02.13.2023 SS [APIS Document Validation] 1651-0088 Passenger and Crew Manifest

Supporting Statement

Passenger and Crew Manifest

1651-0088

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 Advance Passenger Information System (APIS) is an automated method through which U.S. Customs and Border Protection (CBP) receives information from carriers on passengers and crew onboard inbound and outbound international flights and commercial vessels before their arrival in, or departure from, the United States. APIS data includes biographical information for travelers arriving in or departing from the United States, allowing the data to be checked against CBP databases to target for high-risk travelers and facilitate legitimate travel for the general public.

The information is submitted for both commercial and private aircraft flights, commercial vessels, and voluntarily for some rail carriers and bus carriers. Specific data elements required for each passenger and crew member include: full name; date of birth; sex; citizenship; document type; passport number; country of issuance and expiration date; and alien registration number where applicable. The statutory authority for APIS includes, but is not limited to, the Aviation and Transportation Security Act, Public Law 107-71, 115 Stat. 597 (49 U.S.C. 44909); the Enhanced Border Security and Visa Entry Reform Act of 2002, Public Law 107-173, 116 Stat. 543 (8 U.S.C. 1221); the Intelligence Reform and Terrorism Prevention Act of 2004, Public Law 108-458 (49 U.S.C. 44909). The APIS regulatory requirements for air carriers are specified in 19 CFR 122.49a, 122.49b, 122.49c, 122.75a, 122.75b, and 122.22. These provisions list the required APIS data.

Respondents submit their electronic manifest either through a direct interface with CBP, or using eAPIS which is a web-based system that can be accessed at https://eapis.cbp.dhs.gov/.

Bus Operator Persona:

An approved pilot CBP is running that allows bus carriers to submit passenger manifest data to CBP, assisting the development of the CBP One Bus APIS module, formally named the Bus Operator Persona. The Bus Operator Persona is incorporated into the CBP One application will improve the current method of transmission by allowing carriers to scan the Machine-Readable Zone (MRZ) of travelers’ documents which will result in time-savings for the carriers and increased accuracy for CBP. On 10/20/2020, OMB approved expanding the pilot beyond nine respondents, to include rail respondents. At this time, rail respondents have not been added to the pilot; CBP plans to incorporate rail respondents in the future.

Bus carriers submit their APIS information to CBP via the Bus Operator Persona embedded in the CBP One application which is available free of charge for Android and Apple mobile devices.

In the CBP One application, the collection of traveler information is primarily done through electronic submission. The bus carrier designee submits traveler information by scanning the MRZ of each traveler’s document which is automatically loaded into the application. Should the MRZ not automatically transfer into the application, the bus carrier will manually input the traveler’s document information. This is the only point prior to arrival at which information is collected from travelers for CBP.

The user registers bus as the mode of travel and is prompted to complete information on the company. Information includes:

• Mode of Travel (Bus)

• License Country

• Registration Province

• License Number

• Sender ID

• Carrier Code (APIS code assigned by CBP)

• Bus Company

Each carrier will be required to create a ‘Driver Profile’ by entering in their documentation using the MRZ or manually. This profile is saved to be associated with each bus that the driver operates and will have to be selected prior to submitting the trip. The driver is prompted to enter his or her information, including:

• Name

• Date of Birth

• Sex

• Country of Citizenship

• Country of Residence

• Document Type

• Document Number

• Date of Issue

• Date of Expiration

• Country of Issue

This process is duplicated for all additional travelers boarding the bus. Each traveler profile is saved for the trip but is deleted from the application immediately after the information is submitted to CBP.

Prior to submitting traveler information to CBP, the user must fill in required information about the trip. These fields include items such as:

• Arrival Location in the US

• Estimated Arrival Date

• Estimated Arrival Time

• Arrival Code (Port of Entry)

• Entry State

• Last Country Visited

• Contact Email

For pre-arrival or pre-departure vetting and targeting to be conducted, officers must be able to collect information on travelers prior to their arrival at the border to promote officer safety and increase security. At air Ports of Entry, officers have access to traveler information 72 hours prior to arrival. However, this standard does not exist in the land environment, as travelers can board a bus within minutes of arriving at the border. In the air environment, airline carriers or their designated representatives or service providers are the users submitting traveler information. Therefore, in order to closely mirror this successful process, bus carriers will submit traveler data in the land environment. In order to reduce the burden of manual data entry, CBP One includes technology that reads the MRZ on a passport. As a result, the bus driver can simply scan a passenger’s machine-readable travel document in order to populate the required data fields and accurately submit that data to CBP.CBP plans to use the CBPOne application for rail carriers.

Proposed Changes:

Document Validation

CBP is proposing to update APIS regulations to require commercial air carriers to submit additional data elements to CBP via APIS for all commercial aircraft passengers arriving, or intending to arrive, in the United States.  The submitted information is compared to a database of known travel documents, and commercial air carriers receive an additional character in a response message from CBP, noting whether or not passenger documents have been validated.  This additional check in the passenger screening process helps speed airline check-ins, CBP processing upon arrivals, and closes a national security loophole that allows potentially fraudulent documents to be used to enter the United States. 

CBP is proposing to add four new elements to the current collection for air carriers, these new data elements include:

• Phone number with country code

• An alternative phone number with country code

• Email address

• Physical Address while in the United States for all travelers (except those in transit).

  • Physical address in the United States is currently collected through APIS for visitors to the United States

Because these data elements are commonly provided by the passenger when booking a ticket for air travel and the carrier forwards the information to CBP, the time burden for this information collection has not increased.

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 uses APIS data to target high-risk travelers and to facilitate the progress of legitimate travelers in and out of the United States by collecting data on all inbound and outbound passengers and crew members before their arrival in or departure from the United States.

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.

CBP has developed a web-based system (eAPIS) that allows the respondents to access the internet and electronically submit the manifest data directly to CBP. This alleviates the smaller carriers from having to invest in expensive departure control/reservation systems or reprogramming their existing systems. The web address is https://eapis.cbp.dhs.gov

Large commercial carriers submit their APIS information to CBP via electronic interface (UNEDIFACT).

Bus carriers submit their APIS information to CBP via the Bus Operator Persona embedded in the CBPOne application, or by uploading manifests using eAPIS.

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.

This information is not duplicated in any other place or any other form.

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

CBP established the ROAM – LPAS application, eAPIS, and CBPOne application so bus and rail carriers as well as private pilots and charter operators would not need to purchase equipment and/or incur programming expenses. Carriers require internet connection and a mobile device to access the application. This information collection does not have an impact on a substantial number of small businesses.

6. Describe consequences to Federal program or policy activities if the collection is not conducted or is conducted less frequently.

Without this information, CBP will not be able to meet the requirements of the applicable law and ensure the safety of international travelers and the commercial air, sea, and land (bus and rail) carrier industries.

6. 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 will be solicited through a Notice of Proposed Rule Making (NPRM) published on February 02, 2023 (Volume 88FR 7016).

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.

On February 10, 2021, the updated Privacy Impact Assessment (PIA) was published :

https://www.dhs.gov/sites/default/files/publications/privacy-pia-cbp001i-february2021.pdf

On February 9, 2021, DHS posted the updated Privacy Impact Assessment (PIA) “CBP support of CDC for Public health Contact Tracing”, to cover sharing data for all travelers.

https://www.dhs.gov/sites/default/files/publications/privacy-pia-cbp-cdccontacttracing-february2021.pdf

A SORN for the Advance Passenger Information System, published on March 13, 2015 (Volume 80, Page 13407) and a PIA for the Advanced Passenger Information System, the dated June 5, 2015, will be submitted as part of this ICR. No assurances of confidentiality are provided. A PIA for APIS-VRBS has also been updated to include the use of the LPAS application.

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 associated with this collection.

12. Provide estimates of the hour burden of the collection of information.

Information Collection	BURDEN HOURS	RESPONDENTS	No. of Responses per Respondent	TOTAL RESPONSES	TIME PER RESPONSE
Commercial Airlines	307,246	1,130	1,637.94	1,850,878	10 minutes (.166 hours)
Commercial Airline Psngr (3rd party)	496,937	184,050,663	1	184,050,663	10 seconds (.0027 hours)
Private Aircraft Pilots	115,000	460,000	1	460,000	15 minutes (.25 hours)
Bus Passenger Carrier	77,324	9	34,366	309,294	15 minutes (.25 hours)
Commercial Passenger Rail Carriers	1,590	2	4,745	9,540	10 minutes (.166 hours)
TOTAL	998,097	184,511,804		186,680,375

Public Cost

Commercial Airlines: The estimated cost to the respondents is $14,179,403. This is based on the estimated burden hours (307,246) multiplied by the average loaded hourly wage rate for flight attendants ($46.15). CBP calculated this loaded wage rate by first multiplying the Bureau of Labor Statistics’ (BLS) 2021 median hourly wage rate for Flight Attendants ($29.63), which CBP assumes best represents the wage for flight attendants, by the ratio of BLS’ average 2021 total compensation to wages and salaries for Transportation and Material Moving occupations (1.4953), the assumed occupational group for brokers, to account for non-salary employee benefits.¹ CBP assumes an annual growth rate of 4.15% based on the prior year’s change in the implicit price deflator, published by the Bureau of Economic Analysis.

Commercial Airline Passengers (3^rd Party Reporting): The estimated cost to the respondents is $23,405,733. This is based on the estimated burden hours (496,937) multiplied by the average hourly wage rate for all-purpose air travelers ($47.10). CBP used the U.S. Department of Transportation’s (DOT) recommended hourly value of travel time savings for intercity, all-purpose travel by air and high-speed rail, which is provided in 2015 U.S. dollars. CBP assumes an annual growth rate of 0 percent; the 2015 U.S. dollar value is equal to the 2022 U.S. dollar value.²

Private Aircraft Pilots: The estimated cost to the respondents is $11,593,150. This is based on the estimated burden hours (115,000) multiplied by the average loaded hourly wage rate for aircraft pilots ($100.81). CBP calculated this loaded wage rate by first multiplying the Bureau of Labor Statistics’ (BLS) 2021 median hourly wage rate for Aircraft Pilots and Flight Engineers ($64.73), which CBP assumes best represents the wage for aircraft pilots, by the ratio of BLS’ average 2021 total compensation to wages and salaries for Transportation and Material Moving occupations (1.4953), the assumed occupational group for brokers, to account for non-salary employee benefits.³ CBP assumes an annual growth rate of 4.15% based on the prior year’s change in the implicit price deflator, published by the Bureau of Economic Analysis.

Bus Passenger Carriers: The estimated cost to the respondents is $2,188,269. This is based on the estimated burden hours (77,324) multiplied by the average hourly wage rate for bus drivers ($28.30). CBP used the U.S. Department of Transportation’s (DOT) recommended hourly values of travel time savings for Bus Drivers, which are provided in 2015 U.S. dollars. CBP assumes an annual growth rate of 0 percent; the 2015 U.S. dollar value is equal to the 2022 U.S. dollar value.⁴

Rail Passenger Carriers: The estimated cost to the respondents is $66,144. This is based on the estimated burden hours (1,590) multiplied by the average hourly wage rate for locomotive engineers ($41.60). CBP used the U.S. Department of Transportation’s (DOT) recommended hourly values of travel time savings for Locomotive Engineers, which are provided in 2015 U.S. dollars. CBP assumes an annual growth rate of 0 percent; the 2015 U.S. dollar value is equal to the 2022 U.S. dollar value.⁵

13. Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collection of information.

The estimated operations and maintenance costs associated with this information collection are $68,361,719. This is calculated as follows:

Large carrier operations and maintenance costs associated with APIS and UNEDIFACT interface: 184,050,663 passengers multiplied by ($0.33) per passenger = $60,736,719

Large carrier operations and maintenance costs associated with APIS and the Electronic System for Travel Authorization (ESTA) interface: The number of large international carriers (61) multiplied by costs per carrier ($125,000) = $7,625,000.

Bus carrier operations and maintenance costs associated with collecting APIS include are negligible due to the ROAM-LPAS application being free of charge, and the majority of carriers already supplying mobile devices to drivers.

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 $16,214,391. This is based on the number of responses that must be reviewed (2,629,712) multiplied by the time burden to review and process each response (5 minutes or .083 hours) = 219,143 hours multiplied by the average hourly loaded rate for other CBP employees ($73.99)⁶ = $16,214,391.

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of this Statement.

CBP is proposing to add four new elements to the current collection for air carriers, these new data elements include:

• Phone number with country code

• An alternative phone number with country code

• Email address

• Physical Address while in the United States for all travelers (except those in transit).

  • Physical address in the United States is currently collected through APIS for visitors to the United States

Because these data elements are commonly provided by the passenger when booking a ticket for air travel and the carrier forwards the information to CBP, the time burden for this information collection has not increased; and there is no change to the method of collection

16. For collection of information whose results will be published, outline plans for tabulation, and publication.

This information collection will not be published.

17. If seeking approval to not display the expiration date, explain the reasons that displaying the expiration date would be inappropriate

CBP will display the expiration date for OMB approval of this information collection.

18. “Certification for Paperwork Reduction Act Submissions.”

CBP does not request an exception to the certification of this information collection.

B. Collection of Information Employing Statistical Methods

No statistical methods were employed.

1 Because median hourly wage information was not available for Flight Attendants CBP adjusted the annual median wage for Flight Attendants ($61,640) to an hourly estimate using the standard 2,080 hours worked per year. Source of median wage rate: U.S. Bureau of Labor Statistics. Occupational Employment Statistics, “May 2021 National Occupational Employment and Wage Estimates United States.” Updated March 31, 2022. Available at https://www.bls.gov/oes/current/oes_nat.htm. Accessed May 25, 2022. The total compensation to wages and salaries ratio is equal to the calculated average of the 2021 quarterly estimates (shown under Q01, Q02, Q03, Q04) of the total compensation cost per hour worked for Transportation and Material Moving occupations ($32.7725) divided by the calculated average of the 2021 quarterly estimates (shown under Q01, Q02, Q03, Q04) of wages and salaries cost per hour worked for the same occupation category ($21.9175). Source of total compensation to wages and salaries ratio data: U.S. Bureau of Labor Statistics. Employer Costs for Employee Compensation. “ECEC Civilian Workers - 2004 to Present.” March 2022. Available at https://www.bls.gov/web/ecec.supp.toc.htm. Accessed May 25, 2022.

2 Source: U.S. Department of Transportation, Office of Transportation Policy. The Value of Travel Time Savings: Departmental Guidance for Conducting Economic Evaluations Revision 2 (2016 Update), “Table 4 (Revision 2 - 2016 Update): Recommended Hourly Values of Travel Time Savings for Intercity, All-Purpose Travel by Air and High-Speed Rail.” September 27, 2016. Available at https://www.transportation.gov/sites/dot.gov /files/docs/2016%20Revised%20Value%20of%20Travel%20Time%20Guidance.pdf. Accessed May 25, 2022.

3 Because median hourly wage information was not available for Aircraft Pilots and Flight Engineers CBP adjusted the annual median wage for Aircraft Pilots and Flight Engineers ($134,630) to an hourly estimate using the standard 2,080 hours worked per year. Source of median wage rate: U.S. Bureau of Labor Statistics. Occupational Employment Statistics, “May 2021 National Occupational Employment and Wage Estimates United States.” Updated March 31, 2022. Available at https://www.bls.gov/oes/current/oes_nat.htm. Accessed May 25, 2022. The total compensation to wages and salaries ratio is equal to the calculated average of the 2021 quarterly estimates (shown under Q01, Q02, Q03, Q04) of the total compensation cost per hour worked for Transportation and Material Moving occupations ($32.7725) divided by the calculated average of the 2021 quarterly estimates (shown under Q01, Q02, Q03, Q04) of wages and salaries cost per hour worked for the same occupation category ($21.9175). Source of total compensation to wages and salaries ratio data: U.S. Bureau of Labor Statistics. Employer Costs for Employee Compensation. “ECEC Civilian Workers - 2004 to Present.” March 2022. Available at https://www.bls.gov/web/ecec.supp.toc.htm. Accessed May 25, 2022.

4 Source: U.S. Department of Transportation, Office of Transportation Policy. The Value of Travel Time Savings: Departmental Guidance for Conducting Economic Evaluations Revision 2 (2016 Update), “Table 4 (Revision 2 - 2016 Update): Recommended Hourly Values of Travel Time Savings for Bus Drivers.” September 27, 2016. Available at https://www.transportation.gov/sites/dot.gov/files/docs/2016%20Revised%20Value%20of%20Travel %20Time%20Guidance.pdf. Accessed May 25, 2022.

5 Source: U.S. Department of Transportation, Office of Transportation Policy. The Value of Travel Time Savings: Departmental Guidance for Conducting Economic Evaluations Revision 2 (2016 Update), “Table 4 (Revision 2 - 2016 Update): Recommended Hourly Values of Travel Time Savings for Locomotive Engineers.” September 27, 2016. Available at https://www.transportation.gov/sites/dot.gov/files/docs/2016%20Revised%20Value%20of%20 Travel%20Time%20Guidance.pdf. Accessed May 25, 2022.

6 CBP bases this wage on the FY 2022 salary and benefits of the national average of other CBP positions, which is equal to a GS-13, Step 1. Source: Email correspondence with CBP’s Office of Finance on June 27, 2022.