VMSR ss resub 101309

SUPPORTING STATEMENT
VESSEL MONITORING SYSTEM REQUIREMENTS UNDER THE WESTERN AND
CENTRAL PACIFIC FISHERIES
OMB CONTROL NO.: 0648-XXXX
A.

Justification

1. Explain the circumstances that make the collection of information necessary.
The Western and Central Pacific Fisheries Convention Implementation Act (WCPFCIA), Title V
of the Magnuson-Stevens Fishery Conservation and Management Act Reauthorization Act, gives
the Secretary of Commerce the authority to enact regulations to fulfill the Western and Central
Pacific Fisheries Convention (WCPFC) requirement that all member States require their vessels
that fish for highly migratory fish stocks (HMS) on the high seas in the Convention Area carry
and use near real-time satellite-based position-fixing transmitters (“VMS units”) as part of a
vessel monitoring system (VMS) operated by the Western and Central Pacific Fisheries
Commission (Commission). The system will help ensure compliance with the Commission’s
conservation and management measures.
As a Contracting Party to the WCPFC and a member of the Commission, the United States is
obligated to comply with this Convention provision. The National Marine Fisheries Service
(NMFS) has been delegated the responsibility for implementing this and other provisions of the
Convention.
Most of the United States (U.S.) vessels fishing for HMS on the high seas in the Convention
Area already carry and operate VMS units under other laws and regulations. Hawaii and
American Samoa longline vessels with limited access permits are required to do so under
regulations promulgated under the Magnuson-Stevens Fishery Conservation and Management
Act, and purse seine vessels are required to do so under the South Pacific Tuna Act. This new
information collection requirement will impose a new collection burden only on those vessels
fishing for HMS in the subject area that are not already required to carry and operate VMS units
in the area.
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 the applicable Information Quality Guidelines.
Any vessel for which a “WCPFC Area Endorsement” (a new authorization that will be required
of any U.S. vessel used for commercial fishing for HMS on the high seas in the Convention
Area) has been issued will be required to carry a VMS unit and operate it at all times, except that
the VMS unit may be turned off while the vessel is at port, provided that the vessel owner or
operator notifies NMFS in advance of each such shutdown and each time the VMS unit is
subsequently turned back on (termed “on/off reports”). In addition, “activation reports” will be a
one-time occurrence per installed (or subsequently repaired and reinstalled) unit that will be
made by the vessel owner or operator prior to the first use of the unit. Activation reports will be
used by NMFS to incorporate the location reports from the VMS unit into the VMS system.
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While the unit is operating, “position reports” from the vessel will be transmitted from the VMS
units automatically at a specified frequency and received via a satellite communication system
by NMFS and the Commission. Since the position reports will be automatically transmitted from
the VMS unit, they will not impose any time burden on vessel owners or operators, but
owners/operator will be responsible for the communication costs of the position reports to
NMFS, which will be a function of their duration and frequency (the transmissions to the
Commission will entail additional communication costs, but those costs will be borne by the
Commission through its budget, and passed on to the U.S. government as part of the annual
contributions of the United States to the Commission). The position reports will provide
authorized users (primarily NMFS, including its Office for Law Enforcement (OLE), U.S. Coast
Guard, and, only while a given vessel is on the high seas in the Convention Area, the
Commission) with near real-time vessel location information. The frequency of these reports will
be set by the Commission as high as one per hour, and that default frequency is used for the
purpose of the burden estimates. These reports will be used to monitor, and thus help ensure,
compliance with the Commission’s conservation and management measures. They will also be
used for scientific purposes, such as linking catch and effort information with vessel location.
When aware that transmission of automatic position reports from the VMS unit has been
interrupted or when notified by NMFS that automatic position reports are not being received, the
vessel owner or operator will be required to contact NMFS and follow the instructions provided,
which might include submitting position reports by other means, such as by email, phone, or fax.
The information collected will not be disseminated to the public, but it will support information
that will be disseminated to the public. National Oceanic and Atmospheric Administration
(NOAA) complies with Office of Management and Budget (OMB) Information Quality
Guidelines for ensuring and maximizing the quality, objectivity, utility, and integrity of
information (including statistical information) disseminated by federal agencies. VMS
information is safeguarded from improper access, modification, or destruction to a degree
commensurate with the risk and magnitude of harm that could result from the loss, misuse, or
unauthorized access to or modification of such information. If the VMS data are used to support
information disseminated to the public they will be synthesized or interpreted, and included in
scientific and enforcement technical reports (e.g. regarding fishing patterns and compliance
patterns). See response to Question 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, electric, mechanical, or other technological techniques or other forms of
information technology.
The VMS information collection integrates current information technology in the fishery
management and monitoring process. Once the VMS unit has been installed and activated, it
automatically transmits reports of vessel location on a pre-programmed frequency, via satellite,
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to a ground station, and then to the ultimate users. The collection of information is automatic and
invisible to the vessel operator.
Many vessel owners have taken advantage of this technology by linking personal computers to
VMS units to improve communication with other vessels, or by using the VMS unit’s data
output capability to supply vessel location information to navigational plotters. Although not
related directly to location reporting and not part of this collection of information, there is
potential for the VMS units to be used by fishermen to transmit their catch and effort data on a
near real-time basis.
4. Describe efforts to identify duplication.
NMFS has identified the fleets that are already required to carry and operate VMS units as part
of a NMFS-administered VMS. Owners/operators of vessels in these fleets will be required to
authorize the Commission to receive position reports via their VMS units, but they will not bear
any additional time burden or cost burden as a result of the data transmissions to the
Commission. These fleets are the purse seine fleet operating under the South Pacific Tuna Treaty
(about 40 vessels) and the longline fleets based in Hawaii and American Samoa (about 135
vessels).
Aside from the use of a VMS, NMFS has not identified any comparable programs that collect
near real-time vessel location information.
5. If the collection of information involves small businesses or other small entities,
describe the methods used to minimize burden.
All fishing operations subject to this collection of information, with the possible exception of a
few large-scale tuna purse seine, carrier, and bunker vessel operations, are small businesses.
As a member of the Commission, the United States has promoted the position that reporting rates
should be frequent enough to fulfill the compliance function of the VMS but not so frequent as to
be unduly costly. The default reporting period of one hour that has been adopted by the
Commission appears to achieve that balance.
6. Describe the consequence to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
If the information is not collected, the U.S. government would not meet its obligations as a
Contracting Party to the WCPFC and a member of the Commission, and would consequently fail
to fulfill the provisions of the WCPFCIA. The lack of VMS data from the U.S. HMS fleets
operating in the Convention Area would provide a disincentive to the other fishing nations in the
region to provide VMS data for their fleets. The effective management of the fishery resources
under the WCPFC would be compromised.
VMS vessel position reports on the order of one per hour are necessary to ensure compliance
with temporal, spatial, and other types of restrictions and to facilitate the cost-effective use of
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enforcement patrols. Less frequent reports would result in a higher likelihood of noncompliance.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
The collection is consistent with OMB guidelines except that the hourly VMS reports would be
more frequent than quarterly. This frequency is mandated as a default by the Commission, which
has determined it to be necessary to ensure compliance with its conservation and management
measures.
8. Provide information on 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 proposed rule, RIN 0648-AV63, “Initial Implementation of the Western & Central Pacific
Fisheries Convention Implementation Act,” solicited public comments on this information
collection. Comments and draft responses are posted as supplementary documents. The only
change in the final rule in response to these comments will be the addition of a second
NOAA point of contact for submitting VMS unit on/off reports and receiving subsequent
confirmations (in response to Comment 1 in the posted summary) - but specific information
regarding POCs was not part of the original supporting statement, so there is no corresponding
change in the supporting statement.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payment or gifts to respondents will be provided.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
All data are collected by NMFS and will also be available to the U.S. Coast Guard and, only
while a given vessel is on the high seas in the Convention Area, to the Commission, as well as
other parties that receive authorization to receive and use the data pursuant to applicable policies
and procedures (per NOAA Directive 06-101 VMS Data Access and Dissemination Policy, and
NOAA Administrative Order (NAO) 216-100 Protection of Confidential Fisheries Statistics).
Confidential data collected by NMFS are governed by regulations promulgated under the
WCPFCIA and by NAO 216-100. Any of the collected information used by NMFS in the
preparation of publicly disseminated information would first be aggregated and /or summarized
to maintain the confidentiality of the information pertaining to the individual vessels.

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Under the Commission’s Rules and Procedures for Protection of, Access to, and Dissemination
of, Data Compiled by the Commission, VMS data are defined as non-public domain data, and as
such, the dissemination of these data to other parties will be authorized in accordance with the
policies of confidentiality and security established in the Commission’s Information Security
Policy.

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.
The time burden associated with this collection will include time needed for:
(a) activation reports, (b) on/off reports, (c) VMS unit purchase and installation, and (d) VMS
unit maintenance.
(a) Activation reports:
If the VMS unit has been newly installed or reinstalled or the communications service provider
has changed since the previous activation, the vessel owner or operator must submit by mail,
facsimile or email an activation report to NMFS that includes: vessel name; Coast Guard vessel
documentation number, or if not documented, state or tribal registration number; VMS unit
manufacturer and identification number; and telephone, facsimile or email contact information
for the vessel owner or operator. Prior to leaving port, the owner/operator must also receive
verbal or written confirmation from NMFS or the U.S. Coast Guard that proper transmissions are
being received from the VMS unit.
VMS activation reports will be required for the projected 78 vessels that will be subject to this
collection. Such vessels are expected to include the following: (1) 69 troll vessels, which is the
maximum number of West Coast-based albacore troll vessels that fished in the Convention Area
in any of the last five years; (2) 4 longline vessels, including the 3 Western Pacific-based vessels
that were active as of April 2008 and the 1 West Coast-based vessel that has been active within
the last two years and (3) 5 support vessels (i.e., carrier vessels, bunker vessels and other vessels
used to support the operations of HMS harvesting vessels), which is the number which is roughly
the projected number to become active in the Convention Area in the next few years. Thus it is
projected that the owners/operators of a total of 78 vessels will be required to respond to this
new VMS collection of information.
For the purpose of the following calculations (which include the time burden of receiving the
confirmation from NMFS after submitting the activation report), it is estimated that the average
lifespan of VMS units is four years and that repairs, changes in communication service providers
or other circumstances requiring activation reports will occur an average of once per VMS unit
lifespan; that is, in addition to the activation report required upon installation of a new unit, one
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additional activation report would be required for that unit during its four-year lifespan. In
summary, activation reports will be required once every two years, on average.
78 vessels x 0.5 responses/vessel-year x 0.083 hr (5 minutes)/response = 3.2 hr/yr
Total estimated burden per year = 3.2 hours
Total estimated responses per year = 39
(b) On/off reports:
On/off reports must be sent to NMFS by mail, facsimile or email, and must include the following
information: the intent to turn on or turn off the VMS unit; the vessel’s name; the vessel’s Coast
Guard documentation number, or if not documented, state or tribal registration number; and
telephone, facsimile or email contact information for the vessel owner or operator. In the case of
turning a VMS unit on, the vessel owner/operator must also, prior to leaving port, receive verbal
or written confirmation from NMFS that proper transmissions are being received from the VMS
unit.
Vessel owners/operators will be required to submit on/off reports only if they choose to turn off
the VMS units while at port. Their decision of whether or not to do so will likely depend on the
size of the vessel (owners/operators of smaller vessels are more likely to want or need to shut
down the vessel’s entire electrical systems while at port, which would necessitate shutdown of
the VMS unit) and the duration of the stay at port (longer stays more likely to result in the VMS
unit being shut down). The frequency of the on/off reports will depend on the frequency of port
calls. It is roughly estimated that owners/operators of half of the 78 vessels subject to the
collection will choose to shut down their VMS units at least once during a given year, and that
for each of those 39 vessels, the VMS units will be shut down and subsequently turned back on
five times per year, on average (thus requiring 10 on/off reports per year, on average). It is
estimated that each on/off report will require 5 minutes, on average (including, in the case of
turning a VMS unit on, the subsequent confirmation from NMFS).
39 vessels x 10 responses/vessel-year x 0.083 hr (5 minutes)/response = 32.5 hr/yr
Total estimated burden per year = 32.5 (33) hours
Total estimated responses per year = 390
(c) VMS unit purchase and installation:
VMS unit installation time will be required for the estimated 78 vessels that will be subject to the
requirement. It is estimated that 4 hours per vessel will be required for each installation, for a
total initial burden of 312 hours. For the purpose of deriving an annual burden, it is estimated
that the average lifespan of VMS units is 4 years. With 1 installation per vessel every 4 years, the
total estimated annual burden is 78 hours.
(d) VMS unit maintenance:
VMS unit maintenance may occasionally be required. It is estimated that each of the 78 vessels
will bear an average annual maintenance burden of 1 hour (including time to contact NMFS and
make the VMS unit available for maintenance), for a total annual burden of 78 hours.
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Total: Based on the calculations in paragraphs (a)-(d), the estimated total new annual responses
and burden associated with this collection are: 39 responses and 3.2 hours (activation reports) +
390 responses and 32.5 hours (on/off reports) + 20 responses and 78 hours (purchase and
installation) + 78 responses and 78 hours (maintenance) = 527 responses and 192 hours.

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 Question
12 above).
The cost burden associated with this collection will include costs for: (a) VMS unit purchase and
installation, (b) VMS unit maintenance, and (c) position reports.
The costs of the activation reports and on/off reports are estimated to be nil: their preparation
will require nothing other than the respondent’s time, it is expected that all the reports will be
submitted by facsimile or email, and the costs of sending reports by such means is estimated to
be virtually zero.
(a) VMS unit purchase and installation:
The cost of purchasing and installing a typical new VMS unit is estimated to be about $4,000.
With an estimated VMS unit lifetime of 4 years, the annualized cost per vessel is therefore about
$1,000.
78 vessels x $1,000/vessel-yr = $78,000/yr
(b) VMS unit maintenance:
It is estimated that each of the 78 vessels will bear VMS unit maintenance costs averaging $250
per year.
78 vessels x $250/vessel-yr = $19,500/yr
(c) Position reports:
The communication costs of transmitting the position reports to NMFS will be borne by the
vessel owner or operator. The transmission of the reports, at a reporting frequency of 24 reports
per day, is estimated to cost $1.50 per vessel per day. As indicated in the response to Question
12, it is estimated that half of the 78 vessels subject to this collection will leave their VMS units
turned on year-round, and half will choose to sometimes turn it off while in port. For those that
choose to turn it off, it is estimated that they will do so five times per year on average, and that
such off-periods will last 14 days on average. It is therefore estimated that 39 vessels will
transmit position reports 365 days per year and 39 vessels will transmit position reports 295 days
per year, and the total estimated cost burden will be $38,610 per year:
39 vessels x 365 days/yr x $1.50/day = $21,353
39 vessels x 295 days/yr x $1.50/day = $17,258
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Total:

$38,611

Total cost resulting from the collection: $78,000 + $19,500 + $38,611= $136,111.
14.

Provide estimates of annualized cost to the Federal government.

The Commission will initially bear the costs associated with the participation of U.S. vessels in
the Commission VMS, including the communication costs of transmitting the position reports
from the VMS units to the Commission. However, those costs will be passed on to the Federal
government as part of the annual contributions of the United States to the Commission. For the
United States, in addition to the 78 “new” vessels that do not currently participate in a NMFSadministered VMS, approximately 175 longline vessels that already participate in a NMFSadministered VMS will be required to participate in the Commission VMS, for a total of 253
U.S. vessels in the Commission VMS. The Commission has formulated a provisional budget that
anticipates a cost of approximately $400 per vessel in the VMS’ first year of operation. Given
the approximately 253 U.S. vessels that are expected to participate, the annual U.S. contribution
for its vessels is therefore expected to be about $101,000 (253 vessels at $400 per vessel per
year).
15. Explain the reasons for any program changes or adjustments.
This is a new program.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The information collected is not generally intended for publication. NMFS, U.S. Coast Guard,
and the Commission, as well as subsequent recipients, might use the data in such forms as
technical reports of compliance patterns and related activities, but they would be presented in
aggregated, non-confidential form. The data collected over a series of years might be used in
scientific papers and publications, but again, in aggregated, non-confidential form.
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.
NA
18. Explain each exception to the certification statement identified in Item 19 of the OMB
83-I.
NA

B. COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS
No statistical methods are employed.
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