View Information Collection Request (ICR) Package
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View Supporting Statement and Other Documents
Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3072-0012
ICR Reference No:
202010-3072-002
Status:
Historical Active
Previous ICR Reference No:
201702-3072-001
Agency/Subagency:
FMC
Agency Tracking No:
Title:
46 CFR Part 540 - Application for Certificate of Financial Responsibility
Type of Information Collection:
Reinstatement with change of a previously approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
04/15/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
12/01/2020
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
04/30/2024
36 Months From Approved
Responses
445
0
0
Time Burden (Hours)
1,233
0
0
Cost Burden (Dollars)
49,204
0
0
Abstract:
Sections 2 and 3 of P.L. 89-777 (46 USC 44101-44106) require owners or charterers of passenger vessels with 50 or more passenger berths or stateroom accommodations and embarking passengers at US ports and territories to establish their financial responsibility to meet liability incurred for death or injury to passengers and other persons, and to indemnify passengers in the event of nonperformance of transportation. The FMC's Rules at 46 CFR Part 540 implement Public Law 89-777 and specify financial responsibility coverage requirements for such owners and charterers.
Authorizing Statute(s):
PL:
Pub.L. 89 - 777 2 and 3
Name of Law: Safety at Sea Act
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
85 FR 21233
04/16/2020
30-day Notice:
Federal Register Citation:
Citation Date:
85 FR 67739
10/26/2020
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
18
IC Title
Form No.
Form Name
46 CFR 540 - Application for Certificate of Financial Responsibility
FMC-131
Application for Certificate of Financial Responsibility
Application Change - Performance Certificants
Application Change - Casualty Certificants
Coverage Requirement - Performance Certificants
Escrow Agreement - New and Amended
File Evidence of Charter Arrangements w/FMC - Casualty Certificants
Furnish Written Designation of Legal Agent - Casualty Certificants
Furnish Written Designation of Legal Agent - Performance Certificants
Guaranties - Performance Certificates - New and Amended
FMC 133A
Guaranty in Respect of Liability for Nonperformance, Section 3 of the Act
Independent Auditors Reports to Escrow Agents and Commission
Notify FMC of Arrangements for Which Performance Certificant Does Not Assume Financial Responsibility
Recomputation Certificates to Commission and Escrow Agent
Reports by Escrow Agents to Operators/Charters & Commission
Surety Bonds - Performance Certificants - New and Amended
FMC-132A
Passenger Vessel Surety Bond
Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants
FMC 133B, FMC 132B
Passenger Vessel Surety Bond
,
Guaranty in Respect of Liability for Death or Injury
Termination and Cancellation of Coverage - Performance Certificants
Termination/Cancellation of Financial Responsibility Coverage - Casualty Certificants
Unearned Passenger Revenue Reports - Performance Certificants
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
445
0
0
-246
0
691
Annual Time Burden (Hours)
1,233
0
0
-10
0
1,243
Annual Cost Burden (Dollars)
49,204
0
0
49,204
0
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Miscellaneous Actions
Burden decreases because of Program Change due to Agency Discretion:
Yes
Burden Reduction Due to:
Miscellaneous Actions
Short Statement:
Form FMC-131 is being revised to make the form more intuitive and easier to understand. Twelve fields have been eliminated due to being captured on the financial instrument and we have reduced several questions regarding financial responsibility into two questions. Additionally, information will be collected in a data format, as opposed to receiving this information in a narrative format, which will assist us in analyzing the submissions.
Annual Cost to Federal Government:
$175,171
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
No
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
No
Agency Contact:
Sandra Kusumoto 202 523-5787 otibonds@fmc.gov
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
12/01/2020
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