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CFR-2002-title46-vol1-part16.pdf

Application for Merchant Mariner Credential (MMC), Merchant Mariner Certificate Evaluation Report, Small Vessel Sea Service Form, DOT/USCG Periodic Drug Testing Form, Merchant Mariner Evaluation of Fi

Stat/Authority

OMB: 1625-0040

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Pt. 16

46 CFR Ch. I (10–1–02 Edition)

(2) Not less than 70 hours of rest are
provided each 7-day period.
(e) The minimum period of rest required under paragraph (a) of this section
may
not
be
devoted
to
watchkeeping or other duties.
(f) Watchkeeping personnel remain
subject to the work-hour limits in 46
U.S.C. 8104 and to the conditions when
crew members may be required to
work.
(g) The Master shall post watch
schedules where they are easily accessible. They must cover each affected
member of the crew and must take into
account the rest requirements of this
section as well as port rotations and
changes in the vessel’s itinerary.

PART 16—CHEMICAL TESTING
Subpart A—General
Sec.
16.101
16.105
16.107
16.109
16.113
16.115

Purpose of regulations.
Definitions of terms used in this part.
Waivers.
Public Interest Exclusion (PIE).
Chemical drug testing.
Penalties.

Subpart B—Required Chemical Testing
16.201 Application.
16.203 Employer, MRO, and SAP responsibilities.
16.205 Implementation of chemical testing
programs.
16.210 Pre-employment
testing
requirements.
16.220 Periodic testing requirements.
16.230 Random testing requirements.
16.240 Serious marine incident testing requirements.
16.250 Reasonable cause testing requirements.
16.260 Records.

Subpart C—[Reserved]
Subpart D—Employee Assistance Programs
16.401

Employee Assistance Program (EAP).

Subpart E—Management Information
System
16.500 Management Information System requirements.
APPENDIX A [RESERVED]
APPENDIX B—DRUG AND ALCOHOL TESTING
MANAGEMENT INFORMATION SYSTEM (MIS)
DATA COLLECTION FORM

AUTHORITY: 46 U.S.C. 2103, 3306, 7101, 7301,
and 7701; 49 CFR 1.46.
SOURCE: CGD 86–067, 53 FR 47079, Nov. 21,
1988, unless otherwise noted.

Subpart A—General
§ 16.101

Purpose of regulations.

(a) The regulations in this part provide a means to minimize the use of intoxicants by merchant marine personnel and to promote a drug free and
safe work environment.
(b) These regulations prescribe the
minimum standards, procedures, and
means to be used to test for the use of
dangerous drugs.
(c) As part of a reasonable cause drug
testing program established pursuant
to this part, employers may test for
drugs in addition to those specified in
this part only with approval granted by
the Coast Guard under 49 CFR part 40
and for substances for which the Department of Health and Human Services has established an approved testing protocol and positive threshold.
§ 16.105 Definitions of terms used in
this part.
Chemical test means a scientifically
recognized test which analyzes an individual’s breath, blood, urine, saliva,
bodily fluids, or tissues for evidence of
dangerous drug or alcohol use.
Consortium/Third party administrator
(C/TPA) means a service agent who provides or coordinates the provision of a
variety of drug and alcohol testing
services to employers. C/TPAs typically perform administrative tasks
concerning the operation of the employers’ drug and alcohol testing programs. This term includes, but is not
limited to, groups of employers who
join together to administer, as a single
entity, the DOT drug and alcohol testing programs of its members.
Crewmember means an individual who
is:
(a) On board a vessel acting under the
authority of a license, certificate of
registry, or merchant mariner’s document issued under this subchapter,
whether or not the individual is a
member of the vessel’s crew; or
(b) Engaged or employed on board a
vessel owned in the United States that

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Coast Guard, DOT

§ 16.105

is required by law or regulation to engage, employ, or be operated by an individual holding a license, certificate
of registry, or merchant mariner’s document issued under this subchapter,
except the following:
(1) Individuals on fish processing vessels who are primarily employed in the
preparation of fish or fish products, or
in a support position, and who have no
duties that directly affect the safe operation of the vessel;
(2) Scientific personnel on an oceanographic research vessel;
(3) Individuals on industrial vessels
who are industrial personnel, as defined in this chapter; and
(4) Individuals not required under
part 15 of this subchapter who have no
duties that directly affect the safe operation of the vessel.
Dangerous drug means a narcotic
drug, a controlled substance, or a controlled-substance analog (as defined in
section 102 of the Comprehensive Drug
Abuse and Control Act of 1970 (21 U.S.C.
802)).
Drug test means a chemical test of an
individual’s urine for evidence of dangerous drug use.
Employer means a marine employer
or sponsoring organization.
Fails a chemical test for dangerous
drugs means that the result of a chemical test conducted in accordance with
49 CFR 40 was reported as ‘‘positive’’ by
a Medical Review Officer because the
chemical test indicated the presence of
a dangerous drug at a level equal to or
exceeding the levels established in 49
CFR part 40.
Marine employer means the owner,
managing operator, charterer, agent,
master, or person in charge of a vessel,
other than a recreational vessel.
Medical Review Officer (MRO) means a
person who is a licensed physician and
who is responsible for receiving and reviewing laboratory results generated
by an employer’s drug testing program
and evaluating medical explanations
for certain drug test results.
Operation means to navigate, steer,
direct, manage, or sail a vessel, or to
control, monitor, or maintain the vessel’s main or auxiliary equipment or
systems. Operation includes:
(a) Determining the vessel’s position,
piloting, directing the vessel along a

desired trackline, keeping account of
the vessel’s progress through the
water, ordering or executing changes in
course, rudder position, or speed, and
maintaining a lookout;
(b) Controlling, operating, monitoring, maintaining, or testing: the
vessel’s propulsion and steering systems; electric power generators; bilge,
ballast, fire, and cargo pumps; deck
machinery
including
winches,
windlasses, and lifting equipment; lifesaving equipment and appliances; firefighting systems and equipment; and
navigation and communication equipment; and
(c) Mooring, anchoring, and line handling; loading or discharging of cargo
or fuel; assembling or disassembling of
tows; and maintaining the vessel’s stability and watertight integrity.
Passes a chemical test for dangerous
drugs means the result of a chemical
test conducted in accordance with 49
CFR part 40 is reported as ‘‘negative’’
by a Medical Review Officer in accordance with that part.
Positive rate means the number of
positive results for random drug tests
conducted under this part plus the
number of refusals to take random
tests required by this part, divided by
the total number of random drug tests
conducted under this part plus the
number of refusals to take random
tests required by this part.
Refuse to submit means you refused to
take a drug test as set out in 49 CFR
40.191.
Serious marine incident means an
event defined in 46 CFR 4.03–2.
Service agent means any person or entity that provides services specified
under this part or 49 CFR part 40 to
employers and/or crewmembers in connection with DOT drug and alcohol
testing requirements. This includes,
but is not limited to, collectors, BATs
and STTs, laboratories, MROs, substance abuse professionals, and C/
TPAs. To act as service agents, persons
and organizations must meet the qualifications set forth in applicable sections of 49 CFR part 40. Service agents
are not employers for purposes of this
part.
Sponsoring organization is any company, consortium, corporation, association, union, or other organization with

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§ 16.107

46 CFR Ch. I (10–1–02 Edition)

which individuals serving in the marine industry, or their employers, are
associated.
Stand-down means the practice of
temporarily removing a crewmember
from the performance of safety-sensitive functions based only on a report
from a laboratory to the MRO of a confirmed positive test for a drug or drug
metabolite, an adulterated test, or a
substituted test, before the MRO has
completed verification of the test result.
Substance Abuse Professional (SAP)
means a person who evaluates employees who have violated a DOT drug and
alcohol regulation and makes recommendations concerning education,
treatment, follow-up testing, and
aftercare.
Vessel owned in the United States
means any vessel documented or numbered under the laws of the United
States; and any vessel owned by a citizen of the United States that is not
documented or numbered by any nation.
[CGD 86–067, 53 FR 47079, Nov. 21, 1988; 53 FR
48367, Nov. 30, 1988, as amended by CGD 90–
014, 56 FR 31033, July 8, 1991; CGD 90–053, 58
FR 31107, May 28, 1993; CGD 93–051, 59 FR
28792, June 3, 1994; 59 FR 62226, Dec. 2, 1994;
CGD 91–223, 60 FR 4525, Jan. 23, 1995; USCG–
2000–7759, 66 FR 42967, Aug. 16, 2001]

§ 16.107

Waivers.

(a) To obtain a waiver from 49 CFR
40.21 or from this part you must send
your request for a waiver to the Commandant (G–MOA).
(b) Employers for whom compliance
with this part would violate the domestic laws or policies of another country
may request an exemption from the
drug testing requirements of this part
by submitting a written request to
Commandant (G–MOA), at the address
listed in § 16.500(a).
(c) An employer may request a waiver from the Coast Guard in order to
stand-down a crewmember following
the Medical Review Officer’s receipt of
a laboratory report of a confirmed positive test for a drug or drug metabolite,
an adulterated test, or a substituted
test pertaining to the crewmember.
Consistent with 49 CFR 40.21, the request for a waiver must include as a
minimum: Information about the orga-

nization and the proposed written company policy concerning stand-down.
Specific elements required in the written waiver request are contained in 49
CFR 40.21(c).
[USCG–2000–7759, 66 FR 42967, Aug. 16, 2001]

§ 16.109 Public
Interest
Exclusion
(PIE).
Service agents are subject to Public
Interest Exclusion (PIE) actions in accordance with 49 CFR Part 40, subpart
R. The PIE is an action which excludes
from participation in DOT’s drug and
alcohol testing program any service
agent who, by serious noncompliance
with this part or with 49 CFR part 40,
has shown that it is not currently acting in a responsible manner.
[USCG–2000–7759, 66 FR 42968, Aug. 16, 2001]

§ 16.113 Chemical drug testing.
(a) Drug testing programs required
by this part must be conducted in accordance with 49 CFR part 40, Procedures for Transportation Workplace
Testing Programs. This subpart summarizes the responsibilities of documented and licensed mariners, marine
employers, MRO, SAP and other chemical testing service providers in 49 CFR
part 40. The regulations in 49 CFR part
40 should be consulted to determine the
specific procedures which must be established and utilized. Drug testing
programs required by this part must
use only drug testing laboratories certified by the Department of Health and
Human Services (DHHS).
(b) Each specimen collected in accordance with this part will be tested,
as provided in 49 CFR 40.85, for the following:
(1) Marijuana;
(2) Cocaine;
(3) Opiates;
(4) Phencyclidine (PCP); and
(5) Amphetamines.
[USCG–2000–7759, 66 FR 42968, Aug. 16, 2001]

§ 16.115 Penalties.
Violation of this part is subject to
the civil penalties set forth in 46 U.S.C.
2115. Any person who fails to implement or conduct, or who otherwise
fails to comply with the requirements
for chemical testing for dangerous
drugs as prescribed under this part, is

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Coast Guard, DOT

§ 16.205

liable to the United States Government
for a civil penalty of not more than
$5,000 for each violation. Each day of a
continuing violation will constitute a
separate violation.
[USCG–2000–7759, 66 FR 42968, Aug. 16, 2001]

Subpart B—Required Chemical
Testing
§ 16.201

Application.

(a) Chemical testing of personnel
must be conducted as required by this
subpart and in accordance with the
procedures detailed in 49 CFR part 40.
(b) If an individual fails a chemical
test for dangerous drugs under this
part, the individual will be presumed to
be a user of dangerous drugs.
(c) If an individual holding a license,
certificate of registry, or merchant
mariner’s document fails a chemical
test for dangerous drugs, the individual’s employer, prospective employer,
or sponsoring organization must report
the test results in writing to the nearest Coast Guard Officer in Charge, Marine Inspection (OCMI). The individual
must be denied employment as a crewmember or must be removed from duties which directly affect the safe operation of the vessel as soon as practicable and is subject to suspension and
revocation proceedings against his or
her license, certificate of registry, or
merchant mariner’s document under 46
CFR part 5.
(d) If an individual who does not hold
a license, certificate of registry, or
merchant mariner’s document fails a
chemical test for dangerous drugs, the
individual shall be denied employment
as a crewmember or removed from duties which directly affect the safe operation of the vessel as soon as possible.
(e) An individual who has failed a required chemical test for dangerous
drugs may not be re-employed aboard a
vessel until the requirements of paragraph (f) of this section and 46 CFR
Part 5, if applicable, have been satisfied.
(f) Before an individual who has
failed a required chemical test for dangerous drugs may return to work
aboard a vessel, the MRO must determine that the individual is drug-free
and the risk of subsequent use of dan-

gerous drugs by that person is sufficiently low to justify his or her return
to work. In addition, the individual
must agree to be subject to increased
unannounced testing—
(1) For a minimum of six (6) tests in
the first year after the individual returns to work as required in 49 CFR
part 40; and
(2) For any additional period as determined by the MRO up to a total of
60 months.
[CGD 86–607, 53 FR 47049, November 11, 1988,
as amended by CGD 90–014, 56 FR 31034, July
8, 1991; USCG–2000–7759, 66 FR 42968, Aug. 16,
2001]

§ 16.203 Employer, MRO, and SAP responsibilities.
(a) Employers. (1) Employers must ensure that they and their crewmembers
meet the requirements of this part.
(2) Employers are responsible for all
the actions of their officials, representatives, and agents in carrying out the
requirements of this part.
(3) All agreements and arrangements,
written or unwritten, between and
among employers and service agents
concerning the implementation of DOT
drug testing requirements are deemed,
as a matter of law, to require compliance with all applicable provisions of
this part and DOT agency drug testing
regulations. Compliance with these
provisions is a material term of all
such agreements and arrangements.
(b) Medical Review Officer (MRO). (1)
Individuals performing MRO functions
must meet the training requirements
and follow the procedures in 49 CFR
Part 40.
(2) MROs may report chemical drug
test results to the Coast Guard for unemployed, self-employed, or individual
mariners.
(c) Substance Abuse Professional (SAP).
Individuals performing SAP functions
must meet the training requirements
and follow the procedures in 49 CFR
Part 40.
[USCG–2000–7759, 66 FR 42968, Aug. 16, 2001]

§ 16.205 Implementation
testing programs.

of

chemical

(a) When a vessel owned in the
United States is operating in waters
that are not subject to the jurisdiction

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§ 16.210

46 CFR Ch. I (10–1–02 Edition)

of the United States, the testing requirements of §§ 16.210 and 16.230 do not
apply to a citizen of a foreign country
engaged or employed as pilot in accordance with the laws or customs of that
foreign country.
(b) Upon written request of an employer, Commandant (G–MOA) will review the employer’s chemical testing
program to determine compliance with
the provisions of this part.
[CGD 90–014, 56 FR 60930, Nov. 30, 1991, as
amended by 59 FR 62226, Dec. 2, 1994; CGD 95–
072, 60 FR 50461, Sept. 29, 1995; CGD 96–041, 61
FR 50726, Sept. 27, 1996; CGD 95–028, 62 FR
51196, Sept. 30, 1997]

§ 16.210 Pre-employment testing requirements.
(a) No marine employer shall engage
or employ any individual to serve as a
crewmember unless the individual
passes a chemical test for dangerous
drugs for that employer.
(b) An employer may waive a pre-employment test required for a job applicant by paragraph (a) of this section if
the individual provides satisfactory
evidence that he or she has:
(1) Passed a chemical test for dangerous drugs, required by this part,
within the previous six months with no
subsequent positive drug tests during
the remainder of the six-month period;
or
(2) During the previous 185 days been
subject to a random testing program
required by § 16.230 for at least 60 days
and did not fail or refuse to participate
in a chemical test for dangerous drugs
required by this part.
[CGD 90–053, 58 FR 31107, May 28, 1993, as
amended by CGD 93–051, 59 FR 28792, June 3,
1994]

§ 16.220 Periodic testing requirements.
(a) Except as provided by paragraph
(c) of this section, and §§ 10.209(h) and
12.02–9(f) of this subchapter, an applicant for an original issuance or a renewal of a license or a certificate of
registry (COR), a raise in grade of a license, a higher grade of COR, an original issuance of a merchant mariner’s
document (MMD), the first endorsement as an able seaman, lifeboatman,
qualified member of the engine department, or tankerman, or a reissuance of
an MMD with a new expiration date

shall be required to pass a chemical
test for dangerous drugs. The applicant
shall provide the results of the test to
the Coast Guard Regional Examination
Center (REC) at the time of submitting
an application. The test results must
be completed and dated not more than
185 days prior to submission of the application.
(b) Unless excepted under paragraph
(c) of this section, each pilot required
by this subchapter to receive an annual
physical examination must pass a
chemical test for dangerous drugs as a
part of that examination. The individual shall provide the results of each
test required by this section to the
REC when the pilot applies for a license renewal or when requested by the
Coast Guard.
(c) An applicant need not submit evidence of passing a chemical test for
dangerous drugs required by paragraph
(a) or (b) of this section if he or she
provides satisfactory evidence that he
or she has—
(1) Passed a chemical test for dangerous drugs required by this part
within the previous six months with no
subsequent positive chemical tests during the remainder of the 6-month period; or
(2) During the previous 185 days been
subject to a random testing program
required by § 16.230 for at least 60 days
and did not fail or refuse to participate
in a chemical test for dangerous drugs
required by this part.
(d) Except as provided by paragraph
(b) of this section, an applicant is required to provide the results of only
one chemical test for dangerous drugs
when multiple transactions are covered
by or requested in a single application.
[CGD 91–223, 60 FR 4525, Jan. 23, 1995]

§ 16.230

Random testing requirements.

(a) Marine employers shall establish
programs for the chemical testing for
dangerous drugs on a random basis of
crewmembers on inspected vessels who:
(1) Occupy a position, or perform the
duties and functions of a position, required by the vessel’s Certificate of Inspection;
(2) Perform the duties and functions
of patrolmen or watchmen required by
this chapter; or,

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Coast Guard, DOT

§ 16.230

(3) Are specifically assigned the duties of warning, mustering, assembling,
assisting, or controlling the movement
of passengers during emergencies.
(b) Marine employers shall establish
programs for the chemical testing for
dangerous drugs on a random basis of
crewmembers on uninspected vessels
who:
(1) Are required by law or regulation
to hold a license issued by the Coast
Guard in order to perform their duties
on the vessel;
(2) Perform duties and functions directly related to the safe operation of
the vessel;
(3) Perform the duties and functions
of patrolmen or watchmen required by
this chapter; or,
(4) Are specifically assigned the duties of warning, mustering, assembling,
assisting, or controlling the movement
of passengers during emergencies.
(c) The selection of crewmembers for
random drug testing shall be made by a
scientifically valid method, such as a
random number table or a computerbased random number generator that is
matched with crewmembers’ Social Security numbers, payroll identification
numbers, or other comparable identifying numbers. Under the testing frequency and selection process used, each
covered crewmember shall have an
equal chance of being tested each time
selections are made and an employee’s
chance of selection shall continue to
exist throughout his or her employment. As an alternative, random selection may be accomplished by periodically selecting one or more vessels and
testing all crewmembers covered by
this section, provided that each vessel
subject to the marine employer’s test
program remains equally subject to selection.
(d) Marine employers may form or
otherwise use sponsoring organizations, or may use contractors, to conduct the random chemical testing programs required by this part.
(e) Except as provided in paragraph
(f) of this section, the minimum annual
percentage rate for random drug testing shall be 50 percent of covered crewmembers.
(f) The annual rate for random drug
testing may be adjusted in accordance
with this paragraph.

(1) The Commandant’s decision to increase or decrease the minimum annual percentage rate for random drug
testing is based on the reported random positive rate for the entire industry. All information used for this determination is drawn from the drug
MIS reports required by this part. In
order to ensure reliability of the data,
the Commandant considers the quality
and completeness of the reported data,
may obtain additional information or
reports from marine employers, and
may make appropriate modifications
in calculating the industry random
positive rate. Each year, the Commandant will publish in the FEDERAL
REGISTER the minimum annual percentage rate for random drug testing of
covered crewmembers. The new minimum annual percentage rate for random drug testing will be applicable
starting January 1 of the calendar year
following publication.
(2) When the minimum annual percentage rate for random drug testing is
50 percent, the Commandant may lower
this rate to 25 percent of all covered
crewmembers if the Commandant determines that the data received under
the reporting requirements of 46 CFR
16.500 for two consecutive calendar
years indicate that the positive rate is
less than 1.0 percent.
(3) When the minimum annual percentage rate for random drug testing is
25 percent, and the data received under
the reporting requirements of 46 CFR
16.500 for any calendar year indicate
that the positive rate is equal to or
greater than 1.0 percent, the Commandant will increase the minimum
annual percentage rate for random
drug testing to 50 percent of all covered
crewmembers.
(g) Marine employers shall randomly
select a sufficient number of covered
crewmembers for testing during each
calendar year to equal an annual rate
not less than the minimum annual percentage rate for random drug testing
determined by the Commandant. If the
marine employer conducts random
drug testing through a consortium, the
number of crewmembers to be tested
may be calculated for each individual
marine employer or may be based on
the total number of covered crewmembers covered by the consortium

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§ 16.240

46 CFR Ch. I (10–1–02 Edition)

who are subject to random drug testing
at the same minimum annual percentage rate under this part or any DOT
drug testing rule.
(h) Each marine employer shall ensure that random drug tests conducted
under this part are unannounced and
that the dates for administering random tests are spread reasonably
throughout the calendar year.
(i) If a given covered crewmember is
subject to random drug testing under
the drug testing rules of more than one
DOT agency for the same marine employer, the crewmember shall be subject to random drug testing at the percentage rate established for the calendar year by the DOT agency regulating more than 50 percent of the
crewmember’s function.
(j) If a marine employer is required
to conduct random drug testing under
the drug testing rules of more than one
DOT agency, the marine employer
may—
(1) Establish separate pools for random selection, with each pool containing the covered crewmembers who
are subject to testing at the same required rate; or
(2) Randomly select such crewmembers for testing at the highest percentage rate established for the calendar year by any DOT agency to
which the marine employer is subject.
(k) An individual may not be engaged
or employed, including self-employment, on a vessel in a position as master, operator, or person in charge for
which a license or merchant mariner’s
document is required by law or regulation unless all crewmembers covered
by this section are subject to the random testing requirements of this section.
[CGD 90–014, 56 FR 31034, July 8, 1991, as
amended by 59 FR 62227, Dec. 2, 1994]

§ 16.240 Serious marine incident testing requirements.
The marine employer shall ensure
that all persons directly involved in a
serious marine incident are chemically
tested for evidence of dangerous drugs
and alcohol in accordance with the requirements of 46 CFR 4.06.

§ 16.250 Reasonable cause testing requirements.
(a) The marine employer shall require any crewmember engaged or employed on board a vessel owned in the
United States that is required by law
or regulation to engage, employ or be
operated by an individual holding a license, certificate of registry, or merchant mariner’s document issued under
this subchapter, who is reasonably suspected of using a dangerous drug to be
chemically tested for dangerous drugs.
(b) The marine employer’s decision
to test must be based on a reasonable
and articulable belief that the individual has used a dangerous drug based
on direct observation of specific, contemporaneous physical, behavioral, or
performance indicators of probable use.
Where practicable, this belief should be
based on the observation of the individual by two persons in supervisory
positions.
(c) When the marine employer requires testing of an individual under
the provisions of this section, the individual must be informed of that fact
and directed to provide a urine specimen as soon as practicable. This fact
shall be entered in the vessel’s official
log book, if one is required.
(d) If an individual refuses to provide
a urine specimen when directed to do
so by the employer under the provisions of this section, this fact shall be
entered in the vessel’s official log
book, if one is required.
§ 16.260

Records.

(a) Employers must maintain records
of chemical tests as provided in 49 CFR
40.333 and must make these records
available to Coast Guard officials upon
request.
(b) The records shall be sufficient to:
(1) Satisfy the requirements of
§§ 16.210(b) and 16.220(c) of this part.
(2) Identify the total number of individuals chemically tested annually for
dangerous drugs in each of the categories of testing required by this part
including the annual number of individuals failing chemical tests and the

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Coast Guard, DOT

§ 16.500

number and types of drugs for which
individuals tested positive.
[CGD 86–067, 53 FR 47079, Nov. 21, 1988, as
amended by CGD 91–223, 60 FR 4526, Jan. 23,
1995; USCG–2000–7759, 66 FR 42968, Aug. 16,
2001]

Subpart C [Reserved]
Subpart D—Employee Assistance
Programs
§ 16.401 Employee Assistance Program
(EAP).
The employer shall provide an Employee Assistance Program (EAP) for
all crewmembers. The employer may
establish the EAP as a part of its internal personnel services or the employer
may contract with an entity that will
provide EAP services to a crewmember.
Each EAP must include education and
training on drug use for crewmembers
and the employer’s supervisory personnel as provided below:
(a) EAP education program: Each EAP
education program must include at
least the following elements: display
and distribution of informational material; display and distribution of a
community service hot-line telephone
number for crewmember assistance,
and display and distribution of the employer’s policy regarding drug and alcohol use in the workplace.
(b) EAP training program: An EAP
training program must be conducted
for the employer’s crewmembers and
supervisory personnel. The training
program must include at least the following elements: the effects and consequences of drug and alcohol use on
personal health, safety, and work environment; the manifestations and behavioral cues that may indicate drug
and alcohol use and abuse; and documentation of training given to crewmembers and the employer’s supervisory personnel. Supervisory personnel must receive at least 60 minutes
of training.

Subpart E—Management
Information System
§ 16.500 Management Information System requirements.
(a) Data collection. All marine employers must collect the following drug
and alcohol testing program data for
each calendar year:
(1) Total number of employees during
the calendar year that were subject to
the drug testing rules in this part.
(2) Number of employees subject to
testing under the anti-drug rules of
both the Coast Guard and another DOT
agency based on the nature of their assigned duties as identified by each
agency.
(3) Number of drug and alcohol tests
conducted identified by test type. Drug
test types are pre-employment, periodic, random, post-accident, and reasonable cause. Alcohol test types are
post-accident and reasonable cause.
(4) Number of positive drug test results verified by a Medical Review Officer (MRO) by test type and types of
drug(s). Number of alcohol tests resulting in a blood alcohol concentration
weight of .04 percent or more by test
type.
(5) Number of negative drug and alcohol test results reported by MRO by
test type.
(6) Number of applicants denied employment based on a positive drug test
result verified by an MRO.
(7) Number of marine employees with
a MRO-verified positive test result who
returned to duty in a safety-sensitive
position subject to required chemical
testing, after meeting the requirements of § 16.370(d) and part 5 of this
chapter.
(8) Number of marine employees with
positive drug test results verified by a
MRO as positive for one drug or a combination of drugs.
(9) Number of employees required
under this part to be tested who refused to submit to a drug test.
(10) Number of covered employees
and supervisory personnel who received
the required initial training.

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46 CFR Ch. I (10–1–02 Edition)

(b) Data reporting. (1) By March 15 of
the year following the collection of the
data in paragraph (a) of this section,
marine employers must submit the
data on Form CG–5573 to Commandant
(G–MOA), 2100 Second Street, SW,
Washington, DC, 20593–0001. Marine employers must complete all data fields
on the form.
(2) Form CG–5573 is reproduced in Appendix B of this part and you may obtain the form from any Marine Inspection Office. You may also download a
copy of Form CG–5573 from the U.S.
Coast Guard Marine Safety and Environmental Protection web site at http:/
/www.uscg.mil/hq/g-m/nmc/genpub.htm.
(3) A consortium or other employer
representative may submit data for a
marine employer. Reports may contain
data for more than one marine employer. Each report, however, must list
the marine employers included in the
report.

(4) Marine employers must ensure
that data submitted by a consortium
or other employer representative under
paragraph (b)(3) of this section is correct.
(c) After filing 3 consecutive annual
MIS reports since January 1, 1996, required by paragraph (b) of this section,
marine employers with 10 or fewer covered employees may stop filing the annual report each succeeding year during which they have no more than 10
covered employees.
(d) Marine employers who conduct
operations regulated by another Department of Transportation Operating
Administration must submit appropriate data to that Operating Administration for employees subject to that
Operating Administration’s regulations.
[USCG–1998–4469, 64 FR 22559, Apr. 27, 1999; 64
FR 31989, June 15, 1999]

APPENDIX A [RESERVED]

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Pt. 16, App. B

APPENDIX B TO PART 16—DRUG AND ALCOHOL TESTING MANAGEMENT
INFORMATION SYSTEM (MIS) DATA COLLECTION FORM

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INDEX
SUBCHAPTER B—MERCHANT MARINE OFFICERS AND SEAMEN
EDITORIAL NOTE: This listing is provided for informational purposes only. It is compiled and
kept current by the U.S. Coast Guard, Department of Transportation. This index is updated
as of October 1, 2002.
Part, subpart, or section

A
Able seaman:
Age requirement .......................................................................................... 12.05-3
Certification required .................................................................................. 12.05-1
Color sense test........................................................................................ 12.05-5(a)
Demonstration of ability ............................................................................. 12.05-9
Discharge of .................................................................................................... 14.10
Examination ................................................................................................ 12.05-9
Eye test ........................................................................................................ 12.05-5
General requirements for ............................................................................. 12.05-3
Hearing test ................................................................................................. 12.05-5
Medical examination.................................................................................... 12.05-5
Number required ........................................................................................... 15.840
Physical requirements ................................................................................. 12.05-5
Presentation of certificate........................................................................... 12.05-1
Ratings for which qualified ........................................................................ 12.05-11
Service in other ratings.............................................................................. 12.05-11
Service or training requirements................................................................. 12.05-7
Shipment of ................................................................................................ Part 14
Training requirements ................................................................................. 12.05-7
Tugs and towboats ................................................................................... 12.05-7(d)
Vision test.................................................................................................... 12.05-5
Acknowledgment of service for MODU............................................................. 10.476
Affidavits, loss of seaman’s documents ..................................................... 12.02-23(e)
Age requirements for:
Certification as able seaman........................................................................ 12.05-3
Licenses ..................................................................................................... 10.201(f)
Aliens, proving nationality ........................................................................... 12.02-14
Appeal:
License denial ............................................................................................... 10.204
Manning ........................................................................................................ 15.510
Seaman’s certificate................................................................................... 12.02-25
Applications:
Aliens ......................................................................................................... 12.02-10
Duplicate seamen’s documents................................................................... 12.02-23
False or incomplete information ........................................................... 10.205(f)(4)
Original license ......................................................................................... 10.202(a)
Raise of grade of license............................................................................ 10.207(a)
Renewal of license..................................................................................... 10.209(a)
Seamen’s documents .................................................................................... 12.02-9
Apprentice engineers ..................................................................................... 12.25-35
Apprentice mate ............................................................................................ 12.25-40

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46 CFR Ch. I (10–1–02 Edition)
Approved courses.............................................................................................. 10.302
Assistance towing:
Definition ............................................................................................ 10.103,15.301
License endorsement authorizing ................................................................. 10.482
Vessel manning requirement......................................................................... 15.410
Assistant electrician, ranking rating defined............................................. 12.15-3(b)
Assistant engineer (See also subpart B—General Requirements)
Definition ...................................................................................................... 10.103
Limited-oceans, service requirements .......................................................... 10.522
Uninspected fishing industry vessel .............................................................. 10.530
Automated vessels............................................................................................ 15.715
Auxiliary-sail vessels over 200 tons, service required for license endorsement ....................................................................................................... 10.401(f)

B
Ballast Control Operator:
Definition ...................................................................................................... 10.103
License requirements .................................................................................... 10.474
Barge supervisor:
Definition ...................................................................................................... 10.103
License requirements .................................................................................... 10.472
Basis and purpose of regulations ......................... 10.101, 12.01-1, 14.01-1, 15.101, 16.101
Boatswain, definition ....................................................................................... 10.103

C
Cabin watchmen ............................................................................................... 15.855
Cadet rating on merchant mariner’s document............................................. 12.25-25
Cardiopulmonary resuscitation (CPR) course certificate ............................ 10.205(h)
Certificate of discharge, issuing duplicates................................................... 12.02-23
Certificate of identification ...................................................................... 12.02-11(g)
Certificate of inspection ........................................................................ 15.505, 15.515
Certificate of registry (See also subpart B—General Requirements) ............... 10.801
Certificates of service:
Application .................................................................................................. 12.02-9
Entry ratings .............................................................................................. 12.25-10
Fees ............................................................................................................ 12.02-18
Ratings other than able seaman and QMED ............................................... 12.25-10
Service under.......................................................................................... 12.02-11(c)
When required .................................................................................. 12.02-7, 12.25-1
Where issued ................................................................................................ 12.02-3
Certificates of service for ratings other than able seaman and QMED:
General requirements ................................................................................. 12.25-10
When required .............................................................................................. 12.25-1
Certificates, report loss or recovery of .......................................................... 12.02-24
Certification as QMED, when required............................................................ 12.15-1
Certification of seamen:
Application for documents........................................................................... 12.02-9
Basis and purpose of regulations.................................................................. 12.01-1
Cadet .......................................................................................................... 12.25-25
Citizenship requirements............................................................................ 12.02-13
Documents required for shipment................................................................ 12.02-7
Fees ............................................................................................................ 12.02-18
Form in which documents issued.................................................... 12.02-5, 12.02-11
Oath requirement ....................................................................................... 12.02-15
Other than able seaman and QMED, when required ..................................... 12.25-1
Preparation and issuance of documents ..................................................... 12.02-17
QMED physical requirements ...................................................................... 12.15-5

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Subchapter B Index
Student observers ....................................................................................... 12.25-30
Character check and references for original license..................................... 10.205(f)
Chemical testing for dangerous drugs:
Analyses specimens of ................................................................................... 16.350
Applicability ................................................................................................. 16.201
Chain of custody............................................................................................ 16.320
Conflict with foreign laws ............................................................................. 16.207
Definitions .......................................................................................... 10.103, 16.105
Employee assistance program ....................................................................... 16.401
General procedures........................................................................................ 16.310
Laboratory requirements .............................................................................. 16.340
Medical Review Officer.................................................................................. 16.370
Periodic testing............................................................................................. 16.220
Pre-employment testing ............................................................................... 16.210
Purpose.......................................................................................................... 16.101
Random testing ............................................................................................. 16.230
Reasonable cause testing .............................................................................. 16.250
Records.......................................................................................................... 16.260
Release of information .................................................................................. 16.380
Report of specimen analyses ......................................................................... 16.360
Serious marine incident testing.................................................................... 16.240
Specimen handling and shipping ................................................................... 16.330
Standards ...................................................................................................... 16.301
Chief engineer: (See also subpart B—General Requirements)
Definition ...................................................................................................... 10.103
Limited-oceans, service requirements .......................................................... 10.518
Limited-near coastal, service requirements.................................................. 10.520
Requirement for ............................................................................................ 15.820
Uninspected fishing industry vessel, service requirements........................... 10.530
Unlimited, service requirements ................................................................... 10.510
Chief mate:
Definition ...................................................................................................... 10.103
Required service (See also subpart B—General Requirements)..................... 10.405
Chief purser
(See also subpart B—General Requirements)...................................... 10.803, 10.807
Citizenship:
Acceptable evidence .................................................................................. 10.205(c)
Requirements for license........................................................................... 10.201(e)
Requirements for seamen’s documents....................................................... 12.02-13
Color sense test, original license ............................................................. 10.205(d)(2)
Commandant evaluation of service for equivalency .................................... 10.211(e)
Commitment of employment:
Definition ...................................................................................................... 16.105
Continuous discharge book:
Application .................................................................................................. 12.02-9
Duplicate, issuance..................................................................................... 12.02-23
Convictions for drug violations.................................................................... 10.201(b)
Course approvals:
General standards ......................................................................................... 10.303
Period of approval ..................................................................................... 10.302(c)
Radar observer courses ....................................................................... 10.305, 10.307
Records retention...................................................................................... 10.303(d)
Renewal of approval .................................................................................. 10.302(d)
Request for approval ................................................................................. 10.302(a)
Substitution of training for required service ................................................ 10.304
Crewmember, definition ................................................................................... 16.105

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46 CFR Ch. I (10–1–02 Edition)
D
Day, definition ................................................................................................. 10.103
Decision of Officer in Charge, right of appeal .................................................. 10.204
Deck crew, definition ....................................................................................... 15.301
Deck engine mechanic ................................................................................... 12.15-13
Definitions:
Assistance towing ............................................................................... 10.103, 15.301
Assistant engineer......................................................................................... 10.103
Ballast control operator................................................................................ 10.103
Barge supervisor............................................................................................ 10.103
Boatswain...................................................................................................... 10.103
Chemical test ................................................................................................ 16.105
Chief engineer ............................................................................................... 10.103
Chief mate ..................................................................................................... 10.103
Crewmember.................................................................................................. 16.105
Dangerous drug ............................................................................................. 16.105
Dangerous drug level..................................................................................... 16.105
Day ................................................................................................................ 10.103
Deck crew ...................................................................................................... 15.301
Designated duty Engineer ............................................................................. 10.103
Drug test ....................................................................................................... 16.105
Employer ....................................................................................................... 16.105
Employment assigned to ............................................................................... 10.103
Endorsement ................................................................................................. 10.103
Evaluation ......................................................................................... 10.103, 12.01-6
Fails a test for dangerous drugs .................................................................... 16.105
First assistant engineer ................................................................................ 10.103
Great Lakes................................................................................................... 10.103
Horsepower .................................................................................................... 10.103
Inland waters ................................................................................................ 10.103
Intoxicant ..................................................................................................... 16.105
Lower level license ........................................................................................ 10.103
Marine employer ........................................................................................... 16.105
Master ........................................................................................................... 10.103
Mate .............................................................................................................. 10.103
Medical review officer ................................................................................... 16.105
Mobile offshore drilling unit ......................................................................... 10.103
Month ............................................................................................................ 10.103
Near coastal .................................................................................................. 10.103
Oceans ........................................................................................................... 10.103
Officer in Charge, Marine Inspection ............................................................ 10.103
Offshore installation manager ...................................................................... 10.103
On location .................................................................................................... 10.103
Operation (of a vessel) ................................................................................... 16.105
Operator ........................................................................................................ 10.103
Orally assisted examination.......................................................................... 10.103
Original document ....................................................................................... 12.01-6
Original license ............................................................................................. 10.103
Qualified rating............................................................................................ 12.01-6
Raise of grade................................................................................................ 10.103
Rivers ............................................................................................................ 10.103
Self-propelled ................................................................................................ 15.301
Senior company official ................................................................................ 10.103
Serious marine incident ................................................................................ 16.105
Sponsoring organization ............................................................................... 16.105
Staff officer ................................................................................................... 15.301
Underway ...................................................................................................... 10.103

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Subchapter B Index
Undocumented vessel .................................................................................... 10.103
Upper level license ........................................................................................ 10.103
Vessel owned in the United States ................................................................ 16.105
Western Rivers .............................................................................................. 10.103
Year............................................................................................................... 10.103
Denial of license........................................................................................... 10.202(g)
Denial of seaman’s certificate......................................................................... 12.02-4
Designated duty engineer (See also subpart B—General Requirements)
Definition ...................................................................................................... 10.103
License requirements .................................................................................... 10.524
Service authority................................................................................ 10.501, 15.915
Detention of a vessel .................................................................................... 15.701(c)
Discharge certificate, duplicate, issuance ..................................................... 12.02-23
Discharge of seamen, procedure ........................................................... Subpart 14.10
Discharge of seamen, rules and regulations ................................ Subpart 14.10, 14.15
Documentary evidence of service................................................................. 10.211(a)
Documents, seamen’s:
Application .................................................................................................. 12.02-9
Application from aliens .............................................................................. 12.02-10
Basis for denial of documents ...................................................................... 12.02-4
Fees ............................................................................................................ 12.02-18
Form in which issued ...................................................................... 12.02-5, 12.02-11
Production of required .................................................................................. 14.205
When required .............................................................................................. 12.02-7
Where issued ................................................................................................ 12.02-3
Drugs, disqualifying for license or COR ....................................................... 10.201(b)
Drug testing:
Analyses of specimens ................................................................................... 16.350
Applicability ................................................................................................. 16.201
Chain of custody............................................................................................ 16.320
Conflict with foreign laws ............................................................................. 16.207
Definitions .......................................................................................... 10.103, 16.105
Employee assistance program ....................................................................... 16.401
General procedures........................................................................................ 16.310
Laboratory requirements .............................................................................. 16.340
Medical Review Officer.................................................................................. 16.370
Periodic testing............................................................................................. 16.220
Pre-employment testing ............................................................................... 16.210
Purpose.......................................................................................................... 16.101
Random testing ............................................................................................. 16.230
Reasonable cause testing .............................................................................. 16.250
Records.......................................................................................................... 16.260
Release of information .................................................................................. 16.380
Report of specimen analyses ......................................................................... 16.360
Serious marine incident testing.................................................................... 16.240
Specimen handling and shipping ................................................................... 16.330
Standards ...................................................................................................... 16.301
Dual mode ITB ............................................................................................. 10.211(d)
Duplicate license:
Fee ............................................................................................................ 10.109(e)
Issuance......................................................................................................... 10.219
Duplicate seamen’s documents:
Application ................................................................................................. 12.02-23
Fee...................................................................................................... 12.02-18(a)(5)
Issuance ...................................................................................................... 12.02-23

E
Electrician:

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46 CFR Ch. I (10–1–02 Edition)
Assistant, rating defined.............................................................................. 12.15-3
Examination ................................................................................................ 12.15-9
Employer, definition ........................................................................................ 16.105
Endorsement:
Able seamen ................................................................................................. 12.05-7
Definition ...................................................................................................... 10.103
Food handler ................................................................................. 12.25-10, 12.25-20
License fee..................................................................................................... 10.109
Merchant mariner’s document:
Able seamen .............................................................................................12.05-11
Apprentice engineer .................................................................................12.25-35
Fees .....................................................................................................12.02-18(a)
General provisions ...................................................................................12.02-11
Licensed officers ..................................................................................12.02-11(d)
QMED.......................................................................................................12.15-11
Staff officer..........................................................................................12.02-11(e)
Pilot’s endorsement to master’s, mate’s or OUTV’s license ......................... 10.703
Engineer:
Apprentice engineer ................................................................................... 12.25-35
Requirement for ............................................................................................ 15.825
Engineer’s Licenses: (See also subpart B—General Requirements)
Horsepower limitation .................................................................................. 10.503
Service authorization ......................................................................... 10.501, 15.915
Uninspected fishing industry vessel .............................................................. 10.530
Engineman..................................................................................................... 12.15-15
Engine mechanic, deck .................................................................................. 12.15-13
English language proficiency ....................................................................... 10.201(c)
Equivalents, manning ...................................................................................... 15.901
Equivalent, service....................................................................................... 10.211(e)
Evaluation:
Definition .......................................................................................... 10.103, 12.01-6
Experience not listed ................................................................................ 10.211(e)
Sea service as member of armed forces of U.S. ............................................. 10.213
Sea service on vessels owned by U.S. ............................................................ 10.213
Examination for license:
Fees ............................................................................................................... 10.109
List of subjects:
Deck............................................................................................................10.910
Engineer .....................................................................................................10.950
Procedures ..................................................................................................10.217
Examination for seaman’s documents:
Able seaman ................................................................................................. 12.05-9
Fees ............................................................................................................ 12.02-18
Lifeboatman................................................................................................. 12.10-5
Qualified member engine department .......................................................... 12.15-9
Ratings other than able seaman or QMED ................................................. 12.25-10
Reexamination ........................................................................................... 12.02-17
To be given as soon as practicable .................................................. 12.02-17, 12.20-5
Expired license, reissue ................................................................................ 10.209(f)
Extension of pilot’s route............................................................................. 10.705(c)
Eyesight requirements ................................................................................. 10.205(d)

F
Failure on examination for license .................................................................. 10.217
False or incomplete application ............................................................... 10.205(f)(4)
Familiarity with vessel ..................................................................... 10.101(b), 15.405
Fees:

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Exemptions ................................................................................................... 10.112
License .......................................................................................................... 10.112
Merchant mariner’s documents .................................................................. 12.02-18
Penalties ...................................................................................... 10.111, 12.02-18(d)
Fingerprint records, original license ........................................................ 10.205(f)(2)
Fire patrolmen ................................................................................................. 15.855
Firefighting training certificate.................................................... 10.205(g), 10.207(f)
First aid certificate, for original license ..................................................... 10.205(h)
First assistant engineer:
Definition ...................................................................................................... 10.103
Required service (See also subpart B—General Requirements)..................... 10.512
First class pilot (See also subpart B—General Requirements)......................... 10.701
Fishing industry vessel licenses (See also subpart B—General Requirements)
Deck .............................................................................................................. 10.462
Engineer ........................................................................................................ 10.530
Food handler:
Endorsement on merchant mariner’s document......................................... 12.25-10
Medical examination .................................................................................. 12.25-20
Foreign nationals:
License eligibility ..................................................................................... 10.201(e)
Seaman’s certificate eligibility.................................................................. 12.02-14
Serving on U.S. vessels.................................................................................. 15.720
Foreign service ............................................................................. 10.205(e)(3) and (4)
Form in which seamen’s documents are issued............................................... 12.02-5

G
General provisions:
Merchant mariner’s documents .................................................................. 12.02-11
Endorsed as able seaman..........................................................................12.05-11
Endorsed as QMED ...................................................................................12.15-11
General requirements:
Able seaman ................................................................................................. 12.05-3
Deck engine mechanic ................................................................................ 12.15-13
Engineman.................................................................................................. 12.15-15
Issuance of merchant mariner’s documents for ratings other than able
seaman or QMED .................................................................................. 12.25-10
Licenses ................................................................................................. Subpart B
Tankerman ............................................................................... 13.107, 13.203, 13.401
Glasses, required wearing......................................................................... 10.209(e)(1)
Great Lakes, definition .................................................................................... 10.103

H
Horsepower:
Definition ...................................................................................................... 10.103
Limitations on engineer’s license ................................................................. 10.503
Hospital corpsman ....................................................................................... 10.809(b)

I
Inland waters, definition .................................................................................. 10.103
Integrated tug and barge, dual mode ........................................................... 10-211(d)
Issuance:
Duplicate license ........................................................................................... 10.219
Duplicate seamen’s documents................................................................... 12.02-23
Fees:
Licenses ......................................................................................................10.109
Merchant mariner’s documents .......................................................12.02-18(a)(4)

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46 CFR Ch. I (10–1–02 Edition)
Licenses......................................................................................................... 10.202
Merchant mariner’s documents .................................................................. 12.02-11
Seamen’s documents after revocation ........................................................ 12.02-21

J
Junior assistant purser .......................................................................... 10.803, 10.807
Junior engineer, examination ......................................................................... 12.15-9

L
Language requirements:
Able seaman examination........................................................................ 12.05-9(b)
Crew .............................................................................................................. 15.730
License applicants..................................................................................... 10.201(c)
Puerto Rican waters, OUPV...................................................................... 10.466(h)
Puerto Rican waters, OUTV ...................................................................... 10.464(i)
Lifeboatman examination........................................................................ 12.10-5(b)
QMED examination........................................................ 13.201, 13.301, 13.401, 13.501
Tankerman examination.............................................................................. 12.20-5
License:
Application for original ............................................................................ 10.202(a)
Application for renewal ............................................................................ 10.209(a)
Citizenship requirement ............................................................. 10.201(e), 10.205(c)
Denial........................................................................................................ 10.202(g)
Duplicate license ........................................................................................... 10.219
Examination subjects:
Deck............................................................................................................10.910
Engineer .....................................................................................................10.950
Fees ............................................................................................................... 10.109
Issuance......................................................................................................... 10.202
Lifting of limitations .................................................................................... 10.215
Limitations, authority to impose ............................................................. 10.202(h)
Loss ............................................................................................................... 10.219
Officer in Charge, Marine Inspection’s authority to reduce license requirements and issue limited license.................................................. 10.202(h)
Parting with .................................................................................................. 10.221
Restrictions, serving within.......................................................................... 15.401
Lifeboatman:
Certification required .................................................................................. 12.10-1
Demonstration of ability ............................................................................. 12.10-5
Examination ................................................................................................ 12.10-5
Endorsement on merchant mariner’s document .......................................... 12.10-7
Members of Merchant Marine Cadet Corps ..................................... 12.10-3, 12.25-25
Number required ........................................................................................... 15.845
Service requirements ................................................................................... 12.10-3
Training requirements ................................................................................. 12.10-3
When certificate required ............................................................................ 12.10-1
Limitation on license, lifting ............................................................ 10.202(h), 10.215
Lookouts .......................................................................................................... 15.850
Loss of license .................................................................................................. 10.219
Lost document, affidavit ........................................................................... 12.02-23(e)
Lower level license, definition ......................................................................... 10.103

M
Manning equivalents ................................................................... Part 15, Subpart H
Manning, required:
Able seaman .................................................................................................. 15.840

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Subchapter B Index
Chief engineer ............................................................................................... 15.820
Engineer ........................................................................................................ 15.825
Lifeboatmen .................................................................................................. 15.845
Master ........................................................................................................... 15.805
Mate .............................................................................................................. 15.810
OCMI will determine ..................................................................................... 15.801
Pilot .............................................................................................................. 15.812
Radio officer.................................................................................................. 15.830
Substitution of non-U.S. licensed or documented personnel......................... 15.720
Marine employer, definition............................................................................. 16.105
Marine physician assistant .......................................................................... 10.809(a)
Master: (See also subpart B—General Requirements)
Definition ...................................................................................................... 10.103
Great Lakes and inland:
Any gross tons ............................................................................................10.433
Limited master...........................................................................................10.456
Not more than 1600 gross tons ....................................................................10.442
Not more than 500 gross tons ......................................................................10.446
Not more than 200 gross tons ......................................................................10.452
Not more than 100 gross..............................................................................10.455
Inland:
Any gross tons ............................................................................................10.435
Not more than 100 gross tons ......................................................................10.457
Near coastal:
Any gross tons ............................................................................................10.404
Limited master...........................................................................................10.429
Not more than 1600 gross tons ....................................................................10.412
Not more than 500 gross tons ......................................................................10.418
Not more than 200 gross tons ......................................................................10.426
Not more than 100 gross tons ......................................................................10.428
Oceans:
Any gross tons ............................................................................................10.404
Not more than 1600 gross tons ....................................................................10.412
Not more than 500 gross tons ......................................................................10.418
Not more than 200 gross tons ......................................................................10.424
Requirement for .........................................................................................15.805
Rivers .........................................................................................................10.459
Uninspected fishing industry vessels ..........................................................10.462
Mate: (See also subpart B—General Requirements)
Definition ...................................................................................................... 10.103
Great Lakes and inland:
Any gross tons ............................................................................................10.437
Not more than 1600 gross tons ....................................................................10.444
Not more than 500 gross tons ......................................................................10.448
Not more than 200 gross tons ......................................................................10.454
Near coastal:
Not more than 1600 gross tons ....................................................................10.416
Not more than 500 gross tons ......................................................................10.421
Not more than 200 gross tons ......................................................................10.427
Oceans:
Not more than 1600 gross tons ....................................................................10.414
Not more than 500 gross tons ......................................................................10.420
Requirement for ............................................................................................ 15.810
Rivers ............................................................................................................ 10.459
Uninspected fishing industry vessels ............................................................ 10.462
Mechanic, deck engine................................................................................... 12.15-13
Medical Doctor ...................................................................................... 10.803, 10.807
Medical examination:

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Able Seaman ................................................................................................ 12.05-5
Food Handler .............................................................................................. 12.25-20
Original license ......................................................................................... 10.205(d)
Pilot, annual ................................................................................................. 10.709
QMED ........................................................................................................... 12.15-5
Raise of grade of license............................................................................ 10.207(e)
Renewal of license..................................................................................... 10.209(d)
Tankerman.................................................................................................... 13.125
Medical review officer, definition .................................................................... 16.105
Merchant Marine Cadet Corps, issuance of merchant mariner’s documents ....................................................................................................... 12.25-25
Merchant mariner’s document:
Able seaman endorsement considered for lifeboat certificate ...... 12.02-11(f), 12.0511(b), 12.10-1, 12.10-7
Application .................................................................................................. 12.02-9
Cadet .......................................................................................................... 12.25-25
Citizenship requirements............................................................................ 12.02-13
Considered a certificate of identification............................................... 12.02-11(g)
Duplicate, issuance..................................................................................... 12.02-23
Endorsement as able seaman, authorities of .............................................. 12.05-11
Endorsement as lifeboatman, able seaman as.............................................. 12.10-7
Endorsement for ratings other than able seaman or QMED ........... 12.25-1, 12.25-10
Endorsements, general provisions .............................................................. 12.02-11
Entry ratings .............................................................................................. 12.25-10
Fees ............................................................................................................ 12.02-18
Food handler endorsement ............................................................ 12.25-10, 12.25-20
Form in which issued ................................................................................... 12.02-5
Issuance after revocation ........................................................................... 12.02-21
Issuance of duplicate .................................................................................. 12.02-23
Issuance to members of Merchant Marine Cadet Corps .............................. 12.25-25
Issuance to ratings other than able seaman or QMED ............................... 12.25-10
Issuance to student observers..................................................................... 12.25-30
Lifeboatman endorsement ........................................................................... 12.10-7
Loss, report of ............................................................................... 12.02-23, 12.02-24
Oath requirement ....................................................................................... 12.02-15
Preparation and issuance ........................................................................... 12.02-17
Qualified member engine department (QMED):
Endorsement ............................................................................................12.15-11
Examinations ............................................................................................12.15-9
Service or training requirements................................................................. 12.15-7
Seaman producing document, when required ................................................ 14.205
Signature and thumb-print .................................................................... 12.02-17(c)
Social security number .......................................................................... 12.02-17(d)
Stolen, report of ........................................................................ 12.02-23(d), 12.02-24
Student observer rating.............................................................................. 12.25-30
Suspension or revocation.................................................................................... 13
Tankerman endorsement ................................................................................ 12.20
When required .............................................................................................. 12.02-7
Where issued ................................................................................................ 12.02-3
Military service................................................................................................ 10.213
Mobile offshore drilling units:
Definition ...................................................................................................... 10.103
Licenses for ................................................................................................... 10.468
Manning of .................................................................................................... 15.520
Month, definition ............................................................................................. 10.103

N
Near coastal, definition.................................................................................... 10.103

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Subchapter B Index
O
Oath:
License ...................................................................................................... 10.202(d)
Seaman’s documents .................................................................................. 12.02-15
Oceans, definition............................................................................................. 10.103
Officer in Charge, Marine Inspection, definition..................................... 10.103, 5.301
Officers’ Competency Certificates Convention, 1936......................................... 15.701
Offshore installation manager:
Definition ...................................................................................................... 10.103
Required service (See also subpart B—General Requirements)..................... 10.470
On location, definition ..................................................................................... 10.103
Operation (of a vessel), definition .................................................................... 16.105
Operator, definition.......................................................................................... 10.103
Operator of uninspected passenger vessels:
Equivalents ................................................................................................... 15.905
Required service: (See also subpart B—General Requirements).................... 10.466
Operator of uninspected towing vessels:
Equivalents ................................................................................................... 15.910
Required service: (See also subpart B—General Requirements).................... 10.464
Oral examinations:
Able seaman............................................................................................. 12.05-9(a)
Definition ...................................................................................................... 10.103
License................................................................................................... 10.205(i)(1)
Lifeboatman............................................................................................. 12.10-5(a)
QMED ........................................................................................................... 12.15-9
Tankerman................................................................................................... 12.20-5
Original document, definition......................................................................... 12.01-6
Original license:
Age requirement ........................................................................................ 10.201(f)
Cardiopulmonary resuscitation (CPR) course certificate ......................... 10.205(h)
Character check and references ................................................................. 10.205(f)
Citizenship ................................................................................................ 10.205(c)
Definition ...................................................................................................... 10.103
Experience requirements........................................................................... 10.205(e)
Fees ............................................................................................................... 10.109
Fingerprint records................................................................................ 10.205(f)(2)
Firefighting certificate required............................................................... 10.205(g)
First aid certificate required .................................................................... 10.205(h)
Issuance to applicant on probation........................................................ 10.205(f)(3)
Issuance to naturalized citizen.............................................................. 10.205(e)(4)
Not issued to naturalized citizens on less experience than required of
a citizen by birth ............................................................................. 10.205(e)(2)
Physical examination ............................................................................... 10.205(d)
Professional examination .......................................................................... 10.205(i)
Recommendations of master and other officers required ...................... 10.205(f)(1)

P
Parting with license ......................................................................................... 10.221
Payment for duplicate seaman’s documents ......................................... 12.02-18(a)(5)
Period of grace, expired license renewal .................................................. 10.209(e)(1)
Photographs................................................................................................ 12.02-9(b)
Physical examination:
Able seaman ................................................................................................. 12.05-3
Food handler............................................................................................... 12.25-20
Original license ......................................................................................... 10.205(d)
Pilot, annual ................................................................................................. 10.709

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46 CFR Ch. I (10–1–02 Edition)
Raise of grade of license............................................................................ 10.207(e)
Renewal of license..................................................................................... 10.209(d)
Tankerman.................................................................................................... 13.125
QMED ........................................................................................................... 12.15-5
Physical requirements:
Able seaman ................................................................................................. 12.05-5
Original license ......................................................................................... 10.205(d)
Pilot, annual ................................................................................................. 10.709
QMED ........................................................................................................... 12.15-5
Raise of grade of license............................................................................ 10.207(e)
Renewal of license..................................................................................... 10.209(d)
Tankerman................................................................................................... 12.20-3
Physical waiver ........................................................................................ 10.205(d)(4)
Pilot: (See also subpart B—General Requirements)
Current knowledge requirement ................................................................... 10.713
Endorsement of master’s or mate’s license............................................... 10.703(d)
Examination for license ................................................................................ 10.707
Extension of route..................................................................................... 10.705(c)
Minimum number of trips for license ....................................................... 10.705(b)
Minimum number of trips for extension of route...................................... 10.705(c)
Requirement for ............................................................................................ 15.812
Service required ............................................................................................ 10.703
Probation, applicant on:
Original license...................................................................................... 10.205(f)(3)
Raise of grade ........................................................................................ 10.207(c)(6)
Professional examination for license:
Expired over 12 months.............................................................................. 10.209(f)
Fees ............................................................................................................... 10.109
Original license.......................................................................................... 10.205(i)
Raise of grade of license............................................................................ 10.207(d)
Renewal..................................................................................................... 10.209(c)
Professional nurse ................................................................................. 10.803, 10.807
Purser .................................................................................................... 10.803, 10.807

Q
Qualified member engine department:
Certification required .................................................................................. 12.15-1
Definition..................................................................................................... 12.15-3
Examination, list of subjects ....................................................................... 12.15-9
Examination requirements .......................................................................... 12.15-9
General requirements................................................................................... 12.15-3
Endorsement on merchant mariner’s document......................................... 12.15-11
Physical requirements ................................................................................. 12.15-5
Ratings ....................................................................................................... 12.15-11
Service or training requirements................................................................. 12.15-7
Qualified rating, definition ............................................................................. 12.01-6
Qualifying experience for license:
Sea service as member of armed forces of U.S. ............................................. 10.213
Sea service on vessels owned by U.S. ............................................................ 10.213

R
Radar observer:
Qualification courses .................................................................................... 10.305
Qualifications for .......................................................................................... 10.480
Requirement for ............................................................................................ 15.815
Radio officers: (See also subpart B—General Requirements)
License .......................................................................................................... 10.601

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Subchapter B Index
Requirement for ............................................................................................ 15.830
Raise of grade of license:
Age requirement.................................................................................... 10.207(c)(1)
Applicant on probation ......................................................................... 10.207(c)(6)
Applicant who has lost sight in one eye ................................................ 10.207(e)(3)
Definition ...................................................................................................... 10.103
Documentary evidence of service .......................................................... 10.207(c)(2)
Not issued to naturalized citizen on less experience than required of a
citizen by birth................................................................................ 10.207(c)(4)
Physical requirements .............................................................................. 10.207(e)
Professional examination ......................................................................... 10.207(d)
Recency of sea service............................................................................... 10.202(e)
Sea service acquired prior to issuance of license held not acceptable.................................................................................................. 10.207(c)(3)
Surrendering old license ........................................................................... 10.207(b)
Recency of experience or sea service............................................................ 10.202(e)
Reexamination for:
License ...................................................................................................... 10.217(a)
Seaman’s document ................................................................................ 12.02-17(f)
References, character for license .................................................................. 10.205(f)
Registration of staff officers ............................................................................ 10.803
Reissue of expired license ............................................................................. 10.209(f)
Reissue of duplicate seamen’s documents ..................................................... 12.02-23
Related service ......................................................................................... 10.209(c)(1)
Renewal of licenses:
After expiration .................................................................................... 10.209(e)(1)
Applicant who has lost the sight of one eye.......................................... 10.209(d)(3)
Applicant .................................................................................................. 10.209(a)
Before expiration................................................................................... 10.209(e)(2)
Expired license .......................................................................................... 10.209(f)
Fees ............................................................................................................... 10.109
Inactive license renewal for continuity purposes ..................................... 10.209(g)
Mailing of .............................................................................................. 10.209(e)(3)
Period of grace ...................................................................................... 10.209(e)(1)
Physical requirements .............................................................................. 10.209(d)
Pilot............................................................................................ 10.209(c)(3), 10.713
Professional requirements ........................................................................ 10.209(c)
Radio officer.......................................................................................... 10.209(c)(4)
Suspended license ..................................................................................... 10.209(b)
Revocation of seamen’s documents .................................................. 12.02-19, 12.02-21
Right of appeal from decision of Officer in Charge ............................. 10.204, 12.02-25
Rivers, definition ............................................................................................. 10.103

S
Sail vessels, license endorsement ................................................................. 10.401(f)
Sailing short .................................................................................................... 15.725
Seamen:
Application for documents........................................................................... 12.02-9
Cadet-midshipmen ...................................................................................... 12.25-25
Certificate of identification, where issued ................................................... 12.02-3
Certificates of service, where issued ............................................................ 12.02-3
Citizenship requirements............................................................................ 12.02-13
Continuous discharge books, where issued................................................... 12.02-3
Not shipped or discharged before shipping commissioner .......................... 14.05-10
Paying off during voyage ............................................................................. 14.05-7
Suspension or revocation of documents ..................................................... 12.02-19
Temporary permit in lieu of regular certificates......................................... 12.02-3
Seamen’s documents:

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46 CFR Ch. I (10–1–02 Edition)
Aliens .............................................................................................. 12.02-3, 12.02-14
Application .................................................................................................. 12.02-9
Citizenship requirements............................................................................ 12.02-13
Commitment of employment required for entry ratings ............................. 12.25-5
Duplicates, procedure for obtaining ........................................................... 12.02-23
General provisions ...................................................................................... 12.02-11
Endorsements ............................................................................................. 12.02-11
Entry ratings, commitment of employment required.................................. 12.25-5
Fees ............................................................................................................ 12.02-18
Form in which issued ....................................................................... 12.02-5, 12.02-1
Loss ............................................................................................................ 12.02-23
Oath requirement ....................................................................................... 12.02-15
Other than able seaman or QMED, when required ....................................... 12.25-1
Preparation and issuance ........................................................................... 12.02-17
QMED, service or training requirements ..................................................... 12.15-7
Revocation, issuance after ......................................................................... 12.02-21
Stolen, lost, or destroyed, report of ........................................................... 12.02-23
Student observers ....................................................................................... 12.25-30
Suspension or revocation ........................................................................... 12.02-19
Temporary permit in lieu of regular certificates .................................... 12.02-3(b)
When required .............................................................................................. 12.02-7
Second assistant engineer (See also subpart B—General Requirements) ........................................................................................................ 10.514
Second class operator of uninspected towing vessels (See also subpart
B—General Requirements) ..................................................................... 10.464(d)
Second mate (See also subpart B—General Requirements).............................. 10.406
Self-propelled, definition.................................................................................. 15.301
Senior assistant purser .......................................................................... 10.803, 10.807
Senior company official, definition.................................................................. 10.103
Serious marine incident, definition ................................................................. 16.105
Service requirements for licenses:
Creditable service.......................................................................................... 10.211
Documentation for original license....................................................... 10.205(e)(1)
Documentation for raise of grade of license.......................................... 10.207(c)(2)
Equivalent service......................................................................................... 10.211
Experience on foreign vessels ............................................. 10.205(e)(3), 10.207(c)(5)
Experience on motor vessels were licenses not required ........................... 10.422(c)
Recency ..................................................................................................... 10.202(e)
Self certification....................................................................................... 10.211(a)
Training substitution for required service .................................................... 10.304
Service within restrictions of license............................................................... 15.401
Shipping articles:
Completing at voyage end ............................................................................. 14.309
Form.............................................................................................................. 14.207
Posting .......................................................................................................... 14.211
Paying off during voyage .............................................................................. 14.301
Preparation ................................................................................................... 14.209
Reporting shipment and discharge of seamen..................................... 14.213, 14.311
Signaling examination for deck officer’s ..................................................... 10.401(h)
Signature ..................................................................................................... 10.202(c)
Simulator training....................................................................................... 10.304(d)
Social security number ............................................................................. 12.02-17(d)
Sponsoring organization .................................................................................. 16.105
Staff officers:
Definition ...................................................................................................... 15.301
Required service (See also subpart B—General Requirements)..................... 10.803
Requirement for ............................................................................................ 15.835
Student observers, issuance of merchant mariner’s document ..................... 12.25-30

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Subchapter B Index
Surrender of old license upon issuance of a new license .............................. 10.207(b)
Suspension or revocation:
Licenses......................................................................................................... 10.223
Seamen’s documents .................................................................................. 12.02-19

T
Tankerman:
Examination requirements......................................................................... Part 13
General requirements.................................................................................... 13.107
Officer’s license considered certification ...................................................... 13.113
Physical requirements .................................................................................. 13.125
Temporary MODU license ................................................................................ 10.476
Third assistant engineer (See also subpart B—General Requirements) ........................................................................................................ 10.516
Third mate (See also subpart B—General Requirements) ................................ 10.407
Tonnage limitations:
Computation for license............................................................................ 10.402(b)
Computations for vessels not more than 200 gross tons ............................ 10.422(a)
Raises for vessels over 1600 gross tons....................................................... 10.402(c)
Raises for vessels not more than 200 gross tons ........................................ 10.422(b)
Training course approvals:
General standards ......................................................................................... 10.303
Period of approval..................................................................................... 10-302(c)
Radar observer courses ....................................................................... 10.305, 10.307
Records retention...................................................................................... 10.303(d)
Renewal of approval .................................................................................. 10.302(d)
Request for approval ................................................................................. 10.302(a)
Substitution of training for required service ................................................ 10.304

U
Underway, definition........................................................................................ 10.103
Undocumented vessel, definition...................................................................... 10.103
Uninspected passenger vessels:
Equivalent licenses ....................................................................................... 15.905
License (See also subpart B—General Requirements) ................................... 10.466
Manning ........................................................................................................ 15.905
Uninspected towing vessels:
Equivalent licenses ....................................................................................... 15.910
License (See also subpart B—General Requirements) ................................... 10.464
Manning ........................................................................................................ 15.610
Upper level license, definition.......................................................................... 10.103

V
Vessel familiarity.............................................................................. 10.101(b), 15.405
Vessel owned in the United States, definition ................................................. 16.105
Vision:
Glasses ....................................................................................................... 10.202(f)
Loss in one eye ................................................................... 10.207(e)(3), 10.209(d)(3)
Requirements:
Deck officers (master, mate, pilot, operator) .....................................10.205(d)(2)
Engineer officers ................................................................................10.205(d)(3)
Mobile offshore units..........................................................................10.205(d)(3)
Radio officers......................................................................................10.205(d)(3)
Waiver ................................................................................................10.205(d)(4)

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46 CFR Ch. I (10–1–02 Edition)
W
Waiver of physical standards ................................................................... 10.205(d)(4)
Watches ............................................................................................................ 15.705
Watchmen ........................................................................................................ 15.855
Waters, restrictions on authority of engineer’s licenses ....................... 15.501, 15.519
Western Rivers, definition ............................................................................... 10.103
Working hours .................................................................................................. 15.710

Y
Year, definition ................................................................................................ 10.103

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