2020 NCFO Supporting Statement (Section A)_

BUREAU OF TRANSPORTATION STATISTICS
OMB CLEARANCE PACKAGE

For
CLEARANCE TO UPDATE THE NATIONAL FERRY
CENSUS QUESTIONNAIRE
National Census of Ferry Operators
(OMB Control Number - 2139-0009)
Prepared by
Office of Data Development and Standards
Bureau of Transportation Statistics
Office of the Assistant Secretary for Research and Technology
May 23, 2019

Table of Contents
A.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.

JUSTIFICATION
Need for the Information Collection
Use of Information
Use of Improved Information Technology
Efforts to Avoid Duplication
Methods Used to Minimize Burden on Small Entities
Consequences of Not Collecting the Information
Special Circumstances
Agency 60-Day Federal Register Notice and Consultations Outside the Agency
Payment to Respondents
Assurance of Confidentiality
Sensitive Questions
Estimates of Response Burden and Annual Cost to Respondents
Estimates of Cost Burden for Collection of Information.
Estimates of Annual Cost to the Federal Government.
Changes in Burden
Publication Plans/Time Schedule
Approval Not to Display Expiration Date
Exceptions to the Certification Statement

B.
1.
2.
3.
4.
5.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS
Description of Activity
Procedures for the Collection of Information
Non-response, Maximization of Response Rates, Accuracy and Reliability
Test of Procedures
Personnel/Organizations Responsible for Design, Collection, or Analysis of the Information

Attachment I:

The Transportation Equity Act for the 21st Century (TEA–21) (P.L. 105-178),
section 1207(c)
Attachment II:
The Safe, Accountable, Flexible Efficient Transportation Equity Act—A
Legacy for Users (SAFETEA-LU) Public Law 109-59, Section 1801(e)
Attachment III: Moving Ahead for Progress in the 21st Century Act (P.L. 112-141)
Attachment IV: Fixing America’s Surface Transportation Act (FAST Act) Public Law 114-94,
Section 1112
Attachment V:
TITLE 5 United States Code 552(b)(4)
Attachment VI: TITLE 18 United States Code 1905
Attachment VII: 60- Day Ferry Federal Register Notice
Attachment VIII: 30- Day Ferry Federal Register Notice
Attachment IX: Title 49 C.F.R. 7.17
Attachment X:
2020 NCFO Cover Letter
Attachment XI: 2020 NCFO Questionnaire (draft) including the ICR statement

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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.
The Transportation Equity Act for the 21st Century (TEA–21) (P.L. 105-178), section 1207(c)
[see Attachment I], directed the Secretary of Transportation to conduct a study of ferry
transportation in the United States and its possessions. In 2000 the Federal Highway
Administration (FHWA) Office of Intermodal and Statewide Planning conducted a survey (OMB
Approval Number 2125-0584) of approximately 250 ferry operators to identify: (1) existing ferry
operations including the location and routes served; (2) source and amount, if any, of funds derived
from Federal, State, or local governments supporting ferry construction or operations; (3) potential
domestic ferry routes in the United States and its possessions and to develop information on those
routes; and (4) potential for use of high speed ferry services and alternative-fueled ferry services.
The Safe, Accountable, Flexible Efficient Transportation Equity Act—A Legacy for Users
(SAFETEA-LU) Public Law 109-59, Section 1801(e) [see Attachment II] requires that the
Secretary, acting through the Bureau of Transportation Statistics (BTS), shall establish and
maintain (biennially) a national ferry database containing current information regarding routes,
vessels, passengers and vehicles carried, funding sources and such other information as the
Secretary considers useful.
The FAST Act [Fixing America’s Surface Transportation Act (P.L. 114-94, Sec. 1112) - see Attachment
IV], continued the BTS mandate to conduct the National Census of Ferry Operators (NCFO) and
requires that FHWA use the NCFO data as input to the specific formula for allocating federal ferry
funds ($80 million for each year, 2016 through 2020). The funding allocations are based on a
percentage of the number of passenger boardings, vehicle boardings, and route miles served.
2. Indicate how, by whom, and for what purpose the information is to be used. Indicate the
actual use the agency has made of the information received from the current collection.
Although ferries have a long history of moving passengers and freight in America, less is known
about this mode of transportation than any of the other modes. Regularly surveyed, routine
statistics like the number of ferry operators and the number of passengers carried were
undocumented prior to the establishment of the NCFO. Part of this knowledge gap was due to the
industry’s structure. State and local public transportation agencies operate some ferry systems,
but others are privately owned and operated. Another complication is that many operators provide
ferry services as well as dinner and sightseeing cruises, whale watching and other types of
excursions. As such, it is often difficult to separate these activities.

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The original data collection in 2000 was conducted because the existing data sources on ferry
operations lacked some of the critical information needed for a national ferry database. To obtain
the missing data, FHWA contracted to survey all known operators. The survey was conducted by
the Volpe National Transportation Center, a branch of the United States Department of
Transportation (USDOT). Once the information was verified, it was assembled into a National
Ferry Database. This database is available on CD-ROM from FHWA and has been widely
distributed to interested parties.
Since that time, five more data collection cycles have been conducted by BTS, first in 2006, and
then in the years 2008, 2010, 2014, 2016, and 2018 (OMB Approval Number 2139-0009). In each
instance, revisions to the census instrument were made to improve the nature of the data collected
and maximize the usefulness of the NCFO database. The information from all of these data
collection efforts has been made available to the public on the BTS website. The NCFO database
has been an important source of information for various industry agencies such as The Department
of Homeland Security, The Passenger Vessel Association, Federal Transit Administration, and
The American Association of State Highways and Transportation Officials. It has also been a key
source of information used in the development of Intermodal Passenger Connectivity Database,
also produced by BTS.
Finally, the NCFO data is used to inform the Secretary of Transportation for the allocation of
funds. According to (FAST Act) Public Law 114-94, Section 1112 the Secretary shall give priority
in allocation of funds under this section of those ferry systems, and public entities responsible for
developing ferries, that (1) provide critical access to areas that are not well-served by other modes
of surface transportation; (2) carry the greatest number of passengers and vehicles, or (3) carry the
greatest number of passengers in passenger-only service. More specifically, the yearly $80 million
in FHWA funding for the support and maintenance of ferry operations will now be allocated based
on the following formula: 35% based on the number of passengers carried, 35% by vehicles
carried, and the remaining 30% by total route miles serviced for the most recent measurement year.
3. Describe whether, or to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological collection techniques of other
forms of information technology.
The NCFO has typically relied on an initial mailing of a paper questionnaire to update and/or
include new information on the database. Much of the data from previous data collections may
not change (boat information, route information, connecting information). To reduce burden and
increase accuracy, BTS includes pre-filled operator information on individual operator
questionnaires, so that respondents may only need to verify outdated information or add any new
or missing information that does not appear on their questionnaire. Respondents are contacted by
phone after the initial mailing to ensure that they received their questionnaire and to determine if
they need any assistance in completing the form. For the 2018 NCFO, a new online version of the
questionnaire was used in addition to a paper questionnaire with telephone and email follow-up to
non-responders. Since the 2018 NCFO online questionnaire was so successful, the 2020 NCFO
will use the same online technology in addition to a paper questionnaire for respondents who do
not prefer to respond electronically.

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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 BTS has conducted a thorough review of existing data sources within the Office of the
Assistant Secretary for Research and Technology (OST-R), other agencies within USDOT, the
United States Army Corps of Engineers (USACE), and the United States Coast Guard (USCG).
The data collection effort covered by this request does not duplicate information currently being
collected by any other agency or component within the USACE, or USCG. Data contained in the
National Transit Database (NTD) only covers those ferry operators who apply for federal funding
through the FTA (24 at last count), whereas the NCFO database contains information from the
universe of ferry operators (approximately 250).
5. If the collection of information impacts small businesses or other small entities, describe
any methods used to minimize the burden.
Each questionnaire will contain individual operator information from the previous data collection
so that the respondent will only need to check for accuracy and update as needed, rather than reenter operator information provided previously. Additionally, the use of yes/no and other check
box questions are utilized for minimizing respondent burden.
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.
Failure to collect this data in 2020 would inhibit the FHWA’s ability to make funding allocations
as required by law (FAST Act) as they would be forced to use old and inaccurate data. The FAST
Act legislation extends mandates laid out in previous legislation. The Transportation Equity Act
for the 21st Century (TEA–21) (P.L. 105-178), section 1207(c), directed the Secretary of
Transportation to conduct a study of ferry transportation in the United States and its possessions.
Beginning in 2006, the NCFO was required to be updated on a biennial basis (see SAFETEA-LU)
Public Law 109-59, Section 1801(e). The MAP-21 legislation extended the requirements from
SAFETEA-LU and added the requirement that the NCFO database be consistent with the NTD
and that the FHWA use the data to allocate funding for ferry programs. The FAST Act legislation
further extended these requirements.
7. Explain any special circumstances that require the collection to be conducted in a manner
inconsistent with the guidelines set forth in CFR 1320.6.
This information collection does not require respondents to: 1) report information more often than
quarterly; 2) prepare a response in less than 30 days; 3) submit more than an original and two
copies of any document; 4) retain records for more than three years; or 5) submit proprietary or
confidential information. The Information Collection Request (ICR) on the census questionnaire
will offer assurance to the operator that any business sensitive information provided will not be
released to the public. The ICR will read as follows:

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The Bureau of Transportation Statistics is conducting a nationwide survey of ferry boat
operators for the US Department of Transportation. The information we collect from this
survey will only be used for statistical purposes and federal funding administered by the
Federal Highway Administration. This census is authorized by law (Public Law114-94,
section 1112). Your company’s participation in this census is strictly voluntary. By law (5
United States Code 552(b)(4)) [see Attachment V], any confidential business information we
may collect will be kept confidential. Under federal law (18 United States Code 1905) [see
Attachment VI], employees and contractors working on this census are subject to penalties if
they make public ANY information that could reveal confidential business information. At
the end of this census questionnaire, we ask that you identify any information that you consider
confidential business information. Please note that information which your business releases
to the public on a routine basis or is in the public domain, generally, does not qualify as
confidential business information. The Paperwork Reduction Act of 1995 states that no
persons are required to respond to a collection of information unless it displays a valid Office
of Management and Budget (OMB) control number. The OMB control number for this survey
is 2139-0009. If you have questions or comments about this survey, please call 1-800-8531351 or email [email protected] .
The final item on the census questionnaire will allow each respondent to indicate which information they
deem to be confidential business information, and provide a comment as to why that is the case. Any data
that the operator provides and establishes as being business sensitive will not be made public.

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. 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.
BTS consulted with FHWA, FTA, the Transportation Research Board (TRB) Ferry Committee,
and the Passenger Vessel Association (PVA) in revising the original questionnaire. PVA will also
publicly announce the impending survey to ensure a high response rate.
A 60-Day notice was made on February 22, 2019 to allow for public comments on the changes to
the NCFO questionnaire (see Attachment VII). No comments were received.
A 30-Day notice was made on May 1, 2019 to allow for public comments on the changes to the
NCFO questionnaire (see Attachment VIII).
9. Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.
The National Ferry Operators survey is voluntary. Respondents completing the survey will not
receive any payment or gift for filling out the census.

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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.
The data collected for the NCFO will be protected under 49 C.F.R. 7.17 [see Attachment IX]. In
accordance with this regulation, respondents will be given the opportunity to identify information
they deem to be confidential business information and include comments to support their position.
Only statistical and non-sensitive business information will be made available through publications
and public use data files. Information that has already been made public in other forms (e.g., ferry
schedules posted on the operations web site) is not considered to be confidential business
information.
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.
None of the questions in the census are personally sensitive, however, some questions are
perceived to be business sensitive by some business owners. Question 14, which collects
passenger and vehicle boardings, has historically been deemed to require respondents to provide
what some believe is confidential business information. The final question (16) in the
questionnaire allows the respondent to indicate which questions, if any, they deem to be
confidential business information. Any information the respondent identifies as being confidential
business information will be excluded from the public data set. Copies of the NCFO cover letter
and questionnaire are provided in Attachments X and XI.
12. Provide estimates of the burden hours for 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. Provide estimates of annualized cost to
respondents for the hour burdens for collections of information, identifying and using
appropriate wage rate categories.
The burden hour calculation for completing the NCFO questionnaire was based on the time needed
to review and update previously provided information, and for those small number of operators
who have not previously participated, the time needed to complete the entire questionnaire. The
average burden hours required to participate in the census is estimated to be 30 minutes. Based on
the results of the 2018 NCFO and efforts to update the NCFO list of ferry operations, it is estimated
that there are approximately 250 ferry operators currently providing service in the U.S. Thus, the
total burden hours would be approximately 125 hours (that is 30 minutes per respondent for 250
respondents which equals 7500 minutes or 125 hours).
The hourly rate for respondents was computed based on the seasonally adjusted median U.S.
income for water transportation workers, divided by the total number of work hours for the year
based on a 40 hour work week (i.e., 2,080 hours). The median income estimate ($54,400) was
taken from the May 2018 Occupational Employment Statistics Survey (SOC code 535021)
conducted by the Bureau of Labor Statistics: https://www.bls.gov/ooh/transportation-and-material-

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moving/water-transportation-occupations.htm. The annual cost to the respondents was then computed

by multiplying the hourly rate by the total burden hours. A summary of these estimates can be
seen in Table 1 below.
Table 1: Respondent Burden Hours and Respondent Cost Estimates.
Parameter

Estimate

Time to complete census questionnaire

30 minutes

Number of Ferry Operators

250

Respondent Burden Hours

125

Median Income of Captains, Mates, and Pilots of Water Vessels

54,400

Median Hourly Rate

$26.16

Annual Respondent Costs *

$3,270.00

* It is important to remember that the census is conducted biennially, thus these costs would not be incurred
every year.

13. Provide an estimate for 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).
Participation in the NCFO does not require additional record keeping on the part of the ferry
operators beyond what they would do to support normal operations, nor does it require any start
up or maintenance costs on their part.
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.
The estimated annualized cost to the Federal Government for the survey covered by this
submission includes funding for support contracts to implement and complete the data collection;
funding for BTS staff to develop the questionnaires, monitor contract operations, analyze results,
and develop/publish data products. Costs for support contracts are based on actual rates charged
on the 2018 NCFO and corresponding labor rates, as well as a refined scope of work. Government
staffing costs are also based on the resources required for the 2020 NCFO and 2020 OST-R/BTS
labor rates. Altogether, this submission represents an expected annual funding need of $500,000
(see Table 2).

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Table 2: 2020 NCFO Staffing Costs.

Annually:
Contractor
BTS
Estimated Cost:

National Ferry Database Survey
$250,000
$250,000
$500,000

15. Explain the reasons for any program changes or adjustments to burden estimates.
The proposed information collection shows consistency in burden hours from the previous data
collection. The BTS will continue to use and improve an electronic data collection tool that can
be accessed over the internet for the 2020 NCFO. Respondents will be allowed to choose to
respond electronically or on paper. This increase in options for response will not create a change
to burden hours.
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.
A copy of the final database will be published on the BTS web site, along with a summary report
of the findings containing descriptive statistics, tables and graphs. Any information that a ferry
operator has justified to be confidential business information will not be included. The data will
also be used in BTS compilation reports; such as, the Intermodal Passenger Connectivity Database
and the Intermodal Transportation Database. BTS will also use visualization software to create
sophisticated graphs with the NCFO data. Lastly, the potential exists that manuscripts will be
submitted to appropriate professional journals or may be presented at local, national, or
international conferences.
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.
The survey will display the expiration date for OMB approval of the information collection.
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 to the certification statement identified in Item 19, “Certification
for Paperwork Reduction Act Submissions,” of OMB Form 83-I.

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