46 CFR 515- Licensing, Financial Responsibility Requirements, and General Duties for Ocean Transportation Intermediaries and Related Forms.

Forms and Documents

Document Name	Status
Form FMC-18 OTI Licensing Form and Instruction	Modified
Form FMC-65 Foreign-Based Unlicensed NVOCCs Form	Unchanged
Form FMC-48A Proof of Financial Responsibility - Optional Rider Form	Unchanged
Form FMC-48 Proof of Financial Responsibility Form	Unchanged
OMB Supporting Statement for part 515 Final Rule (revised).docx Supporting Statement A	2013-07-09

IC Document Collections

IC ID	Document Title	Status
32181	OTI Licensing Form and Instruction	Modified
206263	Foreign-Based Unlicensed NVOCCs Form	Unchanged
180149	Proof of Financial Responsibility - Optional Rider Form	Unchanged
180137	Proof of Financial Responsibility Form	Unchanged

ICR Details

OMB Control No: 3072-0018	ICR Reference No: 201307-3072-003
Status: Historical Active	Previous ICR Reference No: 201303-3072-001
Agency/Subagency: FMC	Agency Tracking No:
Title: 46 CFR 515- Licensing, Financial Responsibility Requirements, and General Duties for Ocean Transportation Intermediaries and Related Forms.
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 07/22/2013
	Date Received in OIRA: 07/02/2013
Terms of Clearance: As shown by the changes to this submission, FMC shall continue to report consistent and accurate estimates for the time and cost burdens of this collection.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2016	36 Months From Approved	03/31/2016
Responses	12,975	0	11,692
Time Burden (Hours)	5,484	0	5,163
Cost Burden (Dollars)	0	0	151,474

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Abstract: Information obtained under 46 CFR 515 and through Form FMC-18 is used to determine the qualifications of ocean transportation intermediaries (OTIs) and their compliance with shipping statutes and regulations and to enable the FMC to discharge its duties under the Shipping Act of 1984, as amended, by ensuring that OTIs maintain acceptable evidence of financial responsibility. The types of respondents are persons desiring to obtain a license to act as an OTI; under the Act, OTIs may be either an ocean freight forwarder, a non-vessel-operating common carrier, or both.

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Authorizing Statute(s): US Code: 46 USC 40101-41309 Name of Law: Shipping Act of 1984
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3072-AC46	Final or interim final rulemaking	78 FR 42886	07/18/2013

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
OTI Licensing	FMC-18	Application for a License as an Ocean Transportation Intermediary
Proof of Financial Responsibility - Optional Rider	FMC-69A, FMC-48A	Optional Rider for Additional NVOCC Financial Responsibility ,   Optional Rider for Additional NVOCC Financial Responsibility for Group Bonds
Proof of Financial Responsibility	FMC-69, FMC-67, FMC-68, FMC-48	Ocean Transportation Intermediary (OTI) Bond ,   Ocean Transportation Intermediary Insurance Form Furnished as Evidence of Financial Responsibility Under 46 U.S.C. app. 1718 ,   Guaranty in Respect of Ocean Transportation Intermediary Liability for Damages, Reparations or Penalties Arising from Transportation-Related Activities Under the Shipping Act of 1984, as amended. . . ,   Ocean Transportation Intermediary Group Supplemental Coverage Bond Form
Foreign-Based Unlicensed NVOCCs	FMC-65	Foreign-Based Unlicensed NVOCC Registration/Renewal

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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	12,975	11,692	0	1,283	0	0
Annual Time Burden (Hours)	5,484	5,163	0	321	0	0
Annual Cost Burden (Dollars)	0	151,474	0	-151,474	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: Foreign-based, unlicensed NVOCCs must be registered with the Commission in accordance with § 515.19 of the Commission's proposed rule. Foreign-based, unlicensed NVOCCs are not subject to licensing. Without the collection of the information obtained through registration of foreign-based, unlicensed NVOCCs, however, the Commission basically has only the name and address of such NVOCCs. Those concerns brought to light the need for a registration process for foreign-based, unlicensed NVOCCs. The registration process requires such NVOCCs submit a registration form to the Commission that identifies the NVOCCs' legal name, trade name(s), principal address, contact information, including name and address of a contact person, and the name and address of the contact person for the designated legal agent for service of process in the United States. With the information newly-collected from foreign-based, unlicensed NVOCCs, the Commission proposes that it will be able to better protect the shipping public in the United States. Reduction in annual cost burden due to the removal of filing fees incurred by respondents as they are only necessary to include if they fund a cost to the USG.

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Annual Cost to Federal Government: $1,228,522

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

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Common Form ICR:  No

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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: 07/02/2013

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