0401 renewal ss 071210rev

SUPPORTING STATEMENT
AMERICAN FISHERIES ACT REPORTS IN THE BERING SEA AND ALEUTIAN
ISLANDS MANAGEMENT AREA
OMB CONTROL NO. 0648-0401

INTRODUCTION
This request is for a renewal of the existing collection-of-information and changes the name of
this collection from “Alaska Cooperatives in the Bering Sea & Aleutian Islands” to read
“American Fisheries Act Reports in the Bering Sea and Aleutian Islands Management Area.”
National Marine Fisheries Service (NMFS) manages the groundfish fisheries in the Exclusive
Economic Zone (EEZ) of the Bering Sea and Aleutian Islands Management Area (BSAI). The
North Pacific Fishery Management Council (Council) prepared the Fishery Management Plan for
Groundfish of the Bering Sea and Aleutian Islands Management Area (FMP) under the authority
of the Magnuson-Stevens Fishery Conservation and Management Act, 16 U.S.C. 1801 et seq.
(Magnuson-Stevens Act) as amended in 2006. Regulations implementing the FMP appear at 50
CFR part 679.
On October 21, 1998, the President signed into law The American Fisheries Act, 16 U.S.C. 1851
(AFA). The AFA established a limited access program for the inshore sector of the BSAI
pollock fishery that is based on the formation of fishery cooperatives around each inshore
pollock processor. NMFS issues a single pollock allocation to each cooperative and the
cooperative may make sub-allocations of pollock to each individual vessel owner in the
cooperative.
A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
With respect to the fisheries off Alaska, the AFA Program is a suite of management measures
that fall into four general categories:
♦ Regulations that limit access into the fishing and processing sectors of the BSAI pollock
fishery and that allocate pollock to such sectors (50 CFR 679.64)
♦ Regulations governing the formation and operation of fishery cooperatives in the BSAI
pollock fishery (50 CFR 679.61 and 679.62)
♦ Regulations to protect other fisheries from spillover effects from the AFA (50 CFR
679.64).
♦ Regulations governing catch measurement and monitoring in the BSAI pollock fishery
(50 CFR 679.63)
1

These regulations are necessary to achieve the AFA’s objective of decapitalization and
rationalization of the BSAI pollock fishery. The Council and NMFS do not have authority to
recommend or implement a program that would define the pollock industry sectors differently,
change the sectors allocation percentages, or change the lists of vessels and processors that are
authorized to participate in each sector. Consequently, all four of the AFA-based categories
mirror the provisions of the AFA with respect to pollock industry sectors and sector allocations.
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 applicable NOAA Information Quality Guidelines.
Fishery cooperatives are formed by groups of vessel owners to provide an alternative to the open
access race for fish. Under a fishery cooperative, the members agree to divide the available quota
among themselves in a manner that eliminates a wasteful competition for fish and allows
participants to maximize productivity. The AFA authorizes the formation of fishery cooperatives
in all sectors of the BSAI pollock fishery, grants anti-trust exemptions to cooperatives in the
mothership sector, and imposes operational limits on fishery cooperatives in the BSAI pollock
fishery.
The cooperatives are taking advantage of the program to remove excess fishing capacity with
expectations of up to 30 percent reductions in fleet size for all three sectors of the BSAI pollock
fishery. The co-op system also allows cooperatives to make more effective, coordinated use of
the vessels remaining in the cooperatives.
Each cooperative must appoint a designated representative and agent for service of process. A
designated representative is intended to fulfill regulatory requirements on behalf of the
cooperative including, but not limited to: 1) filing of cooperative contracts, 2) filing of annual
reports, and in the case of inshore sector catcher vessel cooperatives, 3) signing cooperative
fishing permit applications and 4) completing and submitting inshore catcher vessel pollock
cooperative catch reports. The designated representative is the primary contact person for NMFS
on issues relating to the operation of the cooperative.
In addition, a cooperative must appoint an agent who is authorized to receive and respond to any
legal process issued in the United States with respect to all owners and operators of vessels that
are members of the cooperative. The cooperative must provide the Regional Administrator with
the name, address and telephone number of the appointed agent. Service on or notice to the
cooperative’s appointed agent constitutes service on or notice to all members of the cooperative.
a. Cooperative annual report
Initially, all AFA cooperatives were required to submit preliminary and final annual written
reports on directed pollock fishing activity to the Council. The AFA annual reporting
requirements were implemented under a final rule (67 FR 79692; December 30, 2002)
2

implementing Amendment 61 to the FMP. The purposes of the annual reports as described in
the final rule, are “to assist the Council and NMFS in meeting the requirements of section
210(a)(1) of the AFA” and to provide the Council information upon which to make decisions on
cooperative allocations and on sideboard protection measures.
The Council originally recommended both a preliminary and a final annual report, because it
wanted to have the preliminary report available for its December Council meeting when it adopts
annual groundfish harvest specifications for the upcoming fishing year. The final AFA
cooperative report is due by February 1 of the following year. The AFA cooperative annual
reports are required to provide information about how the cooperative distributed pollock and
other groundfish species allocations, and prohibited species allowances, among the vessels in the
cooperative; the catch of these species, by area, for each vessel in the cooperative; information
about how the cooperative monitored fishing by its members; and a description of any actions
taken by the cooperative to penalize vessels that exceeded the catch allocations and prohibited
species catch allowances made to the vessel by the cooperative.
The Council recognized that, because the pollock fisheries close on November 1, one month may
not be enough time for the AFA cooperative representatives to compile all of the required
information for the annual report. In addition, it was possible that some of the catch and bycatch
data would be updated after the end of the year. Therefore, the Council recommended that
NMFS require a preliminary report to provide as much information as was available by
December 1, and a final report by February 1 of the following year to update or add any
information that became available after December 1.
Recently, the Council does not rely on the preliminary cooperative annual report to develop its
recommendations on final groundfish specifications to the extent it originally thought it would.
Therefore, submittal of annual cooperative reports is changed. The preliminary report was
removed in a nonsubstantive change request approved by the Office of Management and Budget
on January 29, 2010. The final cooperative report, renamed the annual cooperative report, must
cover fishing activities through December 1 of each year, submitted and postmarked by February
1 of the following year or received by a private courier service by the submission deadline.
Each AFA fishery cooperative must submit the annual report to the Council at 605 West 4th
Ave, Suite 306, Anchorage, AK 99501.
The “race for the fish,” and associated high prohibited species catch (PSC) rates, occur because
the competition created by PSC does not encourage individual fishing operations to take full
account of their actions when they make fishing decisions. An operation that fished “dirty,” that
is, an operation that fished with high rates of associated PSC, obtained a benefit that accrued to it
alone: cheaper groundfish. But the operation did so by hastening the closure of the groundfish
fishery. If the closure came before the target groundfish total allowable catch (TAC) was fully
caught, the entire groundfish fleet would incur a cost associated with the value of the foregone
groundfish (unharvested TAC). The operation that was fishing dirty would bear some of this
cost, but much of it would be borne by other operations in the fishery because no single
operation would fully bear the costs of dirty fishing. However, dirty operations would realize

3

economic benefits from their actions by shifting a large part of their bycatch costs to other
operations. Thus, dirty operations do not have an incentive to control PSC rates.
The accounting necessary for the annual cooperative report involves the services of SeaState,
Inc., a company that provides catch accounting services. SeaState is authorized by the
companies to receive and process data and to report on the status of the harvest. Each AFA
cooperative collects and summarizes information on its allocated target species all through the
year and provides it to SeaState to perform parallel accounting of “sideboard” species for each
cooperative. Sideboard species are non-pollock groundfish species allocated annually as
incidental catch to AFA and other fishery cooperatives. SeaState summarizes each cooperative’s
target species and sideboard information and maintains analyses of cooperatives compared with
each other in order to keep any one and all cooperatives from overfishing. All three types of
information for each cooperative are included in the annual report. The Council posts the reports
on its website at http://www.fakr.noaa.gov/npfmc/default.htm.
Cooperative annual report must include:
Cooperative's allocated catch of pollock and sideboard species
Any sub-allocations of pollock and sideboard species made to individual vessels on a vessel-by-vessel basis
Cooperative's actual retained catch and discards of pollock, sideboard species, and prohibited species catch
(PSC) on an area-by-area and vessel-by-vessel basis
Description of monitoring method for fisheries in which cooperative vessels participate
Description of any actions taken by the cooperative in response to any vessels that exceed their allowed catch
and bycatch in pollock and all sideboard fisheries
Total weight of pollock landed outside State of Alaska waters on a vessel-by-vessel basis
Number of salmon taken by species and season
Estimated number of salmon avoided as demonstrated by the movement of fishing effort away
from salmon savings areas
List of number of times each vessel appeared on the weekly “dirty” 20 lists for both salmon species

Cooperative annual report, Respondent
Estimated number of respondents
Total annual responses
Estimated responses per respondent = 1
Total burden hours
Estimated hours per response = 8
Total personnel cost
Personnel cost $25/hr
Total miscellaneous costs (17.82)
Postage cost (1.32 x 11 = 14.52)
Photocopy cost (11 x 6 pg x 0.05 = 3.30)

Cooperative annual report, Federal Government
Total annual responses
Total burden hours (5.5)
Estimated hours per response = 0.5
Total personnel cost
Personnel cost $25/hr
Total miscellaneous cost

4

11
11
88 hr
$2,200
$18

11
6 hr
$150
0

b. Cooperative Catch Report.
The designated representative of each AFA inshore catcher vessel cooperative must submit to the
Regional Administrator a catcher vessel cooperative pollock catch report detailing each delivery
of pollock harvested under the allocation made to that cooperative. The owners of the member
catcher vessels in the cooperative are jointly responsible for compliance and must ensure that the
designated representative complies with the applicable recordkeeping and reporting
requirements.
The cooperative pollock catch report must be received by the Regional Administrator by 1200
hours Alaska local time, one week after the date of completion of delivery. No form exists for
this report. A cooperative catch report may be submitted as an attachment to an e-mail or by fax.
Cooperative catch report
Cooperative account number
Catcher vessel Alaska Department of Fish and Game (ADF&G) number
Inshore processor Federal processor permit number
Delivery date
Amount of pollock (in lb) delivered plus weight of at-sea pollock discards
ADF&G fish ticket number
Cooperative catch report, Respondent
Number of respondents
Total annual responses
Number responses per respondent = 12
Total burden hours (10.56)
Estimated hours per response = 5 min/60 min
Total personnel cost
Personnel cost $25/hr
Total miscellaneous cost (16.50)
Fax ($5 x 2 = 10)
Email attachment (0.05 x 130 = 6.50)
Cooperative catch report, Federal Government
Total annual responses
Total burden hours (10.56)
Estimated hours per response (5 min/60 min)
Total personnel cost
Personnel cost $25/hr
Total miscellaneous cost

11
132
11 hr

$275
$17

132
11 hr
$275
0

c. Agent for Service of Process
Each cooperative must appoint an agent who is authorized to receive and respond to any legal
process issued in the United States with respect to all owners and operators of vessels that are
members of the cooperative. This agent may be the same person as the designated
representative. Service on or notice to the cooperative’s appointed agent constitutes service on
or notice to all members of the cooperative.

5

Legal process is the proceeding in any civil lawsuit or criminal prosecution and, particularly,
describes the formal notice or writ used by a court to exercise jurisdiction over a person or
property. Such process is usually "served" upon a party, to compel that party to come to court,
and may take the form of a summons, mandate, subpoena, warrant, or other written demand
issued by a court.
No form exists for this appointment, but the cooperative must submit to NMFS the name,
address and telephone number of the appointed agent. This information may be submitted by email.
Agent for Service of Process, Respondent
Number of respondents
Total annual responses
Responses per respondent = 1
Total burden hours (0.92)
Hours per response = 5 min/60 min
Total personnel cost
Personnel cost $25/hr
Total miscellaneous cost
Email (0.05 x 11 = $0.55)
Agent for Service of Process, Federal Government
Total annual responses
Total burden hours
Hours per response= 5 min/60 min
Total personnel cost
Total miscellaneous cost

11
11
1 hr
$25
$1

11
1 hr
$25
0

d. Salmon bycatch reduction inter-cooperative agreement (ICA).
The salmon bycatch reduction inter-cooperative agreement (ICA) was created to enable the
pollock fleet to utilize its internal cooperative structure to coordinate the pollock fishery in a
manner that reduces incidental catch rates of salmon. The ICA is a voluntary civil agreement
among pollock cooperatives, Western Alaska Community Development Quota (CDQ) groups,
and western Alaska subsistence salmon user groups.
The ICA includes provisions to retain the services of a private contractor to collect and analyze
bycatch data and report salmon bycatch information to the ICA parties.
The ICA uses real-time salmon bycatch information to avoid unacceptably high incidental catch
rates of chum and Chinook salmon. The ICA requires that the bycatch rate of a participating
cooperative be compared with a pre-determined bycatch rate (base rate). All ICA provisions for
fleet bycatch avoidance behavior, closures, and enforcement are to be based on the ratio of the
cooperative’s rate to the base rate. An ICA cooperative is to be assigned to one of three tiers
based on its bycatch rate relative to the base rate. Higher tiers correspond to higher bycatch
rates. Tier assignments determine access privileges to specific fishing areas.
6

A representative must be appointed by the parties; this ICA Representative will file a signed
copy of the initial ICA and any amended ICA to
Regional Administrator
NMFS Alaska Region
P.O. Box 21668
Juneau, AK 99802
Or by courier delivery to
Regional Administrator
NMFS Alaska Region
709 West 9th St., Suite 401
Juneau, AK 99801
The initial ICA was due to NMFS by December 1, 2007 for the 2008 fishing year. After an ICA
is initially filed with NMFS, the ICA representative may submit revisions to NMFS through an
ICA renewal letter, also referred to as a revised ICA.
The ICA revision must state that the previously filed ICA will remain in effect for the subsequent
fishing year and must detail any material modifications to the ICA. These revisions may include
changes of vessels participating in the ICA.

7

Salmon bycatch reduction ICA (Initial or Revision)
Names of the AFA cooperatives, CDQ groups, and third party groups that are parties to the ICA
Name of contractor retained to facilitate vessel bycatch avoidance behavior and information sharing
Name(s), Federal fisheries permit numbers, and USCG documentation number(s) of ICA vessels
Salmon bycatch avoidance behaviors for ICA vessel operators, including
“A” season salmon bycatch management 1
Initial base rate calculation for Chinook salmon
Inseason adjustments to the Chinook salmon base rate calculation
ICA salmon savings area notices
Fishing restrictions for vessels assigned to Tiers
“B” season salmon bycatch management
“B” season Chinook salmon base rate
Non-Chinook salmon base rate
Inseason adjustments to the non-Chinook base rate calculation
ICA salmon savings area notices
Fishing restrictions for vessels assigned to Tiers
Cooperative tier assignments
Internal monitoring and enforcement provisions to ensure compliance of fishing activities with the
provisions of the ICA
Provisions allowing any party of the ICA to bring suit or initiate a binding arbitration action against
another for breach of the agreement.
Annual uniform assessments for any violation of savings area closures
$10,000 for the first offense
$15,000 for the second offense
$20,000 for each offense thereafter
ICA representative Name, telephone number, and business address
Provisions requiring the parties to conduct an annual compliance audit, and to cooperate fully
in such audit, including providing information required by the auditor
Provisions requiring data dissemination in certain circumstances

1

The two seasons, A and B, are determined by apportionments of Chinook bycatch allowance and base rates.
NMFS, after consultation with the Council, may apportion each halibut PSC limit or bycatch allowance on a seasonal basis.
[679.21(e)(5)(i)]. An ICA must include provisions that dictate salmon bycatch avoidance behaviors for vessel operators subject to
the ICA, including: [679.21(g)(5)(iii)(A)]
Provisions that dictate salmon bycatch avoidance behaviors for vessel operators subject to the ICA, including “A” season salmon
bycatch management with an initial base rate calculation for Chinook salmon. The initial “A” season Chinook base rate shall be
calculated by dividing the total number of Chinook taken incidentally in the “A” season in the prior year by the total number of
metric tons of “A” season pollock catch during the prior year, with exceptions.
“B” season salmon bycatch management. [679.21(g)(5)(iii)(B)]
(1) “B” season Chinook salmon. For the “B” season of the 2008 fishing year, the Chinook salmon base rate shall be 0.05 Chinook
salmon per metric ton of pollock.

8

Revised ICA, Respondent
Number of respondents
Total annual responses
Responses per year = 1
Total burden hours
Estimated time per response
1 hr for renewal letter or revised ICA
Total personnel cost
Cost $25/hr
Total miscellaneous cost ($1.38)
Photocopy (10 pp x .05 x 1= 0.50)
Postage (0.88 x 1 = 0.88)
Revised ICA, Federal Government
Total annual responses
Total burden hours
Estimated time per response = 1 hr
Total personnel cost
Total miscellaneous cost

1
1
1

$25
$2

1
1
$25
0

e. ICA Appeals [REMOVED]
Actual procedure now in use:
The initial ICA is submitted to NMFS. If NMFS finds something questionable, the respondent is
contacted and the two work it out to NMFS' satisfaction. There really is no appeal involved, as
that term would indicate. The procedure is submittal, review, request for revision or clarification
by NMFS, resubmittal, with no need for appeals. The burden for the respondent’s time of process
is covered under the application time.
It is anticipated that the information collected will be disseminated to the public or used to
support publicly disseminated information. As explained in the preceding paragraphs, the
information gathered has utility. NOAA Fisheries will retain control over the information and
safeguard it from improper access, modification, and destruction, consistent with NOAA
standards for confidentiality, privacy, and electronic information. 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, electronic, mechanical, or other technological techniques or other forms of
information technology.
The reports may be submitted to the Regional Administrator by mail or e-mail. The cooperative
catch report may also be sent by fax.
9

4. Describe efforts to identify duplication.
None of the information collected as part of this information collection duplicates other
collections. This information collection is part of a specialized technical program that is not like
any other.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
This collection-of-information does not impose 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.
NMFS issued sideboards and season/area apportionments of pollock at the sector level and relies
on fishery cooperatives for much of the day-to-day management of fishing activity at the co-op
and individual vessel level. Development of an inter-cooperative agreement between all of the
cooperatives prevents season/area competition for pollock and an “Olympic” race for fish in
sideboard fisheries. If this program were not conducted, NMFS would be unable to continue the
socioeconomic goals and objectives of the AFA, the Magnuson-Stevens Act, and the FMP.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
No special circumstances exist.
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. Public comment or consultation on the information
collection.
A Federal Register Notice published on February 4, 2010 (75 FR 5760) solicited public
comments. No comments were received.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payment or gift is provided under this program.

10

10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
The information collected is confidential under section 402(b) of the Magnuson-Stevens Act (16
U.S.C. 1801, et seq.). It is also confidential under NOAA Administrative Order 216-100, which
sets forth procedures to protect confidentiality of fishery statistics.
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 information collection does not involve information of a sensitive nature.
12. Provide an estimate in hours of the burden of the collection of information.
Estimated total unique respondents: 11. Estimated total responses: 155, down from 156.
Estimated total burden: 101, down from 162 hours. Estimated total personnel costs: $2,525,
down from $4,050.
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).
Estimated total estimated miscellaneous costs: $38, down from $225.
14. Provide estimates of annualized cost to the Federal government.
Estimated total burden: 19 down from 48 hr. Estimated total personnel cost: $475, down from
$1,201. Estimated total miscellaneous cost: $0, down from $47.
15. Explain the reasons for any program changes or adjustments reported.
Adjustments are made in this collection. The burden of the newly revised annual cooperative
report was reduced based on actual time to complete. Other adjustments correct page count,
postage rates, fax costs and in some cases, increased electronic submission.
There is one program change: there are no longer ICA appeals, but requests for additional
information as part of the initial ICA submission.
Cooperative annual report
The combined estimated burden had been 12 hr. Feedback from the fishing industry showed that
an estimate of 8 hr was more accurate for the one report.
A decrease of 44 burden hours, 88 instead of 132
A decrease of $1,100 personnel cost, $2,200 instead of $3,300
A decrease of $34 miscellaneous cost, $18 instead of $52.
11

Cooperative pollock catch report
A decrease of $141 miscellaneous cost, $17 instead of $158 (the previously approved cost
was stated in error – the complete cost of $2 was calculated as a per-response cost).
Agent for Service of Process
A decrease of $10 miscellaneous cost, $1 instead of $11.
Salmon ICA
The initial ICA was submitted and approved by NMFS, with an estimated burden of 40 hr,
annualized to 14 hr. From now on, renewal or revision of the existing ICA will occur, which is
estimated to be 1 hr.
A decrease of 13 burden hours, 1 instead of 14
A decrease of $325 personnel cost, $25 instead of $350.
Salmon ICA Appeals [REMOVED]
A decrease of 1 respondent and response, 0 instead of 1
A decrease of 4 burden hours, 0 instead of 4
A decrease of $100 personnel cost, $0 instead of $100
A decrease of $2 miscellaneous cost, $0 instead of $2.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The results of this collection-of-information will not be published.
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.
NA.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.

12