2133-0529 Supporting Statement

2133-0529 SUPPORTING
STATEMENT

SUPPORTING STATEMENT FOR
PAPERWORK REDUCTION ACT SUBMISSION UNDER 5 CFR PART 1320
INFORMATION COLLECTION: 2133-0529
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.
Section 12121 of Title 46, United States Code authorizes the Secretary of Transportation, in certain
circumstances, to waive administratively the U.S.-built and other requirements of the Passenger Services
Act, 46 U.S.C. 55103 and 46 U.S.C. 12101, 12132 and 55102, for small passenger vessels or uninspected
passenger vessels authorized to carry no more than 12 passengers. In order to fulfill this requirement, it
will be necessary for those wishing to receive waivers to inform the Maritime Administration and provide
the justification for granting a waiver. This information collection supports the Department of
Transportation’s strategic goal of economic growth and trade.
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.
The information will be used by the Maritime Administration to determine if the applicant is entitled to a
waiver.
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.
Electronic submission of this information collection is 100% available as an option. Respondents can
submit an application on Form MA-1023 (which is available on MARAD’s website at
www.marad.dot.gov under Programs, Small Vessel Waiver Program) or they may submit information in
any format they desire. The information is the minimum required to carry out the Government’s
responsibilities. Approximately 90% of the respondents have responded using an electronic format.
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.
The Maritime Administration is the only government agency authorized to grant such waivers.
Information used to process requests for such waivers is not generally submitted to other agencies.
5.
If the collection of information involves small businesses or other small entities, describe the
methods used to minimize burden.
This information collection does not have a significant impact on small businesses.
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 the
burden.

1

If information is not collected, the Maritime Administration will not know to whom to grant waivers and
the purpose of the statute will be negated.
7.
Explain any special circumstances that would cause an information collection to be
conducted in a manner:
•
•
•
•
•
•
•

•

requiring respondents to report information to the agency more often than quarterly;
requiring respondents to prepare a written response to a collection of information in
fewer than 30 days after receipt of it;
requiring respondents to submit more than an original and two copies of any document;
requiring respondents to retain records, other than health, medical, government
contract, grant-in-aid, or tax records for more than three years;
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;
requiring the use of a statistical data classification that has not been reviewed and
approved by OMB;
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
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. 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 record-keeping,
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.
MARAD published a 60-day notice and request for comments on this information collection in the
Federal
Register on June 9, 2008, (FR 73 at 32628, copy attached) indicating comments should be submitted on
or before August 8, 2008. No comments were received.
9.
Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.

2

No payments or gifts are provided to respondents.
10.
Describe any assurance of confidentiality provided to respondents and the basis for the
assurance in statute, regulation, or agency policy.
Respondents were not assured of confidentiality.
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.
Not applicable. There are no questions of a sensitive nature.
12 .
Provide estimates of the hour burden of the collection of information. The statement
should:
• 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.
•

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.

•

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 should be included in item 14.

Number of
Respondents
100

x

Responses
Per
Respondent
1

=

Total
Responses
Annually
100
x

Hours
Per
Response
1
=

Total
Hours
Annually
100

A determination of the estimated number of hours required per response was made after consideration of
the minimal information requested from respondents.
It is estimated that a small vessel owner would spend one hour of their time preparing an application.
Therefore, given an average salary of $25 per hour for each respondent, the one time per application to
each respondent is estimated to be $25.

Number of
Respondents
100
x

Ann. No.
per
Respondent
1
x

Cost
per
Hour
$25

Number
of
Hours
x 1
=

Hours
Cost
Annually
$2,500 +

Other
Cost
Annually
$42
=

Total
Cost
Annually
$2,542

3

(Postage at $.42 for 100 respondents = $42)
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).
•

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.

•

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.

•

Generally, estimates should not include purchases of equipment or services, or 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 operation and maintenance 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 total annual cost to the Federal Government for processing the collection is estimated as
follows:
Annual Costs: $39,775

# of Employees
2
x

Hourly
Wage
$43

Project Cost Per
Time
Response
2.5 hours
$215

# of
Responses
100

Total
Cost
$21,500

4

Overhead at 85%

=

18,275

Total

=

$39,775

15.
Explain the reasons for any program changes or adjustments reported in items 13 or 14 of
OMB Form 83-I.
Not applicable.
16.
For collections of information whose results are planned to be published for statistical use,
outline plans for tabulation, statistical analysis, and publication. 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.
Not applicable.
17.
If seeking approval not to 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

5

The OMB Paperwork Reduction Statement:
This collection of information is voluntary and will be used by the Maritime Administration to
determine if the applicant is entitled to a waiver of the U.S.-build and other requirements of the
Passenger Services Act. Public reporting burden is estimated to average one hour per response,
including the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. No
assurances of confidentiality are provided. Please note that an agency may not conduct or
sponsor, and a person is not required to respond to a collection of information unless it displays a
currently valid OMB control number. The OMB control number for his collection is 2133-0529.

6