[Federal Register: August 10, 2007 (Volume 72, Number 154)]
[Rules and Regulations]
[Page 44976-44978]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr10au07-9]
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FEDERAL MARITIME COMMISSION
46 CFR Part 515
[Docket No. 07-08]
RIN 3072-AC32
Optional Method of Filing Form FMC-18, Application for a License
as an Ocean Transportation Intermediary
August 6, 2007.
AGENCY: Federal Maritime Commission.
ACTION: Final rule.
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SUMMARY: The Federal Maritime Commission (``FMC'' or ``Commission'')
amends its regulations relating to the method of filing Form FMC-18,
Application for a License as an Ocean Transportation Intermediary
(``OTI''), to provide for optional filing of OTI applications through a
new electronic filing system. This optional filing system is intended
to facilitate more efficient processing and review of applications for
licensing. A filing fee of $250 will apply to new applicants for OTI
licensing, and $125 for existing licensees who might want to use the
optional electronic filing system to update their licensing records or
to submit changes in the licensee's organization for which prior
Commission approval is required.
DATES: Effective September 24, 2007.
FOR FURTHER INFORMATION CONTACT:
Sandra Kusumoto, Director, Bureau of Certification and Licensing,
Federal Maritime Commission, 800 North Capitol Street, NW., Washington,
DC 20573, (202) 523-5787, E-mail: SKusumoto@fmc.gov.
Amy W. Larson, General Counsel, Federal Maritime Commission, 800 North
Capitol Street, NW., Washington, DC 20573, (202) 523-5740, E-mail:
GeneralCounsel@fmc.gov.
SUPPLEMENTARY INFORMATION:
By Notice of Inquiry in Docket No. 01-08, the Commission first
solicited comments concerning the impact of the Government Paperwork
Elimination Act and the Electronic Signatures in Global and National
Commerce Act on all sectors of the U.S. ocean shipping industry.
Comments received in response to the Notice were supportive and
encouraging of the Commission's efforts to provide expanded electronic
filing options for information collections.
Responsive to comments filed in reply to that inquiry, the
Commission signaled its intent to embark upon an E-government strategy
which focuses on automating as many documents and
[[Page 44977]]
processes (both internal and external) as possible, and facilitating
greater access to Commission information, forms and applications. The
Commission concluded therein that establishing electronic options for
most of its information collection processes was both viable and
prudent. Since that time, the Commission has commenced an initiative
for publishing electronic copies of Commission decisions; approved
procedures by which non-vessel-operating common carriers (``NVOCCs'')
may file electronic copies of NVOCC Service Arrangements (``NSAs'');
upgraded the SERVCON system for filers of service contracts and NSAs;
reorganized and updated the Commission's Web site at http://www.fmc.gov
to improve transparency and accessibility to information; authorized
the filing of agreement minutes and monitoring reports in electronic
format, etc. The Commission's Annual Performance Plan envisions the
continued use of technological enhancements to improve efficiency and
facilitate the exchange of information within the Commission and
between the Commission and the shipping industry.
Working in conjunction with the Commission's Office of Information
Technology, the Bureau of Certification and Licensing (``BCL'')
commenced efforts in 2005 to automate the process of filing its
application for OTI licensing, Form FMC-18. Under existing 46 CFR
515.12, this application is submitted entirely in paper format, in
duplicate. Supporting documentation required by the application process
likewise must be filed in paper format.
BCL recently completed the initial software development and
associated testing to support an automated application filing system.
The Commission now proposes to make BCL's automated filing system
available as an optional method by which to file Form FMC-18. Use of
the automated system will not be required; interested parties may
continue to submit Form FMC-18 in paper format and those filings will
be received and processed in the same manner as before.
As developed by the Office of Information Technology and its
contractors, the new automated filing system will facilitate the filing
of Form FMC-18 in electronic format. Supporting documentation
previously submitted in paper form will be appended electronically as
part of the filing process. Validity checks incorporated into the
automated filing process will alert the filer to the need to submit
missing documentation at time of filing, thereby ensuring a more
complete application and facilitating quicker processing of OTI
applications by BCL staff. A visually cleaner and more helpful
electronic interface also has been implemented to guide and assist the
filing applicant in completing the application.
The automated OTI filing system may be accessed through the
Commission's Web site, http://www.fmc.gov. The filing system is
password-protected to ensure the security of information being
collected and to appropriately restrict external access to data to the
applicant and its authorized filing agents. Both applicants for initial
OTI licensing and current licensees seeking to amend or add an
additional service (i.e., add NVOCC authority to an existing freight
forwarder license) to their existing authority/license can make use of
the automated filing system on an optional basis. Following
implementation of automated filing on a voluntary basis, further
automation of licensing-related functions, such as the use of e-
signature technology, electronic filing of bonds and electronic payment
options for fees, may be addressed by the Commission in future
rulemakings.
The Commission may publish a rule as final, without being subject
to the notice and comment requirements under the Administrative
Procedure Act (``APA''), 5 U.S.C. 553, if the rule is interpretive, a
general statement of policy, pertains to agency reorganization, or is a
rule of practice and procedure. See 5 U.S.C. 553(b)(A); see also Bachow
Communications, Inc. v. FCC, 237 F.3d 683, 690 (DC Cir. 2001) (``Like
the rules governing the filing of applications, rules permitting (or
suspending) amendments are `rules of agency organization, procedure, or
practice' exempt from the Administrative Procedure Act's notice and
comment requirement.'') The DC Circuit has held that the ``critical
feature'' when determining whether a rule is procedural in nature is
that ``it covers agency actions that do not themselves alter the rights
or interests of parties, although it may alter the manner in which the
parties present themselves or their viewpoints to the agency.'' James
Hurson Assocs., Inc. v. Glickman, 229 F.3d 277, 280 (DC Cir. 2000)
(citing JEM Broad. Co. v. FCC, 22 F.3d 320, 326 (DC Cir. 1994)).
The Commission publishes this rule as final, implementing the
voluntary electronic filing of Form FMC-18 under 5 U.S.C. 553 (b)(A),
because this change is solely procedural in nature. Applicants will
have the option to file electronically or to continue utilizing the
paper format. If the Commission later determines that electronic filing
be made a requirement of all applicants, a notice and comment period
would be provided as required under 5 U.S.C. 553.
In order to promote the use of the electronic filing option by the
public and to facilitate transfer of OTI records from a paper-based
format to a more convenient and accessible digital format, the
Commission also has decided to assess a lesser filing fee for those
using the optional electronic filing method during this initial testing
period. A filing fee of $250 will apply to new applicants for OTI
licensing, and $125 for existing licensees who might wish to use the
optional electronic filing system to update their licensing records or
to submit changes in the licensee's organization for which prior
Commission approval is required. See 46 CFR 515.18. Those using the
electronic filing method also will directly assist BCL in its
transition to an electronic recordkeeping system, by reducing the need
for Commission staff to manually re-key data now residing primarily in
paper format.
This rule is not a significant regulatory action as defined by
Executive Order 12866, Regulatory Planning and Review, 58 FR 51,735
(Sept. 30, 1993) and therefore, is not subject to review by the Office
of Information and Regulatory Affairs, in the Office of Management and
Budget.
In accordance with the Regulatory Flexibility Act, 5 U.S.C. 601 et
seq., the Federal Maritime Commission has certified to the Chief
Counsel for Advocacy, Small Business Administration, that the rule will
not have a significant impact on a substantial number of small
entities. These changes establish an optional provision for U.S.
licensed OTIs and applicants for OTI licensing, which may be used at
their discretion. While these businesses qualify as small entities
under the guidelines of the Small Business Administration, the rule
poses no economic detriment, but rather provides a more cost-effective
alternative than would otherwise be available to assist U.S. OTIs in
obtaining licenses or in notifying the Commission of changes in the
licensee's business structure or operations.
The rule contains no additional information collection or
recordkeeping requirement. Therefore, the requirements of the Paperwork
Reduction Act, 44 U.S.C. 3501 et seq. do not apply.
List of Subjects for 46 CFR Part 515
Classified information, Freedom of Information, Privacy, Sunshine
Act.
[[Page 44978]]
0
For the reasons set out above, the Commission amends 46 CFR part 515 as
follows:
PART 515--LICENSING, FINANCIAL RESPONSIBILITY REQUIREMENTS, AND
GENERAL DUTIES FOR OCEAN TRANSPORTATION INTERMEDIARIES
0
1. The authority citation for 46 CFR part 515 continues to read as
follows:
Authority: 5 U.S.C. 553; 31 U.S.C. 9701; 46 U.S.C. app. 1702,
1707, 1709, 1710, 1712, 1714, 1716, and 1718; Pub. L. 105-383, 112
Stat. 3411; 21 U.S.C. 862.
Sec. 515.12 [Amended]
0
2. Amend 46 CFR 515.12 to add a new paragraph (e) as follows:
* * * * *
(e) Optional method of filing Form FMC-18. In lieu of completing
and filing Form FMC-18 in paper format, applications and amendments
thereto may be completed and submitted to the Bureau of Certification
and Licensing by using the automated FMC-18 filing system in accordance
with the instructions found on the Commission's home page, http://www.fmc.gov.
A $250 fee for filing a new application and a $125 fee for
filing an amended application will be assessed for filers using the
automated FMC-18 filing system instead of the fees listed at Sec.
515.5(b)(1), (2).
Sec. 515.18 [Amended]
0
3. Amend 46 CFR 515.18 to add a new paragraph (f) as follows:
* * * * *
(f) Optional method of filing Form FMC-18. In lieu of completing
and filing Form FMC-18 in paper format, applications for approval of
changes in organization, transfer of license, or changes in the
identity or status of the designated qualifying individual required
under this section may be completed and submitted to the Bureau of
Certification and Licensing by using the automated FMC-18 filing system
in accordance with the instructions found on the Commission's home
page, http://www.fmc.gov. A $250 fee for filing a new application and a
$125 fee for filing an amended application will be assessed for filers
using the automated FMC-18 filing system instead of the fees listed at
Sec. 515.5(b)(1), (2).
By the Commission.
Bryant L. VanBrakle,
Secretary.
[FR Doc. E7-15593 Filed 8-9-07; 8:45 am]
BILLING CODE 6730-01-P