Title 46—Shipping--Volume 1
PART 11—REQUIREMENTS FOR OFFICER ENDORSEMENTS
§ 11.705   Route familiarization requirements.
(a) The Officer in Charge, Marine Inspection (OCMI) has jurisdiction and determines within the range limitations specified in this section, the number of roundtrips required to qualify an applicant for a particular route, considering the following:
(1) The geographic configuration of the waterway.
(2) The type and size of vessels using the waterway.
(3) The abundance or absence of aids to navigation.
(4) The background lighting effects.
(5) The known hazards involved, including waterway obstructions or constrictions such as bridges, narrow channels, or sharp turns.
(6) Any other factors unique to the route that the OCMI deems appropriate.
(b) An applicant holding no other deck officer endorsement seeking an endorsement as First-Class Pilot must furnish evidence of having completed a minimum number of roundtrips, while serving as quartermaster, wheelsman, Able Seafarer, Apprentice Pilot, or in an equivalent capacity, standing regular watches at the wheel or in the pilot house as part of routine duties, over the route sought. Evidence of having completed a minimum number of roundtrips while serving as an observer, properly certified by the Master and/or Pilot of the vessel, is also acceptable. The range of roundtrips for an endorsement is a minimum of 12 roundtrips and a maximum of 20 roundtrips. An applicant may have additional routes added to the First-Class Pilot endorsement by meeting the requirements in paragraph (c) of this section.
(c) An applicant who currently holds a deck officer MMC endorsement seeking an endorsement as First-Class Pilot for a particular route must furnish evidence of having completed the number of roundtrips over the route, specified by the OCMI, within the range limitations of this paragraph, for the particular grade of existing MMC endorsement held. The range of roundtrips for an endorsement is a minimum of eight roundtrips and a maximum of 15 roundtrips.
(d) Unless determined impracticable by the OCMI, 25 percent of the roundtrips required by the OCMI under this section must be made during the hours of darkness.
(e) One of the roundtrips required by the OCMI under this section must be made over the route within the 6 months immediately preceding the date of application.
§ 11.707   Examination requirements.
(a) An applicant for an endorsement as First-Class Pilot, except as noted in paragraph (b) of this section, is required to pass the examination described in subpart I of this part.
(b) An applicant for an extension of route, or an applicant holding an MMC endorsement as Master or Mate authorized to serve on vessels of more than 1,600 GRT seeking an endorsement as First-Class Pilot, is required to pass those portions of the examination described in subpart I of this part that concern the specific route for which endorsement is sought.
§ 11.709   Annual physical examination requirements.
(a) This section applies only to an individual who pilots a vessel of 1,600 GRT or more.
(b) Every person holding an MMC endorsement as First-Class Pilot, or a Master or Mate serving as a Pilot under § 15.812 of this subchapter, must have a thorough physical examination each year. This annual physical examination must be completed by the first day of the month following the anniversary of the individual's most recently completed Coast Guard-required physical examination. Each annual physical examination must meet the requirements specified in part 10, subpart C, of this subchapter and be recorded on the form CG-719K.
(1) Every five years, in accordance with the medical certificate requirements in §§ 10.301(b), 10.302(a), and 10.304(d) of this chapter, the results of the most recent physical examination must be submitted to the Coast Guard.
(2) The results of the physical examination must also be submitted to the Coast Guard no later than 30 calendar days after completion of the physical examination in any of the following circumstances:
(i) The examining medical practitioner documents that the individual does not meet the physical ability requirements as set forth in § 10.304(c) of this subchapter;
(ii) The examining medical practitioner documents that the individual has a condition that does not meet the general medical exam requirements described in § 10.304(a), the vision requirements described in § 10.305, or the hearing requirements described in § 10.306 of this subchapter;
(iii) The examining medical practitioner documents on a CG-719K that the individual is not recommended for a medical certificate or needs further review by the Coast Guard as set forth in § 10.301(a) of this subchapter; or
(iv) If the Coast Guard requests the results of an examination, they must be submitted no later than 30 calendar days after the date of the request.
(c) An individual's First-Class Pilot endorsement becomes invalid on the first day of the month following the anniversary of the individual's most recently completed Coast Guard-required physical examination, if the person does not meet the physical examination requirement as provided in paragraph (b) of this section. The individual may not operate under the authority of that endorsement until a physical examination has been satisfactorily completed.
(d) A Master or Mate may not serve as a Pilot on a vessel 1,600 GRT or more under § 15.812 of this subchapter if the person does not meet the physical examination requirements provided in paragraph (b) of this section.
§ 11.711   Tonnage requirements.
(a) In order to obtain a First-Class Pilot endorsement authorizing service on vessels of unlimited tonnage over a particular route, the applicant must have sufficient experience on vessels of more than 1,600 GRT.
(b) For purposes of this section, an applicant is considered to have sufficient experience if the applicant has 18 months of experience as Master, Mate, quartermaster, wheelsman, Able Seafarer, Apprentice Pilot, or in an equivalent capacity, standing regular watches at the wheel or in the pilothouse as part of routine duties, on vessels of 1,600 GRT or more, and two-thirds of the minimum number of roundtrips required for the route have been on vessels of 1,600 GRT or more.
(c) If an applicant does not have sufficient experience on vessels of 1,600 GRT or more, the endorsement will be for a limited tonnage until the applicant completes a number of additional roundtrips, as determined by the OCMI, within the range contained in § 11.705(b) or (c), as appropriate on vessels of 1,600 GRT or more.
(d) For purposes of this section, for experience with respect to tonnage on towing vessels, the combined gross tonnage of the towing vessels and the vessels towed will be considered. However, the Coast Guard may require that all or a portion of the required number of roundtrips be obtained on self-propelled vessels of 1,600 GRT or more, when the Coast Guard determines that due to the nature of the waters and the overall experience of the applicant, self-propelled vessel experience is necessary to obtain a First-Class Pilot endorsement that is not restricted to tug and barge combinations.
§ 11.713   Requirements for maintaining current knowledge of waters to be navigated.
(a) If a First-Class Pilot has not served over a particular route within the past 60 months, that person's MMC endorsement is invalid for that route, and remains invalid until the individual has made one re-familiarization round trip over that route, except as provided in paragraph (b) of this section. Whether this requirement is satisfied or not has no effect on the renewal of other Licenses or MMC endorsements. Roundtrips made within the 90-day period preceding renewal will be valid for the duration of the renewed MMC endorsement.
(b) For certain long or extended routes, the OCMI may, at their discretion, allow the re-familiarization requirement to be satisfied by reviewing appropriate navigation charts, coast pilots tide and current tables, local Notice to Mariners, and any other materials that would provide the Pilot with current knowledge of the route. Persons using this method of re-familiarization must certify, when applying for renewal of their MMC endorsement, the material they have reviewed and the dates on which this was accomplished. Review within the 90-day period preceding renewal is valid for the duration of the renewed MMC endorsement.
§ 11.801   Applicability.
This subpart provides for the registration of staff officers for employment on vessels documented or numbered under the laws of the United States. Staff officers must be registered if serving on most vessels in ocean service or on the Great Lakes.
§ 11.803   Staff departments.
(a) Title 46 U.S.C. 8302 contains the requirements for staff departments on U.S. flag vessels.
(b) Title 46 U.S.C. 8302 does not apply to—
(1) A fishing or whaling vessel or yacht;
(2) A vessel operated only on bays, sounds, inland waters, and lakes (other than the Great Lakes); and
(3) A vessel ferrying passengers and cars on the Great Lakes.
§ 11.805   General requirements.
(a) The applicant for an endorsement as staff officer is not required to take any examination; however, the applicant must provide to the Coast Guard a letter justifying the need for the endorsement.
(b) An applicant for a higher grade in the staff department must apply in the same manner as for an original endorsement and must surrender the previous Coast Guard-issued credentials upon issuance of the new MMC. A staff officer may serve in a lower grade of service for which they are registered.
(c) Title 46 U.S.C. 8302 addresses uniforms for staff officers who are members of the Naval Reserve.
(d) A duplicate MMC may be issued by the Coast Guard. (See § 10.229 of this subchapter.)
(e) An MMC is valid for a term of 5 years from the date of issuance. Procedures for renewing endorsements are found in § 10.227 of this subchapter.
(f) Each applicant for an original or a higher grade of endorsement, as described in paragraph (b) of this section, must produce evidence of having passed a chemical test for dangerous drugs or of qualifying for an exception from testing in § 16.220 of this subchapter. An applicant who fails a chemical test for dangerous drugs will not be issued an MMC.
§ 11.807   Experience requirements for registry.
(a) The applicant for a certificate of registry as staff officer must submit evidence of experience as follows:
(1) Chief Purser. Two years of service aboard vessels performing duties relating to work in the Purser's office.
(2) Purser. One year of service aboard vessels performing duties relating to work in the Purser's office.
(3) Senior Assistant Purser. Six months of service aboard vessels performing duties relating to work in the Purser's office.
(4) Junior Assistant Purser. Previous experience not required.
(5) Medical Doctor. A valid License as physician or surgeon issued under the authority of a state or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia.
(6) Professional Nurse. A valid License as a registered nurse issued under authority of a state or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia.
(7) Marine Physician Assistant. Successful completion of an accredited course of instruction for a physician's assistant or nurse practitioner program.
(8) Medical Technician. A rating of at least hospital corpsman or health services technician, first class, in the U.S. Navy and U.S. Coast Guard, or an equivalent rating in the U.S. Army (not less than Staff Sergeant, Medical Department, U.S.A.), or in the U.S. Air Force (not less than Technical Sergeant, Medical Department, U.S.A.F.), and a period of satisfactory service of at least 1 month in a military hospital.
(b) Employment on shore in connection with a vessel's business may be accepted instead of service aboard vessels. Related shore employment is accepted in the ratio of 2 months of shore service to 1 month of creditable service aboard vessels.
(c) In computing the length of service required of an applicant for an endorsement, service of one season on vessels on the Great Lakes is counted as service of 1 year.
(d) In the event an applicant for an endorsement, other than Medical Doctor or Professional Nurse, provides evidence of other qualifications that, in the opinion of the Coast Guard, is equivalent to the experience requirements of this section and is consistent with the duties of a staff officer, the Coast Guard may issue the MMC.
§ 11.821   High-Speed Craft Type-Rating.
(a) This section is only applicable to those persons who will be serving or have served upon those vessels built and operated in accordance with the International Code of Safety for High-Speed Craft (HSC Code).
(b) To qualify for a High-Speed Craft Type-Rating endorsement (TRE) for operating vessels to which the HSC Code applies, an applicant must—
(1) Hold a valid officer endorsement for vessels of commensurate grade, tonnage, route, and/or horsepower; and
(2) Provide evidence of successful completion of a Coast Guard-approved Type Rating training program.
(c) A separate TRE will be issued for each type and class of high-speed craft. The original route will be as specified in the approved type rating program. Additional routes may be added to an existing TRE by completing at least 12 roundtrips over each route under the supervision of a type-rated Master on the class of high speed craft the TRE will be valid for. Six of the trips must be made during the hours of darkness or a “daylight only” restriction will be imposed.
(d) A TRE will be valid for 2 years. The expiration date of a TRE will not be changed due to the addition of additional routes.
(e) To renew a TRE, an applicant must provide evidence of—
(1) At least 6 months of service in the appropriate position on the type crafts to which the TRE applies during the preceding 2 years, including at least 12 roundtrips over each route, together with evidence of a completed revalidation assessment; or
(2) Completion of an approved revalidation training program.
§ 11.901   General provisions.
(a) Where required by § 11.903 of this subpart, each applicant for an endorsement listed in that section must pass an examination on the appropriate subjects listed in this subpart.
(b) If the endorsement is to be limited in a manner that would render any of the subject matter unnecessary or inappropriate, the examination may be amended accordingly by the Coast Guard. Limitations that may affect the examination content are as follows:
(1) Restricted routes for reduced service officer endorsements (Master or Mate of vessels of less than 200 GRT, OUPV, or Master or Mate (Pilot) of Towing Vessels).
(2) Limitations to a certain class or classes of vessels.
(c) Simulators used in assessments of competence required by subpart C of this part must meet the appropriate performance standards set out in Section A-I/12 of the STCW Code (incorporated by reference, see § 11.102 of this part). However, simulators installed or brought into use before February 1, 2002, need not meet these performance standards if they fulfill the objective of the assessment of competence or demonstration of proficiency.
§ 11.903   Officer endorsements requiring examinations.
(a) The following officer endorsements require examinations for issuance:
(1) Chief Mate of ocean or near-coastal self-propelled vessels of unlimited tonnage (examined at the management level).
(2) Third Mate of ocean or near-coastal self-propelled vessels of unlimited tonnage (examined at the operational level).
(3) Master of ocean or near-coastal self-propelled vessels of less than 1,600 GRT.
(4) Mate of ocean or near-coastal self-propelled vessels of less than 1,600 GRT.
(5) Master of near-coastal vessels less than 200 GRT.
(6) Mate of near-coastal vessels less than 200 GRT.
(7) Master of near-coastal vessels less than 100 GRT.
(8) Mate of near-coastal vessels less than 100 GRT.
(9) Master of Great Lakes and inland vessels of unlimited tonnage.
(10) Mate of Great Lakes and inland vessels of unlimited tonnage.
(11) Master of inland vessels of unlimited tonnage.
(12) Master of river vessels of unlimited tonnage.
(13) Master of Great Lakes and inland/river vessels less than 500 GRT or less than 1,600 GRT.
(14) Mate of Great Lakes and inland/river vessels less than 500 GRT or less than 1,600 GRT.
(15) Master of Great Lakes and inland/river vessels less than 200 GRT.
(16) Mate of Great Lakes and inland/river vessels less than 200 GRT.
(17) Master of Great Lakes and inland.
(18) First-Class Pilot.
(19) Apprentice Mate of Towing Vessels.
(20) Apprentice Mate of Towing Vessels-Limited.
(21) Offshore Installation Manager.
(22) Barge Supervisor.
(23) Ballast Control Operator (BCO).
(24) Operator of Uninspected Passenger Vessels (OUPV).
(25) Master of Uninspected Fishing Industry Vessels.
(26) Mate of Uninspected Fishing Industry Vessels.
(27) Master-OSV.
(28) Chief Mate-OSV.
(29) Mate-OSV.
(30) First Assistant Engineer limited or unlimited propulsion power.
(31) Third Assistant Engineer limited or unlimited propulsion power.
(32) Chief Engineer-Limited steam/motor vessels.
(33) Assistant Engineer-Limited steam/motor vessels.
(34) Designated Duty Engineer steam/motor vessels.
(35) Chief Engineer Uninspected Fishing Industry Vessels.
(36) Assistant Engineer Uninspected Fishing Industry Vessels.
(37) Chief Engineer-MODU.
(38) Assistant Engineer-MODU.
(39) Chief Engineer-OSV.
(40) Assistant Engineer-OSV.
(b) In paragraphs (a)(1) through (4), and (a)(6), (7), (15), and (16) of this section, examinations will vary depending on route desired.
(c) The following officer endorsements do not require examinations:
(1) Master of oceans or near-coastal vessels of unlimited tonnage when upgrading from MMC officer endorsements, or an endorsement as Chief Mate of oceans or near-coastal vessels of unlimited tonnage, provided the applicant has already been examined at the management level.
(2) Master of oceans or near-coastal vessels of unlimited tonnage when adding an endorsement as Offshore Installation Manager (OIM).
(3) Master of oceans or near-coastal self-propelled vessels of less than 200 GRT, when upgrading from Mate of near-coastal self-propelled vessels of less than 200 GRT. Master of oceans self-propelled vessels of less than 200 GRT will, however, require an examination in celestial navigation.
(4) Second Mate of oceans or near-coastal vessels when upgrading from Third Mate of oceans or near-coastal vessels, provided the applicant has already been examined at the operational level.
(5) Master of Great Lakes and inland vessels, or river vessels of less than 200 GRT when upgrading from Mate of less than 200 GRT on the same route.
(6) Chief Engineer-Unlimited, provided the applicant has already been examined at the management level.
(7) Chief Engineer-Limited to service on steam, motor, or gas turbine-propelled vessels of less than 10,000 HP/7,500 kW on near-coastal routes, provided the applicant has already been examined at the management level.
(8) Chief Engineer-Limited to service on steam, motor, and/or gas turbine-propelled vessels of less than 4,000 HP/3,000 kW on near-coastal routes, provided the applicant has already been examined at the management level.
(9) Second Assistant Engineer when upgrading from Third Assistant Engineer, provided the applicant has already been examined at the operational level.
§ 11.910   Subjects for deck officer endorsements.
Table 1 to § 11.910 gives the codes used in Table 2 to § 11.910 for all deck officers. Table 2 to § 11.910 indicates the examination subjects for each endorsement, by code number. Figures in the body of Table 2 to § 11.910, in place of the letter “x”, refer to notes.
Table 1 to § 11.910—Codes for Deck Officer Endorsements
§ 11.920   Subjects for MODU endorsements.
Table 1 to § 11.920 gives the codes used in Table 2 to § 11.920 for MODU endorsements. Table 2 to § 11.920 indicates the examination subjects for each endorsement by the code number.
Table 1 to § 11.920—Codes for MODU Endorsements
Table 2 to § 11.920—Subjects for MODU Endorsements
§ 11.950   Examination subjects for engineer officer endorsements.
Table 1 to § 11.950 gives the codes used in Table 2 to § 11.950 for engineer officer endorsements. Table 2 to § 11.950 indicates the examination subjects for each endorsement by the code number.
Table 1 to § 11.950—Codes for Engineer Officer Endorsements
§ 11.1001   Purpose of rules.
(a) The rules in this subpart implement Regulation I/10 of the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 as amended (STCW) (incorporated by reference, see § 11.102 of this part) by establishing requirements and procedures for the recognition and endorsement of officer certificates of competence issued by other Parties to STCW.
(b) Specific regulations on the use of non-U.S. credentialed officers and mariners with officer endorsements (except those of Master) are found in § 15.720 of this subchapter.
§ 11.1003   General requirements.
(a) The Coast Guard recognizes certificates only from countries that the United States has assured itself comply with requirements of the STCW Convention and STCW Code (incorporated by reference, see § 11.102 of this part).
(b) The Coast Guard will publish a list of countries whose certificates it will recognize.
(c) The Coast Guard will issue a “Certificate attesting recognition” to an applicant after ensuring the validity and authenticity of the credential (certificate of competency) issued by their country of origin.
(d) No application from a non-US citizen for a “Certificate attesting recognition” issued pursuant to this subpart will be accepted unless the applicant's employer satisfies the requirements of § 11.1005 of this subpart.
§ 11.1005   Employer application requirements.
(a) The employer must submit the following to the Coast Guard, as a part of the applicant's application for a “Certificate attesting recognition,” on behalf of the applicant:
(1) A signed report that contains all material disciplinary actions related to the applicant, such as, but not limited to, violence or assault, theft, drug and alcohol policy violations, and sexual harassment, along with an explanation of the criteria used by the employer to determine the materiality of those actions.
(2) A signed report regarding an employer-conducted background check. The report must contain—
(i) A statement that the applicant has successfully undergone an employer-conducted background check;
(ii) A description of the employer-conducted background check; and
(iii) All information derived from the employer-conducted background check.
(b) If a “Certificate attesting recognition” is issued to the applicant, the employer must maintain a detailed record of the seafarer's total service on all authorized U.S.-flagged vessels, and must make that information available to the Coast Guard upon request.
(c) In addition to the initial material disciplinary actions report and the initial employer-conducted background check specified in paragraph (a) of this section, the employer must submit an annual material disciplinary actions report to update whether there have been any material disciplinary actions related to the applicant since the last material disciplinary actions report was submitted to the Coast Guard.
(d) The employer must also submit to the Coast Guard the applicant's copy of the following:
(1) Base credential (certificate of competency), as well as any other documentary evidence of proficiency (such as Basic Training in accordance with § 11.302 of this part, Basic/Advanced Firefighting in accordance with § 11.303 of this part, Survival Craft, etc.) to verify that the applicant meets the manning requirements. The documentation must include any necessary official translation into the English language.
(2) Valid medical certificate.
(3) Valid identification document, such as a passport or Seafarer's Identity Document (SID).
(e) The employer is subject to the civil penalty provisions specified in 46 U.S.C. 8103(f) for any violation of this section.
§ 11.1007   Basis for denial.
An applicant for a “Certificate attesting recognition” of an officer certificate issued by another party must—
(a) Have no record of material disciplinary actions during employment on any U.S. flag vessel of the employer, as verified in writing by the owner or managing operator of the U.S. flag vessels on which the applicant will be employed; and
(b) Have successfully completed an employer-conducted background check, to the satisfaction of both the employer and the Coast Guard.
§ 11.1009   Restrictions.
(a) A “Certificate attesting recognition” of an STCW certificate issued by another party to a non-resident alien under this subpart authorizes service only on vessels owned and/or operated in accordance with § 15.720 of this subchapter.
(b) The certificate will be issued for service only in the department for which the application was submitted.
(c) No other certificate is authorized, unless all applicable requirements of this subpart and the STCW Convention (incorporated by reference, see § 11.102 of this part) are met, and the employer makes subsequent application for a new endorsement.
(d) This certificate is not valid for service on U.S. vessels operating in U.S. waters.
§ 11.1101   Purpose of rules.
The rules in this subpart establish requirements for officers serving on passenger ships as defined in § 11.1103 of this subpart.
§ 11.1103   Definitions.
Passenger ship in this subpart means a ship carrying more than 12 passengers when on an international voyage.
§ 11.1105   General requirements for officer endorsements.
(a) To serve on a passenger vessel on international voyages, Masters, deck officers, Chief Engineers, and engineer officers, must—
(1) Meet the appropriate requirements of the STCW Regulation V/2 and of section A-V/2 of the STCW Code (incorporated by reference, see § 11.102 of this part) as follows:
(i) Masters, officers, and other personnel designated on the muster list to assist passengers in emergency situation onboard passenger ships must have completed training in crowd management specified in section A-V/2 of the STCW Code.
(ii) Personnel providing direct service to passengers in passenger spaces onboard passenger ships must have completed the safety training specified in section A-V/2 of the STCW Code.
(iii) Masters, Chief Engineer Officers, Chief Mates, Second Engineer Officers, and any person designated on muster lists of having responsibility for the safety of passengers in emergency situations onboard passenger ships must have completed approved training in crisis management and human behavior as specified in section A-V/2 of the STCW Code.
(iv) Masters, Chief Engineer Officers, Chief Mates, Second Engineer Officers, and every person assigned immediate responsibility for embarking and disembarking passengers, loading, discharging or securing cargo, or closing hull openings onboard Ro-Ro passenger ships must have completed approved training in passenger safety, cargo safety, and hull integrity as specified in section A-V/2 of the STCW Code; and
(2) Hold documentary evidence as proof of meeting these requirements through approved or accepted training.
(b) Seafarers who are required to be trained in accordance with paragraph (a) of this section must provide, at intervals not exceeding 5 years, evidence of maintaining the standard of competence.
(c) The Coast Guard will accept onboard training and experience, through evidence of 1 year of sea service within the last 5 years, as meeting the requirements of paragraph (b) of this section.
(d) Personnel serving onboard small passenger vessels engaged in domestic, near-coastal voyages, as defined in § 10.107 of this subchapter, are not subject to any obligation for the purpose of this STCW requirement.