[Federal Register Volume 63, Number 247 (Thursday, December 24, 1998)]
[Proposed Rules]
[Pages 71257-71262]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-34135]


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DEPARTMENT OF TRANSPORTATION

Coast Guard

46 CFR Part 16

[USCG-1998-4469]
RIN 2115-AF67


Management Information System (MIS) Requirements

AGENCY: Coast Guard, DOT.


[[Page 71258]]


ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast Guard proposes to change the Management Information 
System (MIS) annual reporting requirements for chemical drug testing. 
The Office of Management and Budget (OMB) has requested that the Coast 
Guard reduce its collection of information effort. The proposed rule 
would exempt certain marine employers from submitting the annual MIS 
report and would eliminate the requirement for all marine employers to 
notify the Coast Guard when a consortium or other party submits the 
employer's annual report.

DATES: Comments must reach the Docket Management Facility by February 
22, 1999. Comments sent to the Office of Management and Budget (OMB) on 
collection of information must reach OMB by February 22, 1999.

ADDRESSES: You may mail your comments to the Docket Management 
Facility, (USCG-1998-4469), U.S. Department of Transportation, room PL-
401, 400 Seventh Street SW., Washington DC 20590-0001, or deliver them 
to room PL-401 on the Plaza level of the Nassif Building at the same 
address between 9 a.m. and 5 p.m., Monday through Friday, except 
Federal holidays. The telephone number is 202-366-9329. You must also 
mail comments on collection of information to the Office of Information 
and Regulatory Affairs, Office of Management and Budget, 725 17th 
Street NW., Washington, DC 20503, Attn: Desk Officer, U.S. Coast Guard.
    The Docket Management Facility maintains the public docket for this 
rulemaking. Comments, and documents as indicated in this preamble will 
become part of this docket and will be available for inspection or 
copying at room PL-401 on the Plaza level of the Nassif Building at the 
same address between 9 a.m. and 5 p.m., Monday through Friday, except 
Federal holidays. You may also access this docket on the Internet at 
http://dms.dot.gov.

FOR FURTHER INFORMATION CONTACT: For questions on this proposed rule, 
contact Lieutenant Jennifer Ledbetter, Coast Guard, telephone 202-267-
0684. For questions on viewing, or submitting material to, the docket, 
contact Dorothy Walker, Chief, Dockets, Department of Transportation, 
telephone 202-366-9329.

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 and addresses, 
identify this rulemaking (USCG-1998-4469) and the specific section of 
this document to which each comment applies, and give the reason for 
each comment. Please submit all comments and attachments in an unbound 
format, no larger than 8\1/2\ by 11 inches, suitable for copying and 
electronic filing to the Docket Management Facility at the address 
under ADDRESSES. If you want acknowledgment of receipt of your 
comments, please enclose a stamped self-addressed postcard or envelope.
    The Coast Guard will consider all comments received during the 
comment period. We may change this proposed rule in view of the 
comments.
    The Coast Guard plans no public hearing. Persons may request a 
public hearing by writing to the Docket Management Facility at the 
address under ADDRESSES. The request should include the reasons why a 
hearing would be beneficial. If we determine that the opportunity for 
oral presentations will aid this rulemaking, we will hold a public 
hearing at a time and place announced by a later notice in the Federal 
Register.

Background and Purpose

    The Office of Management and Budget (OMB) requested that the Coast 
Guard reduce the amount of information collected under the Management 
Information System (MIS) annual reporting requirements for chemical 
testing data. The required reports provide drug and alcohol testing 
information from marine employer chemical testing programs. The Coast 
Guard and OMB discussed how to reduce the annual reporting requirements 
for chemical drug testing information. The reductions discussed with 
OMB are set out in this proposed rule.

Discussion of Proposed Rule

    Part 16 of Title 46, Code of Federal Regulations, requires all 
marine employers to collect chemical drug and alcohol testing data from 
their programs. It also requires marine employers to submit this data 
to the Coast Guard in an annual MIS report. Specific requirements for 
collecting and submitting this data are listed in Sec. 16.500. Marine 
employers must submit all chemical drug and alcohol testing data on 
Form CG-5573 found in Appendix B of 46 CFR part 16.
    Section 16.500 allows a consortium or other employer representative 
to submit the chemical drug and alcohol testing data for a marine 
employer. Unless submitting their own report, marine employers must 
notify us in writing each year naming the consortium or other employer 
representative submitting the report.
    We propose the following changes to our MIS reporting requirements:
     Remove the requirement for marine employers to notify the 
Coast Guard in writing each year that a consortium or other employer 
representative will submit the annual MIS report.
     Remove the annual MIS report submission requirement for 
marine employers with 10 or fewer employees subject to testing by Part 
16 (covered employees) after submission of the third annual MIS report.
     Reorganize Sec. 16.500, incorporating these changes and 
revising the language for clarity.

Written Notification Requirement

    We propose removing the written notification requirement in 
Sec. 16.500(c) for marine employers included in a consolidated annual 
MIS report to inform the Coast Guard of the name of the consortium or 
other representative submitting the annual MIS report. Since 
consortiums must submit a list of employers included in their annual 
MIS report, the individual written notifications are no longer needed. 
We can use the consortium lists to determine employer compliance with 
the reporting requirements. This change would apply to all marine 
employers.

Annual MIS Report Submission

    We also propose removing the annual MIS report submission 
requirement for marine employers with 10 or fewer covered employees 
after they have submitted the annual MIS report (Form CG-5573) for 
three consecutive years since January 1, 1996. Marine employers who 
have met the submission requirement for the three preceding years could 
apply this new provision to their 1998 report and each following year 
during which they have no more than 10 covered employees.
    This proposal would not change the recordkeeping requirement for 
marine employers. All marine employers must continue collecting and 
keeping the required drug testing data, making it available to the 
Coast Guard if requested.

Editorial Changes

    We would also make several editorial changes and clarify the 
language in Sec. 16.500. We would reorganize and shorten the paragraphs 
and simplify the regulatory language. None of these editorial changes 
would substantively change existing requirements.

[[Page 71259]]

    These two proposed changes to the MIS reporting requirements would 
reduce the reporting burden on marine employers but would still ensure 
that we receive adequate chemical testing data for analysis and program 
management.

Regulatory Evaluation

    This proposed rule is not a significant regulatory action under 
section 3(f) of Executive Order 12866 and does 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 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).

Written Notification Requirement

    This rulemaking would remove the written notification requirement 
for marine employers using a consortium or other party to submit their 
annual MIS reports. Marine employers using a consortium or other 
representative to file annual MIS reports would no longer need to 
submit written notification to the Coast Guard.
    According to current MIS data, 7,150 marine employers are members 
of consortiums. The cost of each written notification is approximately 
$12 (15 minutes of administrative time at $45 per hour to draft the 
written notification). This change would reduce the employer reporting 
burden by a total of 5,361 hours and $241,313 for 3 years.

Annual MIS Report Submission

    This rulemaking would also remove the annual MIS report (Form CG-
5573) submission requirement for marine employers with 10 or fewer 
covered employees who submit an individual annual MIS report, and who 
have submitted the required MIS reports for three consecutive years 
since January 1, 1996. The estimated response burden for each MIS form 
submitted is calculated at $45 per hour, with each form averaging about 
one hour to complete. The MIS data from 1994 through 1997 indicated an 
average of 885 forms submitted annually to the Coast Guard. The forms 
represent 860 individual employer submissions and 25 consortium 
submissions consolidating data for 7,150 employers. At this time, we 
are seeking comment from employers and consortiums about the current 
actual time and administrative costs spent filling out and submitting 
the annual MIS report.
    The 1997 MIS data indicated that 354 of the 885 forms received were 
submitted by employers with 10 or fewer covered employees. We propose 
removing the annual MIS report submission requirement for marine 
employers with 10 or fewer covered employees who have filed the report 
for three consecutive years since January 1, 1996. Of the 354 
employers, 82 have filed three consecutive annual MIS reports since 
January 1, 1996, and would not need to submit an annual MIS report for 
1998. These marine employers would also be exempt from submitting the 
annual MIS report each following year during which they have no more 
than 10 covered employees. An additional 92 marine employers would 
qualify for the exemption for 1999 and the remaining 180 would qualify 
for exemption for 2000.
    This exemption would result in the following costs during the first 
three years for the MIS form submission for employers with 10 or fewer 
covered employees: Initial year, 272 forms (354-82)  x  $45 = $12,240, 
the second reporting year, 180 forms (272-92)  x  $45 = $8,100, and the 
final reporting year would have no costs.
    The total reporting burden for the remaining 531 forms from 
consortiums (25 forms) and employers (506 forms) with 11 or more 
covered employees would cost $23,895 annually. The three-year cost 
would be $71,685 ($23,895  x  3 years). Combined with the costs for 10 
or fewer covered employees of $20,340, results in a cost of $92,025 
($20,340 + $71,685).
    The total recordkeeping costs for MIS requirements would not change 
and would remain at $39,825 annually. The three-year cost would be 
$119,475 ($39,825  x  3 years). The total costs to the marine industry 
for the three year period would be $211,500 [$92,025 (reporting) + 
$119,475 (recordkeeping)].
    The following table summarizes the reporting and recordkeeping 
burden for Subcategory III by the end of 3 years.

                                               MIS Burden Summary
----------------------------------------------------------------------------------------------------------------
                                                 Annual MIS      Notification                      Total burden
       Year            Employer category           report           letter       Recordkeeping    hours & costs
----------------------------------------------------------------------------------------------------------------
Year 1...........  .........................  Hours: 803 hrs.  Letters: 0,      Hours: 885 hrs.  Burden Hours:
                                              Costs: $36,135.   Requirement     Costs: $39,825.   1,688 hrs.
                                                                Removed.                         Costs: $75,960.
                   10 employees..  272 forms x $45/
                                               hour.
                   11 employees..  506 forms x $45/
                                               hour.
                   Consortiums..............  25 forms x $45/
                                               hour.
Year 2...........  .........................  Hours: 711 hrs.  Letters: 0,      Hours: 885 hrs.  Burden Hours:
                                              Costs: $31,995.   Requirement     Costs: $39,825.   1,596 hrs.
                                                                Removed.        No Change......  Costs: $71,820.
                   10 employees..  180 forms x $45/
                                               hour.
                   11 employees..  506 forms x $45/
                                               hour.
                   Consortiums..............  25 forms x $45/
                                               hour.
Year 3...........  .........................  Hours: 531 hrs.  Letters: 0,      Hours: 885 hrs.  Burden Hours:
                                              Costs: $23,895.   Requirement     Costs: $39,825.   1,416 hrs.
                                                                Removed.        No Change......  Costs: $63,720.
                   10 employees..  0 forms x $45/
                                               hour.
                   11 employees..  506 forms x $45/
                                               hour.
                   Consortiums..............  25 forms x $45/
                                               hour.
3-Year Total.....  .........................  ...............  ...............  ...............  Burden Hours:
                                                                                                  4,700 hrs.
                                                                                                 Costs:
                                                                                                  $211,500.
----------------------------------------------------------------------------------------------------------------

    The cost to the Coast Guard for each MIS report submitted is 
calculated at approximately $15 per report. Each report averages about 
$15 to review, collate, and file this information with the responsible 
research center. This

[[Page 71260]]

costs the Coast Guard about $30,675 (2,045 reports submitted x $15) for 
the 3-year period.

Summary of Benefits

    This proposed rule would remove the written notification 
requirement in 16.500 for marine employers who do not submit their own 
annual MIS report to inform the Coast Guard in writing the name of the 
consortium or other representative submitting their annual MIS report. 
The rule would also reduce the reporting requirement for all marine 
employers of 10 or fewer covered employees to submit the annual MIS 
form for chemical and drug testing data. Marine employers using a 
consortium or other representative to file annual MIS reports would no 
longer need to submit written notification to the Coast Guard. 
According to current MIS data, 7,150 marine employers are members of 
consortiums. This change would reduce the employer reporting burden by 
a total of 5,361 hours (1,787 hours per year) and $241,313 ($80,438 per 
year).
    This proposed rule would remove the annual reporting requirement 
for all marine employers who report through their respective 
consortium. This proposed rule would reduce the employer reporting 
burden hours by a total of 5,715 hours (5,361 Notification Letter + 354 
MIS Report) at $257,243 ($241,313 Notification Letter + $15,930 MIS 
Report) by the end of 3 years.
    This proposed rule would also benefit the marine industry by 
reducing the reporting requirements for certain marine employers by 
40%. By exempting those employers with 10 or fewer covered employees 
who have provided the required MIS reports for three consecutive years 
since January 1, 1996, industry would save $15,930 in reporting costs 
for the three-year period.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the 
Coast Guard considers whether this proposed rule, if adopted, will have 
a significant economic impact on a substantial number of small 
entities. ``Small entities'' include small businesses, not-for-profit 
organizations that are independently owned and operated and are not 
dominant in their fields, and governmental jurisdictions with 
populations of less than 50,000.
    This rule would only affect small entities by reducing their annual 
reporting burden. The MIS data indicates how many employees are subject 
to chemical drug testing, not the total number of employees. However, 
those marine employers with 10 or fewer employees are most likely 
considered small entities. This rule would reduce the reporting burden 
and would not create an additional burden for this group or any other 
marine employers. This proposed rule would reduce the employer 
reporting burden hours by a total of 5,715 hours (5,361 Notification 
Letter + 354 MIS Report) at $257,243 ($241,313 Notification Letter + 
$15,930 MIS Report) by the end of 3 years.
    Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that 
this proposed rule, if adopted, will not have a significant 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 this proposed rule will have a significant economic impact on 
your business or organization, please submit a comment to the Docket 
Management Facility at the address under ADDRESSES explaining why you 
think it qualifies and in what way and to what degree this proposed 
rule will economically affect it.

Assistance for Small Entities

    In accordance with section 213(a) of the Small Business Regulatory 
Enforcement Fairness Act of 1996 (Pub. L. 104-121), the Coast Guard 
wants to assist small entities in understanding this proposed rule so 
that they can better evaluate its effects on them and participate in 
the rulemaking process. If your small business or organization is 
affected by this rule and you have questions concerning its provisions 
or options for compliance, please contact Lieutenant Jennifer 
Ledbetter, Coast Guard, at 202-267-0684. Copies of this NPRM will also 
be mailed to local Small Business Development Centers.
    The Small Business and Agriculture Regulatory Enforcement Ombudsman 
and 10 Regional Fairness Boards were established to receive comments 
from small businesses about Federal agency enforcement actions. The 
Ombudsman will annually evaluate the enforcement activities and rate 
each agency's responsiveness to small business. If you wish to comment 
on the enforcement actions of the Coast Guard, call 1-888-REG-FAIR (1-
888-734-3247).

Collection of Information

    This proposed rule provides for a collection of information under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). As 
defined in 5 CFR 1320.3(c), ``collection of information'' includes 
reporting, recordkeeping, monitoring, posting, labeling, and other, 
similar actions. The title and description of the information 
collections, a description of the respondents, and an estimate of the 
total annual burden follow. Included in the estimate is the time for 
reviewing instructions, searching existing sources of data, gathering 
and maintaining the data needed, and completing and reviewing the 
collection.
    Title: Collection of Commercial Vessel and Personnel Accident 
(Marine Casualty) Information and Programs for Chemical Drug & Alcohol 
Testing of Commercial Vessel Personnel, including Required Drug and 
Alcohol Testing following a Serious Marine Accident.
    Summary of the Collection of Information: 46 U.S.C. 6101 authorizes 
the Coast Guard to prescribe regulations for the annual MIS reporting 
requirements for chemical drug testing. Section 16.500 contains the 
requirement for all marine employers to collect chemical drug and 
alcohol testing data for their employees. All marine employers must 
submit this data to the Coast Guard in an annual MIS report. Marine 
employers must submit all chemical drug and alcohol testing data on 
Form CG-5573 found in Appendix B of 46 CFR Part 16. This proposed rule 
would eliminate the annual MIS report submission requirement for 
employers with 10 or fewer covered employees who have provided the 
required MIS reports for three consecutive years since January 1, 1996.
    The annual average burden of the MIS reporting requirements to 
industry was developed from employer size, employer reports, and type 
of submitter. The annual average burden estimates reflect data from 
1994 through 1997, showing that the Coast Guard receives an average of 
354 reports from 354 employers with 10 or fewer covered employees who 
have provided the required MIS reports for three consecutive years 
since January 1, 1996. This rule would exempt these marine employers 
from submitting the annual MIS report each following year during which 
they have no more than 10 covered employees. This would result in a 
total annual reporting burden reduction of 354 hours with a 40% 
reduction in the number of forms submitted to the Coast Guard with only 
a 4% reduction in data.
    The annual average reporting burden would be 531 reports 
representing 7,656 employers. This consists of 506 reports from 
approximately 506 employers with 11 or more employees and 25 reports 
from 25 consortiums representing approximately 7,150 employers.
    Need for Information: The requirement to submit MIS information 
would help meet the goal of knowing the location of all marine 
employers and

[[Page 71261]]

ensuring complete compliance with drug testing regulations.
    Proposed Use of Information: The Coast Guard would utilize this 
information to identify significant trends of drug abuse in the marine 
industry through program implementation.
    Description of the Respondents: Consortia and independent marine 
employers who collect and submit chemical and drug testing data for 
their employees.
    Number of Respondents: 7,656 marine employers who collect and 
submit chemical and drug testing data for their employees.
    Frequency of Response: Affected marine employers are required to 
submit anti-drug program reports on an annual basis.
    Burden of Response: All marine employers must submit data from 
their chemical testing program to the Coast Guard in the annual MIS 
report (Form CG-5573). A consortium or other employer representative 
may submit the data for a marine employer. After submission of the 
third annual MIS report, this rulemaking would reduce the reporting 
requirement for all marine employers with 10 or fewer covered employees 
by not requiring them to submit the annual MIS form for chemical drug 
and alcohol testing data for succeeding years during which they had no 
more than 10 covered employees.
    Estimated Total Annual Burden: 7,656 marine employers.
    As required by section 3507(d) of the Paperwork Reduction Act of 
1995, the Coast Guard has submitted a copy of this proposed rule to the 
Office of Management and Budget (OMB) for its review of the collection 
of information.
    The Coast Guard solicits public comment on the proposed collection 
of information to (1) evaluate whether the information is necessary for 
the proper performance of the functions of the Coast Guard, including 
whether the information would have practical utility; (2) evaluate the 
accuracy of the Coast Guard's estimate of the burden of the collection, 
including the validity of the methodology and assumptions used; (3) 
enhance the quality, utility, and clarity of the information to be 
collected; and (4) minimize the burden of the collection on those who 
are to respond, as by allowing the submittal of responses by electronic 
means or the use of other forms of information technology.
    Persons submitting comments on the collection of information should 
submit their comments both to OMB and to the Docket Management Facility 
where indicated under ADDRESSES by the date under DATES.
    Persons are not required to respond to a collection of information 
unless it displays a currently valid OMB control number. Before the 
requirements for this collection of information become effective, the 
Coast Guard will publish notice in the Federal Register of OMB's 
decision to approve, modify, or disapprove the collection.

Federalism

    The Coast Guard has analyzed this proposed rule under the 
principles and criteria contained in Executive Order 12612 and has 
determined that this proposed rule does not have sufficient 
implications for federalism to warrant the preparation of a Federalism 
Assessment.

Environment

    The Coast Guard considered the environmental impact of this 
proposed rule and concluded that, under figure 2-1, paragraph (34)(a) 
of Commandant Instruction M16475.1C, this proposed rule is 
categorically excluded from further environmental documentation. The 
proposed rule would exempt certain marine employers from submitting the 
annual MIS report for chemical drug testing and would eliminate the 
requirement for written notification. The proposed regulation performs 
administrative changes to a currently approved information collection 
for the annual MIS report. A ``Categorical Exclusion Determination'' is 
available in the docket for inspection or copying where indicated under 
ADDRESSES.

List of Subjects in 46 CFR Part 16

    Chemical testing, Data collection, Data reporting.

    For the reasons discussed in the preamble, the Coast Guard proposes 
to amend 46 CFR part 16 as follows:

PART 16--CHEMICAL TESTING

    1. The authority citation for part 16 continues to read as follows:

    Authority: 46 U.S.C. 2103, 3306, 7101, 7301, and 7701; 49 CFR 
1.46.

    2. Revise Sec. 16.500 to read as follows:


Sec. 16.500  Management Information System requirements.

    (a) Data collection. All marine employers must collect the 
following drug and alcohol testing program data for each calendar year:
    (1) Total number of employees during the calendar year that were 
subject to the drug testing rules in this part.
    (2) Number of employees subject to testing under the anti-drug 
rules of both the Coast Guard and another DOT agency based on the 
nature of their assigned duties as identified by each agency.
    (3) Number of drug and alcohol tests conducted identified by test 
type. Drug test types are pre-employment, periodic, random, post-
accident, and reasonable cause. Alcohol test types are post-accident 
and reasonable cause.
    (4) Number of positive drug test results verified by a Medical 
Review Officer (MRO) by test type and types of drug(s). Number of 
alcohol tests resulting in a blood alcohol concentration weight of .04 
percent or more by test type.
    (5) Number of negative drug and alcohol test results reported by 
MRO by test type.
    (6) Number of applicants denied employment based on a positive drug 
test result verified by an MRO.
    (7) Number of marine employees with a MRO-verified positive test 
result who returned to duty in a safety-sensitive position subject to 
required chemical testing, after meeting the requirements of 
Sec. 16.370(d) and part 5 of this chapter.
    (8) Number of marine employees with positive drug test results 
verified by a MRO as positive for one drug or a combination of drugs.
    (9) Number of employees required under this part to be tested who 
refused to submit to a drug test.
    (10) Number of covered employees and supervisory personnel who 
received the required initial training.
    (b) Data reporting.
    (1) By March 15 of the year following the collection of the data in 
paragraph (a) of this section, marine employers must submit the data on 
Form CG-5573 to Commandant (G-MOA), 2100 Second Street, SW, Washington, 
DC, 20593-0001. Marine employers must complete all data fields on the 
form.
    (2) Form CG-5573 is reproduced in Appendix B of this part and you 
may obtain the form from any Marine Inspection Office. You may also 
download a copy of Form CG-5573 from the U.S. Coast Guard Marine Safety 
and Environmental Protection web site at http://www.uscg.mil/hq/g-
m.html.
    (3) A consortium or other employer representative may submit data 
for a marine employer. Reports may contain data for more than one 
marine employer. Each report, however, must list the marine employers 
included in the report.
    (4) Marine employers must ensure that data submitted by a 
consortium or other employer representative under paragraph (b)(3) of 
this section is correct.

[[Page 71262]]

    (c) After filing 3 consecutive annual MIS reports since January 1, 
1996, required by paragraph (b) of this section, marine employers with 
10 or fewer covered employees may stop filing the annual report each 
succeeding year during which they have no more than 10 covered 
employees.
    (d) Marine employers that conduct operations regulated by another 
Department of Transportation Operating Administration must submit 
appropriate data to that Operating Administration for employees subject 
to its regulations.

    Dated: December 7, 1998.
J.P. High,
Acting Assistant Commandant for Marine Safety and Environmental 
Protection.
[FR Doc. 98-34135 Filed 12-23-98; 8:45 am]
BILLING CODE 4910-15-P