1625-0040 Stat/Authority

SUBCHAPTER B—MERCHANT MARINE OFFICERS AND
SEAMEN
PART 10—MERCHANT MARINER
CREDENTIAL
Subpart A—General
Sec.
10.101
10.103
10.105
10.107
10.109

Purpose.
Incorporation by reference.
Paperwork approval. [Reserved]
Definitions in subchapter B.
Classification of endorsements.

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

Subpart C—Medical Certification

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

Subpart D—Training Courses and Programs
10.401
10.402

Applicability.
Approval of training courses.

10.403 General standards.
10.404 Substitution of training for required
service, use of training-record books
(TRBs), and use of towing officer assessment records (TOARs).
10.405 Qualification as qualified assessor
(QA) and designated examiner (DE).
10.406 Approved courses.
10.407 Approval of training programs.
10.408 Coast Guard-accepted training other
than approved courses and programs.
10.409 Coast Guard-accepted Quality Standard System (QSS) organizations.
10.410 Quality Standard System (QSS) requirements.
10.411 Simulator performance standards.
10.412 Distance and e-learning.
AUTHORITY: 14 U.S.C. 503; 31 U.S.C. 9701; 46
U.S.C. 2101, 2103, 2110; 46 U.S.C. chapter 71; 46
U.S.C. chapter 73; 46 U.S.C. chapter 75; 46
U.S.C. 2104; 46 U.S.C. 7701, 8903, 8904, and
70105; Executive Order 10173; Department of
Homeland Security Delegation No. 0170.1.
SOURCE: USCG–2006–24371, 74 FR 11216, Mar.
16, 2009, unless otherwise noted.

Subpart A—General
§ 10.101 Purpose.
The regulations in this part provide:
(a) A means of determining and
verifying the qualifications an applicant must possess to be eligible for certification to serve on merchant vessels;
(b) A means of determining that an
applicant is competent to serve under
the authority of his or her merchant
mariner credential (MMC);
(c) A means of confirming that an applicant does not pose a threat to national security through the requirement to hold a Transportation Worker
Identification Credential (TWIC); and
(d) A means of determining whether
the applicant for an MMC is a safe and
suitable person.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2004–17914, 78 FR 77882,
Dec. 24, 2013]

§ 10.103 Incorporation by reference.
(a) Certain material is incorporated
by reference into this part with the approval of the Director of the Federal
Register under 5 U.S.C. 552(a) and 1
CFR part 51. To enforce any edition

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Coast Guard, DHS

§ 10.107

other than that specified in this section, the Coast Guard must publish notice of change in the FEDERAL REGISTER and the material must be available to the public. All approved material is available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at
NARA, call 202–741–6030 or go to http://
www.archives.gov/federallregister/
codeloflfederallregulations/
ibrllocations.html. Also, it is available
for inspection at the Office of Merchant Mariner Credentialing (CG–
MMC), U.S. Coast Guard Stop 7509, 2703
Martin Luther King Jr. Avenue SE.,
Washington, DC 20593–7509, 202–372–1492
and is available from the sources indicated in this section.
(b) International Maritime Organization (IMO), 4 Albert Embankment,
London SE1 7SR, England, telephone: +
44 (0)20 7735 7611, http://www.imo.org:
(1) The International Convention on
Standards of Training, Certification
and Watchkeeping for Seafarers, 1978,
as amended, 2011 (the STCW Convention or the STCW), incorporation by
reference approved for §§ 10.107, 10.109,
10.201, and 10.410.
(2) The Seafarers’ Training, Certification and Watchkeeping Code, as
amended, 2011 (the STCW Code), incorporation by reference approved for
§§ 10.107, 10.109, 10.201, 10.404, 10.411, and
10.412.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2009–0702, 74 FR 49224,
Sept. 25, 2009; USCG–2013–0671, 78 FR 60145,
Sept. 30, 2013; USCG–2004–17914, 78 FR 77882,
Dec. 24, 2013; USCG–2016–0315, 81 FR 43955,
July 6, 2016]

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§ 10.105 Paperwork
served]

approval.

[Re-

§ 10.107 Definitions in subchapter B.
(a) With respect to part 16 of this
subchapter only, if the definitions in
paragraph (b) of this section differ from
those set forth in § 16.105, the definition
set forth in § 16.105 applies.
(b) As used in this subchapter, the
following terms apply only to merchant marine personnel credentialing
and the manning of vessels subject to
the manning provisions in the navigation and shipping laws of the United
States:

Able seafarer-deck means a rating
qualified in accordance with the provisions of Regulation II/5 of the STCW
Convention.
Able seafarer-engine means a rating
qualified in accordance with the provisions of Regulation III/5 of the STCW
Convention.
Apprentice mate (steersman) of towing
vessels means a credentialed mariner in
training
to
perform
bridge
watchkeeping duties onboard a towing
vessel, who must be under the direct
supervision and in the continuous presence of a master or mate (pilot) of towing vessels.
Approved means approved by the
Coast Guard.
Approved training means training
that is approved by the Coast Guard or
meets the requirements of § 10.408 of
this part.
Articulated tug barge or ATB means
any tug-barge combination which,
through the use of an articulated or
‘‘hinged’’ connection system between
the tug and barge, allows independent
movement in the critical area of fore
and aft pitch.
Assistance towing means towing a disabled vessel for consideration.
Assistant engineer, for national endorsements, means a qualified officer in
the engine department other than the
chief engineer.
Authorized official includes, but is not
limited to, a Federal, State or local
law enforcement officer.
Ballast control operator or BCO means
an officer restricted to service on mobile offshore drilling units (MODUs)
whose duties involve the operation of
the complex ballast system found on
many MODUs. When assigned to a
MODU, a ballast control operator is
equivalent to a mate on a conventional
vessel.
Barge means a non-self propelled vessel as defined in 46 U.S.C 102.
Barge supervisor or BS means an officer restricted to service on MODUs
whose duties involve support to the offshore installation manager (OIM) in
marine-related matters including, but
not limited to, maintaining watertight
integrity, inspecting and maintaining
mooring and towing components, and

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§ 10.107

46 CFR Ch. I (10–1–21 Edition)

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

material or process meets the applicable requirements.
Coast Guard-accepted QSS organization
means an entity that has been approved by the Coast Guard to accept
and monitor training on behalf of the
Coast Guard.
Coastwise seagoing vessel means a vessel that is authorized by its Certificate
of Inspection to proceed beyond the
Boundary Line established in part 7 of
this chapter.
Coastwise voyage is a domestic voyage
and means a voyage in which a vessel
proceeds—
(1) From one port or place in the
United States to another port or place
in the United States;
(2) From a port or place in a United
States possession to another port or
place in the same possession, and
passes outside the line dividing inland
waters from the high seas; or
(3) From a port or place in the United
States or its possessions and passes
outside the line dividing inland waters
from the high seas and navigates on
the high seas, and then returns to the
same port or place.
Communicable disease means any disease capable of being transmitted from
one person to another directly, by contact with excreta or other discharges
from the body; or indirectly, via substances or inanimate objects contaminated with excreta or other discharges
from an infected person. Pursuant to 42
U.S.C. 12113, the Department of Health
and Human Services periodically publishes in the FEDERAL REGISTER a list
of infectious and communicable diseases that are transmissible through
the food supply, and that list provides
examples of communicable diseases for
purposes of § 10.304 of this title.
Conviction means that the applicant
for a merchant mariner credential has
been found guilty, by judgment or plea
by a court of record of the United
States, the District of Columbia, any
State, territory, or possession of the
United States, a foreign country, or
any military court, of a criminal felony or misdemeanor or of an offense
described in section 205 of the National
Driver Register Act of 1982, as amended
(49 U.S.C. 30304). If an applicant pleads
guilty or no contest, is granted deferred adjudication, or is required by

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§ 10.107

the court to attend classes, make contributions of time or money, receive
treatment, submit to any manner of
probation or supervision, or forgo appeal of a trial court’s conviction, then
the Coast Guard will consider the applicant to have received a conviction.
A later expungement of the conviction
will not negate a conviction unless the
Coast Guard is satisfied that the
expungement is based upon a showing
that the court’s earlier conviction was
in error.
Credential means any or all of the following:
(1) Merchant mariner’s document.
(2) License.
(3) STCW endorsement.
(4) Certificate of registry.
(5) Merchant Mariner Credential.
Criminal record review means the process or action taken by the Coast Guard
to determine whether an applicant for,
or holder of, a credential is a safe and
suitable person to be issued such a credential or to be employed on a vessel
under the authority of such a credential.
Dangerous drug means a narcotic
drug, a controlled substance, or a controlled-substance analogue (as defined
in section 102 of the Comprehensive
Drug Abuse and Control Act of 1970 (21
U.S.C. 802)).
Dangerous liquid or DL means a liquid
listed in 46 CFR 153.40 of this chapter
that is not a liquefied gas as defined in
this part. Liquid cargoes in bulk listed
in 46 CFR part 153, Table 2, of this
chapter are not dangerous-liquid cargoes when carried by non-oceangoing
barges.
Day means, for the purpose of complying with the service requirements of
this
subchapter,
8
hours
of
watchstanding or day-working not to
include overtime. On vessels authorized
by 46 U.S.C. 8104 and 46 CFR 15.705, to
operate a two-watch system, a 12-hour
working day may be creditable as 11⁄2
days of service. On vessels of less than
100 GRT, a day is considered as 8 hours
unless the Coast Guard determines
that the vessel’s operating schedule
makes this criteria inappropriate; in
no case will this period be less than 4
hours. When computing service on
MODUs for any endorsement, a day of
MODU service must be a minimum of 4

hours, and no additional credit is received for periods served over 8 hours.
For cadet service on a training ship
furnished by the Maritime Administration under 46 CFR 310.4, a day may be
creditable as 11⁄2 days of service.
Deck crew (excluding individuals serving under their officer endorsement)
means, as used in 46 U.S.C. 8702, only
the following members of the deck department: able seamen, boatswains,
and ordinary seamen.
Deck department means the department aboard a ship responsible for
navigation, cargo, command, and control functions.
Designated areas means those areas
within pilotage waters for which firstclass pilot’s endorsements are issued
under part 11, subpart G, of this chapter, by the Officer in Charge, Marine
Inspection (OCMI). The areas for which
first-class pilot’s endorsements are
issued within a particular Marine Inspection Zone and the specific requirements to obtain them may be obtained
from the OCMI concerned.
Designated duty engineer or DDE
means a qualified engineer, who may
be the sole engineer on vessels with a
periodically unmanned engine room.
Designated examiner or DE means a
person who has been trained or instructed in techniques of training or
assessment on towing vessels and is
otherwise qualified to evaluate whether an applicant has achieved the level
of proficiency required to hold a towing
vessel endorsement on a merchant
mariner credential (MMC). This person
must be approved by the Coast Guard.
Designated medical examiner means a
licensed physician, licensed physician’s
assistant, or licensed nurse practitioner who has been trained and approved to conduct medical and physical
examinations of merchant mariners on
behalf of the U.S. Coast Guard and may
be delegated limited authority to grant
waivers and approve physical/medical
suitability for service.
Directly supervised/direct supervision
(only when referring to issues related to
tankermen) means being in the direct
line of sight of the person-in-charge or
maintaining direct, two-way communications by a convenient, reliable
means, such as a predetermined working frequency over a handheld radio.

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§ 10.107

46 CFR Ch. I (10–1–21 Edition)

Disabled vessel means a vessel that
needs assistance, whether docked,
moored, anchored, aground, adrift, or
underway. This does not mean a barge
or any other vessel not regularly operated under its own power.
Document of Continuity means a document issued by the Coast Guard to seafarers who are unwilling or otherwise
unable to meet the requirements of
§ 10.227, for the sole purpose of maintaining an individual’s eligibility for
renewal of an endorsement.
Domestic voyage means a voyage from
one United States port to another
United States port, without entering
waters under the jurisdiction of another country unless the United States
has entered into a treaty or an agreement with that country respecting mutual recognition of national mariner
qualifications. This includes a voyage
to nowhere that returns to the originating port.
Drug test means a chemical test of an
individual’s urine for evidence of dangerous drug use.
Dual-mode integrated tug barge means
an integrated tug barge (ITB) involving
an articulated (flexible) coupling system where the towing unit rolls and
heaves (articulates) about a horizontal
pivot point. Dual mode units resemble
a conventional tug and are capable of
towing in other configurations (astern
or alongside).
Electro-technical officer means an officer qualified in accordance with the
provisions of Regulation III/6 of the
STCW Convention.
Electro-technical rating means a rating
qualified in accordance with the provisions of Regulation III/7 of the STCW
Convention.
Employment assigned to means the
total period of time a person is assigned to work on MODUs, including
time spent ashore as part of normal
crew rotation.
Endorsement is a statement of a mariner’s qualifications and, for the purposes of this chapter, includes only
those endorsements listed in § 10.109 of
this part.
Engine department means the department aboard a ship responsible for the
main propulsion and auxiliary systems,
and other mechanical, electrical, hydraulic, and refrigeration systems, in-

cluding deck machinery and cargo-handling equipment.
Entry-level mariner means a mariner
holding no rating other than ordinary
seaman, wiper, steward’s department,
or steward’s department food handler
(F.H.).
Evaluation means processing an application, from the point of receipt to approval or denial of the application, including review of all documents and
records submitted with an application
as well as those obtained from public
records and databases.
Fails a chemical test for dangerous
drugs means that the result of a chemical test conducted under 49 CFR part
40 was reported as ‘‘positive’’ by a Medical Review Officer because the chemical test indicated the presence of a
dangerous drug at a level equal to or
exceeding the levels established in 49
CFR part 40.
First assistant engineer means the engineer officer next in rank to the chief
engineer and upon whom the responsibility for the mechanical propulsion
and the operation and maintenance of
the mechanical and electrical installations of the vessel will fall in the event
of the incapacity of the chief engineer.
Great Lakes, for the purpose of calculating service requirements for an endorsement, means the Great Lakes and
their connecting and tributary waters,
including the Calumet River as far as
the Thomas J. O’Brien Lock and Controlling Works (between miles 326 and
327), the Chicago River as far as the
east side of the Ashland Avenue Bridge
(between miles 321 and 322), and the
Saint Lawrence River as far east as the
lower exit of Saint Lambert Lock. For
purposes of requiring MMCs with rating endorsements, the connecting and
tributary waters are not part of the
Great Lakes.
Gross register tons or GRT means the
gross ton measurement of the vessel
under 46 U.S.C. chapter 145, Regulatory
Measurement.
Gross tonnage or GT means the gross
tonnage measurement of the vessel
under 46 U.S.C. chapter 143, Convention
Measurement.
Harbor assist means the use of a towing vessel during maneuvers to dock,
undock, moor, or unmoor a vessel, or

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§ 10.107

to escort a vessel with limited maneuverability.
High-speed craft type rating (HSC)
means an endorsement for specific duty
on a particular type and model of highspeed craft (compliant with the highspeed craft code).
Horsepower or HP means, for the purpose of this subchapter, the total maximum continuous shaft horsepower of
the entire vessel’s main propulsion machinery as determined by the manufacturer. This term is used when describing a vessel’s propulsion power and also
when placing limitations on an engineer officer license or endorsement.
One horsepower equals 0.75 kW.
ILO means the International Labour
Organization.
IMO means the International Maritime Organization.
Increase in scope means additional authority added to an existing credential,
such as adding a new route or increasing the authorized horsepower or tonnage.
Inland waters means the navigable
waters of the United States shoreward
of the Boundary Lines as described in
part 7 of this chapter, excluding the
Great Lakes, and, for towing vessels,
excluding the Western Rivers.
Integrated tug barge or ITB means any
tug barge combination which, through
the use of special design features or a
specially designed connection system,
has increased seakeeping capabilities
relative to a tug and barge in the conventional pushing mode. An ITB can be
divided into either a dual-mode ITB or
a push-mode ITB. The definitions for
those categories can be found elsewhere in this section.
Invalid credential means an MMC,
MMD, license, STCW endorsement, or
Certificate of Registry that has been
suspended or revoked, has expired, has
been tampered with, has not been
signed, or has been superseded in accordance with § 10.205 of this part.
ISM means the International Safety
Management Code.
Kilowatt or kW means 11⁄3 horsepower.
This term is used when describing a
vessel’s propulsion power and also
when placing limitations on an engineer officer license or endorsement.
Large passenger vessel, for the purposes of subpart H of part 12, and part

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

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§ 10.107

46 CFR Ch. I (10–1–21 Edition)

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

NDR-listed convictions means a conviction of any of the following motor
vehicle-related offenses or comparable
offenses:
(1) Operating a motor vehicle while
under the influence of, or impaired by,
alcohol or a controlled substance; or
(2) A traffic violation arising in connection with a fatal traffic accident,
reckless driving, or racing on the highways.
Near-coastal means ocean waters not
more than 200 miles offshore from the
U.S. and its possessions, except for
MMCs
endorsed
as
Operator
of
Uninspected Passenger Vessel for
which near-coastal is limited to waters
not more than 100 miles offshore from
the U.S. and its possessions. This would
also include those near-coastal waters
identified by another Administration
when the U.S. has entered into a treaty
or an agreement with that country respecting the recognition of the U.S.
near-coastal endorsement.
Non-resident alien, for the purposes of
subchapter H of part 12, and part 15,
means an individual who is not a citizen or alien lawfully admitted to the
United States for permanent residence,
but who is employable in the United
States under the Immigration and Nationality Act (8 U.S.C. 1101 et seq.), including an alien crewman described in
section 101(a)(15)(D)(i) of that Act who
meets the requirements of 46 U.S.C.
8103(k)(3)(A).
Oceans means the waters seaward of
the Boundary Lines as described in 46
CFR part 7. For the purposes of establishing sea service credit, the waters of
the Inside Passage between Puget
Sound and Cape Spencer, Alaska, and
the inland waters of another country
are not considered oceans.
Officer endorsement means an annotation on an MMC that allows a mariner
to serve in the capacities listed in
§ 10.109 of this part.
Officer in Charge, Marine Inspection, or
OCMI means, for the purposes of this
subchapter, the commanding officer of
the National Maritime Center, or any
person designated as such by the Commandant, in accordance with 46 CFR
1.01–5(b).
Officer in charge of an engineering
watch in a manned engine room or designated duty engineer in a periodically

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Coast Guard, DHS

§ 10.107

unmanned engine room (OICEW) means
an engineering officer qualified at the
operational level.
Officer in charge of a navigational
watch (OICNW) means a deck officer
qualified at the operational level.
Offshore installation manager or OIM
means an officer restricted to service
on MODUs. An assigned offshore installation manager is equivalent to a master on a conventional vessel and is the
person designated by the owner or operator to be in complete and ultimate
command of the unit.
Oil tanker means a tank vessel that is
certificated to carry or carries oil in
bulk as cargo or cargo residue. For the
purposes of qualifying for an STCW endorsement for advanced oil tanker
cargo operations, this includes tank
barges.
On location means that a mobile offshore drilling unit is bottom bearing or
moored with anchors placed in the
drilling configuration.
Operate, operating, or operation (as applied to the manning requirements of vessels carrying passengers) refers to a vessel any time passengers are embarked
whether the vessel is underway, at anchor, made fast to shore, or aground.
Operational level means the level of
responsibility associated with—
(1) Serving as officer in charge of a
navigational or engineering watch, or
as designated duty engineer for periodically unmanned machinery spaces, or
as radio operator onboard a seagoing
ship; and
(2) Maintaining direct control over
the performance of all functions within
the designated area of responsibility in
accordance with proper procedures and
under the direction of an individual
serving in the management level for
that area of responsibility.
Orally assisted examination means an
examination as described in 46 CFR,
part 11, subpart I of this subchapter administered orally and documented by a
Coast Guard examiner.
Overriding operational condition means
circumstances in which essential shipboard work cannot be delayed due to
safety or environmental reasons, or
could not have reasonably been anticipated at the commencement of the
voyage.

Participation, when used with regard
to the service on transfers required for
tankerman by §§ 13.120, 13.203, or 13.303
of this chapter, means either actual
participation in the transfers or close
observation of how the transfers are
conducted and supervised.
Passes a chemical test for dangerous
drugs means that the result of a chemical test conducted according to 49 CFR
part 40 is reported as ‘‘negative’’ by a
Medical Review Officer according to
that part.
Periodically unattended engine room
means a space containing main propulsion and associated machinery and all
sources of main electrical supply which
is not at all times manned under all operating conditions, including maneuvering.
PIC means a person in charge.
Pilot of towing vessels means a qualified officer of a towing vessel operated
only on inland routes.
Pilotage waters means the navigable
waters of the United States, including
all inland waters and offshore waters
to a distance of 3 nautical miles from
the baseline from which the Territorial
Sea is measured.
Practical demonstration means the performance of an activity under the direct observation of a designated examiner or qualified assessor for the purpose of establishing that the performer
is sufficiently proficient in a practical
skill to meet a specified standard of
competence or other objective criterion.
Propulsion power means the total
maximum
continuous-rated
output
power of the main propulsion machinery of a vessel determined by the manufacturer, in either kilowatts or horsepower, which appears on the ship’s Certificate of Registry or other official
document and excludes thrusters and
other auxiliary machinery.
Public vessel means a vessel that—
(1) Is owned, or demise chartered, and
operated by the United States Government or a government of a foreign
country; and
(2) Is not engaged in commercial
service.
Push-mode ITBs means those ITBs
that involve a rigid coupling system
and, when not coupled to the barge, are
incapable of conducting towing in any

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§ 10.107

46 CFR Ch. I (10–1–21 Edition)

other configuration (such as astern or
alongside) because, by themselves, they
have very limited seakeeping capability. The propelling unit moves as
one with the barge unit.
Qualified Assessor or QA means a person who is qualified to evaluate, for
STCW endorsements, whether an applicant has demonstrated the necessary
level of competence in the task for
which the assessment is being made.
This person must be individually approved by the Coast Guard.
Qualified instructor means a person
who has been trained in instructional
techniques and is otherwise qualified
to provide required training to candidates for an MMC endorsement. A
faculty member employed at a State
maritime academy or the U.S. Merchant Marine Academy operated under
46 CFR part 310 and instructing a
course on merchant marine officer or
rating knowledge, understanding, or
proficiency requirements is qualified to
serve as a qualified instructor in his or
her area of specialization without individual evaluation by the Coast Guard.
Qualified rating means various categories of able seaman, qualified member of the engine department, or
tankerman endorsements issued on
MMCs.
Quality Standard System or QSS means
a set of policies, procedures, processes,
and data required to establish and fulfill the organization’s objectives.
Raise of grade means an increase in
the level of authority and responsibility associated with an officer or rating endorsement, such as from mate to
master or second assistant engineer to
first assistant engineer.
Rating endorsement is an annotation
on an MMC that allows a mariner to
serve in those capacities set out in
§ 10.109 of this part.
Regional examination center or REC
means a field office of the National
Maritime Center that receives and
screens credential applications, conducts approved course oversight, and
administers Coast Guard examinations
as required by this subchapter.
Rest means a period of time during
which the person concerned is off duty,
is not performing work (which includes
administrative tasks such as chart correction or preparation of port-entry

documents), and is allowed to sleep
without interruption.
Restricted
tankerman
endorsement
means a valid tankerman endorsement
on a merchant mariner credential restricting its holder as the Coast Guard
deems appropriate. For instance, the
endorsement may restrict the holder to
one or a combination of the following:
A specific cargo or cargoes; a specific
vessel or vessels; a specific facility or
facilities; a specific employer or employers; a specific activity or activities
(such as loading or unloading in a
cargo transfer); or a particular area of
water.
Rivers means a river, canal, or other
similar body of water designated as
such by the Coast Guard.
Safe and suitable person means a person whose prior record, including but
not limited to criminal record and/or
NDR record, provides no information
indicating that his or her character
and habits of life would support the belief that permitting such a person to
serve under the MMC and/or endorsement sought would clearly be a threat
to the safety and security of life or
property, detrimental to good discipline, or adverse to the interests of
the United States. See 46 CFR 10.211
and 10.213 for the regulations associated with this definition.
Seagoing service means service onboard a ship/vessel relevant to the
issue of a credential or other qualification.
Seagoing vessel means a ship that operates beyond the boundary line specified in 46 CFR part 7.
Second engineer officer means an engineer officer next in rank to the chief
engineer officer and upon whom the responsibility for the mechanical propulsion and the operation and maintenance of the mechanical and electrical
installations of the ship will fall in the
event of the incapacity of the chief engineer officer.
Self propelled has the same meaning
as the terms ‘‘propelled by machinery’’
and ‘‘mechanically propelled.’’ This
term includes vessels fitted with both
sails and mechanical propulsion.
Senior company official means the
president, vice president, vice president for personnel, personnel director,

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§ 10.107

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

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

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§ 10.109

46 CFR Ch. I (10–1–21 Edition)

offshore drilling unit (MODU), underway means that the MODU is not in an
on-location or laid-up status and includes that period of time when the
MODU is deploying or recovering its
mooring system.
Undocumented vessel means a vessel
not required to have a certificate of
documentation issued under the laws of
the United States.
Unlimited means an annotation on an
MMC authorizing service on vessels of
any tonnage or any propulsion power.
Vessel personnel with designated security duties means a person, excluding
the designated security officer (e.g.,
Company Security Officer (CSO), as defined in 33 CFR chapter I, subchapter
H, and Vessel Security Officer (VSO)),
having specific security duties and responsibilities in accordance with the
ship security plan.
Vessel Security Officer (VSO) means a
person onboard the vessel accountable
to the Master and designated by the
Company as responsible for security of
the vessel, including implementation
and maintenance of the Vessel’s Security Plan, and for liaison with the Facility Security Officer and the vessel’s
Company Security Officer.
Western Rivers means—
(1) The Mississippi River;
(2) The Mississippi River’s tributaries, South Pass, and Southwest
Pass, to the navigational demarcation
lines dividing the high seas from harbors, rivers, and other inland waters of
the United States;
(3) The Port Allen-Morgan City Alternate Route;
(4) That part of the Atchafalaya
River above its junction with the Port
Allen-Morgan City Alternate Route including the Old River and the Red
River; and
(5) Those waters specified in 33 CFR
89.25.
Year means 360 days for the purpose
of complying with the service requirements of this subchapter.

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

§ 10.109 Classification
of
endorsements.
(a) National officer endorsements. The
following national officer endorsements are established in part 11 of this
subchapter. The endorsements indicate

that an individual holding a valid MMC
with this endorsement is qualified to
serve in that capacity and the endorsement has been issued under the requirements contained in part 11 of this
subchapter:
(1) Master.
(2) Chief mate.
(3) Second mate.
(4) Third mate.
(5) Mate.
(6) Master of towing vessels.
(7) Master of towing vessels, limited.
(8) Mate (pilot) of towing vessels.
(9) Apprentice mate (Steersman).
(10) Apprentice mate (Steersman),
limited.
(11) Assistance towing.
(12) Offshore installation manager
(OIM).
(13) Barge supervisor (BS).
(14) Ballast control operator (BCO).
(15) Operator of uninspected passenger vessels (OUPV).
(16) Master of uninspected fishing industry vessels.
(17) Mate of uninspected fishing industry vessels.
(18) Master (OSV).
(19) Chief mate (OSV).
(20) Mate (OSV).
(21) Chief engineer.
(22) Chief engineer (limited).
(23) First assistant engineer.
(24) Second assistant engineer.
(25) Third assistant engineer.
(26) Assistant engineer (limited).
(27) Designated duty engineer (DDE).
(28) Chief engineer (OSV).
(29) Assistant engineer (OSV).
(30) Chief engineer MODU.
(31) Assistant engineer MODU.
(32) Chief engineer uninspected fishing industry vessels.
(33) Assistant engineer uninspected
fishing industry vessels.
(34) Radio officer.
(35) First-class pilot.
(36) Chief purser.
(37) Purser.
(38) Senior assistant purser.
(39) Junior assistant purser.
(40) Medical doctor.
(41) Professional nurse.
(42) Marine physician assistant.
(43) Hospital corpsman.
(44) High-speed craft type rating.
(45) Radar observer.
(b) National rating endorsements. The
following national rating endorsements

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§ 10.109

are established in part 12 of this subchapter. The endorsements indicate
that an individual holding a valid MMC
with this endorsement is qualified to
serve in that capacity and the endorsement has been issued under the requirements contained in part 12 of this
subchapter:
(1) Able seaman:
(i) Unlimited;
(ii) Limited;
(iii) Special;
(iv) Special (OSV);
(v) Sail; and
(vi) Fishing industry.
(2) Ordinary seaman.
(3) Qualified member of the engine
department (QMED), including the following specialty endorsements:
(i) Oiler;
(ii) Fireman/Watertender;
(iii) Junior engineer;
(iv) Pumpman/Machinist; and
(v) Electrician/Refrigerating engineer.
(4) Lifeboatman.
(5) Lifeboatman-Limited.
(6) Wiper.
(7) Steward’s department.
(8) Steward’s department (F.H.).
(9) Cadet (deck or engine).
(10) Student observer.
(11) Apprentice engineer.
(12) Apprentice mate.
(c) The following ratings are established in part 13 of this subchapter. The
national endorsements indicate that an
individual holding a valid MMC with
this endorsement is qualified to serve
in that capacity and the endorsement
has been issued under the requirements
contained in part 13 of this subchapter:
(1) Tankerman-PIC.
(2) Tankerman-PIC (Barge).
(3) Restricted Tankerman-PIC.
(4)
Restricted
Tankerman-PIC
(Barge).
(5) Tankerman assistant.
(6) Tankerman engineer.
(d) STCW endorsements. The following
STCW endorsements are issued according to the STCW Convention, the
STCW Code, and parts 11, 12, and 13 of
this subchapter. The endorsements indicate that an individual holding a
valid MMC with this endorsement is
qualified to serve in that capacity and
the endorsement has been issued under
the requirements contained in parts 11,

12 or 13 of this subchapter as well as
the STCW Convention and STCW Code
(incorporated by reference, see § 10.103
of this subpart):
(1) Master.
(2) Chief mate.
(3) Officer in charge of a navigational
watch (OICNW).
(4) Chief engineer officer.
(5) Second engineer officer.
(6) Officer in charge of an engineering
watch in a manned engineroom or designated duty engineer in a periodically
unmanned engineroom (OICEW).
(7) Electro-technical officer (ETO).
(8) Rating forming part of a navigational watch (RFPNW).
(9) Able seafarer-deck.
(10) Rating forming part of an engineering watch in a manned engineroom
or designated to perform duties in a periodically
unmanned
engineroom
(RFPEW).
(11) Able seafarer-engine.
(12) Electro-technical rating.
(13) Basic training (BT).
(14) Advanced firefighting.
(15) Proficiency in survival craft and
rescue boats other than fast rescue
boats (PSC).
(16) Proficiency in survival craft and
rescue boats other than fast rescue
boats—limited (PSC—limited).
(17) Proficiency in fast rescue boats.
(18) Person in charge of medical care.
(19) Medical first-aid provider.
(20) GMDSS at-sea maintainer.
(21) GMDSS operator.
(22) Advanced oil tanker cargo operation.
(23) Advanced chemical tanker cargo
operation.
(24) Advanced liquefied gas tanker
cargo operation.
(25) Basic oil and chemical tanker
cargo operation.
(26) Basic liquefied gas tanker cargo
operation.
(27) Vessel Security Officer.
(28) Vessel personnel with designated
security duties.
(29) Security awareness.
(30) High-speed craft (HSC) type rating certificate.
[USCG–2004–17914, 78 FR 77887, Dec. 24, 2013]

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§ 10.201

46 CFR Ch. I (10–1–21 Edition)

Subpart B—General Requirements
for All Merchant Mariner Credentials
§ 10.201 General characteristics of the
merchant mariner credential.
(a) A merchant mariner credential
(MMC) (Coast Guard Form CG–4610), is
a credential combining the elements of
the merchant mariner’s document
(MMD), merchant mariner’s license (license), and certificate of registry
(COR) enumerated in 46 U.S.C. subtitle
II part E as well as the STCW endorsement issued pursuant to the STCW
Convention and STCW Code (incorporated by reference, see § 10.103 of this
part). MMDs, licenses, STCW endorsements and CORs are no longer issued as
separate documents and all qualifications formerly entered on those separate documents appear in the form of
an endorsement(s) on an MMC.
(b) An MMC authorizes the holder to
serve in any capacity endorsed thereon,
or in any lower capacity in the same
department, or in any capacity covered
by a general endorsement.
(c) An MMC may be issued to qualified applicants by the Coast Guard.

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

§ 10.203 Requirement to hold a TWIC
and a merchant mariner credential.
(a) Failure to obtain or hold a valid
TWIC serves as a basis for the denial of
an application for an original, renewal,
new endorsement, duplicate, or raise of
grade of a mariner’s credential and
may serve as a basis for suspension and
revocation under 46 U.S.C. 7702 and
7703.
(b) An MMC, license, MMD, COR, or
STCW endorsement must be retained
by the mariner to whom it was issued
and, while valid, must be produced to
verify qualifications when requested by
an authorized official as identified in 33
CFR 101.515(d). Posting of the officer
endorsement may be necessary as required in 46 U.S.C. 7110.
(c) Although an MMD and an MMC
serve as certificates of identification, a
TWIC must be retained by the mariner
to whom it was issued and, while valid,
serves as the mariner’s primary identification document. The TWIC must be

produced to verify identity when required by an authorized official as
identified in 33 CFR 101.515(d).
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2018–0874, 84 FR 30881,
June 28, 2019]

§ 10.205 Validity of a merchant mariner credential.
(a) An MMC is valid for a term of 5
years from the date of issuance. Except
upon the written request for the immediate issuance by the applicant, the
Coast Guard will post-date the issuance
of an MMC renewal that includes no
other transactions up to 8 months from
the date that the Coast Guard accepts
a complete application as required in
this part. If the expiration date of the
mariner’s active credential is beyond 8
months of the date that the Coast
Guard accepts a complete application
as required in this part, the new credential issue date will be 8 months
from the date of application acceptance at which time the currently active credential will become invalid in
accordance with paragraph (d) of this
section. Otherwise, the new credential
issue validity date will coincide with
the expiration date of the active credential held by the mariner. All other
MMC transactions will be processed for
immediate issuance.
(b) All endorsements, unless otherwise noted, are valid until the expiration date of the MMC on which they
appear.
(c) A mariner may not serve under
the authority of an MMC past its expiration date. An expired MMC may be
renewed during an administrative
grace period of up to 1 year beyond its
expiration date as per § 10.227(h) of this
part.
(d) When an MMC is renewed or reissued before its expiration date in accordance with § 10.227, of this part the
MMC that has been replaced becomes
invalid unless otherwise noted in paragraph (a) of this section.
(e) An MMC is not valid until signed
by the applicant and a duly authorized
Coast Guard official.
(f) A mariner’s endorsements authorize the holder to serve in any capacity
endorsed on the MMC, or in any lower
capacity in the same department, or in

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Coast Guard, DHS

§ 10.209

any capacity covered by a general endorsement thereon.
(g) If a mariner chooses to renew his
or her license, MMD, COR, or STCW endorsement and receive their first MMC,
the Coast Guard may also renew all
other credentials for which the mariner
is qualified.
(h) When a Document of Continuity
is replaced with an MMC re-issued in
accordance with § 10.227 of this part,
the Document of Continuity that has
been replaced becomes invalid. In the
event that not all endorsements on a
Document of Continuity are activated,
a new Document of Continuity will be
issued for the remaining endorsements.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2004–17914, 78 FR 77888,
Dec. 24, 2013]

§ 10.207 Identification number.
For recordkeeping purposes only, a
mariner’s official MMC identification
number is the individual’s social security number. However, a unique serial
number, called the mariner reference
number, and not the social security
number, will appear on the credential.

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

§ 10.209 General application procedures.
(a) The applicant for an MMC, whether for an original, renewal, duplicate,
raise of grade, or a new endorsement on
a previously issued MMC, must establish that he or she satisfies all the requirements for the MMC and endorsement(s) sought before the Coast Guard
will issue the MMC. This section contains the general requirements for all
applicants. Additional requirements
for duplicates, renewals, new endorsements, and raises of grade appear later
in this part.
(b) The Coast Guard may refuse to
process an incomplete MMC application. The requirements for a complete
application for an original MMC are
contained in § 10.225 of this part, the requirements for a renewal MMC application are contained in § 10.227 of this
part, the requirements for a duplicate
MMC application are contained in
§ 10.229 of this part, and the requirements for an application for a new en-

dorsement or raise of grade are contained in § 10.231 of this part.
(c) Applications are valid for 12
months from the date that the Coast
Guard approves the application.
(d) The application may be submitted
in person, by mail, fax, or other electronic means. A complete MMC application, which is described in §§ 10.223,
10.225, 10.227, 10.229, and 10.231 may include—
(1) The application, consent for National Driver Register (NDR) check,
and notarized oath on Coast Guard-furnished forms, and the evaluation fee required by § 10.219 of this part;
(2) The applicant’s continuous discharge book, certificate of identification, MMD, MMC, license, STCW endorsement, Certificate of Registry
(COR), or, if it has not expired, a photocopy of the credential, including the
back and all attachments;
(3) Proof, documented on CG–719K or
CG–719K/E, as appropriate, that the applicant passed the applicable vision,
hearing, medical, or physical exam as
required by subpart C of this part, or
an unexpired medical certificate issued
by the Coast Guard;
(4) Copies of course completion certificates or other evidence of course
completion;
(5) Evidence of sea service, or an accepted substitute for sea service, if required;
(6) For an endorsement as a medical
doctor or professional nurse as required
in § 11.807 of this subchapter, evidence
that the applicant holds a currently
valid, appropriate license as physician,
surgeon, or registered nurse, issued
under the authority of a state or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia. Any MMC issued will
retain any limitation associated with
the medical license;
(7) Any certificates or other supplementary materials required to show
that the mariner meets the mandatory
requirements for the specific endorsement sought, as established in parts 11,
12 or 13 of this subchapter; and
(8) An open-book exercise, in accordance with § 10.227(e)(1) of this part.
(e) The following requirements must
be satisfied before an original or renewal MMC, or new endorsement or a

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§ 10.211

46 CFR Ch. I (10–1–21 Edition)

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raise of grade added to a previously
issued MMC, will be issued. These materials will be added to the individual’s
record by the Coast Guard:
(1) Determination of safety and suitability. No MMC will be issued as an
original or reissued with a new expiration date, and no new officer endorsement will be issued if the applicant
fails the criminal record review as set
forth in § 10.211 of this part.
(2) NDR review. No MMC will be
issued as an original or reissued with a
new expiration date, and no new officer
endorsement will be issued if the applicant fails the NDR review as set forth
in § 10.213 of this part.
(3) Information supplied by the Transportation Security Administration (TSA).
No MMC or endorsement will be issued
until the Coast Guard receives the following information from the applicant’s TWIC enrollment: the applicant’s fingerprints, FBI number and
criminal record (if applicable), photograph, proof of citizenship, or Nationality with proof of legal resident status
(if applicable). If the information is not
available from TSA, the mariner may
be required to visit a Regional Exam
Center or a TWIC enrollment center to
provide this information.
(f) Upon determining that the applicant satisfactorily meets all requirements for an MMC or an endorsement
thereon, the Coast Guard will issue the
properly endorsed MMC to the applicant. The Coast Guard will not issue an
MMC until it has received proof that
the mariner holds a valid TWIC.
(g) When a new MMC is issued, the
mariner must return any previously
issued and unexpired MMC, license,
MMD, COR, or STCW endorsement to
the Coast Guard, unless the new MMC
is being issued to replace a lost or stolen credential.
(h) No MMC will be issued if the applicant fails a chemical test for dangerous drugs as required in §§ 10.223,
10.225(b)(5), 10.227(d)(5), and 10.231(c)(6).
(i) Ceremonial licenses. A mariner may
obtain a ceremonial license when applying for his or her credential or Document of Continuity.
[USCG–2004–17914, 78 FR 77888, Dec. 24, 2013,
as amended by USCG–2018–0874, 84 FR 30881,
June 28, 2019]

§ 10.211 Criminal record review.
(a) The Coast Guard may conduct a
criminal record review to determine
the safety and suitability of an applicant for an MMC and any endorsements. An applicant conducting simultaneous MMC transactions will undergo a single criminal record review. At
the time of application, each applicant
must provide written disclosure of all
prior convictions not previously disclosed to the Coast Guard on an application.
(b) A criminal record review is not
required for applicants seeking a duplicate MMC under § 10.229.
(c) Fingerprints. The Transportation
Security Administration (TSA) will
provide to the Coast Guard the applicant’s fingerprints submitted by the
applicant with his or her TWIC application and, if applicable, the applicant’s
FBI number and criminal record generated in the TWIC review process.
This information, or the fingerprints
taken by the Coast Guard at an REC,
will be used by the Coast Guard to determine whether the applicant has a
record of any criminal convictions.
(d) When a criminal record review
leads the Coast Guard to determine
that an applicant is not a safe and suitable person or cannot be entrusted
with the duties and responsibilities of
the MMC or endorsement applied for,
the application may be denied.
(e) If an application is denied, the applicant will be notified in writing of
that fact, the reason or reasons for denial, and advised that the appeal procedures in subpart 1.03 of part 1 of this
chapter apply. No examination will be
given pending decision on appeal.
(f) No person who has been convicted
of a violation of the dangerous drug
laws of the United States, the District
of Columbia, any State, territory, or
possession of the United States, or a
foreign country, by any military or civilian court, is eligible for an MMC, except as provided elsewhere in this section. No person who has ever been the
user of, or addicted to the use of a dangerous drug, or has ever been convicted
of an offense described in section 205 of
the National Driver Register Act of
1982, as amended (49 U.S.C. 30304) because of addiction to or abuse of alcohol is eligible for an MMC, unless he or

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Coast Guard, DHS

§ 10.211

she furnishes satisfactory evidence of
suitability for service in the merchant
marine as provided in paragraph (l) of
this section. A conviction for a drug offense more than 10 years before the
date of application will not alone be
grounds for denial.
(g) The Coast Guard will use table 1
to § 10.211 of this section to evaluate
applicants who have criminal convictions. The table lists major categories
of criminal activity and is not to be
construed as an all-inclusive list. If an

applicant is convicted of an offense
that does not appear on the list, the
Coast Guard will establish an appropriate assessment period using the list
as a guide. The assessment period commences when an applicant is no longer
incarcerated. The applicant must establish proof of the time incarcerated
and periods of probation and parole to
the satisfaction of the Coast Guard.
The assessment period may include supervised or unsupervised probation or
parole.

TABLE 1 TO 10.211—GUIDELINES FOR EVALUATING APPLICANTS FOR MMCS WHO HAVE CRIMINAL
CONVICTIONS
Assessment periods
Crime 1
Minimum

Maximum

Assessment Periods for Officer and Rating Endorsements
Crimes Against Persons:
Homicide (intentional) .................................................................
Homicide (unintentional) .............................................................
Assault (aggravated) ...................................................................
Assault (simple) ..........................................................................
Sexual Assault (rape, child molestation) ....................................
Robbery .......................................................................................
Other crimes against persons 2

7
5
5
1
5
5

years .............................
years .............................
years .............................
year ..............................
years .............................
years .............................

20 years.
10 years.
10 years.
5 years.
10 years.
10 years.

Vehicular Crimes
Conviction involving fatality .......................................................................
Reckless Driving ........................................................................................
Racing on the Highways ...........................................................................
Other vehicular crimes 2

1 year ..............................
1 year ..............................
1 year ..............................

5 years.
2 years.
2 years.

Crimes Against Public Safety
Destruction of Property .............................................................................
Other crimes against public safety 2

5 years .............................

10 years.

Dangerous Drug Offenses 3 4 5
Trafficking (sale, distribution, transfer) ......................................................
Dangerous drugs (Use or possession) .....................................................
Other dangerous drug convictions 6

5 years .............................
1 year ..............................

10 years.
10 years.

Assessment Periods for Officer Endorsements Only
Criminal Violations of Environmental Laws
Criminal violations of environmental laws involving improper handling of
pollutants or hazardous materials.

1 year ..............................

10 years.

Crimes Against Property

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Burglary .....................................................................................................
Larceny (embezzlement) ...........................................................................
Other crimes against property 2

3 years .............................
3 years .............................

10 years.
5 years.

1 Conviction of attempts, solicitations, aiding and abetting, accessory after the fact, and conspiracies to commit the criminal
conduct listed in this table carry the same minimum and maximum assessment periods provided in the table.
2 Other crimes will be reviewed by the Coast Guard to determine the minimum and maximum assessment periods depending
on the nature of the crime.
3 Applicable to original applications only. Any applicant who has ever been the user of, or addicted to the use of, a dangerous
drug shall meet the requirements of paragraph (f) of this section. Note: Applicants for reissue of an MMC with a new expiration
date including a renewal or additional endorsement(s), who have been convicted of a dangerous drug offense while holding a license, MMC, MMD, STCW endorsement or COR, may have their application withheld until appropriate action has been completed by the Coast Guard under the regulations which appear in 46 CFR part 5 governing the administrative actions against
merchant mariner credentials.
4 The Coast Guard may consider dangerous drug convictions more than 10 years old only if there has been another dangerous drug conviction within the past 10 years.

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§ 10.211

46 CFR Ch. I (10–1–21 Edition)

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5 Applicants must demonstrate rehabilitation under paragraph (l) of this section, including applicants with dangerous drug use
convictions more than 10 years old.
6 Other dangerous drug convictions will be reviewed by the Coast Guard on a case by case basis to determine the appropriate
assessment period depending on the nature of the offense.

(h) When an applicant has convictions for more than one offense, the
minimum assessment period will be the
longest minimum in table 1 to § 10.211
of this section and table 10.213(c) in
§ 10.213 based upon the applicant’s convictions; the maximum assessment period will be the longest shown in table
1 to § 10.211 of this section and table
10.213(c) of § 10.213 based upon the applicant’s convictions.
(i) If a person with a criminal conviction applies before the minimum assessment period shown in table 1 to
§ 10.211 of this section of this section or
established by the Coast Guard under
paragraph (g) of this section has
elapsed, then the applicant must provide, as part of the application package, evidence of suitability for service
in the merchant marine. Factors that
are evidence of suitability for service
in the merchant marine are listed in
paragraph (l) of this section. The Coast
Guard will consider the applicant’s evidence submitted with the application
and may issue the MMC and/or endorsement in less than the listed minimum
assessment period if the Coast Guard is
satisfied that the applicant is suitable
to hold the MMC and/or endorsement
for which he or she has applied. If an
application filed before the minimum
assessment period has elapsed does not
include evidence of suitability for service in the merchant marine, then the
application will be considered incomplete and will not be processed by the
Coast Guard.
(j) If a person with a criminal conviction submits his or her MMC application during the time between the minimum and maximum assessment periods shown in table 1 to § 10.211 or established by the Coast Guard under paragraph (g) of this section, then the
Coast Guard will consider the conviction and, unless there are offsetting
factors, will grant the applicant the
MMC and/or endorsement for which he
or she has applied. Offsetting factors
include such factors as multiple convictions, failure to comply with court
orders (e.g., child support orders), pre-

vious failures at rehabilitation or reform, inability to maintain steady employment, or any connection between
the crime and the safe operation of a
vessel. If the Coast Guard considers the
applicant unsuitable for service in the
merchant marine at the time of application, the Coast Guard may deny the
application.
(k) If a person with a criminal conviction submits his or her MMC application after the maximum assessment
period shown in table 1 to § 10.211 of
this section or established by the Coast
Guard under paragraph (g) of this section has elapsed, then the Coast Guard
will grant the applicant the MMC or
endorsement for which he or she has
applied unless the Coast Guard considers the applicant still unsuitable for
service in the merchant marine. If the
Coast Guard disapproves an applicant
with a conviction older than the maximum assessment period listed in table
1 to § 10.211 of this section , the Coast
Guard will notify the applicant in writing of the reason(s) for the disapproval.
The Coast Guard will also inform the
applicant, in writing, that the reconsideration and appeal procedures contained in subpart 1.03 of this chapter
apply.
(l) If an applicant has one or more alcohol or dangerous drug related criminal or NDR-listed convictions, if the
applicant has ever been the user of, or
addicted to the use of, a dangerous
drug, or if the applicant applies before
the minimum assessment period has
elapsed for his or her conviction, the
Coast Guard may consider the following factors, as applicable, in assessing the applicant’s suitability to hold
an MMC. This list is intended as a
guide for the Coast Guard. The Coast
Guard may consider other factors appropriate to a particular applicant,
such as:
(1) Proof of completion of an accredited alcohol or drug abuse rehabilitation program;

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Coast Guard, DHS

§ 10.213

(2) Active membership in a rehabilitation or counseling group, such as Alcoholics Anonymous or Narcotics
Anonymous;
(3) Character references from persons
who can attest to the applicant’s sobriety, reliability, and suitability for employment in the merchant marine including parole or probation officers;
(4) Steady employment; and
(5) Successful completion of all conditions of parole or probation.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2006–24371, 74 FR 39218,
Aug. 6, 2009; USCG–2004–17914, 78 FR 77889,
Dec. 24, 2013; USCG–2014–0688, 79 FR 58275,
Sept. 29, 2014]

§ 10.213

National Driver Register.

(a) No MMC will be issued as an original or reissued with a new expiration
date, and no new officer endorsement
will be issued, unless the applicant consents to a check of the NDR for offenses described in section 205(a)(3)(A)
or (B) of the NDR Act (i.e., operation of
a motor vehicle while under the influence of, or impaired by, alcohol or a
controlled substance; and any traffic
violations arising in connection with a

fatal traffic accident, reckless driving,
or racing on the highways).
(b) The Coast Guard will not consider
NDR-listed civil convictions that are
more than 3 years old from the date of
request unless that information relates
to a current suspension or revocation
of the applicant’s license to operate a
motor vehicle. The Coast Guard may
determine minimum and maximum assessment periods for NDR-listed criminal convictions using table 10.213(c) of
this section. An applicant conducting
simultaneous MMC transactions is subject to only one NDR check.
(c) The guidelines in table 1 to paragraph (c) will be used by the Coast
Guard in evaluating applicants who
have drug or alcohol related NDR-listed convictions. Non-drug or alcohol related NDR-listed convictions will be
evaluated by the Coast Guard under
table 1 to § 10.211 of this part as applicable. The Coast Guard may consider
non-drug or alcohol related NDR-listed
convictions that are more than 3 years
old from the date of the request when
the information relates to a current
suspension or revocation of the applicant’s license to operate a motor vehicle.

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

Date of conviction

Assessment period

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

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

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

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

2 or more ...

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

1 year from date of conviction.
Application will be processed, unless suspension, or revocation 2 is still in effect. Applicant will be advised that additional conviction(s) may jeopardize
merchant mariner credentials.
Application will be processed.
1 year since last conviction and at least 3 years from 2nd most recent conviction, unless suspension or revocation is still in effect.
Application will be processed unless suspension or revocation is still in effect.

1 Any

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applicant who has ever been the user of, or addicted to the use of, a dangerous drug must meet the requirements of
paragraph (f) of this section.
2 Suspension or revocation, when referred to in table 10.213, means a State suspension or revocation of a motor vehicle operator’s license.

(d) Any application may be denied if
information from the NDR check leads
the Coast Guard to determine that the
applicant cannot be entrusted with the
duties and responsibilities of the endorsement for which the application is
made. If an application is denied, the
Coast Guard will notify the applicant
in writing of the reason(s) for denial
and advise the applicant that the appeal procedures in subpart 1.03 of part

1 of this chapter apply. No examination
will be given pending decision on appeal.
(e) Before denying an application because of information received from the
NDR, the Coast Guard will make the
information available to the applicant
for review and written comment. The
applicant may submit records from the
applicable State concerning driving
record and convictions to the Coast

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§ 10.214

46 CFR Ch. I (10–1–21 Edition)

Guard processing the application. The
Coast Guard will hold an application
with NDR-listed convictions pending
the completion of the evaluation and
delivery by the individual of the underlying State records.
(f) If an applicant has one or more alcohol or dangerous drug-related criminal or NDR-listed convictions, if the
applicant has ever been the user of, or
addicted to the use of, a dangerous
drug, or if the applicant applies before
the minimum assessment period for his
or her conviction has elapsed, the
Coast Guard may consider the following factors, as applicable, in assessing the applicant’s suitability to hold
an MMC. This list is intended as a
guide for the Coast Guard. The Coast
Guard may consider other factors
which it judges appropriate to a particular applicant, such as—
(1) Proof of completion of an accredited alcohol or drug abuse rehabilitation program;
(2) Active membership in a rehabilitation or counseling group, such as Alcoholics Anonymous or Narcotics
Anonymous;
(3) Character references from persons
who can attest to the applicant’s sobriety, reliability, and suitability for employment in the merchant marine, including parole or probation officers;
(4) Steady employment; and
(5) Successful completion of all conditions of parole or probation.
[USCG–2004–17914, 78 FR 77889, Dec. 24, 2013]

§ 10.214

Security Check.

Until April 15, 2009, the Coast Guard
may conduct a security check on an
applicant for an MMC, utilizing the
criminal record review discussed in
§ 10.211 of this part.
§ 10.217 Merchant mariner credential
application and examination locations.
(a) Applicants for an MMC may apply
to any of the Regional Examination
Centers (RECs) or any other location
designated by the Coast Guard. Applicants may contact the National Maritime Center at 100 Forbes Drive, Martinsburg, WV 25404, by telephone 1–888–
427–5662 or 304–433–3400, or by email at
[email protected]. A list of locations
approved for application submittal is
available through the Coast Guard Web
site at http://www.uscg.mil/nmc.
(b) Exam Locations. (1) Coast Guard
units abroad may conduct exams for
ratings at locations other than the
RECs, but are not prepared to conduct
practical examinations.
(2) The Coast Guard may designate
additional exam facilities/locations to
provide services to applicants for
MMCs.
[USCG–2004–17914, 78 FR 77890, Dec. 24, 2013]

§ 10.219

Fees.

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

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

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If you apply for

Evaluation then
the fee is . . .

MMC with officer endorsement:
Original:
Upper level 1 ............................................................................
Lower level 2 ............................................................................
Renewal ..................................................................................
Raise of grade ........................................................................
Modification or removal of limitation or scope ........................
Radio officer endorsement:
Original ....................................................................................
Renewal ..................................................................................
Staff officer endorsements:
Original ....................................................................................
Renewal ..................................................................................
MMC with rating endorsement:
Original endorsement for ratings other than qualified ratings
Original endorsement for qualified rating ...............................
Upgrade or raise of Grade ......................................................
Renewal endorsement for ratings other than qualified ratings
Renewal endorsement for qualified rating ..............................

Examination then
the fee is . . .

$100
100
50
100
50

$110
95
45
45
45

$45
45
45
45
45

50
50

45
n/a

45
45

90
50

n/a
n/a

45
45

95
95
95
50
50

n/a
140
140
n/a
45

45
45
45
45
45

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Coast Guard, DHS

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

If you apply for

Evaluation then
the fee is . . .

Modification or removal of limitation or scope ........................
STCW endorsement:
Original ....................................................................................
Renewal ..................................................................................
Reissue, replacement, and duplicate .....................................

Examination then
the fee is . . .

Issuance then
the fee is . . .

50

45

45

(4)
(4)
n/a

(4)
(4)
n/a

3 45

(4)
(4)

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

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

(5) Checks or money orders must be
made payable to the U.S. Coast Guard,
and the full legal name and last four
digits of applicant’s social security
number must appear on the front of
each check or money order.
(e) Unless otherwise specified in this
part, when two or more endorsements
are processed on the same application
the fees will be as follows:
(1) Evaluation fees. If an applicant simultaneously applies for a rating endorsement and a deck or engineer officer’s endorsement, only the evaluation
fee for the officer’s endorsement will be
charged. If an applicant simultaneously applies for a staff officer or
radio officer endorsement along with
the deck or engineer officer endorsement, only the evaluation fee for the
deck or engineer officer’s endorsement
will be charged. No evaluation fee is
charged for an STCW endorsement.
(2) Examination fees. One examination
fee will be charged for each exam or series of exams for an original, raise of
grade, or renewal of an endorsement on
an MMC taken within 1 year from the
date of the application approval. An examination fee will also be charged to
process an open-book exercise used to
renew an MMC. If an officer endorsement examination under part 11 of this
chapter also fulfills the examination
requirements in part 12 of this chapter
for rating endorsements, only the fee
for the officer endorsement examination is charged.
(3) Issuance fees. Only one issuance
fee will be charged for each MMC
issued, regardless of the number of endorsements placed on the credential.
There is no fee for a Document of Continuity.

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§ 10.221

46 CFR Ch. I (10–1–21 Edition)

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

owned or operated by the sponsoring
organization.
(l) The holder of a no-fee MMC issued
under paragraph (h) of this section may
have the restriction removed by paying
the appropriate evaluation, examination, and issuance fees that would have
otherwise applied.
[USCG–2004–17914, 78 FR 77890, Dec. 24, 2013]

§ 10.221 Citizenship.
(a)(1) MMCs with officer Endorsements.
Only individuals with valid U.S. citizenship may apply for officer endorsements, except individuals applying for
endorsements
as
operators
of
uninspected passenger vessels authorizing service on undocumented vessels
in accordance with § 11.201(d) of this
subchapter.
(2) All other MMCs. All other applicants, except as noted in § 12.809 of this
subchapter, must be either:
(i) A citizen of the United States;
(ii) An alien, as defined under section
101(a)(3) of the Immigration and Nationality Act (8 U.S.C. 1101 et seq.) (the
Act), who is lawfully admitted to the
United States for permanent residence,
as defined by section 101(a)(20) of the
Act.; or
(iii) A foreign national who is enrolled in the United States Merchant
Marine Academy (USMMA).
(b) Proof of citizenship or alien status must be submitted to the Transportation Security Administration (TSA)
with the applicant’s TWIC application
in
accordance
with
49
CFR
1572.17(a)(11).
(c) TSA and the Coast Guard may reject any evidence of citizenship that is
not believed to be authentic. Acceptable evidence of citizenship may be an
original or a copy certified as true by
the agency responsible for issuing the
document of the following:
(1) If the individual is applying for an
officer endorsement (with the exception of those applying for an MMC endorsed only as Operator of an
Uninspected Passenger Vehicle (OUPV)
of an undocumented vessel), the individual must provide an original of any
one of the following documents:
(i) Certified copy of a birth certificate, issued by a State, county, municipality or outlying possession of the
U.S. bearing an official seal;

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Coast Guard, DHS

§ 10.223

(ii) U.S. passport (expired or unexpired);
(iii) Certificate of Citizenship issued
by U.S. Citizenship and Immigration
Services or the Immigration and Naturalization Service;
(iv) Certificate of Naturalization
issued by U.S. Citizenship and Immigration Services or the Immigration
and Naturalization Service; or
(v) Merchant mariner’s document
issued by the Coast Guard after February 3, 2003, that shows that the holder is a citizen of the United States.
(2) If the individual is applying for a
rating endorsement and they hold one
of the documents listed in paragraph
(c)(1)(i) through (v) of this section,
these documents are also acceptable as
evidence of citizenship. If the individual does not hold any one of those
documents listed in paragraph (c)(1)(i)
through (v), the individual must provide an original unexpired foreign passport and an original of any one of the
following documents:
(i) Permanent resident card (form I–
551) issued by U.S. Citizenship and Immigration Services bearing the certification that the alien was admitted to
the United States as an immigrant,
(ii) A declaration of intention to become a citizen of the United States
issued by a naturalization court; or
(iii) A certificate issued by the consular representative of the country of
which the alien is a citizen or subject.
(3) If the individual is the holder of or
applying for a rating endorsement and
the individual does not hold any of the
documents listed in paragraphs (c)(1) or
(2) of this section, proof of enrollment
in the United States Merchant Marine
Academy (USMMA) in the form of an
original letter from the USMMA,
signed by the Superintendent attesting
to the individual’s enrollment along
with an unexpired foreign passport
issued by the government of the country in which the alien is a citizen or
subject, with a valid U.S. visa affixed
to the passport, will be acceptable evidence of lawful status in the United
States.
(4) If the individual is applying for an
MMC endorsed only as OUPV of an undocumented vessel, the individual must
provide an original of any one of the
documents enumerated in paragraphs

(c)(1)(i) through (v) or (c)(2)(i) or (ii) of
this section, or proof of acceptable
alien status as provided in 49 CFR
1572.105.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2004–17914, 78 FR 77892,
Dec. 24, 2013; USCG–2018–0874, 84 FR 30881,
June 28, 2019]

§ 10.223 Modification or removal of
limitations or scope.
(a) If the Coast Guard is satisfied by
the documentary evidence submitted
that an applicant is entitled by experience, training, and knowledge to an endorsement or increase in the scope of
any MMC held, any limitations that
were previously placed upon the MMC
by the Coast Guard may be changed or
removed. Such an increase in scope
may include a change in horsepower or
tonnage limitations, or geographic
route restrictions.
(b) Modifications or removal of limitations or scope to MMC endorsement(s) under this section will not
change the expiration date of the mariner’s MMC unless the applicant renews
all endorsements that would appear on
the MMC under § 10.227 of this part.
(c) A complete application for modification or removal of limitation of
scope must contain the following:
(1) A completed signed application;
(2) Proof that the mariner either
holds a valid TWIC or has applied for a
TWIC.
(3) All supplementary materials required to show that the mariner meets
the mandatory requirements for the
transaction sought:
(i) The mandatory requirements for
officer endorsements are contained in
part 11 of this subchapter.
(ii) The mandatory requirements for
rating endorsements are contained in
part 12 of this subchapter.
(iii) The mandatory requirements for
tankerman rating endorsements are
contained in part 13 of this subchapter.
(iv) The mandatory requirements for
STCW endorsements are contained in
parts 11, 12, and 13 of this subchapter.
(4) The appropriate fee as set forth in
§ 10.219 of this part; and
(5) Any uncanceled MMD, MMC, license, STCW endorsement, or COR held
by the applicant. If one or more of
these credentials are still valid at the

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§ 10.225

46 CFR Ch. I (10–1–21 Edition)

time of application, a photocopy, front
and back of all pages, and all attachments, will satisfy this requirement. If
the applicant submits a photocopy,
upon the issuance of the new MMC, the
applicant must surrender the old, original credential to the Coast Guard. If
requested in writing at the time of submission, the old MMD, MMC, license,
COR, or STCW endorsement may be returned to the applicant after cancellation.
(d) No limitation on any endorsement
may be changed before the applicant
has made up any deficiency in the experience prescribed for the endorsement or endorsement desired and
passed any necessary examination.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2004–17914, 78 FR 77892,
Dec. 24, 2013]

kpayne on VMOFRWIN702 with $$_JOB

§ 10.225 Requirements
for
original
merchant mariner credentials.
(a) An applicant must apply as an
original if the MMC sought is—
(1) The first credential issued to the
applicant;
(2) The first credential issued to applicants after their previous credential
has expired beyond the grace period
and they do not hold a Document of
Continuity under § 10.227(g) of this part
or an equivalent unexpired continuity
endorsement on their license or MMD;
or
(3) The first credential issued to applicants after their previous credential
was revoked pursuant to § 10.235 of this
part.
(b) A complete application for an
original MMC must contain the following, except as otherwise noted in
§ 10.227(i) of this subpart:
(1) A completed, signed application.
(2) Proof that the mariner either
holds a valid TWIC or has applied for a
TWIC.
(3) All supplementary materials required to show that the mariner meets
the mandatory requirements for all endorsements sought as follows:
(i) The mandatory requirements for
officer endorsements are contained in
part 11 of this subchapter.
(ii) The mandatory requirements for
rating endorsements are contained in
part 12 of this subchapter.

(iii) The mandatory requirements for
tanker rating endorsements are contained in part 13 of this subchapter.
(iv) The mandatory requirements for
STCW endorsements are contained in
parts 11, 12, and 13 of this subchapter.
(4) The appropriate fee as set forth in
§ 10.219 of this part.
(5) Evidence of having passed a chemical test for dangerous drugs or of
qualifying for an exemption from testing in § 16.220 of this subchapter.
(6) Where sea service is required, documentary evidence in accordance with
§ 10.232 of this part.
(7) Proof, documented on CG–719–K or
CG–719–K/E, as appropriate, that the
applicant passed all applicable vision,
hearing, medical, and/or physical
exams as required by subpart C of this
part or a valid medical certificate
issued by the Coast Guard.
(8) Consent to a Coast Guard check of
the NDR for offenses described in section 205(a)(3)(A) or (B) of the National
Driver Register Act of 1982, as amended.
(9) The oath as required in paragraph
(c) of this section.
(c) Oath. Every person who receives
an original MMC must first take an
oath, before an official authorized to
give such an oath, that he or she will
faithfully and honestly, according to
his or her best skill and judgment,
without concealment or reservation,
perform all the duties required by law
and obey all lawful orders of superior
officers. An oath may be administered
by any Coast Guard-designated individual or any person legally permitted
to administer oaths in the jurisdiction
where the person taking the oath resides. An oath administered at a location other than the Coast Guard must
be verified in writing by the administering official and submitted to the
same Regional Examination Center
(REC) where the applicant applied for
his or her MMC. This oath remains
binding for any subsequently issued
MMC and endorsements added to the
MMC, unless specifically renounced in
writing.
[USCG–2004–17914, 78 FR 77892, Dec. 24, 2013]

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Coast Guard, DHS

§ 10.227

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

(iii) Complete an approved refresher
training course;
(iv) Provide evidence of employment
as a qualified instructor or in a position closely related to the operation,
construction, or repair of vessels (either deck or engineer as appropriate)
for at least 3 years during the past 5
years. An applicant for a deck license
or officer endorsement with this type
of employment must also demonstrate
knowledge on an applicable Rules of
the Road open-book exercise; or
(v) Provide evidence of being a qualified instructor who has taught a Coast
Guard-approved or -accepted course
relevant to the endorsement or credential being applied for, at least twice
within the past 5 years, therefore meeting the standards needed to receive a
course completion certificate for that
course.
(2) The qualification requirements
for renewal of radar observer endorsement as contained in § 11.480 of this
subchapter.
(3) Additional qualification requirements for renewal of an officer endorsement as first-class pilot as contained in
§ 11.713 of this subchapter.
(4) An applicant for renewal of a
radio officer’s endorsement must, in
addition to meeting the requirements
of this section, present a copy of a currently valid license as first- or secondclass radiotelegraph operator issued by
the Federal Communications Commission.
(5) An applicant for renewal of an endorsement as medical doctor or professional nurse must, in addition to meeting the requirements of this section,
present evidence that he or she holds a
currently valid, appropriate license as
physician, surgeon, or registered nurse
issued under the authority of a State
or territory of the United States, the
Commonwealth of Puerto Rico, or the
District of Columbia. Any such renewal
will retain the limitations placed upon
the medical license by the issuing
body. There are no professional requirements for renewal of an endorsement as marine physician assistant or
hospital corpsman.
(6) An applicant for renewal of an endorsement as master or mate (pilot) of
towing vessels, in addition to the other

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§ 10.227

46 CFR Ch. I (10–1–21 Edition)

requirements in this paragraph, must
also submit satisfactory evidence of—
(i) Having completed a practical demonstration of maneuvering and handling a towing vessel to the satisfaction of a designated examiner; or
(ii) Ongoing participation in training
and drills during the validity of the license or MMC being renewed.
(7) An applicant seeking to renew a
tankerman endorsement must meet the
additional requirements listed in
§ 13.120 of this subchapter.
(8) There are no professional requirements for renewal for the following endorsements:
(i) Staff officers (all types).
(ii) Ordinary seaman.
(iii) Wiper.
(iv) Steward’s department.
(v) Steward’s department (F.H.).
(vi) Cadet.
(vii) Student observer.
(viii) Apprentice engineer.
(ix) Apprentice mate (issued under
part 12 of this subchapter).
(x) Person in charge of medical care.
(xi) Medical first-aid provider.
(xii) GMDSS at-sea maintainer.
(xiii) GMDSS operator.
(f) Except as otherwise provided, each
candidate for a renewal of an STCW endorsement must meet the applicable
requirements of part 11, subpart C, and/
or part 12, subpart F.
(g) Document of Continuity. (1) Applicants for renewal of national endorsements, who are unwilling or otherwise
unable to meet the requirements of
paragraph (d) of this section, including
but not limited to the medical and
physical standards of subpart C of this
part, suitability standards of § 10.211 of
this part, drug tests, professional requirements, and TWIC, may apply for a
Document of Continuity issued by the
Coast Guard. Documents of Continuity
do not expire and are issued solely to
maintain an individual’s eligibility for
renewal. A Document of Continuity
does not entitle an individual to serve
as a merchant mariner. A holder of a
Document of Continuity may obtain a
properly endorsed, valid MMC at any
time by satisfying the requirements for
renewal as provided in paragraphs (d),
(e), or (f) of this section as applicable.
When a valid MMC is issued to replace
a previously held Document of Con-

tinuity, the previously issued Document of Continuity becomes void.
(2) Applications for a Document of
Continuity must include the following:
(i) The endorsements to be placed
into continuity.
(ii) An application including a signed
statement from the applicant attesting
to an awareness of the limited purpose
of the Document of Continuity, his or
her inability to serve, and the requirements to obtain an MMC.
(3) If not all MMC endorsements are
to be converted into a Document of
Continuity, a new MMC will be issued
with the active endorsements. Once the
new MMC and/or Document of Continuity is issued the previous MMC is
no longer valid and must be returned
to the Coast Guard.
(4) STCW endorsements may not be
placed in continuity. If an individual
continues to maintain a valid MMC
while placing specific national endorsements into continuity, those STCW endorsements associated with the national endorsements that were placed
in continuity are no longer valid.
(5) No credential expired beyond the
12-month administrative grace period
in paragraph (h) of this section can be
converted into a Document of Continuity.
(6) A holder of a Document of Continuity may obtain a properly endorsed, valid MMC, including STCW endorsements, at any time by satisfying
the requirements for renewal as provided in paragraphs (d) and (f) of this
section.
(h) Administrative grace period. A credential may be renewed up to 12
months after expiration. For a credential to be re-issued by the Coast Guard
more than 12 months after its expiration, an applicant must comply with
the requirements of paragraph (i) of
this section. When an applicant’s credential expires during a time of service
with the Armed Forces and there is no
reasonable opportunity for renewal, including by mail, this period may be extended. The period of military service
following the date of expiration which
precluded renewal may be added to the
12-month grace period. The 12-month
grace period and any extensions do not
affect the expiration date of the credential. A license, MMD, COR, STCW

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Coast Guard, DHS

§ 10.231

endorsement, MMC, and any endorsements thereon, are not valid for use
after the expiration date.
(i) Re-issuance of expired credentials.
(1) If an applicant applies for reissuance of an endorsement as deck officer, engineer officer, or qualified rating more than 12 months after its expiration, instead of the requirements of
paragraph (e) of this section, the applicant must demonstrate continued professional knowledge by completing a
course approved for this purpose, or by
passing the complete examination for
original issue of the endorsement. The
examination may be oral-assisted if
the expired credential was awarded
based on the results of an oral exam.
The fees set forth in § 10.219 of this part
apply to these examinations. In the
case of an expired radio officer’s endorsement, the endorsement may be
issued upon presentation of a valid
first- or second-class radiotelegraph
operator license issued by the Federal
Communications Commission.
(2) An endorsement for chief purser,
purser, senior assistant purser, junior
assistant purser, hospital corpsman,
marine physician assistant, medical
doctor, or professional nurse that has
been expired for more than 12 months
must be renewed in the same way as a
current endorsement of that type.
There are no additional requirements
for re-issuing endorsements for chief
purser, purser, senior assistant purser,
junior assistant purser, hospital corpsman, marine physician assistant, medical doctor, or professional nurse that
have been expired for more than 12
months.
(3) Applicants applying for reissuance of an endorsement as master
or mate (pilot) of towing vessels more
than 12 months after expiration of the
previous endorsement must complete
the practical demonstration of maneuvering and handling a towing vessel required under (e)(6)(i) of this section.
(4) Applicants applying for reissuance of an endorsement as any
tankerman rating more than 12 months
after expiration of the previous endorsement must meet the requirements
in § 13.117 of this subchapter.
[USCG–2004–17914, 78 FR 77892, Dec. 24, 2013]

§ 10.229 Replacement of lost merchant
mariner credentials.
(a) Upon request and without examination, a mariner may be issued a duplicate credential and medical certificate after submitting an application
with an affidavit describing the circumstances of the loss. The Coast
Guard will only issue the duplicate credential, MMC and/or medical certificate, after confirming the validity of
the mariner’s credentials and the validity of the mariner’s TWIC.
(b) The duplicate credential will have
the same authority, wording, and expiration date as the lost credential.
(c) If a person loses a credential by
shipwreck or other casualty, a duplicate credential will be issued free of
charge. The term ‘‘other casualty’’ includes any damage to a ship caused by
collision, explosion, tornado, wreck,
flooding, beaching, grounding, or fire;
or personal loss associated with a federally declared natural disaster.
(d) If a person loses a credential by
means other than those noted in paragraph (c) of this section and applies for
a duplicate, the appropriate fee set out
in § 10.219 of this part must be paid.
(e) No application from an alien for a
duplicate credential will be accepted
unless the alien complies with the requirements of § 10.221 of this part.
(f) Applications for duplicate credentials will not be subject to a criminal
record review.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2004–17914, 78 FR 77894,
Dec. 24, 2013; USCG–2018–0874, 84 FR 30881,
June 28, 2019]

§ 10.231 Requirements for raises
grade or new endorsements.

(a) This section applies to applicants
who already hold a valid credential and
want to make either of the following
transactions:
(1) Add a new endorsement.
(2) Obtain a raise of grade of an existing endorsement.
(b) If an applicant for new endorsement or raise of grade meets the renewal requirements under § 10.227 of
this subpart for every endorsement

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§ 10.231

46 CFR Ch. I (10–1–21 Edition)

listed on the MMC and requests renewal, the applicant will receive a credential valid for 5 years. When an applicant does not meet the renewal requirements for every endorsement
held, the applicant’s new endorsement
will be issued with the expiration date
that is the same as the current MMC.
(c) A complete application for a new
endorsement or raise of grade must
contain the following:
(1) A completed, signed application.
(2) Proof that the mariner either
holds a valid TWIC or has applied for a
TWIC.
(3) All supplementary materials required to show that the mariner meets
the mandatory requirements for the
new endorsements sought as follows:
(i) The mandatory requirements for
officer endorsements as contained in
part 11 of this subchapter and paragraph (d) of this section.
(ii) The mandatory requirements for
rating endorsements as contained in
part 12 of this subchapter.
(iii) The mandatory requirements for
tankerman rating endorsements are
contained in part 13 of this subchapter.
(iv) The mandatory requirements for
STCW endorsements as contained in
parts 11, 12, and 13 of this subchapter.
(4) The appropriate fee as contained
in § 10.219 of this part.
(5) Any uncanceled MMD, MMC, license, STCW endorsement, or COR held
by the applicant. If one or more of
these credentials are still valid at the
time of application, a photocopy—
front, back, and all attachments—will
satisfy this requirement.
(6) Applicants for the following endorsements must produce evidence of
having passed a chemical test for dangerous drugs or of qualifying for an exemption from testing in § 16.220 of this
subchapter:
(i) Any officer endorsement.
(ii) The first endorsement as able
seaman, lifeboatman, lifeboatman-limited, qualified member of the engine
department, or tankerman.
(7) Where sea service is required, documentary evidence in accordance with
§ 10.232 of this part.
(8) Applicants seeking a new endorsement must either hold an unexpired
medical certificate or submit a medical
certificate application.

(9) Consent to a Coast Guard check
for offenses described in section
205(a)(3)(A) or (B) of the National Driver Register Act of 1982, as amended.
(d) Additional requirements for an
applicant seeking a raise of grade of an
officer endorsement are as follows:
(1) Sea service acquired before the
issuance of an officer endorsement is
generally not accepted as any part of
the service required for a raise of grade
of that endorsement. However, service
acquired before issuance of an officer
endorsement will be accepted for certain crossovers, endorsements, or increases in scope of an MMC, as appropriate. In the limited tonnage categories for deck officers, total accumulated service is a necessary criterion
for most raises of grade; therefore,
service acquired before the issuance of
such officer endorsements will be accepted.
(2) An applicant remains eligible for
a raise of grade while on probation as a
result of action under part 5 of this
chapter. A raise of grade issued to a
person on probation will be subject to
the same probationary conditions imposed against his or her other credentials. The offense for which he or she
was placed on probation will be considered on the merits of the case in determining fitness to hold the endorsement
applied for. No applicant will be examined for a raise of grade during any period when a suspension without probation or a revocation imposed under
part 5 of this chapter is effective
against his or her credential or while
an appeal from these actions is pending.
(3) Professional examination. (i) When
the Coast Guard finds an applicant’s
experience and training for raise of
grade is satisfactory, and the applicant
is eligible in all other respects, the
Coast Guard will authorize a professional examination.
(ii) Oral-assisted examinations may
be administered in accordance with
§ 11.201(j) of this subchapter.
(iii) The general instructions for administration of examinations and the
lists of subjects for all endorsements
are found in part 11, subpart I; part 12,
subpart E; and part 13, subpart A of
this subchapter.
[USCG–2004–17914, 78 FR 77894, Dec. 24, 2013]

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§ 10.232

§ 10.232 Sea service.
(a) Documenting sea service. (1) Sea
service may be documented in various
forms such as certificates of discharge,
pilotage service and billing forms, and
service letters or other official documents from marine companies signed
by the owner, operator, master, or
chief engineer of the vessel. The Coast
Guard must be satisfied as to the authenticity and acceptability of all evidence of experience or training presented.
(2) Documentary evidence produced
by the applicant, unless in the form of
a Certificate of Discharge conforming
to § 14.307 of this subchapter, must contain all of the following information:
(i) Vessel name(s) and official numbers listed on the registration, certificate, or document issued.
(ii) Gross tonnage of the vessel.
(iii) Propulsion power and mode of
propulsion of the vessel.
(iv) The amount and nature (e.g.
chief mate, assistant engineer, etc.) of
the applicant’s experience.
(v) Applicable dates of service for
each vessel, and the ports or terminals
if applicable.
(vi) The routes upon which the experience was acquired.
(vii) For those seeking to renew a
radar observer endorsement, whether
the vessel is equipped with radar and if
the mariner served in a position that
routinely uses radar for navigation and
collision avoidance purposes.
(viii) For those seeking service credit
on towing vessels in accordance with
§ 11.211(e) of this subchapter, the aggregate tonnage of the tug and barges during the mariner’s service.
(ix) Any other information necessary
to determine the applicability of STCW
to the vessel.
(x) Whether the vessel is manned and
equipped in accordance with SOLAS.
(xi) Where required for an officer endorsement, time served as bridge
watchkeeping or engine watchkeeping
duties under the supervision of a qualified officer.
(3) An MMC endorsement, in certain
cases, may be considered as satisfactory evidence of any qualifying experience for obtaining other endorsements.
(4) For service on vessels of less than
200 GRT, owners of vessels may attest

to their own service and provide proof
of ownership. Those who do not own a
vessel must obtain letters or other evidence from licensed personnel or the
owners of the vessels listed.
(5) If the required sea service is associated with watchkeeping functions
and the performance of duties, as required in §§ 11.323, 11.329, and 11.333, the
service must be documented as having
been carried out under the direct supervision of the appropriate person. If
the required sea service is associated
with the performance of duties, as required in §§ 11.470, 11.472, and 11.474, the
service must be documented as having
been carried out under the supervision
of the appropriate person.
(6) An applicant who has been acting
as a pilot may submit a letter from a
pilot’s association attesting to the applicant’s sea service. For those pilots
seeking to renew a radar observer endorsement, the association’s letter
should indicate that the vessels piloted
were equipped with radar, and that
radar was used by the pilot for navigation and collision avoidance purposes.
Pilots not part of an association may
submit other relevant records indicating service, such as billing forms.
For a raise-of-grade, pilots must comply with the requirements of paragraph
(a)(2) of this section.
(b) Service toward an oceans, nearcoastal, or STCW endorsement will be
credited as follows:
(1) Service on the Great Lakes will be
credited on a day-for-day basis up to
100 percent of the total required service.
(2) Service on inland waters, other
than Great Lakes, that are navigable
waters of the United States, will be
credited on a day-for-day basis for up
to 50 percent of the total required service.
(3) Service on vessels to which STCW
applies, whether inland or coastwise,
will be credited on a day-for-day basis.
For establishing credit for sea service,
the waters of the Inside Passage between Puget Sound and Cape Spencer,
Alaska will be credited for a nearcoastal and STCW endorsement.

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§ 10.232

46 CFR Ch. I (10–1–21 Edition)

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

other ratings may be considered if the
applicant establishes that his or her
duties required a watchstanding presence on or about the bridge of a vessel.
Service in engineer ratings on military
vessels such as fireman apprentice,
fireman, engineman, machinists mate,
machinery technician, or boiler tender
are considered engineer service for the
purposes of this part. There are also
other ratings such as electrician, hull
technician, or damage controlman,
which may be credited when the applicant establishes that his or her duties
required watchstanding duties in an
operating engine room.
(4) In addition to service on vessels
that get underway regularly, members
of the Armed Forces may obtain creditable service for assignment to vessels
that get underway infrequently, such
as tenders and repair vessels. Normally, a 25-percent factor is applied to
these time periods. This experience can
be equated with general shipboard familiarity, training, ship’s business, and
other related duties.
(5) Sea service obtained on submarines is creditable, as if it were surface vessel service, for deck and engineer officer and qualified ratings endorsements under the provision of
paragraph (a) of this section. For application for deck officer and qualified
ratings endorsements, submarine service may be creditable if at least 25 percent of all service submitted for the endorsement was obtained on surface vessels (e.g. if 4 years’ total service were
submitted for an original officer endorsement, at least 1 year must have
been obtained on surface craft in order
for the submarine service to be eligible
for evaluation).
(6) Service gained in a civilian capacity as commanding officer, master,
mate, engineer, or pilot, etc., of any
vessel owned and operated by the
United States, in any service in which
a license or officer endorsement as
master, mate, engineer, or pilot was
not required at the time of such service, will be evaluated by the Coast
Guard for a determination of equivalence.
(e) Sea service on vessels that do not get
underway. This requirement applies to
service obtained on vessels mandated
by the Certificate of Inspection (COI)

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kpayne on VMOFRWIN702 with $$_JOB

Coast Guard, DHS

§ 10.232

which are in operation but do not get
underway or occasionally get underway
for short voyages. Service while the
vessel is not underway must be credited as follows:
(1) Engineering department. Service
may be credited day-for-day for up to
50 percent of the service credit for renewal, raise of grade, and original issue
for each day the engineering plant is
operational.
(2) Deck department. Service may be
credited as follows:
(i) Original issue and raise of grade.
Service is creditable on a 3-for-1 basis
(12 months of experience equals 4
months of creditable service) for up to
6 months of service credit.
(ii) Renewal. Service in any capacity
in the deck department is creditable as
closely
related
service
under
§ 10.227(e)(1)(iv). When submitted in
combination with underway service,
service is creditable on a 3-for-1 basis
(12 months of experience equals 4
months of creditable service) for up to
6 months of service credit.
(f) Foreign sea service. (1) Experience
and service acquired on foreign vessels
is creditable for establishing eligibility
for an original or renewal of an officer,
rating, or STCW endorsement, subject
to evaluation by the Coast Guard to determine that it is a fair and reasonable
equivalent to service acquired on merchant vessels of the United States with
respect to grade, tonnage, horsepower,
waters, and operating conditions. This
experience and service is also creditable to meet recency requirements.
(2) Experience and service acquired
on foreign vessels while holding a valid
U.S. endorsement is creditable for establishing eligibility for a raise of
grade of an officer, rating, or STCW endorsement, subject to evaluation as
specified in paragraph (d)(1) of this section. This experience and service is
also creditable to meet recency requirements.
(3) An applicant who has obtained
qualifying experience on foreign vessels must submit satisfactory documentary evidence of such service (including any necessary official translation to the English language) in accordance with paragraph (a)(1) and
(a)(2) of this section.

(g) Closely related service. The Coast
Guard may accept evidence of employment in a position closely related to
the operation, construction, or repair
of vessels (either deck or engineer as
appropriate) as meeting the sea service
requirements
for
renewal
under
§ 10.227(e)(1)(iv). Service as port engineer, port captain, shipyard superintendent, qualified instructor, or similar related service may be creditable
for service for raise of grade of an engineer or deck officer endorsement; however, it may not be used for obtaining
an original management-level endorsement. The service is creditable as follows:
(1) Port engineer, port captain or
shipyard superintendent experience is
creditable on a 3-for-1 basis for a raise
of grade (e.g., 12 months of experience
equals 4 months of creditable service).
For a raise-of-grade, this credit is limited to 6 months of service.
(2) Service as a qualified instructor
in a Coast Guard approved course or a
training program is creditable on a 2for-1 basis for a raise of grade (e.g., 12
months of experience equals 6 months
of creditable service). For a raise-ofgrade, this credit is limited to 6
months of service.
(h) Day. (1) Except as noted otherwise, for the purpose of calculating
service in this subchapter, a day is
equal to 8 hours of watchstanding or
day-working not to include overtime.
(2) On vessels authorized by 46 U.S.C.
8104 and 46 CFR 15.705, to operate a
two-watch system, a 12-hour working
day may be creditable as 11⁄2 days of
service.
(3) On vessels of less than 100 GRT, a
day is considered as 8 hours unless the
Coast Guard determines that the vessel’s operating schedule makes this criterion inappropriate; in no case will
this period be less than 4 hours.
(4) When computing service on
MODUs for any endorsement, a day of
MODU service must be a minimum of 4
hours, and no additional credit is received for periods served over 8 hours.
(5) For cadet service on a training
ship furnished by the Maritime Administration under 46 CFR 310.4, a day may
be creditable as 11⁄2 days of service.
(i) Tonnage equivalency. For the purpose of parts 10, 11 and 12, 200 GRT will

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§ 10.233

46 CFR Ch. I (10–1–21 Edition)

be considered equivalent to 500 GT, and
1,600 GRT will be considered equivalent
to 3,000 GT.
[USCG–2004–17914, 78 FR 77894, Dec. 24, 2013,
as amended by USCG–2018–0100, 84 FR 26591,
June 7, 2019; USCG–2018–0874, 84 FR 30881,
June 28, 2019]

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§ 10.233 Obligations of the holder of a
merchant mariner credential.
(a) The holder of a credential may
not voluntarily part with it or place it
beyond his or her personal control by
pledging or depositing it with any
other person, except as required by regulation or as necessary to safeguard
the credential. If the holder violates
this section, the Coast Guard may pursue suspension or revocation of the license, MMD, COR, or MMC under the
provisions of part 5 of this chapter.
(b) Whenever a mariner loses a credential, he or she must immediately
report the loss to the Coast Guard. The
report must be made in writing, giving
the facts incident to its loss.
(c) Invalid credentials must be returned to the Coast Guard. Upon written request, the Coast Guard will return the cancelled credential to the
mariner.
§ 10.235 Suspension or revocation of
merchant mariner credentials.
(a) Any MMC or endorsement is subject to suspension or revocation on the
same grounds, in the same manner, and
with like procedure as provided in 46
U.S.C. chapter 77.
(b) When any individual’s credential
is revoked, it is no longer valid for any
purpose, and any MMC subsequently
requested must be applied for as an
original following the procedures of
§§ 5.901–5.905 of this subchapter. When
an endorsement on an individual’s
MMC is revoked, it is no longer valid,
and any endorsement of the same type
subsequently requested must be applied
for as an original following the procedures of §§ 5.901–5.905 of this subchapter.
When an officer’s endorsement is revoked, the Coast Guard will issue an
MMC containing any rating endorsement for which the holder is qualified.
(c) An applicant who has had a TWIC,
credential, or endorsement revoked,
and who is applying for a subsequent
MMC or endorsement, must state in his

or her application the date of revocation, the serial number of the document revoked, and the type of document or endorsement revoked.
(d) A person whose credential or endorsement has been revoked or suspended without probation may not be
issued a replacement credential or endorsement without approval of the
Commandant. If a mariner has multiple endorsements and one or more,
but not all, of those endorsements are
suspended or revoked, he or she will be
issued, without payment of a fee, a replacement MMC reflecting those endorsements for which the mariner remains qualified.
(e) When a credential or endorsement
that is about to expire has been suspended, without probation, the renewal
of the credential or endorsement will
be withheld until expiration of the suspension period.
(f) When applying for an original endorsement on an MMC, pursuant to
paragraph (d) of this section, an individual’s existing service and training
may be considered by the Coast Guard
when determining the grade of the endorsement to be issued.
(g) An applicant for renewal or return of a credential with endorsement
as master or mate (pilot) of towing vessels whose most recent credential has
been suspended or revoked by an administrative law judge for incompetence must complete the practical
demonstration
required
under
§ 10.227(e)(6)(i) of this subpart.
(h) If the Coast Guard is advised by
the Transportation Security Administration (TSA) that a mariner has either been denied a TWIC or their TWIC
has been revoked, the Coast Guard may
initiate suspension and revocation action against the mariner’s MMC, license, MMD, and COR under 46 U.S.C.
7702 and 7703. During the subsequent
suspension and revocation proceeding,
the TSA decision to deny issuance of,
or to revoke, a mariner’s TWIC will not
be subject to review, and the mariner’s
failure to hold a TWIC will be treated
by the Coast Guard as proof that the
mariner is not eligible for an MMC, license, MMD or COR.
(i) A mariner that has either been denied issuance of a TWIC or whose TWIC
has been revoked for a reason, other

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Coast Guard, DHS

§ 10.237

than administrative reasons (e.g.,
being lost or stolen, not functioning, or
having a misspelling) will be deemed
ineligible for an MMC, license, MMD or
COR.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2006–24371, 74 FR 39218,
Aug. 6, 2009; USCG–2004–17914, 78 FR 77894,
Dec. 24, 2013]

§ 10.237

Right of appeal.

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(a) If the Coast Guard refuses to
grant an applicant an MMC, medical
certificate, or endorsement it will pro-

vide, a written statement listing the
reason(s) for denial.
(b) Any person directly affected by a
decision or action taken under this
subchapter, by or on behalf of the
Coast Guard, may appeal under the
provisions of subpart 1.03 of part 1 of
this chapter.
(c) The Coast Guard will not review
decisions made by the Transportation
Security Administration to suspend,
revoke, or deny a mariner’s TWIC.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2004–17914, 78 FR 77894,
Dec. 24, 2013]

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VerDate Sep<11>2014

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§ 11.201(e) ....
Note: exceptions.

§ 11.201(e) ....
Note: exceptions.

Electro-technical officer.

§ 11.201(e) ....
Note: exceptions.

National Designated Duty
Engineer
(DDE).

STCW Engineering Officer endorsements.

§ 11.201(e) ....
Note: exceptions.

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

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

Operator of
Uninspected
Passenger
Vessels
(OUPV).
STCW Deck
Officer endorsements.

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

§ 11.201(e) ....
Note: exceptions.

Minimum age

Master, mates

Endorsement
category

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

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

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

§ 10.302(a) .......

U.S., § 10.221(a)(1)
§ 11.201(d).

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

§ 10.302(a) .......

§ 10.302(a) .......

Medical and
physical exam

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

U.S., § 10.221(a)(1)
§ 11.201(d).

Citizenship

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

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

46 CFR Part 11—
Subpart C.

46 CFR Part 11—
Subpart E.

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

46 CFR Part 11—
Subpart C.

§ 11.467(c); (d);
(e); (f); (g).

46 CFR Part 11—
Subpart D.

Experience

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

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

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

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

Recommendations
and character check

§ 11.335(a)(3)(ii)

§ 11.201(h)(1)(iv)

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

§ 11.201(h) ..........

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

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

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

§ 11.201(h) ..........

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

Demonstration
of professional
ability

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

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

§ 11.903 ................

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

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

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

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

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

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

§§ 11.201(j);
N/A ...........................
11.903; § 11.910.

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

Professional exam

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

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

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

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

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

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

§ 11.1105(c) .........

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

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

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

Recency of service

§ 11.335(a)(3)(i).

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

N/A.

§ 11.201(i).

§§ 11.201(i):
Note exceptions.

§ 11.201(i) Note:
exceptions.

First aid and
CPR

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

§ 10.239

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§ 10.239
46 CFR Ch. I (10–1–21 Edition)

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§ 11.201(e) ....
Note: exceptions.

§ 11.201(e) ....
Note: exceptions.

§ 11.201(e) ....
Note: exceptions.

Officer renewals.

Staff officer .....

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Staff officer renewals.

133

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U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

§ 11.201(e) ....
Note: exceptions.

U.S., § 10.221(a)(1)
§ 11.201(d).

U.S., § 10.221(a)(1)
§ 11.201(d).

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

§ 11.201(e) ....
Note: exceptions.

Uninspected
fishing industry vessels.

U.S., § 10.221(a)(1)
§ 11.201(d).

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

§ 11.201(e) ....
Note: exceptions.

MODU licenses

U.S., § 10.221(a)(1)
§ 11.201(d).

GMDSS Operator.
Officer raises
of grade.

§ 11.201(e) ....
Note: exceptions.

Offshore Supply Vessels.

U.S., § 10.221(a)(1)
§ 11.201(d).

§ 11.201(e) ....
Note: exceptions.

§ 11.201(e) ....
Note: exceptions.

Towing vessels

U.S., § 10.221(a)(1)
§ 11.201(d).

Radio officer ...

§ 11.201(e) ....
Note: exceptions.

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

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§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

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

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a); ......
§ 11.709 ............

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

§ 11.807 ................

§ 10.227(d) and (e)
Note: exceptions

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

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

OIM: § 11.470 .......
B.S.: § 11.472
BCO: § 11.474
ChEng: § 11.542
Asst. Eng:
§ 11.544.
Deck: § 11.462(c);
(d);.
Engine:
§ 11.530(c); (d);
(e).
N/A .......................

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

46 CFR Part 11—
Subpart D.

§ 11.703; § 11.705

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

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

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

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

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

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

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

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

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

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

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

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

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

§ 11.201(h): note
exceptions.

§ 11.201(h) ..........

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

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

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

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

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

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

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

§ 11.201(j);
§ 11.903;
§ 11.910.

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

§ 11.201(j);
§ 11.903;
§ 11.910.

§ 11.707; § 11.903;
§ 11.910.

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

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

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

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

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

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

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

§ 11.705(e),
§ 11.713.

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

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

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

Part 11, subparts D
and E.

11.604 ......................

§ 11.603 ...................

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

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

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

§ 11.464; § 11.465 ....

§ 11.705 ...................

N/A.

§ 11.201(i).

N/A.

N/A.

N/A.

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

§ 11.201(i).

Coast Guard, DHS
§ 10.239

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§ 12.603(a)(1)

§ 12.605(a)(1)

§ 12.501(c)(1)

Able-seafarer
deck.

Ratings for
forming a
navigational
watch.

Qualified members of engine department.

Fmt 8010

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

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

Entry level ratings.

Lifeboatman ....

§ 12.611(a)(1)

§ 12.609(a)(1)

Electro-technical rating.

Ratings for
forming an
engineering
watch.

§ 12.607(a)(1)

§ 12.401(c)(1)

Able seaman ..

Able-seafarer
engine.

Minimum age

Endorsement
category

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

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

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

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

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

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

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

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

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

Citizenship

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

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a) .......

§ 10.302(a),
§ 12.401(c)(2).

Medical and
physical exam

§ 12.407(b)(1) .......

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

§ 12.611(a)(2) .......

§ 12.609(a)(2) .......

§ 12.607(a)(3) .......

§ 12.503 ................

§ 12.605(a)(2) .......

§ 12.603(a)(3) .......

§ 12.403 ................

Experience

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

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

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

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

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

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

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

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

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

Recommendations
and character check

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

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

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

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

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

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

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

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

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

Firefighting

§ 12.407(b)(2); (4)

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

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

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

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

§ 12.505 ................

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

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

§ 12.401(c)(5) .......

Professional exam

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

§ 12.407(b)(2); (3) ....

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

§ 12.611(a)(3);
§ 12.611(b).

§ 12.609(a)(3) ...........

§ 12.607(a)(2); (4)
§ 12.607(b); (c).

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

§ 12.605(a)(3) ...........

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

§ 12.401(c)(6)
§ 12.405.

Demonstration
of professional
ability

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

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

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

Recency of service

N/A.

N/A.

§ 12.602(a).

§ 12.602(a).

§ 12.602(a).

N/A.

§ 12.602(a).

§ 12.602(a).

N/A.

First aid and
CPR

§ 10.239
46 CFR Ch. I (10–1–21 Edition)

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§ 12.617(a)(1)

§ 12.613(a)(1)

§ 12.615(a)(1)

Proficiency in
fast rescue
boats.

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

Proficiency in
survival craft
and rescue
boats other
than lifeboats
and fast rescue boatslimited.
Assistance
Towing endorsement.
Radar Observer endorsement.
Vessel Security
Officer.

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

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

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

§ 12.625(a)(1)

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

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

§ 12.623(a) ....

GMDSS at sea
maintainer.
Medical firstaid provider.
Person in
charge of
medical care.
Vessel personnel with
designated
security duties.

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

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

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

§ 11.337(a) ....

High Speed
Craft.

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

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

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

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

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

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

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

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

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

LifeboatmanLimited.

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PC31
§ 12.625(a)(2) ...

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

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

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

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

§ 10.302(a) .......

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

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

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

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

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

§ 10.302(a) .......

§ 12.625(a)(1) .......

§ 12.621(b) ...........

§ 12.619(b) ...........

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

§ 11.821(b)(1)
§ 11.821(c).

§ 11.337(a) ...........

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

§ 11.482 ................

§ 12.615(a)(2) .......

§ 12.613(a)(2) .......

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

§ 12.409(b)(1) .......

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

§ 11.482 ................

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

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

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

§ 12.409(b)(2); (4)

§ 12.625(a)(1) ...........

§ 12.621(a)(1); (2) ....

§ 12.619(a)(1); (2) ....

§ 12.623(b) ...............

§ 11.821(b)(2) ...........

§ 11.337(a) ...............

§ 11.480(d); (h) ........

§ 11.482 ...................

§ 12.615(a)(3) ...........

§ 12.613(a)(3) ...........

§ 12.617(a)(2); (3);
(4).

§ 12.409(b)(2); (3) ....

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

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

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

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

Renewal:
§ 11.821(e).

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

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

original
§ 11.201(c)(2).

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

N/A.

§ 12.621(a)(1).

§ 12.619(a)(1).

N/A.

N/A.

§ 11.201(i).

N/A.

N/A.

§ 12.602(a).

§ 12.602(a).

§ 12.602(a).

N/A.

Coast Guard, DHS
§ 10.239

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

Ratings serving
on passenger ships
on international voyages.

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

Citizenship

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

§ 12.627(a)(2) ...

Medical and
physical exam

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

§ 12.627(a)(1) .......

Experience

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

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

Recommendations
and character check

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

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

Firefighting

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

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

Professional exam

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

§ 12.905(a); (b) ........

§ 12.627(a)(1) ...........

Demonstration
of professional
ability

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

[USCG–2004–17914, 78 FR 77896, Dec. 24, 2013, as amended by USCG–2018–0874, 84 FR 30881, June 28, 2019]

§ 12.627(a)(1)

Minimum age

Security awareness.

Endorsement
category

kpayne on VMOFRWIN702 with $$_JOB

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

Recency of service

N/A.

N/A.

First aid and
CPR

§ 10.239
46 CFR Ch. I (10–1–21 Edition)

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Coast Guard, DHS

§ 10.302

Subpart C—Medical Certification
SOURCE: USCG–2004–17914, 78 FR 77900, Dec.
24, 2013, unless otherwise noted.

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§ 10.301

General requirements.

(a) The Coast Guard will issue a medical certificate to a mariner meeting
the medical and physical standards for
merchant mariners. The medical certificate will be issued for various periods of time based upon the endorsements the mariner holds. The Coast
Guard will review all information provided and will determine whether—
(1) The applicant is physically and
medically qualified for the medical certificate without any limitations, waivers and/or other conditions;
(2) The applicant is physically and
medically qualified for the medical certificate with limitations and/or other
conditions as specified by the Coast
Guard;
(3) For an applicant who does not
possess the vision, hearing, or general
physical condition necessary, a medical certificate may be issued with appropriate limitations, waivers and/or
other conditions as specified by the
Coast Guard;
(4) Additional information is necessary to determine if the applicant is
physically and/or medically qualified
for the medical certificate. The Coast
Guard will request additional information from the applicant. The Coast
Guard may hold the package pending
receipt of that information before the
package and/or application is denied;
or
(5) The applicant is not physically
and/or medically qualified for the medical certificate. The application for a
medical certificate will be denied by
the Coast Guard.
(b) Except as otherwise noted, medical certificates will be issued for the
following periods of time:
(1) All persons employed or engaged
onboard vessels to which STCW applies
will be issued a medical certificate
valid for 2 years unless the mariner is
under the age of 18, in which case the

maximum period of validity will be 1
year.
(2) Medical certificates issued to a
mariner who is serving as a first-class
pilot, or acting as a pilot under § 15.812
of this subchapter, will be issued for a
maximum period of 2 years.
(3) Medical certificates issued to all
other mariners will be issued for a
maximum period of 5 years.
(4) Applicants seeking additional
MMC endorsements holding a current
medical certificate are not required to
submit a new medical physical exam if
their existing medical certification
meets all of the requirements of this
section for the endorsement sought.
(c) Applicants holding no endorsement other than a staff officer endorsement need not meet the medical and
physical requirements of this section.
§ 10.302 Medical and physical requirements.
(a) To qualify for a medical certificate, a mariner must provide evidence
of meeting the medical and physical
standards in this section on a CG–719–K
or CG–719–K/E, as appropriate. The
Coast Guard retains final authority for
determining whether a mariner is
medically and physically qualified.
Columns 2 through 5 of Table 1 to paragraph (a) of this section provide the
specific exam, test, or demonstrations
required to obtain the corresponding
credential listed in column 1. Further
clarifications of the requirements contained in the table are found throughout this subpart.
(b) Any required test, exam, or demonstration must have been performed,
witnessed, or reviewed by a licensed
medical doctor, licensed physician assistant, licensed nurse practitioner, or
a designated medical examiner. All licensed medical practitioners must hold
a valid license issued in the United
States. Medical examinations for Great
Lakes Pilots must be conducted by a licensed medical doctor in accordance
with the physical exam requirements
in 46 CFR 402.210.

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§ 10.303

46 CFR Ch. I (10–1–21 Edition)

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

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

§ 10.305(a)
§ 10.305(b)
§ 10.305(b)

§ 10.306
§ 10.306
§ 10.306

§ 10.304(a)
§ 10.304(a)
§ 10.304(a)

§ 10.304(c)
§ 10.304(c)
§ 10.304(c)

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

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

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

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

§ 10.305(b)

§ 10.306

§ 10.304(a)

§ 10.304(c)

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

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

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

§ 10.304(c)
§ 10.304(c)
§ 10.304(c)

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

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

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

§ 10.304(c)

..................
§ 10.305(a)

..................
§ 10.306

..................
§ 10.304(a)

§ 10.304(c)

kpayne on VMOFRWIN702 with $$_JOB

(a) The Coast Guard may grant a
waiver if, after review of all relevant
supporting medical documents and
consultation with the examining physician, as needed, an applicant does not
possess the vision, hearing, or general
physical condition necessary; and extenuating circumstances warrant special consideration. An applicant may
submit to the Coast Guard additional
correspondence, records, and reports in
support of a waiver. In this regard, recommendations from agencies of the
Federal Government operating government vessels, as well as owners and operators of private vessels, made on behalf of their employees, will be given
full consideration.
(b) In general, medical waivers are
approved when an applicant does not
meet the applicable medical standards,
but objective medical evidence indicates that the condition is sufficiently
controlled and the effects of medication pose no significant risk to maritime and public safety. The Coast
Guard retains final authority for the
issuance of medical waivers.

(c) Medical waivers may be granted
with specific conditions to which the
applicant must adhere, such as more
frequent monitoring of the medical
conditions, submission of medical
exams and/or tests at varying intervals
to track the ongoing status of the medical condition, or operational limitations in the manner the mariner may
serve under the MMC.
(d) The Coast Guard may place an
operational limitation on medical and
physical conditions. Any operational
limitations will be reflected in the
medical certificate.
(e) The Coast Guard may place a restriction on a medical certificate based
upon medical and physical conditions
of an applicant. Any restriction will be
reflected on the medical certificate and
may include restriction of route or
trade.
§ 10.304

General medical exam.

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

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5
Demonstration
of physical
ability

2
Vision
test

§ 10.303 Medical waivers, limitations,
and restrictions.

3
Hearing
test

4
General
medical
exam

1
Credential

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kpayne on VMOFRWIN702 with $$_JOB

Coast Guard, DHS

§ 10.305

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

evant Coast Guard guidance for the
conduct of general medical exams.
(d) Reports of medical and physical
exams, demonstrations, and tests. These
reports must be submitted within 12
months from the date signed by the licensed medical professional. When submitted with a complete application
package, these reports remain valid for
12 months from the date the Coast
Guard accepts a complete application.
§ 10.305 Vision requirements.
(a) Deck standard. (1) A mariner must
have correctable vision to at least 20/40
in one eye and uncorrected vision of at
least 20/200 in the same eye. The color
sense must be determined to be satisfactory when tested by any of the following methods or an alternative test
acceptable to the Coast Guard, without
the use of color-sensing lenses:
(i)
Pseudoisochromatic
Plates
(Dvorine, 2nd Edition; AOC; revised
edition or AOC–HRR; Ishihara 14-, 24- ,
or 38-;plate editions).
(ii) Farnsworth Lantern.
(iii) Titmus Vision Tester/OPTEC
2000.
(iv) Optec 900.
(v) Richmond Test, 2nd and 4th edition.
(2) Applicants for an STCW endorsement must have correctable vision to
at least 20/40 in both eyes and uncorrected vision of at least 20/200 in both
eyes. A mariner who previously met
these requirements and who suffers
loss of vision in one eye after being
issued an MMC is subject to the requirements of paragraphs (c), (d), and
(e) of this section, as applicable. A
mariner holding an MMC prior to January 1, 2017, must continue to meet the
requirements of paragraph (a)(1) of this
section.
(b)
Engineering,
radio
officer,
tankerman, and MODU standard. A mariner must have correctable vision to at
least 20/50 in one eye and uncorrected
vision of at least 20/200 in the same eye
and need only the ability to distinguish
the colors red, green, blue, and yellow.
The color sense must be determined to
be satisfactory when tested by any
color-vision test listed in paragraph (a)
of this section, or an alternative test
acceptable to the Coast Guard, without
the use of color-sensing lenses. The

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§ 10.306

46 CFR Ch. I (10–1–21 Edition)

Coast Guard will accept Farnsworth D–
15 Hue Test as a color vision test to
meet the requirements of this paragraph.
(c) Vision waiver. Any applicant
whose uncorrected vision does not
meet the 20/200 standard and is correctable to listed standards above may be
granted a medical waiver in accordance
with § 10.303 of this subpart. If a vision
waiver is granted, a limitation will be
placed on his or her a medical certificate indicating the mariner may not
serve under the authority of the endorsement unless corrective lenses are
worn and spare lenses are carried onboard a vessel. Waivers are not normally granted to an applicant whose
corrected vision in the better eye is not
at least 20/40 for deck officers or 20/50
for engineer officers.
(d) Vision operational limitation. If corrective lenses are required in order to
meet the vision standards above, a
mariner may not serve under the authority of the endorsement unless corrective lenses are worn and spare
lenses are carried onboard a vessel.
This operational limitation will be
placed on his or her medical certificate.
(e) Loss of vision. A mariner having
lost vision in one eye must wait 6
months from the date of the vision loss
before submitting any application, and
must provide a statement of demonstrated ability on his or her medical
examination.

kpayne on VMOFRWIN702 with $$_JOB

[USCG–2004–17914, 78 FR 77900, Dec. 24, 2013,
as amended by USCG–2018–0874, 84 FR 30881,
June 28, 2019]

§ 10.306 Hearing requirements.
(a) If the medical practitioner conducting the general medical exam has
concerns that an applicant’s ability to
hear may impact maritime safety, the
examining medical practitioner must
refer the applicant to an audiologist or
other hearing specialist to conduct an
audiometer test and a speech discrimination test, as appropriate.
(b) The audiometer test must include
testing at the following thresholds: 500
Hz; 1,000 Hz; 2,000 Hz; and 3,000 Hz. The
frequency responses for each ear must
be averaged to determine the measure
of an applicant’s hearing ability. Applicants must demonstrate an unaided

threshold of 30 decibels or less in at
least one ear.
(c) The functional speech discrimination test must be carried out at a level
of 65 decibels. For issuance of an original MMC or endorsement the applicant
must demonstrate functional speech
discrimination of at least 90 percent.
For renewal or raise of grade, the applicant must demonstrate functional
speech discrimination of at least 80
percent.
(d) Hearing waivers. An applicant who
is unable to meet the hearing standards of the audiometer test, but who
can pass the functional speech discrimination test; or who requires hearing aids to meet the hearing standards,
may be eligible for a medical waiver in
accordance with § 10.303 of this subpart.
(e) Hearing operational limitation. If
hearing aids are required in order to
meet the hearing standards above, a
mariner may not serve under the authority of the endorsement unless
hearing aids are worn in the operational mode, and spare batteries are
carried onboard a vessel. This operational limitation will be placed on his
or her medical certificate.

Subpart D—Training Courses and
Programs
SOURCE: USCG–2004–17914, 78 FR 77903, Dec.
24, 2013, unless otherwise noted.

§ 10.401

Applicability.

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

Approval of training courses.

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

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Coast Guard, DHS

§ 10.402

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

contact with the local Regional Exam
Center and approval by the National
Maritime Center; and
(v) A description of the following materials used for development, instruction, and performance measurement:
(A) Equipment.
(B) Teaching aids.
(C) Textbooks and presentations.
(D) Reference bibliography.
(3) Part B: Course outline. The course
outline must contain—
(i) Course subjects/topics; and
(ii) Course schedule, including the
duration and order of lessons, and an
indication as to whether each lesson
is—
(A) A classroom lecture;
(B) A practical demonstration;
(C) A simulator exercise;
(D) An examination; or
(E) Another method of instructional
reinforcement.
(4) Part C: Detailed teaching syllabus. The detailed teaching syllabus
must be written in a learning objective
format in which the objectives describe
what the student must do to demonstrate that the specific knowledge
has been transferred. The detailed
teaching syllabus must contain—
(i) The learning objectives as related
to the subjects/topics;
(ii) The specific references from
which the instruction was developed;
and
(iii) Reference to the specific teaching aids, textbooks, or technical materials used for instruction and performance measurement.
(5) Part D–1: Lesson plans. The lesson
plans must contain the following specific instructional contents of the individual course lessons:
(i) The main element learning objective.
(ii) Student assignments.
(iii) Training outcomes, which are
statements that identify the specific
knowledge, skill, or ability that students must gain and display as a result
of the training or instructional activity. A training outcome is made up of
three elements: expected student performance, condition, and criterion.
(6) Part D–2: Instructor notes. The instructor notes must contain—

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§ 10.402

46 CFR Ch. I (10–1–21 Edition)

(i) The specific instructional methodologies utilized in the particular lesson; and
(ii) The instructional materials, including instructional directions containing the following:
(A) Pre-instructional activities.
(B) Content presentation.
(C) Student participation.
(D) Assessment process.
(E) Other instructional activities,
such as homework and reading assignments.
(7) Part E: Evaluations. The evaluations section must contain—
(i) Any methodology that is used to
measure a student’s knowledge, performance, or level of achievement, including—
(A) Homework;
(B) Quizzes;
(C) Exams;
(D) Laboratory projects;
(E) Competency assessments;
(F) Remediation; and
(G) Testing strategies;
(ii) Assessment instruments, which
are any tools used to determine whether the student has achieved the desired
level of knowledge, understanding, or
proficiency; and
(iii) Any methodology that is used to
measure the effectiveness of the training or instructor, including—
(A) Instructor evaluations;
(B) Course evaluations/surveys; and
(C) Other feedback.
(8) Course completion certificate. A
sample course completion certificate
that allows for the following information to be entered:
(i) Course provider number.
(ii) Course number.
(iii) Terms of approval.
(c) Approval notification. The Coast
Guard will notify each applicant for
course approval when an approval is
granted or denied. If the Coast Guard
denies a request for approval, the Coast
Guard will inform the applicant of the
reasons for the denial and describe the
corrections required for granting an
approval.
(d) Validity of course approval. Unless
surrendered, suspended, or withdrawn,
an approval for a course is valid for up
to a maximum of 5 years after
issuance, unless—
(1) The school ceases operation;

(2) The school gives notice that it
will no longer offer the course;
(3) The owner or operator fails to
submit any required information; or
(4) Any change occurs in the ownership of the school to which the approval was issued.
(e) Significant changes to the course approval. (1) Any significant changes to
the course approval or the content of
the course will be handled as a request
for renewal of an approval (as specified
in paragraph (f) of this section), or as a
request for an original approval (as
specified in paragraph (b) of this section), depending on the nature and
scope of the change.
(2) The Coast Guard may not accept
course completion certificates if the
course does not follow the conditions of
the course approval.
(f) Renewal of course approval. (1) If
the owner or operator of a training
school desires to have a course’s approval renewed, the owner or operator
must submit a request to the NMC accompanied by the information from
paragraph b of this section.
(2) If satisfied that the content and
quality of instruction remain satisfactory, the Coast Guard will approve the
request.
(3) The renewed approval is valid as
detailed in paragraph (d) of this section.
(g) Suspension of approval. (1) The
Coast Guard may suspend the approval,
require the holder to surrender the certificate of approval, and may direct the
holder to cease claiming the course is
Coast Guard-approved, if it determines
that a specific course does not comply
with the—
(i) Applicable provisions of 46 CFR
parts 10, 11, 12, or 13;
(ii) Requirements specified in the
course’s approval; or
(iii) Course’s curriculum package as
submitted for approval.
(2) The Coast Guard will notify the
approval holder in writing of the intent
to suspend course approval and the reasons for suspension. If the approval
holder fails to correct the conditions
leading to suspension, the course will

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Coast Guard, DHS

§ 10.403

be suspended. The Coast Guard will notify the approval holder that the specific course fails to meet applicable requirements and explain how the deficiencies can be corrected.
(3) The Coast Guard may grant the
approval holder up to 90 days to correct
the deficiency.
(4) Course completion certificates
will not be accepted for training provided during a period of suspension or
expiration.
(h) Withdrawal of approval. The Coast
Guard may withdraw approval for any
course—
(1) When the approval holder fails to
correct the deficiency of a suspended
course within 90 days; or
(2) Upon determining that the approval holder has demonstrated a pattern or history of any of the following:
(i) Failing to comply with the applicable regulations or the course approval requirements.
(ii) Deviating from approved course
curricula.
(iii) Presenting courses in a manner
that does not achieve the learning objectives.
(iv) Falsifying any document required and integral to the conduct of
the course, including, but not limited
to, attendance records, written test
grades, course completion grades, or
assessment of practical demonstrations.
(i) Appeals of suspension or withdrawal
of approval. Anyone directly affected
by a decision to suspend or withdraw
an approval may appeal the decision to
the Commandant as provided in § 1.03–
40 of this chapter.
[USCG–2004–17914, 78 FR 77903, Dec. 24, 2013,
as amended by USCG–2018–0874, 84 FR 30881,
June 28, 2019]

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§ 10.403

General standards.

(a) Each school with an approved
course must—
(1) Have a well-maintained facility
that accommodates the students in a
safe and comfortable environment conducive to learning;
(2) Have the necessary equipment, including simulators where appropriate,
sufficient for the number of students to
be accommodated, and support the objectives of the course;

(3) Administer training entirely in
the English language unless specifically approved to be presented in another language;
(4) Administer written examinations
to each student appropriate for the
course material and the knowledge requirements of the position or endorsement for which the student is being
trained. For a course approved to substitute for a Coast Guard-administered
examination, the courses must be of
such a degree of difficulty that a student who successfully completes them
would most likely pass, on the first attempt, an examination prepared by the
Coast Guard;
(5) Require each student to successfully demonstrate practical skills appropriate for the course material and
equal to the level of endorsement for
which the course is approved;
(6) Effective March 24, 2014, keep
physical or electronic copies of the following records for at least 5 years after
the end of each student’s completion or
disenrollment from a course or program:
(i) A copy of each student’s examination scores.
(ii) A copy of each examination or, in
the case of a practical test, a report of
such test.
(iii) A record of each student’s classroom attendance.
(iv) A copy of each student’s course
completion certificate or program completion certificate, as appropriate.
(v) A summary of changes or modification to the last course submittal.
(vi) A list of all locations at which
the training course was presented and
the number of times it was presented
at each location.
(vii) The name(s) of the instructor(s)
who taught the course, which does not
include lab assistants or other nonteaching assistants.
(viii) The number of students who
began the training.
(ix) The number of students who successfully completed the training.
(x) The number of students who were
required to retest.
(xi) The number of students who were
required to retake the entire course.
(xii) The number of students who
were required to retake a portion of
the course;

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§ 10.404

46 CFR Ch. I (10–1–21 Edition)

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(7) Not significantly change its approved curriculum without approval
from the NMC as specified in § 10.402(e)
of this subpart;
(8) Conduct an internal audit midway
through the term of the course’s approval and maintain the results of the
audit for a period of not less than 5
years. The audit will evaluate whether—
(i) Records are being maintained according to these regulations;
(ii) The course is being presented in
accordance with the approval letter;
and
(iii) Surveys from students indicate
that the course is meeting their needs;
and
(9) At any time, allow the Coast
Guard to—
(i) Inspect its facilities, equipment,
and
records,
including
scholastic
records;
(ii) Conduct interviews and surveys
of students to aid in course evaluation
and improvement;
(iii) Assign personnel to observe or
participate in the course of instruction; and
(iv) Supervise or administer the required examinations or practical demonstrations, including the substitution
of an applicable Coast Guard examination in a course approved to substitute
for a Coast Guard administered examination.
(b) [Reserved]
§ 10.404 Substitution of training for required service, use of trainingrecord books (TRBs), and use of
towing officer assessment records
(TOARs).
(a) Substitution of training for required
service. (1) Satisfactory completion of
an approved training course may be
substituted for a portion of the required service on deck or in the engine
department for national deck or engineer endorsements. Satisfactory completion of an approved training program which includes sea service may
be substituted for a portion of or all of
the required service on deck or in the
engine department, except as limited
by law for ratings. The list of all currently approved courses and programs,
including the equivalent service and
applicable endorsements, is maintained
by the NMC.

(2) Unless otherwise allowed, recency
requirements may not be achieved by
service granted as a result of successful
completion of approved training or by
training on a simulator; however, underway service obtained as a portion of
an approved course or program may be
used for this purpose.
(3) Unless otherwise allowed, training
obtained before receiving an endorsement may not be used for service credit
for subsequent raises of grade, increases in scope, or renewals.
(4) This provision for crediting service for training is not applicable to
STCW endorsements unless provided
otherwise.
(b) Use of training-record books (TRBs).
(1) Approved training programs for
STCW endorsements for OICNW and
OICEW must maintain a TRB for each
student where training and/or assessments of competence are conducted onboard the ship. The TRB must contain
at least the following information:
(i) The name of the applicant.
(ii) The tasks to be performed or the
skills to be demonstrated, with reference to the standards of competence
set forth in the tables of the appropriate sections in part A of the STCW
Code (incorporated by reference, see
§ 10.103 of this part).
(iii) The method for demonstrating
competence to be used in determining
that the tasks or skills have been performed properly, with reference to the
standards of competence set forth in
the tables of competence in the appropriate sections in part A of the STCW
Code (incorporated by reference, see
§ 10.103 of this part).
(iv) A place for a qualified instructor
to indicate by his or her initials that
the applicant has received training in
the proper performance of the task or
skill.
(v) A place for a qualified assessor
(QA) to indicate by his or her initials
that the applicant has successfully
completed a practical demonstration
and has proved competent in the task
or skill under the criteria, when assessment of competence is to be documented in the record books.
(vi) The printed name of each qualified instructor, including any MMC endorsements held, and the instructor’s
signature.

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Coast Guard, DHS

§ 10.406

(vii) The printed name of each qualified assessor, when any assessment of
competence is recorded, including any
MMC endorsement, license, or document held by the assessor, and the assessor’s signature confirming that his
or her initials certify that he or she
has witnessed the practical demonstration of a particular task or skill by the
applicant.
(2) The TRB referred to in paragraph
(b) of this section may be maintained
electronically, provided the electronic
record meets Coast Guard-accepted
standards for accuracy, integrity, and
availability.
(3) The Coast Guard may accept
other forms of documentation as meeting the requirements to maintain the
training-record book.
(c) Use of towing officer assessment
records (TOARs). Each applicant for an
endorsement as master or mate (pilot)
of towing vessels, and each master or
mate of self-propelled vessels of 200
GRT or more, seeking an endorsement
for towing vessels, must complete a
TOAR approved by the Coast Guard
that contains at least the following:
(1) Identification of the applicant, including his or her full name, and reference number.
(2) Objectives of the training and assessment.
(3) Tasks to perform or skills to demonstrate.
(4) Criteria to use in determining
that the tasks or skills have been performed properly.
(5) A means for a designated examiner (DE) to attest that the applicant
has successfully completed a practical
demonstration and has proved proficient in the task or skill under the
criteria.
(6) Identification of each DE by his or
her full name and reference number,
job title, ship name and official number, and serial number of the MMC, license, or document held, and printed
name and signature confirming that
his or her initials certify that he or she
has witnessed the practical demonstration of a particular task or skill by the
applicant.

§ 10.405 Qualification as qualified assessor (QA) and designated examiner (DE).
(a) To become a QA, an applicant
must have documentary evidence to establish—
(1) Experience, training, or instruction in assessment techniques;
(2) Qualifications in the task for
which the assessment is being conducted; and
(3) Possession of the level of endorsement, or other professional credential,
which provides proof that he or she has
attained a level of experience and qualification equal or superior to the relevant level of knowledge, skills, and
abilities to be assessed.
(b) To become a DE for towing officer
assessment records (TOARs), an applicant must have documentary evidence
to establish—
(1) Experience, training, or instruction in assessment techniques on towing vessels;
(2) Qualifications on towing vessels
in the task for which the assessment is
being conducted; and
(3) Possession of the level of endorsement on towing vessels, or other professional credential, which provides
proof that he or she has attained a
level of qualification equal or superior
to the relevant level of knowledge,
skills, and abilities described in the
training objectives.
(c) Documentary evidence may be in
the form of performance evaluations,
which include an evaluation of effectiveness in on-the-job organization and
delivery of training, or a certificate of
successful completion from an ‘‘assessor training’’ course.
(d) In order to renew his or her qualifications, each QA and DE must have
either experience, training, or evidence
of instruction in effective assessment
within the past 5 years.
§ 10.406

Approved courses.

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

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§ 10.407

46 CFR Ch. I (10–1–21 Edition)

§ 10.407 Approval of training programs.
(a) Training programs approved to
qualify a mariner to hold an STCW or
national endorsement must meet the
standards in this section or the requirements in § 10.402 of this subpart.
All such programs must also meet the
same standards as those found in
§ 10.403 of this subpart. The Coast
Guard will accept information submitted by training providers to state,
regional, and/or national accrediting
bodies as evidence such providers satisfy one or more of the requirements of
this section.
(b) Categories. The Coast Guard may
approve programs designed to substitute for or fulfill any or all of the
following:
(1) A portion of sea service requirements.
(2) Examinations required by the
Coast Guard.
(3) Professional competency requirements.
(4) Regulatory requirements.
(c) Request for approval. Organizations
desiring program approval by the Coast
Guard must submit a written request
and a complete curriculum package to
the National Maritime Center (NMC),
either by mail or electronically. The
curriculum package must include the
following information:
(1) A cover letter. The cover letter
must contain—
(i) The name of the organization providing the instruction;
(ii) The location(s) where it will be
held;
(iii) A general description and overview of the program, including the individual courses that are part of the
program;
(iv) The category of acceptance being
sought as listed in paragraph (b) of this
section; and
(v) Reference to regulatory requirements met by the training.
(2) A goal statement(s). The goal statement should describe—
(i) The specific performance behaviors to be measured;
(ii) The conditions under which the
performance behavior(s) will be exhibited; and
(iii) The level of performance behavior(s) that is to be achieved.

(3) Performance objectives. Performance objectives are statements, which
identify the specific knowledge, skill,
or ability the student should gain and
display as a result of the training or instructional activity. A performance objective is made up of three elements:
Expected student performance, condition, and criterion.
(4) Assessment instruments. Assessment instruments are any tools used to
determine whether the student has
achieved the desired level of knowledge, understanding, or proficiency.
(5) Instructor information. Documentary evidence that each instructor and
assessor—
(i) Has either experience, training, or
evidence of instruction in effective instructional techniques and/or in effective assessment techniques;
(ii) Is qualified in the task for which
the training is being conducted and
have relevant experience; and
(iii) Has attained a level of experience and qualification equal or superior to the relevant level of knowledge,
skills, and abilities described in the
performance objective.
(6) Site information. Site information
must include a description of the facility or facilities at which the training
will be held. Authority to teach at an
alternative site requires approval by
the NMC.
(7) A teaching syllabus. A detailed
teaching syllabus providing the following information:
(i) Instructional strategy. Aspects of
instructional strategies should include—
(A) The order of presentation;
(B) The level of interaction, including the student-to-teacher ratio;
(C) Feedback;
(D) Remediation;
(E) Testing strategies; and
(F) Media used to present information.
(ii) Instructional materials, including lesson plans containing—
(A) Pre-instructional activities;
(B) Content presentation;
(C) Student participation;
(D) Assessment processes; and
(E) Other instructional activities,
such as homework and reading assignments.

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§ 10.407

(iii) Course surveys on the relevance
and effectiveness of the training completed by students.
(iv) Course schedule, including the
duration and order of lessons, and an
indication as to whether each lesson
is—
(A) A classroom lecture;
(B) A practical demonstration;
(C) A simulator exercise;
(D) An examination; or
(E) Another method of instructional
reinforcement.
(8) Program completion certificate. A
sample program completion certificate.
(d) Approval notification. The Coast
Guard will notify each applicant for
program approval when an approval is
granted or denied. If the Coast Guard
denies a request for approval, the Coast
Guard will inform the applicant of the
reasons for the denial and describe the
corrections required for granting an
approval.
(e) Validity of program approval. Unless surrendered, suspended, or withdrawn, an approval for a program is
valid for up to a maximum of 5 years
after issuance, unless—
(1) The school ceases operation;
(2) The school gives notice that it
will no longer offer the program;
(3) The owner or operator fails to
submit any required report; or
(4) Any change occurs in the ownership of the school to which the approval was issued.
(f) Significant changes to the course
program approval. (1) Any significant
changes to the program approval or the
content of the program will be handled
as a request for renewal of an approval
(as specified in paragraph (f) of this
section), or as a request for an original
approval (as specified in paragraph (b)
of this section), depending on the nature and scope of the change.
(2) The Coast Guard may not accept
program completion certificates if the
program does not follow the conditions
of its approval.
(g) Renewal of program approval. (1) If
the owner or operator of a training
school desires to have a program’s approval renewed, the owner or operator
must submit a request to the NMC accompanied by the information from
paragraphs (c)(1), (c)(5), (c)(6), and (c)(7)
of this section.

(2) If satisfied that the content and
quality of instruction remain satisfactory, the Coast Guard will approve the
request.
(3) The renewed approval is valid as
detailed in paragraph (d) of this section.
(h) Suspension of approval. (1) The
Coast Guard may suspend the approval,
require the holder to surrender the certificate of approval, and may direct the
holder to cease claiming the program
is Coast Guard-approved, if it determines that a specific program does not
comply with the—
(i) Applicable provisions of 46 CFR
parts 10, 11, 12, or 13;
(ii) Requirements specified in the
program’s approval; or
(iii) Program’s curriculum package
as submitted for approval.
(2) The Coast Guard will notify the
approval holder in writing of the intent
to suspend program approval and the
reasons for suspension. If the approval
holder fails to correct the reasons for
suspension, the program will be suspended. The Coast Guard will notify
the approval holder that the specific
program fails to meet applicable requirements and explain how the deficiency can be corrected.
(3) The Coast Guard may grant the
approval holder up to 90 days to correct
the deficiency.
(4) Program completion certificates
will not be accepted for training provided during a period of suspension or
expiration.
(i) Withdrawal of approval. The Coast
Guard may withdraw approval for any
program—
(1) When the approval holder fails to
correct the deficiency of a suspended
program within 90 days; or
(2) Upon determining that the approval holder has demonstrated a pattern or history of any of the following:
(i) Failing to comply with the applicable regulations or the program approval requirements.
(ii) Deviating from approved program
curricula.
(iii) Presenting instructional material in a manner that does not achieve
the learning objectives.
(iv) Falsifying any document required and integral to the conduct of
the program, including, but not limited

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§ 10.408

46 CFR Ch. I (10–1–21 Edition)

to, attendance records, written test
grades, course completion grades, or
assessment of practical demonstrations.
(j) Appeals of suspension or withdrawal
of approval. Anyone directly affected
by a decision to suspend or withdraw
an approval may appeal the decision to
the Commandant as provided in § 1.03–
40 of this chapter.

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§ 10.408 Coast Guard-accepted training
other than approved courses and
programs.
(a) When the training and assessment
of competence required by this part are
not subject to Coast Guard approval
under §§ 10.402 and 10.407 of this subpart, but are used to qualify a mariner
to hold an endorsement, the offeror of
the course or program must ensure
that such training and assessment
meets the same standards as those
found in §§ 10.402 and 10.403 of this subpart.
(b) The Coast Guard will accept
courses approved and monitored by a
Coast Guard-accepted Quality Standard System (QSS) organization. The
Coast Guard maintains a list of training organizations conducting accepted
training that are independently monitored by a Coast Guard-accepted QSS
organization. The Coast Guard-accepted QSS organization must comply with
the following requirements:
(1) Submit a certificate of acceptance
of training to the Coast Guard.
(2) Submit an updated certificate of
acceptance to the Coast Guard if the
terms
of
acceptance
have
been
changed.
(3) Sign each certificate to the training organization owner or operator, or
its authorized representative(s), stating that the training fully complies
with the requirements of this section,
and identifying the Coast Guard-accepted QSS organization being used for
independent monitoring.
(c) The training must be audited periodically in accordance with the requirements of § 10.409(e)(7) of this subpart. If the Coast Guard determines, on
the basis of its own observations or
conclusions or those of the Coast
Guard-accepted QSS organization, that
the particular training does not satisfy

one or more of the conditions described
in paragraph (a) of this section—
(1) The Coast Guard or Coast Guardaccepted QSS organization will so notify the offeror of the training by letter, enclosing a report of the observations and conclusions;
(2) The offeror may, within a period
of time specified in the notice, either
appeal the observations or conclusions
to the Commandant (CG–MMC) or
bring the training into compliance; and
(3) If the appeal is denied—or if the
deficiency is not corrected in the allotted time, or within any additional time
period judged by the Coast Guard to be
appropriate, considering progress toward compliance—the Coast Guard will
remove the training from the list
maintained under paragraph (b) of this
section until it can verify full compliance. The Coast Guard may deny applications for endorsements based, in
whole or in part, on training not on the
list, until additional training or assessment is documented.
[USCG–2006–24371, 74 FR 11216, Mar. 16, 2009,
as amended by USCG–2016–0315, 81 FR 43955,
July 6, 2016]

§ 10.409 Coast Guard-accepted Quality
Standard System (QSS) organizations.
(a) Organizations wishing to serve as
a Coast Guard-accepted QSS organization, to accept and monitor training on
behalf of the Coast Guard, should apply
to the National Maritime Center. An
organization submitting an application
may not act as a Coast Guard-accepted
QSS organization until it has received
its letter of acceptance.
(b) Validity of acceptance. Organizations meeting the requirements in
paragraph (e) of this section will be
issued a letter of acceptance valid for a
maximum period of 5 years from the
date of issuance.
(c) An organization wishing to become a Coast Guard-accepted QSS organization must have processes for reviewing, accepting, and monitoring
training that are equal to the Coast
Guard’s course approval and oversight
processes in §§ 10.402 through 10.410 of
this subpart.
(d) Each person conducting evaluation and monitoring of the training

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Coast Guard, DHS

§ 10.409

must be knowledgeable about the subjects being evaluated or monitored and
about the national and international
requirements that apply to the training, and must not be involved in the
training and assessment of students.
(e) The documentation submitted to
the Coast Guard must contain the information listed below. An organization approved as a recognized classification society in accordance with 46
CFR part 8, subpart B, need not present
evidence of compliance with paragraphs (e)(1) and (e)(8) of this section.
(1) Identification of the organization:
Name of the organization, address, contact information, and organizational
structure (including the QSS department).
(2) Scope of approval: Training and
assessment the organization wishes to
accept and monitor.
(3) Background of the organization:
Historical information outlining the
organization’s experience reviewing
and accepting training and/or assessment activities.
(4) Staffing and support infrastructure, including—
(i) Names and qualifications of the
individuals who will be involved in the
review, acceptance, and monitoring of
training and assessment;
(ii) Description of the training given
to individuals who will be conducting
review, acceptance, and monitoring activities; and
(iii) Technical and support resources
within the organization that support
the review, acceptance and monitoring
activities.
(5) Submission guidelines: Information for client organizations to submit
courses for review and acceptance, including criteria for course design, instructor/assessor qualifications, syllabi, equipment, and facilities.
(6) Review and acceptance procedures.
(i) Descriptions of the methods of evaluation of the physical, administrative,
and infrastructure support aspects of
client organizations;
(ii) Descriptions of the methods of
evaluation of the instructors or qualified assessors of a client organization
and the maintenance of their records;
(iii) Descriptions of format for accepting training material;

(iv) Descriptions of the methods by
which the course acceptance process
responds to the client organization
modifications to the training curriculum, changes to instructors or examiners, changes to the infrastructure
support; and
(v) Descriptions of the renewal procedures.
(7) Audit procedures: Description of
the methods for auditing accepted
courses. Client organizations must be
audited once in a 5-year period.
(8) Quality commitment: Provide evidence of having a quality management
system that includes the following elements:
(i) A documented statement of a
quality policy and quality objectives.
(ii) A quality manual.
(iii) Documented procedures and
records.
(iv) Documents, including records,
determined by the organization to be
necessary to ensure the effective planning, operation, and control of its processes.
(f) Coast Guard-accepted QSS organizations must notify the NMC of the
training they have accepted within 14
days of the acceptance date. The notification must include the name and address of the institution, the course
title and the requirement the course
meets, and a one-paragraph description
of the course’s content.
(g) Audits. (1) A Coast Guard-accepted
QSS organization must conduct internal audits at least once in 5 years with
a minimum of 2 years between reviews.
Results of the internal audits must be
available upon request to the Coast
Guard within 60 days of completion.
(2) Each Coast Guard-accepted QSS
organization may be audited by the
Coast Guard at least once every 5
years. The results of the audit will be
available to the Coast Guard-accepted
QSS organization within 60 days of
completion of the audit.
(3) Results of Coast Guard-accepted
QSS organizations’ audits to client organizations must be available upon request to the Coast Guard within 60
days of completion.
(h) Disenrollment. (1) A Coast Guardaccepted QSS organization must give
each client organization it serves a 180day notice of its intention to cease to

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§ 10.410

46 CFR Ch. I (10–1–21 Edition)

function as a Coast Guard-accepted
QSS organization.
(2) If the Coast Guard determines
that a Coast Guard-accepted QSS organization is not meeting its obligations
to review, accept, and monitor training
and assessment, the NMC will notify
the organization in writing and will enclose information about the events
that led to this determination. The organization will then have a specified
period of time to correct the deficiency
or appeal the conclusions to the Commandant (CG–5P). If the organization
appeals, and the appeal is denied, or
the deficiencies are not corrected within the allotted time, the NMC will
withdraw the acceptance of the Coast
Guard-accepted QSS organization. The
NMC will notify all client organizations affected by this decision so that
they may make arrangements to transfer to another Coast Guard-accepted
QSS organization or seek NMC approval for their training.
(i) A Coast Guard-accepted QSS organization may not approve courses provided by subsidiary organizations.

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§ 10.410 Quality
Standard
(QSS) requirements.

System

(a) Providers of Coast Guard-approved courses, programs, training, and
Coast Guard-accepted training creditable towards an STCW endorsement
must establish and maintain a Quality
Standard System (QSS), in accordance
with Regulation I/8 of the STCW Convention (incorporated by reference, see
§ 10.103 of this part).
(b) The QSS must be monitored by
the Coast Guard or monitored through
a third party that is designated as a
Coast Guard-accepted QSS organization.
(c) The Coast Guard-monitored QSS
must—
(1) Have a documented quality policy
and quality objectives that align with
the commitment by the training institution to achieve its missions and
goals;
(2) Maintain a manual that documents the objectives, authorities, and
responsibilities that are essential controls for the implementation of the
QSS, including—

(i) The core procedures required to
meet the missions and goals of the institution;
(ii) The documents necessary for effective design, planning, operation, and
control for the delivery of courses
meeting the regulatory requirements;
(iii) The filing and archiving of
records so they are retrievable and legible;
(iv) Action taken to stop recurrence
of system, process, and product nonconformity; and
(v) Auditing, reviewing, and improving the performance of the training
management system.
(d) Documentation from a nationally
recognized
academic
accreditation
body may be accepted by the Coast
Guard as meeting one or more of the
requirements listed in paragraph (c) of
this section. The documentation must
be readily available for inspection upon
request.
(e) The Coast Guard will accept documentation from a training institution
certified under a national or international Quality Management System
Standard as meeting one or more of the
requirements listed in paragraph (c) of
this section. The documentation must
be readily available for inspection upon
request.
(f) The Coast Guard will accept company ISM documentation as meeting
one or more of the requirements listed
in paragraph (c) of this section.
(g) Organizations are subject to audits at least twice in a 5-year period.
Organizations must cooperate with
Coast Guard audits.
[USCG–2004–17914, 78 FR 77903, Dec. 24, 2013,
as amended by USCG–2018–0874, 84 FR 30881,
June 28, 2019]

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

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Coast Guard, DHS

Pt. 11

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

PART 11—REQUIREMENTS FOR
OFFICER ENDORSEMENTS
Subpart A—General
Sec.
11.101 Purpose of regulations.
11.102 Incorporation by reference.
11.103–11.105 [Reserved]
11.107 Paperwork approval.
11.109–11.113 [Reserved]

Subpart B—General Requirements for
Officer Endorsements
11.201 General requirements for national
and STCW officer endorsements.
11.203–11.210 [Reserved]
11.211 Creditable service and equivalents for
national and STCW officer endorsements.
11.212–11.216 [Reserved]
11.217 Examination procedures and denial of
officer endorsements.
11.219–11.223 [Reserved]

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Subpart C—STCW Officer Endorsements
11.301 Requirements for STCW officer endorsements.
11.302 Basic training.
11.303 Advanced firefighting.
11.304 STCW deck officer endorsements.
11.305 Requirements to qualify for an STCW
endorsement as master of vessels of 3,000
GT or more (management level).
11.307 Requirements to qualify for an STCW
endorsement as chief mate of vessels of
3,000 GT or more (management level).
11.309 Requirements to qualify for an STCW
endorsement as officer in charge of a
Navigational Watch (OICNW) on vessels
of 500 GT or more (operational level).
11.311 Requirements to qualify for an STCW
endorsement as master on vessels of 500
GT or more and less than 3,000 GT (management level).
11.313 Requirements to qualify for an STCW
endorsement as chief mate on vessels of
500 GT or more and less than 3,000 GT
(management level).
11.315 Requirements to qualify for an STCW
endorsement as master on vessels of less
than 500 GT (management level).
11.317 Requirements to qualify for an STCW
endorsement as master on vessels of less

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

Subpart D—Professional Requirements for
National Deck Officer Endorsements
11.401 Ocean and near-coastal national officer endorsements.
11.402 Tonnage requirements for national
ocean or near-coastal endorsements for
vessels of 1,600 GRT or more.
11.403 Structure of national deck officer endorsements.
11.404 Service requirements for master of
ocean or near-coastal self-propelled vessels of unlimited tonnage.
11.405 Service requirements for chief mate
of ocean or near-coastal self-propelled
vessels of unlimited tonnage.

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