Plan Approval & Records for Tank, Passenger, Cargo & Miscellaneous Vessels, Mobile Offshore Drilling Units, Nautical Schools, Oceanographic VSLS & Electrical Engineering

OMB: 1625-0038

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Supporting Statement


Plan Approval and Records for Tank, Passenger, Cargo and Miscellaneous Vessels, Mobile Offshore Drilling Units, Nautical School Vessels and Oceanographic Research Vessels – 46 CFR Subchapters D, H, I, I-A, R and U

OMB No.: 1625-0038


A. Justification

1. Circumstances that make the collection of information necessary.

The Coast Guard enforces regulations promoting the safety of life and property in marine transportation, authorized under 46 U.S.C. 3301 and 3306. These statutes subject freight, nautical school, passenger, tank, steam and seagoing motor vessels and barges to plan review and inspection before being certified for their intended service. This is to ensure structural adequacy, suitable accommodations, and generally, that each vessel is in full compliance with applicable marine safety regulations. The regulations include standards for structural strength, propulsion and equipment, accommodation arrangement, vessel stability, cargo gear, structural fire protection, and vapor control systems. In addition, certain vessels must meet the standards of the International Safety of Life at Sea (SOLAS) Convention. Designers, manufacturers and vessel builders normally develop both plans and manuals as a standard business practice.

2. Purpose of the information collection.

This information, which is collected by the Coast Guard, is used to determine compliance with safety regulations. Through the review of the plans prior to construction, the vessel owner or builder may be assured that the vessel, if built or modified in accordance with the plans, will meet the regulatory standards.

3. Consideration of the use of improved technology.

The Coast Guard Marine Safety Center (MSC) accepts information/plans via electronic submittal. For information on submitting information go to— https://www.dco.uscg.mil/msc. Information may also be submitted to the CG Officer in Charge, Marine Inspection (OCMI) at the local Sector Office. Contact info for CG OCMIs can be found at— https://www.uscg.mil/Units/Organization/. Electronic submission is voluntary, and we estimate that 97% of respondents submit their plans electronically.

4. Efforts to identify duplication.

There are no other Federal agencies with similar programs. However, there are areas where the Coast Guard's standards parallel those of Authorized Vessel Classification Societies (ACS). To eliminate duplication in these areas, the Coast Guard and ACS cooperate under the provisions of a Memorandum of Understanding which gives ACS authority to act on behalf of the Coast Guard in many areas of plan review and inspection of vessels under construction and the tonnage measurement of vessels. Implementing policies and procedures are published in Navigation and Vessel Inspection Circular (NVIC) No. 10-82, Change 2, "Acceptance of Plan Review and Inspection Tasks Performed by the American Bureau of Shipping for New Construction or Major Modifications of U.S. Flag Vessels".1 Under these procedures, the Coast Guard accepts ACS approval of plans for hull structure and certain engineering systems, on those vessels that the vessel owner/operator chooses to classify with ACS.

5. Methods to minimize the burden to small businesses if involved.

This information collection does not have an impact on small businesses or other small entities.

6. Consequences to the Federal program if collection were not done or conducted less frequently.

If this information were not collected, the Coast Guard would not be able to carry out its responsibility for the promotion of safety on commercial vessels. The information cannot be collected any less frequently, as the information is submitted when the owner seeks Coast Guard approval to construct or modify a vessel.

7. Special collection circumstances.

This information collection is conducted in a manner consistent with the guidelines in 5 CFR 1320(d)(2).

8. Consultation.

A 60-day Notice (See [USCG-2019-0251], April 8, 2019, 84 FR 13943) and 30-Day Notice (June 25, 2019, 84 FR 29870) were published in the Federal Register to obtain public comment on this collection. The Coast Guard has not received any comments on this information collection.

9. Provide any payment or gift to respondents.

The U.S. Coast Guard does not provide payment or gifts to respondents in exchange for a benefit sought.

10. Describe any assurance of confidentiality provided to respondents.

There are no assurances of confidentiality provided to the respondents for this information collection. This information collection request is covered by the Marine Information for Safety and Law Enforcement (MISLE) Privacy Impact Assessment (PIA) and System of Records Notice (SORN). Links to the MISLE PIA and SORN are provided below:

11. Additional justification for any questions of a sensitive nature.

There are no questions of sensitive language.

12. Estimates of annual hour and cost burdens to respondents.

  • The estimated annual number of respondents is 107.

  • The estimated annual number of responses is 3,673.

  • The estimated annual hour burden is 3,673 hours.

  • The estimated annual cost burden is $341,589.

The burden to respondents is provided in Appendix A. We estimate that it takes 1 hour per plan submission2 and that a submission is done by a technical specialist. Plans are submitted to either the MSC or an ACS. The position of a technical specialist is equivalent to a GS-13. The wage rate used is in accordance with the current edition of COMDTINST 7310.1(series) for “Out-Government” personnel.

13. Estimates of annualized capital and start-up costs.

There are no recordkeeping, capital, start-up or maintenance costs associated with this information collection.

14. Estimates of annualized Federal Government costs.

The estimated annual Federal Government cost is $431,552 (see Appendix B). We estimate that it will take 2 hours by a GS-13 to review and process each submission. The wage rate shown is in accordance with the current edition of COMDTINST 7310.1(series) for “In-Government” personnel.

15. Explain the reasons for change in burden.

The change in burden is an ADJUSTMENT due to a change (i.e., decrease) in the estimated annual number of responses. There is no proposed change to the reporting requirements of this collection. The reporting requirements, and the methodology for calculating burden, remain unchanged.

16. Plans for tabulation, statistical analysis and publication.

This information collection will not be published for statistical purposes.

17. Approval for not explaining the expiration date for OMB approval.

The Coast Guard will display the expiration date for OMB approval of this information collection.

18. Exception to the certification statement.

The Coast Guard does not request an exception to the certification of this information collection.

B. Collection of Information Employing Statistical Methods

This collection does not employ statistical methods.

2 Plan submission is not an annual requirement. A plan submission is only required for ship construction or modification.

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