46 CFR 532 - NVOCC Negotiated Rate Arrangements

OMB Control No: 3072-0071	ICR Reference No: 201711-3072-006
Status: Historical Inactive	Previous ICR Reference No: 201607-3072-001
Agency/Subagency: FMC	Agency Tracking No: Docket No. 17-10
Title: 46 CFR 532 - NVOCC Negotiated Rate Arrangements
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 02/13/2018
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/30/2017
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. OMB reminds FMC to follow the requirements in 5 CFR 1320 if it wishes to include this collection of information in the final rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2020	36 Months From Approved	03/31/2020
Responses	1,550	0	1,550
Time Burden (Hours)	1,365	0	1,365
Cost Burden (Dollars)	0	0	0

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Abstract: Section 16 of the Shipping Act of 1984, 46 U.S.C. § 40103, authorizes the Federal Maritime Commission (“Commission”) to exempt by order or regulation “any class of agreements between persons subject to this [Act] or any specified activity of those persons from any requirement of this [Act] if the Commission finds that the exemption will not result in substantial reduction in competition or be detrimental to commerce.” The Commission may attach conditions to any exemption and may, by order, revoke an exemption. On March 2, 2011, the Commission published a final rule promulgating 46 CFR part 532, Docket No. 10-03, Non-Vessel-Operating Common Carrier Negotiated Rate Arrangements, which exempted licensed non-vessel-operating common carriers (NVOCCs) that enter into negotiated rate arrangements (NRAs) from the tariff rate publication requirements of the Shipping Act of 1984 and certain provisions and requirements of the Commission’s regulations. 76 FR 11351 (Mar. 2, 2011). The exemption was conditioned upon the licensed NVOCC including a prominent notice invoking the exemption in its electronically published rules tariff and indicating their intention to the Commission. In addition, licensed NVOCCs must maintain all original NRAs and associated records including written communications for 5 years in a format easily produced to the Commission and must produce those records promptly upon request from the Commission. The Commission extended the tariff rate publication exemption contained in 46 CFR part 532 to foreign-based unlicensed NVOCCs as of July 19, 2013 and established a registration requirement as well. Therefore, we refer to those companies as registered NVOCCs, rather than by their former status as unlicensed NVOCCs. The foreign-based registered NVOCCs that enter into NRAs are subject to the same requirement as licensed NVOCCs to include a prominent notice invoking the exemption in its electronically published rules tariff and provide electronic access to its rules tariff free of charge. In addition, foreign-based registered NVOCCs must maintain all original NRAs and associated records including written communications for 5 years in a format easily produced to the Commission and must produce those records promptly upon request from the Commission. This requirement exists for licensed NVOCCs as well. Currently, there are approximately 1,529 foreign-based registered NVOCCs.

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Authorizing Statute(s): US Code: 46 USC 41109(e) Name of Law: Shipping Act of 1984    US Code: 46 USC 40103 Name of Law: Shipping Act of 1984

Citations for New Statutory Requirements: None

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EO 13771 Designation: Deregulatory

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3072-AC68	Proposed rulemaking	82 FR 229	11/30/2017

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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: 3

IC Title Form No. Form Name Recordkeeping/Auditing Requirements Modification of Tariff Invoking Exemption (combination of tariff rates and NRAs) Modification of Tariff Invoking Exemption - NRAs exclusively

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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 respondent universe fluctuates annually, as new NVOCCs are licensed or existing NVOCCs go out of business.

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Annual Cost to Federal Government: $9,764

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? Uncollected

Agency Contact: Rebecca Fenneman 2025235740 [email protected]

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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: 11/30/2017

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