46 CFR Part 540 - Application for Certificate of Financial Responsibility

Forms and Documents

Document Name	Status
Form FMC-131 46 CFR 540 - Application for Certificate of Financial Responsibility Form	Unchanged
Form FMC 132B Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants Form	Unchanged
Form FMC-132A Surety Bonds - Performance Certificants - New and Amended Form	Unchanged
Form FMC 133A Guaranties - Performance Certificates - New and Amended Form	Unchanged
PVO Forms - Response to OMB Questions[1].docx Supplementary Document	2011-09-30
3072-0012 - PVO supporting statement rev..doc Supporting Statement A	2011-09-30

IC Document Collections

IC ID	Document Title	Status
32177	46 CFR 540 - Application for Certificate of Financial Responsibility Form	Unchanged
185630	File Evidence of Charter Arrangements w/FMC - Casualty Certificants	Unchanged
185629	Furnish Written Designation of Legal Agent - Casualty Certificants	Unchanged
185628	Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants Form	Unchanged
185627	Termination/Cancellation of Financial Responsibility Coverage - Casualty Certificants	Unchanged
185618	Notify FMC of Arrangements for Which Performance Certificant Does Not Assume Financial Responsibility	Unchanged
185617	Unearned Passenger Revenue Reports - Performance Certificants	Unchanged
185616	Furnish Written Designation of Legal Agent - Performance Certificants	Unchanged
185615	Surety Bonds - Performance Certificants - New and Amended Form	Unchanged
185614	Exemption whole-ship charters - furnish copy of contract w/in 30 days	Unchanged
185613	Guaranties - Performance Certificates - New and Amended Form	Unchanged
185612	Independent Auditors Reports to Escrow Agents and Commission	Unchanged
185611	Reports by Escrow Agents to Operators/Charters & Commission	Unchanged
185610	Recomputation Certificates to Commission and Escrow Agent	Unchanged
185608	Escrow Agreement - New and Amended	Unchanged
185607	Termination and Cancellation of Coverage - Performance Certificants	Unchanged
185606	Coverage Requirement - Performance Certificants	Unchanged
185592	Application Change - Casualty Certificants	Unchanged
185591	Application Change - Performance Certificants	Unchanged

ICR Details

OMB Control No: 3072-0012	ICR Reference No: 201109-3072-008
Status: Historical Active	Previous ICR Reference No: 201105-3072-002
Agency/Subagency: FMC	Agency Tracking No:
Title: 46 CFR Part 540 - Application for Certificate of Financial Responsibility
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 10/04/2011
	Date Received in OIRA: 09/30/2011
Terms of Clearance: FMC clarified its calculation methodology for the number of responses and recordkeeping burden. FMC plans to revise the passenger vessel forms related to performance as part of a forthcoming NPRM.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2014	36 Months From Approved	10/31/2011
Responses	645	0	791
Time Burden (Hours)	1,294	0	1,478
Cost Burden (Dollars)	13,912	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:
	76 FR 24881	05/03/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 44327	07/25/2011
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 19

IC Title	Form No.	Form Name
46 CFR 540 - Application for Certificate of Financial Responsibility	FMC-131	Application for Certificate of Financial Responsibility
Termination and Cancellation of Coverage - Performance Certificants
Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants	FMC 133B, FMC 132B	Passenger Vessel Surety Bond ,   Guaranty in Respect of Liability for Death or Injury
Furnish Written Designation of Legal Agent - Casualty Certificants
File Evidence of Charter Arrangements w/FMC - Casualty Certificants
Recomputation Certificates to Commission and Escrow Agent
Unearned Passenger Revenue Reports - Performance Certificants
Notify FMC of Arrangements for Which Performance Certificant Does Not Assume Financial Responsibility
Escrow Agreement - New and Amended
Surety Bonds - Performance Certificants - New and Amended	FMC-132A	Passenger Vessel Surety Bond
Independent Auditors Reports to Escrow Agents and Commission
Reports by Escrow Agents to Operators/Charters & Commission
Guaranties - Performance Certificates - New and Amended	FMC 133A	Guaranty in Respect of Liability for Nonperformance, Section 3 of the Act
Furnish Written Designation of Legal Agent - Performance Certificants
Exemption whole-ship charters - furnish copy of contract w/in 30 days
Application Change - Performance Certificants
Termination/Cancellation of Financial Responsibility Coverage - Casualty Certificants
Coverage Requirement - Performance Certificants
Application Change - Casualty 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	645	791	0	0	-146	0
Annual Time Burden (Hours)	1,294	1,478	0	0	-184	0
Annual Cost Burden (Dollars)	13,912	0	0	0	13,912	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

---

Annual Cost to Federal Government: $162,618

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

---

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: 09/30/2011

---