[Federal Register Volume 61, Number 214 (Monday, November 4, 1996)]
[Rules and Regulations]
[Pages 56632-56639]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-28082]
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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: Final rule.
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[[Page 56633]]
SUMMARY: Consistent with the President's Regulatory Reinvention
Initiative, the Coast Guard is revising the way that information on the
engagement (shipment) and discharge of merchant mariners is maintained
and submitted. The Coast Guard is also making editorial and other minor
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 be able to submit the
information, electronically, to the Coast Guard. The rule should reduce
approximately 70 percent of the ship-operating companies burden of
preparing articles and certificates, and should reduce proportionately
the number of personnel manually entering data and manually filing
documents for the Coast Guard.
EFFECTIVE DATE: January 3, 1997.
ADDRESSES: Unless otherwise indicated, documents referred to in this
preamble are available for inspection or copying at the office of the
Executive Secretary, Marine Safety Council (G-LRA/3406) [CGD 94-004],
U.S. Coast Guard Headquarters, 2100 Second Street SW., room 3406,
Washington, DC 20593-0001, between 9:30 a.m. and 2 p.m., Monday through
Friday, except Federal holidays. The telephone number is (202) 267-
1477.
FOR FURTHER INFORMATION CONTACT: Mrs. Justine Bunnell, Marine Personnel
Division (NMC-4A), U.S. Coast Guard National Maritime Center, (703)
235-1951.
SUPPLEMENTARY INFORMATION:
Regulatory History
On March 28, 1996, the Coast Guard published a notice of proposed
rulemaking entitled Electronic Records of Shipping Articles and
Certificates of Discharge in Federal Register (61 FR 13796). The Coast
Guard received 12 letters commenting on the proposal. No public meeting
was requested, and none was held.
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, known 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 of articles for foreign and intercoastal
voyages appear in 46 U.S.C. 10302, 10303, and 10304. The content of
articles for coastwise voyages appears in 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. The articles consist of three parts: (1) features of the
voyage and of several reciprocal duties, clear down to the caloric
value of food served to each mariner daily; (2) particulars of
engagement; and (3) particulars of discharge. Since 1937, usages or
practices regarding articles have changed little. The same has been
true regarding certificates of discharge.
When reporting for a foreign, 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
for 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 gets the original copy of the certificate of discharge.
When leaving the vessel before the end of the voyage, the mariner
closes out the contract otherwise. The mariner 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, Congress enacted the Coast Guard Authorization Act
for 1994 [Pub. L. 103-206]. Title IV, 411, of that Act added 46 U.S.C.
10302(d) and 10502(e), each to read as follows:
The owner, charterer, managing operator, master, or individual
in charge shall maintain the shipping agreement [``articles''] and
make [them] available to the [mariner].
The act added 46 U.S.C. 10320 to read as follows:
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.
The Act also added 46 U.S.C. 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.
The Act also raised the penalties in 46 U.S.C. 10321(a) and
10508(b), from $500 to $5,000 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
[[Page 56634]]
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), eliminate redundant forms
such as masters' reports of mariners shipped or discharged, authorize
persons acting as masters to initiate and sign articles and
certificates of discharge, 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. The secondary
purposes of this rule are to publish new statutory penalties, to remove
gender-based language, and to clarify 46 CFR part 14.
Discussion of Comments and Changes
The Coast Guard received twelve responses to the Notice of Proposed
Rulemaking. There were nine responses in support of the rulemaking with
some corrections and minor changes to the written regulations. There
were three responses that did not support the rulemaking.
The comment suggested that we add a statement to Sec. 14.211,
indicating that the next of kin information should not be included in
the posted copy of the shipping articles. The Coast Guard agrees with
this change and has incorporated the change in the regulations.
One comment suggested that in Sec. 14.313, the report need not be
sent more frequently than once per calendar month. The Coast Guard
understands that some coastwise voyages, including those on the Great
Lakes, are very short duration and would decrease the master's work if
the information was transmitted on a monthly basis versus and voyage by
voyage basis. The Coast Guard has changed the regulations to permit
manual submission once per calendar month. Note: Sec. 14.313 will be
14.311 in the final rule.
Three comments were received concerning Secs. 14.303 and 14.305.
Section 14.303 is revised to reflect the master's requirement to make
the appropriate entries on the ships articles and consular's
obligations, as specified in 46 U.S.C. 10318, to discharge a seaman
upon request. Section 14.305 has been deleted.
One comment requested that we consider alternative methods of data
transfer such as E-mail. Due to the sensitivity of the records and
security issues, E-mail is not a viable alternative at this time.
The Coast Guard received five comments concerning the retention
period that the shipping companies retain certificates of discharge and
originals of shipping articles. Several comments requested the period
be reduced to 3 years and one comment suggested no retention by
shipping companies. Although the statutory change and this rulemaking
require process changes by the companies, based on correspondence and
conversations with shipping company personnel and masters of vessels,
the Coast Guard feels that the burden on the companies will be minimal.
However, the Coast Guard will reduce the retention period to 3 years.
The record of service will be maintained by the Coast Guard
electronically, for 6 years after the last transaction, and will be
archived and available for retrieval for 60 years.
One comment suggested that Sec. 14.313 which authorizes the use of
electronic transmission is misleading and that electronic data
transmission will eventually be required. The Coast Guard is not
requiring shipping companies to submit data electronically.
One comment disagreed with the Coast Guard analysis regarding the
cost savings. The comment suggested that any savings is not a result of
new rules, but a product of technology. The comment writers assessment
is correct since much of the savings is a product of technology;
however, if we do not allow the use of technology by changing the
existing rules, there will be no savings.
One comment expressed the concern that access to and retrieval of
needed historical information will be sorely compromised to the
department of the mariner who needs to retrieve information if a
centralized database is not maintained by the Coast Guard. The Coast
Guard will maintain the existing paper copies of shipping articles and
certificates of discharge. A centralized database created in 1981,
contains historical data from 1937 to the present, and will continue to
be maintained. One comment suggested that the Coast Guard change the
Mariner's Employment Information System (MEIS) to make the program
useful rather than a burden to the shipping companies. The Coast Guard
is continuing to work with the shipping companies, masters, and union
representatives to insure that MEIS is a helpful tool, not a burden to
the companies.
One comment recommended that the Coast Guard take this opportunity
to allow use of individual articles. The Coast Guard must have a
statutory change to allow individual articles, thus, we cannot address
this suggestion in this rulemaking.
One comment suggested that the supplemental submission period be
extended to at least 60 days. The Coast Guard will change
Sec. 14.213(b)(2), to extend the supplemental submission period to 60
days.
One comment recommended that the Coast Guard harmonize coastwise
and foreign/intercoastal article formats using a format similar to
coastwise articles. Section 14.207 provides for the use of form CG-705A
for coastwise, foreign, intercoastal, and Great Lake voyages.
One comment suggested that all vessels under 1600 gross tons no
longer be required to prepare certificates of discharge since masters/
companies have difficulty obtaining the forms, that Congress make it
illegal to withhold written sea service information, and that the Coast
Guard discontinue collecting paperwork. Since all of these points
require statutory changes, the Coast Guard will not address them in
this rulemaking.
One comment urged the Coast Guard to ensure that they maintain
adequate and reliable electronic sea-service database backup files in
the event of a system breakdown, compromise, fire, or any other
misfortune. The Coast Guard has an extensive Disaster Recovery Plan in
place which addresses issues such as proper backups, off-site storage
for backup tapes, and other security issues to insure that complete and
adequate records are available.
The comment also recommended that the regulation include specific
provisions that both shipping articles and certificates of discharge be
available from the shipping company to the mariner upon request. The
mariner may also obtain a printout of their sea service time from the
Coast Guard.
One comment expressed concern that Sec. 14.103 does not provide an
electronic address. This electronic address was not included because
the Coast Guard does not have this information currently available.
One comment requested the definition of an ``unrigged vessel.''
``Unrigged vessel'' refers to a class of vessel no longer categorized,
consequently the term is obsolete and removed. The reference to
seagoing barges is moved to Sec. 14.201.
[[Page 56635]]
One comment suggested that in Sec. 14.207 the Coast Guard use
``approved'' off-the-shelf software for the shipping articles/
certificates of discharge versus obtaining approval on a case by case
basis. Due to the current security needs of the Coast Guard, companies
must receive approval individually.
One comment indicated that bays and sounds would be exempt under
Sec. 14.201(b)(3) since they are in either adjoining states or one
state. This is not true in all cases, i.e., Chesapeake Bay from a port
in Virginia to a port in Delaware, not same or adjoining States. Also,
Secs. 14.201 (2) and (3) were further clarified to eliminate confusion
as to their meaning.
One comment requested a prescribed format for a certificate of
discharge detailed in Sec. 14.309(a). The Coast Guard agrees that a
prescribed format in the rule would be beneficial to the public;
therefore, they have added the prescribed format to Sec. 14.307(a) in
the final rule.
One comment requested the elimination of gender-based language in
Sec. 14.311(b). The Coast Guard agrees and made the change in the rule
(now Sec. 14.309(b) in the final rule).
One comment objected to rewriting of regulations to ``eliminate
gender-based language.'' The regulations were not rewritten to
``eliminate gender-based language,'' but were rewritten to reflect
statutory changes.
One comment interpreted Sec. 14.207 to allow articles in any form
as long as the content complies with 46 U.S.C. 10502, which ignores
requirements of U.S. Customs. The format in form CG-705A, which is
approved, meets the needs of U.S. Customs and conforms to 46 U.S.C.
10502, as well as 46 U.S.C. 10302, 10303, 10304, and 10305. One comment
indicated that the Coast Guard is unrealistic when they propose that
shipping companies maintain original sets of articles and other
documentation and then expect those items to be sent to the Coast Guard
when the companies go out of business. The commenter writer wanted to
know what penalties would then be levied upon whom. The company that
holds the records will be held responsible for sending the records to
the Coast Guard for storage. As stated in 46 U.S.C. 10321, they would
be liable for a civil penalty of not more than $5,000.
One comment also stated that the Coast Guard incorrectly perceives
that this regulation will reduce the workload on the ship's crew. Based
on the Coast Guard's information, this rule will reduce the workload on
most of the ships' crews.
Regulatory Evaluation
This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866 and will 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)]. The Coast Guard expects the economic impact of
this rule to be so minimal, 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 enhancement to the software developed by the
Coast Guard, 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. This new way of doing business will save them time, effort,
and money, about $1 million a year.
Small Entities
Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], the
Coast Guard must consider whether this final rule, will 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 will continue to accept copies of the certificates, by mail, and
manually enter data into the database. Shipping companies will not need
to buy computers. This will 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
this rule will not have a significant economic impact on a substantial
number of small entities.
Federalism
The Coast Guard has analyzed this rule under the principles and
criteria contained in Executive Order 12612 and has determined that
this rule will does not have sufficient federalism implications to
warrant the preparation of a Federalism Assessment.
Environment
The Coast Guard considered the environmental impact of this rule
and concluded the environmental impact of this rule and concluded that,
under paragraph 2.B.2 of Commandant Instruction M16475.1B, this 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 ``Categorical Exclusion
Determination'' is available in the docket for inspection or copying
where indicated under ADDRESSES.
Collection of Information
Under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.], the
Office of Management and Budget (OMB) review each 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 rule contains collection-of-information requirements in the
following sections: 14.207, 14.209, 14.211, 14.213, 14.301, 14.303,
14.305, 14.307, 14.309, 14.311, 14.405, and 14.407. The following
particulars apply:
DOT No: 2115.
OMB Control No.: 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
[[Page 56636]]
credentials; to maintain sea-service data toward retirement benefits;
and to furnish those data in the many cases litigated over collisions,
injuries, or asbestosis.
Frequency of Response: Articles and copies of certificates of
discharge 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 move,
unless shipping companies chose not to avail themselves of the benefits
of this rule, until after a lag of 3 years. The number and length of
voyages depend on the companies.
Burden Estimate: The master of each vessel currently 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. After 3 years, it transfers articles to the Federal
Records Center in Suitland, Maryland, which stores them for 60 years.
After 3 years of inactivity, it transfers the records themselves to
that Center, which, again, stores them for 60 years.
In this final rule, 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 6 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 3 years would be eliminated for
all companies. All would maintain files of articles and of copies of
certificates for 3 years; then they would send the articles to the
Coast Guard, which would prepare the articles for storage at that
Federal Records Center, and the shipping companies would destroy their
copies of certificates, since the Coast Guard would hold the record in
it's database. The added burden on these would take the forms of
allotting more storage space in their offices to maintain the articles
for 3 years and of, about one work week for one person per company per
year after the first 3 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).
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.
Form(s): The regulated community of 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; and
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.
In this final rule, 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.
Average Burden Hours per 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 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 fourth and later years, of purging 3-year-old copies of
certificates and packing and sending 3-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. 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. The Coast Guard has eliminated
10 ``positions'' and saved 19,000 hours and has lost $460,000 a year
from it's budget to support contractors' personnel. Also, 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.
Persons are not required to respond to a collection of information
unless it displays a current valid Office Management Budget (OMB)
control number. The Coast Guard has submitted the information
collection requirements in this rule to OMB for review pursuant to The
Paperwork Reduction Act (44 U.S.C. 3501 et seq.) OMB has approved
information collection for shipping articles and the section numbers
are 46 CFR 14.207, 14.209, 14.211, 14.213, 14.309, and the
corresponding OMB approval number is OMB control
[[Page 56637]]
number 2115-0015, and expires October 31, 1997. OMB approval for
Certificate of Discharge expires on September 30, 1996, and the Coast
Guard has asked for OMB approval to review that request. See notice,
number CGD 96-056 for details.
Individuals and organizations may submit comments by January 29,
1997, on the information collection requirements for this portion of
the final rule. Comments should be directed to the Executive Secretary,
Marine Safety Council as indicated under addresses and to the Office of
Information and Regulatory Affairs, OMB, New Executive Office Building,
room 10235, 725 17th Street NW., Washington, DC 20503, Attention: Desk
Officer for DOT. The Coast Guard will publish a notice in the Federal
Register of OMB's decision to approve, modify, or disapprove the
pending information Collection requirements.
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 revises 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 Entries in continuous discharge book.
14.307 Entries on certificate of discharge.
14.309 Entries in shipping articles at end of voyage.
14.311 Report of discharge of merchant mariner.
14.313 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 104.
Subpart A--General
Sec. 14.101 Purpose of part.
This part 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 or seagoing barge 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 articles.
(b) Except as provided by Sec. 14.203, articles are required upon
each voyage by a vessel of the United States--
(1) Of 100 gross tons or more, on a foreign voyage, which is a
voyage 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 on a voyage 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 on a voyage 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;
(d) A vessel employed exclusively in trade on the navigable rivers
of the United States; or
(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.
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 the present shipping articles, form
CG-705A, which meets the requirements of 46 U.S.C. 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 also
conform to the present shipping articles, form CG-705A, which meet the
requirements of 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. The wages section of the
form shall be left blank for coastwise voyages.
(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
[[Page 56638]]
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.
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; 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 by the mariner, and
without the next of kin information, 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 the master
and by each merchant mariner, to the owner, charterer, or managing
operator. The master shall keep the original throughout the voyage and
enter in it all charges 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 the
master and by each mariner, to the owner, charterer, or managing
operator.
(2) The master or individual in charge shall every 60 days send
supplementary particulars of engagement covering each mariner engaged
during this period, signed by the master and by each mariner, to the
owner, charterer, or managing operator.
(3) The master of 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 the master and by each mariner, to the
owner, charterer, or managing operator.
(c) When a vessel of the United States sales exclusively on bays or
sounds, each master or individual in charge shall, at least every 60
days, send articles, signed by the master and by each mariner, to the
owner, charter, 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.
Upon the discharge of any mariner in a foreign port, the master
shall make the required entries on the ship's articles. Upon the
request of the master or a mariner, the consular officer shall
discharge the mariner in accordance with the requirements of 46 U.S.C.
10318.
Sec. 14.305 Entries in continuous discharge book.
If the merchant mariner holds a continuous discharge book, the
master or individual in charge of the vessel shall make the proper
entries in it.
Sec. 14.307 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. The prescribed format for a certificate of discharge is the same
as the present form CG-719A (Rev. 8-80). The left portion of the form
has the mariner's printed name, signature, citizenship, and merchant
mariner's document number; the certification statement, date and the
master's signature. The right portion of the form contains the rate/
rank the mariner is serving on the voyage, date and place of shipment,
date and place of discharge, name of the vessel, name of the operating
company, official number of the vessel, class of the vessel, and the
nature of the voyage.
(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 original certificate to the mariner.
(d) Except as directed by Sec. 14.313, the shipping company shall
keep both copies of the certificate.
(e) The company shall provide copies of certificates of discharge
to the mariner and the Coast Guard upon request.
Sec. 14.309 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 paid off, each mariner shall sign the articles.
Sec. 14.311 Report of discharge of merchant mariner.
(a) At the end of each foreign, intercoastal, and 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
electronically transmit the data from the certificates of discharge via
modem to an electronic address which the shipping company may request
from the National Maritime Center.
(b) If the data is submitted manually, the shipping companies shall
provide the data for foreign and intercoastal voyages at the end of
each voyage. For coastwise voyages 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 of the Great Lakes, or once the vessel is withdrawn
from service there, whichever occurs later), the shipping companies
shall
[[Page 56639]]
submit a copy of each certificate of discharge to the address in
Sec. 14.103(a) at least once per calendar month.
Sec. 14.313 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 3 years. After 3 years
the shipping companies shall prepare the original shipping articles in
alphabetical order by vessel name and send to the address in
Sec. 14.103(a) for storage at the Federal Records Center at Suitland,
Maryland. The company may dispose of the copies of certificates of
discharge. 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
Sec. 14.103(a) within 30 days of the transaction.
(c) The shipping company must provide copies of shipping articles
and certificates of discharge to the mariner and the Coast Guard upon
request.
Subpart D--Oceanographic Research Vessels
Sec. 14.401 General.
Unless otherwise provided by Title 46 United States Code, by any
act 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, United States Code 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 parts B, C, F, or G of subtitle II of 46 U.S.C., upon
such terms as the Secretary of the Department of Transportation deems
suitable. The exemptions available under this subpart are subject to
the following terms:
(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--
(1) 46 U.S.C. 10301, Application;
(2) 46 U.S.C. 10302, Shipping articles (for foreign and
intercoastal voyages);
(3) 46 U.S.C. 10307, Posting of articles;
(4) 46 U.S.C. 10308, Foreign engagements;
(5) 46 U.S.C. 10311, Certificates of discharge;
(6) 46 U.S.C. 10313 and 10504, Wages;
(7) 46 U.S.C. 10314 and 10505, Advances;
(8) 46 U.S.C. 10315, Allotments;
(9) 46 U.S.C. 10316 and 10506, Trusts;
(10) 46 U.S.C. 10321 and 10508, General penalties;
(11) 46 U.S.C. 10502, Shipping articles (for coastwise voyages);
and
(12) 46 U.S.C. 10509, Penalty for failure to begin coastwise
voyages.
Sec. 14.405 Procedures.
(a) Upon written request for 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
Sec. 14.403(b).
(b) The request must state--
(1) Any requirement of any section listed in Sec. 14.403(b) from
which the applicant wishes an exemption; and
(2) What business practices regarding, among other things, the
shipment and 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 6 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 January 3, 1997, 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 oceanographic company shall keep all original articles and
copies of all certificates for 3 years. After that each such company
shall send all articles to the address in Sec. 14.103(a).
(e) Each oceanographic company that goes out of business or merges
with another company shall send all original articles to the address in
Sec. 14.103(a) within 30 days of the transaction.
Dated: October 28, 1996.
J.C. Card,
Rear Admiral, U.S. Coast Guard, Chief, Marine Safety and Environmental
Protection.
[FR Doc. 96-28082 Filed 11-1-96; 8:45 am]
BILLING CODE 4910-14-M