46 CFR 535-Ocean Common Carrier and Marine Terminal Operator Agreements Subject to the Shipping Act of 1984.

Forms and Documents

Document Name	Status
Form FMC-150 Agreements and Modifications: Information Form for Agreements Form	Modified
Form FMC-151 Monitoring Reports - Rate and Capacity Agreements Form	Removed
Form FMC-151 Monitoring Reports - Other Reporting Requirements Form	Modified
Form FMC-151 Monitoring Reports - Alliance Agreements Form	Modified
Form FMC-151 Monitoring Reports - VOCC Rate Discussion Agreements Form	Modified
Agreements IC Supporting Statement FINAL.pdf Supporting Statement A	2020-01-15

IC Document Collections

IC ID	Document Title	Status
32188	Agreements and Modifications: Information Form for Agreements Form	Modified
239274	Agreements and Modifications: Terminations of Agreements	New
192375	Monitoring Reports - Rate and Capacity Agreements Form	Removed
178875	Recordkeeping	Modified
178873	Minutes Filing	Modified
178872	Contract Guidelines	Removed
178871	Reports other than FMC-151 (Periodic Reports)	Removed
178855	Monitoring Reports - Other Reporting Requirements Form	Modified
178854	Monitoring Reports - Alliance Agreements Form	Modified
178853	Monitoring Reports - VOCC Rate Discussion Agreements Form	Modified
178852	Agreements and Modifications: Without Information Form	Modified

ICR Details

OMB Control No: 3072-0045	ICR Reference No: 202001-3072-003
Status: Active	Previous ICR Reference No: 201608-3072-001
Agency/Subagency: FMC	Agency Tracking No:
Title: 46 CFR 535-Ocean Common Carrier and Marine Terminal Operator Agreements Subject to the Shipping Act of 1984.
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: 08/15/2020
	Date Received in OIRA: 01/28/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2023	36 Months From Approved	03/31/2017
Responses	3,336	0	24
Time Burden (Hours)	15,655	0	2,112
Cost Burden (Dollars)	0	0	0

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Abstract: The Shipping Act of 1984 (Shipping Act or Act), 46 U.S.C. 40101 et seq., establishes an alternative antitrust regime that grants limited antitrust immunity to regulated entities and requires that they file their commercial agreements with the Federal Maritime Commission (FMC or Commission). Section 40301 identifies which agreements between ocean common carriers and/or marine terminal operators (MTOs) fall within the jurisdiction of the Act. Section 40302 requires that carriers and MTOs file those agreements with the Commission. Section 40304 provides the authority for Commission action on filed agreements, including the authority to require information from parties to an agreement. Section 40104 provides the authority for the Commission to require periodic or special reports from carriers and other related persons. These requests for additional information and the filing of reports assist the Commission in its statutory responsibility to analyze the activities of parties to agreements. Such information aids the Commission in monitoring the activities of agreement parties to determine whether any Commission action is required in response to adverse market conditions resulting from the agreement.

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Authorizing Statute(s): US Code: 46 USC 40301 et seq. 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 25275	05/31/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 1156	01/09/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 8

IC Title	Form No.	Form Name
Agreements and Modifications: Terminations of Agreements
Monitoring Reports - Rate and Capacity Agreements	FMC-151	Monitoring Report
Agreements and Modifications: Information Form for Agreements	FMC-150	Information Form for Agreements
Monitoring Reports - Other Reporting Requirements	FMC-151	Monitoring Report
Agreements and Modifications: Without Information Form
Monitoring Reports - VOCC Rate Discussion Agreements	FMC-151	Monitoring Report for Agreements Between or Among Ocean Common Carriers
Contract Guidelines
Minutes Filing
Recordkeeping
Monitoring Reports - Alliance Agreements	FMC-151	Monitoring Reports for Agreements Between or Among Ocean Common Carriers
Reports other than FMC-151 (Periodic Reports)

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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	3,336	24	0	2,030	-159	1,441
Annual Time Burden (Hours)	15,655	2,112	0	7,397	-3,231	9,377
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 net increase in burden hours for respondents from the current reported burden of 13,629 hours to 15,655 hours, as reflected in Item 12 above, is accounted for by a number of factors. However, those factors can generally be summarized in that, the nature of agreements received since the previous Paperwork Reduction Act submission has significantly increased in complexity. These increasingly complicated agreements with a wider range of potentially anti-competitive outcomes require a greater level of initial burden (given that more extensive review is required for unique agreements) and more detailed oversight through special monitoring requirements. Regarding the government burden, any increased government burden was mitigated due to a Commission automation initiative. More specifically, in FY 2017, the Commission launched the eAgreements system which provided for the electronic filing of agreements in lieu of paper filings, streamlined the Commission’s internal review of agreements, and automated the manual online publication process for filed agreements. These efforts reduced staff resources needed to process, review, publish and manage the Commission’s filed agreements. While electronic filing is optional, external users were quick to adopt it. Currently, over 99 percent of agreements are filed electronically through the eAgreements system. Thus, automation has resulted in less resources being devoted to internal business processes, thereby allowing staff to focus efforts on analysis of the impact of filed agreements.

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Annual Cost to Federal Government: $2,073,301

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

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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: 01/28/2020

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