[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Proposed Rules]
[Pages 13796-13803]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7455]
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DEPARTMENT OF TRANSPORTATION
Coast Guard
46 CFR Part 14
[CGD 94-004]
RIN 2115-AE72
Electronic Records of Shipping Articles and Certificates of
Discharge
AGENCY: Coast Guard, DOT.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Coast Guard proposes to revise the way that information on
the ``engagement'' (shipment) and discharge of merchant mariners is
maintained and submitted and to accomplish editorial and other, slight
changes throughout its governing rules. The revision is due to
statutory amendments directing, in effect, that ship-operating
companies (``shipping companies'') maintain shipping articles and
certificates of discharge and that they electronically submit the
information from them. Nevertheless, it should reduce by about 70
percent the companies' burden of preparing articles and certificates,
should reduce proportionately the number of personnel manually entering
data and manually filing documents for the Coast Guard, and is in
keeping with the Administration's Reinventing Government initiatives.
DATES: Comments must be received on or before May 28, 1996.
ADDRESSES: Comments may be mailed to the Executive Secretary, Marine
Safety Council (G-LRA, 3406) [CGD 94-004], U.S. Coast Guard
Headquarters, 2100 Second Street SW, Washington, DC 20593-0001, or may
be delivered to room 3406 at the same address between 8 a.m. and 3
p.m., Monday through Friday, except Federal holidays. The telephone
number is (202) 267-1477.
The Executive Secretary maintains the public docket for this
rulemaking. Comments will become part of this docket and will be
available for inspection or copying at room 3406, U.S. Coast Guard
Headquarters, between 8 a.m. and 3 p.m., Monday through Friday, except
Federal holidays.
FOR FURTHER INFORMATION CONTACT: Mrs. Justine Bunnell, Marine Personnel
Division, National Maritime Center, (703) 235-1951.
SUPPLEMENTARY INFORMATION
Request for Comments
The Coast Guard encourages interested persons to participate in
this rulemaking by submitting written data, views, or arguments.
Persons submitting comments should include their names addresses,
identify this rulemaking [CGD 94-004] and the specific section of this
proposal to which each comment applies, and give the reason for each
comment. Please submit two copies of all comments and attachments in an
unbound format, no larger than 8\1/2\ by 11 inches, suitable for
copying and electronic filing. Persons wanting acknowledgment of
receipt of comments should enclose stamped, self-addressed postcards or
envelopes.
The Coast Guard will consider all comments received during the
comment period. It may change this proposed rule in view of the
comments.
The Coast Guard plans no public hearing. A person may lodge a
request for a public hearing by writing to the Marine Safety Council at
the address under ADDRESSES. The request should include the reasons why
a hearing would be beneficial. If it determines that the opportunity
for oral presentations will aid this rulemaking, the Coast Guard will
hold a public hearing at a
[[Page 13797]]
time and place announced by a later notice in the Federal Register.
Background and Purpose
In 1937 the Coast Guard became custodian of the program for
protection of merchant mariners (``mariners''). To ensure that mariners
are employed of their own will, that they are properly paid for their
service, and that their time in service is properly documented, they
and the masters or other persons in charge of their vessels, or these
persons' representatives, sign contracts, know as shipping articles
(``articles''). (From this point forward in the preamble, ``masters''
will stand for all of those persons other than mariners.)
The content and form, respectively, of articles for foreign and
intercoastal voyages appear at 46 U.S.C., Sec. Sec. 10302 and 10303,
and 10304; the content of articles for coastwise voyages appears at 46
U.S.C. 10502, even as the form of these articles remains unspecified by
statute; both the content and form of articles for voyages on the Great
Lakes remain unspecified by statute. (Articles consist of three parts:
(1) features of the voyage and of several reciprocal duties, clear down
the caloric value of food served to each mariner daily; (2) particulars
of engagement; and (3) particulars of discharge.) From 1937 usages or
practices regarding articles have changed little. The same has been
true regarding certificates of discharge.
When reporting for a foreign or intercoastal voyage--or for a
coastwise voyage (including a voyage on the Great Lakes) aboard a
vessel of 50 gross tons or more--the mariner presents to the master a
valid merchant mariner's document (``MMD'') listing the mariner's
qualifications. The master reviews the MMD, verifies the mariner's
qualifications, and enters the information in the particulars of
engagement (part 2 of the articles), then the master and the mariner
sign the articles in the appropriate places.
When finishing a foreign or intercoastal voyage, the master enters
the mariner's wages and date of discharge in the particulars of
discharge (part 3 of the articles), then the master and the mariner
sign the articles in the other appropriate places. The master completes
the certificate of discharge in the appropriate place, then the master
and the mariner sign it in the appropriate place. (The certificate
indicates the mariner's name and identification number, the dates and
places of shipment and discharge, the name and official number of the
vessel, and the name of the shipping company.) If the mariner holds a
continuous discharge book, the master also completes and signs it in
the appropriate place. The master ensures that the entries in the
continuous discharge book (if held), on the certificate, and in the two
particulars are proper, corresponding entries.
The mariner keeps the continuous discharge book (if held). The
mariner get the original of the certificate of discharge.
When leaving the vessel before the end of the voyage, the mariner
closes out the contract otherwise. He or she and the master sign a
``mutual agreement'' as well as the particulars of discharge; the
master notes in these particulars that the reason for the mariner's
leaving is mutual agreement. The master completes and signs a
certificate of discharge, then the mariner signs it. If the mariner
holds a continuous discharge book, the master completes and signs it.
At the end of the voyage, after all mariners have signed the
particulars of discharge and received their certificates of discharge,
the shipping company sends the articles and signed copies of the
certificates to the Coast Guard. The Coast Guard reviews the articles
and certificates to ensure that they are complete and accurate. Next,
it manually enters the data off the certificates into its own sea-
service database and manually files the certificates in the mariners'
records. Last, it manually files the articles (alphabetically, by name
of vessel).
These usages or practices have prevailed for two generations. On
December 20, 1993, however, Congress enacted Public Law 103-206, the
Coast Guard Authorization Act for 1994. Title IV, Sec. 411, of that Act
added 46 U.S.C., sub-Secs. 10302(d) and 10502(e), each to read in full:
The owner, charterer, managing operator, master, or individual
in charge shall maintain the shipping agreement [``articles''] and
make [them] available to the [mariner].
It added 46 U.S.C. 10320 to read in full:
The Secretary shall prescribe regulations requiring vessel
owners to maintain records of [mariners] on matters of engagement,
discharge, and service. A vessel owner shall make these records
available to the [mariner] and the Coast Guard on request.
It added 46 U.S.C., Sec. 10502(f), to read the same, except that it
substituted ``shipping companies'' for ``vessel owners'':
The Secretary shall prescribe regulations requiring shipping
companies to maintain records of [mariners] on matters of
engagement, discharge, and service. The shipping companies shall
make these records available to the [mariner] and the Coast Guard on
request.
It also raised the penalties in 46 U.S.C., Secs. 10321(a) and
10508(b), from $500.00 to $5,000.00 for violating any provision of
these chapters or regulations prescribed under these chapters.
The Coast Guard had proposed the legislation because of budgetary
constraints leading to cuts in its workforce and of the advent of
computerization. Shipping companies will now be responsible for keeping
articles and signed copies of certificates of discharge. They will
still be free to submit them traditionally--but will now be free to
submit just the data from them electronically. Either way, the Coast
Guard will now maintain its sea-service database electronically. The
companies may develop their own software, use off-the-shelf software,
or obtain software developed by the Coast Guard, to generate articles
and certificates from existing records of personnel. Whichever of these
three courses a particular company follows, the Coast Guard will
provide standards that ensure compatibility for the electronic transfer
of data from the company's system to the Coast Guard's sea-service
database.
The primary purposes of this rule are to standardize the format of
articles (for all voyages that require them), to eliminate redundant
forms such as masters' reports of mariners shipped or discharged, to
authorize persons acting as masters to initiate and sign articles and
certificates of discharge, to confer on shipping companies the legal
and practical ability to transfer sea-service data electronically to
the Coast Guard, and in general to lighten recordkeeping and shift much
of what little remains onto the companies. The secondary purposes of
this rule are to publish new statutory penalties and to remove gender-
based language. A welcome effect of it would be to clarify 46 CFR Part
14.
Discussion of Proposed Rule
There would persist four separate subparts. But they would present
a logical flow of work, from the format of the articles to the
transmittal and storage of finished articles and certificates of
discharge.
New Subpart A (current Subpart 14.01)--General--would contain only
the purposes of the rule, several addresses of the Coast Guard, and
general doctrine on the disclosure and privacy of information held by
the Coast Guard. It would remit treatment of shipping articles into new
Subpart B.
New Subpart B (current Subpart 14.05)--Shipment of Merchant
Mariners--would cover all voyages
[[Page 13798]]
requiring or electing articles rather than only foreign and
intercoastal voyages.
New Sec. 14.201, Voyages upon which shipping articles are required
(current Secs. 14.01-5 and 14.05-10(c), (d), and (e)) would state which
voyages must have articles; abolish reference to the Master's Report of
Seamen Shipped or Discharged, Form CG-735T, which is an obsolete form;
and eliminate gender-based language. By abolishing reference to this
form, Sec. 14.213 would remove a non-statutory authority and would
standardize articles on all voyages requiring them.
New Sec. 14.203, Voyages upon which shipping articles are not
required (current Secs. 14.01-7 and 14.05-10(a)(1) through (5)), would
contain only editorial changes.
New Sec. 14.205, Production of credentials by merchant mariner
signing shipping articles (current Sec. 14.05-5), would eliminate
gender-based language.
New Sec. 14.207, Content and form of shipping articles (current
Sec. 14.05-1), would contain mainly editorial changes, but would
elaborate the entries required in articles.
New Sec. 14.209, Preparation of shipping articles at beginning of
voyage (current Sec. 14.05-3), would clarify that an individual other
than the master may be in charge of the vessel and would require that
the shipping company prepare a signed original, a signed copy, and an
unsigned copy of them.
New Sec. 14.211, Posting of copy of shipping articles (current
Sec. 14.05-2), would abolish reference to the Forecastle Card, Form CG-
704.
New Sec. 14.213, Report of shipment of merchant mariner (current
Sec. 14.05-10), would still treat the shipment of mariners but no
longer their discharge and would abolish reference to the Master's
Report of Seamen Shipped or Discharged, Form CG-735T, which is an
obsolete form. By abolishing reference to this form, Sec. 14.213 would
comply with the statutory command, among others, to standardize
articles on all voyages requiring them.
New Subpart C (current Subpart 14.10)--Discharge of Merchant
Mariners--would cover discharges on all voyages requiring them.
New Sec. 14.301, Paying off of merchant mariner during or after
voyage upon which shipping articles are required (current Sec. 14.05-
7), would eliminate gender-based language.
New Sec. 14.303, Discharge of fit merchant mariner in foreign port
(current Sec. 14.10-10), would eliminate gender-based language.
New Sec. 14.305, Discharge of incapacitated merchant mariner in
foreign port (current Sec. 14.10-20), would shorten and tighten the
current treatment as well as would eliminate gender-based language.
New Sec. 14.307, Entries in continuous discharge book, (current
Sec. 14.10-1), would abolish reference to the Record of Entry in
Continuous Discharge Book, Form CG-718E, which is an obsolete form.
New Sec. 14.309, Entries on certificate of discharge (current
Sec. 14.10-5), would require the shipping company to maintain copies of
certificates of discharge as well as would eliminate gender-based
language.
New Sec. 14.311, Entries in shipping articles at end of voyage
(current Sec. 14.05-15), would clarify the current contents as well as
would eliminate gender-based language.
New Sec. 14.313, Report of discharge of merchant mariner (current
Sec. 14.05-10), would perpetuate only the portion of the current
section pertaining to the discharge of mariners and would authorize the
electronic transmission of data to the Coast Guard.
New Sec. 14.315, Storage of shipping articles and of certificates
of discharge (current Sec. 14.05-15), would guide shipping companies in
the storage of articles and of certificates of discharge and establish
procedures for when companies merge or go out of business.
Current Subpart 14.15--Disclosure of Information Regarding
Shipments and Discharges of Merchant Mariners--would vanish as a
distinct subpart. Its one section would become new Sec. 14.105.
New Subpart D (current Subpart 14.20)--Oceanographic-Research
Vessels--would, of course, govern oceanographic-research vessels.
New Sec. 14.401, General (current Sec. 14.20-1), would correct
statutory cites as well as would eliminate gender-based language.
New Sec. 14.403, Exemptions (current Sec. 14.20-10), would correct
statutory cites as well as would eliminate gender-based language.
New Sec. 14.405, Procedures (current Sec. 14.20-5), would contain
only editorial changes.
New Sec. 14.407, Reports (current Sec. 14.20-15), would abolish
reference to the Master's Report of Seamen Shipped or Discharged, Form
CG-735T, which is an obsolete form, as well as would eliminate gender-
based language.
Regulatory Evaluation
This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866 and would not require an
assessment of potential costs and benefits under section 6(a)(3) of
that Order. It has not been reviewed by the Office of Management and
Budget (OMB) under that Order. It is not significant under the
regulatory policies and procedures of the Department of Transportation
(DOT) [44 FR 11040 (February 26, 1979)]. Its economic impact would be
so minimal, the Coast Guard expects, that a full Regulatory Evaluation
under paragraph 10e of the regulatory policies and procedures of DOT is
unnecessary.
Many shipping companies, for their own purposes and convenience,
already maintain electronic records of employment, from which they can
generate both articles and certificates of discharge. Until now they
have had to generate both by writing or typing. Now they will be able
to print both, when required, from the computer; transmit the data off
the certificates directly to the Coast Guard, using the software
developed by the Coast Guard if not software developed by themselves or
bought off the shelf; and still provide original certificates to their
mariners. Upgrades or enhancements to the software, and long-term
support for it, may cost them $250 a year. But initial issue of it, and
first-year support of it, will cost them nothing. And this new way of
doing business will save them time, effort, and money--about $1 million
a year. [Since most of these benefits accrue through new reductions of
paperwork, the detailed account of them appears under Collection of
Information, below.]
Small Entities
Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], the
Coast Guard must consider whether this proposed rule, if adopted, would
have a significant economic impact on a substantial number of small
entities. ``Small entities'' may include (1) small businesses and not-
for-profit organizations that are independently owned and operated and
are not dominant in their fields and (2) governmental jurisdictions
with populations of less than 50,000,
Smaller shipping companies may lack the equipment necessary to
prepare articles and certificates of discharge and to transmit the data
from the certificates to the Coast Guard, electronically. But the Coast
Guard would continue to accept copies of the certificates from these
companies, by mail: They would not need to buy computers. This would
let the Coast Guard maintain an accurate sea-service database receiving
data from all companies required to submit them, by mail if not
electronically.
Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that the
rule, if adopted, would not have a significant
[[Page 13799]]
economic impact on a substantial number of small entities. If, however,
you think that your business or organization qualifies as a small
entity and that the rule would have a significant economic impact on
it, please submit a comment (see ADDRESS) explaining why you think it
qualifies and in what way and to what degree this rule would
economically affect it.
Collection of Information
Under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.], OMB
reviews each proposed rule that contains a collection-of-information
requirement, to determine whether the practical value of the
information would be worth the burden imposed by its collection.
Collection-of-information requirements include reporting,
recordkeeping, notification, and other, similar requirements.
This proposed rule contains collection-of-information requirements
in the following sections: 14.207, 14.209, 14.213, 14.301, 14.303,
14.305, 14.307, 14.309, 14.311, 14.313, 14.315, 14,405, and 14.407. The
following particulars apply:
DOT No: 2115.
OMB Control Nos: 2115-0015 and 2115-0042.
Administration: U.S. Coast Guard.
Title: Electronic Records of Shipping Articles and Certificates of
Discharge.
Need for Information: To protect merchant mariners by ensuring that
records of their employment, wages, and next of kin are accurate and
are available for their review.
Proposed Use of Information: To promote safety aboard domestic
merchant vessels by ensuring that merchant mariners qualify by training
and service for original or upgraded credentials; to maintain sea-
service data toward retirement benefits; and to furnish those data in
the many cases litigated over collisions, injuries, or asbestosis
Forms
Current
The regulated community--shipping companies and mariners--would be
free to forgo the use of each of these records, in whole or in its
current form: Forecastle Card, CG-704; Shipping Articles, CG-705A;
Certificate of Discharge, CG-718A; Record of Entry, CG-718E; Continuous
Discharge Book, CG-719A; and (although OMB did not renew authority for
its use after February 1995) Master's Report of Seamen Shipped or
Discharged, CG-735T.
Proposed
The regulated community would still have to deal with all of the
data contained in these records, in some form: Shipping Articles, CG-
705A; and Certificate of Discharge, CG-718A.
Respondents: The chief regulatory impact would fall on the medium
and large shipping companies because they operate most of the vessels
required to execute articles and certificates of discharge. They would
continue to prepare, issue, and keep files of articles and of copies of
certificates. They would make these files accessible to the Coast Guard
and mariners upon request and would send--voyage by voyage, for the
sea-service database of the Coast Guard--either copies of certificates,
as they do now, though without articles, or data transmitted
electronically from these files.
Frequency of Response: Articles and copies of certificates of
discharges have been due after each voyage. Articles and certificates
would still have to be prepared for each voyage. Data from certificates
would still have to reach the Coast Guard after each voyage. But now
these data could move by wire rather than by mail; no forms would need
move, unless shipping companies chose not to avail themselves of the
benefits of this proposed rule, until after a lag of ten years. The
number and length of voyages depend on the companies.
Estimate of Total Burden:
Current
The master of each vessel prepares, by hand, large, antiquated
articles and certificates of discharge. The shipping companies send
these records to the Coast Guard. The Coast Guard enters, by hand, sea-
service data into its database, and files originals of articles
(alphabetically, by names of vessels) and copies of certificates in
individual mariners' records. It leaves the copies in the records. But,
after three years, it transfers articles to the Federal Records Center
at Suitland, Maryland, which stores them for sixty years. And, after
three years of inactivity, it transfers the records themselves to that
Center, which again, stores them for sixty years.
Proposed
The master of each vessel would still prepare articles and
certificates of discharge. The shipping company would retain the option
of his or her preparing both forms manually and sending copies of
certificates to the Coast Guard for entry into its sea-service
database. But it would gain that of his or her preparing both forms
electronically--on software developed by themselves or the Coast Guard,
or bought from stock--and of transmitting the data from certificates
electronically to the Coast Guard. The Coast Guard would maintain the
record of sea service in its database for six years after the mariner's
last activity--such as taking out an upgraded, renewed, modified, or
duplicate license or MMD, or sailing--and then transfer its record, in
whatever electronic form, to the Center.
The burden would decrease greatly for companies that already had,
or that obtained, the capability of preparing articles and certificates
electronically from their current records of employment. (They would no
longer collect data more than once and could collect them however they
chose.) It would decrease considerably even for companies lacking this
capability. They would, while their masters continued preparing
articles and certificates manually, need only to send copies of
certificates to the Coast Guard voyage by voyage; even they would not
need to send articles to the Coast Guard voyage by voyage. So both the
cost of sending articles oftener than once a year and the cost of
sending them at all during the first ten years would be eliminated for
all companies: All would maintain files of articles and of copies of
certificates for ten years; then they would send the articles to the
Coast Guard, which would prepare the articles for storage at the
Federal Records Center, and the shipping companies would destroy their
copies of certificates, since the Coast Guard would hold the record in
its database. The added burden on these would take the forms of
allotting more storage space in their offices to maintain the articles
for ten years and of, about one work week for one person per company
per year after the first ten years, both packing the articles to send
to the Coast Guard for further storage and destroying their copies of
discharges. The Coast Guard invites comments on the size of this added
burden (or of any other burden, whether or not anticipated here).
Average Burden-Hours for Each Respondent: Each year, shipping
companies prepare about 8,000 articles with accompanying certificates
of discharge; this costs them almost $1.43 million. Each year
hereafter, they would still prepare about 8,000 articles with
accompanying certificates; but this would cost them just about $0.43
million. The reason is the efficiency that this rule would bring. For
each voyage, masters need about 2.5 hours to prepare the articles with
accompanying certificates and send them. For each voyage hereafter,
those able to file electronically would need about 0.5
[[Page 13800]]
hour to prepare the documents and 0.25 hour to file the data from them.
The burden-hours would diminish by just about 70 percent.
Savings
For Respondents
The average salary for the staff to prepare the articles and
certificates of discharge is $50 an hour. That staff could save 20,000
hours a year, though the exact figure would depend on two variables:
the numbers and kinds of vessels and voyages; and the offsetting
burden, in the eleventh and later years, of purging ten-year-old copies
of certificates and packing and sending ten-year-old articles. The
Coast Guard invites comments on the sizes of these two variables.
For Coast Guard
The Coast Guard would save in three ways: (1) on its own personnel,
(2) on its contractors' personnel, and (3) on storage-space. (1)
Although some shipping companies may continue to submit paper copies of
certificates of discharge requiring the Coast Guard to continue
entering data from some records, the Coast Guard would save 950 hours
or $20,000 a year on its own personnel. (2) The Coast Guard has
eliminated 10 ``positions'' and saved 19,000 hours and has lost
$460,000 a year from its budget to support contractors' personnel. And
(3) the Coast Guard would need 15 or 20 fewer cubic feet of storage-
space a year over the next 15 years and so would save $7,500--at $500 a
year over those years--on storage-space.
OMB has approved these requirements on paperwork under a separate
submittal pursuant the Paperwork Reduction Act [44 U.S.C. 3501 et
seq.]. Persons submitting comments on the requirements should submit
their comments both to OMB and to the Coast Guard where indicated under
ADDRESS.
Federalism
The Coast Guard has analyzed this proposed rule under the
principles and criteria contained in Executive Order 12612 and has
determined that the rule would not have sufficient implications for
federalism to warrant the preparation of a Federalism Assessment.
Environment
The Coast Guard has considered the environmental impact of this
proposed rule and concluded that, under paragraph 2.B.2 of Commandant
Instruction M16475.1B, the rule is categorically excluded from further
environmental documentation. Subparagraphs 2.B.2.e.(34) (a) and (c) of
that Instruction exclude, respectively, regulations that are editorial
or procedural and those that concern maritime personnel. A
Determination of Categorical Exclusion is available in the docket for
inspection or copying where indicated under ADDRESS.
List of Subjects in 46 CFR Part 14
Oceanographic research vessels, Reporting and recordkeeping
requirements, Seamen [Merchant mariners].
For the reasons set out in the preamble, the Coast Guard proposes
to revise 46 CFR Part 14 to read as follows:
PART 14--SHIPMENT AND DISCHARGE OF MERCHANT MARINERS
Subpart A--General
14.101 Purpose of part.
14.103 Addresses of Coast Guard.
14.105 Disclosure and privacy.
Subpart B--Shipment of Merchant Mariners
14.201 Voyages upon which shipping articles are required.
14.203 Voyages upon which shipping articles are not required.
14.205 Production of credentials by merchant mariner signing
shipping articles.
14.207 Content and form of shipping articles.
14.209 Preparation of shipping articles at beginning of voyage.
14.211 Posting of copy of shipping articles.
14.213 Report of shipment of merchant mariner.
Subpart C--Discharge of Merchant Mariners
14.301 Paying off of merchant mariner during or after voyage upon
which shipping articles are required.
14.303 Discharge of merchant mariner in foreign port.
14.305 Discharge of merchant mariner in foreign port with
appearance before consul.
14.307 Entries in continuous discharge book.
14.309 Entries on certificate of discharge.
14.311 Entries in shipping articles at end of voyage.
14.313 Report of discharge of merchant mariner.
14.315 Storage of shipping articles and of certificates of
discharge.
Subpart D--Oceanographic-Research Vessels
14.401 General.
14.403 Exemptions.
14.405 Procedures.
14.407 Reports.
Authority: 5 U.S.C. 552; 46 U.S.C. Chapters 103 and 105.
Subpart A--General
Sec. 14.101 Purpose of part.
Part 14 prescribes rules for the shipment and discharge of merchant
mariners aboard certain vessels of the United States.
Sec. 14.103 Addresses of Coast Guard.
(a) By mail: National Maritime Center (NMC-4A), U.S. Coast Guard,
Suite 510, 4200 Wilson Boulevard, Arlington, VA 22203-1804
(b) By facsimile: 703-235-1062
Sec. 14.105 Disclosure and privacy.
The Coast Guard makes information available to the public in
accordance with 49 CFR Part 7, including Appendix B.
Subpart B--Shipment of Merchant Mariners
Sec. 14.201 Voyages upon which shipping articles are required.
(a) Before proceeding either upon a foreign, intercoastal, or
coastwise voyage (including a voyage on the Great Lakes) listed in
paragraph (b) of this section or with the engagement or replacement of
a merchant mariner for such a voyage, each master or individual in
charge of a vessel of the United States shall execute shipping articles
however prepared, manually or electronically. The master or individual
in charge and each mariner engaged or replaced shall sign the the
articles.
(b) Except as provided by Sec. 14.203 of this part, articles are
required upon each voyage by a vessel of the United States--
(1) Of 100 tons or more, from a port in the United States to any
foreign port other than a port in--
(i) Canada;
(ii) Mexico; or
(iii) The West Indies;
(2) Of 75 gross tons or more, between a port of the United States
on the Atlantic Ocean and a port of the United States on the Pacific
Coast; or
(3) Of 50 gross tons or more, between a port in one State and a
port in another State other than an adjoining State.
Sec. 14.203 Voyages upon which shipping articles are not required.
Although they may be used for the voyage, shipping articles are not
required for any voyage by--
(a) A yacht;
(b) A vessel engaged exclusively in fishing or whaling;
(c) A vessel aboard which the merchant mariners are by custom or
agreement entitled to participate in the profits or results of a cruise
or voyage;
[[Page 13801]]
(d) A vessel employed exclusively in trade on the navigable rivers
of the United States;
(e) A ferry, or a tug used in ferrying, if the vessel is employed
exclusively in trade on the Great Lakes, other lakes, bays, sounds,
bayous, canals, or harbors; or
(f) An unrigged vessel other than a seagoing barge.
Sec. 14.205 Production of credentials by merchant mariner signing
shipping articles.
On engagement for a voyage upon which shipping articles are
required, each merchant mariner shall present to the master or
individual in charge of the vessel every document, certificate, or
license required by law for the service the mariner would perform.
Sec. 14.207 Content and form of shipping articles.
(a) (1) The content and form of shipping articles for each vessel
of the United States of 100 gross tons or more upon a foreign or
intercoastal voyage must conform to 46 U.S.C., Secs. 10302, 10303,
10304, and 10305. The articles must identify the nature of the voyage
and specify at least the name, the number of the license or merchant
mariner's document, the capacity of service, the time due on board to
begin work, and the name and address of the next of kin of, and the
wages due to, each merchant mariner, either who was discharged or whose
services were otherwise terminated during the month.
(2) The content and form of articles for each such vessel upon a
coastwise voyage (including a voyage on the Great Lakes) must conform
to 46 U.S.C. 10502. The articles must specify at least the matter
identified by paragraph (a)(1) of this section, except that they must
not specify the wages due to the mariner.
(b) Any shipping company that manually prepares the articles may,
upon request, obtain Shipping Articles, Form CG-705A, from any Officer
in Charge, Marine Inspection (OCMI), of the Coast Guard.
(c) Any company that electronically prepares the articles may, upon
request submitted to either address in Sec. 14.103, obtain a copy of
software developed by the Coast Guard to produce articles in the proper
format. Alternatively, a company may develop its own software or buy it
off the shelf; but, in either of these cases, it must secure approval
of the software from the National Maritime Center at either address in
Sec. 14.103 of this part.
Sec. 14.209 Preparation of shipping articles at beginning of voyage.
Each master or individual in charge of a vessel when shipping
articles are required shall prepare an original and two copies of the
articles. The original and one copy must be signed by the master or
individual in charge and by each merchant mariner under his or her
command; but the second copy must not be signed by any of them.
Sec. 14.211 Posting of copy of shipping articles.
On commencement of a foreign, intercoastal, or coastwise voyage
(including a voyage on the Great Lakes), each master or individual in
charge of a vessel when shipping articles are required shall ensure
that a legible copy of the articles, unsigned, is posted at a place
accessible to the crew.
Sec. 14.213 Report of shipment of merchant mariner.
(a) When a vessel of the United States sails upon a foreign,
intercoastal, or coastwise voyage (excluding a voyage on the Great
Lakes), each master or individual in charge shall, at the commencement
of the voyage, send one copy of shipping articles, signed by himself or
herself and by each merchant mariner under his or her command, to the
owner, charterer, or managing operator. He or she shall keep the
original throughout the voyage and enter in it all changes made to the
crew during the voyage.
(b)(1) When a vessel of the United States sails exclusively on the
Great Lakes, each master or individual in charge shall, at the
commencement of the season, or once the vessel is put into service,
whichever occurs earlier, send one copy of articles, signed by himself
or herself and by each mariner under his or her command, to the owner,
charterer, or managing operator.
(2) The master or individual in charge shall send supplementary
particulars of engagement covering each mariner engaged during the
month, signed by himself or herself and by each mariner under his or
her command, to the owner, charterer, or managing operator.
(3) The master or individual in charge shall, at the close of the
season, or once the vessel is withdrawn from service, whichever occurs
later, send articles, signed by himself or herself and by each mariner
under his or her command, to the owner, charterer, or managing
operator.
(c) When a vessel of the United States sails exclusively on bays or
sounds, each master or individual in charge shall, on the last day of
each calendar month, send articles, signed by himself or herself and by
each mariner under his or her command, to the owner, charterer, or
managing operator.
(d) Any person who fails to comply with the requirements of this
section is subject to a civil penalty of $5,000.
Subpart C--Discharge of Merchant Mariners
Sec. 14.301 Paying off of merchant mariner during or after voyage upon
which shipping articles are required.
Each master or individual in charge of a vessel when shipping
articles are required shall complete and sign, and each merchant
mariner paid off during or after such a voyage shall sign, the articles
and otherwise comply with the requirements of this subpart. When signed
by the master or individual in charge and by the mariner, the articles
constitute a release from the duties to which they bound their parties.
Sec. 14.303 Discharge of merchant mariner in foreign port.
Except as provided by Sec. 14.305 of this part, in a foreign port
where a United States consul or his or her representative (``consul'')
is available, each master or individual in charge of a vessel from
which a merchant mariner is being discharged in that port and each
mariner being discharged in that port shall sign the shipping articles
and the certificate of discharge in the presence of the consul.
Sec. 14.305 Discharge of merchant mariner in foreign port without
appearance before consul.
(a) In a foreign port where a United States consul or his or her
representative (``consul'') is available, the consul may waive the
appearance before the consul of--
(1) Any master or individual in charge of a vessel, if the consul
finds that he or she cannot accompany the merchant mariner to the
consul without placing the crew, the vessel, or the cargo at risk by
his or her absence; or
(2) Any mariner being discharged in that port, if the consul find
that the mariner cannot accompany the master or individual in charge to
the consul without placing himself or herself at risk.
(b) If the consul waives the personal appearance of either the
master or individual in charge or the mariner, the master or individual
in charge shall, as the case may be, send or give the consul--
(1) A written statement showing the name and official number of the
vessel, the name of the shipping company, and the type of voyage; the
name, the social-security number, the capacity of service, the date and
place of engagement, and the date and place of discharge of the
mariner; and the reasons why the
[[Page 13802]]
mariner is being discharged and why, as the case may be, the master or
individual in charge or the mariner cannot appear before the consul;
(2) An account of the wages due the mariner; and
(3) Either the funds to pay the wages or the commitment of the
company to pay.
(c) If the consul deems the statement, the account, and the funds
or the commitment satisfactory, the consul may discharge the mariner as
if both the master or individual in charge and the mariner had appeared
before him or her.
(d) If the consul deems the statement, the account, or the funds or
the commitment unsatisfactory, the consul may decline to discharge the
mariner--and may order the return of him or her to the vessel at the
expense of the vessel, so long as the return will cause no harm to the
mariner, the crew, the vessel, or the cargo.
(e) When an incapacitated merchant mariner cannot sign the shipping
articles, the certificate of discharge, or any other form (including a
Mutual Release, Form CG-713A) on leaving the vessel, the master or
individual in charge of the vessel shall complete the master's part of
the form and place the form with the mariner.
Sec. 14.307 Entries in continuous discharge book.
If a merchant mariner holds a continuous discharge book, the master
or individual in charge of the vessel shall make the proper entries in
it.
Sec. 14.309 Entries on certificate of discharge.
(a) Each master or individual in charge of a vessel shall, for each
merchant mariner being discharged from the vessel, prepare a
certificate of discharge and two copies--whether by writing or typing
them on the prescribed form with permanent ink or generating them from
computer in the prescribed format--and shall sign them with permanent
ink.
(b) Each mariner being discharged shall sign the certificate and
both copies with permanent ink.
(c) When the mariner leaves the vessel, the master or individual in
charge shall give the certificate to the mariner.
(d) Except as directed by Sec. 14.315 of this part, the shipping
company shall keep both copies of the certificate.
Sec. 14.311 Entries in shipping articles at end of voyage.
(a) At the end of each voyage upon which shipping articles are
required, the master or individual in charge of the vessel shall--
(1) Complete the articles, conforming the pertinent entries in them
to those on the certificate of discharge and its copies;
(2) Note in the articles the execution of each Mutual Release;
(3) Attach to the articles each Mutual Release and a copy of each
certificate; and
(4) Pay to each merchant mariner all wages due.
(b) When he or she is paid off, each mariner shall sign the
articles.
Sec. 14.313 Report of discharge of merchant mariner.
At the end of each foreign, intercoastal, or coastwise voyage by a
vessel of the United States, or of each voyage by such a vessel that
sails exclusively on bays or sounds (or by such a vessel at the close
of the season on the Great Lakes, or once the vessel is withdrawn from
service there, whichever occurs later), the shipping company shall
either--
(a) Send a copy of each certificate of discharge to the address in
paragraph 14.103(a) of this part; or
(b) Electronically transmit the data that go onto the certificates,
in proper format, via disk to the address in Sec. 14.103(a) of this
part, via modem to an electronic address which the shipping company may
request from the National Maritime Center or via internet.
Sec. 14.315 Storage of shipping articles and of certificates of
discharge.
(a) Each shipping company shall keep all original shipping articles
and copies of all certificates of discharge for ten years. The Coast
Guard will dispose of copies of certificates submitted manually, once
the data are entered into its sea-service database and are validated.
(b) Each shipping company that goes out of business or merges with
another company shall send all original articles to the address in
paragraph 14.103(a) of this part within 30 days of the transaction.
Subpart D--Oceanographic-Research Vessels
Sec. 14.401 General.
Unless otherwise provided by Title 46, U.S.C., by any amending or
supplementing that Title, or by this subpart, that Title--as far as it
governs the employment of merchant mariners--remains, and any act
amending or supplementing that Title becomes, applicable to
oceanographic-research vessels.
Sec. 14.403 Exemptions.
(a) Certain requirements of Title 46, U.S.C., do not apply to the
employment of merchant mariners on oceanographic-research vessels.
These requirements are those concerned with, among other things, the
shipment and discharge of mariners, their pay and allotments, and the
adequacy of their clothing. 46 U.S.C. 2113(2) allows exemptions of
oceanographic-research vessels from certain requirements of Part B, C,
F, or G of Subtitle II of Title 46 U.S.C., upon such terms as the
Secretary deems suitable. The exemptions available under this subpart
are subject to the terms specified below:
(1) No use of any exemption relieves the owner, charterer, managing
operator, master, or individual in charge of the vessel of other
statutory responsibilities for the protection of every mariner under
his or her command.
(2) If it is presented at a reasonable time and in a reasonable
manner, the master or individual in charge shall receive, consider, and
appropriately address the legitimate complaint of any mariner.
(b) For any oceanographic-research vessel sailing with any mariner
employed by any firm, association, corporation, or educational or
governmental body or agency, the Commandant may grant exemptions from
Title 46, U.S.C.:
(1) Section 10301, Application.
(2) Section 10302, Shipping articles (for foreign and intercoastal
voyages).
(3) Section 10307, Posting of articles.
(4) Section 10308, Foreign engagements.
(5) Section 10311, Certificates of discharge.
(6) Sections 10313 & 10504, Wages.
(7) Sections 10314 & 10505, Advances.
(8) Section 10315. Allotments.
(9) Sections 10316 & 10506, Trusts.
(10) Sections 10321 & 10508, General penalties.
(11) Section 10502, Shipping articles (for coastwise voyages).
(12) Section 10509, Penalty for failure to begin coastwise voyages.
Sec. 14.405 Procedures.
(a) Upon written request by the owner, charterer, managing
operator, master, or individual in charge of the vessel to the OCMI of
the Coast Guard in whose zone the vessel is located, the Commandant may
grant an exemption of any oceanographic-research vessel designated by
46 U.S.C. 2113(2) from any requirement of any section listed by
paragraph 14.403(b) of this part.
(b) The request must state--
(1) Any requirement of any section listed by paragraph 14.403(b) of
this part from which the applicant wishes an exemption; and
(2) What business-practices regarding, among other things, the
shipment and
[[Page 13803]]
discharge of merchant mariners, their pay and allotments, and the
adequacy of their clothing would justify the exemption.
(c) The OCMI will forward the request, along with his or her
recommendation, to the Commandant, who will determine whether to grant
any exemption of any vessel from any requirement. The OCMI will issue a
letter indicating any exemption granted. The master or individual in
charge of the vessel shall keep the letter aboard the vessel.
(d) If operating conditions change, the owner, charterer, managing
operator, master, or individual in charge of the vessel shall so advise
the OCMI. The OCMI will forward pertinent information on how the
conditions have changed, along with his or her recommendation, to the
Commandant, who will determine whether any exemption should remain
granted.
Sec. 14.407 Reports.
(a) The owner, charterer, managing operator, master, or individual
in charge of each oceanographic-research vessel of 100 gross tons or
more shall maintain a record of the employment, discharge, or
termination of service of every merchant mariner in the crew. At least
every six months, the person maintaining this record shall transmit it
to the Coast Guard--either manually, in the form of a copy of a
certificate of discharge, or electronically.
(b) The owner, charterer, managing operator, master, or individual
in charge of the vessel shall keep original shipping articles and a
copy of each certificate ready for review by the Coast Guard or the
concerned mariner upon request. (After the effective date of this rule,
the Coast Guard will no longer keep either original articles or copies
of certificates; it will keep only electronic records of employment.)
(c) The master or individual in charge of the vessel shall ensure
that every entry made in the articles agrees with the corresponding
entry made in a continuous discharge book, on a certificate, or in any
other proof of sea service furnished to the mariner.
(d) Each oceanogrpahic company shall keep all original articles and
copies of all certificates for ten years. After then each such company
shall send all articles to the address in paragraph 14.103(a) of this
part.
(e) Each oceanographic company that goes out of business or merges
with another company shall send all original articles to the address in
paragraph 14.103(a) of this part, within 30 days of the transaction.
Dated: March 21, 1996.
J.C. Card,
Rear Admiral, U.S. Coast Guard, Chief, Office of Marine Safety,
Security and Environmental Protection.
[FR Doc. 96-7455 Filed 3-27-96; 8:45 am]
BILLING CODE 4910-14-M
