Supporting Statement
Vessel Entrance or Clearance Statement
1651-0019
A. Justification:
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.
CBP Form 1300, Vessel Entrance or Clearance Statement, is used to collect essential commercial vessel data at time of formal entrance and clearance in U.S. ports, allows the master to attest to the truthfulness of all CBP forms associated with the manifest package, and collects relevant information about the vessel and cargo. The form was developed through agreement by the United Nations Intergovernmental Maritime Organization (IMO) in conjunction with the United States and various other countries. The form was developed as a single form to replace the numerous other forms used by various countries for the entrance and clearance of vessels. CBP Form 1300 is authorized by 19 U.S.C. 1431, 1433, and 1434, and provided for by 19 CFR 4. This form is accessible at:
http://www.cbp.gov/newsroom/publications/forms?title=1300&=Apply.
This form is currently submitted in paper format and is anticipated to be submitted electronically as part of CBP’s efforts to automate maritime forms through the Vessel Entrance and Clearance System (VECS), which will reduce the need for paper submission of any vessel entrance or clearance requirements under the above referenced statutes and regulations. VECS will still collect and maintain the same data as CBP Form 1300 but will automate the capture of data to reduce or eliminate redundancy with other data collected by CBP.
Proposed Changes:
New ACE Account Type:
CBP is adding a new ACE Account type for Vessel Agencies: The Vessel Agency Portal Account. The new account type within ACE will operate as a portal to the Vessel Entrance and Clearance System (VECS), which will run as its own separate system.
Vessel Agents will be required to provide identifying information such as; their name, their employer identification number (EIN), company address, and their phone numbers, which will be requested at the time Vessel Agents apply for the new ACE account type.
After creating an ACE account, Vessel Agencies, Vessel Operating Common Carriers (VOCCs), and their designees maybe able to use the new Vessel Entrance and Clearance System (VECS) as part of a forthcoming pilot program to test the functionality of VECS, and will be able to file vessel entrance, clearance, and related data to CBP electronically.
VECS Public Pilot:
VECS will automate and digitize the collection and processing of the data and filing requirements for which the CBP Form 1300 is used. CBP plans to run an initial public pilot to test the system. All users who obtained a Vessel Agency Account through the ACE Portal will be automatically enrolled into the VECS public pilot. Initially, the pilot will begin at one of eleven ports where VECS has been internally tested. CBP will provide training to each CBP port and the Vessel Agency personnel at each port, prior to beginning/expanding the public pilot in another port.
The VECS public pilot will expand to the first eleven internal CBP testing ports based on knowledge and familiarity with the system. The VECS public pilot will continue to expand to additional ports, in an effort to progressively test and implement the system nationwide. There will be no change to the paper format of CBP Form 1300, and CBP Form 1300 in paper format will continue to be accepted.
2. 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.
CBP Form 1300 is used to collect essential commercial vessel data at time of formal entrance and clearance in U.S. ports. The form allows the master to attest to the truthfulness of all CBP forms associated with the manifest package, and collects detailed information on the vessel, cargo, purpose of entrance, certificate numbers and expiration for various certificates. It also serves as a record of fees and tonnage tax payments in order to prevent overpayments.
This form is anticipated to be replaced as part of the maritime forms automation project otherwise known as the Vessel Entrance and Clearance System (VECS), which will eliminate the need for any paper submission of any vessel entrance or clearance requirements. VECS will still collect and maintain the same data, but will automate the capture of data to reduce or eliminate redundancy with other data collected by CBP.
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.
Currently this form can be filled out online, printed, and submitted on paper at the port.
CBP-OFO has built and is internally testing a system, known as the Vessel Entrance and Clearance System (VECS), for the electronic submission, review, and processing of this CBP form. Currently, CBP has developed a public facing portal, with recent DHS and CBP prioritization of VECS, the plan is to have an initial public portal, the new Account type within ACE for Vessel Agencies will act as the public portal to VECS, operating as the pass-through from the ACE system to VECS. However, even with an initial portal, CBP will still need to perform testing and run a public pilot with a small universe of stakeholders, before nationwide roll out.
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.
Some of this information may be provided via eNOAD. Efforts are being made to automate the process and link information being transmitted to eNOAD to populate like data fields into CBP’s system. Some of this information is also available via ACE and ATS data. ACE, ATS, and eNOAD data will all be integrated into the VECS. Currently, all entrance and clearance information is completed by hand by a Vessel Agent, who only has access to any information that is publicly available, information which they submit to CBP through eNOAD or ACE, or is provided to them by the carrier/master of the vessel.
5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.
This information collection does not have an impact on small businesses or other small entities.
6. Describe consequences 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 this information collection was conducted less frequently CBP could not fulfill its regulatory requirements to verify vessel manifest documents, would lose its ability to accurately assess fees and taxes, levy fines, and keep accurate records of vessel arrival and departure information.
7. Explain any special circumstances.
This information is collected in a manner consistent with the guidelines of 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 that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.
Public comments were solicited through two Federal Register notices including a 60-day notice published on November 15, 2021 (86 FR 63036) on which one comment was received from The Association of Ship Brokers and Agents (ASBA), and a 30-day notice published on March 14, 2022 (87 FR 14278) on which no comment has been received.
The Association of Ship Brokers and Agents (ASBA) Public Comment:
We want to emphasize that this represents a significant change in the way vessels will be processed by CBP. ASBA appreciates this opportunity to share the following recommendations:
CBP needs to confirm that companies wishing to create a Vessel Agency Account are “known” entities to local CBP personnel and/or CBP Account Representatives to ensure that only those companies serving as vessel agents will ultimately have access to the VECS system and data. CBP can look to national and port-based associations for lists of the vessel agency companies serving their ports. As you may be aware, ASBA Vessel Agent Members submit to an annual certification through the Association and is based on established standards of operation. ASBA’s Certification requires vessel agents to secure insurance coverage (General Liability, Workmen’s Compensation including USL&H, Errors & Omissions), outside CPA review of the member’s handling of funds advanced by their ship owner/operator and that all vessel agents and their managers are trained and professional. We will be happy to provide CBP with our list of vessel agent members.
CBP Response: CBP will continue to work with industry stakeholders and local resources to ensure proper access and utilization of VECS.
The Vessel Agent, appointed the ship owner/operator to facilitate the vessel call, acts as CBP’s primary point-of-contact. Should any issues arise, CBP will reach out to the vessel agent of record. As such, CBP should establish policy parameters that require vessel agency companies to be US-based entities when registering for the ACE Vessel Agency account type.
CBP Response: CBP will be require an ACE Vessel Agency account holder to be a U.S. based entity.
Along with registration information outlined, all vessel agent account types should provide a valid bond number before access is granted to the VECS system and data. This requirement will provide CBP with a mechanism to tie all VECS transactions to a specific vessel agency company and their bond.
CBP Response: Vessel agents will be required to provide a bond prior to any submission within VECS.
9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.
There is no offer of a monetary or material value for this information collection.
10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.
All data submitted is entered into the Vessel Management System (VMS) which is a sub-database of the Automated Target System (ATS) and a SORN for ATS, dated May 22, 2012 (Vol. 77, Page 30297) will be included in this ICR. PIA coverage is provided by DHS/CBP/PIA-006 Automated Targeting System.
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.
There are no questions of a sensitive nature.
12. Provide estimates of the hour burden of the collection of information.
FORM |
TOTAL BURDEN HOURS |
NO. OF RESPONDENTS |
NO. OF RESPONSES PER RESPONDENT |
TOTAL ANNUAL RESPONSES |
TIME PER RESPONSE |
CBP Form 1300
|
94,464 |
2,624 |
72 |
188,928 |
30 minutes (0.5 hours) |
CBP is working on completing the Vessel Entrance Clearance System (VECS), that will replace CBP Form 1300. At this time, the paper form is still being accepted until full nationwide implementation of VECS and regulation changes. Once VECS is fully implemented, it is expected to substantially reduce the time burden.
Public Cost
The estimated cost to the respondents is $5,059,492. This is based on the estimated burden hours (94,464) multiplied by the average loaded hourly wage rate for ship and boat captains and operators ($53.56). CBP calculated this loaded wage rate by first multiplying the Bureau of Labor Statistics’ (BLS) 2020 median hourly wage rate for Ship and Boat Captains and Operators ($35.39) by the ratio of BLS’ average 2020 total compensation to wages and salaries for Transportation and Material Moving occupations (1.5134), the assumed occupational group for ship and boat captains and operators, to account for non-salary employee benefits.1 This figure is in 2020 U.S. dollars and CBP assumes an annual growth rate of 0 percent; the 2020 U.S. dollar value is equal to the 2021 U.S. dollar value.
13. Provide an estimate of the total annual cost burden to respondents or record-keepers resulting from the collection of information.
There are no recordkeeping, capitalization or start-up costs associated with this collection.
14. Provide estimates of annualized cost 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 annual cost to the Federal Government associated with the review of these records is $2,144,590. This is based on the number of responses that must be reviewed (188,928) multiplied by the time burden to review and process each response (8 minutes or 0.133 hours) = 25,127 hours multiplied by the average hourly loaded rate for a CBP Officer ($85.35)2 = $2,144,590.
15. Explain the reasons for any program changes or adjustments reported in Items 12 or 13 of this Statement.
There is no change to the information being collected and no change in the estimated annual burden hours previously reported for this information collection. Once VECS is fully implemented, it is expected to substantially reduce the time burden.
16. For collection of information whose results will be published, outline plans for tabulation, and publication.
This information collection will not be published for statistical purposes.
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.
CBP will display the expiration date for OMB approval of this information collection.
18. Explain each exception to the certification statement identified in Item 19,
“Certification for Paperwork Reduction Act Submissions”.
CBP does not request an exception to the certification of this information collection.
No statistical methods were employed.
1 Source of median wage rate: U.S. Bureau of Labor Statistics. Occupational Employment Statistics, “May 2020 National Occupational Employment and Wage Estimates United States.” Updated March 31, 2021. Available at https://www.bls.gov/oes/2020/may/oes_nat.htm. Accessed June 1, 2021. The total compensation to wages and salaries ratio is equal to the calculated average of the 2020 quarterly estimates (shown under Mar., June, Sep., Dec.) of the total compensation cost per hour worked for Transportation and Material Moving occupations ($31.5350) divided by the calculated average of the 2020 quarterly estimates (shown under Mar., June, Sep., Dec.) of wages and salaries cost per hour worked for the same occupation category ($20.8375). Source of total compensation to wages and salaries ratio data: U.S. Bureau of Labor Statistics. Employer Costs for Employee Compensation. Employer Costs for Employee Compensation Historical Listing March 2004 – December 2020, “Table 3. Civilian workers, by occupational group: employer costs per hours worked for employee compensation and costs as a percentage of total compensation, 2004-2020.” March 2021. Available at https://www.bls.gov/web/ecec/ececqrtn.pdf. Accessed June 1, 2021.
2 CBP bases this wage on the FY 2021 salary and benefits of the national average of CBP Officer Positions, which is equal to a GS-11, Step 9. Source: Email correspondence with CBP’s Office of Finance on September 7, 2021.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| Author | Preferred Customer |
| File Modified | 0000-00-00 |
| File Created | 2022-03-24 |