46 C.F.R. Subpart 12.02—General Requirements for Certification
Title 46 - Shipping
Link to an amendment published at 71 FR 48483, Aug. 21, 2006. (a) Certificates of identification, certificates of service, certificates of efficiency, and continuous discharge books are issued to qualifying applicants at any Marine Inspection Office of the Coast Guard during usual business hours. (b)(1) Coast Guard Merchant Marine Details abroad are authorized to conduct examinations for upgrading of seamen, but are not prepared to conduct the physical examination where required. Merchant Marine Details will therefore not issue regular certificates, but temporary permits in lieu thereof. Merchant Marine Details will instruct the recipient of each temporary permit to present it to the Officer in Charge, Marine Inspection, upon arrival in the first port in the United States in which a Marine Inspection Office is located in order to exchange it for a permanent certificate. (2) The temporary permit shall be accepted in a Marine Inspection Office as proof that the bearer has complied with the rules and regulations governing the issuance of certificates, except as noted in the body of the temporary permit. The requirements noted in the exceptions will be complied with as in the case of other applicants. (3) The written examinations are forwarded to the Commanding Officer, National Maritime Center by Merchant Marine Details. Any Marine Inspection Office at which an applicant with a temporary permit appears may request and obtain the examination in the case from the Commanding Officer, National Maritime Center. Any Marine Inspection Office which doubts the propriety of issuing a permanent certificate in lieu of a temporary permit which has been issued by a foreign Merchant Marine Detail shall inform the Commanding Officer, National Maritime Center fully as to the circumstances. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; USCG–2004–18884, 69 FR 68089, Nov. 23, 2004] (a) No person who has been convicted by a court of record 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, a foreign country, or any military court, is eligible for a merchant mariner's document, except as provided by paragraph (c) of this section. No person who has ever been the user of a dangerous drug, addicted or not, or has ever been convicted of an NDR 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 a merchant mariner's document, unless he or she furnishes satisfactory evidence of suitability for service in the merchant marine as provided in paragraph (e) of this section. (b) An applicant who fails a chemical test for dangerous drugs required by §12.02–9 will not be issued a merchant mariner's document. (c) Criminal Record Review and Safety and Security Check. The Coast Guard may conduct a criminal record review and conduct a safety and security check of an applicant for a merchant mariner's document. An applicant pursuing simultaneous transactions for merchant mariner's credentials shall undergo a single criminal record review and safety and security check. Each applicant must provide written disclosure of all prior convictions (as defined in §12.01–6) at the time of application. (1) When a criminal record review and a safety and security check are conducted, the applicant shall provide fingerprints in a form and manner specified by the Coast Guard. (i) When a criminal record review or a safety and security check leads the Coast Guard to determine that an applicant is not a safe and suitable person (as defined in §12.01–6) or cannot be entrusted with the duties and responsibilities of the merchant mariner's document for which application is made, the application may be disapproved. (ii) If an application is disapproved, the applicant will be notified in writing of the fact, and, except as provided by this paragraph, the reason or reasons for disapproval and advised that the appeal procedures in §1.03 of this chapter apply. No examination will be given pending decision on appeal. The applicant will be notified in writing of the reason or reasons for disapproval, unless the Coast Guard determines that such disclosure of information is prohibited by law, regulation, or agency policy, in which case the reason(s) will not be disclosed. (2) The Officer in Charge, Marine Inspection will use table 12.02–4(c) to evaluate applicants for merchant mariner's documents 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 Officer in Charge, Marine Inspection 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 Officer in Charge, Marine Inspection. The assessment period may include supervised or unsupervised probation or parole. A conviction for a drug offense more than 10 years prior to the date of application will not alone be grounds for denial. (3) When an applicant has convictions for more than one offense, the minimum assessment period will be the longest minimum in table 12.02–4(c) and table 12.02–4(d) based upon the applicant's convictions; the maximum assessment period will be the longest shown in table 12.02–4(c) and table 12.02–4(d) based upon the applicant's convictions. (4) If a person with a criminal conviction applies for a merchant mariner's document before the minimum assessment period shown in table 12.02–4(c), or established by the Officer in Charge, Marine Inspection under paragraph (c)(2) 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 which are evidence of suitability for service in the merchant marine are listed in paragraph (e) of this section. The Officer in Charge, Marine Inspection will consider the applicant's evidence submitted with the application and may issue the merchant mariner's document in less than the listed minimum assessment period if the Officer in Charge, Marine Inspection is satisfied that the applicant is suitable to hold the merchant mariner's document 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 Officer in Charge, Marine Inspection until the applicant provides the necessary evidence as set forth in paragraph (e) of this section. (5) If a person with a criminal conviction applies for a merchant mariner's document during the time between the minimum and maximum assessment periods shown in table 12.02–4(c) or established by the Officer in Charge, Marine Inspection under paragraph (c)(2) of this section, then the Officer in Charge, Marine Inspection shall consider the conviction and, unless there are offsetting factors, shall grant the applicant the merchant mariner's document 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), previous 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 Officer in Charge, Marine Inspection considers the applicant unsuitable for service in the merchant marine at the time of application, the Officer in Charge, Marine Inspection may disapprove the application. (6) If a person with a criminal conviction applies for a merchant mariner's document after the maximum assessment period shown in table 12.02–4(c) or established by the Officer in Charge, Marine Inspection under paragraph (c)(2) of this section, has elapsed, then the Officer in Charge, Marine Inspection will grant the applicant the merchant mariner's document for which he or she has applied unless the Officer in Charge, Marine Inspection considers the applicant still unsuitable for service in the merchant marine. If the Officer in Charge, Marine Inspection disapproves an applicant with a conviction older than the maximum assessment period listed in table 12.02–4(c), the Officer in Charge, Marine Inspection will notify the applicant in writing of the reason(s) for the disapproval including the Officer in Charge, Marine Inspection's reason(s) for considering a conviction older than the maximum assessment period listed in table 12.02–4(c). The Officer in Charge, Marine Inspection will also inform the applicant, in writing, that the reconsideration and appeal procedures contained in §1.03 of this chapter apply. (d) National Driver Register. A merchant mariner's document will not be issued or reissued with a new expiration date 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). The Officer in Charge, Marine Inspection will not consider NDR listed civil convictions that are more than 3 years old from the date of request unless that information relates to the current suspension or revocation of the applicant's license to operate a motor vehicle. The Officer in Charge Marine Inspection may determine minimum and maximum assessment periods for NDR listed criminal convictions using table 12.02–4(c). An applicant conducting simultaneous merchant mariner's credential transactions is subject to only one NDR check. (1) Any application may be disapproved if information from the NDR check leads the Officer in Charge, Marine Inspection to determine that the applicant cannot be entrusted with the duties and responsibilities of the merchant mariner's document for which the application is made. If an application is disapproved, the Officer in Charge, Marine Inspection will notify the applicant in writing of the reason(s) for disapproval and advise the applicant that the appeal procedures in §1.03 of this chapter apply. No examination will be given or merchant mariner's document issued pending decision on appeal. (2) Prior to disapproving an application because of information received from the NDR, the Officer in Charge, Marine Inspection will make the information available to the applicant for review and written comment. The applicant may submit reports from the applicable State concerning driving record and convictions to the Coast Guard Regional Examination Center (REC) processing the application. The REC will hold an application with NDR listed convictions pending the completion of the evaluation and delivery by the individual of the underlying State records. (3) The guidelines in table 12.02–4(d) will be used by the Officer in Charge, Marine Inspection when evaluating applicants for merchant mariner's documents who have drug or alcohol related NDR listed convictions. Non-drug or alcohol related NDR listed convictions will be evaluated by the Officer in Charge, Marine Inspection under table 12.02–4(c) as applicable. (4) An applicant may request an NDR file check for personal use in accordance with the Federal Privacy Act of 1974 (Pub. L. 93–579) by contacting the NDR at the following address: National Driver Register, Nassif Building, 400 7th Street SW., Washington, DC 20590. (i) Applicants should request Form NDR-PRV or provide the following information on a notarized letter: (A) Full legal name; (B) Other names used; (C) Complete mailing address; (D) Driver license number; (E) Eye color; (F) Social security number; (G) Height; (H) Weight; and (I) Sex. (ii) The NDR will respond to every valid inquiry including requests which produce no record(s) on the NDR file. Records can be made available, within a reasonable amount of time after the request, for personal inspection and copying during regular working hours at 7:45 a.m. to 4:15 p.m., each day except Federal holidays. (e) If an applicant for an original merchant mariner's document 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 Officer in Charge, Marine Inspection may consider the following factors, as applicable, in assessing the applicant's suitability to hold a merchant mariner's document. This list is intended as a guideline. The Officer in Charge, Marine Inspection may consider other factors which he or she judges appropriate, 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 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. [CGFR 69–116, 35 FR 6860, Apr. 30, 1970, as amended by CGD 91–223, Jan. 23, 1995; CGD 95–072, 60 FR 50460, Sept. 29, 1995; CGD 91–212, 60 FR 65487, Dec. 19, 1995; USCG-2003–14500, 69 FR 531, Jan. 6, 2004; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] (a) Every certificate of service, certificate of efficiency, or certificate of identification issued or reissued after November 1, 1945, shall be in the form of a merchant mariner's document, Coast Guard Form CG-2838, and wherever such certificates are mentioned in this part they shall be deemed to include merchant mariner's documents representing such certificates. (b) Continuous discharge books are issued on Coast Guard Form CG-719B. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by USCG-2003–14500, 69 FR 532, Jan. 6, 2004] (a) Every seaman employed on any merchant vessel of the United States of 100 gross tons or upward, except vessels employed exclusively in trade on the navigable rivers of the United States, shall be issued, at the option of the seaman, a continuous discharge book, a certificate of identification, or merchant mariner's document representing such certificate of identification, which shall be retained by him. This book or certificate of identification or merchant mariner's document will bear a number, and this same number shall be shown on all certificates of service or efficiency issued to the holder of the book or certificate or document. Provisions of this section are not applicable to unrigged vessels except seagoing barges and certain tank barges. (b) Every seaman, as referred to in paragraph (a) of this section, shall produce a continuous discharge book or certificate of identification or merchant mariner's document representing such a certificate to the United States shipping commissioner before signing Articles of Agreement, and where the seaman is not signed on before a shipping commissioner, one of these documents shall be exhibited to the master of the vessel at the time of his employment. Seamen who do not possess one of these documents may be employed at a foreign port or place. (c)(1) Every person employed on any merchant vessel of the United States of 100 gross tons and upward, except those navigating rivers exclusively and the smaller inland lakes, below the rank of licensed officer and registered staff officer, shall possess a valid certificate of service, or merchant mariner's document representing such certificate, issued by an Officer in Charge, Marine Inspection. (2) No certificate of service or efficiency is required of any person below the rank of licensed officer employed on any unrigged vessel except seagoing barges and certain tank barges. (3) No certificate of service or efficiency is required of any person below the rank of licensed officer employed on any sail vessel of less than 500 net tons while not carrying passengers for hire and while not operating outside the line dividing inland waters from the high seas, as defined in section 2 of the act of February 19, 1895, as amended (33 U.S.C. 151) and in 33 CFR part 82. (d) After January 31, 1997, each person serving as a rating forming part of a navigational watch on a seagoing ship of 500 gross tons or more shall hold an STCW endorsement certifying him or her as qualified to perform the navigational function at the support level, in accordance with STCW (incorporated by reference in §12.01–3). (e) After January 31, 2002, each person serving as a rating forming part of a watch in a manned engine-room or designated to perform duties in a periodically unmanned engine-room, on a seagoing ship driven by main propulsion machinery of 750 kW [1,000 hp] of propulsion power or more, shall hold an STCW endorsement certifying him or her as qualified to perform the marine-engineering function at the support level, in accordance with STCW. (f) Notwithstanding any other rule in this part, no unlicensed person serving on any of the following vessels needs hold an STCW endorsement, either because he or she is exempt from application of the STCW, or because the vessels are not subject to further obligation under STCW, on account of their special operating conditions as small vessels engaged in domestic voyages: (1) Small passenger vessels subject to subchapter T or K of title 46, CFR. (2) Vessels of less than 200 GRT (other than passenger vessels subject to subchapter H of title 46, CFR). (3) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42). (4) Fishing vessels as defined in 46 U.S.C. 2101(11)(a). (5) Fishing vessels used as fish-tender vessels as defined in 46 U.S.C. 2101(11)(c). (6) Barges as defined in 46 U.S.C. 2101(2), including non-self-propelled mobile offshore-drilling units. (7) Vessels operating exclusively on the Great Lakes. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–062, 62 FR 34535, June 26, 1997; USCG-1999–5610, 67 FR 66068, Oct. 30, 2002] (a) General. The Coast Guard will not process an incomplete merchant mariner's document application. It will process an application that is current and up-to-date with respect to service, physical examination, and other pertinent matters. In the case of a seaman applying for his first certificate, other than certificate of identification, the application shall include a request for either a continuous discharge book or a merchant mariner's document representing a certificate of identification, at the option of the applicant. (b)(1) When the application is submitted for a certificate of identification, certificate of service, certificate of efficiency, merchant mariner's document, or any combination thereof, or a continuous discharge book, the seaman shall furnish three unmounted dull finish photographs of passport type (2 inches by 1 (2) When the application requests a continuous discharge book in addition to a certificate of service or certificate of efficiency or merchant mariner's document one additional photograph shall be furnished. (c) An applicant for a document where sea service is required shall produce with his application discharges or other documentary evidence of his service, indicating the name of the vessels and dates on which he has had service, in what capacity and on what waters. (d) If the applicant possesses a continuous discharge book, certificate of identification, or merchant mariner's document representing such certificate, it shall be exhibited at the time of making application for any other document. (e) Approved applications are valid for 12 months. (f) Except for applicants requesting an inactive merchant mariner's document renewal under §12.02–27(g) of this part, to obtain an original issuance of a merchant mariner's document, the first endorsement as an able seaman, lifeboatman, qualified member of the engine department, or tankerman, or a reissuance of a merchant mariner's document with a new expiration date, each applicant shall present evidence of having passed a chemical test for dangerous drugs or of qualifying for an exception from testing in §16.220 of this subchapter. (g) Each applicant for a merchant mariner's document may be subject to a criminal record review and a safety and security check as described by §12.02–4(c). (h) Each applicant for a merchant mariner's document shall comply with the NDR requirements in §12.02–4(d). [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 74–178, 40 FR 57673, Dec. 11, 1975; CGD 91–211, 59 FR 49300, Sept. 27, 1994; CGD 91–223, 60 FR 4525, Jan. 23, 1995; CGD 91–212, 60 FR 65489, Dec. 19, 1995; USCG-2003–14500, 69 FR 532, Jan. 6, 2004] (a) No application from an alien for a certificate of service, certificate of efficiency, certificate of identification, continuous discharge book, or merchant mariner's document shall be accepted unless the alien presents acceptable documentary evidence from the United States US Citizenship and Immigration Services that he is lawfully admitted to the United States for permanent residence. (b) This evidence may be in the form of an alien registration receipt card issued by the US Citizenship and Immigration Services bearing the certification that the alien was admitted to the United States as an immigrant, or a declaration of intention to become a citizen of the United States issued by a naturalization court. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] (a) As provided in §12.02–5, every certificate of service, certificate of efficiency, or certificate of identification issued or reissued shall be in the form of a merchant mariner's document, Coast Guard Form CG-2838. (b) Any licensed officer or unlicensed seaman currently holding, in a valid status, any of the documents listed in paragraph (a) of this section may, upon request and without examination, be issued a merchant mariner's document. (c) A merchant mariner's document shall be a certificate of service authorizing the holder to serve in any rating endorsed thereon, or in any lower rating in the same department, or in any rating covered by a general endorsement thereon. (d)(1) A merchant mariner's document issued to a licensed deck officer will be endorsed for, any unlicensed rating in the deck department, except able seaman, and will be a certificate of service authorizing the holder to serve in any unlicensed capacity in the deck department, except able seaman, without being required to present his license. If a licensed deck officer qualifies as able seaman, the merchant mariner's document will be endorsed, any unlicensed rating in the deck department, including able seaman, and such endorsement will be deemed to include a certificate of efficiency as lifeboatman. (2) A merchant mariner's document issued to an engineer officer licensed for inspected vessels of over 2,000 horsepower, will be endorsed for any unlicensed rating in the engine department, and will be a certificate of service authorizing the holder to serve in any unlicensed capacity in the engine department without being required to present his license. If a licensed engineer qualifies as a lifeboatman, the further endorsement, lifeboatman, will be placed on the merchant mariner's document. (3) A merchant mariner's document issued to a licensed radio officer will be endorsed as follows: See License as Radio Officer. If a licensed radio officer qualifies as a lifeboatman, the further endorsement, Lifeboatman, will be placed on the merchant mariner's document. Qualifications for other ratings for which a radio officer is eligible may also be endorsed on the document. (e)(1) A merchant mariner's document issued to a staff officer will be endorsed as follows: See Certificate of Registry. The holder of a certificate of registry as chief purser, purser, senior assistant purser, or junior assistant purser, may also serve in any capacity in the staff department not requiring a certificate of registry without obtaining an additional endorsement on his merchant mariner's document. (2) The authorized holder of any valid merchant mariner's document, however endorsed, may serve in any capacity in the staff department of a vessel, except in those capacities requiring registered staff officers: Provided, That whenever such service includes the handling of food no person may be so employed unless his document bears the food handler's endorsement “(F.H.).” (f) A merchant mariner's document endorsed as able seaman or as lifeboatman shall be a certificate of efficiency as lifeboatman. (g) Every merchant mariner's document shall be a certificate of identification unless the holder also holds a continuous discharge book. The holder of a certificate of identification in the form issued before November 1, 1945, shall surrender that certificate before he is issued a merchant mariner's document. (h) When a merchant mariner's document is issued, renewed, or endorsed, the Officer in Charge, Marine Inspection, will determine whether the holder of the document is required to hold an STCW endorsement for service on a seagoing vessel, and then, if the holder is qualified, the Officer in Charge, Marine Inspection will issue the appropriate endorsement. The Officer in Charge, Marine Inspection will also issue an STCW endorsement at other times, if circumstances so require and if the holder of the document is qualified to hold the endorsement. The Officer in Charge, Marine Inspection will issue an STCW endorsement for the following ratings: (1) A rating forming part of a navigational watch on a seagoing ship of 500 GT or more if the holder of the document is qualified in accordance with STCW Regulation II/4 and Section A-II/4 of the STCW Code (incorporated by reference in §12.01–3), to perform the navigational function at the support level. (2) A rating forming part of a watch in a manned engine-room, or designated to perform duties in a periodically unmanned engine-room, on a seagoing ship driven by main propulsion machinery of 750 kW [1,000 hp] of propulsion power or more, if the holder is qualified in accordance with STCW Regulation III/4 and Section A-III/4 of the STCW Code, to perform the marine-engineering function at the support level. (i) At the request of the holder of the document, the Officer in Charge, Marine Inspection may add an endorsement to indicate that a qualified holder has received basic safety-training or instruction required under Chapter VI of STCW. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–062, 62 FR 34535, June 26, 1997; USCG-1999–5610, 67 FR 66068, Oct. 30, 2002; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] (a) Each person applying for a merchant mariner's document shall present acceptable proof of identity. Proof of identity shall consist of two current forms of identification, one of which shall contain a photo of the applicant. The Coast Guard may require other identification information reasonably necessary to prove the applicant's identity. (b) The following credentials are acceptable proof of identity: (1) Unexpired U.S. military identification card; (2) Unexpired U.S. driver's license; (3) Unexpired U.S. passport; (4) Unexpired official identification card issued by a federal, State, or local government or by a territory or possession of the U.S. (including a federal employee's identification credential); (5) Unexpired port credential, with photo of the applicant, issued by State or local port authority; (6) Unexpired law enforcement credential, with photo of the applicant; (7) Unexpired merchant mariner's document issued after February 3, 2003; (8) Unexpired foreign passport; or (9) Birth Certificate or Birth Registration, issued by a State, county, municipality or outlying possession of the U.S. [USCG-2003–14500, 69 FR 532, Jan. 6, 2004] (a) Any person making application for a continuous discharge book or a certificate of identification or a merchant mariner's document representing a certificate of identification and claiming to be a citizen of the United States shall present acceptable evidence of such citizenship at the time of making application. No original document shall be issued to any person claiming to be a citizen of the United States until such citizenship is established by acceptable evidence. (b) The OCMI 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) Birth certificate or birth registration; (2) Certificate of naturalization (original must be presented; photocopies are unlawful); (3) Baptismal certificate or parish record recorded within one year after birth; (4) Statement of a practicing physician certifying the physician's attendance at the birth and who possesses a record showing the date and location at which it occurred; (5) State Department passport; (6) A 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.; (7) Delayed certificate of birth issued under a state seal in the absence of any collateral facts indicating fraud in its procurement; or (8) Certificate of Citizenship issued by the US Citizenship and Immigration Services or by the Bureau of Citizenship and Immigration Services; (c) If the applicant can not meet the requirements set forth in paragraphs (b)(1) through (8) of this section, the applicant must make a statement to that effect, and may submit data of the following character for consideration: (1) Report of the Census Bureau showing the earliest available record of age or birth. (2) Affidavits of parents, other relative, or two or more responsible citizens of the U.S. stating citizenship. (3) School records, immigration records, or insurance policies. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended at 60 FR 50460, Sept. 29, 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; USCG-2001–10224, 66 FR 48619, Sept. 21, 2001; USCG-2003–14500, 69 FR 532, Jan. 6, 2004; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] (a) Any alien making application for a continuous discharge book or certificate of identification or merchant mariner's document representing a certificate of identification shall present acceptable evidence of nationality at the time of making application. No original document shall be issued to any alien until nationality is established by acceptable evidence. (b) Any document of an official character showing the country of which the alien is a citizen or subject may be accepted as acceptable evidence of an alien's nationality. The following are examples of such a document: (1) Declaration of intention to become a citizen of the United States made by the alien after 1929. (2) A travel document in the nature of a passport issued by the government of the country of which the alien is a citizen or subject. (3) A certificate issued by the consular representative of the country of which the alien is a citizen or subject. (c) Should any doubt arise as to whether or not the document presented may be considered as acceptable evidence of the alien's nationality, the matter shall be referred to the Commanding Officer, National Maritime Center, for decision. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] Applicants for a merchant mariner's document for any rating shall take an oath before an Officer in Charge, Marine Inspection, or other official authorized to give such oath, or a commissioned officer of the Coast Guard authorized to administer oaths under 10 U.S.C. 936 or 14 U.S.C. 636, that they will faithfully and honestly perform all the duties required of them by law and carry out all lawful orders of superior officers on shipboard. Such an oath remains binding for all subsequent merchant mariner's documents issued to a person until the document is surrendered to the Officer in Charge, Marine Inspection. [CGD 91–211, 59 FR 49300, Sept. 27, 1994] (a) Upon application of a person for a merchant mariner's document, any required examination will be given as soon as practicable. (b) Upon determining that the applicant satisfactorily meets all requirements for the document and any endorsements requested, the Officer in Charge, Marine Inspection, shall issue the appropriate document to the applicant. A merchant mariner's document is valid for a term of 5 years from the date of issuance. Any document which is renewed or reissued prior to its expiration date automatically becomes void upon issuance of the replacement document. (c) When a person applies for a merchant mariner's document, he or she must— (1) Sign the document; and (2) Provide acceptable proof of identity as described in §12.02–12. (d) For recordkeeping purposes, the official identification number is a seaman's social security number. (e) After July 31, 1998, an applicant for a merchant mariner's document who will be serving on a seagoing vessel of 200 GRT or more shall provide a document issued by a qualified medical practitioner attesting the applicant's medical fitness to perform the functions for which the document is issued. (f) An applicant for a certificate of service or efficiency who has been duly examined and refused a certificate by an Officer in Charge, Marine Inspection may come before the same Officer in Charge, Marine Inspection for reexamination at any time after the date of the initial examination. The Officer in Charge, Marine Inspection sets the time of reexamination based on the applicant's performance on the initial examination. However, the maximum waiting period after the initial failure will be 30 days, and the maximum waiting period after a second or subsequent failure will be 90 days. (g) An applicant who has been examined and refused a certificate by an Officer in Charge, Marine Inspection may not make application for examination to any other Officer in Charge, Marine Inspection until 30 days after the applicant's last failure of an examination or reexamination. However, an applicant may apply for examination by another Officer in Charge, Marine Inspection before the expiration of the 30 day period if sanctioned by the Officer in Charge, Marine Inspection who refused the applicant. (h) The mariner shall return the previous MMD when a new MMD is issued. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 72–81R, 37 FR 10834, May 31, 1972; 44 FR 21021, Apr. 9, 1979; CGD 91–211, 59 FR 49300, Sept. 27, 1994; CGD 95–062, 62 FR 34535, June 26, 1997; USCG-2003–14500, 69 FR 532, Jan. 6, 2004] (a) Use table 12.02–18 to determine the fees that you must pay for merchant mariner document activities in this part. (b) Unless otherwise specified in this part, when two documents are processed on the same application— (1) Evaluation fees. If a merchant mariner document transaction is processed on the same application as a license or certificate of registry transaction, only the license or certificate of registry evaluation fee will be charged; (2) Examination fees. If a license examination under part 10 also fulfills the examination requirements in this part for a merchant mariner document, only the fee for the license examination is charged; and (3) Issuance fees. A separate issuance fee will be charged for each document issued. (c) You may pay— (1) All fees required by this section when you submit your application; or (2) A fee for each phase at the following times: (i) An evaluation fee when you submit your application. (ii) An examination fee before you take the first examination section. (iii) An issuance fee before you receive your merchant mariner document. (d) If you take your examination someplace other than a Regional Examination Center (REC), you must pay the examination fee to the REC at least one week before your scheduled examination date. (e) Unless the REC provides additional payment options, your fees may be paid as follows: (1) Your fee payment must be for the exact amount. (2) Make your check or money order payable to the U.S. Coast Guard, and write your social security number on the front of each check or money order. (3) If you pay by mail, you must use either a check or money order. (4) If you pay in person, you may pay with cash, check, or money order at Coast Guard units where Regional Examination Centers are located. (f) The Coast Guard may assess charges for collecting delinquent payments or returned checks. The Coast Guard will not provide documentation services to a mariner who owes money for documentation services previously provided. [USCG-1997–2799, 64 FR 42815, Aug. 5, 1999; 64 FR 53231, Oct. 1, 1999] Any certificate of service or of efficiency or merchant mariner's document representing such certificate(s) is subject to suspension or revocation on the same grounds and in the same manner and with like procedure as is provided in the case of suspension or revocation of licenses of officers under the provisions of 46 U.S.C. Chapter 77. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–028, 62 FR 51196, Sept. 30, 1997] (a) An applicant who has had a certificate or other document revoked and who is applying for certification in the same or any other rating shall state in his application the date of revocation and number or type of the document revoked. (b) No applicant who has had a certificate or other document revoked will be certificated in the same or any other rating except upon approval of the Commanding Officer, National Maritime Center. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] (a) If a seaman loses his continuous discharge book, merchant mariner's document or certificate of discharge by shipwreck or other casualty, he shall be supplied with a reissue of such documents free of charge. The phrase or other casualty as used in this section is interpreted to mean any damage to a ship caused by collision, explosion, tornado, wreck or flooding of the ship, such as a tidal wave or a grounding of the ship on a sand bar, or a beaching of the ship on a shore or by fire or other causes in a category with these mentioned. (b) If a seaman loses a continuous discharge book, merchant mariner's document, or certificate of discharge otherwise than by shipwreck or other casualty and applies for a reissue, the appropriate fee set out in table 12.02–18 in §12.02–18 is required. (c) A person entitled to a duplicate merchant mariner's document, duplicate continuous discharge book, copies of certificates of discharge, or record of sea service may obtain the documents by applying at any Regional Examination Center listed in §12.01–7 by: (1) Completing the application form provided by the Coast Guard; and (2) Paying the fee set out in table 12.02–18 in §12.02–18. (d) Each person issued a document described in §12.02–5, shall report its loss to an Officer in Charge, Marine Inspection. (e) If a merchant mariner's document or service record is lost, the seaman may obtain a duplicate by following the procedures in paragraph (c) of this section and by signing an affidavit, before the OCMI or a designated representative, explaining the loss of the document or service record. The Coast Guard will not process any application for a duplicate merchant mariner's document unless the applicant complies with the requirements of §12.02–9. (f) No application from an alien for a duplicate merchant mariner's document shall be accepted unless the alien complies with the requirements of §12.02–10. (g) The Coast Guard may deny applications for duplicate merchant mariner's documents for any reason listed in §12.02–4. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGFR 71–168, 36 FR 23297, Dec. 8, 1971; CGD 72–81R, 37 FR 10834, May 31, 1972; CGD 91–002, 58 FR 15239, Mar. 19, 1993; USCG-1997–2799, 64 FR 42816, Aug. 5, 1999; USCG-2003–14500, 69 FR 532, Jan. 6, 2004; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] Whenever a mariner loses a continuous discharge book, merchant mariner's document, or certificate of discharge, the mariner shall immediately report the loss to the nearest OCMI. The report shall be made in writing giving the facts incident to its loss. [USCG-2003–14500, 69 FR 532, Jan. 6, 2004] 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] (a) General. Except as provided in paragraph (g) of this section, an applicant for renewal of a merchant mariner's document shall establish possession of all of the necessary qualifications before the document is renewed. The Coast Guard will not process an application until the applicant has submitted a complete application package that complies with the requirements of §12.02–9. A request for a renewed merchant mariner's document may be denied for any reason listed in §12.02–4. (1) Each application for a merchant mariner's document must be made on form CG-719B furnished by the Coast Guard and be accompanied by the evaluation fee (including examination and issuance fees when required) established in Table 12.02–18 of §12.02–18. Each application must contain all necessary proofs of qualifications, identity, and citizenship or nationality. It must be current and up-to-date with respect to service, the physical examination, and all other pertinent matters. (2) The applicant may apply either in person at any Regional Examination Center listed in §12.01–7(a) or by mail under paragraph (e)(3) of this section. (3) Each applicant who elects to renew by mail shall submit the merchant mariner's document with his or her application. If a document is submitted, it will not be returned to the applicant. A photocopy of a merchant mariner's document showing both the front and the back of the document may be submitted in place of the existing document. (4) The expiration date of a merchant mariner's document that was issued without an expiration date is determined in accordance with §12.02–29. (5) Each applicant shall comply with §12.02–09(b)(1) of this part. (b) Fitness. No merchant mariner's document 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 which would render a renewal improper have come to the attention of the Coast Guard. (c) Professional requirements. (1) In order to renew a merchant mariner's document endorsed with a qualified rating, the applicant shall comply with one of the following: (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 required by this part for the applicable endorsement or pass an open-book license exercise that covers the same subject matter required for the MMD endorsement; (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 the endorsement) for at least 3 years during the past 5 years. (2) There are no professional requirements for renewal of a merchant mariner's document that is not endorsed with any qualified ratings. (d) Physical requirements. (1) An applicant for renewal of a merchant mariner's document endorsed with a qualified rating other than lifeboatman, 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 qualified rating(s). This certification must address visual acuity and hearing in addition to general physical condition, and must have been completed within the previous 12 months. (2) If the Officer in Charge, Marine Inspection has reason to believe that an applicant suffers from some physical impairment or medical condition which would render the applicant incompetent to perform the duties of the qualified rating(s) (other than lifeboatman), the applicant may be required to submit the results of an examination by a licensed physician or physician assistant that meets the requirements for originally obtaining the rating(s). (3) An applicant who has lost sight in one eye may renew a merchant mariner's document with qualified ratings, provided the applicant is qualified in all other respects and that the visual acuity in the remaining eye passes the test required in §10.205(d) of this chapter. (e) Special circumstances—(1) Reissuance after expiration, Period of grace. Except as provided in this paragraph, a merchant mariner's document may not be renewed more than 12 months after it has expired. To obtain a reissuance of a merchant mariner's document expired more than 12 months, an applicant shall comply with the requirements of paragraph (f) of this section. When an applicant's merchant mariner's document expires during a time of service with the Armed Forces and there is no reasonable opportunity for renewal, including by mail, this 12-month period of grace may be extended. The period of military service following the date of merchant mariner's document 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 document. A merchant mariner's document, and any endorsements that it contains, are not valid for use after the expiration date. (2) Renewal in advance. A merchant mariner's document may not be renewed more that 12 months before expiration unless it is being renewed in conjunction with a license or certificate of registry which is either due for renewal or being upgraded, or unless the Officer in Charge, Marine Inspection is satisfied that special circumstances exist to justify renewal. (3) Renewal by mail. (i) Applications for renewal of merchant mariner's documents by mail may be sent to any Coast Guard Regional Examination Center. The following documents must be submitted: (A) A completed application and the evaluation fee (including examination and issuance fees when required) established in Table 12.02–18 in §12.02–18. (B) The document to be renewed, or, if it has not expired, a photocopy of it, showing both the front and the back. (C) A copy (both front and back if the credentials are printed on two sides) of two credentials deemed acceptable proofs of identity in §12.02–12, one of which must be a photo identification. (D) A certification from a licensed physician or physician assistant in accordance with paragraph (d) of this section. (E) Evidence of, or acceptable substitute for, sea service in accordance with paragraph (c) of this section. (ii) The open-book exercise, if required, may be administered through the mail. (4) Concurrent renewal of merchant mariner's documents, and licenses, or certificates of registry. 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 tables in §§12.02–18 and 10.109 of this chapter for each merchant mariner's document, license, or certificate of registry being renewed. (5) Each applicant applying for renewal by mail must appear in person at an REC at least one time during the application process to obtain a renewed merchant mariner's document. At that time, the applicant must show the same proofs of identity submitted with the application package as required by paragraph (e)(3)(i)(C) of this section. No other proofs of identity will be accepted. At the time the applicant appears in person at the REC, the applicant shall provide fingerprints in a form and manner specified by the Coast Guard. The applicant shall return the expired or expiring document to the Coast Guard. If the applicant has applied in person, shown the proofs of identity, submitted the expired or expiring document with the application, and provided fingerprints, then the renewed document may be mailed to an address provided by the applicant. (f) Reissuance of expired merchant mariner's documents. (1) Whenever an applicant applies for reissuance of a merchant mariner's document endorsed with qualified rating(s) more than 12 months after expiration, in lieu of the requirements of paragraph (c) of this section the applicant shall demonstrate continued professional knowledge for each qualified rating for which reissuance is sought by completing a course approved for this purpose or, by passing the complete examination for each rating, or by passing the examination for a related license required by §10.209(f)(1) of this chapter. The fees listed in tables in §§12.02–18 and 10.109 apply to these examinations. (2) A merchant mariner's document without any qualified rating endorsements that has been expired more than 12 months shall be reissued in the same manner as a current merchant mariner's document. There are no additional requirements for reissuing merchant mariner's documents without qualified ratings that have been expired more than 12 months. (g) Inactive document renewal. (1) Applicants for renewal of merchant mariner's documents that are endorsed with qualified ratings, who are unwilling or otherwise unable to meet the requirements of paragraphs (c) or (d) of this section may renew the merchant mariner's document, with the following restrictive endorsement placed on the document: “Continuity only; service under document prohibited.” Holders of merchant mariner's documents with this continuity endorsement may have the prohibition rescinded at any time by satisfying the renewal requirements in paragraphs (c) and (d) of this section and §12.02–9(f) of this part. (2) Applications for renewal of a document with the continuity endorsement must include: (i) The document to be renewed, or, if it is unexpired, a photocopy of the document including the back and, (ii) A signed statement from the applicant attesting to an awareness of the restriction to be placed on the renewed document and of the requirements for rescinding the continuity endorsement. [CGD 91–211, 59 FR 49301, Sept. 27, 1994, as amended by CGD 91–223, 60 FR 4525, Jan. 23, 1995; USCG-1997–2799, 64 FR 42816, Aug. 5, 1999; USCG-2003–14500, 69 FR 532, Jan. 6, 2004]
Title 46: Shipping
PART 12—CERTIFICATION OF SEAMEN
Subpart 12.02—General Requirements for Certification
§ 12.02-3 Where documents are issued.
§ 12.02-4 Basis for denial of a merchant mariner's document.
Table 12.02-4(c)_Guidelines for Evaluating Applicants for Merchant Mariner's Documents Who Have Criminal Convictions---------------------------------------------------------------------------------------------------------------- Assessment periods Crime \1\ -------------------------------------------------------------------- Minimum Maximum---------------------------------------------------------------------------------------------------------------- Crimes Against Persons----------------------------------------------------------------------------------------------------------------Homicide (intentional)..................... 7 years.......................... 20 years.Homicide (unintentional)................... 5 years.......................... 10 years.Assault (aggravated)....................... 5 years.......................... 10 years.Assault (simple)........................... 1 year........................... 5 years.Sexual Assault (rape, child molestation)... 5 years.......................... 10 years.Other crimes against persons \2\...........---------------------------------------------------------------------------------------------------------------- Vehicular Crimes----------------------------------------------------------------------------------------------------------------Conviction involving fatality.............. 1 year........................... 5 years.Reckless Driving........................... 1 year........................... 2 years.Racing on the Highway...................... 1 year........................... 2 years.Other vehicular crimes \2\.................---------------------------------------------------------------------------------------------------------------- Crimes Against Public Safety----------------------------------------------------------------------------------------------------------------Destruction of Property.................... 5 years.......................... 10 years.Other crimes against public safety \2\.....---------------------------------------------------------------------------------------------------------------- Crimes Involving National Security----------------------------------------------------------------------------------------------------------------Terrorism, Acts of Sabotage, Espionage and 7 years.......................... 20 years. related offenses.---------------------------------------------------------------------------------------------------------------- Dangerous Drug Offenses \3,4,5\----------------------------------------------------------------------------------------------------------------Trafficking (sale, distribution, transfer). 5 years.......................... 10 years.Dangerous drugs (Use or possession)........ 1 year........................... 10 years.Other dangerous drug convictions \6\.......----------------------------------------------------------------------------------------------------------------\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 are to be reviewed by the Officer in Charge, Marine Inspection 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 (a) of this section. Note: Applicants for reissue of a merchant mariner's document with a new expiration date including a renewal or additional endorsement(s), who have been convicted of a dangerous drug offense while holding a merchant mariner's document, may have their application withheld until appropriate action has been completed by the Officer in Charge, Marine Inspection under the regulations which appear in 46 CFR part 5 governing the administrative actions against merchant mariner credentials.\4\ The OCMI may consider dangerous drug convictions more than 10 years old only if there has been a dangerous drug conviction within the past 10 years.\5\ Applicants must demonstrate rehabilitation under paragraph (e) of this section, including applicants with dangerous drug use convictions more than ten years old.\6\ Other dangerous drug convictions are to be reviewed by the Officer in Charge, Marine Inspection on a case by case basis to determine the appropriate assessment period depending on the nature of the offense.
Table 12.02-4(d)_Guidelines for Evaluating Applicants for Merchant Mariner's Documents Who Have NDR Motor Vehicle Convictions Involving Dangerous Drugs or Alcohol \1\---------------------------------------------------------------------------------------------------------------- No. of convictions Date of conviction Assessment period----------------------------------------------------------------------------------------------------------------1................................ Less than 1 year........................... 1 year from date of conviction.1................................ More than 1, less than 3 years............. 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.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 (a) of this section.\2\ Suspension or revocation, when referred to in table 12.02-4(d), means a State suspension or revocation of a motor vehicle operator's license.
§ 12.02-5 Form in which documents are issued.
§ 12.02-7 When documents are required.
§ 12.02-9 Application for documents.
§ 12.02-10 Applications for documents from aliens.
§ 12.02-11 General provisions respecting merchant mariners' documents.
§ 12.02-12 Identity.
§ 12.02-13 Citizenship requirements.
§ 12.02-14 Nationality of aliens.
§ 12.02-15 Oath requirement.
§ 12.02-17 Preparation and issuance of documents.
§ 12.02-18 Fees.
Table 12.02-18_Fees---------------------------------------------------------------------------------------------------------------- And you need_ -------------------------------------------------------------------------- If you apply for_ Evaluation_Then the fee Examination_Then the Issuance_Then the fee is_ fee is_ is_----------------------------------------------------------------------------------------------------------------Merchant Mariner Document: Original: Without endorsement.......... $95.................... n/a.................... $45. With endorsement............. $95.................... $140................... $45. Endorsement for qualified rating. $95.................... $140................... $45. Upgrade or Raise in Grade........ $95.................... $140................... $45. Renewal without endorsement for $50.................... n/a.................... $45. qualified rating. Renewal with endorsement for $50.................... $45.................... $45. qualified rating. Renewal for continuity purposes.. n/a.................... n/a.................... $45. Reissue, Replacement, and n/a.................... n/a.................... $45.\1\ Duplicate.STCW Certification: Original......................... No fee................. No fee................. No fee. Renewal.......................... No fee................. No fee................. No fee.Other Transactions: Duplicate Continuous Discharge n/a.................... n/a.................... $10. Book. Duplicate record of sea service.. n/a.................... n/a.................... $10. Copy of certificate of discharge. n/a.................... n/a.................... $10.----------------------------------------------------------------------------------------------------------------\1\ Duplicate for document lost as result of marine casualty_No Fee.
§ 12.02-19 Suspension or revocation of documents.
§ 12.02-21 Issuance of documents after revocation.
§ 12.02-23 Issuance of duplicate documents.
§ 12.02-24 Reporting loss of continuous discharge book, merchant mariner's document, or certificate of discharge.
§ 12.02-25 Right of appeal.
§ 12.02-27 Requirements for renewal of a merchant mariner's document.
§ 12.02-29 [Reserved]
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