[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