46 CFR 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 132B Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants Form	New
Form FMC-132A Surety Bonds - Performance Certificants - New and Amended Form	New
Form FMC 133A Guaranties - Performance Certificants - New and Amended Form	New
0012 supporting statement 08 extension.doc Supporting Statement A	2008-07-25

IC Document Collections

IC ID	Document Title	Status
32177	46 CFR 540 - Application for Certificate of Financial Responsibility Form	Modified
185630	File Evidence of Charter Arrangements w/FMC - Casualty Certificants	New
185629	Furnish Written Designation of Legal Agent - Casualty Certificants	New
185628	Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants Form	New
185627	Termination/Cancellation of Financial Responsibility Coverage - Casualty Certificants	New
185618	Notify FMC of Arrangements for Which Performance Certificant Does Not Assume Financial Responsibility	New
185617	Unearned Passenger Revenue Reports - Performance Certificants	New
185616	Furnish Written Designation of Legal Agent - Performance Certificants	New
185615	Surety Bonds - Performance Certificants - New and Amended Form	New
185614	Exemption whole-ship charters - furnish copy of contract w/in 30 days	New
185613	Guaranties - Performance Certificants - New and Amended Form	New
185612	Independent Auditors Reports to Escrow Agents and Commission	New
185611	Reports by Escrow Agents to Operators/Charters & Commission	New
185610	Recomputation Certificates to Commission and Escrow Agent	New
185608	Escrow Agreement - New and Amended	New
185607	Termination and Cancellation of Coverage - Performance Certificants	New
185606	Coverage Requirement - Performance Certificants	New
185592	Application Change - Casualty Certificants	New
185591	Application Change - Performance Certificants	New

ICR Details

OMB Control No: 3072-0012	ICR Reference No: 200804-3072-001
Status: Historical Active	Previous ICR Reference No: 200507-3072-004
Agency/Subagency: FMC	Agency Tracking No:
Title: 46 CFR 540 - Application for Certificate of Financial Responsibility
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/29/2008
	Date Received in OIRA: 07/28/2008
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2011	36 Months From Approved	09/30/2008
Responses	791	0	50
Time Burden (Hours)	1,478	0	1,574
Cost Burden (Dollars)	0	0	0

---

Abstract: Sections 2 and 3 of P.L. 89-777 (46 USC 44105 and 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.

---

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

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 27537	05/13/2008
30-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 43759	07/28/2008
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 19

IC Title	Form No.	Form Name
Independent Auditors Reports to Escrow Agents and Commission
Reports by Escrow Agents to Operators/Charters & Commission
Guaranties - Performance Certificants - New and Amended	FMC 133A	Guaranty in Respect of Liability for Nonperformance, Section 3 of the Act
Furnish Written Designation of Legal Agent - Performance Certificants
Exemption whole-ship charters - furnish copy of contract w/in 30 days
Application Change - Performance Certificants
Termination/Cancellation of Financial Responsibility Coverage - Casualty Certificants
Coverage Requirement - Performance Certificants
Application Change - Casualty Certificants
46 CFR 540 - Application for Certificate of Financial Responsibility	FMC-131	Application for Certificate of Financial Responsibility
Termination and Cancellation of Coverage - Performance Certificants
Surety Bonds/Self-Insurance/Guaranties - Casualty Certificants	FMC 133B, FMC 132B	Passenger Vessel Surety Bond ,   Guaranty in Respect of Liability for Death or Injury
Furnish Written Designation of Legal Agent - Casualty Certificants
File Evidence of Charter Arrangements w/FMC - Casualty Certificants
Recomputation Certificates to Commission and Escrow Agent
Unearned Passenger Revenue Reports - Performance Certificants
Notify FMC of Arrangements for Which Performance Certificant Does Not Assume Financial Responsibility
Escrow Agreement - New and Amended
Surety Bonds - Performance Certificants - New and Amended	FMC-132A	Passenger Vessel Surety Bond

---

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	791	50	0	0	741	0
Annual Time Burden (Hours)	1,478	1,574	0	0	-96	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The burden estimate has not changed; however, based upon the number of actual filings by respondents, the total number of annual hours requested is decreased slightly, and the annual number of responses has increased by 50. Additionally, each reporting requirement has been broken out in detail; there are no new reporting requirements.

---

Annual Cost to Federal Government: $152,281

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

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: 07/28/2008

---