[Federal Register Volume 68, Number 214 (Wednesday, November 5, 2003)]
[Rules and Regulations]
[Pages 62535-62539]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-27761]


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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: 
[email protected].

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