PRA-2126-0013.SS.Revision.DS.AWS.121415.Use

Department of Transportation

Office of the Chief Information Officer

SUPPORTING STATEMENT

Motor Carrier Identification Report

INTRODUCTION

This is to request the Office of Management and Budget’s (OMB) approval for the revision of the OMB Control Number 2126-0013 titled, “Motor Carrier Identification Report,” information collection request (ICR), which is due to expire on December 31, 2015. This ICR is being revised due to a Final Rule titled, “Unified Registration System (80 FR 63695) dated October 21, 2015 (Attachment A) which changed the effective and compliance dates for the on-line Unified Registration System (URS) from October 23, 2015 in the URS Final Rule, (78 FR 52608) dated August 23, 2013 (Attachment B) to September 30, 2016. As a result, FMCSA is seeking approval to continue using the Forms MCS-150, MCS-150 B and MCS-150C in this ICR thru September 30, 2016 because these forms will still be needed to support registration processes for entities subject to FMCSA’s regulations. 

Part A. Justification.

1. Circumstances that make collection of information necessary.

The Department of Transportation and Related Agencies Appropriations Act for fiscal year 2002, Public Law 107-87, 115 Stat. 833, dated December 18, 2001 (see Attachment C), directed the agency to issue an interim final rule (IFR) to ensure that new entrant motor carriers are knowledgeable about the Federal Motor Carrier Safety Regulations (FMCSRs) and standards. On May 13, 2002, the agency published an IFR entitled, “New Entrant Safety Assurance Process” (67 FR 31978) (see Attachment D).

All motor carriers (not domiciled in Mexico) applying for the first time to operate in interstate commerce are “new entrants.” Such carriers are required to certify that they are knowledgeable about and will comply with the FMCSRs (see 49 CFR Part 385 et seq., Attachment E). This must be done in order to receive a USDOT number and begin interstate operations within the United States.

On June 30, 2004, FMCSA revised this ICR due to a program change set forth in a final rule entitled, “Federal Motor Carrier Safety Regulations: Hazardous Materials Safety Permits” (69 FR 39350) (see Attachment F), that increased the population of motor carriers required to complete FMCSA Form MCS-150, “Motor Carrier Identification Report—Application for a USDOT Number.” The final rule adopted a slightly expanded list of hazardous materials (HM) that require motor carriers to have a permit to transport, comprised of the statutory list and additional explosive and toxic by inhalation (TIH) materials in certain quantities as appropriate. The final rule also established FMCSA Form MCS-150B, “Combined Motor Carrier Identification Report and HM Permit Application,” for submission by all motor carriers that transport any of the permitted HM.

On December 16, 2008, FMCSA revised this ICR due to a program change set forth in a final rulemaking entitled, “New Entrant Safety Assurance Process,” (73 FR 76472) (see Attachment G), that raised the standard of compliance for passing the new entrant safety audit. The agency eliminated FMCSA Form MCS-150A, “Safety Certification for Application for USDOT Number.” The elimination of the MCS-150A form was the only portion of this final rule with

Paperwork Reduction Act (44 U.S.C. 3501 et seq.) implications for the OMB Control No. 2126-0013 ICR.

On December 17, 2008, FMCSA revised this ICR due to a program change set forth in a final rule entitled, “Requirements for Intermodal Equipment Providers and for Motor Carriers and Drivers Operating Intermodal Equipment,” (73 FR 76794) (see Attachment H). This regulation required intermodal equipment providers (IEPs) to: register and file with FMCSA an Intermodal Equipment Provider Report (Form MCS-150C) and update it every two years; establish a systematic inspection, repair, and maintenance program to assure the safe operating condition of each intermodal chassis; maintain documentation of their maintenance program; and provide a means to effectively respond to driver and motor carrier reports about intermodal chassis mechanical defects and deficiencies.

The Final Rule titled, “Unified Registration System,” (78 FR 52608) dated August 23, 2013 (Attachment B) implemented statutory provisions for an on-line registration system in the ICC Termination Act of 1995 (ICCTA) (Attachment C) and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users, 2005 (SAFETEA-LU) (Pub. L. 109-59 (Aug. 10, 2005). The URS would streamline the registration process and serve as a clearinghouse and repository of information on, and identification of motor carriers, brokers, freight forwarders, intermodal equipment providers (IEPs), hazardous materials safety permit (HMSP) applicants, and cargo tank facilities required to register with FMCSA. This ICR previously covered registration requirements non-exempt for-hire carriers, freight forwarders, and property brokers. Under the URS final rule, eventually, all forms, except the MCS-150, in this ICR are folded into the Form MCSA-1 in the OMB Control Number 2126-0051 titled, “FMCSA Registration/Updates,” ICR on October 23, 2015. The Form MCS-150 would be retained for the small number of Mexico-domiciled carriers that seek authority to operate beyond the United States municipalities on the United States-Mexico border and their commercial zones because they are not included within the scope of the URS rule.

The Final Rule titled, “Unified Registration System,” (80 FR 63695) dated October 21, 2015 (Attachment A) changed the effective and compliance dates of the 2013 URS Final Rule in order to allow FMCSA additional time to complete the information technology (IT) systems work required to fully implement that rule. This change will require the continued use of the Forms MCS-150, MCS-150B and MCS-150C in this ICR until September 30, 2016 because these forms are still needed to support registration processes for entities subject to FMCSA’s regulations. After this date, all forms except the MCS-150 in this ICR will be folded into the Form MCSA-1 in the OMB Control Number 2126-0051 titled, “FMCSA Registration/Updates,” ICR. The Form MCS-150 will be retained for the small number of Mexico-domiciled carriers that seek authority to operate beyond the United States municipalities on the U.S.-Mexico border because they are not included in the scope of the URS.

This information collection supports the Department’s strategic goal of safety by establishing and monitoring safe operating requirements for motor carriers, commercial vehicle drivers, vehicles, and vehicle equipment.

2. How, by whom, and for what purpose is the information used.

The information on the Motor Carrier Identification Report (Form MCS-150) is used by the FMCSA to identify its regulated entities, to help prioritize the agency’s enforcement activities, to aid in assessing the safety outcomes of those activities and for statistical purposes.

FMCSA implemented the “Federal Motor Carrier Safety Regulations: Hazardous Materials Safety Permits” final rule (see Attachment F) to require all HM-permitted carriers to complete a new Form MCS-150B entitled, “Consolidated Motor Carrier Identification Report and HM Permit Application,” to provide the limited additional information required for issuance of a safety permit to transport hazardous materials. The safety program now requires all HM permitted carriers to complete Form MCS-150B in place of the current Form MCS-150. In addition, HM-permitted carriers must complete the MCS-150B in place of the MCS-150 to “renew” both their permit and their USDOT numbers according to the USDOT number renewal schedule in 49 CFR § 390.19 (see Attachment I). FMCSA implemented the “Requirements for Intermodal Equipment Providers and for Motor Carriers and Drivers Operating Intermodal Equipment,” (see Attachment H) final rule to require all intermodal equipment providers to complete Form MCS-150C entitled, "Intermodal Equipment Provider Identification Report" in order to register with the Agency and receive a USDOT number.  FMCSA now regulates intermodal equipment providers and requires them to complete Form MCS-150C, instead of Form MCS-150.  In addition, intermodal equipment providers must complete Form MCS-150C to update their USDOT number record according to the USDOT number update schedule in 49 CFR 390.19.

This ICR has been disaggregated into three information collections (ICs) as follow:

1. IC-1, Form MCS-150, Motor Carrier Identification Report. The Form MCS-150 is filed by all motor carriers conducting operations in interstate or international commerce before beginning operations.

2. IC-2, Form MCS-150B, Combined Motor Carrier Identification and HM Permit
   Application. The Form MCS-150B is filed by interstate motor carriers that transport the permitted hazardous materials.

3. IC-3, Form MCS-150C, Intermodal Equipment Provider Identification Report. The Form MCS-150C is filed by intermodal equipment providers that interchange intermodal equipment with a motor carrier or has a contractual responsibility for the maintenance of the intermodal equipment.

3. Extent of automated information collection.

In response to the Government Paperwork Elimination Act, Pub. L. 105-277, 112 Stat. 2681, (See Attachment J), FMCSA allows all respondents to complete Forms MCS-150 and MCS-150B on-line at the FMCSA Web site, http://www.fmcsa.dot.gov/factsfigs/ formspubs.htm. The Form MCS-150C may be obtained on-line at the FMCSA website, http://www.fmcsa.dot.gov/rules-regulations/topics/IEP/registration.htm. The FMCSA estimates the percentage of forms submitted annually to the agency on-line as follows:

On-line Submission of MCS-150 Forms

Forms New Changes

MCS-150 70% 40%

MCS-150B 60% 85%

MCS-150C 80% 80%

4. Efforts to identify duplication.

The FMCSA was unable to find any other collections of information that requests this information.

5. Efforts to minimize the burden on small businesses.

The DOT Appropriations Act for fiscal year 2002, (Attachment C) directed the agency to issue an interim final rule to ensure that new entrant motor carriers are knowledgeable about Federal safety standards and regulations. The requirement to submit this information applies to all motor carriers conducting operations in interstate commerce regardless of size.

6. Impact of less frequent collection of information.

The FMCSA believes that a longer update cycle simply will not provide the agency with the basic data it needs to perform its safety mission efficiently or effectively.

7. Special circumstances.

There are no special circumstances related to this information collection.

8. Compliance with 5 CFR 1320.8.

On August 21, 2015, FMCSA published a notice in the Federal Register (80 FR 50914) (Attachment K) with a 60-day comment period announcing its intention to seek OMB review and approval to revise this ICR. The agency received one comment in response to this notice. The anonymous commenter only stated “Good.” The FMCSA in response agrees with the anonymous commenter.

On December 14, 2015, FMCSA published a notice in the Federal Register (80 FR 77408) (Attachment L) with a 30-day comment period that announced that FMCSA was sending this ICR to OMB for approval.

9. Payment or gifts to respondents.

Respondents are not provided with any payment or gift for this information collection.

10. Assurance of confidentiality.

The confidentiality of the information collected from the ICR respondents will be protected to the extent allowed by the Freedom of Information Act (FOIA), 5 U.S.C. § 552 as amended, (Attachment M).

11. Justification for collection of sensitive information.

There are no questions of a sensitive nature.

12. Estimates of burden hours for information requested.

IC-1: Form MCS-150, Motor Carrier Identification Report

The annual burden hour estimates are based on motor carrier application data derived from FMCSA’s Motor Carrier Management Information System (MCMIS). FMCSA estimates that the respondents will complete the Form MCS-150 as follows: (1) 20 minutes for new filings; 2) 10 minutes for biennial updates; and (3) 5 minutes for changes. MCMIS is, however, unable to differentiate between the changes made to MCS-150 information due to biennial updates and other changes, including the reason for the change. FMCSA in the past has tried to estimate which changes were due to biennial updates and which were other changes, but it is questionable whether this actually improved the accuracy of the burden estimates. Consequently, FMCSA has decided to use an estimate of 7.5 minutes, the average of 10 minutes for biennial updates, and 5 minutes for other changes, for any change to MCS-150 data logged in MCMIS. With the delay in implementation of the URS, form MCS-150 will continue to be used by all previous respondents until September 30, 2016, and then by Mexican domiciled carriers for the second and third years of this update. Sums might not match totals due to rounding.

Table 1: Annual Burden for IC-1
	Year 1				Years 2 and 3
MCS 150	New Filings	Biennial Updates and Changes	Total	Total Respondents	New Filings	Biennial Updates and Changes	Total	Total Respondents
Interstate Carriers	52,151	376,887	429,038	750,515	396	2,026	2,422	15,226
Intrastate Hazmat Carriers	1,182	6,558	7,740	24,137	0	1	1	6
Intrastate Non-Hazmat Carriers	43,222	72,763	115,985	615,513	0	0	0	8
Other (Shipper & Registrants)	4,708	17,626	22,334	45,046	0	2	2	51
Total	101,263	473,834	575,097	1,435,211	396	2,030	2,426	15,291
Minutes per Response	20	7.5			20	7.5
Annual Hourly Burden	33,754	59,229	92,984		132	254	386

Estimated Average Annual Total IC-1 Annual Burden: 31,123 hours [(101,263 new filings × 20 minutes ÷ 60 minutes) + (473,834 biennial updates and changes × 7.5 minutes ÷ 60 minutes in Year 1) + (396 new filings × 20 minutes ÷ 60 minutes) + (2,030 biennial updates and changes × 7.5 minutes ÷ 60 minutes) in Year 2 + (2,030 biennial updates and changes × 7.5 minutes ÷ 60 minutes) in Year 3 = 93,370/3 year approval = 31,123].

Estimated Average IC-1 Annual Number of Respondents: 488,598 respondents [(1,435,211 in Year 1) + (15,291 in each of Year 2) + (15,291 in Year 3) = 93,370 /3 year approval period = 488,598].

Estimated Average IC-1 Annual Number of Responses: 193,316 responses [(575,097 in Year 1) + (2,426 in Year 2) + (2,426 in Year 3) = 579,949/3 year approval period = 193,316].

IC-2: Form MCS-150B, Combined Motor Carrier Identification Report and HM Permit Application

Interstate motor carriers already must complete the MCS-150 and will only incur an additional 6-minute burden to check off a few additional boxes on the MCS-150B form. It is estimated that the respondents will take 5 minutes on average to complete a change request. With the delay in implementation of the URS, form MCS-150B will continue to be used by all previous respondents for one year, and then will not be used for the second and third years of this update. Sums might not match totals due to rounding.

Table 2: Annual Burden for IC-2
	Year 1				Years 2 and 3
MCS-150B	New Filings	Biennial Updates and Changes	Total	Total Respondents	New Filings	Biennial Updates and Changes	Total	Total Respondents
Interstate Carriers	192	3,442	3,634	2,371	0	0	0	0
Intrastate Hazmat Carriers	72	508	580	718	0	0	0	0
Intrastate Non-Hazmat Carriers	25	122	148	119	0	0	0	0
Other (includes Shipper & Registrants)	51	774	825	679	0	0	0	0
Total	340	4,847	5,187	3,888	0	0	0	0
Minutes per Response	6	5			6	5
Annual Hourly Burden	34	404	438		0	0	0

Estimated Average Total IC-2 Annual Burden: 146 hours [(340 new filings × 6 minutes ÷ 60 minutes) + (4,847 changes × 5 minutes ÷ 60 minutes) in year 1) + (0 hour in Year 2) + (0 hour in Year 3) = 438 hours/3 year approval = 146].

Estimated Average IC-2 Annual Number of Respondents: 1,296 respondents (3,888 respondents in Year 1) + (0 respondent in Year 2) + (O respondent in Year 3) = 3,888/3 year approval period = 1,296].

Estimated Average IC-2 Annual Number of Responses: 1,729 responses (5,187 responses in Year 1) + (0 response in Years 2) + (0 response in Year 3) = 5,187/3 year approval period = 1,729].

IC-3: Form MCS-150C, Intermodal Equipment Provider Identification Report

Intermodal equipment providers file Form MCS-150C. FMCSA estimates the Form MCS-150C would take 20 minutes the first time that IEPs file this report, and that biennial updates or changes to this information would take 7.5 minutes. With the delay in implementation of the URS, form MCS-150C will continue to be used by all previous respondents for one year, and then will not be used for the second and third years of this update. Sums might not match totals due to rounding.

Table 3: Annual Burden for IC-3
	Year 1				Years 2 and 3
MCS-150C	New Filings	Biennial Updates and Changes	Total	Total Respondents	New Filings	Biennial Updates and Changes	Total	Total Respondents
Total	6	25	31	93	0	0	0	0
Minutes per Response	20	7.5			20	7.5
Annual Hourly Burden	2	3	5		0	0	0

Estimated Average Total IC-3 Annual Burden: 2 hours [5 hours = (6 new filings × 20 minutes ÷ 60 minutes) + (25 biennial updates and changes × 7.5 minutes ÷ 60 minutes) in Year 1) + (0 hour in Years 2) + (O hour in Year 3) = 5/3 year approval = 2].

Estimated Average IC-3 Annual Number of Respondents: 31 respondents (93 in Year 1) + (0 in Yeas 2) + (0 in Year3) = 93/3 year approval = 31].

Estimated Average vIC-3 Annual Number of Responses: 10 responses (31 in year 1, 0 in years 2 and 3) = 31/3 year approval = 10].

Total for IC-1, IC-2, and IC-3

	Annual Burden	Responses	Respondents
IC-1	31,123	193,316	488,598
IC-2	146	1,729	1,296
IC-3	2	10	31
Total	31,271	195,055	489,925

Estimated Total Annual Burden for ICR: 31,271hours [(31,123 hours for IC-1) + (146 hours for IC-2) + (2 hours for IC-3) = 31,271].

Estimated Total Number of Annual Respondents for ICR: 489,925 [(488,598 respondents for IC-1) + (1,296 respondents for IC-2) + (31 respondents for IC-3) = 489,925].

Estimated Total Number of Annual Responses for ICR: 195,055 [(193,316 responses for IC-1) + (1,729 responses for IC-2) + (10 responses for IC-3) = 195,055].

13. Estimate of total annual cost to respondents.

There are no other costs to respondents if they use the pre-paid return form.

14. Estimate of cost to the Federal Government.

The costs to the Federal Government from this information collection are associated with printed paper registration forms submitted by mail. FMCSA prints and mails these forms, as requested, to filers, and pays for return postage. The Agency estimates that the cost of printing and mailing ($0.49 postage each way) in total is about $1.00 for each form. In addition, the information from these forms must be manually entered. FMCSA estimates that it takes a clerk 2 to 9 minutes per form, or 5.5 minutes on average, to process a form at an hourly rate of $27.96, or about $2.50 per form (5.5 minutes/60 minutes × $27.96 per hour =$2.56).

	IC-1: MCS150	IC-2: MCS150B	IC-3: MCS150C	Number of Forms	Cost per Form	Total Cost
Printing and Postage of Forms Submitted by Mail	34,019	113	2	34,134	$1.00	$34,134
Data Entry	34,019	113	2	34,134	$2.56	$87,383
Total Estimated Annual Costs						$121,517

Estimate of Average Annual Cost to Federal Government: $40,506 [(34,134 mailed forms x $1.00 per form) + (34,134 forms x $2.56 per form for data entry) = $121,517/3 year approval period = $40,506].

15. Explanation of program changes or adjustments.

The program adjustment decrease of -62,521 estimated annual burden hours [93,792 approved annual hours – 31,271 proposed annual hours = 62,521] for this ICR is due primarily to a decrease of -344,559 in the estimated annual number of responses [539,616 currently approved annual responses – 195,055 proposed annual responses = 344,559], as shown below. The number of responses to this information collection will decrease because FMCSA plans to gather that information using different forms, the burden for which is accounted in the 2126-0051 ICR.

	Annual Burden	Responses
Proposed	31,271	195,055
Previously Approved	93,792	539,614
Change	-62,521	-344,559

16. Publication of results of data collection.

Data provided by this information collection will not be published.

17. Approval for not displaying the expiration date for OMB approval.

The FMCSA is not seeking an exemption from displaying the expiration date on the Forms MCS-150, MCS-150B or MCS-150C.

18. Exception to certification statement.

There are no exceptions to the certification statement.

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