[Federal Register: November 5, 2003 (Volume 68, Number 214)]
[Rules and Regulations]
[Page 62535-62539]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr05no03-13]
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DEPARTMENT OF TRANSPORTATION
Maritime Administration
46 CFR Parts 232, 281, 287, 295, 298, 310, 355, 380 and 390
[Docket Number: MARAD-2003-16238]
RIN 2133-AB56
Electronic Options for Transmitting Certain Information
Collection Responses to MARAD
AGENCY: Maritime Administration, Department of Transportation.
ACTION: Interim Final Rule with request for comments.
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SUMMARY: The Maritime Administration (MARAD) is publishing this interim
final rule to immediately offer electronic submission options and to
solicit comments from respondents regarding the offering of electronic
options for submission of information that is collected from them under
the approved information collections identified in this interim final
rule. These information collections are needed by MARAD in order to
conduct business between MARAD and the respondents. This action is part
of MARAD's implementation of the Government
[[Page 62536]]
Paperwork Elimination Act (GPEA). Questions about transmitting one
information collection will not necessarily impact transmission
decisions on another collection unless that same comment is made and is
determined to be applicable for another collection.
Dates: This interim final rule is effective November 5, 2003. However,
MARAD will consider comments received not later than December 5, 2003.
ADDRESSEs: Comments should refer to the docket number that appears on
the top of this document. Written comments may be submitted to the
Docket Clerk, U.S. DOT Dockets, Room PL-401, 400 Seventh Street, SW.,
Washington, DC 20590. Comments may also be submitted by electronic
means via the Internet at http://dmses.dot.gov/submit. Note that all
comments received will be posted without change including any personal
information provided in the comment. All comments received will be
available for examination at the above address between 10 a.m. and 5
p.m. ET, Monday through Friday, except Federal holidays. An electronic
version of this document is available on the World Wide Web at http://dms.dot.gov
.
For Further Information Contact: Richard Weaver, Director, Office of
Management and Information Services, Maritime Administration, MAR-310,
Room 7301, 400 Seventh Street, SW., Washington, DC 20590; telephone:
(202) 366-2811; FAX: (202) 366-3889, or e-mail: richard.weaver@marad.dot.gov.
SUPPLEMENTARY INFORMATION: The MARAD recognizes that information
technology and the Internet are transforming the ways we communicate
with our customers. Also, expanding E-Government is one of five
government-wide initiatives in the President's Management Agenda and
includes implementation of the Government Paperwork Elimination Act
(GPEA). Under the E-Government initiative, agencies are to offer the
option for respondents to transmit by electronic means information
collections that are required by those agencies whenever such
transmission is practicable. Currently, some of the information
collections that are prescribed in 46 CFR parts 200-499 are accepted by
MARAD only in paper form or do not lend themselves to electronic
transmission. Accordingly, MARAD is soliciting comments on the
information collections identified in this interim final rule in order
to determine which collections could be transmitted by an electronic
medium.
Regulatory Analyses and Notices
Executive Order 12866 and DOT Regulatory Policies and Procedures
This interim final rule is not considered a significant regulatory
action under section 3(f) of Executive Order 12886 and, therefore, was
not reviewed by the Office of Management and Budget. This interim final
rule is not likely to result in an annual effect on the economy of $100
million or more. This interim final rule is also not significant under
the Regulatory Policies and Procedures of the Department of
Transportation (44 FR 11034, February 26, 1979). The costs and benefits
associated with this rulemaking are considered to be so minimal that no
further analysis is necessary. The economic impact, if any, should be
minimal; therefore further regulatory evaluation is not necessary. This
interim final rule is intended only to allow timely as well as fair and
efficient employment of electronic transmission technologies for the
information collections identified in the interim final rule.
Administrative Procedure Act
The Administrative Procedure Act (5 U.S.C. 553) provides an
exception to the notice and comment procedures when they are
unnecessary or contrary to the public interest. MARAD finds that under
5 U.S.C. 553(b)(3)(B) good cause exists for not providing notice and
comment since this interim final rule only implements the Government
Paperwork Elimination Act and merely allows the regulated public an
opportunity to submit certain required information via electronic
means. However, MARAD will accept comments as indicated in the Comments
section above.
Regulatory Flexibility Act
MARAD certifies that this interim final rule will not have a
significant economic impact on a substantial number of small entities.
This interim final rule only provides the electronic option for
transmitting responses to MARAD for the information collections
identified in the interim final rule.
Federalism
We have analyzed this interim final rule in accordance with the
principles and criteria contained in Executive Order 13132 (Federalism)
and have determined that it does not have sufficient federalism
implications to warrant the preparation of a federalism summary impact
statement. These regulations have no substantial effects on the States,
or on the current Federal-State relationship, or on the current
distribution of power and responsibilities among the various local
officials. Therefore, consultation with State and local officials is
not necessary.
Executive Order 13175
MARAD does not believe that this interim final rule will
significantly or uniquely affect the communities of Indian tribal
governments when analyzed under the principles and criteria contained
in Executive Order 13175 (Consultation and Coordination with Indian
Tribal Governments). Therefore, the funding and consultation
requirements of this Executive Order do not apply.
Environmental Impact Statement
We have analyzed this interim final rule for purposes of compliance
with the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et
seq.) and have concluded that under the categorical exclusions in
section 4.05 of Maritime Administrative Order (MAO) 600-1, ``Procedures
for Considering Environmental Impacts,'' 50 FR 11606 (March 22, 1985),
the preparation of an Environmental Assessment, and an Environmental
Impact Statement, or a Finding of No Significant Impact for this
interim final rule is not required. This interim final rule involves
administrative and procedural regulations that have no environmental
impact.
Unfunded Mandates Reform Act of 1995
This interim final rule does not impose an unfunded mandate under
the Unfunded Mandates Reform Act of 1995. It does not result in costs
of $100 million or more, in the aggregate, to any of the following:
State, local, or Native American tribal governments, or the private
sector. This interim final rule is the least burdensome alternative
that achieves the objective of the rule.
Paperwork Reduction Act
This interim final rule contains information collection
requirements covered by OMB approval numbers identified in the interim
final rule under 5 CFR part 1320, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.).
List of Subjects
46 CFR Part 232
Maritime Carriers, Reporting and recordkeeping requirements,
Uniform System of Accounts.
46 CFR Part 281
Administrative practice and procedure, Grant programs--
[[Page 62537]]
transportation, Maritime carriers and Reporting and recordkeeping
requirements.
46 CFR Part 287
Fishing vessels, Income taxes, Investments, Maritime carriers,
Reporting and recordkeeping requirements, Vessels
46 CFR Part 295
Maritime carriers, Reporting and recordkeeping requirements.
46 CFR Part 298
Loan programs--transportation, Maritime carriers, Reporting and
recordkeeping requirements.
46 CFR Part 310
Grant programs--education, Reporting and recordkeeping
requirements, Schools, Seamen.
46 CFR Part 355
Citizenship and naturalization, Maritime carriers, Reporting and
recordkeeping requirements.
46 CFR Part 380
Administrative practice and procedure, Grant programs--
transportation, Maritime carriers, Reporting and recordkeeping
requirements.
46 CFR Part 390
Income taxes, Investments, Maritime carriers, Reporting and
recordkeeping requirements.
0
Accordingly, 46 CFR Chapter II is amended as follows:
PART 232--UNIFORM FINANCIAL REPORTING REQUIREMENTS
0
1. The authority citation for part 232 continues to read as follows:
Authority: Sec. 204(b), Merchant Marine Act, 1936, as amended
(46 App U.S.C. 1114(b)); 49 CFR 1.66.
0
2. In Sec. 232.2 revise paragraph (d) to read as follows:
Sec. 232.2 General instructions.
* * * * *
(d) Submission of questions. A contractor may submit in writing, or
by electronic options (such as facsimile and Internet), if practicable,
any question involving the interpretation of any provision of this part
for consideration and decision to the Director, Office of Financial and
Rate Approvals, for the Maritime Security Program, or Director, Office
of Ship Financing, for the Maritime Loan Guarantee Program (Title XI),
Maritime Administration, Department of Transportation, 400 Seventh
Street, SW., Washington, DC 20590. Appeals from such interpretation
will be in accordance with the interpretation letter.
* * * * *
0
3. Section 232.6 is amended by revising paragraphs (a) and (b) to read
as follows:
Sec. 232.6 Financial report filing requirement.
(a) Reporting Frequency and Due Dates. The contractor shall file a
semiannual financial report and an annual financial report, in the
format referred to in Sec. 232.1(a)(2) of this part, which MARAD shall
make available to the contractor. This Form MA-172 (Revised) shall be
prepared in accordance with generally accepted accounting principles
and modified to the extent necessary to comply with this regulation.
The annual financial report shall be reconciled to the financial
statements audited by independent certified public accountants (CPAs)
licensed to practice by a state or other political subdivision of the
United States, or licensed public accountants licensed to practice by
regulatory authority or other political subdivision of the United
States on or before December 31, 1970. Both the annual and semiannual
financial reports shall be due within 120 days after the close of the
contractor's annual or semiannual accounting period. If certified (CPA)
statements are not available when required, company certified
statements are to be submitted within the due dates, and the CPA
statements shall be submitted as soon as available. The respondent may,
in place of any Schedule(s) contained in the Form MA-172, submit a
schedule or schedules from its audited financial statements, or a
computer print-out or schedule, consistent with the instructions
provided in the MARAD formats. MARAD will accept electronic options
(such as facsimile and Internet) for transmission of required
information to MARAD, if practicable.
(b) Certification. Annual and semiannual reports shall be approved
by the Respondent and Official of Respondent whom MARAD may contact
regarding the report in the reporting formats prescribed as the MA-172
submission.
* * * * *
PART 281--INFORMATION AND PROCEDURE REQUIRED UNDER LINER OPERATING-
DIFFERENTIAL SUBSIDY AGREEMENTS
0
4. The authority citation for part 281 continues to read as follows:
Authority: Sec. 204, 49 Stat. 1987, as amended; 46 U.S.C. 1114.
Interpret or apply sec. 606, 49 Stat. 2004, as amended; 46 U.S.C.
1176.
0
5. Section 281.1 is amended by revising paragraph (f) to read as
follows:
Sec. 281.1 Information and procedure required under liner operating-
differential subsidy.
* * * * *
(f) Current financial reports. Each operator shall prepare current
financial reports as specified in this paragraph and shall submit one
copy each to the appropriate Region Director of the Maritime
Administration and three copies each to the Director, Office of
Financial and Rate Approvals, Maritime Administration, Washington, DC
20590. MARAD will accept electronic options (such as facsimile and
Internet) for transmission of required information to MARAD, if
practicable.
* * * * *
PART 287--ESTABLISHMENT OF CONSTRUCTION RESERVE FUNDS
0
6. The authority citation for part 287 continues to read as follows:
Authority: Secs. 204, 511, 49 Stat. 1987, as amended, 54 Stat.
1106, as amended; 46 U.S.C. 1114, 1161.
0
7. Section 287.4 is amended by revising paragraph (a) to read as
follows:
Sec. 287.4 Application to establish fund.
(a) Any person claiming to be entitled to the benefits of section
511 of the Act may make application, in writing, to the Administration
for permission to establish a construction reserve fund. The original
application shall be executed and verified by the taxpayer, or if the
taxpayer is a corporation, by one of its principal officers, in
triplicate, and shall be accompanied by eight conformed copies when
filed with the Administration. MARAD will accept electronic options
(such as facsimile and Internet) for transmission of required
information to MARAD, if practicable.
* * * * *
PART 295--MARITIME SECURITY PROGRAM (MSP)
0
8. The authority citation for part 295 continues to read as follows:
Authority: 46 App. U.S.C. 1171 et seq., 46 App. U.S.C. 1114 (b),
49 CFR 1.66.
0
9. Section 295.11 is amended by revising paragraph (b) introductory
text to read as follows:
Sec. 295.11 Applications.
* * * * *
[[Page 62538]]
(b) Action by the Applicant. Applicants for MSP Payments shall
submit information on the following (Note: MARAD will accept electronic
options (such as facsimile and Internet) for transmission of required
information to MARAD, if practicable):
* * * * *
0
10. Section 295.23 is amended by revising the introductory text to read
as follows:
Sec. 295.23 Reporting requirements.
The Contractor shall submit to the Director, Office of Financial
and Rate Approvals, Maritime Administration, 400 Seventh St., SW.,
Washington, DC 20590, one of the following reports, including
management footnotes where necessary to make a fair financial
presentation [Note: MARAD will accept electronic options (such as
facsimile and Internet) for transmission of required information to
MARAD, if practicable.]:
* * * * *
PART 298--OBLIGATION GUARANTEES
0
11. The authority citation for part 298 continues to read as follows:
Authority: 46 App. U.S.C. 1114(b), 1271 et seq.; 49 CFR 1.66.
0
12. Section 298.3 is amended by revising paragraphs (a) introductory
text and (a)(1) to read as follows:
Sec. 298.3 Applications.
(a) Process and certification. When you apply for a commitment to
execute Guarantees, you must:
(1) Complete Form MA-163 and send it to the Secretary, Maritime
Administration, U.S. Department of Transportation, 400 Seventh Street,
SW., Washington, DC 20590. [Note: MARAD will accept electronic options
(such as facsimile and Internet) for transmission of required
information (excluding closing documents and documents submitted in
connection with defaults) to MARAD, if practicable.]
* * * * *
0
13. Section 298.13 is amended by revising paragraph (c)(2) introductory
text to read as follows:
Sec. 298.13 Financial requirements.
* * * * *
(c)
(2) Financial Information. You must provide us with financial
statements, prepared in accordance with U.S. generally accepted
accounting principles (GAAP), and include notes that explain the basis
for arriving at the figures except that for Eligible Export Vessels,
your financial statements must be in accordance with GAAP if formed in
the U.S., or reconciled to GAAP if formed in a foreign country unless a
satisfactory justification is provided explaining the inability to
reconcile. The financial statements must include the following [Note:
MARAD will accept electronic options (such as facsimile and Internet)
for transmission of required information to MARAD, if practicable.]:
* * * * *
PART 310--MERCHANT MARINE TRAINING
0
14. The authority citation for part 310 continues to read as follows:
Authority: 46 App. U.S.C. 1295; 49 CFR 1.66.
0
15. Section 310.57 is amended by revising paragraph (a) to read as
follows:
Sec. 310.57 Application and selection of midshipmen.
(a) Application. All candidates shall submit an application for
admission to the Academy's Admissions Office. Prospective candidates
also should submit an application, but are not considered official
candidates until their nominations are received. Candidates shall
submit with their applications an official transcript and personality
record from the candidate's high school and, if applicable, such
records from any school attended after high school graduation.
Application forms are available upon request by writing to the
Admissions Office at the Academy. MARAD will accept electronic options
(such as facsimile and Internet) for transmission of only Part I of
required information to MARAD, if practicable.
* * * * *
PART 355--REQUIREMENTS FOR ESTABLISHING UNITED STATES CITIZENSHIP
0
16. The authority citation for part 355 continues to read as follows:
Authority: Secs. 2, 204, 39 Stat. 729, as amended, 49 Stat.
1987, as amended, 73 Stat. 597, 46 U.S.C. 802, 803, 1114, 11
0
17. Section 355.1 is amended by revising paragraph (b) to read as
follows:
Sec. 355.1 General.
* * * * *
(b) To satisfy the statutory requirements, an Affidavit of U.S.
Citizenship of a primary corporation by one of its officers duly
authorized to execute such Affidavit, should be submitted. This
affidavit should contain facts from which the corporation's citizenship
can be determined. MARAD will accept electronic options (such as
facsimile and Internet) for transmission of required information to
MARAD, if practicable.
* * * * *
PART 380--PROCEDURES
0
18. The authority citation for part 380 continues to read as follows:
Authority: Sec. 204, 49 Stat. 1987, as amended; 46 U.S.C. 1114.
0
19. Section 380.22 is amended by revising paragraphs (b) and (c) to
read as follows:
Sec. 380.22 Responsibility.
* * * * *
(b) With respect to books, records, and accounts which, subject to
the provision of paragraph (a) of this section, are to be disposed of
upon the expiration of the minimum retention period prescribed herein,
there shall be filed with the Records Officer, Maritime Administration,
Washington, DC 20590, a written notification, at least thirty (30) days
prior to the contemplated disposal, requesting permission to dispose of
records. MARAD will accept electronic options (such as facsimile and
Internet) for transmission of required information to MARAD, if
practicable. The request shall be in such form that the books, records,
and accounts can be readily identified. Within thirty (30) days after
receipt of such notification the Records Officer shall grant approval
for disposal, or advise the necessity for continued retention of all or
any specified portion thereof. Failure of the Record Officer to reply
within the thirty (30) days period following receipt by the
Administration of such request shall constitute approval.
(c) Applications for special authority to dispose of certain books,
records, and accounts prior to the expiration of prescribed minimum
retention periods, and any inquiries as to the interpretation or
applicability of this subpart to specific items shall be submitted to
the Records Officer, Maritime Administration. MARAD will accept written
or electronic options (such as facsimile and Internet) for transmission
of required information to MARAD, if practicable. The applicant shall
describe in detail the items to be disposed of and explain why
continued retention is unnecessary.
0
20. Section 380.23 is revised to read as follows:
Sec. 380.23 Supervision of Records.
(a) Contractors and others subject to the provisions of this
subpart shall
[[Page 62539]]
designate, through formal action, the official company position by
title, the incumbent of which shall be responsible for supervision of
its document retention and disposal program. Immediately upon
designation of the position, a copy of the formal action and name of
the incumbent shall be filed with the Records Officer, Maritime
Administration. MARAD will accept written or electronic options (such
as facsimile and Internet) for transmission of required information, if
practicable.
(b) The person in charge of the retention and disposal program
shall maintain a record of all books, records, and accounts held in
storage, and in such form that the items and their location are readily
identifiable. A copy of the written, or by electronic options (such as
facsimile and Internet), if practicable, notification requesting
permission to dispose of any books, records, and accounts, and the
original approval from the Administration, as required in Sec.
380.22(b), together with a statement showing date, place and method of
disposal will suffice as a record of such disposed items. These
retention and disposal records shall be available at all times for
inspection by Administration officials and auditors.
PART 390--CAPITAL CONSTRUCTION FUND
0
21. The authority citation for part 390 continues to read as follows:
Authority: Secs. 204(b) and 607, Merchant Marine Act, 1936, as
amended (46 App. U.S.C. 1114(b) and 1177); 49 CFR 1.66.
22. Section 390.2 is amended by revising paragraph (a)(1) to read
as follows:
Sec. 390.2 Application for an agreement.
(a) In general--(1) Application instructions. The Maritime
Administrator has adopted instructions for making application for an
agreement. These instructions are contained in appendix I to this part.
MARAD will accept electronic options (such as facsimile and Internet)
for transmission of required information to MARAD, if practicable.
* * * * *
Dated: October 30, 2003.
By Order of the Maritime Administrator.
Joel C. Richard,
Secretary, Maritime Administration.
[FR Doc. 03-27761 Filed 11-4-03; 8:45 am]
BILLING CODE 4910-81-P