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National
United States Regulations
46 CFR PART 9—EXTRA COMPENSATION FOR OVERTIME SERVICES



Title 46: Shipping


PART 10—LICENSING OF MARITIME PERSONNEL

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Authority: 14 U.S.C. 633; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, and 2110; 46 U.S.C. chapter 71; 46 U.S.C. 7502, 7505, 7701, and 8906; Executive Order 10173; Department of Homeland Security Delegation No. 0170.1. Section 10.107 is also issued under the authority of 44 U.S.C. 3507.

Source: CGD 81–059, 52 FR 38623, Oct. 16, 1987 (interim) and CGD 81–059, 54 FR 132, Jan. 4, 1989 (final), unless otherwise noted.

Subpart A—General
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§ 10.101 Purpose of regulations.
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(a) The purposes of the regulations in this part are to provide—

(1) A comprehensive means of determining the qualifications an applicant must possess to be eligible for a license as a deck officer, engineer, pilot, radio officer, or radio operator on merchant vessels, or for a license to operate uninspected towing vessels or uninspected passenger vessels, or for a certificate of registry as a staff officer; and

(2) A means of determining that an applicant is competent to serve as a master, chief mate, officer in charge of a navigational watch, chief engineer officer, second engineer officer (first assistant engineer), officer in charge of an engineering watch, designated duty engineer, or radio operator, in accordance with the provisions of the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 (STCW), and other laws, and to receive the appropriate certificate or endorsement as required by STCW.

(b) With few exceptions, these regulations do not specify or restrict licenses to particular types of service such as tankships, freight vessels or passenger vessels. However, all licensed personnel shall become familiar with the relevant characteristics of each vessel prior to assuming their duties. As appropriate, these characteristics include but are not limited to: general arrangement of the vessel; maneuvering characteristics; proper operation of the installed navigation equipment; firefighting and lifesaving equipment; stability and loading characteristics; emergency duties; and main propulsion and auxiliary machinery, including steering gear systems and controls.

(c) The regulations in subpart C of this part prescribe the requirements applicable to—

(1) Each approved training course, if the training course is to be acceptable as a partial substitute for service or for a required examination, or as training required for a particular license or license endorsement; and

(2) All training and assessment associated with meeting the standards of competence established by STCW.

[CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95–062, 62 FR 34528, June 26, 1997]

§ 10.102 Incorporation by reference.
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(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in paragraph (b) of this section, the Coast Guard must publish notice of change in the Federal Register and must ensure that the material is available to the public. All approved material is available for inspection at the U.S. Coast Guard, Office of Operating and Environmental Standards, 2100 Second Street SW., Washington, DC 20593–0001, or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202–741–6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. All material is available from the sources indicated in paragraph (b) of this section.

(b) The material incorporated by reference in this part and the sections affected are as follows: International Maritime Organization (IMO), 4 Albert Embankment, London, SE1 7SR, England. The STCW—International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended (the STCW Convention, or the STCW)—and Seafarers' Training, Certification and Watchkeeping Code (the STCW Code), approved for incorporation by reference in sections 10.103; 10.205; 10.304; 10.603; 10.901; 10.903; 10.1005; and 10.1105 of this part.

[CGD 95–062, 62 FR 34529, June 26, 1997, as amended by USCG-1999–6216, 64 FR 53223, Oct. 1, 1999; USCG-1999–5610, 67 FR 66067, Oct. 30, 2002; USCG-2004–18884, 69 FR 58342, Sept. 30, 2004]

§ 10.103 Definitions of terms used in this part.
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Apprentice mate (steersman) of towing vessels means a mariner qualified to perform watchkeeping on the bridge, aboard a towing vessel, while in training under the direct supervision of a licensed master or mate (pilot) of towing vessels.

Approved means approved by the Coast Guard in accordance with §10.302.

Approved training means training that is approved by the Coast Guard or meets the requirements of §10.309.

Assistant engineer means a qualified officer in the engine department.

Assistance towing means towing a disabled vessel for consideration.

Ballast control operator (BCO) is a licensed officer restricted to service on MODUs. The duties involve the operation of the complex ballast system found on many MODUs. A ballast control operator, when assigned to a MODU, is the equivalent of a conventionally licensed mate.

Barge supervisor (BS) is a licensed officer restricted to service on MODUs. The duties involve support to the OIM in marine related matters including, but not limited to, maintaining watertight integrity, inspecting and maintaining mooring and towing components, and the maintenance of emergency and other marine related equipment. A barge supervisor, when assigned to a MODU is the equivalent of a conventionally licensed mate.

Boatswain means the leading seaman and immediate supervisor of unlicensed deck personnel who supervises the maintenance of deck gear.

Chief engineer means any person responsible for the mechanical propulsion of a vessel and who is the holder of a valid license as chief engineer.

Chief mate means the deck officer next in seniority to the master and upon whom the command of the vessel will fall in the event of the incapacity of the master.

Coast Guard-accepted means that the Coast Guard has officially acknowledged in writing that the material or process at issue meets the applicable requirements; that the Coast Guard has issued an official policy statement listing or describing the material or process as meeting the applicable requirements; or that an entity acting on behalf of the Coast Guard under a Memorandum of Agreement has determined that the material or process meets the applicable requirements.

Conviction means the applicant for a license or certificate of registry has been found guilty by judgment or plea by a court of the United States, the District of Columbia, any State, territory, or possession of the United States, a foreign country, or any military court, of a criminal felony or misdemeanor or of an offense described in section 205 of the National Driver Register Act of 1982, as amended (49 U.S.C. 30304). Conviction of more than one offense at a single trial will be considered to be multiple convictions. If an applicant pleads guilty or no contest, is granted deferred adjudication, or is required by the court to attend classes, make contributions of time or money, receive treatment, submit to any manner of probation or supervision, or forgo appeal of a trial court's conviction, then the applicant will be considered to have received a conviction. A later expunged conviction will not negate the conviction unless it is proved to the Coast Guard that the expungement is based upon a showing that the court's earlier conviction was in error.

Dangerous drug means a narcotic drug, a controlled substance, or a controlled-substance analogue (as defined in section 102 of the Comprehensive Drug Abuse and Control Act of 1970 (21 U.S.C. 802)).

Day means, for the purpose of complying with the service requirements of this part, eight hours of watchstanding or day-working not to include overtime. On vessels where a 12 hour working day is authorized and practiced, such as on a six-on, six-off watch schedule, each work day may be creditable as one and one half days of service. On vessels of less than 100 gross tons, a day is considered as eight hours unless the Officer in Charge, Marine Inspection determines that the vessel's operating schedule makes this criteria inappropriate, in no case will this period be less than four hours.

Designated duty engineer means a qualified engineer, who may be the sole engineer on vessels with a periodically unattended engine room.

Designated examiner means a person who has been trained or instructed in techniques of training or assessment and is otherwise qualified to evaluate whether a candidate for a license, document, or endorsement has achieved the level of competence required to hold the license, document, or endorsement. This person may be designated by the Coast Guard or by a Coast Guard-approved or accepted program of training or assessment. A faculty member employed or instructing in a navigation or engineering course at the U.S. Merchant Marine Academy or at a State maritime academy operated in accordance with regulations in 46 CFR part 310 is qualified to serve as a designated examiner in his or her area(s) of specialization without individual evaluation by the Coast Guard.

Disabled vessel means a vessel that needs assistance, whether docked, moored, anchored, aground, adrift, or under way; but does not mean a barge or any other vessel not regularly operated under its own power.

Employment assigned to is the total period a person is assigned to work on MODUs, including time spent ashore as part of normal crew rotation.

Endorsement means a provision added to a license which alters its scope or application. An example of an endorsement is a tonnage limitation increase within a general tonnage category, a pilot license route addition, or a radar observer qualification.

Evaluation means processing an application, from the point of receipt to approval or rejection of the application, including review of all documents and records submitted with an application as well as those obtained from public records and databases.

Fails a chemical test for dangerous drugs means that the result of a chemical test conducted in accordance with 49 CFR part 40 is reported as “positive” for the presence of dangerous drugs or drug metabolites in an individual's system by a Medical Review Officer in accordance with that part.

First assistant engineer means the engineer officer next in seniority to the chief engineer and upon whom the responsibility for the mechanical propulsion of the vessel will fall in the event of the incapacity of the chief engineer.

Great Lakes means the Great Lakes and their connecting and tributary waters including the Calumet River as far as the Thomas J. O'Brien Lock and Controlling Works (between mile 326 and 327), the Chicago River as far as the east side of the Ashland Avenue Bridge (between mile 321 and 322), and the Saint Lawrence River as far east as the lower exit of Saint Lambert Lock.

Harbor assist means the use of a towing vessel during maneuvers to dock, undock, moor, or unmoor a vessel, or to escort a vessel with limited maneuverability.

Horsepower means, for the purpose of this part, the total maximum continuous shaft horsepower of all the vessel's main propulsion machinery.

Inland Waters means the navigable waters of the United States shoreward of the Boundary Lines as described in 46 CFR part 7, excluding the Great Lakes and, for towing vessels, excluding the Western Rivers. For establishing credit for sea service, the waters of the Inside Passage between Puget Sound and Cape Spencer, Alaska, are inland waters.

Lower level means a category of deck and engineer licenses established for assessment of fees. Lower level licenses are all licenses, other than those defined as upper level, for which the requirements are listed in subparts D, E, and G of this part.

Master means the officer having command of a vessel.

Mate means a qualified officer in the deck department other than the master.

Mobile offshore drilling unit (MODU) means a vessel capable of engaging in drilling operations for the exploration for or exploitation of subsea resources. MODU designs include:

(a) Bottom bearing units which include:

(1) Self-elevating (or jack-up) units with moveable, bottom bearing legs capable of raising the hull above the surface of the sea; and,

(2) Submersible units of ship shape, barge type or novel hull design, other than a self-elevating unit, intended for operating while bottom bearing.

(b) Surface units with a ship shape or barge type displacement hull of single or multiple hull construction intended for operating in a floating condition, including semi-submersibles and drillships.

Month means 30 days, for the purpose of complying with the service requirements of this part.

National Driver Register (NDR) means the nationwide repository of information on drivers maintained by the National Highway Traffic Safety Administration as provided under 49 U.S.C. Chapter 303.

NDR listed convictions means a conviction of any of the following motor vehicle-related offenses or comparable offenses:

(a) Operating a motor vehicle while under the influence of, or impaired by, alcohol or a controlled substance; or

(b) A traffic violation arising in connection with a fatal traffic accident, reckless driving, or racing on the highways.

Near coastal means ocean waters not more than 200 miles offshore.

Oceans means the waters seaward of the Boundary Lines as described in 46 CFR part 7. For the purposes of establishing sea service credit, the waters of the Inside Passage between Puget Sound and Cape Spencer, Alaska, are not considered oceans.

Officer in Charge, Marine Inspection (OCMI) for the purposes of part 10 means the officer or individual so designated at one of the locations of the regional examination centers listed in §10.105.

Offshore installation manager (OIM) is a licensed officer restricted to service on MODUs. An assigned offshore installation manager is equivalent to a conventionally licensed master and is the person designated by the owner or operator to be in complete and ultimate command of the unit.

On location means that a mobile offshore drilling unit is bottom bearing or moored with anchors placed in the drilling configuration.

Operator means an individual licensed to operate certain uninspected vessels.

Orally assisted examination means a license examination as described in subpart I of this part verbally administered and documented by an examiner.

Original license means the first deck, engineer or radio officer license issued to any person by the Coast Guard.

Passes a chemical test for dangerous drugs means the result of a chemical test conducted in accordance with 49 CFR part 40 is reported as “negative” by a Medical Review Officer in accordance with that part.

Pilot of towing vessels means a qualified officer of towing vessels operating only on inland routes.

Practical demonstration means the performance of an activity under the direct observation of a designated examiner for the purpose of establishing that the performer is sufficiently proficient in a practical skill to meet a specified standard of competence or other objective criterion.

Qualified instructor means a person who has been trained or instructed in instructional techniques and is otherwise qualified to provide required training to candidates for licenses, documents, and endorsements. A faculty member employed at a State maritime academy or the U.S. Merchant Marine Academy operated in accordance with 46 CFR part 310 and instructing in a navigation or engineering course is qualified to serve as a qualified instructor in his or her area(s) of specialization without individual evaluation by the Coast Guard.

Raise of grade means an increase in the level of authority and responsibility associated with a license.

Rivers means any river, canal, or other similar body of water designated by the Officer in Charge, Marine Inspection.

Senior company official means the president, vice president, vice president for personnel, personnel director, or similarly titled or responsible individual, or a lower level employee designated in writing by one of the aforementioned for the purpose of certifying employment and whose signature is on file at the REC at which application is made.

Service as when computing the required service for MODU licenses, is the time period, in days, a person is assigned to work on MODUs, excluding time spent ashore as part of crew rotation. A day, for the purposes of this definition, is a minimum of four hours, and no additional credit is received for periods served over eight hours.

Standard of competence means the level of proficiency to be achieved for the proper performance of duties on board vessels in accordance with national and international criteria.

STCW means the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 and 1997 (incorporated by reference in §10.102).

STCW Code means the Seafarer's Training, Certification and Watchkeeping Code.

STCW endorsement means a certificate or endorsement issued in accordance with STCW. An STCW endorsement issued by the Officer in Charge, Marine Inspection (OCMI), will be valid only when accompanied by the appropriate U.S. license or document; and, if the license or document is revoked, then the associated STCW endorsement is no longer valid for any purpose. References to STCW placed on a U.S. license or merchant mariner's document will suffice as STCW endorsements for the mariner serving on a vessel operating exclusively on a domestic voyage (i.e., to and from U.S. ports or places subject to U.S. jurisdiction).

Underway means that a mobile offshore drilling unit is not in an on location or laid up status. Underway includes that period of time when the MODU is deploying or recovering its mooring system.

Undocumented vessel means a vessel not required to have a document issued under the laws of the United States.

Upper level means a category of deck and engineer licenses established for assessment of fees. Upper level licenses are those licenses for which the requirements are listed in §§10.404 to 10.407 of subpart D of this part and §§10.510, 10.512, 10.514, and 10.516 of subpart E of this part.

Western Rivers means the Mississippi River, its tributaries, South Pass, and Southwest Pass, to the navigational demarcation lines dividing the high seas from harbors, rivers, and other inland waters of the United States, and the Port Allen-Morgan City Alternate Route, and that part of the Atchafalaya River above its junction with the Port Allen-Morgan City Alternate Route including the Old River and the Red River, and those waters specified in 33 CFR 89.25.

Year means 360 days, for the purpose of complying with the service requirements of this part.

[CGD 81–059 and CGD 81–059a, 52 FR 38623 and 38666, Oct. 16, 1987, as amended by CGD 87–017, 53 FR 18562, May 24, 1988; CGD 81–059, 54 FR 132, Jan. 4, 1989; CGD 81–059a, 55 FR 14798, Apr. 18, 1990; CGD 91–002, 58 FR 15237, Mar. 19, 1993; CGD 91–223, 60 FR 4524, Jan. 23, 1995; CGD 91–212, 60 FR 65483, Dec. 19, 1995; CGD 95–062, 62 FR 34529, June 26, 1997; USCG–1999–6224, 64 FR 63225, Nov. 19, 1999; USCG 1999–6224, 66 FR 20935, Apr. 26, 2001; USCG–1999–5610, 67 FR 66067, Oct. 30, 2002; USCG–2004–17455, 71 FR 2165, Jan. 13, 2006]

§ 10.105 Applications.
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(a) Applicants for licenses and certificates of registry may apply at the following Coast Guard Regional Examination Centers (RECs):

Boston, MA

New York, NY

Baltimore, MD

Charleston, SC

Miami, FL

New Orleans, LA

Houston, TX

Memphis, TN

St. Louis, MO

Toledo, OH

San Pedro, CA

Oakland, CA

Portland, OR

Seattle, WA

Anchorage, AK

Juneau, AK

Honolulu, HI

(b) A complete application for a license or certificate of registry, whether original, renewal, duplicate, or raise of grade, consists of a written application, all applicable supplementary documents required by this part, fingerprints, and two forms of ID. The written portion of the application may be submitted by mail, fax, or other electronic means. However, no application is complete until the applicant appears in person and is fingerprinted by and provides evidence of his or her identity to a member of the REC staff. If the applicant is simultaneously applying for more than one credential, a single personal appearance and fingerprinting will satisfy this requirement for all pending applications.

(c) Each applicant must present at least two forms of identification to an REC employee as evidence of his or her identity. Expired or otherwise invalid forms may not be used. At least one of the forms of identification must contain the applicant's photograph. Acceptable forms of identification include the following:

(1) U.S. military identification card;

(2)(i) Before May 11, 2008, a U.S. driver's license;

(ii) On or after May 11, 2008, U.S. driver's license issued by a State that meets the standards promulgated pursuant to the REAL ID Act of 2005;

(3) U.S. passport;

(4) Official identification card issued by a State, or local government or by a territory or possession of the U.S. that meets the standards promulgated pursuant to the REAL ID Act of 2005.

(5) Official identification card issued by the Federal Government. This includes a Federal employee's identification credential;

(6) Port credential, with photograph of the applicant, issued by State or local government port authority;

(7) Law enforcement credential, that includes a photograph of the applicant and is issued by a Federal, State, or local government or by a territory or possession of the U.S.;

(8) Merchant mariner's document issued after February 3, 2003;

(9) Foreign passport; or

(10) 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.

[USCG–2004–17455, 71 FR 2165, Jan. 13, 2006]

§ 10.107 Paperwork approval.
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(a) This section lists the control numbers assigned by the Office of Management and Budget under the Paperwork Reduction Act of 1980 (Pub. L. 96–511) for the reporting and record keeping requirements in this part.

(b) The following control numbers have been assigned to the sections indicated:

(1) OMB 1625–0040—46 CFR 10.201, 10.202, 10.205, 10.207, 10.209, 10.470, 10.472, 10.474, 10.542, and 10.544.

(2) OMB 1625–0028—46 CFR 10.302, 10.303, 10.304, 10.480.

(3) OMB 1625–0079—46 CFR 10.304 and 10.309.

[CGD 81–059, 52 FR 38623, 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 95–062, 62 FR 34529, June 26, 1997; USCG-2004–18884, 69 FR 58342, Sept. 30, 2004]

§ 10.109 Fees.
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Use table 10.109 to determine the fees that you must pay for license and certificate of registry activities in this part.


Table 10.109_Fees
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And you need_
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If you apply for_ Evaluation_then the fee Examination_then the Issuance_then the fee
is_ fee is_ is_
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License:
Original:
Upper level................... $100 $110 $45
Lower level................... 100 95 45
Raise of grade.................... 100 45 45
Modification or removal of 50 45 45
limitation or scope.
Endorsement....................... 50 45 45
Renewal........................... 50 45 45
Renewal for continuity purposes... n/a n/a 45
Reissue, Replacement, and Duplicate n/a n/a \1\ 45
Radio Officer License:
Original.......................... 50 n/a 45
Endorsement....................... 50 45 45
Renewal........................... 50 n/a 45
Renewal for continuity purposes n/a n/a 45
Reissue, Replacement, and n/a n/a \1\ 45
Duplicate.
Certificate of Registry:
Original (MMD holder)............. 90 n/a 45
Original (MMD applicant).......... 105 n/a 45
Renewal........................... 50 n/a 45
Renewal for continuity purposes... n/a n/a 45
Endorsement....................... n/a n/a 45
Reissue, Replacement, and n/a n/a \1\ 45
Duplicate.
STCW Certification:
Original.......................... No fee No fee No fee.
Renewal........................... No fee No fee No fee.
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\1\ Duplicate for document lost as result of marine casualty_No Fee.


[USCG-1997–2799, 64 FR 42814, Aug. 5, 1999; 64 FR 53230, Oct. 1, 1999]

§ 10.110 Fee payment procedures.
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(a) 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 license or certificate of registry.

(b) 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.

(c) 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.

(d) Unless otherwise specified in this part, when two or more documents are processed on the same application—

(1) Evaluation fees. If a certificate of registry transaction is processed on the same application as a license transaction, only the license evaluation fee will be charged; and

(2) Issuance fees. A separate issuance fee will be charged for each document issued.

[USCG-1997–2799, 64 FR 42815, Aug. 5, 1999]

§ 10.111 Penalties.
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(a) Anyone who fails to pay a fee or charge established under this subpart is liable to the United States Government for a civil penalty of not more than $5,000 for each violation.

(b) The Coast Guard may assess additional charges to anyone to recover collection and enforcement costs associated with delinquent payments of, or failure to pay, a fee. Coast Guard licensing services may also be withheld from anyone pending payment of outstanding fees owed to the Coast Guard for services already provided by Regional Examination Centers.

[CGD 91–002, 58 FR 15237, Mar. 19, 1993]

§ 10.112 No-fee license for certain applicants.
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(a) For the purpose of this section, a no-fee license applicant is a person who is a volunteer, or part-time or full-time employee of an organization which is:

(1) Charitable in nature;

(2) Not for profit; and

(3) Youth oriented.

(b) An organization may submit a written request to Commanding Officer, U.S. Coast Guard National Maritime Center, 4200 Wilson Boulevard, Suite 630, Arlington, VA 22203–1804 in order to be considered an eligible organization under the criteria set forth in paragraph (a) of this section. With the written request, the organization must provide evidence of its status as a youth oriented, not for profit, charitable organization.

Note: The following organizations are accepted by the Coast Guard as meeting the requirements of paragraph (a) of this section and need not submit evidence of their status: Boy Scouts of America, Sea Explorer Association, Girl Scouts of the United States of America, and Young Men's Christian Association of the United States of America.

(c) A letter from an organization determined eligible under paragraph (b) of this section must also accompany the person's license application to the Coast Guard. The letter must state that the purpose of the person's application is solely to further the conduct of the organization's maritime activities. The applicant then is eligible under this section to obtain a no-fee license if other requirements for the license are met.

(d) A marine license issued to a person under this section is endorsed restricting its use to vessels owned or operated by the sponsoring organization.

(e) The holder of a no-fee license issued under this section may have the restriction removed by paying the appropriate evaluation, examination, and issuance fees that would have otherwise applied.

[CGD 91–002, 58 FR 15238, Mar. 19, 1993, as amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; CGD 96–041, 61 FR 50726, Sept. 27, 1996; CGD 97–057, 62 FR 51042, Sept. 30, 1997; USCG-2001–10224, 66 FR 48619, Sept. 21, 2001]

Subpart B—General Requirements for All Licenses and Certificates of Registry
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§ 10.201 Eligibility for licenses and certificates of registry, general.
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(a) The applicant for a license or certificate of registry, whether original, renewal, duplicate, or raise of grade, must establish to the satisfaction of the Coast Guard that he or she possesses all the qualifications necessary (including but not limited to age, experience, character references and recommendations, physical health, citizenship, approved training, passage of a professional examination, a test for dangerous drugs, and when required by this part, a practical demonstration of skills) before the Coast Guard will issue a license or certificate of registry.

(b) No person who has been convicted of a violation of the dangerous drug laws of the United States, the District of Columbia, any State, territory, or possession of the United States, or a foreign country, by any military or civilian court, is eligible for a license or certificate of registry, except as provided by the provisions of paragraph (h) of this section. No person who has ever been the user of, or addicted to, a dangerous drug, or has ever been convicted of an offense described in section 205 of the National Driver Register Act of 1982, as amended (49 U.S.C. 30304) because of addiction to or abuse of alcohol is eligible for a license or certificate of registry, unless he or she furnishes satisfactory evidence of suitability for service in the merchant marine as provided in paragraph (j) of this section.

(c) Except as provided in §10.467(h) of the part, an applicant for a license must demonstrate an ability to speak and understand English as found in the navigation rules, aids to navigation publications, emergency equipment instructions, machinery instructions, and radiotelephone communications instructions.

(d) An applicant for a license must meet the requirements for recent service specified in §10.202(e).

(e) No license or certificate of registry may be issued to any person who is not a citizen of the United States with the exception of operator of uninspected passenger vessels limited to vessels not documented under the laws of the United States.

(f) Except as specified in this paragraph, no license or certificate of registry may be issued to a person who has not attained the age of 21 years.

(1) A license as master of near coastal, Great Lakes and inland, inland, or river vessels of 25–200 gross tons, third mate, third assistant engineer, mate of vessels of 200–1600 gross tons, ballast control operator, assistant engineer (MODU), assistant engineer of fishing industry vessels, mate (pilot) of towing vessels, radio officer, assistant engineer (limited-oceans), or designated duty engineer of vessels of not more than 4000 horsepower may be granted to an applicant who has reached the age of 19 years.

(2) A license as limited master of near coastal vessels of not more than 100 gross tons, limited master of Great Lakes and inland vessels of not more than 100 gross tons, mate of Great Lakes and inland vessels of 25–200 gross tons, mate of near coastal vessels of 25–200 gross tons, operator of uninspected passenger vessels, or designated duty engineer of vessels of not more than 1,000 horsepower, or apprentice mate (steersman) of towing vessels, may be granted to an applicant, otherwise qualified, who has reached the age of 18 years.

(g) Persons serving or intending to serve in the merchant marine service are recommended to take the earliest opportunity of ascertaining, through examination, whether their visual acuity, and color vision where required, are such as to qualify them for service in that profession. Any physical impairment or medical condition which would render an applicant incompetent to perform the ordinary duties of an officer at sea is cause for denial of a license.

(h) Criminal record review. The Coast Guard will review the criminal record of an applicant before the issuance of a license or certificate of registry. An applicant conducting simultaneous transactions for merchant mariner's credentials will undergo only one criminal record check. Applicants must provide written disclosure of all prior convictions at the time of application.

(1) The Coast Guard will use the fingerprints submitted pursuant to §10.105(b) to obtain a criminal record report. An applicant's criminal record report may be used to determine that an applicant's character and habits of life are such that the applicant cannot be entrusted with the duties and responsibilities of the license or certificate of registry. Should such a determination be made, the application may be disapproved. If an application is disapproved, the Coast Guard will advise the applicant in writing that the reconsideration and appeal procedures in subpart 1.03 of this chapter apply and will, in appropriate circumstances, notify the applicant of the reason(s) for disapproval. The Coast Guard will not administer a written examination until final agency action has been made on the applicant's appeal.

(2) The OCMI may use table 10.201(h) to evaluate applicants for licenses and certificates of registry 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 OCMI 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 OCMI. 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 10.201(h) and table 10.201(i) based upon the applicant's convictions; the maximum assessment period will be the longest shown in table 10.201(h) and table 10.201(i) based upon the applicant's convictions.

(4) If a person with a criminal conviction applies for a license or certificate of registry before the minimum assessment period shown in table 10.201(h), or established by the OCMI under paragraph (h)(2) of this section has elapsed, then the applicant must provide 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 (j) of this section. The OCMI will consider the applicant's evidence and may issue the license or certificate of registry in less than the listed minimum assessment period if the OCMI is satisfied that the applicant is suitable to hold the license or certificate of registry for which he or she has applied. If an applicant does not provide evidence of suitability for service in the merchant marine, then the application will be considered incomplete and will not be processed by the OCMI.

(5) If a person with a criminal conviction applies for a license or certificate of registry during the time between the minimum and maximum assessment periods shown in table 10.201(h) or established by the OCMI under paragraph (h)(2) of this section, the OCMI will consider the conviction and, unless there are offsetting factors, may grant the applicant the license or certificate of registry for which he or she has applied. Offsetting factors include 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 OCMI considers the applicant unsuitable for service in the merchant marine at the time of application, the OCMI will disapprove the application.

(6) If a person with a criminal conviction applies for a license or certificate of registry after the maximum assessment period shown in table 10.201(h) or established by the OCMI under paragraph (h)(2) of this section has elapsed, then the OCMI will grant the applicant the license or certificate of registry for which he or she has applied unless the OCMI has reason to believe the applicant is still unsuitable for service in the merchant marine. If the OCMI disapproves an application based upon a conviction older than the maximum assessment period, the OCMI will notify the applicant in writing of the reason(s) for the disapproval. The OCMI will also inform the applicant, in writing, that the reconsideration and appeal procedures contained in §1.03 of this chapter apply.


Table 10.201(h)_Guidelines for Evaluating Applicants for Licenses and Certificates of Registry 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.
Robbery.................................... 5 years.......................... 10 years.
Other crimes against persons \2\...........
----------------------------------------------------------------------------------------------------------------
Crimes Against Property
----------------------------------------------------------------------------------------------------------------
Burglary................................... 3 years.......................... 10 years.
Larceny (embezzlement)..................... 3 years.......................... 5 years.
Other crimes against property \2\..........
----------------------------------------------------------------------------------------------------------------
Vehicular Crimes
----------------------------------------------------------------------------------------------------------------
Conviction involving fatality.............. 1 year........................... 5 years.
Reckless Driving........................... 1 year........................... 2 years.
Racing on the Highways..................... 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.
----------------------------------------------------------------------------------------------------------------
Criminal Violations of Environmental Laws
----------------------------------------------------------------------------------------------------------------
Criminal violations of environmental laws 1 year........................... 10 years.
involving improper handling of pollutants
or hazardous materials.
----------------------------------------------------------------------------------------------------------------
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 attempt, solicitation, aiding and abetting, accessory after the fact, and conspiracy 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 OCMI to determine the minimum and maximum assessment periods
depending on the nature of the crime.
\3\ Applicable only to original applications for licenses or CORs. 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.
Note: Applicants for reissue of a license or COR with a new expiration date including a renewal or a raise of
grade, who have been convicted of a dangerous drug offense while holding a license or COR, may have their
applications withheld until appropriate action has been completed by the OCMI under the regulations which
appear in 46 CFR part 5 governing 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 (j) 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 periods depending on the nature of the offense.


(i) National Driver Register. A license or certificate of registry will not be issued as an original 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 OCMI 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 OCMI may determine minimum and maximum assessment periods for NDR listed criminal convictions using table 10.201(h). 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 OCMI to determine that the applicant cannot be entrusted with the duties and responsibilities of the license or certificate of registry for which the application is made. If an application is disapproved, the OCMI will notify the applicant in writing of the reason(s) for disapproval and advise the application that the appeal procedures in §1.03 of this chapter apply. No examination will be given pending decision on appeal.

(2) Prior to disapproving an application because of information received from the NDR, the OCMI will make the information available to the applicant for review and written comment. The applicant may submit records from the applicable State concerning driving record and convictions to the Coast 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 10.201(i) will be used by the OCMI in evaluating applicants for licenses and certificates of registry who have drug or alcohol related NDR listed convictions. Non-drug or alcohol related NDR listed convictions will be evaluated by the OCMI under table 10.201(h) 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.


Table 10.201(i)_Guidelines for Evaluating Applicants for Licenses and Certificates of Registry 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) mayjeopardize merchant mariner (continued)