0335 ss 040307

SUPPORTING STATEMENT
FISHERIES CERTIFICATE OF ORIGIN
OMB CONTROL NO.: 0648-0335

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
The purpose of this collection of information is to comply with the requirements of the Marine
Mammal Protection Act (MMPA), 16 U.S.C. 1361, and the Dolphin Protection Consumer
Information Act (DPCIA), 16 U.S.C. 1385, as amended by the International Dolphin
Conservation Program Act (IDCPA), 16 U.S.C. 1414. The MMPA and the DPCIA required the
Secretary of Commerce to promulgate regulations that restricted the fishing, sale, importation,
and transportation of tuna that is not dolphin-safe and of certain other fish and fish products
when they have been harvested by high seas driftnets. The IDCPA primarily amends provisions
in the MMPA and the DPCIA governing marine mammal mortality in the U.S. eastern tropical
Pacific Ocean (ETP) tuna purse seine fishery and the importation of yellowfin tuna and yellowfin
tuna products from other nations with vessels engaged in the ETP tuna purse seine fishery.
A final rule, affecting 50 CFR Part 216 published in the Federal Register on September 13, 2004
(amended by a final rule affecting 50 CFR Parts 216 and 300 published on April 12, 2005),
implemented provisions of the IDCPA which allows the entry of ETP-caught yellowfin tuna into
the United States under certain conditions and establishes a tuna tracking program to ensure
adequate tracking and verification of dolphin-safe labeled tuna. This information collection
documents the dolphin-safe status of tuna import shipments; verifies that import shipments of
fish were not harvested by large scale, high seas driftnets; and verifies that tuna was not
harvested by a nation under embargo or otherwise prohibited from exporting tuna to the United
States.
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.
The Fisheries Certificate of Origin (FCO) provides the National Marine Fisheries Service
(NMFS) information concerning the origin, type, and quantity of the imported tuna. The FCO
provides a mechanism for foreign exporters and government officials to use in documenting and
certifying the fishing method and dolphin-safe status of the accompanying shipment. It requires
U.S. importers to provide this information to the U.S. Customs and Border Protection (CBP) at
the time of importation which assists the CBP in preventing tuna, not properly documented, from
entering the United States. In addition, the CBP importer of record is required to send a copy of
the FCO to NMFS within 30 days of the shipment. All parties that submit FCOs are required to
retain a copy of the FCO for a period of two years and to provide such copies to the NMFS
within thirty days of receiving a written request from the NMFS Regional Administrator,
Southwest Region.

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If the importer of record is not the final destination of the entire shipment, additional importers
or processors who take custody of the shipment are asked to endorse and date the form to certify
that the form and attached documentation accurately describes the accompanying shipment. The
additional endorsers are required to file the form and retain for two years but need not submit it
unless it is requested at a later time during a tuna tracking audit, which occurs every two to four
years.
If an importation includes tuna and/or tuna products harvested by a purse seine net outside of the
ETP (where there is no requirement for an onboard observer), then a statement signed by the
vessel captain certifying that no purse seine net was intentionally deployed on or to encircle
dolphins during the fishing trip must be attached to the FCO.
If the importation includes tuna and/or tuna products harvested in the ETP by a purse seine
vessel of more than 400 short tons carrying capacity, then valid documentation signed by a
representative of the appropriate International Dolphin Conservation Program (IDCP)-member
nation must be attached to the FCO certifying that 1) there was an IDCP-approved observer on
board the vessel during the entire trip; 2) no purse seine net was intentionally deployed on or to
encircle dolphins during the fishing trip and no dolphins were killed or seriously injured in the
sets in which the tuna were caught; 3) a listing of the numbers for the associated Tuna Tracking
Forms which contain the captain’s and observer’s certifications.
National Oceanic and Atmospheric Administration (NOAA) has made use of the FCO in
documenting the entry of tuna and certain other fish products into the United States for a number
of years. NOAA has also used the information collected on the FCO in litigation, fisheries
management decisions, and international negotiation decisions.
The information collected will not be disseminated to the public since the individual forms
contain no information useful to anyone outside of the involved federal agencies. The main
purpose of the form is to satisfy the legal mandates of Congress.
In the event summarized information is used to support publicly disseminated information, then
as explained in the preceding paragraphs, the information gathered can be shown to have utility.
NOAA, NMFS will retain control over the information and safeguard it from improper use,
modification, and destruction, consistent with 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.
The FCO form is available for online completion or downloading (the NMFS Southwest Region
web site (http://swr.nmfs.noaa.gov/ ) has a link to “Tuna Tracking and Verification” , at
http://dolphinsafe.gov) for use on the respondent’s own computer system. Respondents are

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encouraged to provide electronic copies to NMFS via a secure File Transfer Protocol (FTP)
server. Currently, approximately 15% of the responses are received in this manner.

4. Describe efforts to identify duplication.
The FCO was one of the first forms developed by NMFS to document information regarding the
importation of tuna products, to certify that certain fishery products were not harvested using
high seas driftnets, and to declare the dolphin-safe status of the tuna import. The same or similar
information is not available through any other known information collection.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
This collection does not have a significant impact on small entities.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
The Secretary of Commerce would not be able to meet the mandates of the applicable laws if the
information collection was not conducted. Litigation against the Federal Government would
likely ensue.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
This information collection is consistent with Office of Management and Budget (OMB)
guidelines (5 CFR 1320.6), except that submission is required for each shipment of tuna and
covered fish products that enter the United States. This may be more frequent than quarterly for
some importers.
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, published on December 5, 2006 solicited public comment on this
collection.
One comment was received due to the Notice (see below). No corrective action was taken by the
agency since the comment was based on an incorrect assertion.
Comment Received from December 5, 2006 Federal Register Notice
From: John Beowulf File Typeapplication/pdfFile TitleSUPPORTING STATEMENTAuthorRichard RobertsFile Modified2007-04-03File Created2007-04-03