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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FMC-18 OTI Licensing	Form and Instruction	Modified	Available
Form FMC-65 Foreign-Based Unlicensed NVOCCs	Form	Modified	Available
Form FMC-48A Proof of Financial Responsibility - Optional Rider	Form	Unchanged	Available
Form FMC-48 Proof of Financial Responsibility	Form	Modified	Available
Narrative to OMB Reinstatement OTIs Final.docx	Supporting Statement A	Uploaded 2019-09-26	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
32181	OTI Licensing	Form and Instruction	Modified
213447	OTI License Renewal		Modified
206263	Foreign-Based Unlicensed NVOCCs	Form	Modified
180149	Proof of Financial Responsibility - Optional Rider	Form	Unchanged
180137	Proof of Financial Responsibility	Form	Modified

ICR Details

OMB Control No: 3072-0018	ICR Reference No: 201909-3072-001
Status: Historical Active	Previous ICR Reference No: 201511-3072-002
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: 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: 12/02/2019
	Date Received in OIRA: 09/26/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved
Responses	8,729	0	0
Time Burden (Hours)	3,918	0	0
Cost Burden (Dollars)	0	0	0

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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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 25274	05/31/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 50036	09/24/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
OTI Licensing	FMC-18	Application for a License as an Ocean Transportation Intermediary
OTI License Renewal
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

table that charts list 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	8,729	0	0	-2,415	0	11,144
Annual Time Burden (Hours)	3,918	0	0	-1,551	0	5,469
Annual Cost Burden (Dollars)	0	0	0	0	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: The proposed changes to the collection reflect proposed changes to Part 515 in a recent rulemaking, which include: (a) removing optional paper license application process and related reference to fee amounts; (b) clarifying language specifying who can be the Qualifying Individual in a partnership between entities other than individuals; (c) updating description of processes regarding renewals, bonds, and terminations; (d) expanding the types of applications subject to direct Commission review to include applicants employing the same officers, managers, or members of an OTI whose license was revoked or denied within the previous three years; (e) clarifying that sureties provide the organization number of OTIs with claim details for registered NVOCCs; (f) adding the submission of Form FMC-1 prior to being licensed; and (g) deleting reference to availability of the Regulated Person’s Index (RPI) upon request. There has been a 38 percent increase in the number of Federal government person-hours from FY2014 to FY2018 due to a 20 percent increase in the number of licenses issued, a 12.5 percent higher volume of applications, a more thorough analysis of applicants, and the commencement of registration and license renewals in 2016 and 2017.

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Annual Cost to Federal Government: $1,720,339

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.     Yes

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.     Yes

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: 09/26/2019

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