0478 ss ren092706

SUPPORTING STATEMENT
VESSEL MONITORING PROGRAM FOR THE PACIFIC COAST
GROUNDFISH FISHERY
OMB CONTROL NO.: 0648-0478

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
The Magnuson Stevens Fishery Conservation and Management Act (Magnuson-Stevens Act)
established regional fishery management councils, including the Pacific Fishery Management
Council (Council), to develop fishery management plans for fisheries in the U.S. exclusive
economic zone (EEZ). The fishery management plans are intended to regulate fishing to ensure
long-term productivity and achievement of optimum yield from the resources for the benefit of
the nation. These plans are implemented by Federal regulations (for this collection, 50 CFR
660.302, .303, .304, .306, .359) which are enforced by the National Marine Fisheries Service
(NMFS) and the U.S. Coast Guard (USCG), in cooperation with State agencies.
Seven groundfish stocks are currently considered to be overfished1: widow rockfish, bocaccio,
darkblotched rockfish, cowcod, canary rockfish, pop, and yelloweye rockfish. Measures have to
be taken to protect the overfished stocks and to rebuild them to sustainable biomass levels.
Large-scale depth-based management areas, referred to as Groundfish Conservation Areas
(GCAs), are used to prohibit or restrict commercial groundfish fishing. These areas were
specifically designed to reduce the catch of overfished species while allowing healthy fisheries to
continue in areas and with gears where little incidental catch of overfished species is likely to
occur.
GCAs are defined by points of latitude and longitude. The rockfish conservation areas (RCAs)
are a sub-group of GCAs that are defined by points that approximate fathom curves for depth
ranges where overfished rockfish species are commonly found. Deep-water fisheries on the
slope have been permitted in areas seaward of the RCAs, and nearshore fisheries have been
permitted in areas shoreward of the RCAs. Vessels intending to fish in the deep-water slope
fisheries are allowed to transit through the RCAs, providing their gear is properly stowed.
Target fisheries with relatively low catch rates of overfished species, such as midwater trawling
for pelagic species and pink shrimp trawling with finfish excluders, have been allowed to occur
in the RCAs. Various state-managed fisheries where groundfish are incidentally taken also occur
in the RCA, however groundfish retention is restricted or prohibited within the RCAs.
Traditional enforcement methods (such as aerial surveillance, boarding at sea via patrol boats,
landing inspections and documentary investigation) are especially difficult to use when the
closed areas are large-scale and the lines defining the areas are irregular. Furthermore, when
management measures allow some gear types and target fishing in all or a portion of the
conservation area, while other fishing activities are prohibited, it is difficult and costly to
effectively enforce closures using traditional methods. Scarce state and federal resources also
1

In December 2005, NMFS announced, in the Federal Register, that the coastwide lingcod stock is no longer
considered overfished and is fully rebuilt (December 19, 2005; 70 FR 75115).

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limit the extent to which traditional enforcement methods can be used effectively.
To ensure the integrity of the GCAs and RCAs, a pilot Vessel Monitoring System (VMS)
program was implemented on January 1, 2004. The pilot program required vessels registered to
Pacific Coast groundfish fishery LE permits to carry and use VMS transceiver units while fishing
off the coasts of Washington, Oregon and California. Regulations, at 50 CFR Part 660 subpart
G, require vessels registered to a Pacific Coast groundfish fishery limited entry permits to carry
and use mobile VMS transceiver units while fishing in the EEZ off the coasts of Washington,
Oregon and California. The regulations at 50 CFR 660 subpart G also require the operator of any
vessel registered to a limited entry permit, and any other commercial or tribal vessel using trawl
gear; including exempted gear used to take pink shrimp, spot and ridgeback prawns, California
halibut and sea cucumber, to identify their intent to fish within restricted areas.
These regulations further the conservation goals and objectives of the Pacific Coast Groundfish
Fishery Management Plan (FMP) by allowing fishing to continue in areas and with gears that can
harvest healthy stocks with little incidental catch of low abundance species. To support this
monitoring program, NMFS requests renewal of a collection to require the following information
to be submitted:
Installation/activation certification reports require vessel owners and operators to follow specific
procedures when installing or re-installing a VMS transceiver unit. Upon activation the VMS
installer must complete, sign, and return the certification form to NMFS. The form contains
information on the VMS hardware and satellite communications services that are provided by
private communications companies approved by NMFS.
Hourly position reports are automatically transmitted to NMFS via satellite once the VMS
transceiver unit is installed and activated. Vessels that are required to have VMS must operate
the mobile transceiver unit continuously 24 hours a day throughout the fishing year, except when
a valid exemption report has been received by NMFS. The number of annual transmissions
depends on the VMS transceiver that the vessel owner purchases and the number of fishing days
per year in waters off the west coast. Many of the systems have a sleep function that
automatically reduces the transmission reports when a vessel is in port. The sleep function
allows for port stays without significant power drain or power shutdown. When the vessel goes
to sea, the unit restarts and normal position transmissions automatically resume. Because the
unit is continuously operable, NMFS may query the unit at any time to obtain a position report.
Exemption reports are optional. The exemption reports are sent by the vessel owner or operator
wishing a vessel to be excused from the requirement to operate the mobile transceiver unit
continuously 24 hours a day throughout the fishing year. Such exemptions are allowed only for
vessels operating outside of the EEZ for more than 7 consecutive days and vessels that are
continuously out of the water for more than 7 consecutive days. A vessel may be exempted
from the requirement to operate the mobile transceiver unit continuously 24 hours a day if a
valid exemption report, is received by NMFS, Office for Law Enforcement(OLE) and the vessel
is in compliance with all conditions and requirements of the exemption. An exemption report is
valid until a second exemption report is sent to cancel the existing exemption.

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Declaration reports. Declaration reports are submitted to NMFS OLE by telephone and are
valid until revised by the vessel operator. Vessel operators making declaration reports receive a
confirmation number that verifies that the reporting requirements were satisfied. If a vessel
operator intends to use the vessel to fish in a different fishing category, a new declaration report
must be submitted to revise the old declaration report.
In 2007, NMFS is implementing additional closed area restrictions to protect bottom habitat from
fishing gear impacts, as mandated by the Magnuson-Stevens Act. These areas are referred to as
Essential Fish Habitat (EFH) conservation areas. Like GCAs and RCAs, the EFH conservation
areas will be defined by points of latitude and longitude. An information collection request to
support Proposed Rule 0648-AU08 will extend the VMS requirements to all Open Area vessels.
After approval by OMB, this new collection will be merged with OMB Control No. 0648-0478.
2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
Installation/activation reports will be used to provide OLE with information about the hardware
installed and the communication service provider that will be used by the vessel operator.
Specific information that links a permitted vessel with a certain transmitting unit and
communications service is necessary to ensure that automatic position reports will be received
properly by NMFS and to identify the unique signature for each VMS unit. In the event that there
are problems, NMFS will need to have ready access to a database that links owner information
with installation information. NMFS can then apply troubleshooting techniques and as necessary,
contact the vessel operator and discern whether the problem is associated with the transmitting
hardware or the service provider. Vessel owners would be required to provide these reports
following initial installation and after a re-installation or when the hardware or communications
service provider changes. This is not expected to occur more than once per year.
Hourly position reports will be used by NMFS to maintain the integrity of EFH conservation
areas and large geographical rockfish conservation areas where fishing activities are restricted.
On a broad level, the VMS vessel location reports are a cost-effective tool used to facilitate
enforcement of time/area closures in the fishery. The hourly position reports are transmitted 24
hours per day throughout the calendar year (note: that some type-approved models have a sleep
mode that automatically reduces the transmissions after an extended period of inactivity and
resumes transmission when the vessel moves) and provide NMFS and USCG with real-time
vessel location and activity information. Position information will also be used by NMFS fishery
managers to evaluate fishing effort and determine whether further management measures are
needed to protect low abundance species. Vessel operators are required to operate the VMS unit
continuously throughout the a year. This means that the vessel operator will maintain the
transponder unit, antennas and the electrical sources that power the system. When an operator is
aware that transmission of automatic position reports has been interrupted, or when notified by
NMFS that automatic position reports are not being received, they must contact NMFS and
follow the instructions provided. Such instructions may include, but are not limited to, manually
communicating to a location designated by NMFS the vessel's position or returning to port until
the VMS is operable. In addition, some systems may require software to be updated. Many of the
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transponders can have their set of features upgraded by being reloaded/flashed with updated
versions.
Exemption reports allow vessels to discontinue or reduce transmissions when they are seaward
of the monitored area or when the vessel has been removed from the water for an extended
period and is without the electrical power source needed to operate the VMS transceiver unit.
These reports allow flexibility to the industry participants while providing NMFS OLE with the
information needed to determine why a position report is not being received from the vessel.
Declaration reports are needed by NMFS OLE and USCG to identifying vessels that are legally
fishing within RCAs. To effectively monitor activity in the RCAs and efficiently use limited
resources, it is necessary to require vessels to declare their gear before entering the RCAs. In
addition to the groundfish fishery, there are numerous state and federal fisheries that occur in the
EEZ off Washington, Oregon, and California. Because many of the groundfish vessels also
participate in fisheries other than groundfish it is difficult to determine during an enforcement
flyover if they are fishing for groundfish or for a species and with a gear for which harvest is
allowed in the RCA. Therefore, a declaration report is necessary to identify what gear the vessel
operator intends to use. Only those vessels that are difficult to identify are being required to
declare their intent. For example, vessels such as salmon troll and sport charter vessels are
visually unique and would therefore not be required to provide declaration reports. A single gear
type is typically used for multiple trips, so to reduce the reporting burden each declaration report
will be valid until cancelled (can apply to multiple trips) or revised by the vessel operator. After
a declaration report has been sent, the vessel cannot engage in any activity with gear that is
inconsistent with that which can be used in the RCA unless another declaration report is sent to
cancel or change the previous declaration.
This information will be used in combination with VMS to more efficiently and effectively direct
the use of enforcement resources throughout the fishing year. It is anticipated that the
information collected will be used to support publicly disseminated information. As explained in
the preceding paragraphs, the information gathered has utility. NMFS will retain control over the
information and safeguard it from improper access, modification, and destruction, consistent
with National Oceanic and Atmospheric Administration (NOAA) standards for confidentiality,
privacy, and electronic information. See response #10 of this Supporting Statement for more
information on confidentiality and privacy. The information collection is designed to yield data
that meet all applicable information quality guidelines. Prior to dissemination, the information
will be subjected to quality control measures and a pre-dissemination review pursuant to Section
515 of Public Law 106-554.
3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
Installation/activation reports The installation/activation reports will be made available over the
Internet. Due to the need for the owner’s signature NMFS will use facsimile submission for the
installation report. NMFS OLE will accept mailed submissions if the vessel owner prefers this
method. Hourly position reports are automatically sent from VMS transceivers installed aboard
vessels. Once per hour, the unit automatically determines the vessel’s location and transmits that
4

position to a processing center via a communication satellite. The VMS transceiver units typeapproved for use in the Pacific Coast groundfish fishery include models that automatically
reduce the number transmissions, and thus the transmission costs after and extended period of
inactivity by the vessel. In addition, vessel owners may choose to take advantage of the VMS
technology by linking personal computers to VMS transceiver units to improve communication
(by adding email capacity) and add other services such as newspapers or weather reports.
Exemption reports and Declaration reports will be submitted by dialing a toll-free number, the
caller is asked a series of questions. This system allows vessels to quickly and easily submit
their report. NMFS has prepared an example of a worksheet that can be used by the caller to
organize report information (attached). The worksheet is an example and would not be a form
submitted to NMFS.
4. Describe efforts to identify duplication.
There are no alternate sources of this information or duplicative requirements.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
Most of the respondents qualify as small businesses. The burden on fishery participants was
considered and only the minimum data needed to monitor compliance with regulations are being
requested from respondents. The VMS units that have been type-approved for this fishery range
in costs and service features. This allows the vessel owner the flexibility in choosing the model
that best fits the needs of their vessel. Vessels that have already purchased VMS transceiver units
for other fisheries or personal purposes have been given consideration. Vessels will be allowed
to retain existing VMS transceivers providing they are on the list of type-approved models and
have been upgraded to the level required for the fishery. The submission of declaration reports
was initially proposed as per-trip reports. Following consultation with fishery participants, it was
determined that the needs of NMFS OLE and the USCG could be met with less frequently made
declaration reports. Therefore, it was determined that a declaration report identifying the type of
gear being used by a vessel would remain valid until cancelled or revised by the vessel operator.
This results in a significant reduction in the number of reports. Following consultation with
fishery participants, it was determined that some vessels may prefer to reduce the costs of
reporting when leaving the EEZ off the coasts of Washington, Oregon, and California. Because a
substantial number of permitted vessels also fish in waters off Alaska and in areas outside the
EEZ, and because vessels are commonly pulled out of the water for extended periods, a VMS
hourly report exemption option was added, which included an exemption report.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
Installation/activation reports -- The use and submission of an of the installation/activation
reports is required only for the initial installation, re-installation or when the hardware or
communications service provider changes. Less frequent reporting would prevent NMFS and the
vessel operator from confirming that the system is functioning properly.

5

Hourly position reports -- Implementing depth-based management measures over large
geographic areas, the U.S./Canada border to the U.S./Mexico border, marks the transition to a
much greater dependence upon at-sea enforcement. If the VMS was not operational, NMFS Law
Enforcement agents and USCG would be tasked with monitoring closed areas via air and surface
patrols. Because the USCG engages in multi-purpose missions, at-sea surveillance of fisheries,
homeland defense, search and rescue, pollution response, law enforcement, and training, effort
may be diverted from depth-based management patrols. VMS provides a level of coverage that
cannot be attained by these more traditional enforcement methods, and at a substantially lower
cost. A more liberal depth-based management regime is only possible if the integrity of the
depth-based RCAs can be ensured. Without the ability to ensure the integrity of the RCAs, it is
most likely that the depth-based management strategy will be discontinued. If this were the case,
the management structure would revert back to very restrictive limits or no limits on healthy
stocks in order to protect low abundance species. Less frequent position reports would be
ineffective in deterring the illegal activity. Along some areas of the coast, the RCAs are narrow
or prime fishing grounds are near the boundary line of the RCA. If reports were less frequently it
would be possible for some vessels to fish within the RCA without being detected. This would
undermine the integrity of the RCAs.
Exemption reports and Declaration reports are needed to efficiently and effectively direct the use
of enforcement resources throughout the fishing year. The reporting frequency has been reduced
to the minimum amount needed to maintain the integrity of the RCAs.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
The collection is consistent with Office of Management of the Budget (OMB) guidelines except
that the VMS reports are sent multiple times per day. That frequency is necessary for enforcing
regulations.
8. Provide a copy of the PRA Federal Register notice that solicited public comments on the
information collection prior to this submission. Summarize the public comments received
in response to that notice and describe the actions taken by the agency in response to those
comments. Describe the 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
recordkeeping, disclosure, or reporting format (if any), and on the data elements to be
recorded, disclosed, or reported.
A federal register notice was published on February 23, 2006. No comments were received.
As described above in #5: following consultation with fishery participants, it was determined that
the needs of NMFS OLE and the USCG could be met without requiring “per trip” declaration
reports. Therefore, it was determined that a declaration report identifying the type of gear being
used by a vessel would remain valid until cancelled or revised by the vessel operator. It was also
determined that some vessels may prefer to reduce the costs of reporting when leaving the EEZ
or when pulled out of the water for extended periods. To reduce the reporting burden on vessels
outside the EEZ, an optional exemption report was added to allow vessels to reduce or

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discontinue VMS hourly position reports when they are out of the EEZ for more than 7
consecutive days.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payments or gifts are provided under this program at this time.
10. Describe any assurance or confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
Efforts were made in the design of the VMS program to ensure the security of all individual
vessel location data, including analysis and storage. The system includes measures to minimize
the risk of direct or inadvertent disclosure of fishing location information. In addition, VMS data
is considered confidential under NOAA Administrative Order 216-100, Confidentiality of
Fishery Statistics, and is subject to the confidentiality protection of Section 402 of the
Magnuson-Stevens Act.
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.
No questions are asked of a sensitive nature.
12. Provide an estimate in hours of the burden of the collection of information.
Total burden hours and annual costs for the VMS unit installation and operation are presented in
Table 1 below. Total annualized responses are 3,723,312. Total annualized hours are 7,890.
Table 1. Public Burden and Cost for VMS purchase, installation, maintenance, and
reporting.
Activity

Purchase and
installation of
VMS
VMS maintenance
Activation
report
Hourly reports
Exemption
reports
Declaration
reports

TOTALS

#
Respondents

Annual
responses
per
respondent

Total
annual
responses

424

NA

NA

NA

NA

424
424
424
145
723 (424 LE +
294 exempted
trawl+ 5 tribal
trawl)
723

Time per
response

Total
annualized
burden
hours

Capital expenses/
recordkeeping/
reporting cost per
response

Total annualized
capital expenses/
recordkeeping/
reporting cost

424

$2900 ($2,000 $3800)

$307,400

4 hours

1696

$0

$0

106

5 min.

9

$3

$318

3,714,240

5 seconds

5159

$3 ($1-$5)/day

$464,280 (424 x 365 x
$3)

2

290

5 minutes

24

$0

$0

12

8,676

4 minutes

578

$0

$0

1 (annualized
= 0.25)
8760 (365 x
24)

4 hours

3,723,312

7890

$771,998

Installation and activation hours and purchase costs are annualized by dividing by 4, the expected service life.

7

13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in #12
above).
Total burden hours and annual costs for the VMS unit installation and operation are presented in
Table 1 above. Total annualized capital costs are $307,400. Total annualized reporting costs are
$464,598. Overall total annualized costs are $771,998.
14. Provide estimates of annualized cost to the Federal government.
NMFS is required to ensure that VMS units have been installed properly and are operational. In
addition, the review the data transmissions will be required to maintain the integrity of the
restricted RCAs. NMFS has one full-time employee (FTE) (GS-13, $85,000) and two contract
employees, one at $68,000 and one at $48,000 from the NMFS OLE dedicated to maintaining the
system.
The cost to the government during the first year of the program includes software ($25,000) and
equipment for a base station ($54,000), software design ($15,000), reporting system and
telephone usage fees ($1,500), as well as training, travel, office space, etc., approximately
$50,000. The estimated cost of the total program is $306,000 for the first year and approximately
$212,000 in subsequent years. This includes the costs of maintaining the base station and
continuing the reporting system.
The total annualized cost to the government is $444,333.
15. Explain the reasons for any program changes or adjustments reported in Items 13 or
14 of the OMB 83-I.
Responses were decreased by 318 and hours were decreased by 26, due to a calculation error in
the previous submission (one-time activation report burden had not been annualized).
16. For collections whose results will be published, outline the plans for tabulation and
publication.
No formal scientific publications based on these collections are planned at this time. The data
will be used for management reports and fishery management plan amendments and evaluations
by the NMFS and the Council. However, subsequent use of the data collected over a series of
years may include scientific papers and publications.
17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons why display would be inappropriate.
N/A.

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18. Explain each exception to the certification statement identified in Item 19 of the OMB
83-I.
N/A.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
No Statistical Methods are employed.

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