0491 ss rev 121907

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Atlantic Sea Scallops Amendment 10 Data Collection

OMB: 0648-0491

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SUPPORTING STATEMENT
ATLANTIC SEA SCALLOP AMENDMENT 10 DATA COLLECTION
OMB CONTROL NO.: 0648-0491

INTRODUCTION:
This Paperwork Reduction Act (PRA) submission requests Office of Management and Budget
(OMB) approval of the information collection requirements contained in Amendment 11 to the
Atlantic Sea Scallop Fishery Management Plan (FMP) (Amendment 11).
New Collections that Would Increase the Annual Budget
The requirements under Amendment 11 to the FMP include collection information that is already
accounted for under the Northeast Region Logbook Family of Forms (OMB Control No.: 06480212) and the Atlantic Sea Scallop Amendment 10 Data Collection (OMB Control No.: 06480491). Amendment 11 contains the following provisions that would increase the annual budget
for the Atlantic Sea Scallop Amendment 10 Data Collection (OMB Control No.: 0648-0491):
1. Three new limited access general category scallop permit categories: limited access
general category individual fishing quota (IFQ) scallop permit, IFQ Northern Gulf of
Maine (NGOM) scallop permit, and IFQ incidental catch scallop (ICS) permit;
2. Vessel monitoring system (VMS) reporting requirements for all general category vessels;
3. IFQ and NGOM VMS pre-landing notification requirements;
4. State Waters Exemption Program VMS enrollment requirements;
5. An IFQ temporary transfer and permanent transfer program;
6. An IFQ cost recovery program; and
7. A new general category sector program.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
Under the Magnuson-Stevens Fishery Conservation and Management Act, as amended in 2006
(Magnuson-Stevens Act), the Secretary of Commerce (Secretary) has responsibility for the
conservation and management of marine fishery resources off the coast of the United States. The
majority of this responsibility has been delegated to the Fishery Management Councils and the
National Oceanic and Atmospheric Administration (NOAA), National Marine Fisheries Service
(NMFS).
The general category scallop fishery in NMFS’ Northeast Regional Office (NERO) is currently
an open access fishery that allows any vessel to apply for, and be issued, a general category
permit. The general category permit was created in 1994 under Amendment 4 to the FMP to
allow vessels fishing in non-scallop fisheries to catch scallops as incidental catch, and for a
small-scale scallop fishery to continue outside of the large scale limited access scallop fishery.
Over time, participation in the general category fishery has increased. In 1994, there were 1,992
general category permits issued. By 2005 that number had increased to 2,950.

In January of 2006, the New England Fishery Management Council (Council) began the
development of Amendment 11 to evaluate alternatives for a limited access program for the
general category fishery to improve resource conservation, minimize the potential for excess
harvesting capacity in the fishery, and provide a platform to promote long-term economic
stability for harvesters, processors, and fishing communities. Amendment 11 was adopted by the
Council on June 20, 2007. This amendment is designed to meet all the requirements of the
Magnuson-Stevens Fishery Conservation and Management Act, as well as other applicable laws.
Following is justification for each of the new reporting requirements that would be established
by Amendment 11.
New Limited Access Permit Categories
Amendment 11 would implement a limited access program to control general category scallop
fishing capacity and fishing mortality. There would be 3 new limited access general category
scallop permit categories: IFQ, ICS, and NGOM. IFQ permit holders would be allocated an
annual IFQ, the ICS permit holders would have a small incidental catch possession limit, and
NGOM permit holders would be able to fish in the Northern Gulf of Maine Management Area.
To qualify for an IFQ permit, a vessel must have had a valid scallop permit between March 1,
2000, and November 1, 2004, and landed at least 1,000 lb of scallops within 1 fishing year
between March 1, 2000, and November 1, 2004. To qualify for either an ICS permit or NGOM
permit, the vessel must have had a valid scallop permit on November 1, 2004. To obtain one of
the above 3 permits, vessel owners must demonstrate their vessel’s eligibility by submitting an
initial permit application with supporting documentation. If a vessel qualifies for and is issued a
limited access general category permit, they would be required to renew their permit(s) annually
to maintain their eligibility. Like all of NERO limited access programs, if a vessel owner wants
to move their permit to a new vessel or retain their permit eligibility through a confirmation of
permit history (CPH), they must complete a replacement, upgrade, permit history (RUPH)
application.
The above listed application requirements are necessary to: (1) qualify eligible vessels, (2) allow
vessel owners to maintain their eligibility from year to year, and (3) allow vessel owners to
transfer their eligibility to a new vessel or retain their eligibility in CPH.
Initial permit applicants that are denied would be given the opportunity to appeal their denial
through the submission of additional information demonstrating why the determination made by
NMFS was incorrect.
To maintain the historical character of the general category fishery, there would be restrictions
on the amount of quota a given vessel owner or individual vessel could have. Specifically,
vessel owners could not own more than 5% of the general category IFQ Total Allowable Catch
(TAC) and individual vessels could not have more than 2% of the IFQ TAC. Consequently, IFQ
permit holders would be required to submit an ownership form with their permit renewal each
year documenting all of the IFQ vessels they have an ownership interest in. The ownership form
is necessary to effectively administer the ownership quota cap. The 2% vessel quota cap would
not require the submission of information by industry, and would be administered internally
using NMFS permit data.

New VMS Requirements
Currently, there are 2 open access general category fishing permits; 1A and 1B. The 1A permit
category, which allows a vessel to possess up to 40 lb of scallops, does not have VMS
requirements. The 1B permit, which allows vessels to possess up to 400 lb of scallops and
participate in the access area program, currently, has VMS requirements. Under Amendment 11,
VMS reporting requirements would extend to all general category vessels. Vessels that apply
and qualify for a general category scallop permit would be required to purchase, install, and
maintain a VMS on their vessel. VMS reporting requirements would be identical to 1B VMS
reporting requirements (OMB Control No.: 0648-0491); including trip declaration, power down,
and polling frequency requirements.
Amendment 11 would require IFQ and NGOM vessels to submit a VMS pre-landing notification
form prior to crossing the demarcation line on their return to port that would provide scallop hail
weight, estimated time and port of landing. Data from the VMS pre-landing notification form
submitted by IFQ vessels would be used to enforce and oversee individual fishing quotas, alert
enforcement personnel approximately when, where and how much a vessel should have onboard,
and enforce the 400 lb IFQ possession limit. Data from the VMS pre-landing notification form
submitted by NGOM vessels would be used to monitor the Northern Gulf of Maine Management
Area TAC quota and to enforce the 200 lb Northern Gulf of Maine Management Area possession
limit.
The FMP established the state waters exemption program. This program allows vessels to fish
exclusively in state waters, exempting them from Federal gear restrictions and possession limits.
Currently, to enroll in this program, a vessel must call the Interactive Voice Response System
(IVR), an automated telephone response system. Since all scallop vessels would be required to
have VMS, Amendment 11 would require vessel owners to declare into the state waters
exemption program through their VMS and not through IVR. This adjustment was made to
streamline permit reporting requirements and facilitate NMFS access to state waters exemption
program data.
These VMS requirements have been implemented to improve scallop regulation enforcement and
oversight of the above permit restrictions and requirements.
IFQ Transfers
Amendment 11 would establish an IFQ transfer program which would allow IFQ permit holders
to temporarily and/or permanently transfer individual fishing quota from one IFQ vessel to
another. Quota transfers would occur through the submission of transfer applications. Required
information would include vessel information, quota transfer information, and authorizing
signatures from both parties.
The IFQ transfer program is entirely optional, and has been developed to provide greater
flexibility for IFQ permit holders.
Cost Recovery
Section 304(d)(2) of the Magnuson-Stevens Act (MSA) requires an IFQ cost recovery plan to
recover management and enforcement costs for IFQ fisheries. Amendment 11 would implement
an IFQ cost recovery program, whereby NMFS would collect up to 3% of ex-vessel value of
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landed product to cover actual costs directly related to enforcement and management of the IFQ
program. IFQ permit holders would be required to submit a cost recovery payment annually via
a pre-existing Federal payment system called www.pay.gov, which is also currently used by the
Alaska Region and the Southeast Region.
Information submitted via the Internet would require the user to establish an online account,
including personal and financial information.
IFQ Sector Program
Amendment 11 contains provisions that would authorize a portion of the overall TAC to be
allocated to a self-selected group of IFQ permit holders (sector), provided the sector provides
adequate information describing the formation of the sector and its intended plan of operations.
The proposed sector would be required to submit documents as described below.
Sector Allocation Proposal
Any person may submit a Sector allocation proposal for a group of limited access general
category scallop vessels to the Council, at least 1 year in advance of the start of a sector, and
request that the Sector be implemented through a framework procedure specified at §648.55.
This document specifies the proposed maximum amount of TAC to be allocated to sector
participants and the sector’s proposed rules describing movement of vessels among sectors or to
the common pool of vessels managed under the FMP. This document would be required to
include an appropriate analysis that assesses the impacts of the proposed sector, in compliance
with the National Environmental Policy Act (NEPA).
Plan of Operations
A group that wants to form a sector and receive an allocation is required to submit a legally
binding operations plan to the Council and the Regional Administrator. The operations plan
must be agreed upon and signed by all members of the sector and, if approved, would constitute
a contract.
This document provides a list of all participants involved with the sector; a contract signed by all
proposed participants; historic information on the catch history, TAC associated with the
proposed sector; detailed information regarding potential redistribution of TAC within the sector,
if applicable; a plan and analysis of specific management rules for sector participants, including
plans for the enforcement of sector rules and the monitoring of landings and discards; and
procedures for the removal of participants from the sector. This document would be required to
include a supplementary NEPA analysis that would include a revised assessment of the impacts
of the proposed sector based upon changes that may have occurred since the submission of the
sector allocation proposal mentioned above.
A sector is required to resubmit its operations plan to the Regional Director no later than
December 1 of each year, whether or not the plan has changed. NMFS may consult with the
Council and would solicit public comment on the operations plan for at least 15 days, through
proposed rulemaking in the Federal Register. Upon review of the public comments, the Regional
Administrator may approve or disapprove sector operations, through a final determination
pursuant to the Administrative Procedure Act.
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This information is necessary to describe the proposed sector and the proposed rules under which
the sector would operate. This information would be used to determine whether this sector would
maintain consistency with the goals and objectives of the FMP.
As current permit holders in addition to an estimated 175 not currently holding permits under
this information collection may choose to apply for these new permits, the annualized total
respondents affected by this collection are estimated to be 898.
2. Explain how, by whom, how frequently, and for what purpose the information would be
used. If the information collected would be disseminated to the public or used to support
information that would be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
New Limited Access Permit Categories
Vessels applying for a general category permit under the proposed limited access program would
be required to complete an initial application for the limited access permit category for which
they are applying. This information would be used by NMFS to qualify vessels for the
applicable limited access permit category. The initial application for a limited access permit
would be submitted only once. If a vessel is determined to qualify for a limited access permit,
the owner must renew that permit annually.
To ensure owners do not exceed the 5% general category IFQ ownership cap, IFQ permit holders
would be required to submit an ownership form each year with their permit renewal listing all
IFQ vessels they have an ownership interest in.
If a limited access permit application is denied, the applicant would be given the opportunity to
appeal their denial by submitting additional information that demonstrates why the determination
made by NMFS was incorrect. This information would be used by NMFS to assess the merits of
the appeal.
Each RUPH action would require an RUPH application. This information is necessary to
execute the RUPH transaction as requested by the applicant.
Vessel permit information is available to the public via NERO’s web site at www.nero.noaa.gov,
and is also available upon request. In most cases, vessel permit information is provided in
aggregate form. However, there are cases, such as for law enforcement or mailings, that
individual permit information is required. The individual vessel information used for mailings
that is derived from the vessel permit application provides NMFS with the assurance of reaching
all affected constituents with notices of fishery closures, regulatory changes, and other important
information. Thus, this information is used frequently; at least once a month.
New VMS Requirements
Although many vessels that qualify for a general category scallop permit would already have a
VMS unit, some would not. Vessel owners that must purchase a unit to participate in the general
category fishery must verify the installation and operation of the unit prior to a permit being
issued. Installation verification is a one time requirement that is necessary to ensure a vessel has
an operational VMS unit prior to participating in the fishery.
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Prior to moving the vessel from the dock or mooring, vessel operators must send a VMS fishery
declaration code that specifies the intent of the vessel, thereby identifying what regulations the
vessel is subject to. Upon returning to the dock or mooring at the end of a trip, vessel operators
are allowed to submit a power down code pursuant to regulations specified at 50 CFR
648.9(b)(2). The power down code allows the owner to turn off the VMS unit while the vessel is
at the dock or mooring to reduce reporting polling costs and preserve battery power.
Unless the vessel has submitted a power down code, the VMS unit would send a position polling
signal every ½ hour. Automatic polling monitors the vessel’s geographic location, ensuring the
vessel complies with spatial and temporal restrictions.
The VMS pre-landing notification for IFQ and NGOM vessels would be submitted by the vessel
operator prior to crossing the demarcation line at the end of each general category scallop trip.
Data from these forms would be used to enforce and oversee individual fishing quotas and
monitor the Northern Gulf of Maine TAC.
To participate in the state waters exemption program, vessel operators would submit a VMS
declaration code and VMS enrollment form instead of calling into the IVR system as is the
current practice. The state waters exemption program requires the enrollment of at least 7 days.
The enrollment form would notify NMFS of the period of time the vessel would be enrolled in
the program. The VMS declaration code and enrollment form would be critical in the
enforcement and oversight of the state waters exemption program.
IFQ Transfers
Each quota transfer would require a transfer application signed by both parties. This information
in necessary to process transfer applications.
Cost Recovery
Under section 304(d)(2) of the MSA, IFQ permit holders would be required to submit cost
recovery payments annually to NMFS to enable the collection of funds for the purpose of
offsetting the administrative and enforcement burden incurred by NMFS as the result of the IFQ
program. This information would be collected via a secure Internet website.
IFQ Sector Program
Amendment 11 would establish a process by which industry participants may propose the
creation of a sector fishery. A sector allocation proposal, operation plan, and accompanying
analysis included within each document would be reviewed by Council and NMFS staff for
consistency with the objectives of the FMP. No limit to the number of sectors that may be
proposed has been defined in the proposed rule for Amendment 11.
Any person may submit a Sector allocation proposal for a group of limited access general
category scallop vessels to the Council, at least 1 year in advance of the start of a sector, and
request that the Sector be implemented through a framework procedure specified at §648.55.
A sector is required to resubmit its operations plan to the Regional Director no later than
December 1 of each year, whether or not the plan has changed. NMFS may consult with the
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Council and would solicit public comment on the operations plan for at least 15 days, through
proposed rulemaking in the Federal Register. Upon review of the public comments, the Regional
Administrator may approve or disapprove sector operations, through a final determination
pursuant to the Administrative Procedure Act.
It is anticipated that the information collected for all of the above listing reporting requirements
would be disseminated to the public or used to support publicly disseminated information. As
explained in the preceding paragraphs, the information gathered has utility. NMFS would 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 #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 would be
subjected to 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.
New Limited Access Permit Categories
After initial permit issuance, permit renewal is made as easy as possible for both the public and
the issuing office. The information obtained from the vessel’s initial permit application is used
to prepare a computer generated pre-printed renewal form. This pre-printed form is sent directly
to the vessel owner each year along with permit renewal instructions. If there are no changes to
the information contained on the pre-printed renewal form, renewal only requires the applicant’s
signature. This feature minimizes the reporting burden on the public and administrative burden
on the agency. Furthermore, vessel owners may also request a pre-printed renewal form at any
time during the year to make necessary changes to their permit or contact information.
In addition to being available upon request, vessel permit information and all initial permit
applications and forms, in addition to RUPH and CPH applications, are available on the
Northeast Regional Office’s web site at www.nero.noaa.gov. Posting this information on the
web makes it easier for the general public to obtain necessary forms and instructions, and eases
the administrative burden on the agency.
New VMS Requirements
VMS position data is collected via automated polling. The VMS pre-landing notification form
and the state waters exemption program enrollment form are available electronically through the
vessel’s VMS unit. These VMS forms are submitted electronically from the vessel.
IFQ Transfers
IFQ transfer applications would be available via NERO’s website, www.nero.noaa.gov.
Applications must be mailed because NMFS requires original signatures of the two parties
involved in the transfer.

Cost Recovery
Vessel owners would submit payment via the secure Internet site: www.pay.gov.
IFQ Sector Program
Due to the size of sector applications, operation plans, and associated analyses and reports,
submission of these documents via the Internet would not be feasible at this time.
4. Describe efforts to identify duplication.
NMFS is aware of all related fishery management activities, and these requirements do not
duplicate any in existence.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
The proposed collection of information would not have a significant impact on small entities.
Only the minimum data to meet the requirements of the above data needs are requested from all
participants. Furthermore, detailed instructions are included with all required applications and
forms to help facilitate proper completion. Since all of the respondents are small businesses,
separate requirements based on the size of the business have not been developed.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
As described in the above responses, these collection requirements are necessary to implement
Amendment 11 to the FMP. Specifically, the general category limited access program is
necessary to improve scallop resource conservation, minimize the potential for excess harvesting
capacity in the fishery, and provide a platform to promote long-term economic stability for
harvesters, processors, and fishing communities. The one-time initial permit application is a
requirement that is necessary to identify the universe of eligible fishery participants. The appeals
process affords vessel owners recourse to demonstrate why a denial was made in error. The
RUPH applications are consistent with all other NERO limited access fisheries, and provide
vessel owners flexibility to move and maintain their eligibility for the general category scallop
fishery as they change vessels.
VMS polling and reporting requirements are critical in the enforcement of scallop regulations
and the oversight of individual fishing quotas, the Northern Gulf of Maine Management Area
TAC, and access area trip quotas. Without these requirements, it would be extremely difficult to
enforce spatial and temporal restrictions in addition to other regulatory requirements, and
impossible to effectively manage access area trip limits and the Northern Gulf of Maine
Management Area TAC.
IFQ transfer applications are needed to implement a transfer program. Without these
applications, industry would not be afforded the benefit of the transfer program.
The cost recovery requirements are critical to administer the cost recovery program and collect
payment from IFQ permit holders. The minimum amount of information would be collected to
effectively administer this program.
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Without sector application, analysis, and reporting requirements, NMFS could not successfully
implement a sector program.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
Vessel applicants would be required to submit RUPH applications for each such action. It is
possible that an applicant may perform a replacement or CPH more often than quarterly. Vessels
would be required to submit a VMS trip declaration and pre-landing notification report each
fishing trip. Consequently, individuals may be required to submit a trip identification code more
often than quarterly. IFQ vessel owner’s may transfer quota more frequently then quarterly, but
this collection is completely voluntary and to the benefit of the fishing industry. A vessel owner
may submit more than one transfer application quarterly. Each time a vessel enrolls in the state
waters exemption program, they would be required to submit the appropriate VMS code and
enrollment form. They are allowed to enroll in this program more often than quarterly.
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.
The information collections contained in this submission are part of a proposed rule, RIN: 0648AU32, scheduled to publish in December, 2007.
The Council held 35 public meetings that received public comment, as part of the development
of Amendment 11 to the FMP. These meetings took place from January 2006 through the
present.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payment or gift would be made to respondents.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
All data would be kept confidential as required by Section 402(b) of the Magnuson-Stevens Act,
and in accordance with NOAA Administrative Order 216-100, Confidentiality of Fisheries
Statistics, and would not be transferred for public use except in aggregate statistical form (and
without identifying the source of data, i.e. vessel name, owner, etc.)
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.
There are no questions of a sensitive nature.
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12. Provide an estimate in hours of the burden of the collection of information.
A full summary of the burden increase to the public associated with this collection of
information can be found in Table 1. The total estimated increase in unduplicated respondents is
175 ,the total response increase is 42,154, and the total burden hour increase is 3,739 hours; the
new hourly burden including this increase is 11,688.
Application Process
It is estimated that there would be 500 applicants for an IFQ permit, 200 applicants for a NGOM
permit, and 500 applicants for an ICS permit. Each IFQ application will take approximately 30
minutes to process, while each NGOM and ICS permit application will take approximately 15
minutes to process. Consequently, the total time burden for the initial applications will be of 425
hours (500 x 30 minutes/60minutes = 250; 200 x 15 minutes/60 minutes = 50; 500 x 15
minutes/60 minutes = 125; 250 + 50 + 125 = 425. According to Council analysis performed for
Amendment 11, only 370 IFQ, 190 NGOM, and 465 ICS applicants are expected to qualify and
consequently renew their application each year. Permit renewal is estimated to take 15 minutes
per application on average, for a total burden of 256 hours per year (370 +_190 + 465 = 1025 x
15 minutes/60 minutes = 256). The 3 year average total public time burden for IFQ, NGOM, and
ICS initial permit applications, and permits renewals would thus be 312 hours (425 + 256 +
256)/3 = 312). The labor cost, at an hourly rate of $15, would be $4,684.
To implement the 5% IFQ ownership cap, vessel owners would be required to submit an
ownership form with each permit renewal. Since it is estimated there would be 370 IFQ permits,
there would be 370 ownership forms each in the second and third years. It is estimated it would
take 5 minutes to complete each ownership form; therefore, the annual reporting burden would
be 31 hours (370 x 5 minutes/60 minutes), or 21 hours, averaged over the first three years (0 +
31 + 31 = 62/3 = 20.6 or 21 hours). At an hourly rate of $15, the annualized time burden would
be approximately $315.
Up to 80 applicants are expected to appeal the denial of their permit application over the course
of the three month application period. The appeals process is estimated to take 2 hours per
appeal to complete, on average, for a total burden of 160 hours. The burden of this one-time
appeal, annualized over three years, would be 54 hours. At an hourly rate of $15, the time
burden would be approximately $810.
RUPH Applications
General category scallop vessels would be subject to the same replacement and permit history
restrictions as other NERO limited access fisheries. Completion of an RUPH application
requires an estimated 3 hours per response. It is estimated that no more than 100 RUPH
applications would be received annually. The resultant burden would be up to 300 (3 x 100)
hours. At an hourly rate of $15 / hour, the total public cost burden for RUPH applications would
be $4,500 per year.
New VMS Reporting Requirements
Most vessels that qualify for an IFQ permit would already be participating in the directed general
category scallop fishery. To participate in this fishery, a vessel must have a 1B permit, which
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already has VMS reporting requirements. Therefore, it is likely that most vessels that qualify for
an IFQ permit already have VMS. Vessels that qualify for an ICS or NGOM would not likely be
participating in the directed general category scallop fishery. However, vessels that qualify for
an ICS or NGOM permit may already have VMS reporting requirements through other fisheries,
particularly the Northeast multispecies fishery. Since it is not economically practical for a vessel
to purchase, install and operate a VMS unit solely for a NGOM or ICS permit, it is unlikely that
Amendment 11 would result in vessels purchasing or installing new VMS units. However, it is
possible that some new permit holders would decide to purchase and install new VMS units in
order to participate in one of these fisheries. Therefore, it is estimated that up to 10 vessels
would purchase and install VMS units as a result of Amendment 11. It is estimated that it would
take 2 hours to purchase each unit for a time burden of 20 hours (2 x 10); annualized over 3
years, the burden would be 7 hours. It is anticipated that vessel owners would hire a VMS
technician to install the VMS unit; therefore there would be no installation time burden. At an
hourly rate of $15 / hour, the total public cost burden for VMS purchases would be $105 (7 x
$15). Since position polling is automated, there is no associated time burden with this reporting
requirement.
IFQ Notification Requirements
Each time a general category vessel leaves port or is moved from the dock or mooring, the
operator must submit a VMS trip declaration code to notify NMFS of their intent, and
consequently, what regulations the operator must adhere to.
According to 2007 VMS trip declaration data for 1B scallop vessels, approximately 40% of the
time general category 1B vessels declare a general category scallop trip; the remainder are codes
for other activities (if a vessel leaves port, general category regulations require it to declare a
trip, regardless of the fishing activity). The 2008 scallop harvest specifications have not yet been
finalized, but the proposed IFQ quota is 2.5 million lbs. Assuming each trip harvests the 400 lb
possession limit, there would be an estimated 6,250 IFQ trip declarations per year (2.5
million/400 = 6,250), with an additional 9,375 trip declarations for some activity other than
scallop fishing, for a total of 15,625 trip declarations. Following each trip, it is anticipated that
the vessel operator would submit a power down code to reduce polling costs and conserve
battery power. It is estimated that it takes approximately 2 minutes to submit a trip declaration
or power down code. It is estimated the IFQ fleet would submit 31,250 VMS declaration codes
(15, 625 trip declarations and 15, 625 corresponding power down code submissions); therefore,
the annual IFQ trip declaration time burden would be 1,042 hours per year (31,250 x
2minutes/60 minutes). At an hourly rate of $15, this burden would be $15,630.
NGOM Notification Requirements
The proposed Northern Gulf of Maine Management Area TAC is expected to be 64,000 to
100,030 lbs each year. Assuming each trip lands the 200 lb possession limit, and using the upper
limit of the proposed TAC, it is projected that there would be up to 500 NGOM trip declarations
per year (100,030/200 lb). As previously noted, for economic purposes it is unlikely that a
vessel owner would incur the cost of a VMS unit solely to have a NGOM permit. Therefore,
assuming these vessels already have VMS reporting requirements for other fisheries, VMS
declaration reporting requirements for activities other than NGOM activity have already been
accounted for in other PRA collections. The increased reporting burden resulting from the
NGOM permit category would be approximately 500 trip declarations and 500 power down
declarations. Assuming each declaration takes approximately 2 minutes, the annual NGOM trip
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declaration time burden would be approximately 34 hours (2 x 500 x 2 minutes/60 minutes). At
an hourly rate of $15, this burden would be $510.
ICS Notification Requirements
In 2004 and 2005, dealer data indicated that the percent of scallops landed in quantities of 40 lb
or less was 0.02% and 0.06%, respectively. The average pounds of scallops landed in quantities
of 40 lb in 2004 and 2005 was 19,363 lb. Using this average, it is estimated that there were
approximately 500 general category 1A trips that landed scallops. Assuming this rate would
remain approximately the same, there would be an estimated 500 ICS trip declarations made
annually. As previously noted, for economic purposes it is unlikely that a vessel owner would
incur the cost of a VMS unit solely to have an ICS permit. Therefore, assuming these vessels
already have VMS reporting requirements for other fisheries, VMS declaration reporting
requirements for activities other than ICS activity have already been accounted for in other PRA
collections. The increased reporting burden resulting from the ICS permit category would be
approximately 500 trip declarations and 500 power down declarations. Assuming each trip
declaration takes approximately 2 minutes, the annual ICS trip declaration time burden would be
approximately 34 hours (2 x 500 x 2 minutes/60 minutes). At an hourly rate of $15, this burden
would be $510.
Pre-landing Notification Requirements
VMS pre-landing notification forms would be required for each IFQ and NGOM trip. Therefore,
there would be 6,250 IFQ and 500 NGOM pre-landing notification forms submitted annually. It
is estimated that it would take 5 minutes per each of the 6750 reports, for an annual pre-landing
notification time burden of 563 hours (6750 x 5 minutes/60 minutes). At an hourly rate of $15,
this burden would be $8,445.
State Waters Exemption Program Requirements
The state waters exemption program enrollment form is estimated to take 5 minutes to submit
through the VMS, the same amount of time as it has taken to enroll through IVR. State waters
exemption program trip declaration requirements are already accounted for in OMB Control No.:
0648-0202. Therefore, this burden would not increase the collection budget.
IFQ Transfers
Quota temporary transfers and permanent transfers apply to IFQ vessels only.
Using the Northeast Region’s Northeast Multispecies Days-at-Sea (DAS) Leasing Program
(OMB Control No.: 0648-0475) as a proxy for the response rate for the quota leasing program, it
is anticipated there would be approximately 75 quota temporary transfers annually. Each
application would include information from both parties involved in the temporary transfer;
therefore there would be 2 responses per application. It is estimated that it would take 5 minutes
per response, or 10 minutes per temporary quota transfer application. Therefore, the estimated
temporary transfer burden would be 13 hours (75 x 2 x 5 minutes/60 minutes). At an hourly rate
of $15 / hour, the total public cost burden for temporary quota transfer applications would be
$195.

The Northeast Multispecies DAS Permanent Transfer Program cannot be easily correlated with
the general category permanent quota transfer program because of the Northeast Multispecies
Program has a 20% conservation tax on all transfers while there is no conservation tax on scallop
quota transfers. Although it is anticipated there would be more quota transfers than DAS
transfers, quota transfers would be restricted by the requirement that no IFQ vessel owner have
more than 5% of the IFQ quota nor any individual vessel have more than 2% of the IFQ quota at
any time. It is anticipated there would be approximately 10 permanent quota transfers per year.
Each application would include information from both parties involved in the transfer; therefore
there would be 2 responses per application. It is estimated that it would take 5 minutes per
response, or 10 minutes per permanent transfer application. Therefore, the estimated permanent
quota transfer burden would be 2 hours. At an hourly rate of $15 / hour, the total public cost
burden for permanent quota transfer applications would be $30.
Cost Recovery
As we are initiating cost recovery for this program, there are no current data for use in estimating
the burden associated with submitting a cost recovery payment. Using the burden per response
used by the Alaska Region’s Alaska Individual Fishing Quota Cost-Recovery Program
Requirements (OMB Control No.: 0648-0398) as a proxy for the scallop IFQ program, it is
estimated that it would take 2 hours per response. Each IFQ permit holder would be required to
submit a cost recovery payment once annually. Therefore, 370 payments would take 740 hours.
At an hourly rate of $15 / hour, the total public cost burden for cost recovery would be $11,100.
IFQ Sector Program
Based on conversations with Council and NMFS staff, and the general category scallop fishing
industry, it is estimated there would be 9 sector proposals received over the next three years
(2008-2009); 5 in the first, 2 in the 2nd year and 2 in the 3rd year. The earliest the sectors
proposed in the 2008 year could be implemented would be the 2009 fishing year. Therefore,
these sectors would be required to submit operation plans for the 2010 fishing year.
Any person may submit a Sector allocation proposal for a group of limited access general
category scallop vessels to the Council at least 1 year in advance of the start of a sector, and
request that the Sector be implemented through a framework procedure specified at §648.55.
Based upon consultations with the Northeast multispecies sector program, it is estimated it would
take 150 hours to prepare and submit a sector proposal. Therefore, the three year average
annualized time burden for sector proposals would be 450 hours per year (9 x 150/3). At an
hourly rate of $15 / hour, the total public cost burden for sector proposals would be $6,750.
A sector is required to resubmit its operations plan to the Regional Director no later than
December 1 of each year, whether or not the plan has changed. Based upon consultations with
the Northeast multispecies sector program, each operations plan takes approximately 100 hours.
The earliest sector operation plans would be submitted in 2010 for the proposals submitted in
2008. Therefore, it is estimated it would take 500 hours to submit 5 operation plans. The 3 year
average annualized time burden would be 167 hours per year (5 operation plans over 3 years).
At an hourly rate of $15/ hour, the annual time burden cost would be approximately $2,500.

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).
A full summary of the increased cost to the public associated with this collection of information
can be found in Table 1. The total cost increase is $42,232, and the new total including this
increase is $1,489,055.
Limited Access Application Process
It is estimated that it would cost $0.41 in postage fees to submit an initial permit application and
permit renewal application. Therefore, it would cost on average over a three year period an
estimated $444 per year in postage fees (1,200 initial applications + 1,025 renewals + 1,025
renewals = 3,250 x $0.41 = $1,333 / 3years = $444).
It is estimated that it would cost $0.41 in mailing fees and $0.10 in copy fees to submit an
ownership cap form. Since it is estimated that there will be 370 ownership cap forms submitted
annually, the additional expense resulting from this requirement would be $189 (370 x $0.51).
It is estimated that it would cost approximately $1 in mail fees and $1 in copy fees (10 pages at
$0.10 per page) to submit materials supporting an appeal. Since it is anticipated that there will be
approximately 80 appeals during the 90 day application period, annualized to 27 appeals, the cost
burden resulting from the appeals process would be approximately $54 ($2 x 27).
RUPH Applications
It is estimated that it would cost approximately $1 in mail fees and $1 in copy fees to submit an
RUPH application. Therefore, it is estimated that 100 RUPH applications submitted annually
would cost $200 to print and mail ($2 x 100).
New VMS Reporting Requirements
Since the purchase of the VMS unit would be reimbursed by NMFS, there would be no new cost
burden as the result of new VMS unit purchases. VMS installation costs on average $340.
Therefore the cost burden of installing 10 VMS units would be approximately $3,400 ($340 x
10); the annualized cost would be $1,134. The annual VMS polling cost per vessel averages
$954. For the estimated 10 new VMS units as the result of Amendment 11, the new VMS
polling cost not covered by other PRA collections would be $9,540 ($954 x 10).
It is estimated that it costs $0.79 to send a VMS declaration code, including power down codes.
Therefore, the cost burden resulting from Amendment 11 VMS requirements would be $26,268
per year (31,250 IFQ declarations + 1,000 NGOM declarations + 1,000 ICS declarations =
33,250 x $0.79).
Each VMS pre-landing notification form is estimated to cost $0.79. Therefore, 6,750 prelanding notification forms would cost $5,333 (6,250 IFQ + 500 NGOM = 6,750 x $0.79).
Each VMS state waters exemption program enrollment form is estimated to cost $0.79 to submit
14

(although the submission burden is already covered under 0202, there is a cost for the new form).
Only 13 vessels enrolled in the state waters exemption program in the previous calendar year
(October 1, 2006 – September 30, 2007). It is anticipated that this rate would continue in the
coming years. Therefore, it is estimated that the cost burden associated with the state waters
exemption program VMS enrollment form would be $10 per year ($0.79x13=10).
IFQ Transfers
It is estimated that IFQ transfer submission would cost $0.41 postage and $0.10 copy fees per
transfer application ($0.51 total). Since NMFS anticipates approximately 85 transfers per year
(75 temporary transfers, 10 permanent transfers), the resultant cost burden would be $43 per year
(85 x $0.51).
Cost Recovery
PRA collection cost does not include the actual cost recovery funds submitted by industry; only
the costs associated with the submission of these funds. Since cost recovery would be collected
only via the Internet, there is no cost burden associated with this cost recovery program.
IFQ Sector Program
The submission of sector allocation proposals and plans of operations required under
Amendment 11 would incur costs from copying and postage of these documents. Based upon
Northeast multispecies sector program estimates as documented in OMB Collection No.: 06480489, the total cost burden for each sector proposal or operation plan is estimated to cost $3.64
($2 for two copies of a 10-page document, and two $0.41 stamps for each document: $2 + (2x
$0.82)). Therefore, the 3 year average annual cost for 9 sector proposals and 5 operation plans
would be $17 (14 x 3.64 = $51/3) .
14. Provide estimates of annualized cost to the Federal government.
A full summary of the increased cost to the Federal Government associated with this collection
of information can be found in Table 2. The total cost increase is $63,181 and the new total
including this increase is $67,519.
Limited Access Application Process
The estimated average cost to the Federal Government to issue a Federal fishery permit is $33
per permit, including labor, printing, distribution, computer time, and handling. In the 1st year
there would be 500 IFQ, 200 NGOM, and 500 ICS initial applications = 1,200. The following 2
years, there would be 740 IFQ, 380 NGOM, and 930 ICS renewal applications = 1,025 x 2 =
2,050 over the two years. Therefore, at an hourly rate of $25, it would cost on average over a
three year period an estimated $35,750 per year (1,200 + 2,050 = 3,250 x 33 = $107,250/3 to
process all limited access scallop permits.
The annual estimated cost to the Federal Government is estimated to be $25 for processing
appeals, vessel replacements, vessel upgrades, and confirmations of permit history applications.
It is estimated that there would be 80 appeals the first year, and 100 RUPH applications
processed annually, which would increase the annual government burden by $4,500 ($180 x
$25).
15

It takes approximately 10 minutes to process each ownership cap form. Since there are 370
ownership cap forms per year, at an hourly rate of $25, the annual government burden would be
$1,542 (370 x 10 minutes/60 minutes x $25).
New VMS Reporting Requirements
The estimated 10 new VMS units that would result from Amendment 11 are not expected to
increase the government cost burden appreciably above the current burden as accounted for in
OMB Control No.: 0648-0202.
It is estimated that it would take 1 minute to process each VMS pre-landing notification form and
VMS state waters exemption program enrollment form. Therefore, at a cost per hour of $25,
these reporting requirements would increase the government cost burden by $2,818 per year
(6,750 pre-land notification forms, and 13 state water exemption program enrollment forms =
6,763 x 1 minute/60 minutes x $25).
IFQ Transfers
It is estimated that it would take 30 minutes to process each transfer request. Since it is
estimated that NMFS would process 85 transfers per year, the annual government cost would be
$1,063 (85 x 30 minutes/60 minutes x $25).
Cost Recovery
Cost recovery payments would be collected through www.pay.gov, an established government
payment collection program. It is anticipated it would take one hour to program pay.gov to
accept payment from IFQ permit holders. Once the program has been programmed to accept
payment from www.pay.gov, there would be no additional cost to the government since the
scallop cost recovery program would be completely automated. At an hourly rate of $25, the
annual government burden would be $25 for the first year only, or an annualized burden of $8.34
($8).
IFQ Sector Program
Based upon Northeast multispecies sector program estimates, sector proposals and operation
plans require extensive review by the Council and NMFS staff to ensure that proposals and
operation plans meet the objectives of the FMP. It is estimated that each proposal and operation
plan requires approximately 150 hours to review and implement. Using a wage rate of $25/hour,
this results in a 3-year average annual cost to the government of $17,500 per year (5 proposals
the 1st year, 2 proposals the second year, 2 proposals and 5 operation plans the third year)(14 x
150 = 2,100 x 25/3).
15. Explain the reasons for any program changes or adjustments reported in Items 13 or
14 of the OMB 83-I.
OMB Control No.: 0648-0491 responses would increase from 236,219 by approximately 42,154
to 278,373; hours, from 7,949 by 3,739 to 11,688, and cost, from $1,445,823 by $43,232 to
$1,489,055, as a result of Amendment 11.
16

Limited Access Application Process
The IFQ permitting requirements, which includes the initial permit application and permit
renewals, would increase the 3-year annual budget on average by 17 minutes and $4.74 per
response. The 3 year average total public time burden and cost for IFQ, NGOM, and ICS initial
permit applications, and permits renewals would thus be 312 hours and $444.
The IFQ ownership cap form would increase the annual budget by approximately 10 minutes and
$0.51 per response. The average overall public burden would be approximately 21 hours and
$54.
The Appeals process would increase the annual budget by approximately 2 hours and $11 per
response. The average overall public burden would be approximately 54 hours and $106.
RUPH applications would increase the annual budget by approximately 3 hours and $2 per
response. The overall public burden would be approximately 300 hours and $200.
New VMS Reporting Requirements
The purchase and installation of new VMS units, annualized, would increase the annual budget
by approximately 2 hours and $126 per response. The overall increase would be approximately
7 hours and $378.
VMS polling fees would not increase the burden hours, but would increase the annual budget by
approximately $954 per respondent. The overall increase would be approximately $9,540.
VMS trip declaration and power down for IFQ vessels would increase the annual budget by
approximately 2 minutes and $0.79 per response. The overall increase would be approximately
1042 hours and $26,628.
VMS trip declaration and power down for NGOM vessels would increase the annual budget by
approximately 2 minutes and $0.79 per response. The overall public burden would be
approximately 34 hours and $403.
VMS trip declaration and power down for ICS vessels would increase the annual budget by
approximately 2 minutes and $0.79 per response. The overall public burden would be
approximately 34 hours and $403.
The VMS pre-landing notification form would increase the annual budget by approximately 5
minutes and $0.79 per response. The overall public burden would be approximately 563 hours
and $5,333.
The VMS state waters exemption program enrollment form would not increase the burden hours,
but would increase the annual budget by approximately $0.79 per response. The overall public
burden would be approximately $10.

IFQ Transfers
IFQ transfer applications would increase the annual budget by approximately 5 minutes and
$0.26 per response. The overall public burden would be approximately 15 hours and $43.
Cost Recovery
The cost recovery program would increase the annual budget by approximately 2 hours per
response. Cost would not increase since www.pay.gov is a free service. The overall public
burden would be approximately 740 hours.
IFQ Sector Program
Sector proposals would increase the 3-year annualized budget by approximately 150 hours and
$2.67 per response. The average overall public burden would be increased approximately 450
hours and $8.
Sector operation plans would increase the 3-year annualized budget by approximately 33 hours
and $2 per response. The average overall public burden would be approximately 150 hours and
$6.
16. For collections whose results would be published, outline the plans for tabulation and
publication.
The results from this collection may be used in scientific, management, technical or general
information publications such as the Fisheries of the United States, which follows prescribed
statistical tabulations and summary table format, and the annual Stock Assessment and Fishery
Evaluation (SAFE) Report prepared by the New England Fishery Management Council
(NEFMC) for the herring fishery. Data obtained from this collection would be available to the
public upon request in summary form only. Furthermore, data are available to NMFS employees
in detailed form on a need-to-know basis only.
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.
Except for VMS forms, all forms would display the OMB control number and expiration date
along with information relevant to the Paperwork Reduction Act of 1995. The VMS forms
would not display this information because these forms are in electronic media format only.
There is limited space in this format to provide a PRA statement. Additionally, one of the
approved VMS vendors (Boatracs, Inc) has a limit of 50 lines of text per macro or VMS form,
and is also limited to a total of 600 lines of text for all macros. As VMS requirements become
more complex with changing Northeast regulations, the macros are approaching these limits.
Including the PRA text would negatively impact NMFS' ability to expand the macros within the
current limits to comply with regulatory changes.
18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
All instances of this submission comply with 5 CFR 1320.9.
18

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
No statistical methods are employed in the information collection procedures.

TABLE 1
# Items

Responses per
Item

Total
Responses

Burden
Hours

Wages and
Salaries

Recordkeeping
/Reporting
Costs

1,083

312

$4,680

$444

370

$315

$189

$810

$54

100

300

$4,500

$200

New VMS Purchases
(3-year average)

$105

New VMS Installation
(3-year average)

$1,134

$9,540

33,250

1,110

$16,650

$26,268

6,750

563

$8,445

$5,333

$10

170

$225

$43

370

740

$11,100

450

$6,750

$11

1.67(2)

1.67 (2)

167

$2,505

42,154

3,739

$56,085

$43,232

Reporting Requirement
Permit Application
(IFQ, NGOM, ICS)
(3 –year average)
IFQ Ownership Cap
Forms
Appeals (IFQ, NGOM,
ICS)
(3-year average)
RUPH applications

VMS polling fees
IFQ, NGOM, ICSVMS
Trip Declaration and
Power Down
VMS Pre-Landing
Notification Form (IFQ,
NGOM)
VMS State Waters
Exemption Program
Enrollment Form (IFQ,
NGOM, ICS)
Quota Transfer
Applications (temporary
and permanent)
Cost Recovery
Sector Proposals
(3 year average)
Sector Operation Plans
(3 year average)
TOTAL

TABLE 2
GOVERNMENT COST
#
Entities

Items per
Entity

Total
Items

Cost Per
Item

Total
Cost

1,083

$33

$35,750

370

$4.17

$1,542

$25

$2,000

100

$25

$2,500

6,750

$2,818

Quota Transfer Applications (temporary
and permanent)

$13

$1,063

Cost Recovery Programming Cost
(3-year average)

$3,750

$17,500

Requirement
Permit Application
(IFQ, NGOM, ICS)
(3-year average)
Ownership Cap Forms
Appeals
RUPH Applications
VMS Pre-Landing Notification Form

Sector Proposals + Operation Plans
(3 year average)
TOTAL

$63,181

File Type	application/pdf
File Title	SUPPORTING STATEMENT
Author	Richard Roberts
File Modified	2007-12-19
File Created	2007-12-19