Loading (50 kb)...'

(continued)
credentials.
1................................ More than 3 years old...................... Not necessary unless suspension
or revocation is still in
effect.
2 or more........................ Any less than 3 years old.................. 1 year since last conviction and
at least 3 years from 2nd most
recent conviction, unless
suspension or revocation is
still in effect.
2 or more........................ All more than 3 years old.................. Application will be processed
unless suspension or revocation
is still in effect.
----------------------------------------------------------------------------------------------------------------
\1\ Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug shall meet the
requirements of paragraph (b) of this section.
\2\ Suspension or revocation, when referred to in table 10.201(i), means a State suspension or revocation of a
motor vehicle operator's license.


(j) If an applicant has one or more alcohol or dangerous drug related criminal or NDR listed convictions; if the applicant has ever been the user of, or addicted to the use of, a dangerous drug; or if the applicant applies before the minimum assessment period for his or her conviction has elapsed; the OCMI may consider the following factors, as applicable, in assessing the applicant's suitability to hold a license or certificate of registry. This list is intended as a guide for the OCMI. The OCMI may consider other factors which he or she judges appropriate to a particular applicant, such as:

(1) Proof of completion of an accredited alcohol- or drug-abuse rehabilitation program.

(2) Active membership in a rehabilitation or counseling group, such as Alcoholics Anonymous or Narcotics Anonymous.

(3) Character references from persons who can attest to the applicant's sobriety, reliability, and suitability for employment in the merchant marine including parole or probation officers.

(4) Steady employment.

(5) Successful completion of all conditions of parole or probation.

[CGD 81–059 and CGD 81–059a, 52 FR 38623 and 38666, Oct. 16, 1987, as amended by CGD 81–059, 54 FR 133, Jan. 4, 1989; CGD 81–059a, 55 FR 14799, Apr. 18, 1990; CGD 91–223, 60 FR 4524, Jan. 23, 1995; CGD 91–212, 60 FR 65484, Dec. 19, 1995; CGD 95–062, 62 FR 34529, June 26, 1997; USCG–1999–6224, 64 FR 63225, Nov. 19, 1999; USCG–2005–22329, 70 FR 57183, Sept. 30, 2005; USCG–2004–17455, 71 FR 2166, Jan. 13, 2006]

§ 10.202 Issuance of licenses, certificates of registry, and STCW certificates or endorsements.
top
(a) Applications for original licenses, original certificates of registry, raises of grade, extensions of route, or endorsements must be current and up-to-date with respect to service and the physical examination, as appropriate. Physical examinations and approved applications are valid for 12 months.

(b) Any person who is found qualified under the requirements set forth in this part is issued an appropriate license or certificate of registry valid for a term of 5 years from date of issuance. Any license or certificate of registry which is renewed or upgraded prior to its expiration date automatically becomes void upon issuance of the replacement license or certificate of registry.

(c) A license or certificate of registry is not valid until signed by the applicant and the OCMI (or the OCMI's designated representative).

(d) Every person who receives an original license or certificate of registry shall take an oath before a designated Coast Guard official that he or she will faithfully and honestly, according to his or her best skill and judgment, without concealment or reservation, perform all the duties required by law and obey all lawful orders of superior officers. Such an oath remains binding for all subsequent licenses or certificates of registry issued to that person unless specifically renounced in writing.

(e) The applicant for any original license, endorsement, or raise of grade of license must have at least three months' qualifying service on vessels of appropriate tonnage or horsepower within the three years immediately preceding the date of application.

(f) Any applicant whose uncorrected vision exceeds 20/40 in either eye for deck licenses or 20/50 in either eye for engineer, radio officer, offshore installation manager, barge supervisor, or ballast control operator licenses may not serve under the authority of the license unless corrective lenses are worn and spare lenses are carried on board a vessel while serving. (Not applicable to staff officers).

(g) If an Officer in Charge, Marine Inspection, refuses to grant an applicant the license or certificate of registry for which applied, the OCMI will furnish the applicant, if requested, a written statement setting forth the cause of denial.

(h) The Officer in Charge, Marine Inspection, may modify the service and examination requirements in this part to satisfy the unique qualification requirements of an applicant. The Officer in Charge, Marine Inspection, may also lower the age requirement for operator of uninspected passenger vessels license applicants. The authority granted by a license will be restricted on its face to reflect any modifications made under the authority of this paragraph. Such restrictions shall not be removed without the approval of the OCMI issuing the license.

(i) To obtain an original issuance or a renewal of a license or a certificate of registry, a raise in grade of a license, or a higher grade of certificate of registry each applicant shall produce evidence of having passed a chemical test for dangerous drugs or of qualifying for an exception from testing in §16.220 of this subchapter. An applicant who fails a chemical test for dangerous drugs will not be issued a license or certificate of registry.

(j) When an original license is issued, renewed, upgraded, or otherwise modified, the OCMI will determine whether the holder of the license needs to hold an STCW certificate or endorsement for service on a seagoing vessel and then, if the holder is qualified, will issue the appropriate certificate or endorsement. The OCMI will also issue an STCW certificate or endorsement at other times, if circumstances so require and if the holder of the license is qualified to hold the certificate or endorsement.

(k) Notwithstanding §10.205 (l), (m), (n), (o), and (p), §10.304, and §10.901, each mariner found qualified to hold any of the following licenses will also be entitled to hold an STCW certificate or endorsement corresponding to the service or other limitations on the license, because the vessels concerned are not subject to further obligation under STCW, on account of their special operating conditions as small vessels engaged in domestic voyages:

(1) Master's, mate's, or engineer's license for service on small passenger vessels that are subject to subchapter T or K of title 46, Code of Federal Regulations (CFR), and that operate beyond the boundary line.

(2) Master's, mate's, or engineer's license for service on seagoing vessels of less than 200 gross register tons (GRT), other than passenger vessels subject to subchapter H of title 46, CFR.

(l) Neither any person serving on any of the following vessels, nor any owner or operator of any of these vessels, need hold STCW certificates or endorsements, because they are exempt from application of STCW:

(1) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).

(2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).

(3) Fishing vessels used as fish-tender vessels as defined in 46 U.S.C. 2101(11)(c).

(4) Barges as defined in 46 U.S.C. 2101(2), including non-self-propelled mobile offshore-drilling units.

(5) Vessels operating exclusively on the Great Lakes or the inland waters of the U.S. in the straits of Juan de Fuca inside passage.

(m) No license or certificate of registry will be issued until the applicant has passed a criminal record review as set forth in §10.201 of this chapter.

[CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81–059, 53 FR 133, Jan. 4, 1989; CGD 91–211, 59 FR 49297, Sept. 27, 1994; CGD 91–223, 60 FR 4524, Jan. 23, 1995; CGD 95–062, 62 FR 34529, June 26, 1997; CGD 95–062, 62 FR 40140, July 25, 1997; CGD 95–062, 62 FR 40281, July 28, 1997; CGD 95–028, 62 FR 51195, Sept. 30, 1997; USCG–2004–17455, 71 FR 2166, Jan. 13, 2006]

§ 10.203 Quick reference table for license and certificate of registry requirements.
top
Table 10.203 provides a guide to the requirements for various licenses and certificates of registry. Provisions in the reference section are controlling.


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











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

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

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

§ 10.205 Requirements for original licenses, certificates of registry, and STCW certificates and endorsements.
top
(a) General. The applicant for an original license or certificate of registry must present satisfactory documentary evidence of eligibility with respect to the applicable requirements of §10.201 through §10.203. Each applicant must submit an application as set forth in §10.105 and, unless exempted under §10.112, submit the evaluation fee set out in table 10.109 in §10.109.

(b) Minimum age. The applicant shall present satisfactory proof of age as prescribed in §10.201(f). This evidence may be any of the items submitted to establish citizenship.

(c) Citizenship. Each applicant must provide acceptable evidence of his or her citizenship to the Coast Guard. The Coast Guard will reject any evidence of citizenship that we do not believe to be authentic. “Acceptable evidence of citizenship” means an original of any one of the following documents:

(1) Original or a certified copy of a birth certificate, issued by a State, county, municipality or outlying possession of the U.S. bearing an official seal.

(2) Merchant mariner's document issued by the Coast Guard after February 3, 2003 that shows that the holder is a citizen of the U.S.;

(3) Certificate of Citizenship issued by the U.S. Citizenship and Immigration Services or the Immigration and Naturalization Service;

(4) Certificate of Naturalization issued by the U.S. Citizenship and Immigration Services or the Immigration and Naturalization Service; or

(5) Unexpired U.S. State Department passport.

(d) Physical examination. (1) All applicants for an original license must pass an examination given by a licensed physician or a licensed physician assistant and present to the OCMI a completed Coast Guard physical examination form, or the equivalent, executed by the physician. This form must provide information on the applicant's acuity of vision, color sense, and general physical condition. This examination must have been completed prior to submission of the application and not more than 12 months prior to issuance of the license. (Physical examinations are not required for staff officers.)

(2) For an original license as master, mate, pilot, or operator, the applicant must have vision correctable to at least 20/40 in each eye and uncorrected vision of at least 20/200 in each eye. The color sense must be determined to be satisfactory when tested by any of the following methods, without the use of color sensing lenses:

(i) Pseudoisochromatic Plates (Dvorine, 2nd Edition; AOC; revised edition or AOC-HRR; Ishihara 16-, 24-, or 38-plate editions).

(ii) Eldridge—Green Color Perception Lantern.

(iii) Farnsworth Lantern.

(iv) Keystone Orthoscope.

(v) Keystone Telebinocular.

(vi) SAMCTT (School of Aviation Medicine Color Threshold Tester).

(vii) Titmus Optical Vision Tester.

(viii) Williams Lantern.

(3) For an original license as engineer, radio officer, offshore installation manager, barge supervisor or ballast control operator, the applicant must have correctable vision of at least 20/50 in each eye and uncorrected vision of at least 20/200 in each eye. Applicants need only to have the ability to distinguish the colors red, green, blue and yellow.

(4) Where an applicant does not possess the vision, hearing, or general physical condition necessary, the OCMI, after consultation with the examining physician or physician's assistant, may recommend a waiver to the Commandant if extenuating circumstances warrant special consideration. Applicants may submit to the OCMI, additional correspondence, records and reports in support of this request. In this regard, recommendations from agencies of the Federal Government operating government vessels, as well as owners and operators of private vessels, made on behalf of their employees, will be given full consideration. Waivers are not normally granted to an applicant whose corrected vision in the better eye is not at least 20/40 for deck licenses or 20/50 for engineer licenses.

(e) Experience or training. (1) All applicants for original licenses and certificates of registry shall present to the OCMI, letters, discharges, or other documents certifying the amount and character of their experience and the names, tonnage and horsepower of the vessels on which acquired. The OCMI must be satisfied as to the authenticity and acceptability of all evidence of experience or training presented. Certificates of discharge are returned to the applicant. The OCMI shall note on the application that service represented by these documents has been verified. All other documentary evidence of service, or authentic copies thereof, are filed with the application. A license is not considered as satisfactory evidence of any qualifying experience.

(2) No original license or certificate of registry may be issued to any naturalized citizen on less experience in any grade or capacity than would have been required of a citizen of the United States by birth.

(3) Experience and service acquired on foreign vessels is creditable for establishing eligibility for an original license, subject to evaluation by the OCMI to determine that it is a fair and reasonable equivalent to service acquired on merchant vessels of the United States, with respect to grade, tonnage, horsepower, waters, and operating conditions. An applicant who has obtained qualifying experience on foreign vessels shall submit satisfactory documentary evidence of such service (including any necessary translation into English) in the forms prescribed by paragraph (e)(1) of this section.

(4) No applicant for an original license who is a naturalized citizen, and who has obtained experience on foreign vessels, will be given an original license in a grade higher than that upon which he or she has actually served while acting under the authority of a foreign license.

(f) Character check and references. (1) Each applicant for an original license shall submit written recommendations concerning the applicant's suitability for duty from a master and two other licensed officers of vessels on which the applicant has served. For a license as engineer or as pilot, at least one of the recommendations must be from the chief engineer or licensed pilot, respectively, of a vessel on which the applicant has served. For a license as engineer where service was obtained on vessels not carrying a licensed engineer and for a license as master or mate (pilot) of towing vessels, the recommendations may be by recent marine employers with at least one recommendation from a master, operator, or person in charge of a vessel upon which the applicant has served. For a license as offshore installation manager, barge supervisor, or ballast control operator, at least one recommendation must be from an offshore installation manager of a unit on which the applicant has served. Where an applicant qualifies for a license through an approved training school, one of the character references must be an official of that school. For a license for which no commercial experience may be required, such as: Master or mate 25–200 gross tons, operator of uninspected passenger vessels, radio officer or certificate of registry, the applicant may have the written recommendations of three persons who have knowledge of the applicant's suitability for duty.

(2) The OCMI may review the criminal record check of each applicant for an original license or certificate of registry according to the procedures set forth in §10.201(h).

(3) A person may apply for an original license, or license of a different type, while on probation as a result of administrative action under part 5 of this chapter. The offense for which the applicant was placed on probation will be considered in determining his or her fitness to hold the license applied for. A license issued to an applicant on probation will be subject to the same probationary conditions as were imposed against the applicant's other license or merchant mariner's document. An applicant may not take an examination for a license during any period when a suspension without probation or a revocation is effective against the applicant's currently held license or merchant mariner's document, or while an appeal from these actions is pending.

(4) In the event a license or certificate of registry has already been issued when information about the applicant's habits of life and character is brought to the attention of the OCMI, if such information warrants the belief that the applicant cannot be entrusted with the duties and responsibilities of the license or certificate of registry issued, or if such information indicates that the application for the license or certificate of registry was false or incomplete, the OCMI may notify the holder in writing that the license or certificate of registry is considered null and void, direct the holder to return it to the OCMI, and advise the holder that, upon return of the license or certificate of registry, the appeal procedures of §10.204 of this part apply.

(g) Firefighting certificate. Applicants for the licenses in the following categories must present a certificate of completion from a firefighting course of instruction which has been approved by the Commandant. The course must meet both the basic and advanced sections of the International Maritime Organization's (IMO) Resolution A.437 (XI) Training of Crews in Firefighting. The course must have been completed within five years before the date of application for the license requested.

(1) Master's license for service on vessels of 200 gross tons or less in ocean service.

(2) All master or mate's licenses for over 200 gross tons.

(3) All licenses for master or mate (pilot) of towing vessels, except apprentice mate (steersman) of such vessels, on oceans.

(4) All licenses on mobile offshore drilling units.

(5) All engineer's licenses.

(h) First aid and cardiopulmonary resuscitation (CPR) course certificates. All applicants for an original license or certificate of registry, except as provided in §§10.429, 10.456, and 10.466 of this part, must present to the OCMI:

(1) A certificate indicating completion of a first aid course within the past 12 months from:

(i) The American National Red Cross Standard First Aid and Emergency Care or Multi-media Standard First Aid course;

(ii) A Coast Guard approved first aid training course; or,

(iii) A course the OCMI determines meets or exceeds the standards of the American Red Cross courses; and,

(2) A currently valid certificate of completion of a CPR course from:

(i) The American National Red Cross;

(ii) The American Heart Association;

(iii) A Coast Guard approved CPR training course; or,

(iv) A course the OCMI determines meets or exceeds the standards of the American Red Cross or American Heart Association courses.

(i) Professional Examination. (1) When the OCMI finds the applicant's experience and training to be satisfactory and the applicant is eligible in all other respects, the OCMI will authorize the examination in accordance with the following requirements:

(i) Any applicant for a deck or engineer license limited to vessels not exceeding 500 gross tons, or a license limited to uninspected fishing-industry vessels, may request an oral-assisted examination in lieu of any written or other textual examination. If there are textual questions that the applicant has difficulty reading and understanding, the OCMI will offer the oral-assisted examination. Each license based on an oral-assisted examination is limited to the specific route and type of vessel upon which the applicant obtained the majority of service.

(ii) The general instructions for administration of examinations and the lists of subjects for all licenses appear in Subpart I of this part. The OCMI will place in the applicant's file a record indicating the subjects covered.

(2) When the license application of any person has been approved, the applicant should take the required examination as soon as practicable. If the applicant cannot be examined without delay at the office where the application is made, the applicant may request that the examination be given at another office.

(3) The qualification requirements for radar observer are contained in §10.480.

(4) An examination is not required for a license as radio officer or a certificate of registry.

(j) Chemical testing for dangerous drugs. To obtain a license or certificate of registry each applicant shall produce evidence of having passed a chemical test for dangerous drugs or of qualifying for an exception from testing in §16.220 of this subchapter. An applicant who fails a chemical test for dangerous drugs will not be issued a license or certificate of registry.

(k) National Driver Register. Each applicant for an original license or certificate of registry shall consent to an NDR check under §10.201(i).

(l) Basic safety training or instruction. Except as provided in §10.202, an STCW certificate or endorsement will be issued only when the candidate provides evidence of having achieved or, if training has been completed, having maintained the minimum standards of competence for the following 4 areas of basic safety within the previous 5 years upon assessment of a practical demonstration of skills and abilities:

(1) Personal survival techniques as set out in table A-VI/1-1 of the STCW Code (incorporated by reference in §10.102).

(2) Fire prevention and fire-fighting as set out in table A-VI/1-2 of the STCW Code (also incorporated by reference in §10.102).

(3) Elementary first aid as set out in table A-VI/1-3 of the STCW Code (also incorporated by reference in §10.102).

(4) Personal safety and social responsibilities as set out in table A-VI/1-4 of the STCW Code (also incorporated by reference in §10.102).

(m) Competence in the use of Automatic Radar-Plotting Aids (ARPA). (1) Subject to paragraph (m)(2) of this section, and except as otherwise provided in §10.202, each candidate for an STCW certificate as master or mate for service on vessels in ocean or near-coastal service, shall present a certificate of completion from an approved course or from accepted training on an ARPA simulator. The course or training must be sufficient to establish that the applicant is competent to maintain safe navigation through the proper use of ARPA, by correctly interpreting and analyzing the information obtained from that device and taking into account both the limitations of the equipment and the prevailing circumstances and conditions. The simulator used in the course or training must meet or exceed the performance standards established under STCW Regulation I/12 of the 1995 Amendments.

(2) Training and assessment in the use of ARPA are not required for mariners serving exclusively on vessels not fitted with ARPA. However, when any mariner so serving has not completed it, his or her STCW certificate or endorsement will be endorsed to indicate this limitation.

(n) Certificate for operator of radio in the Global Maritime Distress and Safety System (GMDSS). (1) Subject to paragraph (n)(2) of this section, and except as otherwise provided by §10.202, each candidate for an STCW certificate as master or mate for service in vessels in ocean or near-coastal service, shall present—

(i) A certificate for operator of radio in the GMDSS issued by the Federal Communication Commission (FCC); and

(ii) A certificate of completion from a Coast Guard-approved or accepted course for operator of radio in the GMDSS or from another approved or accepted program of training and assessment covering the same areas of competence. The course or program must be sufficient to establish that the applicant is competent to perform radio duties on a vessel participating in the GMDSS and meets the standard of competence under STCW Regulation IV/2.

(2) Paragraph (n)(1) of this section does not apply to a candidate intending to serve only as a pilot, or intending to serve only on vessels not required to comply with the provisions of the GMDSS in Chapter IV of the Convention for the Safety of Life at Sea, 1974, as amended (SOLAS).

(3) Each candidate presenting a certificate described in paragraph (n)(1) of this section may have his or her STCW certificate suitably endorsed with his or her GMDSS qualification.

(o) Procedures for bridge team work. Except as otherwise provided by §10.202, each candidate for an STCW certificate as master or mate for service on vessels in ocean or near-coastal service, shall present sufficient documentary proof that he or she understands and can effectively apply procedures for bridge team work as an essential aspect of maintaining a safe navigational watch, taking into account the principles of bridge-resource management enumerated in Section B-VIII/2 of the STCW Code.

(p) Practical demonstration of skills. Each candidate for an original license shall successfully complete any practical demonstrations required under this part and appropriate to the particular license concerned, to prove that he or she is sufficiently proficient in skills required under subpart I of this part. The OCMI must be satisfied as to the authenticity and acceptability of all evidence that each candidate has successfully completed the demonstrations required under this part in the presence of a designated examiner. The OCMI will place in the file of each candidate a written or electronic record of the skills required, the results of the practical demonstrations, and the identification of the designated examiner in whose presence the requirements were fulfilled.

[CGD 81–059 and CGD 81–059a, 52 FR 38623 and 38666, Oct. 16, 1987, as amended by CGD 81–059, 54 FR 133, Jan. 4, 1989; CGD 81–059a, 55 FR 14799, Apr. 18, 1990; CGD 91–002, 58 FR 15238, Mar. 19, 1993; CGD 91–223, 60 FR 4524, Jan. 23, 1995; CGD 91–212, 60 FR 65486, Dec. 19, 1995; CGD 94–029, 61 FR 47063, Sept. 6, 1996; CGD 95–062, 62 FR 34530, June 26, 1997; CGD 95–062, 62 FR 40281, July 28, 1997; USCG-1997–2799, 64 FR 42815, Aug. 5, 1999; USCG-1999–6224, 64 FR 63225, Nov. 19, 1999; 66 FR 20935, Apr. 26, 2001; USCG-1999–5610, 67 FR 66067, Oct. 30, 2002; USCG-2004–18884, 69 FR 58342, Sept. 30, 2004; USCG–2004–17455, 71 FR 2166, Jan. 13, 2006]

§ 10.207 Requirements for raises of grades of licenses.
top
(a) General. Before any person is issued a raise of grade of license, the applicant must present satisfactory documentary evidence of eligibility with respect to the applicable requirements of §§10.201, 10.202, and this section. Each applicant must submit an application as set forth in §10.105, and, unless exempted under §10.112, submit the evaluation fee set out in table 10.109 in §10.109.

(b) Surrendering old license. Upon the issuance of a new license for raise of grade, the applicant shall surrender the old license to the OCMI. If requested, the old license is returned to the applicant after cancellation.

(c) Age, experience, training, and assessment. (1) Each applicant for a raise of grade of license shall establish that he or she possesses the age, experience, and training necessary, and has been examined and otherwise assessed as may be required by this part to establish competence to hold the particular license requested, before he or she is entitled to a raise in grade of license.

(2) Applicants for raise of grade of license shall present to the OCMI at a Regional Examination Center, letters, discharges, or other official documents certifying to the amount and character of their experience and the names of the vessels on which acquired. Certificates of discharge are returned to the applicant after review by the OCMI. All other documentary evidence of service, or copies thereof, are filed with the application.

(3) Sea service acquired prior to the issuance of the license held is generally not accepted as any part of the service required for raise of grade of that license. However, service acquired prior to issuance of a license will be accepted for certain crossovers, endorsements or increases in scope of a license, as appropriate. In the limited tonnage categories for deck licenses, total accumulated service is a necessary criterion for most raises in grade; service acquired prior to the issuance of such licenses will, therefore, be accepted.

(4) No raise of grade of license may be issued to any naturalized citizen on less experience in any grade than would have been required of a citizen of the United States by birth.

(5) Experience and service acquired on foreign vessels while holding a valid U. S. license is creditable for establishing eligibility for a raise of grade, subject to evaluation by the OCMI to determine that it is a fair and reasonable equivalent to service acquired on merchant vessels of the United States, with respect to grade, tonnage, horsepower, waters and operating conditions. An applicant who has obtained the qualifying experience on foreign vessels shall submit satisfactory documentary evidence of such service (including any necessary translations into English) in the forms prescribed by paragraph (c)(2) of this section.

(6) An applicant remains eligible for a raise of grade of license while on probation as a result of action under part 5 of this chapter. A raise of grade of license issued to a person on probation will be subject to the same probationary conditions imposed against the applicant's other certificates or licenses. The offense for which he or she was placed on probation will be considered on the merits of the case in determining fitness to hold the license applied for. No applicant will be examined for a raise of grade of license during any period when a suspension without probation or a revocation imposed under part 5 of this chapter is effective against the applicant's license or certificate or while an appeal from these actions is pending.

(d) Professional Examination. (1)(i) When the OCMI finds an applicant's experience and training for raise of grade to be satisfactory and the applicant is eligible in all other respects, the OCMI will authorize the examination. Oral-assisted examinations may be administered in accordance with §10.205(i)(1). The OCMI will place in the applicant's file a record indicating the subjects covered.

(ii) The general instructions for administration of examinations and the lists of subjects for all licenses appear in Subpart I of this part.

(2) The qualification requirements for radar observer are contained in §10.480.

(e) Physical requirements. (1) An applicant for raise of grade of a license who has not had a physical examination for an original license or renewal of license within three years must submit a certification by a licensed physician or physician assistant that he or she is in good health and has no physical impairment or medical condition which would render him or her incompetent to perform the ordinary duties of the license applied for.

(2) If the OCMI has reason to believe that an applicant for raise of grade of license suffers from some physical impairment or medical condition which would render the applicant incompetent to perform the ordinary duties of that license, the applicant may be required to submit the results of an examination by a licensed physician or physician assistant that meets the requirements for an original license.

(3) An applicant who has lost the sight of one eye may obtain a raise of grade of license, provided that the applicant is qualified in all other respects and that the visual acuity in the one remaining eye passes the test required under §10.205(d).

(f) Firefighting certificate. Applicants for raise of grade of license who have not previously met the requirements in §10.205(g), must do so.

(g) Chemical testing for dangerous drugs. To obtain a raise of grade of a license each applicant shall produce evidence of having passed a chemical test for dangerous drugs or of qualifying for an exception from testing in §16.220 of this subchapter.

(h) Criminal Record Review. Each applicant for a raise of grade may be required to submit to a criminal record check under §10.201(h).

(i) National Driver Register. Each applicant for a raise of grade of a license shall consent to an NDR check under §10.201(i) if the license is reissued with a new expiration date.

[CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81–059, 54 FR 134, Jan. 4, 1989; CGD 91–002, 58 FR 15238, Mar. 19, 1993; CGD 91–223, 60 FR 4524, Jan. 23, 1995; CGD 91–212, 60 FR 65486, Dec. 19, 1995; CGD 94–029, 61 FR 47063, Sept. 6, 1996; CDG 95–062, 62 FR 34530, June 26, 1997; USCG–1997–2799, 64 FR 42815, Aug. 5, 1999; USCG–2004–17455, 71 FR 2166, Jan. 13, 2006]

§ 10.209 Requirements for renewal of licenses, certificates of registry, and STCW certificates and endorsements.
top
(a) General. Except as provided in paragraph (g) of this section, an applicant for renewal of a license or certificate of registry shall establish possession of all of the necessary qualifications before the license or certificate of registry is issued.

(1) Each application must be on a Coast Guard furnished form and be accompanied by the evaluation fee set out in table 10.109 in §10.109. An approved application is valid for 12 months.

(2) Although the written portion of the application may be initiated by mail, fax, or other electronic means, no application for renewal is complete until the applicant appears in person at a Regional Examination Center (REC), is fingerprinted, and provides evidence of his or her identity in accordance with the requirements of §10.105.

(3) The applicant shall submit the original or a photocopy of the license or certificate of registry to be renewed. A photocopy will include the back and all attachments. If requested, the old license or certificate of registry will be returned to the applicant.

(b) Fitness. No license or certificate of registry will be renewed if it has been suspended without probation or revoked as a result of action under part 5 of this chapter, or facts that would render a renewal improper have come to the attention of the Coast Guard.

(c) Professional requirements. (1) In order to renew a license as master, mate, engineer, pilot, or operator, the applicant shall:

(i) Present evidence of at least 1 year of sea service during the past 5 years;

(ii) Pass a comprehensive, open-book exercise covering the general subject matter contained in appropriate sections of subpart I of this part;

(iii) Complete an approved refresher training course; or

(iv) Present evidence of employment in a position closely related to the operation, construction or repair of vessels (either deck or engineer as appropriate) for at least 3 years during the past 5 years. An applicant for a deck license with this type of employment must also demonstrate knowledge on an applicable Rules of the Road exercise.

(2) The qualification requirements for renewal of radar observer endorsement are in §10.480.

(3) Additional qualification requirements for renewal of a license as pilot are contained in §10.713.

(4) An applicant for renewal of a radio officer's license shall, in addition to meeting the requirements of paragraphs (a) and (b) of this section, present a currently valid license as first- or second-class radiotelegraph operator issued by the Federal Communications Commission. This license will be returned to the applicant.

(5) An applicant for renewal of a medical doctor or professional nurse certificate of registry shall, in addition to meeting the requirements of paragraphs (a) and (b) of this section, present evidence that he or she holds a currently valid appropriate license as physician, surgeon, or registered nurse issued under the authority of a state or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia.

(6) An applicant for renewal of a license as master or mate (pilot) of towing vessels shall submit satisfactory evidence of either by—

(i) Completing a practical demonstration of maneuvering and handling a towing vessel before a designated examiner; or

(ii) Submitting documentary proof of ongoing participation in training and drills during the validity of the license being renewed.

(d) Physical requirements. (1) An applicant for renewal of a license shall submit a certification by a licensed physician or physician assistant that he or she is in good health and has no physical impairment or medical condition which would render him or her incompetent to perform the ordinary duties of that license. This certification must address visual acuity and hearing in addition to general physical condition and must have been completed within 12 months of the date of application.

(2) If the OCMI has reason to believe that an applicant for renewal of a license suffers from some physical impairment or medical condition which would render the applicant incompetent to perform the ordinary duties of that license, the applicant may be required to submit the results of an examination by a licensed physician or physician assistant that meets the requirements for original license.

(3) An applicant who has lost the sight of one eye may obtain a renewal of license, provided that the applicant is qualified in all other respects and that the visual acuity in the one remaining eye passes the test required under §10.205(d).

(4) Physical examinations are not required for renewal of certificates of registry.

(e) Special circumstances—(1) Period of grace. Except as provided herein, a license may not be renewed more than 12 months after it has expired. To obtain a reissuance of the license, an applicant must comply with the requirements of paragraph (f) of this section. When an applicant's license expires during a time of service with the Armed Forces and there is no reasonable opportunity for renewal, including by mail, this period may be extended. The period of military service following the date of license expiration which precluded renewal may be added to the 12 month period of grace. The 12 month period of grace, and any extension, do not affect the expiration date of the license. A license is not valid for use after the expiration date.

(2) Renewal in advance. A license or certificate of registry may not be renewed more than 12 months before expiration unless it is being renewed in conjunction with a merchant mariner's document which is either due for renewal or being endorsed, or unless the OCMI is satisfied that special circumstances exist to justify renewal.

(3) Renewal by mail, fax, or other electronic means. (i) This paragraph sets forth those required portions of the application that may be submitted by mail, fax, or other electronic means. Although an applicant may initiate, supplement, or complete a renewal by mail, fax, or other electronic means, no application for renewal is complete until the applicant appears in person at an REC, is fingerprinted, and provides evidence of his or her identity in accordance with §10.205. The following documents must be submitted by the applicant, but may be submitted by mail, fax, or other electronic means:

(A) A properly completed application on a Coast Guard furnished form and the evaluation fee required by table 10.109 in §10.109.

(B) The expired license or certificate of registry to be renewed; or, if it has not expired, a photocopy of the license or certificate, including the back and all attachments.

(C) A certification from a licensed physician or physician assistant in accordance with paragraph (d) of this section for the renewal of a license.

(D) If the applicant desires to renew a license with a radar observer endorsement, either the radar observer certificate or a certified copy.

(E) Evidence of, or acceptable substitute for, sea service for the renewal of a license.

(F) For a certificate of registry as a medical doctor or professional nurse, evidence that he or she holds a currently valid, appropriate license as physician, surgeon, or registered nurse, issued under the authority of a state or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia.

(ii) The open-book exercise, if required, may be administered through the mail.

(iii) Upon receipt of the renewed license or certificate of registry, the applicant shall sign it in order to validate the license or certificate.

(4) Concurrent renewal of licenses, certificates of registry, and merchant mariner's documents. An applicant for concurrent renewal of more than one merchant mariner credential shall satisfy the individual renewal requirements and pay the applicable fees required by the tables in §§10.109 and 12.02–18 of this chapter for each license, certificate of registry, or merchant mariner's document being renewed.

(f) Reissuance of expired license or certificate of registry. (1) Whenever an applicant applies for reissuance of a license more than 12 months after expiration, in lieu of the requirements of paragraph (c) of this section, the applicant shall demonstrate continued professional knowledge by completing a course approved for this purpose, or by passing the complete examination for that license. The examination may be oral-assisted if the expired license was awarded on an oral exam. The fees listed in table 10.109 in §10.109 apply to these examinations. In the case of an expired radio officer's license, the license may be issued upon presentation of a valid first- or second-class radiotelegraph operator license issued by the Federal Communications Commission.

(2) A certificate of registry that has been expired for more than 12 months shall be renewed in the same way as a current certificate of registry. There are no additional requirements for reissuing certificates of registry that have been expired for more than 12 months.

(g) Inactive license renewal. (1) Applicants for renewal of licenses who are unwilling or otherwise unable to meet the requirements of paragraphs (c) or (d) of this section may renew their licenses, with the following restrictive endorsement placed on the back of the license: “License renewed for continuity purposes only; service under the authority of this license is prohibited.” Holders of licenses with this continuity endorsement may have the prohibition rescinded at any time by satisfying the renewal requirements in paragraphs (c), (d), and (h) of this section. (continued)