2140-0025 -- Supporting Statement - Recordation of Liens 2023 (to ROCIS)

2140-0025
May 2023
SUPPORTING STATEMENT
FOR REQUEST OF OMB APPROVAL
UNDER THE PAPERWORK REDUCTION ACT AND 5 C.F.R. § 1320
The Surface Transportation Board (STB or Board) requests a three-year extension of
approval of the regulations governing the recordation of liens by regulated rail or water carriers.
A. Justification:
1. Need for Information in Collection. Under 49 U.S.C. § 11301 and 49 C.F.R. § 1177,
persons with a property interest in water carrier vessels, railroad cars, locomotives, or other
rolling stock, or accessories used on such railroad cars, locomotives, or other rolling stock
(including superstructures and racks) intended for the use of interstate transportation, may file
with the Board for recordation the lien instrument (such as a mortgage, lease, equipment trust
agreement, conditional sales agreement) that evidences their property interest. Recording such
documents at the Surface Transportation Board (STB or Board) protects the property interest
created by the agreement against subsequent claims on the property. Supplements, including a
release, discharge, or satisfaction of any part of any such security interest, must also be filed with
the Board to protect those interests. Recordation at the Board obviates the need for recording
such a lien in individual states. 49 U.S.C. § 11301(e). (However, a lien recorded in another
country by a company domiciled in that country is accorded equal recognition under 49 U.S.C.
§ 11301(d).)
2. Use of Data Collected. Information in this collection is used by parties holding liens
on such property to perfect their property interest. The Board records the document along with
the date and hour that the document was filed and assigns an official number to the document.
The Board provides a service by registering legal documentation of ownership of property (rail
cars, rail equipment, water carrier vessels, etc.), and the documentation is secured where it
cannot be lost or altered fraudulently.
The Board also maintains an index in alphabetical order by the party’s name and by
number so that the public may search the index to help determine whether there is a lien on
specific rail equipment and water carrier vessels. This information is searchable via the Board’s
E-Library, located at https://www.stb.gov/proceedings-actions/recordations/ (or go to
https://www.stb.gov/, select “Proceedings and Actions,” and then select “Recordations” from the
dropdown).
3. Reduction through Improved Technology. This collection may be filed electronically
by use of the E-filing option on the Board’s website.
4. Identification of Duplication. The Board is required by statute to administer this
collection. No other Federal agency collects the information reported in this collection.

5. Minimizing Burden for Small Businesses. This collection reduces the burden on any
small business that holds a lien on the relevant property because recording a lien at the STB
obviates the need to record such a lien in individual states and to navigate their often-disparate
requirements. See 49 U.S.C. § 11301(e).
6. Consequences if Collection not Conducted or Conducted Less Frequently. Failure to
record a lien at the STB may result in an unperfected property interest in the relevant property.
7. Special Circumstances. No special circumstances apply to this collection.
8. Consultation with Outside Agency. As required, the Board published a notice
providing a 60-day comment period regarding this collection. See 88 Fed. Reg. 16513 (Mar. 17,
2023). No comments were received. A 30-day notice was published concurrently with this
submission to Office of Management and Budget (OMB). See 88 Fed. Reg. 33954 (May 25,
2023).
9. Payments or Gifts. The Board does not provide any payment or gifts for this
collection.
10. Assurance of Confidentiality. All information collected through this report is
available to the public.
11. Sensitive Information. This collection contains no information of a sensitive nature.
12. Estimated Burden Hours. The following information pertains to the estimate of
burden hours associated with this collection:
(1) Number of respondents. Approximately 50
(2) Frequency of response. On occasion. Over the last three years,
approximately 50 respondents have filed an average of 1,750 responses per year. The
same number of filings is expected during each of the next 3 years.
(3) Annual hour burden per respondent and total for all respondents. 437.50
hours (1,750 submissions X .25 hours estimated per response). The information filed
consists of an existing document, which may be filed electronically.
13. Estimated Total Annual Cost to Respondents. There are no non-hour costs
associated with this collection. The recordations are filed electronically.
14. Annualized Cost to the Federal Government. The Board estimates that, annually, it
will take staff approximately 585 hours (GS-12) to review and post respondents’ submissions.
Staff will take approximately 20 minutes to review each filed recordation, make any necessary
corrections to its recordation number, time-stamp it, enter payment information, and upload the
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submission.
15. Explanation of Program Changes or Adjustments. This is an existing collection,
which requires an adjustment to the hourly burdens based on the actual number of liens recorded
since the last approval of this collection by OMB in 2020. Based on the number of liens
recorded in CY 2021-2023, the Board estimates that the average number of liens to be recorded
at the Board will increase to 1,850 submissions annually from 1,750.
16. Plans for tabulation and publication. This information is posted on the Board’s
website (as linked above).
17. Display of expiration date for OMB approval. No form is used for this collection.
The instructions for filing a recordation can be found on the Board’s website and in the Code of
Federal Regulations at 49 C.F.R. § 1177.1-.5. Once the collection is approved, the Board will
display the control number and expiration date of the collection by publishing a special notice in
the Federal Register stating the control number and expiration date of the collection as provided
in 5 C.F.R. § 1320.3(f)(3).
18. Exceptions to Certification Statement. Not applicable

B. Collections of Information Employing Statistical Methods:
Not applicable

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