21380039 justification revised (2)

SUPPORTING STATEMENT

A. Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection.

As a member of the United Nations, the United States is obligated to supply certain individual U.S. air carrier data to the International Civil Aviation Organization (ICAO), an arm of the United Nations.

The Department is meeting it goal of lessening the burden on U.S. carriers. The Bureau of Transportation Statistics (BTS) mines over 99% of the data required by ICAO from data previously submitted with the Department by the carriers. BTS arranges the data into the format required by ICAO. The few data item that are required by ICAO but not submitted to in carrier BTS Form 41 reports (OMB # 2138-0013 and 2138-0040) are submitted by the air carriers.

DOT performs an essential role as a catalyst for improving the quality of decisions affecting the transportation sector. In this role, DOT serves as a facilitator by proving better information to both the public and private sectors. Five economic trends impact transportation. They are globalization of commerce, growing attention to logistics in the production process, greater reliance on private investment in the transportation industry and the rise of competing and complementary technologies. There will be accelerated application of advanced information technologies, competitive techniques, and traffic flow information systems within the air transportation industry. These information-related technologies will enable the collection, management, integration, and distribution of more transportation information in less time with better accuracy and broader application. Inclusion of U.S. air carrier in the ICAO data promotes the globalization of air transportation industry.

2. Indicate how, by whom, and for what purpose the information is to be used. Indicate the actual use the agency has made the information received from the current collection.

The Department of Transportation acts as the conduit between the applicable U.S. air carriers (Major and National air carriers) and ICAO for supplying the U.S. portion of ICAO’s world-wide aviation data base. Major air carriers have annual operating revenues of over $1 billion. National air carriers have annual operating revenues of over $100 million.

The airlines, manufacturers of aerospace products, airports authorities, trade associations, governmental bodies, and aviation consultants are all users of ICAO data, which is the only reliable and consistent data base on world aviation. ICAO data are vital to studies in aircraft design and marketing. The sale of U.S. built aircraft is one of the most positive factors in the U.S. trade balance.

The vast majority of information that must be supplied to ICAO (over 99%) is extracted by the Department from its Form 41 data base. Nevertheless, some of ICAO’s financial-information requirements exceed the data that the Department collects from U.S. carriers. Therefore, the Department conducts a special collection to fulfill its treaty obligation. This supplemental data collection was implemented by Order 81-3-120. The degree of supplemental ICAO reporting depends on the level of the individual carrier to the Department. The supplemental ICAO reporting requires only those data elements required by ICAO which DOT cannot extract from individual carrier Form 41 submissions.

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 submissions 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.

The Department supplies the required data to ICAO. We encourage carriers to submit the supplemental data to us by electronic means. Counting the mined data and the supplemental data submission, over 99% of the data supplied to ICAO comes from electronic filings.

4. Describe efforts to identify duplication. Show specifically why similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

Over 99% of the data submitted to ICAO in fulfillment of the U.S. treaty obligation is compiled from the Department’s data banks. The remaining data are supplied by the carriers in their supplemental filings. OAI has analyzed other potential alternative sources, such as data collected at air traffic controlled airports and SEC filings. These sources are inadequate to use as a substitute for the supplemental carrier filings.

5. If the collection of information impacts small businesses or other small entities, describe efforts to minimize burden.

The Department made arrangements with ICAO to exempt all carriers that earn less than $100 million in annual operating revenues from this reporting.

6. Describe the consequence to the Federal Program or policy activities if the collection were not collected or conducted less frequently.

The reporting requirement is annual. Failure to obtain the information on an annual basis could be viewed as an abrogation of a U.S. treaty obligation. The U.S. Department of State has supported U.S. cooperation with ICAO reporting requirements.

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, government contracts, grant-in-aid, or tax records for more than 3 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 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.

The reporting requirements relating to ICAO are consistent with the guidelines in 5 CFR 1320.6. .

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 the notice and describe actions taken by the agency in response to these comments.

A 60-day notice was published on October 7, 2008 in 73 FR pages 58709-58710. There were no comments. A 30-day notice was published on December 24, 2008 in 73 FR pages 79222-79223.

9. Explain any decision to provide any payment or gift to respondents, other than re-enumeration of contractors or grantees.

No payment or gift of any kind is being made to any respondents.

10. Describe any assurances of confidentiality provided to respondents.

The ICAO Council directs that quarterly on-flight origin and destination data be kept confidential by ICAO and that only statistics which do not reveal the traffic of individual airlines will be published or released by ICAO. OAI supplies the origin and destination flight data from the Department’s data banks.

11. Are there any questions of a sensitive nature?

There are no questions of a sensitive nature.

12. Provide estimates of reporting burden.

We estimate that the reporting burden to be 26 hours for the 40 reporting air carriers.

We estimate approximately 40 minutes to complete the supplemental report.

13. Provide an estimate of cost to the respondents. Do not include the cost of any hour burden shown in items 12 and 14. General estimates should not include purchase of equipment or services or portions thereof made prior to October, 1995.

There are no other costs associated with this data collection. Carriers have the information available to them. The only burden is the estimated 40 minutes to complete the form.

14. Provide estimates of annualized cost to the Federal Government.

Cost to the Government is estimated to be $75,000 per year, consisting of $65,000 in personnel salaries and fringe benefits, and $10,000 in automated data processing expenses.

The staff working this data collection is a grade GS 11. At stated previously, most of the time spent by staff is mining data from the Department’s Form 41 reports and placing the data in a format that meets ICAO’s needs in fulfillment of the U.S. treaty obligation.

15. Explain the reasons for any program changes or adjustments in Items 13 or 14 of OMB 83-I.

There were no adjustments or program changes.

16. Is the information received published?

The information is not published or tabulated by DOT, but ICAO does publish various financial and traffic reports.

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.

We are not seeking to not display the expiration date.

18. Explain each exception to the certification statement identified in item 19, “Certification for Paperwork Reduction Act Submissions,” of OMB Form 83-I.

There are no exceptions.

ATTACHMENTS:

Form EF

30 day Notice

60 day Notice

CAB Order 81-3-120

Form EF

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