2133-0510 Supporting Statement 2008

2133-0510
SUPPORTING STATEMENT

SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSIONS
UNDER 5 CFR PART 1320
Information Collection: 2133-0510
A.

Justification

1.

Explain the circumstances that make the collection of information necessary.
Identify any legal or administrative requirements that necessitate the collection.
Attach a copy of the appropriate section of each statute and regulation mandating
or authorizing the collection of information.
Information collection is essential for determining if a student or graduate of the United
States Merchant Marine Academy (USMMA) or subsidized student or graduate of a State
maritime academy has a waive able situation preventing them from fulfilling the
requirements of a service obligation contract signed at the time of their enrollment in a
Federal maritime training program. It also permits the Maritime Administration
(MARAD) to determine if a graduate, who wishes to defer the service obligation to
attend graduate school, is eligible to receive a deferment. Their service obligation is
required by law.
This information collected establishes overall compliance with the service obligation
contract in support of the Economic Growth and Trade and National Security goals
identified in the DOT Strategic Plan. Because the graduates are required to serve as
commissioned officers in the U.S. Merchant Marine Reserve, U.S. Naval Reserve (as an
aspect of the service obligation), they become the Navy's single largest source of naval
reserve officers except for Naval R.O.T.C. In their civilian capacities, they are required
first to sail on their professional merchant marine licenses or work in the maritime
industry ashore. This dual role makes the graduates especially valuable because national
defense planning initiatives and the Nation's economic needs depend on available
personnel who are highly trained.

2.

Indicate how, by whom, and for what purpose the information is to be used. Except
for a new collection, indicate the actual use the agency has made of the information
received from the current collection.
USMMA students and graduates and subsidized students and graduates use form MA935 to request a waiver of their service obligation requirement, form MA-936 to request
deferring their service obligation, or form MA-937 to request a review of the decision
made on these requests by the Maritime Administrator.
The information collected on these forms is then reviewed by the responsible government
agencies (MARAD, DOD, Coast Guard and NOAA) as part of the service obligation
compliance function. Failure to collect this information would make it difficult for
MARAD to determine compliance with the obligation and the enabling statute.
Therefore, as previously stated, the information collected is used to determine if waivers
and deferments may be granted.

Every student and graduate of the USMMA and each subsidized student and graduate of
the State maritime academies incurs a mandatory service obligation as a participant in the
Federal maritime program. This obligation consists of: (1) completing the academies
course of instruction; (2) maintaining a license as an officer in the merchant marine of the
United States for at least six years following graduation from a school; (3) serving as a
commissioned officer in the U.S. Naval Reserve, the U.S. Coast Guard Reserve or any
other reserve unit of an armed force of the United States for at least six years following
graduation from a school; and (4) serving as a merchant marine officer on U.S.-flag
vessels, as an employee in a U.S. maritime-related industry ashore or as a commissioned
officer on active duty in an armed force of the United States or NOAA Corps. The
employment service obligation is three years for subsidized state maritime academy
graduates and five years for U.S. Merchant Marine Academy graduates. The graduates
of the USMMA and the State maritime academy graduates provide an annual report to
the USMMA or MARAD that provides current service obligation compliance data.
3.

Describe whether, and to what extent, the collection of information involves the use
of automated, electronic, mechanical, or other technological collection techniques or
other forms of information technology. Also describe any consideration of using
information technology to reduce burden.
The information is confidential and personal in nature. An electronic web-based internet
submission and collection of annual reports is now available as well as the ability of
USMMA graduates to request waivers of their maritime employment.

4.

Describe efforts to identify duplication. Show specifically why any similar
information already available cannot be used or modified for use for the purposes
described in item 2 above.
There is no duplication of information collection since the content of these forms is not
required of the students and/or graduates in any other situation. There is no other agency
collecting the forms for employment, or waiver information.

5.

If the collection of information impacts small businesses or other small entities
(Item 5 of OMB Form 83-I), describe any methods used to minimize burden.
The requested information does not impact small businesses or other small entities.
Respondents are individuals desiring a waiver or deferment of their service obligation.
The burden to the applicant is as minimal as statutes and regulations permit.

6.

Describe the consequence to Federal program or policy activities if the
collection is not conducted or is conducted less frequently, as well as any
technical or legal obstacles to reducing burden.
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The intent of the statute is that waivers and deferments only be requested and granted in
justifiable situations. The reporting burden is minimized because the applicant reports no
information until a waiver or deferment of the service obligation is desired. There would
be no technical or legal obstacles if the use of improved information technology to reduce
burden were considered necessary.
7.

Explain any special circumstances that would cause an information
collection to be conducted in a manner:
o

requiring respondents to report information to the agency more often than
quarterly;

o

requiring respondents to prepare a written response to a collection of
information in fewer than 30 days after receipt of it;

o

requiring respondents to submit more than an original and two copies of any
document;

o

requiring respondents to retain records, other than health, medical, government
contract, grant-in-aid, or tax records for more than three years;

o

in connection with a statistical survey, that is not designed to produce valid and
reliable results that can be generalized to the universe of study;

o

requiring the use of a statistical data classification that has not been reviewed
and approved by OMB;

o

that includes a pledge of confidentiality that is not supported by authority
established in statute or regulation, that is not supported by disclosure and data
security policies that are consistent with the pledge, or which unnecessarily
impedes sharing data with other agencies for compatible confidential use; or

o

requiring respondents to submit proprietary trade secret, or other confidential
information unless the agency can demonstrate that it has instituted procedures
to protect the information's confidentiality to the extent permitted by law.

There are no special circumstances that require the collection of information to be
conducted in a manner described above.
8.

If applicable, provide a copy and identify the date and page number of publication
in the Federal Register of the agency's notice required by 5 CFR 1320.8(d),
soliciting comments on the information collection prior to submission to OMB.
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Summarize public comments received in response to that notice and describe
actions taken by the agency in response to these comments. Specifically address
comments received on cost and hour burden.
Describe efforts to consult with persons outside the agency to obtain their views on
the availability of data, frequency of collection, the clarity of instructions and
recordkeeping, disclosure, or reporting format (if any), and on the data elements to
be recorded, disclosed, or reported.
Consultation with representatives of those from whom information is to be obtained
or those who must compile records should occur at least once every three years even if the collection of information activity is the same as in prior periods. There
may be circumstances that may preclude consultation in a specific situation. These
circumstances should be explained.
The Maritime Administration published a 60-day notice and request for comments on this
information collection in the Federal Register (72 FR 67621, copy attached) on
November 29, 2007, indicating comments should be submitted by January 28, 2008 No
comments were received.
46 CFR Part 310 authorizes the Maritime Administrator to grant waivers in cases where
there would be undue hardship or impossibility of performance of the provisions of the
agreement, due to accident, illness or other justifiable reason. The regulation also allows
for deferments in exceptional cases for entry into a maritime-related graduate course of
study, or the graduate may seek approval to accept maritime-related shoreside
employment after first seeking afloat employment. The Maritime Administration
(MARAD) is cognizant of the obligation of graduates as we review waiver and deferral
requests. In 2007, MARAD granted 1 request for a Kings Point Graduate to defer his
obligation while attending graduate school in a maritime-related course of study. In 2007
approximately 20 employment determinations were granted for maritime-related
shoreside employment on the recommendation from the U. S. Merchant Marine
Academy, only after the graduates diligently sought afloat employment and were unable
to obtain it.
Respondents have not indicated any dissatisfaction with the content of the forms or the
requirements for completion.

9.

Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.
No payments or gifts are provided to respondents.
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10.

Describe any assurance of confidentiality provided to respondents and the
basis for the assurance in statute, regulation, or agency policy.
A Privacy Act Notice is contained in the Service Obligation Contract that each
student signs. This notice states that any information provided by the
student/graduate will not be divulged, without prior written authorization, to
anyone other than persons directly involved in monitoring the service obligation
(e.g., school officials, employers, DOD, U.S. Coast Guard and NOAA). Further,
the only information released is that which is specific to the request.

11.

Provide additional justification for any questions of a sensitive nature, such
as sexual behavior and attitudes, religious beliefs, and other matters that are
commonly considered private. This justification should include the reasons
why the agency considers the questions necessary, the specific uses to be
made of the information, the explanation to be given to persons from whom
the information is requested, and any steps to be taken to obtain their
consent.
There are no questions on the forms that the agency considers to be of a sensitive nature.

12.

Provide estimates of the hour burden of the collection of information. The
statement should:
o

Indicate the number of respondents, frequency of response, annual hour
burden, and an explanation of how the burden was estimated. Unless directed
to do so, agencies should not conduct special surveys to obtain information on
which to base hour burden estimates. Consultation with a sample (fewer than
10) of potential respondents is desirable. If the hour burden on respondents is
expected to vary widely because of differences in activity, size, or complexity,
show the range of estimated burden and explain the reasons for the variance.
Generally, estimates should not include burden hours for customary and usual
business practices.

o

If this request for approval covers more than one form, provide separate hour
burden estimates for each form and aggregate the hour burdens in item 13 of
OMB Form 83-I.

o

Provide estimates of annualized cost to respondents for the hour burdens for
collections of information, identifying and using appropriate wage rate
categories. The cost of contracting out or paying outside parties for
information collection activities should not be included here. Instead, this cost
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should be included in item 14.
Responses
Number of
Per
Respondents
Respondent
21
x
1

Total
Hours
Responses
Per
Annually
Response
=
21
x 20 minutes

Total
Hours
Annually
= 4.2 hours

The time required for the 21 respondents to submit and forward each one-time request to
MARAD is approximately 20 minutes.
A determination of the estimated amount of time required per response was made after
consultation with several respondents.
The estimated annual cost of preparing and submitting requests is: Postage ($0.42) plus
envelope ($0.15) equals ($0.57) x 21 respondents equals $11.97.
13.

Provide an estimate of the total annual cost burden to respondents or record
keepers resulting from the collection of information. (Do not include the cost
of any hour burden shown in items 12 and 14).
o

The cost estimate should be split into two components: (a) a total capital and
start-up cost component (annualized over its expected useful life); and (b) a
total operation and maintenance and purchase of services component. The
estimates should take into account costs associated with generating, maintaining
and disclosing or providing the information. Include descriptions of methods
used to estimate major cost factors including system and technology acquisition,
expected useful life of capital equipment, the discount rate(s), and the time
period over which costs will be incurred. Capital and start-up costs include,
among other items, preparations for collecting information such as purchasing
computers and software; monitoring, sampling, drilling and testing equipment;
and record storage facilities.

o

If cost estimates are expected to vary widely, agencies should present ranges of
cost burdens and explain the reasons for the variance. The cost of purchasing
or contracting out information collection services should be a part of this cost
burden estimate. In developing cost burden estimates, agencies may consult
with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB
submission public comment process and use existing economic or regulatory
impact analysis associated with the rulemaking containing the information
collection, as appropriate.

o

Generally, estimates should not include purchases of equipment or services, or
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portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory
compliance with requirements not associated with the information collection,
(3) for reasons other than to provide information or keep records for the
government, or (4) as part of customary and usual business or private practices.
(a) Total Capital and Start-Up Costs Estimate: There are no capital or start-up costs
associated with this information collection.
(b) Total Operation and Maintenance and Purchase of Services Estimate:
There are no other costs associated with this information collection.
14.

Provide estimates of annualized cost to the Federal Government. Also,
provide a description of the method used to estimate cost, which should
include quantification of hours, operational expenses (such as equipment,
overhead, printing, and support staff), and any other expense that would not
have been incurred without this collection of information. Agencies also may
aggregate cost estimates from items 12, 13, and 14 in a single table.
The annual cost to the Federal Government is estimated as follows:
Academies Officer Rate (GS-14 step 6= $49.40 per hr)
One specialist to review requests
= $1,235
($49.40 per hour x 21 requests x one hour each request)

15.

Sub-Total
Overhead @ 85%

$1,235.00
$1,049.75

Total cost to Government

$2,284.75

Explain the reasons for any program changes or adjustments reported in
items 13 or 14 of OMB Form 83-I.
The agency has made the requirements for granting waivers stricter. This program
change has reduced the number of waiver requests since the last OMB approval cycle.

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For collections of information whose results will be published, outline plans for
tabulation and publication. Address any complex analytical techniques that will be
used. Provide the time schedule for the entire project, including beginning and
ending dates of the collection of information, completion of report, publication dates
and other actions.
The information collected is intended for internal use only. There are no plans to publish
any information collected for statistical use.
17.

If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons that display would be inappropriate.
Not applicable.

18.

Explain each exception to the certification statement identified in Item 19,
"Certification for Paperwork Reduction Act Submissions," of OMB Form 83-I.
Not applicable. There are no exceptions to the certificate statement.

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