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	Modified
Form FMC 133A Guaranties - Performance Certificates - New and Amended Form	Modified
Form FMC 132B Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants Form	Modified
Form FMC-132A Surety Bonds - Performance Certificants - New and Amended Form	Modified
DOCKET 20-15 OMB NARRATIVE SUPPORTING STATEMENT FINAL.docx Supporting Statement A	2021-10-19

IC Document Collections

IC ID	Document Title	Status
32177	46 CFR 540 - Application for Certificate of Financial Responsibility Form	Modified
249593	Coverage Requirement - Insurance Casualty Certificants	New
244717	Guaranties - Performance Certificates - New and Amended Form	Modified
244716	Notify FMC of Arrangements for Which Performance Certificant Does Not Assume Financial Responsibility	Modified
244715	Termination and Cancellation of Coverage - Performance Certificants	Modified
244714	Termination/Cancellation of Financial Responsibility Coverage - Casualty Certificants	Unchanged
185630	File Evidence of Charter Arrangements w/FMC - Casualty Certificants	Unchanged
185629	Furnish Written Designation of Legal Agent - Casualty Certificants	Modified
185628	Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants Form	Modified
185617	Unearned Passenger Revenue Reports - Performance Certificants	Unchanged
185616	Furnish Written Designation of Legal Agent - Performance Certificants	Modified
185615	Surety Bonds - Performance Certificants - New and Amended Form	Modified
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	Modified
185606	Coverage Requirement - Performance Certificants	Modified
185592	Application Change - Casualty Certificants	Modified
185591	Application Change - Performance Certificants	Unchanged

ICR Details

OMB Control No: 3072-0012	ICR Reference No: 202109-3072-002
Status: Received in OIRA	Previous ICR Reference No: 202010-3072-002
Agency/Subagency: FMC	Agency Tracking No:
Title: 46 CFR Part 540 - Application for Certificate of Financial Responsibility
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/19/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2024
Responses	560	445
Time Burden (Hours)	1,243	1,233
Cost Burden (Dollars)	64,482	49,204

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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.

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Authorizing Statute(s): PL: Pub.L. 89 - 777 2 and 3 Name of Law: Safety at Sea Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3072-AC82	Proposed rulemaking	86 FR 47441	08/25/2021

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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: 19

IC Title	Form No.	Form Name
46 CFR 540 - Application for Certificate of Financial Responsibility	FMC-131	Application for Certificate of Financial Responsibility
Application Change - Performance Certificants
Application Change - Casualty Certificants
Coverage Requirement - Insurance Casualty Certificants
Coverage Requirement - Performance Certificants
Escrow Agreement - New and Amended
File Evidence of Charter Arrangements w/FMC - Casualty Certificants
Furnish Written Designation of Legal Agent - Casualty Certificants
Furnish Written Designation of Legal Agent - Performance Certificants
Guaranties - Performance Certificates - New and Amended	FMC 133A, FMC-133A	Guaranty in Respect of Liability for Nonperformance, Section 3 of the Act ,   Guaranty in Respect of Liability for Nonperformance, Section 3 of the Act
Independent Auditors Reports to Escrow Agents and Commission
Notify FMC of Arrangements for Which Performance Certificant Does Not Assume Financial Responsibility
Recomputation Certificates to Commission and Escrow Agent
Reports by Escrow Agents to Operators/Charters & Commission
Surety Bonds - Performance Certificants - New and Amended	FMC-132A	Passenger Vessel Surety Bond
Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants	FMC 133B, FMC 132B	Passenger Vessel Surety Bond ,   Guaranty in Respect of Liability for Death or Injury
Termination and Cancellation of Coverage - Performance Certificants
Termination/Cancellation of Financial Responsibility Coverage - Casualty Certificants
Unearned Passenger Revenue Reports - Performance Certificants

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ICR Summary of Burden

	Total Request	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	560	445	0	115	0	0
Annual Time Burden (Hours)	1,243	1,233	0	10	0	0
Annual Cost Burden (Dollars)	64,482	49,204	0	15,278	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: Form FMC-131 is being revised to include a required field for PVOs to provide the web page address of their refund instructions on how passengers may obtain refunds in the event of nonperformance of transportation. The process for obtaining refunds in the event of nonperformance are outlined in revised forms FMC-132A, FMC-133A, and the escrow account. The passenger must make a written request for a refund from the PVO in accordance with the respective PVO’s claims procedures. If the PVO claims procedure provides less than 180 days for submission of claims after nonperformance of transportation, the passenger may seek reimbursement from the financial instrument provider after providing written notification to the PVO.

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Annual Cost to Federal Government: $160,494

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: 10/19/2021

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