[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] ======================================================================= ----------------------------------------------------------------------- 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. ----------------------------------------------------------------------- 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