Management Information System (MIS) Requirements

DEPARTMENT OF TRANSPORTATION

Coast Guard

46 CFR Part 16

[USCG-1998-4469]

RIN 2115-AF67

Management Information System (MIS) Requirements

AGENCY: Coast Guard, DOT.

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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

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Annual MIS Notification Total burden

Year Employer category report letter Recordkeeping hours & costs

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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.

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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

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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

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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.

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(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]

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