0500 ss ren 082807rev

SUPPORTING STATEMENT
AN OBSERVER PROGRAM FOR AT-SEA PROCESSING VESSELS IN THE PACIFIC
COAST GROUNDFISH FISHERY
OMB CONTROL NO.: 0648-0500

INTRODUCTION
The U.S. groundfish fisheries off the Washington, Oregon, and California (WOC) coasts are
managed pursuant to the Magnuson-Stevens Fishery Conservation and Management Act
(Magnuson-Stevens Act) as amended in 2006, and the Pacific Coast Groundfish Fishery
Management Plan (FMP). Regulations implementing the FMP appear at 50 CFR part, 660
Subpart G.
The Magnuson-Stevens Act at 16 U.S.C. 1853(b)(8), as amended in 2006, provides that an FMP
may require that one or more observers be carried on-board a vessel of the United States engaged
in fishing for species that are subject to the FMP, for the purpose of collecting data necessary for
the conservation and management of the fishery. The Pacific Coast Groundfish FMP provides
that all catcher/processors and at-sea processing vessels operating in the groundfish fishery may
be required to accommodate on-board observers for purposes of collecting scientific data.
The WOC at-sea Pacific hake fishery is a mid-water trawl fishery that is composed of large
catcher-processor and mothership vessels. The catcher-processors harvest and process catch
while the motherships rely on smaller catcher vessels to deliver unsorted catch for processing.
These large processing vessels primarily operate in the Alaskan pollock (Theragra
chalocogramma) fisheries, but move south to the WOC to fish for hake between pollock seasons.
While they participate in the pollock fishery, they are subject to 50 CFR Part 679, which
specifies requirements related to observer services for the North Pacific (Alaskan) Groundfish
fisheries.
Since 1991, the large at-sea hake processing vessels have each voluntarily carried at least one
National Marine Fisheries Service (NMFS) trained observer to provide data for estimating total
landed catch and discards; monitoring the attainment of annual groundfish allocations;
estimating catch rates of prohibited species; and assessing stock conditions. NMFS has come to
depend on data from hake observers to provide information critical to conservation and
management of the marine resources. For the most part, the at-sea hake fishery has been
satisfactorily monitored as a voluntary program. However, NMFS's ability to assure the integrity
and availability of observer data in the future and to maintain safe working conditions for
observers is constrained by the lack of regulations. To assure the integrity and availability of
observer data in the future, NMFS established a mandatory observer program and mandatory
observer coverage levels for all at-sea processing vessels in the Pacific Coast groundfish fishery.
At-sea processing is currently confined to the Pacific hake fishery. The rule requires at-sea
processing vessels greater than 125 ft (38.1 m) in length to carry two NMFS-certified observers
while participating in the groundfish fishery. Vessels less than 125 ft (38.1 m) in length are
required to carry one observer. Observers must be obtained, and paid for by the vessels, through
third-party observer provider companies operating under permits issued by the NMFS Alaska
Region. The rule also specifies that certification and decertification requirements for observers
be administered by the Northwest Region of NMFS in Seattle, Washington, which defines the
responsibilities of observers and processing vessels.
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A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
Data collected by hake observers are used by NMFS to estimate total landed catch and discards,
monitor the attainment of annual groundfish allocations, estimate catch rates of prohibited
species, and as a component in stock assessments. These data are necessary to comply with the
Magnuson-Stevens Act requirements to prevent overfishing. In addition, the terms and
conditions in Section 7 of the Endangered Species Act (ESA) consultation on the Pacific Coast
groundfish fishery requires 100% observer coverage to account for incidental take of ESA listed
salmon.
The regulations for this observer program define certification, observer responsibilities and
prohibited behaviors. They also establish probation, suspension, and decertification measures
that NMFS may take to discipline problem individuals. This process provides NMFS with a tool
to ascertain if observers are fulfilling their responsibilities and duties as prescribed by NMFS.
This process allows observers to submit evidence and to argue in opposition to a suspension or a
decertification notice. Information submitted by observer provider companies (transcripts,
training and debriefing registration, notification of physical examination, projected observer
assignments, observer weekly deployment/logistics reports, observer debriefing registration
disclosure statement, and reports of observer harassment, observer safety concerns, or observer
performance problems) is used to efficiently and effectively deploy well-qualified and trained
fisheries observers to monitor the at-sea sectors of the Pacific hake fishery.
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.
Information submitted by the observer providers will be used as follows:
Training/Briefing Registration. Prior to the beginning of a scheduled observer certification
training session observer providers send the following information: date of requested training; a
list of observer candidates that includes each candidate’s full name (i.e., first, middle and last
names), date of birth, and sex; a copy of each candidate’s academic transcripts and resume; and a
statement signed by the observer candidate under penalty of perjury which discloses the
candidate’s criminal convictions. The requested information ensures that sufficient class space
will be reserved for the candidates during the training session requested and that each potential,
new observer meets the observer educational qualification standards. The disclosure statement of
criminal record is a new requirement intended to disclose the candidate’s past criminal record
that demonstrates an absence of criminal records related to: embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements or receiving stolen
property, or the commission of any other offense indicating a lack of integrity or honesty that
would seriously and directly affect the fitness of an candidate to fulfill the observer
responsibilities.
Notification of Observer's Physical Examination. Physical examinations are necessary because
working aboard vessels or in processors is a dangerous occupation. An individual must be
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physically fit with no safety-endangering conditions. Notification of the physical examination
allows NMFS to verify that all observers meet standards in the program.
Projected Observer Assignments. This information is used by the training or briefing instructor
to adapt classroom instruction to meet the specific needs of the individual(s) in the training or
briefing class. The instructor also uses it when giving “special project” assignments to students.
This information must be submitted to the Observer Program Office prior to the completion of
the training or briefing session and includes the following: the observer's name, vessel, port of
embarkation Observer Weekly Deployment/logistics Reports. An observer contractor must
provide NMFS with a weekly deployment/logistics report during the period of time that an
observer is deployed. The deployment/logistics report includes: the observer’s name, cruise
number, and current vessel. This information is used for routine record keeping in the NMFS
observer database. Accurate and timely observer deployment information is important for
fisheries management. Knowing where observers are at all times is also important should
emergencies arise while an observer is deployed at sea.
Observer Debriefing Registration. This information allows for an efficient and effective
debriefing process of an observer with NMFS personnel through a one-on-one interview.
Observer debriefing registration information must include: the observer's name, cruise number,
vessel, and requested debriefing date.
Reports of Observer Harassment, Observer Safety Concerns, or Observer Performance Problems.
Review of these reports provides NMFS with an effective tool to monitor and enforce standards
observer conduct and to identify problems on vessels that may compromise the observer’s health
and well-being. Reports on the following topics must be submitted to the Observer Program by
the observer provider within 24 hours after the observer provider becomes aware of the problem:
1) observer harassment, 2) any prohibited action against observers concerns about vessel or
processor safety, 3) any illness or injury that prevents the observer from completing his/her
duties, 4) any information, allegations or reports regarding observer conflict of interest or breech
of the observer standards of behavior.
The rule specifies certification and decertification requirements for observers and establishes
probation, suspension, and decertification measures that NMFS may take to discipline problem
individuals. The appeals process provides observers with a way to submit evidence and to argue
in opposition to a suspension or decertification notice. This information is used by the NMFS
observer program staff to ascertain if observers are fulfilling their responsibilities and duties as
prescribed by NMFS. Observers voluntarily submit information for an appeal. Not all individuals
are expected to respond. It is anticipated that a maximum of two observers per year will submit
responses within 30 day of being notified that they are suspended or decertified. The information
collected, from observer providers (transcripts, training and debriefing registration, notification
of physical examination, projected observer assignments, observer weekly deployment/logistics
reports, observer debriefing registration disclosure statement, and reports of observer
harassment, observer safety concerns, or observer performance problems) and the information
collected from observers (evidence and to argue in opposition to a suspension or decertification
notice) will not be disseminated to the public or 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
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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. Although the information collected is not expected to
be disseminated directly to the public, results may be used in scientific, management, technical
or general informational publications. Should NMFS decide to disseminate the information, it
will be subject to the quality control measures and 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.
No improved information technology has been identified as a practical means for reducing the
burden on the public. The appeals process and submission of documentary evidence or petitions
are unique to each observer's situation and must be signed by the individual submitting the
documents. A maximum of two submissions are expected annually.
The periodic reports and information submitted by observer providers consist of extractions of
the required data from their existing database systems into a report form that is then submitted by
FAX transmission or e-mail to NMFS.
4. Describe efforts to identify duplication.
Information collections provided voluntarily by observer providers in the hake fishery, are
similar to collections required by regulation in the federal groundfish fishery off Alaska.
Approval for the collection of information for observers in the Alaska fisheries has been
approved under Office of Management and Budget (OMB) Control No.: 0648-0318. The hake
observer program is currently administered by the Northwest fishery Science Center in
cooperation with Alaska fishery Science Center's North Pacific Groundfish Observer Program.
Because the observer providers that supply observers for the hake fishery are permitted to
provide observers for the Alaska groundfish fishery, the information collections are provided in
the same manner as is done for observers deployed in Alaska. If an individual observer has been
deployed in the Alaska groundfish fishery prior to the hake fishery, information such as the
notification of the observer's physical examination, and portions of the training/briefing
registration materials are already available to NMFS and do not need to be resubmitted for the
hake fishery.
The documentary evidence or petitions from observers that have been issued notices of
suspension or decertification will be unique to the individual observer and their performance in
the hake fishery. There is no overlap with their performance while deployed as an observer in
Alaska. Therefore, there is no duplication with the regulations at 50 CFR 679.50 which pertain
only to an observer's performance as an observer in the Alaska groundfish fishery.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
The application procedures and reporting requirements for observer providers do not have a
significant impact on small entities.
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6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
The information is required for the efficient operation of an observer program and must be
submitted in the time frames requested. Collecting this information less frequently would
jeopardize the goals and objectives of the observer program and the effective management of the
west coast groundfish fishery. NMFS believes that data quality will be maintained by creating a
regulatory structure for managing observer and observer provider performance.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
No special circumstances exist that would require information collection to be conducted in a
manner inconsistent with OMB Guidelines except for the weekly reports which are needed more
frequently for effective management of the program.
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 May 22, 2007. 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 gifts to respondents are provided under this collection.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
Because the information collected is from commercial operations, under the Magnuson Act (16
U.S.C. 1801 et seq.), all data submitted are treated in accordance with NOAA Administrative
Order 216-100, Protection of Confidential Fisheries Statistics. The information collected under
this regulatory package is managed by NMFS on a computer network in accordance with
relevant IT security policies and regulations such as the standards set out in Appendix III, A
Security of Automated Information Resources,@ OMB Circular A-130; the Computer Security
Act; and the Government Information Security Reform Act. These procedures have been
implemented under the NMFS Operations Manual entitled, "Data Security Handbook for the
Northwest-Alaska Region, National Marine Fisheries Service."
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 collection of information does not include any sensitive information.
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12. Provide an estimate in hours of the burden of the collection of information.
See Table 1 for details. Respondents total 12, responses total 230, and hours total 50 (note: hours
below were rounded to nearest half hour, but ROCIS calculations yielded the four non-whole
numbers “0.49” instead of “0.5” and thus rounded down). Total labor costs are $1,041.
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).
See Table 1 for details. Miscellaneous costs total $920.
Table 1. Burden and Cost
Type Of
Response

Respondents

Obtain college
transcript &
prepare
disclosure
statement*
Appeal
suspension &
decertification
Training/
briefing
registration

8 (25 % x 30 =
7.5)**
observers

1

8

15 minutes

2

$50 (@
$25/hr)

$6 ($5 to obtain
transcript and $1 to
mail docs)

$48

2 (5% x 30 =
1.5) observers

1

2

4 hours

8

$240 (@
$30/hr)

$1 postage

$2

4 observer
providers

30

7 minutes

$12 faxing

$360

4 observer
providers

30

2 minutes

3.5 (per
ROCIS,
3)
1

$105 (@
$30/hr)

Notification of
observer
physical
Observer
physical

7.5 (30
observers/4
providers)
7.5

1 (@
$30/hr)

0

0

2

8**

2 hours

16

NA

$408

7.5

30

7 minutes

$105 (@
$30/hr)

90 (30

7 minutes

3.5 (per
ROCIS,
3)
10.5
(per
ROCIS,
10)
3.5 (per
ROCIS,
3)
4

@$45 per exam) +
$6 faxing = $51
$0.60 faxing: 10
records per page,
$6 per page
$0.60 faxing: 10
records per page,
$6 per page

Observer
assignments

4 observer
providers
4 observer
providers

Responses
Per
Respondent

Total
Responses

Time Per
Response

Weekly
deployment/
logistics
report

4 observers

Debriefing
registration

4 observer
providers

7.5

30

7 minutes

Reports on
observer
harassment,
safety, or
performance
concerns

4 observer
providers

0.5

2

2 hours

TOTALS

22.5

deployments

x 3 weeks)

12

Total
Hours Per
Response

Total
Labor
Cost

$315 (@
$30/hr)

$105 (@
$30/hr)
$120 (@
$30/hr)

Misc. Cost Per
Response

$0.60 faxing: 10
records per page,
$6 per page
$6 faxing

Total
Misc.
Cost

$18 for 3
pages
$54 for 9
pages

$18 for 3
pages

230

$12

52 (per
$1,041
$920
ROCIS,
50)
* Note: The observer candidate’s time and cost in preparation of a resume is excluded from the estimated burden of this information collection
because resumes routinely are required by most employers, including observer providers. However, NMFS’s requirement that candidates
successfully complete specified college course work requires that college transcripts be submitted. Thus the time and costs associated with
submitting transcripts, as well as the disclosure statement on any criminal record are included.
** The number of observers is multiplied by 25% because most are prior observers and submit the information for participation in the Alaska
groundfish fishery and would not be required to submit again.

14. Provide estimates of annualized cost to the Federal government.
The review of suspension or decertification appeals from observers is estimated to take NMFS
staff about 1 hour per appeal. Since it is estimated that a maximum of 2 appeals will be received
annually, the total burden to NMFS is expected to be 2 hours.
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The training, briefing and debriefing registration information, including the notice of physical
examinations, is estimated to take about 20 minutes per observer to process and enter into the
NMFS database. With 30 observers per year this is estimated to be about 10 hours annually.
The projected observer assignments and weekly deployment/logistics reports are expected to
take about 10 minutes per response to process and enter into the NMFS database. It is estimated
that (30 assignment +90 deployment) 120 reports per year will be received for a total annual
burden of 30 hours.
The review of and response to reports of observer harassment, safety or performance concerns is
estimated at 1 hour per report. With an estimate of 2 reports per year this is expected to be an
annual burden of 2 hours.
The total annual burden on the government for review and processing information from observer
providers is 44 hours. At $24 dollars per hour this would be an annual cost of $1,056.
15. Explain the reasons for any program changes or adjustments reported in Items 13 or
14 of the OMB 83-I.
There are no changes other than adjustments for errors in calculations in the previous
submission, mainly due to rounding errors. Responses are 230, not 222, and hours, 50, not 51. In
addition to some calculation errors for miscellaneous costs (not multiplying cost by total
respondents in some cases), costs of faxing and mailing added $14 to what should have been a
total of $896, rather than $756, in the previous submission. However, neither type of adjustment
(for error or increased mailing/faxing costs) affected the rounded off figure on the 83i.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
No plans exist for publishing the information collected.
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.
No forms would be developed by NMFS or its designated agent that would need to display the
expiration date.
18. Explain each exception to the certification statement identified in Item 19 of the OMB
83-I.
There are no exceptions to the certification statement in this proposed collection of information.

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

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