragraph (e), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’; and
■ f. Add new paragraph (f) to read as
follows:
■
■

§ 14.407

*

*

17:20 Dec 23, 2013

(c) Articles sent for storage to the
address in § 14.103(a) of this part that
are not prepared in accordance with
paragraph (a) of this section may be
returned to the shipping company for
correction.
*
*
*
*
*

PO 00000

*

Reports.

*

Frm 00206

*

Fmt 4701

*

Sfmt 4700

(d) Each oceanographic company
must keep all original articles and
copies of all certificates of discharge for
3 years. After 3 years the company must
prepare the original shipping articles in
alphabetical order by vessel name and
send to the address in § 14.103(a) of this
part for storage at the Federal Records
Center at Suitland, Maryland. The
company may dispose of the copies of
certificates of discharge. The Coast
Guard will dispose of copies of
certificates submitted manually, once
the information is entered into its seaservice database and is validated.
*
*
*
*
*
(f) Articles sent for storage to the
address in § 14.103(a) of this part that
are not prepared in accordance with
paragraph (d) of this section may be
returned to the company for correction.
PART 15—MANNING REQUIREMENTS
90. The authority citation for part 15
continues to read as follows:

■

Authority: 44 U.S.C. 3507; 46 U.S.C. 2101,
2103, 3306, 3703, 8101, 8102, 8104, 8105,
8301, 8304, 8502, 8503, 8701, 8702, 8901,
8902, 8903, 8904, 8905(b), 8906, 9102, and
8103; and Department of Homeland Security
Delegation No. 0170.1.
§ 15.101

[Amended]

91. In § 15.101, remove the words ‘‘the
regulations in’’; and remove the words
‘‘parts E & F,’’.
■ 92. Revise § 15.103 to read as follows:
■

§ 15.103

Incorporation by reference.

(a) Certain material is incorporated by
reference into this part with the
approval of the Director of the Federal
Register under 5 U.S.C. 552(a) and 1
CFR part 51. To enforce any edition
other than that specified in this section,
the Coast Guard must publish notice of
change in the Federal Register and the
material must be available to the public.
All approved material is available for
inspection at the Coast Guard, Office of
Operating and Environmental Standards
(CG–OES), 2703 Martin Luther King
Avenue SE. Stop 7509, Washington, DC
20593–7509, 202–372–1405, and is
available from the sources listed below.
It is also available for inspection at the
National Archives and Records
Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030,
or go to http://www.archives.gov/
federal_register/code_of_federal_
regulations/ibr_locations.html.
(b) International Maritime
Organization (IMO), 4 Albert
Embankment, London, SE1 7SR
England:

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
(1) The International Convention on
Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, as
amended, 2011 (STCW Convention),
incorporation by reference approved for
§§ 15.403, 15.404, 15.1103, 15.1105, and
15.1109.
(2) The Seafarers’ Training,
Certification and Watchkeeping Code, as
amended, 2011 (STCW Code),
incorporation by reference approved for
§ 15.1109.
(3) The International Convention for
the Safety of Life at Sea, 1974 (SOLAS),
approved for incorporation by reference
in §§ 15.818 and 15.1103.
■ 93. Revise § 15.105 to read as follows:

sroberts on DSK5SPTVN1PROD with RULES

§ 15.105

General.

(a) The regulations in this part apply
to all vessels that are subject to the
manning requirements contained in the
navigation and shipping laws of the
United States, including uninspected
vessels (46 U.S.C. 7101–9308).
(b) The navigation and shipping laws
state that a vessel may not be operated
unless certain manning requirements
are met. In addition to establishing a
minimum number of officers and rated
crew to be carried onboard certain
vessels, they establish minimum
qualifications concerning licenses and
MMC endorsements, citizenship, and
conditions of employment. It is the
responsibility of the owner, charterer,
managing operator, master, or person in
charge or in command of the vessel to
ensure that appropriate personnel are
carried to meet the requirements of the
applicable navigation and shipping laws
and regulations.
(c) Inspected vessels are issued a
Certificate of Inspection (COI) which
indicates the minimum complement of
officers and crew (including
lifeboatmen) considered necessary for
safe operation. The COI complements
the statutory requirements but does not
supersede them.
(d) Uninspected vessels operating on
an international voyage may be issued a
safe manning certificate indicating the
minimum complement of qualified
mariners necessary for safe operation.
(e) The regulations in subpart K of
this part apply to seagoing vessels
subject to the International Convention
on Standards of Training, Certification
and Watchkeeping for Seafarers, 1978,
as amended (STCW).
(f) Persons serving on any of the
following vessels, or any owner or
operator of any of these vessels, do not
need to meet the requirements of
subpart K of this part, because the
vessels are exempt from application of
STCW:

VerDate Mar<15>2010

17:20 Dec 23, 2013

Jkt 232001

(1) Fishing vessels as defined in 46
U.S.C. 2101(11)(a).
(2) Fishing vessels used as fish-tender
vessels as defined in 46 U.S.C.
2101(11)(c).
(3) Barges as defined in 46 U.S.C. 102,
including non-self-propelled mobile
offshore drilling units.
(4) Vessels operating exclusively on
the Great Lakes or on the inland waters
of the U.S. in the Straits of Juan de Fuca
or on the Inside Passage between Puget
Sound and Cape Spencer.
(5) Pilot vessels engaged on pilotage
duty.
(g) Owners and operators, and
personnel serving on the following
small vessels engaged exclusively on
domestic, near-coastal voyages are in
compliance with subpart K of this part
and are, therefore, not subject to further
requirements for the purposes of the
STCW Convention:
(1) Small passenger vessels subject to
subchapter T or K of 46 CFR chapter I.
(2) Vessels of less than 200 GRT, other
than passenger vessels subject to
subchapter H of 46 CFR chapter I.
(3) Uninspected passenger vessels
(UPVs) as defined in 46 U.S.C.
2101(42)(B).
(h) Personnel serving on vessels
identified in paragraphs (g)(1) and (g)(2)
of this section may be issued, without
additional proof of qualification, an
appropriate STCW endorsement on their
license or MMC when the Coast Guard
determines that such an endorsement is
necessary to enable the vessel to engage
on a single international voyage of a
non-routine nature. The STCW
endorsement will be expressly limited
to service on the vessel or the class of
vessels and will not establish
qualification for any other purpose.
Subparts C through J [Redesignated
as Subparts D through K]
94. Redesignate subparts C through J
as subparts D through K.

■

Subpart C [Added and reserved]
95. Add and reserve a new subpart C.
96. Revise newly redesignated subpart
D to read as follows:

■
■

Subpart D—Manning Requirements; All
Vessels
Sec.
15.401 Employment and service within
restrictions of credential.
15.403 When credentials for ratings are
required.
15.404 Requirements for serving onboard a
vessel.
15.405 Familiarity with vessel
characteristics.
15.410 Credentialed individuals for
assistance towing vessels.

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15.415

78001

[Reserved]

Subpart D—Manning Requirements;
All Vessels
§ 15.401 Employment and service within
restrictions of credential.

(a) A person may not employ or
engage an individual, and an individual
may not serve, in a position in which an
individual is required by law or
regulation to hold a license, certificate
of registry, Merchant Mariner’s
Document (MMD), Transportation
Worker Identification Credential (TWIC)
and/or Merchant Mariner Credential
(MMC), unless the individual holds all
credentials required, as appropriate,
authorizing service in the capacity in
which the individual is engaged or
employed, and the individual serves
within any restrictions placed on the
credential. An individual holding an
active license, certificate of registry,
MMD, or MMC issued by the Coast
Guard must also hold a valid TWIC
issued by the Transportation Security
Administration unless the individual is
exempt under 46 CFR 10.203(b)(1).
(b) A person may not employ or
engage an individual, and an individual
may not serve in a position in which it
is required by law or regulation that the
individual hold an MMC endorsed with
a national endorsement, as well as a
corresponding STCW endorsement for
service outside the boundary line.
(c) A person may not employ or
engage an individual in a position
required to hold an MMC unless that
individual maintains a current medical
certificate. Medical certificates must be
issued and will remain current for the
following periods of time, unless
otherwise noted on the certificate:
(1) After January 1, 2017, two years
for individuals serving on vessels to
which STCW applies unless the mariner
is under the age of 18, in which case the
maximum period of validity will be 1
year.
(2) Two years for individuals serving
as a first-class pilot or those individuals
serving as pilots on vessels of 1,600 GRT
or more under § 15.812 of this part.
(3) Five years for all other mariners.
(d) Each individual referred to in
paragraph (a) of this section must hold
an MMD or MMC that serves as
identification, with an appropriate
endorsement for the position in which
the seaman serves, and the MMD or
MMC, along with a valid medical
certificate, must be presented to the
master of the vessel at the time of
employment or before signing Articles
of Agreement.
(e) Each individual below the grades
of officer and staff officer employed on

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any U.S. flag merchant vessel of 100
GRT or more must possess a valid MMD
or MMC issued by the Coast Guard,
except as noted below:
(1) Mariners on vessels navigating
exclusively on rivers and lakes, except
the Great Lakes, as defined in § 10.107
of this subchapter.
(2) Mariners below the rank of officer
employed on any non-self-propelled
vessel, except seagoing barges and
barges to which 46 U.S.C. chapter 37
applies.
(3) Personnel not designated with any
safety or security duties onboard casino
vessels.
(f) Every person employed on a vessel
with dual tonnages (both domestic and
international) must hold a credential
authorizing service appropriate to the
tonnage scheme under which the vessel
is manned and operating.

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§ 15.403 When credentials for ratings are
required.

(a) Every seaman referred to in this
section, when required, must produce a
valid MMC or MMD with all applicable
rating endorsements for the position
sought, a valid TWIC unless the mariner
is exempt under 46 CFR 10.203(b)(2),
and a valid medical certificate to the
master of the vessel at the time of his
or her employment before signing
Articles of Agreement. Seamen who do
not possess one of these credentials may
be employed at a foreign port or place
within the limitations specified in
§ 15.720 of this part.
(b)(1) Every person below the grades
of officer and staff officer employed on
any U.S. flag merchant vessel of 100
GRT or more, except those navigating
rivers exclusively and the smaller
inland lakes, must possess a valid MMC
or MMD, along with a valid medical
certificate, with all appropriate
endorsements for the positions served.
(2) No endorsements are required of
any person below the rank of officer
employed on any barges except seagoing
barges and barges to which 46 U.S.C.
chapter 37 applies.
(3) No endorsements are required of
any person below the rank of officer
employed on any sail vessel of less than
500 net tons while not carrying
passengers for hire and while not
operating outside the line dividing
inland waters from the high seas. 33
U.S.C. 151.
(c) Each person serving as an able
seafarer-deck, or a rating forming part of
a navigational watch (RFPNW), on a
seagoing vessel of 500 GT or more must
hold an STCW endorsement certifying
him or her as qualified to perform the
navigational function at the support
level, in accordance with the STCW

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Convention (incorporated by reference,
see § 15.103 of this part).
(d) Each person serving as an able
seafarer-engine, or a rating forming part
of an engineering watch (RFPEW), on a
seagoing vessel driven by main
propulsion machinery of 1,000 HP/750
kW propulsion power or more must
hold an STCW endorsement certifying
him or her as qualified to perform the
marine-engineering function at the
support level, in accordance with the
STCW Convention.
(e) Notwithstanding any other rule in
this part, no person subject to this part
serving on any of the following vessels
needs an STCW endorsement:
(1) Vessels exempted from the
application of the STCW Convention,
including—
(i) Fishing vessels as defined in 46
U.S.C. 2101(11)(a);
(ii) Fishing vessels used as fish-tender
vessels as defined in 46 U.S.C.
2101(11)(c);
(iii) Barges as defined in 46 U.S.C.
102, including non-self-propelled
mobile offshore-drilling units;
(iv) Vessels operating exclusively on
the Great Lakes; or
(v) Pilot vessels engaged in pilotage
duty.
(2) Vessels not subject to any
obligation under the STCW Convention
due to their special operating conditions
as small vessels engaged in domestic,
near-coastal voyages, including—
(i) Small passenger vessels subject to
subchapter T or K of 46 CFR chapter I;
(ii) Vessels of less than 200 GRT
(other than passenger vessels subject to
subchapter H of 46 CFR) chapter I; or
(iii) Uninspected passenger vessels as
defined in 46 U.S.C. 2101(42)(B).
§ 15.404 Requirements for serving
onboard a vessel.

(a) Ratings Forming Part of a
Navigational Watch (RFPNW). Each
person serving as an RFPNW on a
seagoing vessel of 500 GT or more,
subject to the STCW Convention
(incorporated by reference, see § 15.103
of this part), must hold an STCW
endorsement attesting to his or her
qualifications to perform the
navigational function at the support
level.
(b) Able seaman. Each person serving
as a rating as able seaman on a U.S. flag
vessel must hold an MMC endorsed as
able seaman, except that no credential
as able seaman is required of any person
employed on any tug or towboat on the
bays and sounds connected directly
with the seas, or on any barges except
seagoing barges or tank barges. Each
person serving as an able seaman on a
seagoing vessel subject to the STCW

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Convention must also hold an STCW
endorsement as able seafarer-deck.
(c) Ratings Forming Part of an
Engineering Watch (RFPEW). Each
person serving as an RFPEW in a
manned engineroom or designated to
perform duties in a periodically
unmanned engineroom, on a seagoing
vessel driven by main propulsion
machinery of 1,000 HP/750 kW
propulsion power or more, must hold an
STCW endorsement attesting to his or
her qualifications to perform the
marine-engineering function at the
support level.
(d) Qualified Member of the Engine
Department (QMED). (1) The holder of
an MMD or MMC endorsed with one or
more QMED ratings may serve in any
unqualified rating in the engine
department without obtaining an
additional endorsement.
(2) A QMED may serve as a qualified
rating in the engine department only in
the specific ratings endorsed on his or
her MMD or MMC.
(3) Persons serving on vessels subject
to the STCW Convention as junior
engineer, pumpman/machinist, or
electrician/refrigeration engineer must
also hold an STCW endorsement as able
seafarer-engine.
(e) Lifeboatman. Every person
assigned duties as a lifeboatman must
hold a credential attesting to such
proficiency. Persons serving on vessels
subject to the STCW Convention must
also hold an STCW endorsement in
proficiency in survival craft and rescue
boats other than fast rescue boats (PSC).
(f) Lifeboatman-limited. Every person
assigned duties onboard a vessel that is
not required to carry lifeboats and is
required to employ a lifeboatman must
hold an endorsement as either
lifeboatman or lifeboatman-limited.
Persons serving on vessels subject to the
STCW Convention must also hold an
STCW endorsement in proficiency in
survival craft and rescue boats other
than lifeboats and fast rescue boats—
limited (PSC—limited).
(g) Fast rescue boats. Every person
engaged or employed in a position
requiring proficiency in fast rescue
boats must hold an endorsement
attesting to such proficiency.
(h) Entry level. Every person
employed in a rating other than able
seaman or QMED on a U.S. flag vessel
on which MMCs are required must hold
an MMD or MMC endorsed as wiper,
ordinary seaman, steward’s department,
or steward’s department (F.H.).
(i) Person in charge of medical care.
Every person designated to take charge
of medical care onboard vessels subject
to the STCW Convention must hold an

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
MMD or MMC endorsed as person in
charge of medical care.
(j) Medical first-aid provider. Every
person designated to provide medical
first aid onboard vessels subject to the
STCW Convention must hold an MMD
or MMC endorsed as medical first-aid
provider or a deck or engineer officer
endorsement.
(k) GMDSS radio operator or
maintainer. Every person responsible
for the operation or shipboard
maintenance of GMDSS radio
equipment onboard vessels subject to
the STCW Convention must hold an
MMD or MMC endorsed as GMDSS
radio operator or GMDSS radio
maintainer, as appropriate.
§ 15.405 Familiarity with vessel
characteristics.

Each credentialed crewmember must
become familiar with the relevant
characteristics of the vessel appropriate
to his or her duties and responsibilities
prior to assuming those duties and
responsibilities. As appropriate, these
may include, but are not limited to,
general arrangement of the vessel,
maneuvering characteristics, proper
operation of the installed navigation
equipment, proper operation of
firefighting and lifesaving equipment,
stability and loading characteristics,
emergency duties, and main propulsion
and auxiliary machinery, including
steering gear systems and controls.
§ 15.410 Credentialed individuals for
assistance towing vessels.

Every assistance towing vessel must
be under the direction and control of an
individual holding a license or MMC
authorizing him or her to engage in
assistance towing under the provisions
of § 11.482 of this subchapter.
§ 15.415

[Reserved]

§ 15.505

[Amended]

97. In § 15.505, remove the words
‘‘changes in manning as indicated’’ and
add, in their place, the words ‘‘changes
to the manning required’’; and remove
the words ‘‘certificate of inspection’’,
wherever they appear, and add, in their
place, the word ‘‘COI’’.

■

■

98. Revise § 15.515 to read as follows:

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§ 15.515 Compliance with certificate of
inspection.

(a) Except as provided by § 15.725 of
this part, no vessel may be navigated
unless it has in its service and onboard
the crew complement required by the
COI.
(b) Any time passengers are embarked
on a passenger vessel, the vessel must
have the crew complement required by

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the COI, whether the vessel is
underway, at anchor, made fast to shore,
or aground. However, the master may
allow reduced crew for limited or
special operating conditions subject to
the approval of the OCMI.
(c) No vessel subject to inspection
under 46 U.S.C. 3301 will be navigated
unless it is under the direction and
control of an individual who holds an
appropriate license or officer
endorsement on his or her MMC.
■

99. Revise § 15.520 to read as follows:

§ 15.520 Mobile offshore drilling units
(MODUs).

(a) The requirements in this section
for MODUs supplement other
requirements in this part.
(b) The OCMI determines the
minimum number of officers and crew
(including lifeboatmen) required for the
safe operation of inspected MODUs. In
addition to other factors listed in this
part, the specialized nature of the
MODU is considered in determining the
specific manning levels.
(c) A license or officer endorsement
on an MMC as offshore installation
manager (OIM), barge supervisor (BS),
or ballast control operator (BCO)
authorizes service only on MODUs. A
license or endorsement as OIM is
restricted to the MODU type and mode
of operation specified on the credential.
(d) When underway, a self-propelled
MODU, other than a drillship, must be
under the command of an individual
who holds a license as master endorsed
as OIM, or an MMC endorsed as master
and OIM. When not underway, such a
vessel must be under the command of
an individual holding the appropriate
OIM credential.
(e) A drillship must be under the
command of an individual who holds a
license or MMC officer endorsement as
master. When a drillship is on location,
or is maintaining its position with a
dynamic positioning system, the
individual in command must hold a
license as master endorsed as OIM or an
MMC with master and OIM officer
endorsements.
(f) A non-self-propelled MODU must
be under the command of an individual
who holds a license or MMC officer
endorsement as OIM.
(g) An individual serving as mate on
a self-propelled surface unit when
underway, other than a drillship, must
hold an appropriate license, or an MMC
endorsed as mate and BS or BCO. When
not underway, such a vessel may
substitute an individual holding the
appropriate BS or BCO endorsement for
the mate, if permitted by the cognizant
OCMI.

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78003

(h) An individual holding a license or
MMC officer endorsement as BS is
required on a non-self-propelled surface
unit other than a drillship.
(i) An individual holding a license or
MMC officer endorsement as BS may
serve as BCO.
(j) The OCMI issuing the MODU’s COI
may authorize the substitution of chief
or assistant engineer (MODU) for chief
or assistant engineer, respectively, on
self-propelled or propulsion-assisted
surface units, except drillships. The
OCMI may also authorize the
substitution of assistant engineer
(MODU) for assistant engineer on
drillships.
(k) Requirements in this part
concerning radar observers do not apply
to non-self-propelled MODUs.
(l) A surface MODU underway or on
location, when afloat and equipped with
a ballast control room, must have that
ballast control room manned by an
individual holding a license or MMC
officer endorsement authorizing service
as BCO.
100. Revise the heading in § 15.525 to
read as follows:

■

§ 15.525 Additional manning requirements
for tank vessels.

*

*
*
*
*
101. Revise § 15.530 to read as
follows:

■

§ 15.530

Large passenger vessels

(a) The owner or operator of a U.S.
flag large passenger vessel must ensure
that any non-resident alien holding a
Coast Guard-issued MMC described in
part 12, subpart H of this subchapter is
provided the rights, protections, and
benefits of the International Labor
Organization’s Merchant Shipping
(Minimum Standards) Convention of
1976.
(b) On U.S. flag large passenger
vessels, non-resident aliens holding a
Coast Guard-issued MMC described in
part 12, subpart H of this subchapter—
(1) May only be employed in the
steward’s department on the vessel(s)
specified on the MMC or accompanying
Coast Guard letter under § 12.811 of this
subchapter;
(2) May only be employed for an
aggregate period of 36 months of actual
service on all authorized U.S. flag large
passenger vessels combined, under
§ 12.811 of this subchapter;
(3) May not perform watchstanding,
engine room duty watch, or vessel
navigation functions, under § 12.811 of
this subchapter; and
(4) May perform emergency-related
duties only if, under § 12.811 of this
subchapter—

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(i) The emergency-related duties do
not require any other rating or
endorsement, except lifeboatman as
specified in § 12.811 of this subchapter;
(ii) The non-resident alien has
completed familiarization and basic
training, as required in § 15.1105 of this
part;
(iii) The non-resident alien, if serving
as a lifeboatman, has the necessary
lifeboatman’s endorsement; and
(iv) The non-resident alien has
completed the training for crewmembers
on passenger ships performing duties
involving safety or care for passengers,
as required in part 12, subpart J of this
subchapter.
(c) No more than 25 percent of the
total number of ratings on a U.S. flag
large passenger vessel may be aliens,
whether admitted to the United States
for permanent residence or authorized
for employment in the United States as
non-resident aliens.
(d) The owner or operator of a U.S.
flag large passenger vessel employing
non-resident aliens holding Coast
Guard-issued MMCs described in part
12, subpart H of this subchapter must—
(1) Retain custody of all non-resident
alien MMCs for the duration of
employment, under § 12.811 of this
subchapter; and
(2) Return all non-resident alien
MMCs to the Coast Guard upon
termination of employment, under
§ 12.811 of this subchapter.
(e) The owner or operator of a U.S.
flag large passenger vessel employing
non-resident aliens holding Coast
Guard-issued MMCs described in part
12, subpart H of this subchapter is
subject to the civil penalty provisions
specified in 46 U.S.C. 8103(f), for any
violation of this section.
102. Revise § 15.605 to read as
follows:

■

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§ 15.605 Credentialed operators for
uninspected passenger vessels.

Each uninspected passenger vessel
(UPV) must be under the direction and
control of an individual credentialed by
the Coast Guard, as follows:
(a) Every UPV of 100 GRT or more, as
defined by 46 U.S.C. 2101(42)(A), must
be under the command of an individual
holding a license or MMC endorsed as
master. When navigated, it must be
under the direction and control of a
credentialed master, pilot, or mate.
(b) Every self-propelled UPV as
defined by 46 U.S.C. 2101(42)(B) must
be under the direction and control of an
individual holding a license or MMC
endorsed as or equivalent to an operator
of an uninspected passenger vessel
(OUPV).

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(c) Personnel serving on UPVs
engaged on international voyages must
meet the requirements of subpart K of
this part.
■ 103. Amend § 15.610 as follows:
■ a. Revise paragraphs (a) and (b)(1) to
read as set forth below;
■ b. In paragraph (b) introductory text,
after the words ‘‘endorsement for that
route’’, remove the text ‘‘,’’ and add, in
its place, the word ‘‘or’’; after the words
‘‘for the Western Rivers, or’’, add the
word ‘‘who’’; and after the words
‘‘meets the requirements of paragraph
(a)’’, add the words ‘‘of this section’’;
and
■ c. In paragraph (b)(2), after the words
‘‘during hours of darkness, and’’, add
the words ‘‘provide evidence that’’; and
remove the words ‘‘round trip of the 12’’
and add, in their place, the words ‘‘of
the four roundtrips was’’.
§ 15.610 Master and mate (pilot) of towing
vessels.

(a) Except as provided in this
paragraph, every towing vessel of at
least 8 meters (26 feet) in length,
measured from end to end over the deck
(excluding sheer), must be under the
direction and control of a person
holding a license or MMC officer
endorsement as master or mate (pilot) of
towing vessels, or as master or mate of
vessels of greater than 200 GRT, holding
either an endorsement on his or her
license or MMC for towing vessels or a
completed Towing Officer Assessment
Record (TOAR) signed by a designated
examiner indicating that the officer is
proficient in the operation of towing
vessels. This requirement does not
apply to any vessel engaged in
assistance towing.
(b) * * *
(1) To operate a towing vessel with
tank barges, or a tow of barges carrying
hazardous materials regulated under
subchapters N or O of this chapter, an
officer in charge of the towing vessel
must have completed 12 roundtrips over
this route as an observer, with at least
three of those trips during hours of
darkness, and provide evidence that at
least one of the 12 roundtrips was
completed within the last 5 years.
*
*
*
*
*
§ 15.701

[Amended]

104. Amend § 15.701 as follows:
a. In paragraph (a) introductory text,
after the number ‘‘1936’’, add the words
‘‘(see 46 U.S.C. 8304)’’;
■ b. In paragraph (a)(3), remove the
comma symbol;
■ c. In paragraph (b), remove the word
‘‘chapter’’ and add, in its place, the
word ‘‘subchapter’’;
■
■

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d. In paragraph (c), after the words
‘‘foreign flag vessel to which the’’, add
the words ‘‘Officers Competency
Certificates’’; and
■ e. In paragraph (d), remove the word
‘‘five’’ and add, in its place, the number
‘‘5’’.
■ 105. Amend § 15.705 as follows:
■ a. In paragraph (a), remove the words
‘‘is the law applicable’’ and add, in their
place, the word ‘‘applies’’; remove the
word ‘‘watch’’ in the third sentence and
add, in its place, the word ‘‘‘‘watch’’’’;
and remove the words ‘‘certificate of
inspection’’ and add, in their place, the
word ‘‘COI or other safe manning
document’’;
■ b. Revise paragraph (b) to read as set
forth below;
■ c. In paragraph (c)(2), after the word
‘‘or’’, remove the text ‘‘,’’;
■ d. In paragraph (d), remove the words
‘‘26 feet’’ and add, in their place, the
words ‘‘8 meters (26 feet)’’; between the
number ‘‘24’’ and the word ‘‘hour’’, add
the text ‘‘-’’; and after the number
‘‘1936’’, add the words ‘‘(see 46 U.S.C.
8304)’’;
■ e. Revise paragraph (e) to read as set
forth below;
■ f. In paragraph (f) introductory text,
remove the words ‘‘gross tons’’ and add,
in their place, the word ‘‘GRT’’;
■ g. In paragraph (f)(1), after the words
‘‘remainder of that 24-hour period’’ add
the text ‘‘,’’; and
■ h. In paragraph (f)(2), after the words
‘‘in any 24-hour period’’ add the text
‘‘,’’.
■

§ 15.705

Watches.

*

*
*
*
*
(b) Subject to exceptions, 46 U.S.C.
8104 requires that when a master of a
seagoing vessel of more than 100 GRT
establishes watches for the officers,
sailors, coal passers, firemen, oilers, and
watertenders, ‘‘the personnel shall be
divided, when at sea, into at least three
watches and shall be kept on duty
successively to perform ordinary work
incidental to the operation and
management of the vessel.’’ Solely for
the purposes of this part, the Coast
Guard interprets ‘‘sailors’’ to mean those
members of the deck department other
than officers, whose duties involve the
mechanics of conducting the ship on its
voyage, such as helmsman (wheelsman),
lookout, etc., and which are necessary to
the maintenance of a continuous watch.
The term ‘‘sailors’’ is not interpreted to
include able seamen and ordinary
seamen not performing these duties.
*
*
*
*
*
(e) Fish processing vessels are subject
to various provisions of 46 U.S.C. 8104
concerning watches, including—

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(1) For fish processing vessels that
entered into service before January 1,
1988, the following watch requirements
apply to the officers and deck crew:
(i) If more than 5,000 GRT—three
watches.
(ii) If more than 1,600 GRT and not
more than 5,000 GRT—two watches.
(iii) If not more than 1,600 GRT—no
watch division specified; or
(2) For fish processing vessels that
entered into service after December 31,
1987, the following watch requirements
apply to the officers and deck crew:
(i) If more than 5,000 GRT—three
watches.
(ii) If not more than 5,000 GRT and
having more than 16 individuals
onboard, primarily employed in the
preparation of fish or fish products—
two watches.
(iii) If not more than 5,000 GRT and
having not more than 16 individuals
onboard, primarily employed in the
preparation of fish or fish products—no
watch division specified.
*
*
*
*
*

*
*
*
*
(e) Non-U.S.-credentialed officers
serving onboard vessels subject to
STCW must hold a ‘‘Certificate attesting
recognition’’ in accordance with part 11,
subpart J of this subchapter. A mariner
may serve for a period not to exceed 3
months onboard the vessel while the
Coast Guard is processing his or her
application for such a certificate.

a. In paragraph (a) introductory text,
remove the words ‘‘gross tons’’ and add,
in their place, the word ‘‘GRT’’;
■ b. In paragraph (a)(1), after the words
‘‘and lakes’’, remove the text ‘‘(’’; and
after the word ‘‘Lakes’’, remove the text
’’)’’;
■ c. In paragraph (a)(2), after the words
‘‘manned barge’’, remove the text ‘‘(’’;
and after the word ‘‘applies’’, remove
the text ’’)’’;
■ d. In paragraph (a)(6), remove the
words ‘‘1600 gross tons’’ and add, in
their place, the words ‘‘1,600 GRT’’;
remove the word ‘‘enters’’ and add, in
its place, the word ‘‘entered’’; remove
the words ‘‘on board’’ and add, in their
place, the word ‘‘onboard’’; after the
words ‘‘or fish products; and’’, remove
the text ‘‘,’’; and
■ e. In paragraph (b), remove the words
‘‘on board’’ wherever they appear and
add, in their place, the word ‘‘onboard’’.
■ 110. Amend § 15.805 as follows:
■ a. In paragraph (a) introductory text,
remove the second instance of the word
‘‘master’’;
■ b. In paragraph (a)(1), remove the
words ‘‘gross tons’’ and add, in their
place, the word ‘‘GRT’’;
■ c. In paragraphs (a)(2) and (a)(3), after
the word ‘‘vessel’’, remove the text ‘‘.’’
and add, in its place, the text ‘‘;’’;
■ d. In paragraph (a)(4), after the word
‘‘vessel’’, remove the text ‘‘.’’ and add,
in its place, the words ‘‘; and’’;
■ e. In paragraph (a)(5) introductory
text, before the words ‘‘26 feet’’ remove
the words ‘‘at least’’; remove the words
‘‘under the’’ and add, in their place, the
word ‘‘in’’; and remove the words ‘‘gross
register tons (GRT)’’ and add, in their
place, the word ‘‘GRT’’;
■ f. In paragraph (a)(5)(ii), remove the
words ‘‘with officer endorsement for’’
and add, in their place, the words
‘‘endorsed for master of’’;
■ g. In paragraph (a)(6), remove the
words ‘‘gross tons’’ and add, in their
place, the word ‘‘GRT’’;
■ h. Add new paragraph (a)(7) to read as
set forth below;
■ i. Redesignate paragraph (b) as
paragraph (c); and
■ j. Add new paragraph (b) to read as
follows:

§ 15.725

§ 15.805

§ 15.710

[Amended]

106. In § 15.710(c), remove the words
‘‘on board’’ and add, in their place, the
word ‘‘onboard’’.
■ 107. Amend § 15.720 as follows:
■ a. Revise the heading of § 15.720 to
read as set forth below;
■ b. In paragraph (d), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’; remove the words ‘‘which is
equivalent in’’ and add, in their place,
the words ‘‘that required’’; and after the
words ‘‘other qualifications’’, add the
word ‘‘equivalent’’; and
■ c. Add new paragraph (e) to read as
follows:
■

§ 15.720 Use of non-U.S.-credentialed
personnel.

*

■

[Amended]

108. In § 15.725, after the words ‘‘A
report of sailing short must be filed’’,
remove the words ‘‘in writing’’; remove
the words ‘‘Officer in Charge, Marine
Inspection (OCMI)’’ and add, in their
place, the word ‘‘OCMI’’; and remove
the word ‘‘twelve’’ and add, in its place,
the number ‘‘12’’.

sroberts on DSK5SPTVN1PROD with RULES

■

§ 15.730
■

[Amended]

109. Amend § 15.730 as follows:

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■

Master.

(a) * * *
(7) Every uninspected passenger
vessel engaged on an international
voyage.
(b) On vessels subject to STCW, the
individual meeting the requirement of
this section must also hold an STCW
endorsement as master with the
appropriate tonnage for the vessel
which he or she is operating, except as
noted in § 15.105(g) of this part for

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78005

vessels on domestic near-coastal
voyages.
*
*
*
*
*
■ 111. Amend § 15.810 as follows:
■ a. In paragraphs (b)(1) and (b)(2),
remove the words ‘‘1000 gross tons’’ and
add, in their place, the words ‘‘1,000
GRT’’;
■ b. In paragraph (b)(3), remove the
words ‘‘100 or more gross tons’’ and
add, in their place, the words ‘‘100 GRT
or more’’; remove the words ‘‘1000 gross
tons’’ and add, in their place, the words
‘‘1,000 GRT’’; and remove the words
‘‘200 gross tons’’ and add, in their place,
the words ‘‘200 GRT’’;
■ c. In paragraphs (b)(4) and (b)(5),
remove the words ‘‘100 gross tons’’ and
add, in their place, the words ‘‘100
GRT’’;
■ d. In paragraph (c), remove the words
‘‘200 gross tons’’ and add, in their place,
the words ‘‘200 GRT’’;
■ e. In paragraph (d) introductory text,
before the words ‘‘26 feet’’ remove the
words ‘‘at least’’;
■ f. In paragraph (d)(2)(i), remove the
words ‘‘Towing Officer’s Assessment
Record (TOAR)’’ and add, in their place,
the word ‘‘TOAR’’; and
■ g. Add new paragraph (g) to read as
follows:
§ 15.810

Mates.

*

*
*
*
*
(g) On vessels subject to STCW, the
individual meeting the requirement of
this section must also hold an STCW
endorsement as officer in charge of a
navigational watch with the appropriate
tonnage for the vessel which he or she
is operating, except as noted in § 15.105
(g) of this part for vessels on domestic
near-coastal voyages.
■ 112. Revise § 15.812 to read as
follows:
§ 15.812

Pilots.

(a) Except as specified in paragraph (f)
of this section, the following vessels, not
sailing on register, when underway on
the navigable waters of the United
States, must be under the direction and
control of an individual qualified to
serve as pilot under paragraph (b) or (c)
of this section, as appropriate:
(1) Coastwise seagoing vessels
propelled by machinery and subject to
inspection under 46 U.S.C. Chapter 33,
and coastwise seagoing tank barges
subject to inspection under 46 U.S.C.
Chapter 37.
(2) Vessels that are not authorized by
their COI to proceed beyond the
Boundary Line established in part 7 of
this chapter, are in excess of 1,600 GRT
propelled by machinery, and are subject
to inspection under 46 U.S.C. Chapter
33.

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(3) Vessels operating on the Great
Lakes, that are propelled by machinery
and subject to inspection under 46
U.S.C. Chapter 33, or are tank barges
subject to inspection under 46 U.S.C.
Chapter 37.
(b) The following individuals may
serve as a pilot on a vessel subject to
paragraph (a) of this section, when
underway on the navigable waters of the
United States that are designated areas:
(1) An individual holding a valid firstclass pilot’s license or MMC officer
endorsement as first-class pilot,
operating within the restrictions of his
or her credential, may serve as pilot on
any vessel to which this section applies.
(2) An individual holding a valid
license or MMC officer endorsement as
master or mate, employed aboard a
vessel within the restrictions of his or
her credential, may serve as pilot on a
vessel of not more than 1,600 GRT
propelled by machinery, described in
paragraphs (a)(1) and (a)(3) of this
section, provided he or she—
(i) Is at least 21 years old;
(ii) Is able to show current knowledge
of the waters to be navigated, as
required in § 11.713 of this subchapter;
and
(iii) Provides evidence of completing
a minimum of four roundtrips over the
route to be traversed while in the
wheelhouse as watchstander or

observer. At least one of the roundtrips
must be made during the hours of
darkness if the route is to be traversed
during darkness.
(3) An individual holding a valid
license or MMC officer endorsement as
master, mate, or operator employed
aboard a vessel within the restrictions of
his or her credential, may serve as pilot
on a tank barge or tank barges totaling
not more than 10,000 GRT/GT,
described in paragraphs (a)(1) and (a)(3)
of this section, provided he or she—
(i) Is at least 21 years old;
(ii) Is able to show current knowledge
of the waters to be navigated, as
required in § 11.713 of this subchapter;
(iii) Has a current physical
examination in accordance with the
provisions of § 11.709 of this
subchapter;
(iv) Has at least 6 months of service
in the deck department on towing
vessels engaged in towing operations;
and
(v) Provides evidence of completing a
minimum of 12 roundtrips over the
route to be traversed, as an observer or
under instruction in the wheelhouse. At
least three of the roundtrips must be
made during the hours of darkness if the
route is to be traversed during darkness.
(c) An individual holding a valid
license or MMC officer endorsement as
master, mate, or operator, employed

aboard a vessel within the restrictions of
his or her credential, may serve as a
pilot for a vessel subject to paragraphs
(a)(1) and (a)(2) of this section, when
underway on the navigable waters of the
United States that are not designated
areas of pilotage waters, provided he or
she—
(1) Is at least 21 years old;
(2) Is able to show current knowledge
of the waters to be navigated, as
required in § 11.713 of this subchapter;
and
(3) Has a current physical
examination in accordance with the
provisions of § 11.709 of this
subchapter.
(d) In any instance in which the
qualifications of a person satisfying the
requirements for pilotage through the
provisions of this subpart are
questioned by the Coast Guard, the
individual must, within a reasonable
time, provide the Coast Guard with
documentation proving compliance
with the applicable portions of
paragraphs (b) and (c) of this section.
(e) Federal pilotage requirements
contained in paragraphs (a) through (d)
of this section are summarized in the
following two quick reference tables:
(1) Table 1 to § 15.812(e)(1) provides
a guide to the pilotage requirements for
inspected, self-propelled vessels.

TABLE 1 TO § 15.812(e)(1)—QUICK REFERENCE TABLE FOR FEDERAL PILOTAGE REQUIREMENTS FOR U.S.–INSPECTED,
SELF-PROPELLED VESSELS, NOT SAILING ON REGISTER
Designated areas of pilotage waters (routes
for which First-Class Pilot’s licenses or MMC
officer endorsements are issued)

Non-designated areas of pilotage waters (between the 3-mile line and the start of traditional pilotage routes)

Inspected self-propelled vessels greater than
1,600 GRT, authorized by their COI to proceed beyond the Boundary Line, or operating
on the Great Lakes.

First-Class Pilot ................................................

Inspected self-propelled vessels not more than
1,600 GRT, authorized by their COI to proceed beyond the Boundary Line, or operating
on the Great Lakes.

First-Class Pilot, or Master or Mate may serve
as pilot if he or she—
1. Is at least 21 years old; ...............................
2. Maintains current knowledge of the waters
to be navigated; and1
3. Has four roundtrips over the route.2
First-Class Pilot ................................................

Master or Mate may serve as pilot if he or
she—
1. Is at least 21 years old;
2. Has an annual physical exam; and
3. Maintains current knowledge of the waters
to be navigated.1
Master or Mate may serve as pilot if he or
she—
1. Is at least 21 years old;
2. Has an annual physical exam; and
3. Maintains current knowledge of the waters
to be navigated.1
Master or Mate may serve as pilot if he or
she—
1. Is at least 21 years old;
2. Has an annual physical exam; and
3. Maintains current knowledge of the waters
to be navigated.1
No pilotage requirement.

sroberts on DSK5SPTVN1PROD with RULES

Inspected self-propelled vessels greater than
1,600 GRT, not authorized by their COI to
proceed beyond the Boundary Line (inland
route vessels); other than vessels operating
on the Great Lakes.
Inspected self-propelled vessels not more than
1,600 GRT, not authorized by their COI to
proceed beyond the Boundary Line (inland
route vessels); other than vessels operating
on the Great Lakes.

No pilotage requirement ..................................

1 One
2 If

roundtrip within the past 60 months.
the route is to be traversed during darkness, one of the four roundtrips must be made during darkness.

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78007

(2) Table 1 to § 15.812(e)(2) provides
a guide to the pilotage requirements for
tank barges.

TABLE 1 TO § 15.812(e)(2)—QUICK REFERENCE TABLE FOR FEDERAL PILOTAGE REQUIREMENTS FOR U.S.-INSPECTED
TANK BARGES, NOT SAILING ON REGISTER

Tank Barges greater than 10,000 GRT/GT, authorized by their COI to proceed beyond the
Boundary Line, or operating on the Great
Lakes.

Tank Barges 10,000 GRT/GT or less, authorized by their COI to proceed beyond the
Boundary Line, or operating on the Great
Lakes.

Tank Barges authorized by their COI for inland
routes only (lakes, bays, and sounds/rivers);
other than vessels operating on the Great
Lakes

Designated areas of pilotage waters (routes
for which First-Class Pilot’s licenses or MMC
officer endorsements are issued)

Non-designated areas of pilotage waters (between the 3-mile line and the start of traditional pilotage routes)

First-Class Pilot ................................................
Master, Mate, or Master, Mate (Pilot) of towing vessels may serve as pilot if he or she:.
1. Is at least 21 years old;
2. Has an annual physical exam;
3. Maintains current knowledge of the waters
to be navigated;1 and
4. Has at least 6 months’ service in the deck
department on towing vessels engaged in
towing
First-Class Pilot, or Master, Mate, or Master,
Mate (Pilot) of towing vessels may serve as
pilot if he or she:
1. Is at least 21 years old;
2. Has an annual physical exam; 2
3. Maintains current knowledge of the waters
to be navigated; 1
4. Has at least 6 months’ service in the deck
department on towing vessels engaged in
towing operations; and
5. Has 12 roundtrips over the route.3
No pilotage requirement ..................................

Master, Mate, or Master, Mate (Pilot) of towing vessels may serve as pilot if he or she:
1. Is at least 21 years old;
2. Has an annual physical exam; 2
3. Maintains current knowledge of the waters
to be navigated;1 and
4. Has at least 6 months’ service in the deck
department on towing vessels engaged in
towing operations

No pilotage requirement.

1 One

roundtrip within the past 60 months.
physical exam does not apply to an individual who will serve as a pilot of a tank barge of less than 1,600 GRT.
3 If the route is to be traversed during darkness, three of the 12 roundtrips must be made during darkness.

sroberts on DSK5SPTVN1PROD with RULES

2 Annual

(f) In Prince William Sound, Alaska,
coastwise seagoing vessels over 1,600
GRT and propelled by machinery and
subject to inspection under 46 U.S.C.
Chapter 37 must—
(1) When operating from 60°49′ north
latitude to the Port of Valdez, be under
the direction and control of an
individual holding a valid license or
MMC endorsed as pilot who—
(i) Is operating under the authority of
a license or MMC;
(ii) Holds a license issued by the State
of Alaska; and
(iii) Is not a crewmember of the
vessel; and
(2) Navigate with either two
credentialed deck officers on the bridge
or an individual holding a valid license
or MMC endorsed as pilot, when
operating south of 60°49′ north latitude
and in the approaches through
Hinchinbrook Entrance and in the area
bounded—
(i) On the West by a line 1 mile west
of the western boundary of the Traffic
Separation Scheme;
(ii) On the East by 146°00′ West
longitude;
(iii) On the North by 60°49′ North
latitude; and

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(iv) On the South by that area of
Hinchinbrook Entrance within the
territorial sea bounded by 60°07′ North
latitude and 146°31.5′ West longitude.
■ 113. Amend § 15.815 as follows:
■ a. In paragraph (a), remove the words
‘‘gross tons’’ and add, in their place, the
word ‘‘GRT’’; and remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’;
■ b. Revise paragraph (b) to read as set
forth below;
■ c. In paragraph (c), remove the words
‘‘on board’’ and add, in their place, the
word ‘‘onboard’’; and before the words
‘‘26 feet’’, remove the word
‘‘approximately’’;
■ d. In paragraph (d), remove the word
‘‘their’’ and add, in its place, the words
‘‘his or her’’; and
■ e. Revise paragraph (e) to read as
follows.
§ 15.815

Radar observers.

*

*
*
*
*
(b) Each person who is employed or
serves as pilot in accordance with
Federal law onboard radar-equipped
vessels of 300 GRT or over must hold an
endorsement as radar observer.
*
*
*
*
*

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(e) For this section, ‘‘readily
available’’ means that the
documentation must be provided to the
Coast Guard, or other appropriate
Federal agency, within 48 hours of a
request by the Coast Guard or other
agency. The documentation may be
provided by the individual, or his or her
company representative, electronically,
by facsimile, or physical copy.
■ 114. Add § 15.816 to read as follows:
§ 15.816 Automatic radar plotting aids
(ARPAs).

Every person in the required
complement of deck officers, including
the master, on seagoing vessels
equipped with automatic radar plotting
aids (ARPAs), except those vessels
listed in § 15.105(f) and (g) of this part,
must hold an appropriate STCW
endorsement valid for vessels equipped
with ARPA.
■ 115. Add § 15.817 to read as follows:
§ 15.817 Global Maritime Distress and
Safety System (GMDSS) radio operator.

Every person in the required
complement of deck officers, including
the master, on seagoing vessels
equipped with a GMDSS, except those

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vessels listed in § 15.105(f) and (g) of
this part, must provide evidence of a
valid STCW endorsement as GMDSS
radio operator.
■ 116. Add § 15.818 to read as follows:
§ 15.818 Global Maritime Distress and
Safety System (GMDSS) at-sea maintainer.

Every person employed or engaged to
maintain GMDSS equipment at sea,
when the service of a person so
designated is used to meet the
maintenance requirements of SOLAS
Regulation IV/15 (incorporated by
reference, see § 15.103 of this part),
must provide documentary evidence
that he or she is competent to maintain
GMDSS equipment at sea.
■ 117. Amend § 15.820 as follows:
■ a. In paragraph (a) introductory text,
remove the words ‘‘on board’’ and add,
in their place, the word ‘‘onboard’’; after
the words ‘‘the following’’, remove the
word ‘‘inspected’’; and after the words
‘‘mechanically propelled’’, add the word
‘‘inspected’’;
■ b. In paragraph (a)(1), remove the
words ‘‘200 gross tons and over.’’ and
add, in their place, the words ‘‘200 GRT
and over;’’;
■ c. In paragraph (a)(2), remove the
words ‘‘200 gross tons.’’ and add, in
their place, the words ‘‘200 GRT; and’’
■ d. In paragraph (a)(3), remove the
words ‘‘300 gross tons and over’’ and
add, in their place, the words ‘‘300 GRT
or more’’;
■ e. Redesignate paragraph (b) as
paragraph (c);
■ f. Add new paragraph (b) as set forth
below; and
■ g. In newly redesignated paragraph
(c), remove the words ‘‘gross tons or
over’’ and add, in their place, the words
‘‘GRT or more’’.
§ 15.820

Chief engineer.

§ 15.830

[Amended]

119. In § 15.830, after the word
‘‘requirements’’, add the words ‘‘as
found in 47 CFR part 13 and 47 CFR
part 80’’.
■ 120. Amend § 15.840 as follows:
■ a. In paragraph (a), remove the words
‘‘gross tons’’ and add, in their place, the
word ‘‘GRT’’; remove the word ‘‘1east’’
and add, in its place, the word ‘‘least’’;
and remove the words ‘‘two watch’’ and
add, in their place, the words ‘‘twowatch’’;
■ b. In paragraph (b), after the words
‘‘offshore supply vessel’’, add the word
‘‘(OSV)’’; and remove the word
‘‘chapter’’ and add, in its place, the
word ‘‘subchapter’’;
■ c. Redesignate paragraph (c) as new
paragraph (d);
■ d. Add new paragraph (c) as set forth
below; and
■ e. In newly redesignated paragraph
(d), after the words ‘‘person in charge’’,
add the word ‘‘(PIC)’’.
■

§ 15.840

Able seamen.

*

*
*
*
*
(b) On vessels subject to STCW, the
individual meeting the requirement of
this section must also hold an STCW
endorsement as chief engineer with the
appropriate propulsion power for the
vessel upon which he or she is
operating, except as noted in § 15.105(g)
of this part for vessels on domestic nearcoastal voyages.
*
*
*
*
*
■ 118. Revise § 15.825 as follows:

*
*
*
*
(c) On vessels subject to STCW, the
individual meeting the requirement of
this section must also hold an STCW
endorsement as ratings forming part of
a navigational watch or able seafarerdeck (according to § 15.404(a) and (b) of
this part), except as noted in § 15.105 (g)
of this part for vessels on domestic nearcoastal voyages.
*
*
*
*
*
■ 121. Revise § 15.845 to read as
follows:

§ 15.825

§ 15.845

*

sroberts on DSK5SPTVN1PROD with RULES

individual described in § 15.820 of this
subpart, must hold an appropriately
endorsed license or MMC authorizing
service as an assistant engineer.
(b) On vessels subject to STCW, the
individual meeting the requirement of
this section must also hold an STCW
endorsement as officer in charge of an
engineering watch with the appropriate
propulsion power for the vessel upon
which he or she is operating, except as
noted in § 15.105(g) of this part for
vessels on domestic near-coastal
voyages.
(c) The OCMI determines the
minimum number of credentialed
engineers required for the safe operation
of inspected vessels.

Engineers.

(a) An individual in charge of an
engineering watch on a mechanically
propelled, seagoing, documented vessel
of 200 GRT or more, other than an

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Lifeboatmen.

(a) The number of lifeboatmen
required for a vessel is specified in part
199 of this chapter; however, on vessels
not equipped with lifeboats, a

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lifeboatman may be replaced by a
lifeboatman-limited.
(b) On vessels subject to STCW, the
individual meeting the requirement of
this section must also hold an STCW
endorsement for proficiency in survival
craft, except as noted in § 15.105 (g) of
this part for vessels on domestic nearcoastal voyages.
■ 122. Revise § 15.850 to read as
follows:
§ 15.850

Lookouts.

(a) The requirements for the
maintenance of a proper lookout are
specified in Rule 5 of the International
Regulations for Preventing Collisions at
Sea, 1972 (33 U.S.C. 1602(c)), and Rule
5 of the Inland Navigational Rules Act
of 1980 (33 CFR part 83). Lookout is a
function to be performed by a member
of a navigational watch.
(b) On vessels subject to STCW, the
individual meeting the requirement of
this section must also hold at least an
STCW deck endorsement as rating
forming part of a navigational watch,
except as noted in § 15.105(g) of this
part for vessels on domestic near-coastal
voyages.
§ 15.855

[Amended]

123. Amend § 15.855 as follows:
a. In paragraph (a), remove the word
‘‘shall’’ and add, in its place, the word
‘‘must’’;
■ b. In paragraph (b), remove the words
‘‘gross tons’’ and add, in their place, the
word ‘‘GRT’’; and remove the words ‘‘on
board’’ and add, in their place, the word
‘‘onboard’’;
■ c. In paragraph (c) introductory text,
remove the words ‘‘gross tons’’ and add,
in their place, the word ‘‘GRT’’; and
■ d. In paragraph (c)(6), after the words
‘‘in accordance with § 15.705’’, add the
words ‘‘of this part’’.
■ 124. Revise § 15.860 to read as
follows:
■
■

§ 15.860

Tankerman.

(a) The OCMI enters on the COI
issued to each manned tank vessel
subject to the regulations in this chapter
the number of crewmembers required to
hold valid MMDs or MMCs with the
proper tankerman endorsement. Table 1
to § 15.860(a) of this section provides
the minimum requirements for
tankermen aboard manned tank vessels;
Table 2 to § 15.860(a) of this section
provides the tankerman endorsements
required for personnel aboard tankships.

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TABLE 1 TO § 15.860(a)—MINIMUM REQUIREMENTS FOR TANKERMEN ABOARD MANNED TANK VESSELS
Tank vessels

TankermanPIC

Tankerman
assistant

Tankship Certified for Voyages Beyond Boundary Line:
Over 5,000 GRT .......................................................................................
5,000 GRT or less ....................................................................................
Tankship Not Certified for Voyages Beyond Boundary Line ...........................
Tank Barge ......................................................................................................

2
2
22
........................

3
........................
........................
........................

TankermanPIC or
tankerman-PIC
(barge)

Tankerman
engineer

2
12

........................
........................

........................
........................
........................
32

1 If

only one engineer is required, then only one tankerman-engineer is required.
the total crew complement is one or two persons, then only one tankerman-PIC is required.
3 If the total crew complement is one or two persons, then only one tankerman-PIC or tankerman-PIC (barge) is required.
2 If

TABLE 2 TO 15.860(a)—TANKERMEN ENDORSEMENTS REQUIRED FOR PERSONNEL ABOARD TANKSHIPS

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[Endorsement for the classification of the bulk liquid cargo or residues carried]
Tankship certified for voyages beyond boundary line

TankermanPIC

Master ..............................................................................................................................
Chief Mate .......................................................................................................................
Chief Engineer .................................................................................................................
First Assistant Engineer ...................................................................................................
Cargo Engineer ................................................................................................................
Credentialed Officer Acting as PIC of Transfer of Liquid Cargo in Bulk .........................
Credentialed Officer or Crewmember Not Directly Supervised by PIC ..........................

X
X
X
X
X
X
........................

(b) For each tankship of more than
5,000 GRT certified for voyages beyond
the boundary line as described in part
7 of this chapter—
(1) At least two tankerman-PICs or
restricted tankerman-PICs must be
carried;
(2) At least three tankerman-assistants
must be carried; and
(3) At least two tankerman-engineers
must be carried.
(c) For each tankship of 5,000 GRT or
less certified for voyages beyond the
boundary line, as described in part 7 of
this chapter—
(1) At least two tankerman-PICs or
restricted tankerman-PICs must be
carried; and
(2) At least two tankerman-engineers
must be carried, unless only one
engineer is required, in which case at
least one tankerman-engineer must be
carried.
(d) For each tankship not certified for
voyages beyond the boundary line, as
described in part 7 of this chapter, if the
total crew complement is—
(1) One or two, at least one
tankerman-PIC or restricted tankermanPIC must be carried; or
(2) More than two, at least two
tankerman-PICs or restricted tankermanPICs must be carried.
(e) For each tank barge manned under
§ 31.15–5 of this chapter, if the total
crew complement is—
(1) One or two, at least one
tankerman-PIC, restricted tankermanPIC, tankerman-PIC (barge), or restricted

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tankerman-PIC (barge) must be carried;
or
(2) More than two, at least two
tankerman-PICs, restricted tankermanPICs, tankerman-PICs (barge), or
restricted tankerman-PICs (barge) must
be carried.
(f) The following personnel aboard
each tankship certified for voyages
beyond the boundary line, as described
in part 7 of this chapter, must hold valid
MMDs or MMCs, endorsed as follows:
(1) The master and chief mate must
each hold a tankerman-PIC or restricted
tankerman-PIC endorsement.
(2) The chief, first assistant, and cargo
engineers must each hold a tankermanengineer or tankerman-PIC
endorsement.
(3) Each credentialed officer acting as
the PIC of a transfer of liquid cargo in
bulk must hold a tankerman-PIC or
restricted tankerman-PIC endorsement.
(4) Each officer or crewmember who
is assigned by the PIC duties and
responsibilities related to the cargo or
cargo-handling equipment during a
transfer of liquid cargo in bulk, but is
not directly supervised by the PIC, must
hold a tankerman-assistant
endorsement.
(g) The endorsements required by this
section must be for the classification of
the liquid cargo in bulk or of the cargo
residue being carried.
(h) All individuals serving on
tankships certified for voyages beyond
the boundary line, as described in part
7 of this chapter, must hold an

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........
........
or
or
or
........
........

Tankerman
engineer

Tankerman
assistant

........................
........................
X
X
X
........................
........................

........................
........................
........................
........................
........................
........................
X

appropriate STCW endorsement, as
follows:
(1) For tankerman-PIC, an STCW
endorsement as Advanced Oil Tanker
Cargo Operations, Advanced Chemical
Tanker Cargo Operations, or Advanced
Liquefied Gas Tanker Cargo Operations,
as appropriate.
(2) For tankerman-Assistant, an STCW
endorsement as Basic Oil and Chemical
Tanker Cargo Operations, or Basic
Liquefied Gas Tanker Cargo Operations,
as appropriate.
(3) For a tankerman-PIC (barge), an
STCW endorsement as Advanced Oil
Tanker Cargo Operations, Advanced
Chemical Tanker Cargo Operations, or
Advanced Liquefied Gas Tanker Cargo
Operations, as appropriate, including
endorsements with a limitation for nonself-propelled vessels.
(4) For a tankerman-engineer, an
STCW endorsement as Advanced Oil
Tanker Cargo Operations, or Advanced
Chemical Tanker Cargo Operations, as
appropriate, including endorsements
with a limitation to maintenance and
repair of cargo equipment.
■ 125. Add new § 15.865 to newly
redesignated subpart H to read as
follows:
§ 15.865 Qualified member of the engine
department (QMED).

(a) Every person serving under the
authority of a rating endorsement as
QMED on any United States vessel
requiring QMED must hold an
endorsement as QMED.

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(b) On vessels subject to STCW,
certain seafarers meeting the
requirement of this section must also
hold either an STCW endorsement as
able seafarer-engine or rating forming
part of an engineering watch or
designated to perform duties in a
periodically unmanned engineroom
(according to § 15.404(c) and (d) of this
part), except as noted in § 15.105(g) of
this part for vessels on domestic nearcoastal voyages.
■ 126. Amend § 15.901 as follows:
■ a. Revise the heading of § 15.901 to
read as set forth below;
■ b. In paragraph (a), remove the words
‘‘over 200 gross tons’’ and add, in their
place, the words ‘‘200 GRT or more’’;
remove the words ‘‘100 gross tons’’ and
add, in their place, the words ‘‘100
GRT’’; and after the words ‘‘on the
individual’s license or MMC’’, add the
words ‘‘, without further endorsement’’;
and
■ c. In paragraphs (b), (c), and (d), after
the words ‘‘mate of inspected’’, remove
the text ‘‘,’’; and after the words ‘‘on the
individual’s license or MMC’’, add the
words ‘‘, without further endorsement’’.
§ 15.901 Inspected vessels of less than
100 GRT.

*

*
*
*
*
127. Amend § 15.905 as follows:
a. In paragraph (a), after the words
‘‘pilot of an inspected’’, remove the text
‘‘,’’; remove the words ‘‘under 100 gross
tons’’ and add, in their place, the words
‘‘of less than 100 GRT’’; and after the
words ‘‘other than’’ and before the word
‘‘tonnage’’, remove the word ‘‘gross’’;
■ b. In paragraph (b), after the words
‘‘pilot of an inspected’’, remove the text
‘‘,’’; and remove the words ‘‘at least 100
gross tons’’ and add, in their place, the
words ‘‘100 GRT or more’’; and
■ c. Revise paragraph (c) to read as
follows:
■
■

§ 15.905

Uninspected passenger vessels.

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*

*
*
*
*
(c) An individual holding a license or
MMC endorsed as mate of an inspected
self-propelled vessel (other than Great
Lakes, inland, or river vessels of less
than 200 GRT) is authorized to serve as
operator of uninspected passenger
vessels of less than 100 GRT within any
restrictions, other than tonnage
limitations, on the individual’s license
or MMC.
■ 128. Revise § 15.915 to read as
follows:
§ 15.915

Engineer officer endorsements.

The following licenses and MMC
officer endorsements authorize the
holder to serve as noted, within any

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restrictions on the license or MMC, and
as provided by § 15.401 of this part:
(a) A designated duty engineer license
or endorsement authorizes service as
chief or assistant engineer on vessels of
less than 500 GT in the following
manners:
(1) A designated duty engineer
limited to vessels of less than 1,000
horsepower or less than 4,000
horsepower may serve only on nearcoastal, Great Lakes, or inland waters.
(2) A designated duty engineer with
no horsepower limitations may serve on
any waters.
(3) When serving on a vessel to which
STCW applies, the appropriate STCW
endorsement must also be held.
(b) A chief engineer (limited) license
or endorsement authorizes service as
chief or assistant engineer on vessels of
any gross tons on inland waters and of
less than 1,600 GRT on ocean, nearcoastal, or Great Lakes waters.
(c) An assistant engineer (limited)
license or endorsement authorizes
service on vessels of any gross tons on
inland waters and of less than 1,600
GRT on ocean, near-coastal, or Great
Lakes waters.
■ 129. Revise newly redesignated
subpart K to read as follows:

of the U.S., in the Straits of Juan de
Fuca, or on the Inside Passage between
Puget Sound and Cape Spencer.
(v) Pilot vessels engaged on pilotage
duty.
(2) The following small vessels
engaged exclusively on domestic
voyages are not subject to any obligation
for the purposes of the STCW
Convention:
(i) Small passenger vessels subject to
subchapter T or K of 46 CFR chapter I.
(ii) Vessels of less than 200 GRT
(other than passenger vessels subject to
subchapter H of 46 CFR chapter I).
(iii) Uninspected passenger vessels as
defined in 46 U.S.C. 2101(42)(B).
(b) Masters, mates, and engineers
serving on vessels identified in
paragraphs (a)(2)(i) and (a)(2)(ii) of this
section may be issued, without
additional proof of qualification, an
appropriate STCW endorsement when
the Coast Guard determines that such a
document is necessary to enable the
vessel to engage on a single
international voyage of a non-routine
nature. The STCW endorsement will be
expressly limited to service on the
vessel or the class of vessels and will
not establish qualification for any other
purpose.

Subpart K—Vessels Subject to
Requirements of STCW
Sec.
15.1101 General.
15.1103 Employment and service within
the restrictions of an STCW endorsement
or of a certificate of training.
15.1105 Familiarization and basic training
(BT).
15.1107 Maintenance of merchant mariners’
records by owner or operator.
15.1109 Watches.
15.1111 Work hours and rest periods.
15.1113 Security personnel.

§ 15.1103 Employment and service within
the restrictions of an STCW endorsement or
of a certificate of training.

Subpart K—Vessels Subject to
Requirements of STCW
§ 15.1101

General.

(a) Except as noted in paragraphs
(a)(1) and (2) of this section, the
regulations in this subpart apply to
seagoing vessels as defined in § 10.107
of this subchapter.
(1) The following vessels are exempt
from application of the STCW
Convention:
(i) Fishing vessels as defined in 46
U.S.C. 2101(11)(a).
(ii) Fishing vessels used as fish-tender
vessels as defined in 46 U.S.C.
2101(11)(c).
(iii) Barges as defined in 46 U.S.C.
102, including non-self-propelled
MODUs.
(iv) Vessels operating exclusively on
the Great Lakes or on the inland waters

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(a) Onboard a seagoing vessel of 500
GT or more, driven by main propulsion
machinery of 1,000 HP/750 kW
propulsion power or more or on an
international voyage beyond the
boundary line as described in part 7 of
this chapter, no person may employ or
engage any person to serve, and no
person may serve, in a position
requiring a person to hold an STCW
endorsement, including master, chief
mate, chief engineer officer, second
engineer officer, officer of the
navigational or engineering watch, or
GMDSS radio operator, unless the
person serving holds an appropriate,
valid STCW endorsement issued in
accordance with part 11 of this
subchapter.
(b) Onboard a seagoing vessel of 500
GT or more, no person may employ or
engage any person to serve, and no
person may serve, as an RFPNW, except
for training, unless the person serving
holds an appropriate, valid STCW
endorsement issued in accordance with
part 12 of this subchapter.
(c) As of January 1, 2017, onboard a
seagoing vessel of 500 GT or more, no
person may employ or engage any
person to serve, and no person may
serve, as an able seafarer-deck, except
for training, unless the person serving

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Federal Register / Vol. 78, No. 247 / Tuesday, December 24, 2013 / Rules and Regulations
holds an appropriate, valid STCW
endorsement issued in accordance with
part 12 of this subchapter.
(d) Onboard a seagoing vessel driven
by main propulsion machinery of 1,000
HP/750 kW propulsion power or more,
no person may employ or engage any
person to serve, and no person may
serve, as an RFPEW, nor may any
person be designated to perform duties
in a periodically unmanned engineroom, except for training or for the
performance of duties of an unskilled
nature, unless the person serving holds
an appropriate, valid STCW
endorsement issued in accordance with
part 12 of this subchapter.
(e) As of January 1, 2017, onboard a
seagoing vessel driven by main
propulsion machinery of 1,000 HP/750
kW propulsion power or more, no
person may employ or engage any
person to serve, and no person may
serve, as an able seafarer-engine, except
for training, unless the person serving
holds an appropriate, valid STCW
endorsement issued in accordance with
part 12 of this subchapter.
(f) Onboard a passenger ship, as
defined by the Convention for the Safety
of Life at Sea, 1974, as amended
(SOLAS) (incorporated by reference, see
§ 15.103 of this part), on an
international voyage, any person serving
as master, chief mate, mate, chief
engineer, engineer officer, or any person
holding a license, MMD, or MMC and
performing duties relating to safety,
cargo handling, or care for passengers,
must meet the appropriate requirements
of Regulation V/2 of the STCW
Convention (incorporated by reference,
see § 15.103 of this part). These
individuals must hold documentary
evidence to show they meet these
requirements.
(g) Onboard a seagoing vessel required
to comply with provisions of the
GMDSS in Chapter IV of SOLAS, no
person may employ or engage any
person to serve, and no person may
serve, as the person designated to
maintain GMDSS equipment at sea,
when the service of a person so
designated is used to meet the
maintenance requirements of SOLAS
Regulation IV/15, which allows for
capability of at-sea electronic
maintenance to ensure that radio
equipment is available for radio
communication, unless the person so
serving holds documentary evidence
that he or she is competent to maintain
GMDSS equipment at sea.
(h) Medical certificate. (1) A person
may not employ or engage an individual
unless that individual maintains a
current medical certificate.

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(2) After January 1, 2017, all persons
employed or engaged onboard vessels to
which STCW applies must hold a
medical certificate valid for 2 years
unless the mariner is under the age of
18, in which case the maximum period
of validity will be 1 year.
(3) If a mariner’s medical certificate
expires during a voyage, it will remain
valid until the next United States port
of call, provided that the period after
expiration does not exceed 90 days.
§ 15.1105 Familiarization and basic
training (BT).

(a) Onboard a seagoing vessel to
which this subpart applies, no person
may assign any person to perform
shipboard duties, and no person may
perform those duties, unless the person
performing them has received—
(1) Training in personal survival
techniques as set out in the standard of
competence under Regulation VI/1 of
the STCW Convention (incorporated by
reference, see § 15.103 of this part); or
(2) Sufficient familiarization training
or instruction that he or she—
(i) Can communicate with other
persons onboard about elementary
safety matters and understand
informational symbols, signs, and alarm
signals concerning safety;
(ii) Knows what to do if a person falls
overboard; if fire or smoke is detected;
or if the fire alarm or abandon-ship
alarm sounds;
(iii) Can identify stations for muster
and embarkation, and emergency-escape
routes;
(iv) Can locate and don life jackets;
(v) Can raise the alarm and knows the
use of portable fire extinguishers;
(vi) Can take immediate action upon
encountering an accident or other
medical emergency before seeking
further medical assistance onboard; and
(vii) Can close and open the fire
doors, weather-tight doors, and
watertight doors fitted in the vessel
other than those for hull openings.
(b) Onboard a seagoing vessel to
which this subpart applies, no person
may assign a shipboard duty or
responsibility to any person who is
serving in a position that must be filled
as part of the required crew
complement, and no person may
perform any such duty or responsibility,
unless he or she is familiar with it and
with all of the vessel’s arrangements,
installations, equipment, procedures,
and characteristics relevant to his or her
routine and emergency duties or
responsibilities, in accordance with
Regulation I/14 of the STCW
Convention.
(c) Onboard a seagoing vessel to
which this subpart applies, no person

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78011

may assign a shipboard duty or
responsibility to any person who is
serving in a position that must be filled
as part of the required crew complement
or who is assigned a responsibility on
the muster list, and no person may
perform any such duty or responsibility,
unless the person performing it can
produce evidence of having—
(1) Received appropriate approved
basic training or instruction as set out in
the standards of competence under
Regulation VI/1 of the STCW
Convention, with respect to personal
survival techniques, fire prevention and
fire-fighting, elementary first aid, and
personal safety and social
responsibilities; and
(2) Maintained the standard of
competence under Regulation VI/1 of
the STCW Convention, with respect to
personal survival techniques, fire
prevention and fire-fighting, elementary
first aid, and personal safety and social
responsibilities, every 5 years.
(d) Fish-processing vessels in
compliance with the provisions of 46
CFR part 28 on instructions, drills, and
safety orientation are deemed to be in
compliance with the requirements of
this section on familiarization and basic
training.
§ 15.1107 Maintenance of merchant
mariners’ records by owner or operator.

For every credentialed mariner
employed on a U.S.-documented
seagoing vessel, the owner or operator
must ensure that the following
information is maintained and readily
accessible to those in management
positions, including the master of the
vessel, who are responsible for the
safety of the vessel, compliance with
laws and regulations, and for the
prevention of marine pollution:
(a) Experience and training relevant to
assigned shipboard duties (i.e., record of
training completed, ship-specific
familiarization and of relevant on-thejob experience acquired).
(b) Copies of the mariner’s current
credentials.
§ 15.1109

Watches.

Except those serving on vessels listed
in § 15.105(f) and (g) of this part, each
master of a vessel that operates beyond
the boundary line, as described in part
7 of this chapter, must ensure
observance of the principles concerning
watchkeeping set out in Regulation VIII/
2 of the STCW Convention and section
A–VIII/2 of the STCW Code (both
incorporated by reference, see § 15.103
of this part).
§ 15.1111

Work hours and rest periods.

(a) Every person assigned duty as
officer in charge of a navigational or

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sroberts on DSK5SPTVN1PROD with RULES

engineering watch, or duty as ratings
forming part of a navigational or
engineering watch, or designated safety,
prevention of pollution, and security
duties onboard any vessel that operates
beyond the boundary line, as described
in part 7 of this chapter, must receive—
(1) A minimum of 10 hours of rest in
any 24-hour period; and
(2) 77 hours of rest in any 7-day
period.
(b) The hours of rest required under
paragraph (a) of this section may be
divided into no more than two periods
in any 24-hour period, one of which
must be at least 6 hours in length, and
the interval between consecutive
periods of rest must not exceed 14
hours.
(c) The requirements of paragraph (a)
and (b) of this section need not be
maintained in the case of an emergency
or drill or in other overriding
operational conditions.
(d) The minimum period of rest
required under paragraph (a) of this
section may not be devoted to
watchkeeping or other duties.
(e) Watchkeeping personnel remain
subject to the work-hour limits in 46
U.S.C. 8104 and to the conditions under
which crewmembers may be required to
work.
(f) The master must post watch
schedules where they are easily
accessible. They must cover each
affected person under paragraph (a) of
this section, and must take into account
the rest requirements of this section as
well as port rotations and changes in the
vessel’s itinerary.
(g) Records of daily hours of rest must
be maintained onboard the vessel. Each
affected person under paragraph (a) of
this section must receive a copy of the
records pertaining to them, which will
be endorsed by the master or by a
person authorized by the master and by
the seafarer.
(h) For every seafarer on call, such as
when a machinery space is unattended,
the seafarer must have an adequate
compensatory rest period if the normal
period of rest is disturbed by call-outs
to work.

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(i) The master of the vessel may
suspend the schedule of hours of rest
and require a seafarer to perform any
hours of work necessary for the
immediate safety of the ship, persons
onboard, or cargo, or for the purpose of
giving assistance to other ships or
persons in distress at sea. As soon as
practicable after the situation has been
restored, the master must ensure that
any seafarer who has performed work in
a scheduled rest period is provided with
an adequate period of rest.
(j) In exceptional circumstances, the
master may authorize exceptions from
the hours of rest required under
paragraph (a) and (b) of this section
provided that:
(1) The hours of rest provided for in
paragraph (a)(1) of this section may be
divided into no more than three periods,
one of which must be at least 6 hours
in length, and neither of the other two
periods are permitted to be less than one
hour in length.
(i) Exceptions to paragraph (a)(1) of
this section must not extend beyond two
24-hour periods in any 7-day period;
and,
(ii) The intervals between consecutive
periods of rest must not exceed 14
hours.
(2) Exceptions to paragraphs (a)(2)
and (b) of this section must not be less
than 70 hours of rest in any 7-day
period.
(3) Exceptions to paragraph (a)(2) of
this section are not allowed for more
than two consecutive weeks, and the
intervals between two periods of
exceptions to paragraph (a)(2) must not
be less than twice the duration of the
longer exception.
§ 15.1113

Security personnel.

(a) Onboard a seagoing vessel of 500
GT or more to which the International
Ship and Port Facility Security (ISPS)
Code applies, all persons performing
duties as Vessel Security Officer (VSO)
must hold a valid endorsement as VSO.
(b) Persons who hold an endorsement
as VSO will be deemed to satisfy the
requirements for vessel personnel with

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designated security duties in paragraph
(c) of this section.
(c) After March 24, 2014, onboard a
seagoing vessel of 500 GT or more to
which the ISPS Code applies, all
personnel with designated security
duties must hold a valid endorsement as
vessel personnel with designated
security duties, or a certificate of course
completion or documentary evidence of
onboard training from an appropriate
Coast Guard-accepted or Coast Guardapproved course meeting the
requirements of 33 CFR 104.220.
(d) Persons who hold an endorsement
as vessel personnel with designated
security duties, or a certificate of course
completion or documentary evidence of
onboard training from an appropriate
Coast Guard-accepted or Coast Guardapproved course for vessel personnel
with designated security duties, will be
deemed to satisfy the requirements for
all other vessel personnel in paragraph
(e) of this section.
(e) After March 24, 2014, onboard a
seagoing vessel of 500 GT or more to
which the ISPS Code applies, all other
vessel personnel must hold a valid
endorsement in security awareness, or a
certificate of course completion from an
appropriate Coast Guard-accepted or
Coast Guard-approved course, or
documentary evidence of onboard
training meeting the requirements of 33
CFR 104.225.
(f) After March 24, 2014, onboard a
seagoing vessel of 500 GT or more to
which the ISPS Code applies, all
contractors, whether part-time, fulltime, temporary, or permanent, must
have knowledge of the requirements in
33 CFR 104.225, through training or
equivalent job experience. Vessel
owners and operators must maintain
records documenting this requirement
and produce those records to the Coast
Guard upon request.
Dated: November 15, 2013.
Robert J. Papp Jr.,
Admiral, U.S. Coast Guard Commandant.
[FR Doc. 2013–28032 Filed 12–23–13; 8:45 am]
BILLING CODE 9110–04–P

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