46 CFR 11.1005: Employer application requirements for recognition certificates

Last reviewed: October 14, 2026

This section sets out what an employer must submit to the Coast Guard for an applicant's "Certificate attesting recognition." It requires disciplinary action and background check reports, annual updates, copies of credentials and identification, and service records once a certificate is issued. The employer is subject to civil penalties for violations.

Applies toEmployers who submit an application for a "Certificate attesting recognition" on behalf of an applicant.

What it says

  1. The employer must submit a signed report of all material disciplinary actions related to the applicant, with an explanation of the criteria the employer used to decide materiality.

    46 CFR 11.1005(a)(1)“A signed report that contains all material disciplinary actions related to the applicant, such as, but not limited to, violence or assault, theft, drug and alcohol policy violations, and sexual harassment”

  2. The employer must submit a signed report on an employer-conducted background check, which must include a statement that the applicant successfully underwent the check, a description of the check, and all information derived from it.

    46 CFR 11.1005(a)(2)“A signed report regarding an employer-conducted background check. The report must contain—”

  3. If a certificate is issued, the employer must keep a detailed record of the seafarer's total service on all authorized U.S.-flagged vessels and must make it available to the Coast Guard upon request.

    46 CFR 11.1005(b)“the employer must maintain a detailed record of the seafarer's total service on all authorized U.S.-flagged vessels, and must make that information available to the Coast Guard upon request.”

  4. The employer must also submit an annual material disciplinary actions report that updates whether there have been any new material disciplinary actions since the last report.

    46 CFR 11.1005(c)“the employer must submit an annual material disciplinary actions report to update whether there have been any material disciplinary actions related to the applicant since the last material disciplinary actions report was submitted to the Coast Guard.”

  5. The employer must submit the applicant's copy of the base credential and other documentary evidence of proficiency, including any necessary official English translation.

    46 CFR 11.1005(d)(1)“The documentation must include any necessary official translation into the English language.”

  6. The employer must submit the applicant's copy of a valid medical certificate and a valid identification document, such as a passport or Seafarer's Identity Document (SID).

    46 CFR 11.1005(d)(3)“Valid identification document, such as a passport or Seafarer's Identity Document (SID).”

  7. The employer is subject to the civil penalty provisions in 46 U.S.C. 8103(f) for any violation of this section.

    46 CFR 11.1005(e)“The employer is subject to the civil penalty provisions specified in 46 U.S.C. 8103(f) for any violation of this section.”

Common questions

What reports must an employer submit with a Certificate attesting recognition application?

The employer must submit a signed material disciplinary actions report and a signed report on an employer-conducted background check. Both go to the Coast Guard as part of the application.

“A signed report regarding an employer-conducted background check. The report must contain—”

How often must the employer update the disciplinary actions report?

The employer must submit an annual material disciplinary actions report. It updates whether there have been any material disciplinary actions since the last report.

“the employer must submit an annual material disciplinary actions report to update whether there have been any material disciplinary actions related to the applicant since the last material disciplinary actions report was submitted to the Coast Guard.”

What service records must the employer keep after a certificate is issued?

The employer must keep a detailed record of the seafarer's total service on all authorized U.S.-flagged vessels. It must make that information available to the Coast Guard upon request.

“the employer must maintain a detailed record of the seafarer's total service on all authorized U.S.-flagged vessels, and must make that information available to the Coast Guard upon request.”

What is the penalty for an employer violating this section?

The employer is subject to the civil penalty provisions specified in 46 U.S.C. 8103(f) for any violation of this section.

“The employer is subject to the civil penalty provisions specified in 46 U.S.C. 8103(f) for any violation of this section.”

The text of 46 CFR 11.1005

Electronic Code of Federal Regulations (eCFR), current as of October 1, 2026 · Read it on eCFR

Employer application requirements

Link to an amendment published at 91 FR 60883, Sept. 25, 2026.

(a) The employer must submit the following to the Coast Guard, as a part of the applicant's application for a “Certificate attesting recognition,” on behalf of the applicant:

(1) A signed report that contains all material disciplinary actions related to the applicant, such as, but not limited to, violence or assault, theft, drug and alcohol policy violations, and sexual harassment, along with an explanation of the criteria used by the employer to determine the materiality of those actions.

(2) A signed report regarding an employer-conducted background check. The report must contain—

(i) A statement that the applicant has successfully undergone an employer-conducted background check;

(ii) A description of the employer-conducted background check; and

(iii) All information derived from the employer-conducted background check.

(b) If a “Certificate attesting recognition” is issued to the applicant, the employer must maintain a detailed record of the seafarer's total service on all authorized U.S.-flagged vessels, and must make that information available to the Coast Guard upon request.

(c) In addition to the initial material disciplinary actions report and the initial employer-conducted background check specified in paragraph (a) of this section, the employer must submit an annual material disciplinary actions report to update whether there have been any material disciplinary actions related to the applicant since the last material disciplinary actions report was submitted to the Coast Guard.

(d) The employer must also submit to the Coast Guard the applicant's copy of the following:

(1) Base credential (certificate of competency), as well as any other documentary evidence of proficiency (such as Basic Training in accordance with § 11.302 of this part, Basic/Advanced Firefighting in accordance with § 11.303 of this part, Survival Craft, etc.) to verify that the applicant meets the manning requirements. The documentation must include any necessary official translation into the English language.

(2) Valid medical certificate.

(3) Valid identification document, such as a passport or Seafarer's Identity Document (SID).

(e) The employer is subject to the civil penalty provisions specified in 46 U.S.C. 8103(f) for any violation of this section.

Sections it refers to

The plain-English explanation on this page was written with AI from the regulation text above and checked automatically before publishing: every quote appears in the text, every number comes from it, and a second model confirmed each statement adds nothing the text doesn't say. Regulation text current as of October 1, 2026. The regulation text governs. RegKnot is not affiliated with the U.S. Coast Guard.