[Federal Register: January 6, 2004 (Volume 69, Number 3)]
[Rules and Regulations]
[Page 526-533]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06ja04-22]
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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
46 CFR Part 12
[USCG-2003-14500]
RIN 1625-AA81
Validation of Merchant Mariners' Vital Information and Issuance
of Coast Guard Merchant Mariner's Documents (MMDs)
AGENCY: Coast Guard, DHS.
ACTION: Interim rule with request for comments.
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SUMMARY: This interim rule describes enhancements to the application
procedures for the Merchant Mariner Licensing and Documentation
program. These are necessary to improve maritime safety and promote the
national security interests of the United States. The enhancements
should serve these ends.
DATES: Effective Date: This interim rule is effective January 6, 2004.
Comments: Comments and related material must reach the Docket
Management Facility on or before April 5, 2004.
ADDRESSES: You may submit comments identified by Coast Guard docket
number USCG-2003-14500 to the Docket Management Facility at the U.S.
Department of Transportation. To avoid duplication, please use only one
of the following methods:
(1) Web Site: http://dms.dot.gov.
(2) Mail: Docket Management Facility, U.S. Department of
Transportation, 400 Seventh Street SW., Washington, DC 20590-0001.
(3) Fax: 202-493-2251.
(4) Delivery: Room PL-401 on the Plaza level of the Nassif
Building, 400 Seventh Street SW., Washington, DC, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-366-9329.
(5) Federal rulemaking Portal: http://www.regulations.gov.
Documents mentioned in this preamble as being available in the
docket, are part of docket USCG-2003-14500 and will be available for
inspection or copying at the Docket Management Facility, U.S.
Department of Transportation, room PL-401, 400 Seventh Street SW.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. You may also find this docket on the Internet
at http://dms.dot.gov.
FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call Commander Dave Dolloff, Project Manager, National Maritime Center
(NMC), Coast Guard, telephone 202-493-1021. If you have questions on
viewing the docket, call Ms. Angela M. Jenkins, Program Manager, Docket
Operations, Department of Transportation, telephone 202-366-0271.
SUPPLEMENTARY INFORMATION:
Public Participation and Request for Comments
We encourage you to participate in this rulemaking by submitting
comments and related materials. All comments received will be posted,
without change, to http://dms.dot.gov and will include any personal
information you have provided. We have an agreement with the Department
of Transportation (DOT) to use the Docket Management Facility. Please
see DOT's ``Privacy Act'' paragraph below.
Submitting comments: If you submit a comment, please include your
name and address, identify the docket number for this rulemaking (USCG-
2003-14500), indicate the specific section of this document to which
each comment applies, and give the reason for each comment. You may
submit your comments and material by electronic means, mail, fax, or
delivery to the Docket Management Facility at the address under
ADDRESSES; but please submit your comments and material by only one
means. If you submit them by mail or delivery, submit them in an
unbound format, no larger than 8\1/2\ by
[[Page 527]]
11 inches, suitable for copying and electronic filing. If you submit
them by mail and would like to know that they reached the Facility,
please enclose a stamped, self-addressed postcard or envelope. We will
consider all comments and material received during the comment period.
We may change this rule in view of them.
Viewing comments and documents: To view comments, as well as
documents mentioned in this preamble as being available in the docket,
go to http://dms.dot.gov at any time and conduct a simple search using
the docket number. You may also visit the Docket Management Facility in
room PL-401 on the Plaza level of the Nassif Building, 400 Seventh
Street SW., Washington, DC, between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays.
Privacy Act: Anyone can search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review the
Department of Transportation's Privacy Act Statement in the Federal
Register published on April 11, 2000 (65 FR 19477), or you may visit
http://dms.dot.gov.
Public Meeting
We do not now plan to hold a public meeting. But you may submit a
request for one to the Docket Management Facility at the address under
ADDRESSES explaining why one would be beneficial. If we determine that
one would aid this rulemaking, we will hold one at a time and place
announced by a later notice in the Federal Register.
Regulatory Information
On Thursday, February 20, 2003, the Coast Guard published, in the
Federal Register, a Notice of Policy entitled: ``Merchant Mariners''
Documents: Forms and Procedures for Renewals and Issuances'' [68 FR
8326]. This Notice informed the public that on February 3, 2003, the
Coast Guard had suspended issuing all MMDs using a previous form (CG-
2838 [Rev. 7-94]) and had begun renewing them using a new form (CG-2838
[Rev. 09/02]). On Tuesday, April 8, 2003, the Coast Guard issued
another Notice of Policy, under the same title [68 FR 17064],
announcing that it had begun to issue original MMDs on February 28,
2003, also using the new identification card. This new card is more
tamper-resistant. Possession of the card continues to serve as
verification of an individual's qualifications to work on board certain
U.S.-flagged vessels.
We did not publish a notice of proposed rulemaking (NPRM) for this
rulemaking. Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good
cause exists for not publishing an NPRM. This interim rule instates
changes previously announced and implemented that are necessary to
protect the national security interests of the United States. The Coast
Guard finds that notice before the effective date of these changes is
unnecessary, impracticable, and contrary to the public interest, within
the meaning of 5 U.S.C. 553(f)(B) of the Administrative Procedure Act
(APA).
In response to national security concerns, the Coast Guard
temporarily suspended issuing MMDs to examine the MMD program.
Enhancements to the security procedures for issuing MMDs were made, and
the Coast Guard resumed issuing the documents using the augmented
procedures. The security-related processes needed to be implemented
before the security-enhanced MMD cards could be issued; not issuing
MMDs for a prolonged period would have been unacceptable and would have
had a detrimental effect on merchant mariners who are required to
possess these documents to obtain work on board vessels of 100 gross
tons or more.
Pursuant to 5 U.S.C. 553(d)(3) and for the reasons stated above,
the Coast Guard finds that good cause exists for making this rule
effective less than 30 days after publication in the Federal Register.
Background and Purpose
46 U.S.C. 2103 gives the Secretary of the Department in which the
Coast Guard is operating general superintendence over merchant marine
personnel and authorizes the issuance of regulations promoting maritime
safety interests. 46 U.S.C. Chapter 73 addresses MMDs and authorizes
the Coast Guard to issue MMDs to qualified mariners. Mariners must hold
MMDs to serve on board U.S.-flagged merchant vessels of 100 gross tons
or more. (46 U.S.C. 8701). The MMD functions as a certificate of
identification and a certificate of service, specifying each rating for
which the holder is qualified (46 U.S.C. 7302(a)). Additionally, the
MMD is issued with an appropriate endorsement, to qualified tankermen.
An MMD may be issued for five years, and renewed for additional five-
year periods (46 U.S.C. 7302(f)). Coast Guard regulations governing the
certification of seamen, including issuance and renewal of MMDs, appear
at 46 CFR Part 12.
46 U.S.C. 7302(d) allows the Secretary to review the criminal
record of an individual who applies for an MMD. 46 CFR 12.02-4 states
that the Officer in Charge, Marine Inspection, may require a criminal
record check of an applicant for an MMD. Moreover, 46 U.S.C. 7302(c)
prohibits the Secretary from issuing an MMD unless the individual
applying for the MMD makes available to the Secretary any information
related to an offense described in section 205 of the National Driver
Register (NDR) Act of 1982, as amended (49 U.S.C. 30304). Additionally,
the President under the Magnuson Act, 50 U.S.C. 191, may institute such
measures and issue such rules and regulations to safeguard against
destruction, loss, or injury from sabotage or other subversive acts,
accidents, or other causes of similar nature, to vessels, harbors,
ports, and waterfront facilities in the United States and all territory
and water, continental or insular, subject to the jurisdiction of the
United States. By Executive Order 10173 dated October 18, 1950, and
subsequent Executive Orders, the President implemented his authority
under the Magnuson Act by regulation at Title 33 CFR Part 6. 33 CFR
6.10-1 says that no person shall be issued a document required for
employment on a merchant vessel of the United States, nor shall any
person be employed on a merchant vessel of the United States unless the
Commandant is satisfied that the character and habits of life of such
person are such as to authorize the belief that the presence of the
individual on board would not be adverse to the security of the United
States.
The Coast Guard will implement the requirements of 33 CFR 6.10-1 to
evaluate the character and habits of life of MMD applicants and the
Board appeals process for persons refused issuance based on character
and habits of life required by 33 CFR 6.10-9. For denials not based on
character and habits of life, the Coast Guard will continue to use the
process for certification of seamen set out in 46 CFR Part 12.
The purpose of this interim rule is to amend 46 CFR Part 12. Since
February 3, 2003, all eligible mariners, renewing or conducting certain
other transactions involving existing MMDs, have been receiving more
tamper-resistant MMDs. After February 28, 2003, all eligible original
MMD applicants have been receiving more tamper-resistant MMDs.
The more tamper-resistant MMDs are designed to address marine
safety and national security concerns. The new MMDs are similar in
appearance to the old ones, but embody several improvements for
increased security, including features to deter counterfeiting and
graphics that enhance the document's professional
[[Page 528]]
appearance. The new MMD allows for a more detailed description of a
mariner's qualifications than did the old one. Those renewing their
documents will be subject to the renewal requirements set out in 46 CFR
12.02-27.
At the time of this rule, mariners may continue to apply for
renewal of the MMD and certain other transactions involving an existing
MMD by mail, but will have to make a personal appearance at least once
during the application process, to have their fingerprints taken, show
proof of identity, and return the old MMD to the Coast Guard. For their
convenience, they may elect to make an appearance at any of the 17
Regional Exam Centers (RECs) in the United States.
To ensure the issuance of MMDs only to eligible mariners, the Coast
Guard requires fingerprints, and the revalidation and update of the
information provided on the original MMD application. We will verify
the information provided and conduct a criminal record review and a
safety and a security check of the applicant in accordance with
applicable law. We may disapprove an application for an MMD if the
criminal record review and safety and security check leads the Coast
Guard to determine that the applicant's criminal record or character
and habits of life demonstrate that the applicant is not a safe and
suitable person. A safe and suitable person eligible for an MMD is a
person who, as determined by the appropriate Coast Guard official,
possesses the character and habits of life to warrant the belief that
their presence aboard vessels of the United States is not adverse to
the security of the United States. If an application is disapproved,
the applicant will be notified, in writing, of the reason(s) for
disapproval and of the appeal process available to him or her. The
applicant will be notified in writing of the reason(s) for disapproval,
unless the Coast Guard determines that such disclosure of information
is prohibited by law, regulation, or agency policy, in which case the
reason(s) will not be disclosed. No MMD transactions will be performed
pending a decision on an appeal.
If you would like more information on the background of this
rulemaking, and of the Coast Guard's licensing and documentation
program, refer to the Notices discussed in the Regulatory Information
or contact the offices noted in FOR FURTHER INFORMATION CONTACT. For
questions on submitting an application for the issuance of an MMD, call
your nearest REC, a list of which appears in 46 CFR 12.01-7, or on the
internet at http://www.uscg.mil/STCW/index.htm.
Discussion of Interim Rule
This rulemaking identifies the authorities for evaluating mariner
applications with respect to qualifications and character and habits of
life, which may disqualify a mariner from receiving an MMD and modifies
certain application and administrative processes involved in issuing
MMDs. It will--
[sbull] Provide new definitions of the terms ``conviction'',
``safety and security check'', and ``safe and suitable person'';
[sbull] Require that an applicant disclose foreign and military
convictions on the application;
[sbull] Describe the criminal record review and a safety and
security check conducted on MMD applicants;
[sbull] Require that an applicant provide fingerprints during the
application process for an MMD in a form and manner specified by the
Coast Guard;
[sbull] Require that the applicant appear in person at an REC at
least one time during the application process to prove their identity
and submit fingerprints in a form and manner specified by the Coast
Guard;
[sbull] Describe authority for the Coast Guard to review and deny
issuance of an MMD for applicants whose ``character and habits of
life'' are adverse to the security of the United States;
[sbull] Describe how an applicant may ``prove'' identity and
require applicant to produce two forms of identification, one of which
must contain a picture;
[sbull] Describe acceptable forms for proof of citizenship;
[sbull] Remove from 46 CFR 12.02-13 reference to ``Shipping
Commissioner'';
[sbull] Remove from 46 CFR 12.02-17 the requirement that a
fingerprint be affixed to an MMD form;
[sbull] Eliminate the requirement that a mariner's Social Security
Number (SSN) be placed on the MMD;
[sbull] Replace the term ``missing'' in 46 CFR 12.02-23 with the
term ``lost'';
[sbull] Remove the description of internal Coast Guard
administrative procedures from 46 CFR 12.02-24 and require the
applicant to communicate the loss of an MMD to the Coast Guard by
letter;
[sbull] Require the submission of a complete application before
processing; and,
[sbull] Require the surrender of an old MMD to the Coast Guard on
issuance of a new one.
Regulatory Evaluation
This interim rule is not a ``significant regulatory action'' under
section 3(f) of Executive Order 12866, Regulatory Planning and Review,
and does not require an assessment of potential costs and benefits
under section 6(a)(3) of that Order. Moreover, the Office of Management
and Budget (OMB), under that Order, has not reviewed it. And it is not
``significant'' under the regulatory policies and procedures of the
Department of Homeland Security (DHS).
A draft Regulatory Evaluation under the regulatory policies and
procedures of DHS follows:
Costs
This interim rule will amend certain requirements in 46 CFR Part 12
for how merchant mariners and prospective mariners will apply for MMDs.
This interim rule will require all applicants to process MMDs at an
REC. The rule requires an applicant to appear at least once in the
application process, even if making an application by mail, and
requires that fingerprinting to be conducted by the Coast Guard for all
types of MMD applications.
The total annual population of affected MMD applicants is 28,243
mariners. This total includes 11,210 applicants for original (new) MMDs
and 17,033 applicants for reissued (renewal and duplicate) MMDs. This
is based on 2002 data received from the Coast Guard's National Marine
Center (NMC).
Not all mariners incur cost from this interim rule. The subset of
the affected population that incurs costs comprises those mariners who
(1) previously applied for original MMDs by mail and were not
fingerprinted at an REC, and (2) previously applied for reissue MMDs
and were not fingerprinted at an REC.
From discussions with the Coast Guard's NMC, we estimate the
percentage of mariners who apply for original MMDs and incur a cost to
be 20 percent of the 11,210 original MMD applicants, or 2,242 mariners
(0.20 x 11,210 original MMD applicants = 2,242 mariners).
We also estimate the percentage of mariners who apply for reissued
MMDs and incur a cost to be 70 percent of the 17,033 reissue MMD
applicants, or 11,923 mariners (0.70 x 17,033 reissue MMD applicants =
11,923 mariners).
Based on the percentage of applicants who incur a cost discussed
above, the total annual quantity of mariners who incur a cost by this
final rule is 14,165 mariners (2,242 original MMD applicants + 11,923
reissue MMD applicants = 14,165 total mariners).
The period of analysis is from 2003 to 2007. We use a five-year
period because all current documented mariners must renew their MMDs
once every five
[[Page 529]]
years. Therefore, this five-year period will cover a complete MMD
renewal cycle--giving an accurate snapshot of the total cost of the
rule.
The costs of this final rule include (1) the cost of mariners' time
at an REC, and (2) the cost of mariners' travel to and from an REC. In
all costs we assume an average mariner's wage rate as a proxy for the
opportunity cost of a mariner's time spent at the REC and the time
spent traveling to and from the REC. We also assume per diem
reimbursement rates as proxy unit costs for travel expenses. Table 1
presents the basic unit cost assumptions and sources that we used in
this analysis of the final rule.
Table 1.--Summary of Basic Unit Costs
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Item Unit cost Source reference
----------------------------------------------------------------------------------------------------------------
Opportunity Cost of Mariner Time........ $22/hour................... This wage-rate is based on information
from the 2001 National Occupation
Employment and Wage Statistics published
by the Bureau of Labor Statistics.
Mileage................................. $0.36/mile................. 2003 Privately Owned Vehicle (POV)
Reimbursement Rates for Automobiles in
Amendment 112 of the Federal Travel
Regulation, published January 6, 2003,
and effective January 1, 2003, by the
General Services Administration.
Incidentals and Meals................... $50/day.................... The average incidentals and meals
reimbursement rate for the 17 current
REC locations. The General Services
Administration provides rates for the
Continental US. The Department of
Defense provides rates for the Non-
Continental US. These rates are part of
the Federal Travel Regulation and are
frequently updated.
Lodging................................. $120/night................. The average lodging reimbursement rate
for the 17 current REC locations. The
General Services Administration (GSA)
provides rates for the Continental US.
The Department of Defense provides rates
for the Non-Continental US. These rates
are part of the Federal Travel
Regulation and frequently updated.
----------------------------------------------------------------------------------------------------------------
Cost of REC Time
We assume, on average, a mariner will spend one hour at the REC
submitting an application and being fingerprinted. This time estimate
is based on discussions with Coast Guard personnel familiar with REC
operations and customer service. We realize some applicants may take
more time and some may take less time; however, we believe one hour to
be a reasonable estimate of the average time a mariner will spend at an
REC.
We estimate the cost of a mariner's time at the REC to be $22 (1
hour x $22/hour cost of time = $22). The estimated annual cost of REC
time for affected mariners is $311,630 ($22/mariner x 14,165 total
applicants = $311,630).
Travel Cost
We assume round-trip travel, to an REC, to take either one-day or
require an overnight stay. Furthermore, we believe most mariners live
within close proximity to an REC. According to data from the Coast
Guard's NMC, at least 70 percent of MMD applicants live within one-day
round-trip travel to and from an REC and the remaining 30 percent may
require an overnight stay. We also assume mariners will drive to an REC
regardless of the distance. While there may be some mariners that take
public transportation or use another mode of travel, we believe, on
average, most mariners will drive themselves to an REC.
We estimate the one-day and overnight travel cost as follows:
One-Day Round-Trip Travel
For an applicant within one-day round-trip travel to and from an
REC, we assume the cost to include the mileage, the opportunity cost of
the time spent traveling, and incidentals.
We estimate the one-day round-trip driving distance and time to be
100 miles in 4 hours (or 50 miles one-way in 2 hours driving time).
While some mariners will drive more than this and some will drive less,
we believe 100 miles driving distance, in 4 hours, to be a reasonable
average estimate of the one-day round-trip travel distance and time. We
also assume the cost for one-day round-trip incidentals to be $50 and
the mileage reimbursement to be $0.36/mile.
The estimated cost per mariner for one-day round-trip travel is
$174 (100 roundtrip miles x $0.36/mile reimbursement rate + 4 travel
hours x $22/hour cost of time + $50/day incidentals = $174). The
estimated annual cost for one-day round-trip travel for affected
mariners is $1,725,297 ($174/mariner x .70 {percent one-day
travel{time} x 14,165 mariners = $1,725,297).
Overnight Travel
For an applicant having to travel and stay overnight, we assume the
cost to include mileage, the opportunity cost of time spent traveling,
lodging, and incidentals.
We estimate the overnight round-trip driving distance and time, to
an REC, to be 200 miles in 8 hours (double the one-day round trip
scenario). While some mariners will drive more than this and some will
drive less, we believe 200 miles driving distance, in 8 hours, to be a
reasonable average estimate of the distance and time a mariner would
drive for overnight travel to a REC. We also assume the cost for
lodging and incidentals for overnight travel to be $220 (2 x $50/day
incidentals + $120/night lodging = $220).
The estimated cost per mariner for overnight travel is $468 (200
roundtrip miles x $0.36/mile reimbursement rate + 8 travel hours x $22/
hour cost of time + $220 lodging and incidentals = $468). The estimated
annual cost of overnight travel for affected mariners is $1,988,766
($468/mariner x .30 {percent overnight travel{time} x 14,165 mariners
= $1,988,766).
Total National Cost
The annual cost of this interim rule, consisting of the cost of
travel and time for affected mariners, is estimated to be $4 million
(non-discounted). Table 2 summarizes the total annual cost of the rule
to industry.
[[Page 530]]
Table 2.--Summary of Annual Cost
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Opportunity Total Total
cost of Mileage Incidentals Lodging annual cost annual cost
Item mariner cost and meals cost per all
time cost applicant applicants
----------------------------------------------------------------------------------------------------------------
Unit Cost......................... \1\ $22/ \2\ $0.36/ \3\ $50/day \3\ $120/ NA NA
hour mile day
REC Time.......................... 22 ........... ........... ........... $22 $311,630
One-Day Round-Trip Travel......... 88 36 50 ........... 174 1,725,297
Overnight Round-Trip Travel....... 176 72 100 120 468 1,988,766
Total Annual Cost of the Final ........... ........... ........... ........... ........... 4,025,693
Rule.........................
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\1\Per hour.
\2\ Per mile.
\3\ Per day.
The present value (PV) of the total cost of this interim rule is
$18 million in 2003 dollars (2003-2007, 7 percent discount rate).
The primary cost of this rule is the travel cost, which is driven
by the mariners' opportunity cost of time, lodging, and other per diem
factors. However, we believe the total cost of this rule is
conservative because the REC locations, together, can serve more than
70 percent of affected mariners--especially given that the RECs are
located in or near major maritime ports that may be accessed by
mariners.
Benefits
The Coast Guard will review a mariner's background before issuing
an MMD and anticipates several qualitative benefits from this new
process. The Coast Guard will require mariners, seeking MMDs, to
validate their basic information on identity and criminal records to
ensure the issuance of MMDs only to eligible mariners. The Coast Guard
expects to ensure marine safety and protect national security by
conducting a background check of all MMD applicants and identifying
those who pose a threat.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this interim rule would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises 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 does not require a general notice of proposed
rulemaking and, therefore, is exempt from the requirements of the
Regulatory Flexibility Act.
Collection of Information
This interim rule calls for no new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
Federalism
A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on state or local
governments and would either preempt state law or impose a substantial
direct cost of compliance on them.
We have analyzed this interim rule under that Order and have
determined that it does not have implications for federalism. It is
well settled that States may not regulate in categories reserved for
regulation by the Coast Guard. It is also well settled, now, that all
of the categories covered in 46 U.S.C. 3306, 3703, 7101, and 8101
(design, construction, alteration, repair, maintenance, operation,
equipping, personnel qualification, and manning of vessels), as well as
the reporting of casualties and any other category in which Congress
intended the Coast Guard to be the sole source of a vessel's
obligations, are within the field foreclosed from regulation by the
states. (See the decision of the Supreme Court in the consolidated
cases of United States v. Locke and Intertanko v. Locke, 529 U.S. 89,
120 S.Ct. 1135 (March 6, 2000).) Since this rule involves the manning
of U.S. vessels and the documentation of merchant mariners, it is a
matter of personnel qualifications, and so precludes states from
regulation. Because states may not promulgate rules within this
category, preemption is not an issue under Executive Order 13132.
Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 or more in any
one-year. Though this interim rule will not result in such an
expenditure, we discuss its effects elsewhere in this preamble.
Taking of Private Property
This interim rule will not effect a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.
Civil Justice Reform
This interim rule meets applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.
Protection of Children
We have analyzed this interim rule under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and does not
create an environmental risk to health or risk to safety that may
disproportionately affect children.
Indian Tribal Governments
This interim rule does not have tribal implications under Executive
Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it does not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes.
Energy Effects
We have analyzed this interim rule under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that Order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not
[[Page 531]]
likely to have a significant adverse effect on the supply,
distribution, or use of energy. The Administrator of the Office of
Information and Regulatory Affairs has not designated it as a
significant energy action. Therefore, it does not require a Statement
of Energy Effects under Executive Order 13211.
Environment
We have considered the environmental impact of this interim rule
and concluded that under figure 2-1, paragraph (34)(c), of Commandant
Instruction M16475.lD, this rule is categorically excluded from further
environmental documentation. The rule will not result in any
significant cumulative impact on the human environment; any substantial
controversy or substantial change to existing environmental conditions;
any impact, more than minimal, on properties protected under 4(f) of
the DOT Act, as superseded by Public Law 97-449 and Section 106 of the
National Historic Preservation Act; or any inconsistencies with any
Federal, State, or local laws or administrative determinations relating
to the environment. A ``Categorical Exclusion Determination'' is
available in the docket where indicated under ADDRESSES.
List of Subjects in 46 CFR Part 12
Reporting and recordkeeping requirements, Seamen.
0
For the reasons discussed in the preamble, the Coast Guard amends 46
CFR part 12 as follows:
PART 12--CERTIFICATION OF SEAMEN
0
1. Revise the authority citation for part 12 to read as follows:
Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301,
7302, 7303, 7304, 7305, 7503, 7505, 7701 and 8103; 50 U.S.C. 191; 33
CFR Part 6; 49 CFR 1.46; E.O. 10277, 16 FR 7537, 3 CFR, 1949-1953
Comp., p. 778; E.O. 10352, 17 FR 4607, 3 CFR 1949-1953 Comp., p.
873; E.O. 11249, 30 CFR 13001, 3 CFR, 1964-1965 Comp., p. 349; E.O.
13143, 64 FR 68271, 3 CFR, 1999 Comp., p. 238; E.O. 13273, 67 FR
56215, 3 CFR, 2002 Comp., p. 249; Department of Homeland Security
Delegation No. 0170.1.
0
2. In Sec. 12.01-1, revise the heading and paragraph (a)(1); in
paragraph (a)(2), remove the period and add, in its place, ``; and'';
and add paragraphs (a)(3) and (c) to read as follows:
Sec. 12.01-1 Purpose of rules in this part.
(a) * * *
(1) A comprehensive and adequate means of determining and verifying
the identity, citizenship, nationality, and professional qualifications
an applicant must possess to be eligible for certification to serve on
merchant vessels of the United States;
* * * * *
(3) A means, through a criminal record review and a safety and
security check, to determine whether the holder of a merchant mariner's
document would be a threat to the safety of life or property at sea, or
his or her presence would be adverse to the security of the United
States.
* * * * *
(c) Continuous discharge books and merchant mariner documents are
issued by the Coast Guard and are property of the Coast Guard.
0
3. In Sec. 12.01-6, revise the definition for ``Conviction'' and add,
in alphabetical order, the definitions for the terms ``Safe and
Suitable Person'', and ``Safety and Security Check'' to read as
follows:
Sec. 12.01-6 Definitions of terms used in this part.
* * * * *
Conviction means the applicant for a merchant mariner's document
has been found guilty by judgment or plea by a court of record of the
United States, the District of Columbia, any State, territory, or
possession of the United States, a foreign country, or any military
court, of a criminal felony or misdemeanor or of an offense described
in section 205 of the National Driver Register Act of 1982, as amended
(49 U.S.C. 30304). If an applicant pleads guilty or no contest, is
granted deferred adjudication, or is required by the court to attend
classes, make contributions of time or money, receive treatment, submit
to any manner of probation or supervision, or forgo appeal of a trial
court's conviction, then the Coast Guard will consider the applicant to
have received a conviction. A later expungement of the conviction will
not negate a conviction unless the Coast Guard is satisfied that the
expungement is based upon a showing that the court's earlier conviction
was in error.
* * * * *
Safe and suitable person is one whose character and habits of life
are such as to support the belief that his or her presence on board
vessels of the United States is not, or may not be, adverse to the
security of the United States.
Safety and Security Check is the process or action taken by the
Coast Guard to determine whether an applicant for, or holder of, a
merchant mariner's document is a safe and suitable person to be issued
such a document or to be employed on a vessel under the authority of
such a document.
* * * * *
0
4. Revise Sec. 12.01-7 to read as follows:
Sec. 12.01-7 Regional Examination Centers.
Applicants for licensing and certification may apply at the
following locations:
Boston, MA
New York, NY
Baltimore, MD
Charleston, SC
Miami, FL
New Orleans, LA
Houston, TX
Memphis, TN
St. Louis, MO
Toledo, OH
San Pedro, CA
Alameda, CA
Portland, OR
Seattle, WA
Anchorage, AK
Juneau, AK
Honolulu, HI
0
5. In Sec. 12.02-4, revise the heading, paragraph (a), the
introductory text of paragraph (c), and paragraph (c)(1), to read as
follows:
Sec. 12.02-4 Basis for denial of a merchant mariner's document.
(a) No person who has been convicted by a court of record of a
violation of the dangerous-drug laws of the United States, the District
of Columbia, any State, territory, or possession of the United States,
a foreign country, or any military court, is eligible for a merchant
mariner's document, except as provided by paragraph (c) of this
section. No person who has ever been the user of a dangerous drug,
addicted or not, or has ever been convicted of an NDR offense described
in section 205 of the National Driver Register Act of 1982, as amended
(49 U.S.C. 30304) because of addiction to or abuse of alcohol is
eligible for a merchant mariner's document, unless he or she furnishes
satisfactory evidence of suitability for service in the merchant marine
as provided in paragraph (e) of this section.
* * * * *
(c) Criminal Record Review and Safety and Security Check. The Coast
Guard may conduct a criminal record review and conduct a safety and
security check of an applicant for a merchant mariner's document. An
applicant pursuing simultaneous transactions for merchant mariner's
credentials shall undergo a single criminal record review and safety
and security check. Each applicant must provide written disclosure of
all prior convictions (as defined in Sec. 12.01-6) at the time of
application.
[[Page 532]]
(1) When a criminal record review and a safety and security check
are conducted, the applicant shall provide fingerprints in a form and
manner specified by the Coast Guard.
(i) When a criminal record review or a safety and security check
leads the Coast Guard to determine that an applicant is not a safe and
suitable person (as defined in Sec. 12.01-6) or cannot be entrusted
with the duties and responsibilities of the merchant mariner's document
for which application is made, the application may be disapproved.
(ii) If an application is disapproved, the applicant will be
notified in writing of the fact, and, except as provided by this
paragraph, the reason or reasons for, disapproval and advised that the
appeal procedures in Sec. 1.03 of this chapter apply. No examination
will be given pending decision on appeal. The applicant will be
notified in writing of the reason or reasons for disapproval, unless
the Coast Guard determines that such disclosure of information is
prohibited by law, regulation, or agency policy, in which case the
reason(s) will not be disclosed.
* * * * *
0
6. In Sec. 12.02-5, in paragraph (b) remove the term ``CG-719'' and
add, in its place, the term ``CG-719B''.
0
7. In Sec. 12.02-9, revise the first and second sentence of paragraph
(a) and paragraphs (g) and (h) to read as follows:
Sec. 12.02-9 Application for documents.
(a) General. The Coast Guard will not process an incomplete
merchant mariner's document application. It will process an application
that is current and up-to-date with respect to service, physical
examination, and other pertinent matters.
* * * * *
(g) Each applicant for a merchant mariner's document may be subject
to a criminal record review and a safety and security check as
described by Sec. 12.02-4(c).
(h) Each applicant for a merchant mariner's document shall comply
with the NDR requirements in Sec. 12.02-4(d).
0
8. Add Sec. 12.02-12 to read as follows:
Sec. 12.02-12 Identity.
(a) Each person applying for a merchant mariner's document shall
present acceptable proof of identity. Proof of identity shall consist
of two current forms of identification, one of which shall contain a
photo of the applicant. The Coast Guard may require other
identification information reasonably necessary to prove the
applicant's identity.
(b) The following credentials are acceptable proof of identity:
(1) Unexpired U.S. military identification card;
(2) Unexpired U.S. driver's license;
(3) Unexpired U.S. passport;
(4) Unexpired official identification card issued by a federal,
State, or local government or by a territory or possession of the U.S.
(including a federal employee's identification credential);
(5) Unexpired port credential, with photo of the applicant, issued
by State or local port authority;
(6) Unexpired law enforcement credential, with photo of the
applicant;
(7) Unexpired merchant mariner's document issued after February 3,
2003;
(8) Unexpired foreign passport; or
(9) Birth Certificate or Birth Registration, issued by a State,
county, municipality or outlying possession of the U.S.
0
9. In Sec. 12.02-13, revise paragraphs (b) and (c) to read as follows:
Sec. 12.02-13 Citizenship requirements.
* * * * *
(b) The OCMI may reject any evidence of citizenship that is not
believed to be authentic. Acceptable evidence of citizenship may be an
original or a copy certified as true by the agency responsible for
issuing the document of the following:
(1) Birth certificate or birth registration;
(2) Certificate of naturalization (original must be presented;
photocopies are unlawful);
(3) Baptismal certificate or parish record recorded within one year
after birth;
(4) Statement of a practicing physician certifying the physician's
attendance at the birth and who possesses a record showing the date and
location at which it occurred;
(5) State Department passport;
(6) A merchant mariner's document issued by the Coast Guard after
February 3, 2003, that shows that the holder is a citizen of the U.S.;
(7) Delayed certificate of birth issued under a state seal in the
absence of any collateral facts indicating fraud in its procurement; or
(8) Certificate of Citizenship issued by the United States
Immigration and Naturalization Service or by the Bureau of Citizenship
and Immigration Services;
(c) If the applicant can not meet the requirements set forth in
paragraphs (b)(1) through (8) of this section, the applicant must make
a statement to that effect, and may submit data of the following
character for consideration:
(1) Report of the Census Bureau showing the earliest available
record of age or birth.
(2) Affidavits of parents, other relative, or two or more
responsible citizens of the U.S. stating citizenship.
(3) School records, immigration records, or insurance policies.
0
10. In Sec. 12.02-17, revise the heading and the introductory text of
paragraph (c); revise paragraph (c)(2) and remove paragraph (c)(3);
revise paragraph (d) and add paragraph (h) to read as follows:
Sec. 12.02-17 Preparation and issuance of documents.
* * * * *
(c) When a person applies for a merchant mariner's document, he or
she must--
* * * * *
(2) Provide acceptable proof of identity as described in Sec.
12.02-12.
(d) For recordkeeping purposes, the official identification number
is a seaman's social security number.
* * * * *
(h) The mariner shall return the previous MMD when a new MMD is
issued.
0
11. Revise Sec. 12.02-23(e) and add (g) to read as follows:
Sec. 12.02-23 Issuance of duplicate documents.
* * * * *
(e) If a merchant mariner's document or service record is lost, the
seaman may obtain a duplicate by following the procedures in paragraph
(c) of this section and by signing an affidavit, before the OCMI or a
designated representative, explaining the loss of the document or
service record. The Coast Guard will not process any application for a
duplicate merchant mariner's document unless the applicant complies
with the requirements of Sec. 12.02-9.
* * * * *
(g) The Coast Guard may deny applications for duplicate merchant
mariner's documents for any reason listed in Sec. 12.02-4.
0
12. Revise Sec. 12.02-24 to read as follows:
Sec. 12.02-24 Reporting loss of continuous discharge book, merchant
mariner's document, or certificate of discharge.
Whenever a mariner loses a continuous discharge book, merchant
mariner's document, or certificate of discharge, the mariner shall
immediately report the loss to the nearest OCMI. The report shall be
made in writing giving the facts incident to its loss.
0
13. In Sec. 12.02-27, revise the introductory text of paragraph (a)
and
[[Page 533]]
paragraphs (a)(1), (a)(2), (a)(3), (e)(3)(i)(A), and (e)(3)(i)(B);
redesignate paragraphs (e)(3)(i)(C) and (e)(3)(i)(D) as paragraphs
(e)(3)(i)(D) and (e)(3)(i)(E), respectively; and add new paragraphs
(e)(3)(i)(C) and (e)(5) to read as follows:
Sec. 12.02-27 Requirements for renewal of a merchant mariner's
document.
(a) General. Except as provided in paragraph (g) of this section,
an applicant for renewal of a merchant mariner's document shall
establish possession of all of the necessary qualifications before the
document is renewed. The Coast Guard will not process an application
until the applicant has submitted a complete application package that
complies with the requirements of Sec. 12.02-9. A request for a
renewed merchant mariner's document may be denied for any reason listed
in Sec. 12.02-4.
(1) Each application for a merchant mariner's document must be made
on form CG-719B furnished by the Coast Guard and be accompanied by the
evaluation fee (including examination and issuance fees when required)
established in Table 12.02-18 of Sec. 12.02-18. Each application must
contain all necessary proofs of qualifications, identity, and
citizenship or nationality. It must be current and up-to-date with
respect to service, the physical examination, and all other pertinent
matters.
(2) The applicant may apply either in person at any Regional
Examination Center listed in Sec. 12.01-7(a) or by mail under
paragraph (e)(3) of this section.
(3) Each applicant who elects to renew by mail shall submit the
merchant mariner's document with his or her application. If a document
is submitted, it will not be returned to the applicant. A photocopy of
a merchant mariner's document showing both the front and the back of
the document may be submitted in place of the existing document.
* * * * *
(e) * * *
(3) * * *
(i) * * *
(A) A completed application and the evaluation fee (including
examination and issuance fees when required) established in Table
12.02-18 in Sec. 12.02-18.
(B) The document to be renewed, or, if it has not expired, a
photocopy of it, showing both the front and the back.
(C) A copy (both front and back if the credentials are printed on
two sides) of two credentials deemed acceptable proofs of identity in
Sec. 12.02-12, one of which must be a photo identification.
* * * * *
(5) Each applicant applying for renewal by mail must appear in
person at an REC at least one time during the application process to
obtain a renewed merchant mariner's document. At that time, the
applicant must show the same proofs of identity submitted with the
application package as required by paragraph (e)(3)(i)(C) of this
section. No other proofs of identity will be accepted. At the time the
applicant appears in person at the REC, the applicant shall provide
fingerprints in a form and manner specified by the Coast Guard. The
applicant shall return the expired or expiring document to the Coast
Guard. If the applicant has applied in person, shown the proofs of
identity, submitted the expired or expiring document with the
application, and provided fingerprints, then the renewed document may
be mailed to an address provided by the applicant. * * *
Dated: December 29, 2003.
Thomas H. Gilmour,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety,
Security and Environmental Protection.
[FR Doc. 03-32318 Filed 12-31-03; 12:19 pm]
BILLING CODE 4910-15-U