2010_Supporting_Statement__9-29-10

6

Department of Transportation

SUPPORTING STATEMENT

REPORTING REQUIREMENTS FOR DISABILITY-RELATED COMPLAINTS

OMB Control No. 2105-0551

This supporting statement is associated with a request for a reinstatement (with change) of an existing information collection.  There were no changes to the program; however, there were adjustments in the burden estimates.  The Department submits a report to Congress each year that summarizes the level of disability-related complaints receive by air carriers from passengers alleging inadequate accessibility or discrimination. After a review of the average number of complaints during a five-year period, that is reports submitted between 2004 and 2008, the Department determined that there was an increase in the burden estimates. During that time period, the number of respondents increased from 160 to 165. The annual burden hours increased from 3,238 hours in the 2007 ICR submission to 3,408 hours in the 2010 ICR submission. 

2. Part A. Justification

4. 1. Circumstances that make collection of information necessary. 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.

The Air Carrier Access Act (ACAA, 49 U.S.C. § 41705) prohibits discriminatory treatment of persons with disabilities in air transportation. The Wendell H. Ford Aviation Investment and Reform Act for the 21^st Century (AIR 21), signed into law on April 5, 2000 (P. L. 106-181), requires, among other things, that the Secretary of Transportation “regularly review all complaints received by air carriers alleging discrimination on the basis of disability and shall report annually to Congress on the results of such review.” The only way for the Department to review all of the complaints received by air carriers with the available resources is to require air carriers to record and submit disability-related complaint data to the Department.

This information collection supports the DOT strategic goal of mobility by providing Congress and the public information regarding the accessibility of air travel for passengers with a disability.

2. How, by whom, and for what purpose is the information used. 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.

In order to implement the statutory requirements of AIR 21, the Department’s rule requires certificated U.S. and foreign air carriers (operating at least one aircraft having a designed seating capacity of more than 60 seats) operating to, from, or within the U.S. that conduct passenger air service to record complaints that they receive alleging inadequate accessibility or discrimination on the basis of disability. The air carriers must also categorize these complaints according to the type of disability and nature of complaint, prepare a summary report annually of the complaints received during the preceding calendar year, submit the report to the Department’s Aviation Consumer Protection Division, and retain copies of correspondence and records of action taken on the reported complaints for three years. The rule requires air carriers to submit their annual report to the Department at (http://382reporting.ost.dot.gov) unless an air carrier is granted permission to submit the report in an alternative matter. An air carrier can request permission by contacting the Air Travel Consumer Complaints Office directly. The reports of disability-related complaints received by air carriers are due each year on the last Monday in January for the prior calendar year.

The Department submitted reports to Congress in 2005, 2006, 2007, 2008, and 2009 that contained both a summary and a detailed breakdown of the disability-related complaints that were filed by the air carriers covered by this rule. The 2010 report to Congress will follow this same format. The reports have also been placed on the Aviation Enforcement Office’s website (http://airconsumer.dot.gov) so that both consumers and air travel companies can compare the overall disability-related complaint records of individual airlines, including the number of disability complaints filed against particular air carriers for specific service problems (e.g. refusal to board without an attendant). This system also serves as a basis for rulemaking, legislation and research. Further, our office uses the reports to track trends or spot areas of concern which we feel may warrant further action.

3. Extent of automated information collection. 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.

Air carriers are required to submit their data to the Department at http://382reporting.ost.dot.gov. However, under limited circumstances, an air carrier will be permitted to submit the data by paper copy, disk, or email if it can demonstrate hardship.

4. Efforts to identify duplication. 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 similar information accumulated that could be used or modified for the purpose described in the answer for question 2 detailed above.

5. Efforts to minimize the burden on small businesses. If the collection of information impacts small businesses or other small entities describe any methods used to minimize burden.

The Department certifies that the rule does not impact a substantial number of small businesses or other small entities. A direct or foreign air carrier is a small business if it provides air transportation only with small aircraft, i.e. aircraft designed to have a maximum capacity of not more than 60 seats or a maximum payload capacity of 18,000 pounds. The rule is applicable to foreign and domestic air carriers that utilize aircraft that have a design capacity of more than 60 passengers.

6. Impact of less frequent collection of information. 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.

If the collection is not conducted, the Secretary will be unable to comply with the statutory requirements of AIR 21 to review all complaints received by air carriers and report annually to Congress.

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

There are no special circumstances requiring information to be collected in any of the manners stated above.

8. Compliance with 5 CFR 1320.8: Provide an electronic copy and identify the date, volume number and page number of the publication in the federal register of the agency's notice (for a 60-day and a 30-day notice), required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB.

A 60-Day notice requesting public comment was published in the Federal Register on March 8, 2010 (volume 75, page 10547). No comments were received. A subsequent 30-day notice was published in the Federal Register on May 19, 2010 (volume 75, page 28095).

9. Payments or gifts to respondents. Explain any decision to provide a payment or gift to respondents, other than enumeration of contractors or grantees.

No payment or gift of any kind has been or will be provided to any respondents in the public sector or to air carriers that must file reports pursuant to this rule.

10. Assurance of confidentiality: Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

The Privacy Act is applicable and will regulate the manner in which the Department will handle personal and corporate information.

7. 11. Justification for collection of sensitive information: 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.

The sensitive information being collected is about a passenger’s disability. The nature of a passenger’s disability is not required or encouraged; however, it is often disclosed in the written complaints sent by the passenger. If the passenger does not self-disclose his/her disability, then the air carrier would simply classify the disability as “other disability.” The Department uses the data gathered to identify potential areas of concern and to meet the requirements of AIR 21.

12. Estimate of burden hours for information requested: Provide estimates of the hour burden of the collection of information.

Respondents: Certificated U.S. air carriers and foreign air carriers operating to and from the United States that conduct passenger air service with large aircraft.

Requirements	Number of Respondents	Frequency (per year)	Estimated Annual Burden (per respondent)	Estimated Total Annual Burden (all respondents)	Estimated Annual Burden Costs to respondents
Record and Categorize Complaints Received	165	3,500	875 hours	3,408 hours	$0
Prepare and Submit Annual Report	165	1	30 minutes	82.5 hours	$0
Retain Correspondences and Record of Action Taken	165	3,500	1 hour	165 hours	$0
Totals				3,655.5 hours	$0

Estimated Number of Respondents: 165

In 2003, we estimated the total number of respondents to be anywhere from 295 to 370. However, based on the number of air carriers that reported data in 2004, 2005, 2006, 2007, and 2008, as well as the air carriers that did not but should have submitted such data, we now estimate that the total number of respondents is approximately 165.

Frequency:

• For the requirement to record and categorize disability-related complaints, air carriers may receive up to 3,500 complaints per year for each respondent. Some air carriers may not receive any complaints in a given year while some of the larger operators could receive 3,500 annual complaints.

• For the requirement to prepare and submit a report annually to DOT summarizing the disability-related complaint data, air carriers are required to submit 1 report to DOT per year for each respondent.

• For the requirement to retain correspondence and record of action taken on all disability-related complaints for three years, air carriers may receive up to 3,500 complaints per year for each respondent.

Estimated Annual Burden on Respondents:

• For the requirement to record and categorize complaints received alleging inadequate accessibility or discrimination on the basis of disability, we estimate that it could take up to 875 hours a year for each respondent to record and categorize complaints [15 minutes multiplied by the number of complaints respondents receive a year; that is, approximately 3,500 annual complaints a year and then divided by 60 minutes]. Based on data provided by air carriers in 2004, 2005, 2006, 2007, and 2008, we estimate that air carriers could receive up to 3,500 complaints a year.

• For the requirement to prepare and submit a report annually to DOT summarizing the disability-related complaint data (key-punching web-based matrix report), we estimate that it will take approximately 30 minutes a year for each respondent to type in the 169 items (matrix consists of 13 disabilities * 13 service problems).

• For the requirement to retain correspondence and record of action taken on all disability-related complaints for three years, it will take 1 hour a year for each respondent.

Estimated Total Annual Burden:

• For the requirement to record and categorize disability-related complaints received, we estimated 3,408 hours for all respondents (time to record and categorize one complaint [15 minutes] multiplied by the total number of complaints for all respondents [13,631]). Air carriers received a total of 11,508 complaints in 2004, a total of 13,584 complaints in 2005, a total of 13,766 complaints in 2006, a total of 15,290 complaints in 2007, and a total of 14,006 complaints in 2008 for an average of 13,631 annual complaints.

• For the requirement to prepare and submit a report annually to DOT summarizing the disability-related complaint data, 82.5 hours for all respondents (annual burden [30 minutes] multiplied by the total number respondents [165]).

• For the requirement to retain correspondence and record of action taken on all disability-related complaints for three years, 165 hours for all respondents (annual burden [1 hour] multiplied by the total number respondents [165])

13. Estimate of total annual costs to respondents. Provide an estimate of the total annual cost burden to respondents or recordkeepers resulting from the collection of information.

Yearly costs to industry for maintenance of the database and data input are estimated to be $0, as these tasks are generally completed by air carrier personnel.

14. Estimate of cost to the Federal government. Provide estimates of annualized cost to the federal government. Also, provide a description of the method used to estimate costs, 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.

Annual website maintenance and hosting costs of $750 (4 hours maintenance/update [contractor] x $125 and $250 for website hosting fee).

15. Explanation of program changes or adjustments. Explain the reasons for any program changes or adjustments reported in items 12, 13 or 14.

The annual reporting and recordkeeping burden hours in question 13 have increased by 170 hours after review of five years (2004, 2005, 2006, 2007, and 2008) of data provided by air carriers.

16. Publication of results of data collection. 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 Department submits an annual report containing a summary and a detailed breakdown of the data to Congress. The Department also places this report on its Aviation Consumer Protection Division website (http://airconsumer.dot.gov). At this time, the Department does not have any plans to publish the report and intends to continue its annual submission to Congress and to continue posting the report on its website.

17. Approval for not displaying the expiration date of OMB approval. 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. Exceptions to certification statement. Explain each exception to the certification statement "Certification for Paperwork Reduction Act Submissions."

Not applicable.