Cadrs Supporting Statement For Revision Of Form Final

SUPPORTING STATEMENT FOR
FEDERAL MARITIME COMMISSSION
INFORMATION REQUEST
Intake Forms for Ombuds Assistance
1.

Explain the circumstances that make the collection of information necessary.

The Shipping Act of 1984 (Shipping Act), as amended by the Ocean Shipping Reform Act of
1998, authorizes private individuals to file a claim for reparations before the Federal Maritime
Commission (Commission or FMC) against any regulated entities which violate the Shipping
Act. The Commission regulates passenger vessel operators pursuant to Pub. L. No. 89-777, 46
U.S.C. ch. 441. The Administrative Dispute Resolution Act, 5 U.S.C. § 571 et. seq. (ADRA),
requires agencies to explore the use of alternative dispute resolution (e.g. use of ombuds,
mediation, facilitation, etc.) to resolve disputes. As such, the agency created the Office of
Consumer Affairs and Dispute Resolution Services (CADRS) to provide alternative dispute
resolution services to agency stakeholders and the shipping public to resolve ongoing regulatory
and commercial international ocean shipping disputes, as well as disputes between passenger
vessel operators and their customers. Parties may use CADRS on a voluntary basis either prior
to or after filing a formal action before the Commission or other fora. In addition, as a publicfacing office, CADRS briefs senior agency staff with respect to emergent shipping issues and
industry trends. The provision of these services requires the collection of information from
members of the shipping public as follows:
CADRS-provided ombuds, mediation, facilitation, and arbitration services require a basic review
of the facts and issues in controversy. Upon request for assistance, CADRS staff will issue an
Intake Form that requests the party(ies) seeking its services to provide contact information, basic
information regarding the issue(s) in dispute, as well as documents that will help CADRS staff
facilitate successful party-driven negotiated resolution. Provision of information is voluntary;
however, information is required to receive services.
2.

Indicate how, by whom, and for what purpose the information is to be used.

The Intake Form is designed to provide consumers and regulated entities with a simple
mechanism for submitting requests for alternative dispute resolution services. The data collected
will be used to render assistance to requesters in exploring resolution of ocean transportation
related disputes.
The Intake Form will be provided to interested parties upon request and will be sent to them via
email, facsimile, or postal mail. The Intake Form will prompt requesters for a description of key
facts regarding the dispute, the desired resolution, the amount in controversy, party contact
information, and supporting documentation. Responses to these questions will help CADRS
staff understand the issues and facts in dispute, the requester’s desired outcome of the dispute,
and the appropriate contact information for the parties to the dispute resolution proceeding.

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.
The agency will provide the form as a fillable electronic form to those requesting it via email and
will explore whether automated applications may be incorporated to streamline the process for
requesting assistance. In addition, requesters will have the option of requesting a non-fillable
PDF or hardcopy of the form for emailing, mailing, or faxing to the Commission.
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 Question 2.
No duplication of effort is involved because similar information is not available from outside
sources or elsewhere in the Commission.
5.
If the collection of information impacts small businesses or other small entities
describe any methods used to minimize burden.
The data collection is not anticipated to burden small entities significantly. Small entities may
wish to request alternative dispute resolution services or may otherwise be a party to an
alternative dispute resolution proceeding. It is anticipated that the use of information for the
purpose of providing alternative dispute resolution services may create cost savings for parties
by avoiding costly administrative or court-based litigation.
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 Shipping Act charges the Commission with regulating passenger vessel operators as
common carriers and their financial responsibility requirements under P.L. 89-777, as well as
adjudicating ocean shipping disputes. ADRA requires agencies to explore means of resolving
disputes related to agency programs through the use of alternative dispute resolution to avoid or
mitigate the costs of administrative or court-based litigation.
The proposed collection is voluntary. Without the proposed data collection, the Commission
would be unable to provide efficient alternative dispute resolution services.
7.
Explain any specific circumstances that would cause information collection to be
conducted in a manner:

•
Requiring requesters to report information to the agency more than
quarterly;
•
Requiring requesters to prepare a written response to a collection of
information in fewer than 30 days after receipt of it;
•
Requiring requesters to submit more than an original and two copies of any
document;
•
Requiring requesters to retain records, other than health, medical,
government contract, grant-in-aid, to 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
•
Requiring requesters to submit proprietary trade secrets, or other
confidential information unless that agency can demonstrate that it has instituted
procedures to protect the information’s confidentiality to the extent permitted by
law.
There are no special circumstances.
8.
If applicable, provide a copy and identify the date and page number of publication
in the Federal Register or 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 that notice and describe actions taken by the agency in
response to these comments. Specifically address comments received on cost and hour
burden. Describe efforts to consult with persons outside the agency to obtain their views on
the availability of data, frequency of collection, to clarify of instructions and
recordkeeping, disclosure, or reporting form (if any) and on the data elements to be
recorded, disclosed, or reported.
Consultation with representatives of those from whom information is to be obtained or
those who must compile records should occur at least once every 3 years even if the
collection information is the same as in prior years. There may be circumstances that may
preclude consultation in a specific situation. These circumstances should not be explained.

The 60-day Federal Register notice regarding this information collection was published May 16,
2019, at 84 FR 22122. Respondents had 60 days to respond with their views regarding collection
of information; no comments were received.
9.
Explain any decision to provide any payment or gift to requesters, other than
remuneration of contactors or grantees.
Not applicable. This information collection does not provide any payment or gift to the
requesters.
10.
Describe any assurance of confidentiality provided to requesters and the basis for
the assurance in statute, regulation, or agency policy.
All information collection activities will be conducted in full compliance with the requirements
of the Privacy Act, 5 U.S.C. § 552a. At the point of information collection, requesters will
receive a Privacy Act statement, explaining that personally identifiable information will be kept
confidential, to the extent permitted by law and Commission rules, and in accordance with the
relevant System of Records Notice.
Pursuant to ADRA and the Department of Justice and Interagency ADR Working Group
confidentiality guidance documents, dispute resolution communications and confidential
information are afforded confidentiality protection. See “Confidentiality in Federal Alternative
Dispute Resolution Programs,” Federal ADR Council/Department of Justice, 65 Fed. Reg. 83085
(December 29, 2000); “Protecting the Confidentiality of Dispute Resolution Proceedings. A
Guide for Federal Workplace ADR Program Administrators” Interagency Alternative Dispute
Resolution Working Group (April 2006) available at www.adr.gov. As such, a form submitted
to CADRS that provides information for the purpose of initiating a dispute resolution
proceeding, within the meaning of ADRA, would be considered a convening document and,
therefore, afforded confidentiality under ADRA. Further, communications between the neutral
and the parties to a dispute resolution proceeding would be afforded confidentiality
under ADRA.

11.
Provide additional justification for any questions of a sensitive nature such as sexual
behavior or 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 information is requested, and any steps to be taken to obtain
their consent.
Not applicable – no questions of a sensitive nature.

12.
Provide estimates of the hour burden of the collection of information. Indicate the
number of requesters, frequency of response, annual hour burden, and an explanation of
how the burden was estimated.
The number of requesters will vary from year to year based upon the number of individuals
seeking to initiate a dispute resolution proceeding within CADRS. It is estimated that it will take
no longer than 15 minutes for a requester to complete the guided form.
The total estimated hour burden for this information collection is 125 per-hours, as set for below:
Requests for Assistance Using Intake Form (Estimate)
Estimated
Estimated
Number of
Number of
Requesters
Requests Per
Type if Intake
Requester
Email
500
1

Average
Burden Hours
Per Intake
15 Minutes

Estimated Total
Annual Burden
Hours
Requested
125 Hours

The annual cost to requesters is estimated at $1,671.25. The cost has been calculated in
consideration of the time to gather information and furnish it to the Commission. (See
Attachment 1.)
13.
Provide estimates of the total annual cost burden to requesters or record-keepers
resulting from the collection of information (do not include the cost of any burden shown in
questions 12 and 14). The cost estimate should be split into two components (a) a total
capital and start-up cost component annualized over its expected useful life; and (b) a total
operation and maintenance and purchase of services component.
There will be no annualized start-up capital or start-up costs for the requesters to collect and
submit this information.
14.
Provide estimates of annualized costs to the federal government. Provide a
description of the method used to estimate cost and any other expense that would not have
been incurred without this collection of information.
Total annual cost to the federal government is estimated to be approximately $56,676. The cost
to the federal government is based upon a calculation of office case load, staff salaries and
overhead. (See Attachment 2.)
The estimate takes into account time spent by CADRS receiving, assigning, and reviewing
consumer requests for ombuds assistance. It does not include the time spent by CADRS staff
providing dispute resolution services.

The attached chart calculates the number of hours allocated per each employee by the calculated
hourly salary to provide the total of $56,676. There are no other expenses that would have been
incurred with this collection of information.
Initial case intake is conducted by a GS-7 Information Processing Assistant. The Information
Processing Assistant responds to inquiries via telephone, letter, fax, and email and performs a
preliminary review of requests for assistance.
Provision of services includes the review of information submitted by requesters to CADRS staff
in support of a request for alternative dispute resolution services, follow-up correspondence with
parties to the dispute, conducting the dispute resolution proceeding, and a final matter closeout.
15.

Explain the reasons for any program changes or adjustments.

The Commission is revising FMC Form-32, the form that passengers submit with requests for
dispute resolution with passenger vessel operators (cruise operators)(PVO). The revision is
being done (1) to more accurately reflect the fact that, with respect to the relevant financial
responsibility requirements, the Commission only oversees cruises that embark in the United
States, by removing a question inconsistent with this authority (“did your cruise end at a U.S.
port?”); (2) to include the booking or ticket contract number (necessary to identify the cruise
passenger to the PVO); (3) to simplify the form by reducing the choices for respondent regarding
nature of the dispute to “casualty, non-performance, or other” and, finally, (4) to update the
email address from [email protected] to [email protected].
Upon closer review, the estimated total annual burden hours requested has also been adjusted
from 230 to 125 to more accurately reflect current estimated burden.
16.
For collections of information whose results are planned to be published, outline
plans for tabulation and publication.
Generally, the Commission does not intend to publish information collected under this
collection. However, the Commission may report statistical information taken from the
information collected, such as the number of requests for assistance received in a given year, the
types of cases received (e.g. cargo dispute, cruise dispute, etc.), and the collective financial
impact of a potential problematic trend.
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. The Commission is not requesting any exceptions to the certification statement.

Attachment 1
Estimated Burden and Costs, Including Overhead, to Respondents
The annual salary calculations have been formulated using the Bureau of Labor Statistics May
2018 National Occupational Employment and Wage Estimates (overhead of 114.89% has been
added to the basic salary). The salary for all occupations was used for calculation purposes.
All occupations - 15 minutes (completing intake form)
Formula: Annual salary/2087 + overhead rate = adjusted hourly salary
$51,960/2087 + 114.89% = $53.50 adjusted hourly salary

Employee
All Occupations

Hourly Salary
$53.50

Number of
Hours
15 minutes

Total
$ 13.37

Estimated Total Burden Hours – 125
125 hours x $13.37 adjusted hourly salary = $1,671.25 total burden to respondents

Attachment 2
Estimated Burden and Costs, Including Overhead, to Federal Government
The annual salary calculations have been formulated using the federal government’s 2019 salary
table (overhead* of 114.89% has been added to the basic salary).
Information Processing Assistant 7/5 – 334.5 hours
$53,285/2087 = $25.67 + 114.89% = $55.16 adjusted hourly cost
Employee
Information Processing Assistant
TOTALS

Submitted: December 11, 2019

Hourly Salary
$55.16
$55.16

Number of
Hours
344.5
344.5

Total
$ 56,676
$ 56,676