SUPPORTING STATEMENT FOR INFORMATION COLLECTION
14 CFR Part 215
Justification
1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection.
Part 215 of the Department’s rules (14 CFR Part 215) prohibits a U.S. or foreign air carrier from holding out to the public or performing any air transportation services in any name other than that in which its operating authorization is issued or which has otherwise been approved by the Department. The rule also sets forth the procedures to be followed by air carriers in changing the name on their authorization or using a trade name. Data collection is done on an occasional basis, only in connection with applications from companies seeking new, reissued, or transferred authority in a new name or the use of a trade name. The collection of information is authorized by 49 U.S.C. sections 40113, 41102, 41302, 41738, and 41712 (copies attached).
DOT GOAL: DOT is responsible for the safety of the public from U.S. air carriers using names that may be deceptive or that may otherwise result in significant public confusion.
2. Indicate how, by whom, and for what purpose the information is to be used.
All U.S. certificated air carriers, all U.S. commuter air carriers, and all foreign air carriers holding permits under 49 U.S.C. 41302 are subject to this rule, the purpose for which is to ensure that these carriers do not advertise or operate in any name other than that in which they are authorized to do so by the Department. This is necessary so that the Department, as well as the traveling and shipping public, can identify, specifically, the carriers offering or operating services.
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, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.
14 CFR Part 302 authorizes the filing of documents by electronic means. In addition, the Department electronically scans into its computerized Docket Management System (DMS) all paper documents filed in docket proceedings. All of these documents may be accessed by the public through the Internet.
Moreover, approximately 5 percent of the applicants are submitting registration applications electronically through email directly to our office. Responses have been sent electronically because it reduces the costs associated with printing and mailing the information through the postal service.
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 Department considers any application fro new, reissued or transferred authority as including a registration of a proposed name and a separate application for such usage need not be filed. Where the request for used of a name does not also include the issuance or reissuance of operating authority, a separate notice under Part 215 is required. This information is not otherwise available in any filing.
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.
In the majority of cases, name registration will occur automatically with the filing of an application for operating authority; no separate filing is required. If a separate filing is required, generally, it can be accomplished in a letter to the Department’s staff.
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.
The rules require that, if any of these carriers proposes to change its name, it must register the new name with the Department. This name registration can be part of an application for initial, reissued, or transferred authority or a separate notice where use of a trade name is sought. In any case where another carrier has a name similar to the once proposed, the applicant must notify the other carrier if its proposed usage of the name and advised the Department of such notice. [Once notified, these other carriers may than seek judicial relief to protect their names if they believe such action is warranted.] The Department will then “acknowledge’ the proposed name in its action on the initial, reissued, or transferred authority to in a separate notice on the trade name.
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 of data with other agencies for compatible confidential use; or requiring respondents to submit proprietary trade secrets, 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.
No such circumstances exist.
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.
The information collected associated with Part 215 was originally adopted after public notice and a period for comment in accordance with the requirements of administrative procedures. A notice (copy attached), pursuant to 5 VFR 1320.8(d), soliciting comments on the proposed reinstatement of the information collection was published in the Federal Register on September 26, 2003, Vol. 71, No. 186 (Page 56212). No comments were received.
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.
10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.
Although confidentiality is not usually sought in connection with name applications, any motions for confidential treatment which may be filed would come under section 302.12 of the Department’s Procedural regulations and would be handles in accordance with the provisions for the Freedom of Information Act.
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.
There are no sensitive questions.
12. Provide estimates of the hour burden of the collection of information.
Number of respondents: 13
Frequency of response: on occasion
Annual hour burden: 65
Annualized cost to respondents: $5,561
Explanation of how the burden was estimated.
The burden on approximately 13 applicants per year for a name change to prepare and prosecute their applications is estimated to be 4.6 hours each. For applicants for initial air carrier authority or foreign air carrier permits whose proposed name is included in its application for operating authority, we have not calculated a separate burden. We have found that such an applicant normally has already researched the federal and state trademark/servicemark records to determine whether its proposed name is likely to conflict with that of another company, thus, the applicant rarely must comply with the requirement that Part 215 to notify any other air carriers with the same or a similar name that the applicant proposes to operate under. The estimated number of respondents was based upon the average annual number of applications for name changes filed in calendar year 2004 and 2005. The burden estimate was based on our acquired knowledge of the industry’s experience in preparing the various types of applications. Assuming a normal mix of analytical/legal/clerical participation in the preparation of name registration applications, the total salary cost is:
13 applicants x 4.6 hours x $93 per hour = $5,561 salary costs
13. Provide an estimate for the total annual cost burden to respondents or recordkeepers resulting from the collection of information.
Total capital and start-up cost component – none
Total operation and maintenance and purchase of services component – none
14. Provide estimates of annualized costs 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.
13 respondents x 5 hours per response = 65 hours
We estimate that approximately 13 applications are filed each year seeking a name change or use of a trade name. The average time needed to process an application which involves a name change only (i.e., it does not also include a request for operating authority) is 5 hours each. This includes time needed to review the applicant’s proposed name against the names of existing air carriers, contact the applicant about air carriers with similar names, and reissue the authority or a notice announcing the new name. For applications for new or reissued authority, where the name registration is part of the application and no separate order or notice authorizing the name is issued, no separate name registration burden has been calculated, since the staff work on this task is counted as part of the burden processing the application for authority under 14 CFR Parts 201, 204, and 291 (see OMB Control Number 2106-0023).
We estimate that the average cost per hour for processing an application to be $40 (based on the hourly GS-12/1 pay rate of $31 as of January 2006, increased by 30 percent to cover printing and miscellaneous expenses).
Total salary cost to government:
13 name applications x 5 hours x $40 per hour = $2,600
15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I.
There are adjustment changes in Items 13 or 14 due to the changes in the number of applications/filings submitted in 2004 and 2005 plus the increase per hour burden cost to the government.
16. 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.
Not applicable.
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.
Not applicable.
| File Type | application/msword |
| Author | Vanessa.Wilkins |
| Last Modified By | yvonne.montgomery |
| File Modified | 2007-03-29 |
| File Created | 2007-03-29 |