0202 ss ren 111709rev

SUPPORTING STATEMENT
NORTHEAST REGION PERMIT FAMILY OF FORMS
OMB CONTROL NO. 0648-0202
INTRODUCTION
This submission requests renewal of Office of Management and Budget (OMB) approval for
Northeast Region Permit Family of Forms (OMB Control No. 0648-0202) as it pertains to all the
permitting requirements. This submission includes measures that have been implemented under
Fishery Management Plans (FMP) under the jurisdiction of the Northeast Regional Office of the
National Marine Fisheries Service (NMFS) as of December 1, 2009.
This submission constitutes the 3-year renewal request for OMB Control No. 0648-0202.
A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
Under the Magnuson-Stevens Fishery Conservation and Management Act (Magnuson-Stevens
Act), the Secretary of Commerce (Secretary) has responsibility for the conservation and
management of marine fishery resources within the Exclusive Economic Zone (EEZ) of the
United States. The majority of this responsibility has been delegated to NMFS under the
National Oceanic and Atmospheric Administration (NOAA).
The Secretary was given certain regulatory authorities to ensure that these resources are utilized
in the most beneficial manner. The requirement of a permit for users of these resources is one of
the regulatory steps taken to carry out conservation and management objectives. Section 303
(b)(1) of the Magnuson-Stevens Act specifically addresses the need for permit issuance. In
addition, almost every international, Federal, state, and local fishery management authority
recognizes the value and use of permits as part of their respective management systems. Thus,
the Secretary has promulgated rules for the issuance of Federal fisheries permits.
The issuance of a permit is an essential part of managing fishery resources. The purpose and use
of permits is to: (1) Register vessel owners, vessel operators, fishing vessels, fish dealers, and
processors; (2) list the characteristics of fishing vessels and/or dealer/processor operations; (3)
exercise influence over compliance (e.g., withhold permit issuance pending collection of unpaid
penalties, or unsubmitted, but required data); (4) provide a mailing list for the dissemination of
important information to the industry; (5) register participants to be considered for limited entry;
and (6) provide a universe for data collection samples. Identification of the participants, their
gear types, vessels, and expected activity levels is an effective and necessary tool in the
enforcement of fishery regulations. This information is needed to measure the consequences of
management controls, as well. Participants in certain fisheries may also be required to notify
NMFS before fishing trips for the purpose of observer placement and to make other reports on
fishing activities. Limited access (moratorium) permits are necessary to control fishing effort by
managing the number of participants in a fishery. Dealer and vessel permits are necessary to
ensure that data collections cover entire fisheries. Finally, vessel operator permits serve as
primarily a compliance and information dissemination tool.
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The permit system is an integral part of the management of fisheries in the Northeast Region of
NMFS. Consolidated regulations for the fisheries included in this collection are found at 50
CFR part 648 and 50 CFR part 697. It would not be possible to carry out the mandates of the
Magnuson-Stevens Act and other laws if approval to continue these previously approved
collections were to be denied.
This submission is updated to include several change requests, as well as the merge of OMB
Control No.: 0648-0489, the Northeast (NE) Multispecies Fishery Management Plan (FMP)
Amendment 13 Data Collection (hereafter Amendment 13); OMB Control No.:0648-0549, the
NE Multispecies FMP Framework Adjustment 42 Permits Data Collection (hereafter Framework
Adjustment (FW) 42); OMB Control No.:0648-0555, the Atlantic Hagfish Fishery Collection of
Information. The submission also contains the burden from OMB Control No.: 0648-0558:
Atlantic Surfclam and Ocean Quahog Framework Adjustment 1. Once the renewal is approved,
OMB Control No.: 0648-0558 will be discontinued.
Vessel Permits
There are two major categories of vessel permits: open access and limited access (also called
moratorium). Since there are no eligibility requirements, open access permits are available to
anyone who applies. Conversely, limited access permits are issued to only those applicants who
meet the specific qualification requirements for a particular fishery. The permits included in this
submission are for the following open and limited access fisheries: Atlantic herring, Atlantic
mackerel, Atlantic sea scallop, black sea bass, bluefish, Illex squid, Loligo squid, butterfish,
monkfish, Northeast (NE) multispecies, ocean quahog, scup, spiny dogfish, summer flounder,
surf clam, tilefish, deep-sea red crab, NE skates, and American lobster. Some fisheries are
entirely limited access (e.g., American lobster), while others are entirely open access (e.g.,
bluefish and spiny dogfish). However, most of the fisheries included in the Northeast Permit
Family of Forms have both limited access and open access categories. Therefore, if an applicant
does not meet the eligibility requirements of a limited access fishery, they may apply for an open
access permit.
Entry into limited access fisheries typically requires proof of vessel eligibility, usually in the
form of documented landings of the managed species or species group to be submitted with the
permit application. Eligibility for limited access fisheries is established only once, during the
initial year of the program. In subsequent fishing years, the permit is reissued in the same
manner as open access permits. The permit applicant will be provided a pre-printed renewal
form each year on which they select the open access permits they want, and the limited access
permits for which their vessel has qualified.
Vessel Replacements, Upgrades, and Confirmations of Permit History
The vessel replacement, upgrade, and confirmation of permit history (RUPH) application
provides a one-step venue for applicants to request one or more of the following limited access
permit actions on one form: Replacement of one vessel by another vessel; upgrade of a vessel’s
physical characteristics (specifications); and/or retention of a vessel’s limited access permit
2

history. This form saves time and effort by guiding applicants through the process, and by
including these inter-related permit actions on one form.
The term vessel replacement, in general, refers to replacing an existing limited access vessel with
another vessel. This application requires that the same entity must own both the limited access
vessel (and fishing history) that is being replaced, and the replacement vessel. In addition, the
process limits the ability of a qualified vessel to increase fishing power by restricting overall
upgrades in vessel size and horsepower specifications.
A vessel owner must maintain the limited access permit status for an eligible vessel by renewing
the permits or applying for issuance of a confirmation of permit history (CPH) on an annual
basis. A CPH is issued to a person who does not currently own a fishing vessel, but who has
legally retained the fishing and permit history of the vessel for the purpose of transferring it to a
replacement vessel at a future date. Annual renewal is considered important in establishing
participants who have an active interest in maintaining their ability to participate in a limited
access fishery, and conversely allowing permits to lapse and be cancelled for those who do not.
Dealer/Processor Permits
Identification of dealer/processors is needed to obtain first purchase information on landings to
evaluate the biological, economic, and social implications of management measures. The
Magnuson-Stevens Act, Regulatory Flexibility Act, and Executive Orders 12866 and 12131
require the determination of these facts. This collection of information includes the following
dealer permits: Atlantic hagfish, Atlantic herring, Atlantic mackerel, Atlantic sea scallop, black
sea bass, bluefish, Illex squid, Loligo squid, butterfish, monkfish, NE multispecies, ocean
quahog, scup, spiny dogfish, summer flounder, surf clam, tilefish, deep-sea red crab, NE skates,
American lobster, and Atlantic tunas.
Operator Permits
The vessel operator permit enables NMFS to send notices of proposed and approved regulatory
changes to vessel operators, as well as vessel owners, improving the flow of information to the
industry. These permits are required for all operators of vessels issued Federal permits in the
following fisheries: Atlantic herring, Atlantic mackerel, Atlantic sea scallop, black sea bass,
bluefish, Illex squid, Loligo squid, butterfish, monkfish, NE multispecies, ocean quahog, scup,
spiny dogfish, surf clam, tilefish, deep-sea red crab, NE skates, and American lobster.
The possible revocation of vessel, dealer, and operator permits helps to ensure compliance with
reporting and other fishery specific regulatory requirements. Experience has shown that fines for
violations of specific fishery regulations are not as effective as the threat of withdrawing or not
renewing permits. Fines for fishing without a permit can be more substantial and easier to
enforce than fines for other violations. Vessel owners may be willing to pay the lower fines if
the violation brings enough economic benefit, but do not want to be excluded from the fishery.

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Observer Requirements
Any vessel holding a permit for Atlantic sea scallops, NE multispecies, monkfish, NE skates,
Atlantic mackerel, squid, butterfish, scup, black sea bass, bluefish, spiny dogfish, Atlantic
herring, tilefish, deep-sea red crab, a moratorium permit for summer flounder, and/or American
lobster, may be requested to carry a NMFS-approved observer or sea sampler. Observer
coverage may also be required for vessels participating in any of the exemption programs
established under the above listed FMPs. Such requests are made at the discretion of the
Regional Administrator (RA) for the purpose of monitoring fishing activities, collection of data,
and compliance as stated under §648.11 and § 697.12 (American lobster). Requests for observer
coverage are made from the list of permit holders for those species.
While the Atlantic hagfish fishery is not yet regulated, it has changed in recent years from an
inshore fishery composed of small vessels to an offshore, large-vessel fishery. According to
reports from a workshop that was held to elucidate the challenges in collecting information on
this fishery, the reason for this change in the way that the fishery is conducted is that the fishery
has experienced localized depletion in nearshore waters necessitating movement to areas not
historically harvested for hagfish. An observer program for the hagfish fishery is being enacted
as part of a larger information collection pilot program in order to aid NMFS and the New
England Fishery Management Council (NEFMC) in the potential future development of an
Atlantic hagfish FMP.
Under the Atlantic hagfish information collection pilot program, any vessel owners/operator that
intends to fish for, catch, or land hagfish taken in or from the EEZ would be required to take an
observer when requested to do so. Hagfish vessel owners would be required to call to arrange
deployment of observers on their vessels. These requests are made at the discretion of the
Regional Administrator for the purpose of monitoring fishing activities, collection of data, and
compliance with pilot program requirements. An observer is necessary because of the high
discard rates (culling) that have been reported to occur in the hagfish fishery at-sea due to
rejection of live hagfish product at the docks and because the proportion of the catch that is
rejected by the dealer and later discarded at sea is not measured. The information collected by
observers may also be used to verify the information received from vessels through Fishing
Vessel Trip Reports (FVTR).
Currently, the herring fishery is considered an exempted fishery that is not capable of catching
groundfish. However, recent reports of herring vessels catching regulated groundfish have
prompted an interest in gaining a better understanding of the scope of groundfish bycatch in the
herring fishery. This bycatch may not be accounted for in the rebuilding program established for
the NE Multispecies FMP. The FMP requires vessels with a All Area Limited Access and/or
Area 2 and 3 Limited Access herring permit to notify the NMFS Observer Program 72 hours
before beginning a herring trip. In addition, the vessel must notify NMFS Office of Law
Enforcement (OLE) via Vessel Monitoring Systems (VMS) prior to landing. These provisions
are intended to improve the ability to plane an observer on herring vessels and to monitor
offloads to determine the extent of groundfish bycatch in the herring fishery.

4

The burden for all observer notifications described above has been included in the recently
approved OMB Control No.: 0648-0593, Observer Programs’ Information That Can Be
Gathered Only Through Questions and thus will not be counted as burden in this collection.
Effort Monitoring: Vessel Monitoring Systems (VMS)/Call-in program
A VMS provides an effective means of monitoring vessel activity, including assessing fishing
effort, through determining vessel location and tracking of days-at-sea (DAS). This information
is necessary to enforce management measures such as DAS and closed area provisions, and to
prevent overfishing through electronic catch reporting, where applicable. VMS enables industry
participants to provide information on the nature and purpose of their activities electronically
and to send and receive electronic messages. VMS units are also capable of transmitting catch
and landings information. Section 303(b)(4) of the Magnuson-Stevens Act authorizes the
Secretary to require the use of devices such as VMS that would facilitate enforcement of FMP
provisions.
VMS is currently required for the following industry participants: (1) NE multispecies permit
holders fishing under a Category A or B DAS (originally implemented by FW 42 under OMB
Control No.:0648-0489); (2) all Atlantic sea scallop permit holders; (3) limited access Atlantic
herring permit holders; (4) monkfish offshore exemption area declaration permit holders; and (5)
surf clam and ocean quahog permit holders (§648.10(b)). Industry participants in these fisheries
must provide proof of VMS installation with the vessel’s permit application or renewal. In
addition, all vessel owners required, or choosing to use, a VMS unit must call the NMFS OLE,
Northeast Region (NER), to confirm connectivity of the unit with the OLE system upon
installation of a new or replacement VMS unit, and send a VMS certification form as an official
statement that the federally permitted fishing vessel has an operational VMS unit installed.
Owners of vessels issued a limited access monkfish and red crab permit participating in a DAS
program who are not required to provide notification using a VMS, and scallop vessels
qualifying for a DAS allocation under the occasional category that have not elected to fish under
VMS notification requirements (at §648.10(b)) and are not participating in the Sea Scallop
Access Area program (listed at §648.60) are required to report through a “call-in” telephone
system. Vessels allocated DAS in those fisheries must call-in to declare the start and end dates
and times of directed fishing trips (§648.10(c)).
Vessels participating in the NE multispecies fishery, with the exception of vessels issued a valid
Small Vessel permit, and vessels issued a Category A or B limited access monkfish permit must
notify the Regional Administrator (RA) through the call-in system of the commencement date of
their 20-day period out of the NE multispecies fishery. NE multispecies vessels are also required
to notify NMFS 72 hours in advance of a Category B trip so that observer coverage can be
arranged. Day gillnet vessels must utilize these same procedures to declare their required time
out (as specified in (§648.82(k)(1)(iv)) of the NE multispecies fishery. Owners of vessels
issued a limited access monkfish permit may elect to provide notification requirements through a
VMS unit rather than the call-in system (§648.10(c)).
Participants in the Category B (regular) DAS Program are limited to very low catch limits and
quarterly hard Total Allowable Catch (TAC) amounts for regulated groundfish stocks of
5

concern. Vessels are allowed to use Category B (regular) DAS if they remain below these limits.
If a vessel exceeds these low limits for any stock, it is required to “flip” the DAS it is using from
a Category B (regular) DAS to a Category A DAS. This “flip” is accomplished by sending an
electronic message to NMFS using the installed VMS. The “flip” must take place immediately,
and before the vessel crosses the “VMS Demarcation Line”—a regulatory line that defines when
a vessel is entering port and has stopped a fishing trip. This requirement to “flip” a DAS ensures
that the additional effort from Category B (regular) DAS will be used to target healthy stocks
and will not threaten the mortality objectives of NE Multispecies FMP Amendment 13
(Amendment 13). The requirements for a vessel to report a DAS flip through the VMS
facilitates the enforcement of this provision. Because the notice must be given before the vessel
lands the fish, it provides an opportunity for the United States Coast Guard (USCG) and NOAA
enforcement agents to meet vessels at the pier and determine if they complied with the low
landings limits required for the use of Category B (regular) DAS use.
Sea scallop vessels wishing to fish under the state waters exemption program (described at
§648.54) must notify the RA by VMS or call-in notification (§648.10(e)). If using VMS
notification, vessels must notify the RA prior to the vessel’s first trip under the state waters
exemption program, and prior to the vessels first planned trip back in the EEZ. If using call-in
notification, vessels must notify the RA at least 7 days prior to fishing under the exemption and
provide the beginning and end dates of the exemption period. Vessels using call-in notification
must remain in the exemption for a minimum of 7 days. However, those wishing to withdraw
early must notify the RA through the call-in system, but cannot leave port to fish in the EEZ
until 48 hours after the RA has received notification of early withdrawal. This system of VMS
or call-in notification will ensure that scallop vessels fishing under the state waters exemption
program remain within a state’s waters to be exempt from DAS, gear, and possession limit
requirements.
In addition, NMFS has, for several years, been issuing an annual permit for Canadian vessels
that participate in the Atlantic herring fishery under section 204(d) of the Magnuson-Stevens Act
and section 105(e) of Public Law 104-297, the Sustainable Fisheries Act. A new requirement for
VMS will be added to the permit based on input from the USCG. Section 204(d) states that
applicants must comply with requirements described in section 201(c)(2) for the permit to be
approved. Section 201(c)(2) includes a provision that the owner or operator of any foreign
fishing vessel install and maintain in working order transponders, or such other appropriate
position-fixing and identification equipment as the USCG determines to be appropriate. The
USCG found that VMS would be appropriate for the Canadian vessels and subsequently NMFS
added the requirement in the permit. Operation of the VMS will allow the monitoring of the
vessels and their fishing effort.
Section 105(e) of Public Law 104-297 states that, within 30 days of receiving an application,
NMFS shall issue permits to up to fourteen Canadian transport vessels that are not equipped for
fish harvesting or processing, for the transshipment of Atlantic herring harvested by United
States (U.S.) fishermen and used solely in sardine processing. The Atlantic Herring FMP
established a border transfer specification for this herring transshipment in §648.200(a).

6

Good Samaritan DAS Credits
Limited access vessels fishing under DAS requirements that have assisted in USCG search and
rescue operations or assisted in towing a disabled vessel may apply for Good Samaritan credits
(§648.53(e)). This provision enables such vessels to not accrue DAS for the documented time of
their assistance efforts.
DAS Credit for Standing by an Entangled Whale
Every year, there are many reports of large whale entanglements. However, few entangled
whales are actually disentangled because many of the reported entangled whales are never
relocated. Given effort limitations, vessels are reluctant to take the time to provide rescuers
information about entangled whales because they could lose valuable fishing time. As a result,
the NE Multispecies FMP provides DAS credit for vessels that stand by an entangled whale.
This credit provides an incentive for vessels to report and stand by entangled whales so that they
can be successfully disentangled.
Vessel Monitoring System Power Down Exemption
Vessels carrying permits that require VMS units must transmit a signal indicating the vessel’s
position either once or twice per hour, 24 hours a day, depending on the permit type. The vessel
power down exemption allows both voluntary VMS users as well as vessels required to use
VMS to stop position transmission under certain provisions, provided the vessel would be out of
the water for a minimum of 72 hours, or at dock/mooring and not engaging in any fisheries for a
minimum of one month. Vessel operators are allowed to discontinue the use of VMS as long as
a valid letter of exemption is obtained and the vessel complies with the conditions and
requirements of the exemption letter. The vessel is required to retain this exemption letter on
board the vessel. The vessel owner may also request to extend the time period for which the
exemption was granted. This provision was originally implemented by Amendment 13 and
approved under OMB Control No.:0648-0489. Limited Access General Category (LAGC) sea
scallop vessels may also use VMS to declare power down periods while at dock.
Differential DAS Counting
The primary means of controlling fishing mortality in the NE Multispecies FMP is by limiting
the number of DAS that a vessel can fish. Amendment 13 assigned each limited access permit
holder a number of DAS that can be used. These DAS are categorized as either Category A
DAS, Category B (regular or reserve) DAS, or Category C DAS. Category A DAS could be
used to target any regulated groundfish stock in any area, while Category B DAS may only be
used in specific highly regulated programs designed to minimize the impact of the additional
effort of the Category B DAS. Category C DAS cannot be used anywhere at this time.
Because vessels fishing under a Category A DAS in inshore portions of the Gulf of Maine
(GOM) and an offshore area within the Southern New England/Mid-Atlantic (MA) Regulated
Mesh Area (RMA) caught substantial amounts of cod and yellowtail flounder, and therefore
contributed the most to excessive fishing mortality on these stocks, any Category A DAS used to
land groundfish from these areas is charged at a rate of 2:1. A vessel that fishes outside of these
7

areas and merely transits these areas is not charged DAS at a higher rate. Therefore, any vessel
that plans to catch groundfish in these areas is required to declare their intent to do so at the
beginning of a trip. Vessels that have not declared their intent to fish in the inshore GOM
differential DAS counting area may be in the area due to bad weather, or other circumstances
beyond their control, provided its fishing gear is properly stowed and provided the vessel notifies
NMFS through its VMS. A vessel that declares into the inshore GOM differential DAS counting
area due to circumstances beyond their control is charged Category A DAS at a rate of 1:1 and
not at the differential DAS counting rate of 2:1.
Such area declarations must be submitted via VMS. These declarations identify which vessels
intend to fish for groundfish in these areas and which vessels are merely transiting the areas so
that DAS can be charged at an appropriate rate. Identification of vessels fishing for groundfish
in these areas also facilitates enforcement of this measure.
Category B (regular) DAS Program
As specified above, the primary means by which the NE Multispecies FMP controls fishing
mortality is by limiting and regulating the number and type of DAS that vessels can fish. Any
Category B (regular or reserve) DAS that are used increase the amount of effort in the fishery.
In order to prevent these additional DAS from threatening the mortality objectives of the FMP,
Category B DAS can only be used to target healthy groundfish stocks in special management
programs.
Reporting requirements under this collection include: 1) the notification of NMFS 72 hours in
advance of a Category B DAS trip so that NMFS can plan observer coverage; 2) declaration of
the use of a Category B (regular) DAS via VMS at the start of the trip; and 3) the declaration of a
change to the DAS being used on a trip (i.e., a DAS “flip) if a vessel exceeds the very low
landings limits for stocks of concern.
Notifications for the purpose of observer deployment are required at least 72 hours prior to each
fishing trip via a telephone call to the contracting company tasked with providing observer
coverage. These vessels may be requested to carry on board a NMFS observer or sea sampler
for the purpose of monitoring fishing activities, collection of data, and compliance as stated
under §648.11.
Participants in the Category B (regular) DAS Program are limited to very low catch limits and
quarterly hard TAC amounts for regulated groundfish stocks of concern. Vessels are allowed to
use Category B (regular) DAS if they remain below these limits. If a vessel exceeds these low
limits for any stock, it would be required to “flip” the DAS it is using from a Category B
(regular) DAS to a Category A DAS. This “flip” would be accomplished by sending an
electronic message to NMFS using the installed VMS. The “flip” must take place immediately,
and before the vessel crosses the VMS Demarcation Line. This requirement to “flip” a DAS
ensures that the additional effort from Category B (regular) DAS will be used to target healthy
stocks. The requirements for a vessel to report a DAS flip through the VMS facilitates the
enforcement of this provision. Because the notice must be given before the vessel lands the fish,
it provides an opportunity for the U.S. Coast Guard and NOAA enforcement agents to meet

8

vessels at the pier and determine if they complied with the low landings limits required for the
use of Category B (regular) DAS use.
DAS Transfer Program
In order to reduce effort in the NE multispecies fishery, vessels with valid limited access NE
multispecies permits as well as owners of a valid confirmation of permit history (CPH) who are
not participating in a sectoral allocation program may permanently transfer DAS to another
vessel, provided the selling vessel retires from all state and Federal commercial fisheries and the
purchasing vessel is within 10 percent of the selling vessel’s baseline length overall and 20
percent of the selling vessel’s baseline horsepower (§648.82(l)). These provisions are necessary
to ensure that the transfer of DAS does not unintentionally increase effort and vessel capacity
beyond what has been previously considered. Owners of vessels eligible to transfer DAS are
required to submit a completed application on the appropriate form obtained from the RA.
NE Multispecies Amendment 13 Special Access Programs
Special Access Programs (SAP) are narrowly defined fisheries that allow for increased access to
specific stocks that might otherwise be restricted. Access to these stocks is permitted through
exemptions to regulations that, in the absence of such exemptions, would prevent the full
utilization of the allowable catch for those specific stocks. In doing so, the social and economic
impacts associated with management initiatives are lessened. These access programs allow for
increased yield of target stocks without compromising the efforts to rebuild overfished stocks,
end overfishing, minimize bycatch, or minimize impact on essential fish habitat (EFH).
This collection includes requirements related to three SAPs: 1) the Closed Area II (CA II)
Yellowtail Flounder SAP; 2) the CA II Haddock SAP; and 3) the Closed Area I (CA I) Hookgear
SAP. Vessels may choose whether to use a category A or B DAS prior to each trip into a
particular SAP, and Category B DAS may only be used within the CA I or CA II SAPs.
Therefore, prior to leaving the dock, limited access NE multispecies vessels fishing under a NE
multispecies DAS within the CA II Yellowtail Flounder SAP, the CA II Haddock SAP, or the
CA I Hookgear SAP are required to declare whether they are using a category A or B DAS for
each trip. Since Category B DAS may only be used in currently approved SAPs, the declaration
of DAS category is required to ensure that DAS are accurately monitored and enforced and that
compliance with the provisions of approved SAPs and their possession limit regulations is
maintained.
1) CA II Yellowtail Flounder SAP: Vessels issued a limited access NE multispecies
DAS permit are allowed to take two trips per month into the CA II Yellowtail Flounder
Access Area, unless the SAP is closed by the RA.
2) CA II Haddock SAP: Vessels issued a limited access NE multispecies DAS permit
are allowed an unlimited number of trips under this SAP, unless the SAP is closed by the
RA.
3) CA I Hookgear SAP: This SAP allows limited access hookgear category vessels to
target haddock within CA I of the NE Multispecies FMP from September 16th to
9

December 31st of each fishing year. Observers would be required on all trips into the CA
I SAP. The RA may close this SAP once the SAP’s cod bycatch TAC has been caught.
The collection includes any burden associated with the process for the submission of proposed
SAPs. The application for a new SAP would need to specify the number of vessels or trips that
may occur in the access program; the estimated catch rate of the target and bycatch species; the
type of data reporting to monitor the status of harvest; and the plan of implementation of the
SAP, specifically the means by which mortality on a stock of concern will be minimized. After
reviewing the proposed SAP, the RA, after consultation with the NEFMC and consideration of
public comments received, will make a determination on the proposed SAP and issue a permit
authorization or regulations, as appropriate. This standardized process is required to ensure that
fishing activities allowed under Amendment 13, including SAPs, maintain consistency with the
intent of Amendment 13 to prevent overfishing and help rebuild groundfish stocks. Without such
information, it would be difficult for the RA to determine the nature of proposed SAPs and
whether they would adversely impact species of concern.
Programs Authorized for Federal Permit Holders
There are several programs authorized to the holders of Federal permits, such as exempted
fisheries and vessel monitoring. Several NE Region FMPs allow exemptions from the
regulations for fisheries conducted in a manner already consistent with the goals and objectives
of the FMP. For example, the minimum mesh requirement of the summer flounder fishery is
waived for a fishery that occurs in an area where the gear selectivity measure would have no
significant conservation benefit (§648.104(b)(1)). Similarly, under the NE Multispecies FMP,
many exemptions have been authorized for small mesh fisheries and fisheries not requiring effort
controls as each one is demonstrated to have a negligible effect on the species under protection
(§648.80(a)).
The purpose of fishery exemptions is to allow federally permitted vessels to conduct fisheries
that might otherwise be restricted. In this way, the social and economic impacts associated with
conservation plans are lessened. The NE Multispecies FMP anticipates the need for such
exemptions. As a result, an expedited process exists at §648.80(a)(8) of the regulations for
adding, deleting, or modifying exempted fisheries. According to this measure, if the RA, after
consultation with the NEFMC, determines that the fishery in question would have less than 5
percent bycatch of regulated multispecies and the exemption will not jeopardize fishing mortality
objectives, the exemption may be allowed and added to the list of exemptions under §648.80(a).
Because exemptions provide alternatives to the often restrictive fisheries managed under an
FMP, special permitting (including certificates) or Letters of Authorization (LOA) are often
required to ensure compliance and consistency with the purpose of the exemption. Special
permits and LOAs provide a list of participants, their period of participation, and assist the
agency in compliance monitoring. Special permits and LOAs also serve to resolve confusion
and delay caused when a vessel in an authorized exemption program is boarded by enforcement
officers to determine whether or not the vessel is fishing illegally. Some exemptions requiring
LOAs include the Summer Flounder Small Mesh Exemption (§648.104(b)(1)) and the Winter
Flounder State Waters Exemption (§648.80(i)). Some of the exemptions authorized under
§648.80(a) of the NE multispecies regulations that require an LOA include the Cultivator Shoal
10

Whiting Fishery Exemption (§648.80(a)(6)) and the Nantucket Shoals Dogfish Fishery
Exemption (§648.80(a)(10))..
The following exemptions contain collection of information requirements under OMB Control
No.: 0648-0202, i.e. requests for Letters of Authorization (LOA) from the Regional
Administrator (RA):
• Summer flounder small-mesh exemption (§648.104(b)(1)) for vessels desiring an
exemption from the minimum mesh-size requirements for the summer flounder fishery
• Winter flounder state waters exemption for vessels issued a NE multispecies permit
wishing to land winter flounder in state waters with a mesh size smaller than the
specified minimum
• Midwater trawl exemption (§648.80(d)(2) for vessels wishing to fish with mid-water
trawls or purse seines in the GOM/Georges Bank (GB) Exemption area
• Purse seine exemption (§648.80(e)(2) for vessels wishing to fish with purse seines in the
GOM/GB Exemption area
• Cultivator Shoals Whiting exception for vessels wishing to fish with nets with a mesh
size smaller than the minimum specified mesh size in the Cultivator Shoal Whiting
Fishery Exemption Area
• Nantucket Shoals dogfish exemption for vessels wishing an exemption from minimum
mesh size requirements in the Nantucket Shoals dogfish exemption area
• Southern New England (SNE) Little Tunny Gillnet Exemption (§648.80(b)(9) for vessels
wishing to fish with gillnet gear with a mesh size smaller than the minimum required
mesh size in the SNE Little Tunny Gillnet Exemption Area
• Western GOM and Cashes Ledge closed areas party/charter exemption for vessels
fishing under Charter/Party regulations in GOM and Cashes Ledge closed areas
• GOM/Nantucket Lightship party/charter exemption (§648.81(c)(2)(ii)(A) for owners of
charter/party vessels intending to fish in the Nantucket Lightship Closure Area
• State waters sea scallop exemption program (§648.54); Limited access sea scallop vessels
wishing to participate in either the state waters DAS exemption program or the state
waters gear exemption program must notify the RA by VMS or call-in notification.
Participants in the sea scallop state waters exemption programs using VMS notification
must notify the RA prior to the first trip in the exemption program and prior to the first
planned trip in the EEZ, at an estimated 5 minutes per response. Participants in these
exemption programs using the call-in system must notify the RA at least 7 days prior to
fishing under the exemption. If participants using the call-in system wish to withdraw
from either state waters exemption program prior to the end of the 7-day designated
exemption period requirement, they must also call the RA to notify of early withdrawal.
• Northwest Atlantic Fisheries Organization (NAFO) regulatory area request: Vessels
fishing in the NAFO Regulatory Area that wish to be exempt from NE multispecies
regulations while transiting the EEZ with NE multispecies on board, or landing NE
multispecies in U.S. ports, must request an LOA (5 minutes) in addition to possessing a
valid High Seas Fishing Compliance permit under 50 CFR §300.
• Raised footrope trawl whiting fishery (§648.80(a)(15) for vessels wishing to fish with
nets with a mesh size smaller than the minimum specified mesh size in the Raised
Footrope Trawl Whiting Fishery area
• Authorization to transfer fish at sea; and

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•

Monkfish Southern Fishery Management Area (SFMA) landing limit and minimum fish
size exemption for permitted monkfish vessels that do not have VMS unit that wish to
fish in the Northern Fishery Management Area (NFMA).

Declaration of Intention to Fish Outside of the GOM RMA
Because the possession limits for GOM cod are smaller (800 lb/DAS up to 4,000 lb/trip) than the
possession limit for GB cod (1,000 lb/DAS, up to 10,000 lb/trip), vessels fishing south of the
GOM RMA are currently required to declare intent to fish outside of the GOM RMA via VMS
(§648.86(b)(4)). This declaration exempts the declaring vessel from the GOM cod possession
limits. Vessels fishing under the GOM Cod Landing Exemption may transit from one port to
another provided that the operator notifies the RA prior to transiting (§648.86(b)(3)).
Combined Trips Inside/Outside of the Eastern U.S./Canada Area
An informal understanding was reached between the U.S. and Canada regarding the management
of GB cod, GB haddock, and GB yellowtail flounder resources found within the waters of both
countries within an area known as the U.S./Canada Management Area. Requirements for
American vessels fishing in the U.S./Canada Management Areas rely upon hard TACs for GB
cod, GB haddock, and GB yellowtail flounder. The hard TACs established for GB cod and GB
haddock only apply to fish caught in the Eastern U.S./Canada Area, while the hard TAC for GB
yellowtail flounder applies to any yellowtail flounder caught in either the Eastern or Western
U.S./Canada Area. In the past, fishing vessels were not allowed to fish inside and outside the
Eastern U.S./Canada Area on the same trip because the hard TACs for cod and haddock only
apply to fish caught in the Eastern U.S./Canada Area.
Due to concerns over vessel safety and decreased flexibility that limits a vessel’s opportunity to
meet operational costs when fishing exclusively in the Eastern U.S./Canada Area on a particular
trip, vessels are now allowed to fish in the Eastern U.S./Canada Area (or either SAP within the
Eastern U.S./Canada Area) as well as outside of the Eastern U.S./Canada Area on the same trip.
These vessels must declare their intentions to do so using VMS either prior to leaving port, or
prior to leaving the Eastern U.S./Canada Area. This is referred to as a “flex” trip. Vessels
electing to fish inside and outside of the Eastern U.S./Canada Area on a “flex” trip would be
charged a Category A DAS for the entire trip and any cod or haddock caught would be counted
towards the Eastern U.S./Canada Area TACs, while any yellowtail flounder caught would count
towards the overall U.S/Canada Area TAC. Vessels fishing on a “flex” trip are required to abide
by the most restrictive trip limit for areas fished.
The information collection for the declaration of intent to fish inside and outside of the Eastern
U.S./Canada Area is being interpreted as a modification of the DAS “flip.” As described above,
when a vessel “flips” its DAS declaration from Category B DAS to Category A DAS, it is
informing NMFS that it is changing the DAS being used for that trip. In a similar manner, a
vessel would “flip” its area declaration from exclusively in the Eastern U.S./Canada Area to
being able to fish inside and outside of the Eastern U.S./Canada Area on the same trip.

12

The proposed requirement to declare a vessel’s intent to fish inside and outside of the Eastern
U.S./Canada Area is necessary to effectively monitor and enforce the provision of the areas
fished. In addition, such notifications provide the necessary information to accurately account
for any cod, haddock or yellowtail flounder toward the appropriate U.S./Canada Management
Area hard TACs on such “flex” trips.
Gillnet Tagging Program and Category Designation
Gillnet vessels are required to elect a gillnet category designation by selecting either the “Day
gillnet” or “Trip gillnet” category on a form provided by NMFS (§648.4(c)(2)(ii)). On this same
form, vessel owners who have selected the “Day gillnet” category may request the required net
tags and send a check for the cost of the tags. If the maximum number of tags is not requested
on the initial form, vessel owners may request additional tags at any time during the fishing year
through an additional form. If any tags are lost or destroyed, the RA must be notified as soon as
possible via letter or fax. The vessel owner may also request replacement tags via the same letter
or fax, including a check for the cost of the replacement tags (§648.82(k)). This tagging program
helps enforce limits on the number of nets a vessel is allowed to fish at a given time.
Monkfish Area Declaration and Tagging Program
Vessels participating in the monkfish DAS program that intend to fish solely in the Northern
Fishery Management Area (NFMA) must declare into the area by notifying NMFS
(§648.93(b)(2)). Vessels must declare into this area for a period of not less than 30 days.
In addition, monkfish vessels participating in the monkfish DAS program and using gillnet gear
must obtain gillnet tags on a form provided by NMFS (§648.92(b)(8)). This form is the same
form used to declare a gillnet category and order tags for the NE multispecies gillnet fishery.
American Lobster Trap Area Designation and Tagging Program
Each owner of a fishing vessel that fishes with traps capable of catching American lobster must
declare to NMFS on the annual application for permit renewal which management areas the
vessel will fish in for lobster with trap gear during that fishing season. Any lobster trap fished in
Federal waters must be affixed with a valid lobster trap tag (unless exempt under § 697.26, Area
5 waiver). Trap tags are issued by the RA or by state agencies by agreement with the RA. The
trap tags must be purchased using a NMFS trap tag order form or state equivalent. The purpose
of the trap tags is to enforce the number of traps a vessel is authorized to fish based on the
area(s) designated. Vessel owners are required to report lost, destroyed, or missing tags to the
RA within 7 days of the loss incident, and may request replacement of the lost, destroyed, or
missing tags (§ 697.4). Vessels that possess both an American lobster permit for traps in Area 5
and Federal limited access black sea bass permit have the option to participate in the Area 5
waiver category. By opting for this category, they are allowed a limited possession limit for
lobster while directing trap fishing on black sea bass. They can opt in and out of this category
throughout the permit year by notifying the NE Region Permit Office and completing a permit
application (§ 697.26).

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State Quota Transfer Requests
The summer flounder and bluefish fisheries are currently managed by a commercial quota
allocated on a state-by-state basis. The summer flounder and bluefish quotas are annual
allocations. These two fisheries allow states to request that quota be transferred or combined
between and among states for a particular fishery (§648.100(e), §648.160(f)). Requests are made
in writing to the RA. Quota transfers allow flexibility among the states in managing their
allocations, thereby addressing unforeseen variations and contingencies in the fisheries.
Sector Allocation Proposed Operation Plan
The NE Multispecies FMP contains provisions that would authorize a portion of the overall TAC
of a stock or stocks or DAS to be allocated to a self-selected group of NE multispecies 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
two documents as described below. Once approved, each sector would be required to submit
annual year-end reports describing sector activities for the fishing year. Accordingly, the
following documents would be required:
1) Sector Allocation Proposal: This document specifies the proposed maximum amount
of TAC or DAS to be allocated to sector participants and the sector’s proposed rules for
member vessels. 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).
2) Plan of Operations: 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, or DAS associated with the proposed sector; detailed information
regarding potential redistribution of TAC or DAS within the sector, if applicable; a plan
and analysis of specific management rules for sector participants, including plans for the
enforcement of sectoral 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.
3) Annual Report: Within 60 days of the end of each fishing year, approved sectors
would be required to submit an annual report containing information on the sector’s
activities for the fishing year to both the Council and NMFS. Each report is required to
contain information describing the fishing activities, harvest levels of all federally
managed species, and any applicable enforcement actions attributable to sector vessels in
order to evaluate the performance of each sector. These reports would be used to
determine the effort and fishing mortality associated with sector activities as well as
whether the sector is complying with the provisions of their operation plan and other
requirements specified under § 648.87.

14

There are currently two sectors in operation: the Georges Bank Hook Sector and the Georges
Bank Fixed Gear Sector.
2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
The information requested on the consolidated permit application forms are used by several
offices of NMFS, the USCG, the NEFMC, the Mid-Atlantic Fishery Management Council
(MAFMC), state fishery management agencies, academic institutions, and other fishery research
and management organizations to evaluate current management programs and future
management proposals. In most cases, aggregated summaries are made available, but for law
enforcement, mailings, or resource allocation problems, individual permit information is often
required.
Mailing lists derived from the applications provide NMFS with the assurance of reaching all
concerned constituents with notices of fishery closures, regulatory changes, and other important
information.
Vessel Permit Application Forms
The vessel permit application form is used to collect vessel information. Permits are issued
annually or more frequently at the request of the applicant if changes are necessary. There are
two vessel permit application forms—an initial form for new vessels and a renewal form for
previously permitted vessels.
In section 1 of the permit application, information such as name and address of the owner is used
to identify the applicant and legal ownership of the vessel. This requirement is essential in the
use of permits as a fisheries enforcement tool. For example, violations of catch regulations may
result in the suspension of a vessel’s permit. Since a corporation may own several vessels,
identification of ownership on the application form allows NMFS to sanction the company as
well as the individual vessel or vessel operator for repeated violations of regulations. This
information is also used to provide a mailing list, as mentioned above. The regulations specify
that mailing address is required. Because some forms of delivery require street addresses, the
RA has also determined that a street address is required. The regulations authorize such
requirements to be added as found necessary.
A USCG documentation number, or state registration number when appropriate, serves to further
identify an individual vessel. This number is especially useful in tracking permit histories to past
owners, assuring that qualified vessels obtain proper moratorium permits. That history becomes
more and more important as additional fisheries undergo moratoriums limiting the access of
participants.
Telephone numbers are required to assist NMFS in processing the application. Possessing a
telephone number for an applicant enables questions to be resolved more efficiently and
inexpensively than via correspondence, thus facilitating timely issuance of the permits. Home
15

and principal port information provides managers with information on the distribution of fishing
effort and fishing communities--vital components in evaluation of socio-economic impacts of
fishing regulations.
The vessel information requested in section 2 of the initial application is required for evaluation
of fishing power and capacity and is used by fishery economists and researchers to estimate the
impacts of the fishing fleet on a resource and perform other studies as appropriate. Information
from this database is used frequently throughout the year as studies are needed.
The fishery information requested in section 3 is used by NMFS, the Councils, and other fishery
research and management organizations to evaluate the placement, qualifications, and fishing
methods of participants in the various fisheries. This information defines the type of permit
issued to an applicant and which restrictions apply to that type of permit.
Section 4 of the initial permit application, and section 5 of the renewal application, requires that
the permit holder sign and date the application. A signature is required on all application forms
for legal accountability and protection of the applicant.
The regulations at § 648.4(a)(2)(i)(M) specify that for any vessel acquired after March 1, 1994, a
vessel owner is not eligible to be issued a limited access scallop permit for the vessel if the
issuance of the permit will result in the vessel owner, or in any other person who is a shareholder
or partner of the vessel owner, having an ownership interest in limited access scallop vessel at
the time of permit application. The same provisions are outlined for the LAGC Atlantic scallop
permit holders at § 648.53 (h)(3)(ii). Having an ownership interest includes, but is not limited
to, persons who are shareholders in a vessel owned by a corporation, who are partners (general
or limited) to a vessel owner, or who, in any way, partly own the vessel. Completion of the
Atlantic Scallop Ownership Form permits NMFS to ascertain, in accordance with the regulations
at § 648.4 (a)(2)(i)(M), the percent of ownership of the limited access or LAGC Atlantic scallop
permit applicants.
The renewal application differs from the initial application in that each year a pre-printed
application, based on the most recent permit, is mailed to each permit holder. Any changes that
are necessary can be quickly accomplished simply by noting the changes in the appropriate
“Changes” column. The renewal application enables the vessel owner to renew permits by
simply signing and returning the form. However, if the vessel owner wants to make changes to
the vessel’s permits, or if the applicant no longer owns the vessel, this can be noted on the
application by checking the appropriate section. The information provided is used by the NMFS
permit office to insure that data are accurate and up-to-date.
Vessel Replacement, Upgrades, and Confirmation of Permit History (RUPH)
In order to replace a vessel holding limited access permits with another vessel, upgrade a
vessel’s physical characteristics, or retain a vessel’s limited access permit history, a vessel owner
or authorized representative must complete an RUPH application. The purpose of this form is to
formalize procedures necessary to insure that vessel owners upgrade or replace vessels within
the required parameters (10 percent for length overall (LOA), gross registered tonnage (GRT)

16

and net tonnage (NT), and 20 percent for horsepower). This form also formalizes the procedures
by which vessel owners may retain their vessel’s limited access permit history.
Applicants are asked to indicate the type of action being requested on the first page of the
application. The instructions listed on this page then direct the applicant to the appropriate
section of the application. All applicants must complete the information listed on page 2 of the
application: Name of the old vessel, permit number, USCG or state registration number, current
owner of vessel or permit history, street and mailing address of owner, telephone number of
owner, and owner signature. In cases where the owner no longer owns the vessel, but has
retained the fishing history, a bill of sale stating the retention of history signed by both the buyer
and seller must be submitted.
Section A is to be completed by applicants wishing to replace their old vessel. This section
requests information pertaining to the name of the new vessel, permit number (if applicable),
USCG or state registration number, and the type of limited access permits being transferred.
Applicants must submit proof of size and horsepower for both old and new vessels.
The regulations state that the replacement vessel’s LOA, GRT, and NT may not exceed that of
the original vessel by more than 10 percent (§648.4(a)(E)). In addition, the replacement vessel’s
horsepower must not exceed that of the original vessel by more than 20 percent. The original
vessel is that which first received the limited access permit for a particular fishery. The baseline
is established according to the year when that fishery’s limited access permits were first issued.
Section B is completed by applicants wishing to upgrade the specifications for their vessel
independent of a vessel replacement. A vessel upgrade is the increase in a vessel’s size (LOA,
GRT, and NT) and/or horsepower from the specifications of the baseline vessel. The regulations
state that a 10 percent increase in LOA, GRT, and NT (size specifications), as well as a 20
percent increase in horsepower, are allowed. Vessel size and horsepower may be upgraded
independently of one another. However, increases in LOA, GRT, or NT must be done at the
same time (§648.4(a)(F)). This section asks for only the change in vessel specification(s) along
with submission of verifying documentation.
Section C is completed by applicants wishing to retain their vessel’s limited access permit
history. In the event that the vessel was sold, the applicant must submit a bill of sale signed by
both the buyer and seller stating that the fishing history was retained by the seller. In the
instance the vessel sank or was destroyed, the applicant must submit proof of this in the form of
a USCG marine casualty report (or other proof of casualty) or insurance document. Once the
application and supporting documents are received by NMFS, a Confirmation of Permit History
certificate will be processed and sent to the applicant.
Section D lists the acceptable forms and sources of verification for vessel specifications, vessel
ownership, vessel history retention, and vessel sinkage or destruction. This information is
necessary so that the regulations can be administered as they were written and to further the
conservation goals and objectives of these fisheries (§648.4(a)(1)(i)(F)).
The number of vessel owners replacing, upgrading, or retaining their vessel’s fishing history
varies depending on circumstance. Thus, it is difficult to estimate how many vessel owners will
need to complete an RUPH application on an annual basis.
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Dealer/Processor Application Forms
Dealer permits are issued annually or more frequently if changes are requested by the applicant.
There are two types of applications, initial and renewal. Section 1 of the Dealer permit
application requests information on the dealer including vessel permit number, company name,
owner name, company street and mailing address, and telephone and FAX number were
applicable. In section 2, the applicant selects the fisheries for which he/she wants dealer permits.
Section 3 is the signature block section where the applicant attests to the truth and accuracy of
the information provided. Dealer information can be used by enforcement officers to check for
regulatory infractions in all of the fisheries, and by NMFS scientists and economists as a basis
for sampling. The dealer permit requirement ensures complete reporting from dealers for
federally permitted fisheries. Reports furnished by permitted dealers provide important
information on the volume, value, and distribution of these high values, overfished stocks at the
point of first purchase.
Operator Application Forms
All operators of federally permitted vessels, except summer flounder vessels, are required to
have a Federal operator’s permit. These permits are renewed every three years. The Operator
Permit Application requires that the applicant provide the following information: Name,
address, city, state and zip code, telephone number, birth date, hair color, eye color, height, and
weight. The applicant must include one passport-sized photograph with their application to
ensure positive identification and aid in enforcement actions. The vessel operator permit has
enabled NMFS to send notices of proposed or approved regulatory changes to vessel operators,
as well as vessel owners, improving the flow of information to the industry and their ability to
stay informed of regulatory changes. In addition, the issuance of permits to vessel operators
serves as a compliance tool.
VMS/Call-in Programs
The data collected through the DAS effort monitoring program of the sea scallop, NE
multispecies, and monkfish fisheries are used in many analyses by NMFS, the Councils, states,
Departments of State and Commerce, OMB, Corps of Engineers, Congressional staffs, and the
fishing industry and public. Vessels are allowed to fish for Atlantic sea scallops, NE
multispecies and monkfish only for a specific number of DAS. The VMS accounts for this
fishing activity, and the information is used by both the vessel owners and agency
representatives to monitor and enforce DAS limits. The information gather from a vessel’s
declaration of a surf clam, ocean quahog, or Maine mahogany trip enables NMFS to monitor the
individual transferable quota (ITQ) program, the limited access Maine mahogany fishing
program, and area based regulations. Herring vessels use VMS to accurately monitor which of
four fishing areas they are fishing for each trip. This is necessary because there is a cap on catch
that can be harvested from each of these areas. Furthermore, the call-in notification for NE
multispecies vessels declaring their required 20-day spawning season block of time out of the
NE multispecies fishery, and day gillnet vessels declaring their blocks of time out of the nonexempt gillnet fishery, is used by NMFS as an enforcement tool.

18

Vessels required to have an operational VMS unit on board must complete a form supplied by
NMFS verifying that a VMS unit has been installed on the vessel and is operational. The form
requests information regarding vessel name, Federal permit number, vessel documentation or
state registration number, information (name, address, and telephone number) on the installing
dealer, date of installation, serial number of unit, and e-mail address of vessel. The form also
requests responses to questions regarding whether or not the unit is operational, if operating
instructions have been provided to the vessel owner, and if the vessel owner has been trained on
use of the VMS unit by the vendor. Once the form has been completed, the vessel owner or
authorized representative signs and dates the form, and returns it to the address listed on the
form. In addition, in order to ensure VMS unit connectivity, all vessel owners required, or
choosing to use, VMS units would be required to call NMFS OLE NER to confirm connectivity
of new and replacement VMS units.
Monkfish, red crab and sea scallop vessels subject to call-in requirements must provide the
following information at the start of a fishing trip: Owner and caller name and phone number,
vessel name and permit number, type of trip to be taken, port of departure and verbal
confirmation that the vessel is beginning a trip. Upon the vessel’s return to port, the vessel
owner or owner representative must call in with the following information: Owner and caller
name and phone number, vessel name and permit number, port of landing and verbal
confirmation that the vessel is ending a trip.
Scallop vessels may be exempted from DAS, gear, and possession limit requirements when
fishing in state waters under a state management program that has been determined by NMFS
not to jeopardize the fishing mortality/effort reduction objectives of the Sea Scallop FMP.
Scallop vessels wishing to participate in the state waters exemption program are required to
notify the RA by VMS prior to the vessel’s first trip under this exemption program, and prior to
the vessel’s first planned trip back in the EEZ. Scallop vessels using call-in notification must
notify the RA at least 7 days prior to fishing under the exemption program and provide the
following information: Owner and caller name and address, vessel name and permit number,
and beginning and end dates of the exemption period. Vessels using the call-in system must also
remain under the exemption for a minimum of 7 days. If such vessels remain in the exemption
for a minimum of 7 days, but want to withdraw earlier than the designated end of the exemption
period, they must call the RA and notify early withdrawal and provide the following information:
Vessel name and permit number, name and phone number of the caller, and a statement that the
vessel is withdrawing from the exemption.
This system of call-in notification will ensure that scallop boats fishing under the state
exemption program in Maine, Massachusetts, or New Hampshire remain within the state’s
waters to be exempt from the DAS, gear, and possession limit restrictions. The purpose of this
exemption is to allow Federal scallop permit holders to compete in the state waters fishery on a
more equitable basis where Federal and state laws are inconsistent, and to encourage general
category vessels to fish under the exemption program and continue to submit catch and effort
data. Not implementing an exemption may provide an incentive for general category vessels that
target scallops to cancel their Federal permits, thereby exempting them from all Federal
requirements including reporting of landings while fishing in state waters. These vessels would
be able to re-apply for a general category permit at any time. It is difficult to anticipate the

19

enrollment in this exemption program since it is dependent directly on the independent vessel
owner and frequency of participation.
Vessels participating in the U.S./Canada Area SAPs, specifically the CA II Yellowtail Flounder
SAP, the CA II Haddock SAP, or the CA I Hookgear SAP would be required to declare which
category DAS they would be operating under prior to each fishing trip. This information would
be required to be submitted by those vessels participating in the SAPs every time they intend to
operate under the requirements of these SAPs. This information would be used by NMFS
enforcement personnel to monitor and track DAS usage and insure compliance with the
appropriate regulations.
The applications for the up to 10 Canadian vessels that will be required to install VMS are
covered under OMB Control No.: 0648-0089 (Foreign Fishing Vessel Permit Applications).
Operation of VMS on Canadian vessels participating in the Atlantic herring fishery as
transshipment vessels will allow monitoring of these vessels and their fishing effort.
Vessel Monitoring System Power Down Exemption Form
Vessels carrying permits that require VMS and vessels choosing to use VMS may apply for a
power down exemption to stop position transmission under certain provisions provided the
vessel would be out of the water for a minimum of 72 hours, or at dock/mooring and not
engaging in any fisheries for a minimum of one month. The information required on the VMS
Power Down Exemption Form is necessary to maintain compliance with area closures and DAS
provisions. The form requests the vessel name, Federal permit number, vessel documentation or
state registration number, duration of the exemption period (the dates that the VMS unit will be
turned on and off), and either 1) the shipyard address where the vessel will be out of the water
for more than 72 consecutive hours, or 2) the port location at which the vessel will be
docked/moored for a minimum one month period. There is no limit to either the length of time a
VMS unit may be turned off or the number of times a vessel may participate in this program.
Good Samaritan DAS Credits
Limited access vessels fishing under DAS requirements that have assisted in USCG search and
rescue operations or assisted in towing a disabled vessel may apply for Good Samaritan credits
(§648.53(e)). This provision enables such vessels to not accrue DAS for the documented time of
their assistance efforts. Vessel may request DAS credit for time assisting USCG search and
rescue operations by submitting a written request to the RA. This written request must contain at
least the following information: Date and time when the vessel began assisting in search and
rescue activities and date and time when the vessel terminated such activities. Vessels may, in
theory, assist in search and rescue activities multiple times per year and request DAS credit for
such efforts.
DAS Credit for Standing by an Entangled Whale
Vessels standing by an entangled whale would be required to notify the USCG and/or the Center
for Coastal Studies of the location of the entangled whale and that the vessel intends to stand by
the entangled whale until a response team arrives. The vessel would be required to remain
20

available to answer questions on the condition of the animal, possible species identification,
severity of entanglement, etc., and take photographs of the whale, if possible. Once a response
team arrives or the vessel is notified that a response team is not available to conduct a rescue
operation, the vessel may discontinue standing by the entangled whale and can resume fishing
operations. The vessel could then request DAS credit for time spent standing by the entangled
whale by submitting a written request to the RA. This written request must contain at least the
following information: Date and time when the vessel began its stand-by status, date of first
communication with the USCG and/or the Center for Coastal Studies, and date and time when
the vessel terminated its stand-by status. Vessels may, in theory, stand by multiple entangled
whales per year and request DAS credit for such efforts.
Information provided by the vessel to the USCG and/or the Center for Coastal Studies would be
used by these organizations to identify the species of the whale, track the position of the animal,
and monitor the condition of its entanglement. This information would then be used by NMFS
OLE staff to verify that the vessel had stood by an entangled whale and to provide DAS credit
for time spent standing by an entangled whale, if appropriate.
Differential DAS Counting
Any vessel issued a limited access NE Multispecies DAS permit and intending to fish for
groundfish in the inshore GOM or an offshore area of the SNE/MA RMA is required to declare
their intent to fish in these areas via VMS prior to each trip. Differential DAS counting in
specific areas in the inshore GOM and an offshore area of the SNE/MA RMA was established to
ensure that the fishery continues to rebuild overfished groundfish stocks. Requiring vessels to
declare their intent to fish within these areas, or to declare that they are in these areas due to
circumstances beyond their control, via VMS facilitates administration and enforcement of this
measure by allowing NMFS OLE to identify vessels intending to fish in these areas so that the
appropriate DAS charge rate may be applied to such vessels (i.e. a rate of 2:1 would apply only
to vessels intending to fish in these areas). The use of VMS and a declaration into these
particular areas ensures that vessels DAS would be properly charged and that measures designed
to reduce fishing effort on stocks that require the most protection are effectively administered.
Category B (regular) DAS
Category B DAS may only be used by vessels fishing for NE multispecies in specific
circumstances. Therefore, it is important to determine which category DAS a vessel is using in
order to accurately monitor compliance with the regulations. Vessels participating in the
U.S./Canada Area SAPs, specifically the CA II Yellowtail Flounder SAP, the CA II Haddock
SAP, or the CA I Hookgear SAP are required to declare which category DAS they would be
operating under prior to each fishing trip. This information is required to be submitted by those
vessels participating in the SAPs every time they intend to operate under the requirements of
these SAPs. This information is used by NMFS enforcement personnel to monitor and track
DAS usage and insure compliance with the appropriate regulations.
Such vessels are required to use VMS and notify the NMFS Observer Program via telephone of
its intent to participate in the program at least 72 hours prior to the start of a trip into this
program, declare its intent to fish in this program via VMS prior to the start of the trip, and flip
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its DAS should it catch more groundfish stocks of concern than allowed. A vessel is not
restricted by a limit on the number of trips that may be taken in this program and may participate
in this program throughout the year, provided the program is not closed due to attainment of a
quarterly TAC in a particular stock area, the quarterly limit on the number of DAS has not been
used, or due to an assessment by the RA that declares that this program is not meeting the
objectives of the FMP.
The use of VMS in the Category B (regular) DAS Program allows NMFS staff to monitor vessel
activity and enforce the provisions of the FMP. Notification to the Observer Program via
telephone and the declaration of its intent to fish in this program via VMS ensures that the
NMFS staff can identify a pool of vessels intending to participate in this program so that the
proper amount of observer coverage can be applied to this program. Notification of a DAS flip
every time a vessel exceeds the restrictive trip limits proposed for this program is essential to the
proper monitoring of DAS use and compliance with the appropriate regulations by NMFS Law
Enforcement staff. Further, notification of a DAS flip is used by staff within the FSO to account
for catch attributable to this program. As detailed in the information collection submission for
OMB Control No.:0648-0212, once a vessel flips from a Category B (regular) DAS to a
Category A DAS, all catch associated with that trip is no longer accounted towards the hard
TACs for groundfish stocks of concern specified for this program. Therefore, it is important to
determine what category DAS a vessel is using to order to accurately monitor compliance with
the regulations and accuracy of DAS use and catch distribution.
Application to Permanently Transfer NE Multispecies DAS
The information submitted on the application to permanently transfer NE Multispecies DAS
enables NMFS enforcement personnel to accurately track DAS allocations. Vessels that are
transferring their DAS must permanently leave all fisheries, and therefore submit the required
information, one time. The form requires the following information from the transferor (person
transferring DAS) and the transferee (person receiving DAS): owner name, vessel name, Federal
permit number and vessel documentation or state registration number. In addition, the form asks
the total price paid for the transferred DAS (for statistical purposes) and requires the transferee
to specify whether it would like to use the smaller baseline specifications of the two vessels
participating in the transfer, or if it would like to utilize the one-time allowable upgrade for the
permit in taking the larger baseline of the two vessels participating in the transfer. Both the
transferor and transferee must sign and date the form.
NE Multispecies Special Access Programs
NMFS OLE would use geographic data obtained from the polling of vessels as well as area and
DAS declaration information provided to identify participants in the fishery, including those
participating in SAPs or the DAS Category B (regular) program, to properly calculate DAS
usage and to enforce the provisions of each program. Declaration of gear type is used by NMFS
OLE to accurately track DAS usage.
Vessels may participate in SAPs or the DAS Category B (regular) program multiple times
throughout the fishing year. However, the RA may limit the number of trips into the SAPs, or
close areas under these SAPs or the Category B (regular) DAS Program under specific
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circumstances. DAS and area declaration information would be used by enforcement personnel
to monitor compliance with effort and area restrictions. This information is currently being used
to track and monitor vessel position, DAS use, and the number of trips into all of the current
SAPs, and was used to monitor vessel activity in the Category B (regular) DAS Program.
Amendment 13 also created a provision for industry participants and members of the public to
submit proposed SAPs. This process, and the information required, would be used by NMFS to
determine if proposed SAPs meet the objectives and goals of the NE Multispecies FMP, would
not increase mortality on stocks of particular concern, and would ensure that the biological
impacts of the target stock falls within the range of the impacts analyzed under Amendment 13.
The RA, after consultation with the Council, would use this information to determine if the
issuance of specialized permits, including LOAs, authorizing the proposed SAP would be
appropriate. No limit to the number of SAPs that may be proposed has been set.
Exemptions Under §648.80(a) and Other Exemptions
In addition to permits, this family of forms includes several notification requirements for NE
multispecies, sea scallop, and summer flounder exemption programs, as well as compliance with
the reporting regulations for all vessel permit holders.
Federally permitted vessel operators/owners seeking to participate in the exemption programs for
all fisheries where such programs are authorized, may be required to obtain either an LOA or an
exemption permit/certificate for their vessel from NMFS during the exemption season. For
admittance into an exemption program, the entrant may be required to notify NMFS of intent to
participate, or provide entry and exit notice via a telephone call or VMS. The required
information is generally collected verbally through either a telephone call or in person, and no
physical application is actually completed. These LOAs or exemption permits are to be kept on
board the vessel during the extent of program participation in order to verify enrollment in the
exemption program. No notification or special permit is required for certain exemption
programs if it has been deemed unnecessary for enforcement and compliance monitoring
purposes.
The information collected for participation in exemption programs consists of vessel owner
name, NMFS permit number, vessel name, and participation period. Vessels wishing to
withdraw from a program, after the minimum participation period has been met, must provide
NMFS with similar information via phone call or a withdrawal form.
Fishing outside of the GOM RMA
The declaration of the intent to fish outside of the GOM RMA via VMS prior to each trip is
necessary to identify which NE Multispecies vessels are exempt from the GOM cod trip limits.
Any vessel intending to fish outside of the GOM RMA would be required to declare its intent to
do so prior to each fishing trip via VMS. This information is used by NMFS OLE to enforce the
GOM cod trip limits.

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Gillnet Tagging Program and Day Gillnet Category Designation
Vessel owners must complete a gillnet category designation/net tag order form when applying
(either through renewal, replacement, or transfer) for a limited access NE multispecies permit.
The information requested on this form enables NMFS to monitor and track the level of
participation in the NE multispecies gillnet fishery, and its effect on effort reduction and stock
rebuilding goals of the NE Multispecies FMP. The first portion of the form requires that gillnet
vessels select one of two gillnet category designations: “Day gillnet” or “Trip gillnet.” Owners
that declare their vessel as a “Day gillnet” vessel are subject to a maximum number of gillnets,
currently not to exceed 80 roundfish nets and 160 flatfish nets. Vessel owners who elect to fish
in the Day gillnet category must also purchase the appropriate number of uniquely numbered net
tags--currently up to but not exceeding 160 tags. Roundfish nets are required to be tagged with
two tags, while flatfish nets require only one tag. If any of the original tags are lost (e.g.,
weather, gear conflicts), the vessel owner or representative must report the lost tags as soon as
possible via letter or fax to the RA. The vessel owner may also make a request for replacement
tags in the same letter or fax to the RA, including a check for the cost of the replacement tags. If
the maximum number of tags is not requested on the initial form, vessel owners may request
additional tags at any time during the fishing year via an additional form. To aid in enforcement
and administration of the program, gillnet vessel owners are required to carry a Gillnet Fishing
Certificate onboard their vessel. This Certificate identifies the category designation in which the
vessel is enrolled and, if enrolled under the day gillnet designation, the amount of tags and tag
numbers that were issued.
The use of a restricted number of tags prevents uncontrolled increases in the number of nets used
by vessel operators in response to reductions in DAS. Day gillnet vessels typically return to port
each night, after trips of 12 to 15 hours. As DAS are calculated in hours away from port, these
trips resulted in more DAS than specified in the reduction schedule (e.g., two trips of 12 hours
equaled one 24-hour DAS). Under this requirement, if the vessel declares into the Day gillnet
category, each trip under a NE multispecies DAS lasting between 3 and 15 hours is counted as a
minimum of 15 hours against the annual DAS allocation. Trips lasting more than 15 hours are
counted in hours from the time the vessel called into a DAS until it has returned to port and
called out of a DAS. Conversely, trip gillnet vessels typically remain at sea for one or more days
at a time. As a result, each trip under a NE multispecies DAS is counted in hours from the time
the vessel called into a DAS until it has returned to port and called out of a DAS.
Vessel owners that declare their vessel a “Trip gillnet” vessel are required to bring all gear to
port at the end of each fishing trip. On the other hand, Day gillnet vessels can leave their gear in
the water, but must declare 120 days out of the gillnet fishery, in minimum blocks of 7 days. At
least 21 of these days must be taken during the period from June 1 through September 30. The
purpose of the 120 day period out of the gillnet fishery is to ensure that operators of Day gillnet
vessels remove their gear from the water for a significant period of time.

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Monkfish Gillnet Area Declaration and Tagging Program
Prior to making a trip, vessels with limited access monkfish permits will be required to declare,
for a 30 days or longer period of time, into the Northern Fishery Management Area (NFMA) to
fish under the less restrictive size limit (11-inch tail-length) and trip limits. Vessels do not have
to declare into the NFMA if they choose to fish under the more restrictive 14-inch minimum size
limit. This declaration will require that the vessel fish only in the NFMA during the 30-day
period beginning with the date of declaration. If the vessel has not made a NFMA declaration, it
will be presumed that the vessel fished in the Southern Fishery Management Area (SFMA)
during the trip and the more conservative restrictions will apply to the entire trip. A vessel that
has declared its intent to fish only in the NFMA may transit the SFMA provided that it complies
with the transiting provisions described in section 5.4 of Monkfish FMP and §648.94(e). The
area declaration is needed to ensure that vessels do not fish in the SFMA and transit the NFMA
to land monkfish under the less restrictive measures that apply in the NMFA. The minimum 30day declaration period is necessary to improve enforceability. Otherwise, vessels could rapidly
switch fishing areas leading to confusion and poor compliance with the more restrictive
measures of the SFMA.
Vessels holding limited access monkfish permits while fishing under a monkfish DAS are
required to tag all gillnets being fished, up to a maximum of 160 gillnets. As a result, owners of
vessels holding a limited access monkfish permit must complete the above mentioned gillnet
category designation/net tag order form. If the vessel holds a limited access NE multispecies
permit, vessel owners may complete this form to comply with NE multispecies and monkfish
gillnet tagging requirements simultaneously. However, vessels issued a limited access NE
multispecies permit designated in the Trip gillnet category that also hold a limited access
monkfish permit are not required to tag gillnets used solely under a NE multispecies DAS. The
purpose of this requirement is to control and monitor gillnet effort in the directed monkfish
fishery.
American Lobster Trap Area Designation and Tagging Program
Lobster vessels using trap gear are required to designate trap fishing areas and affix trap tags to
their traps. Permit holders designate their trap areas for the year on the annual permit renewal
application. The tags must be purchased using the Lobster Trap Tag Order Form. Part A of the
form requests the following information: Permit holder name, address, city, state, zip code,
telephone number, vessel name, Federal permit number, and vessel documentation number or
state registration number. In part B, the permit holder or authorized representative specifies the
number of tags being ordered, the total cost of the tags, and the method of payment. In part C,
the permit holder or authorized representative signs and dates the form. Federal lobster permit
holders with lobster licenses in states that have a trap tag agreement with the RA must purchase
their tags using the equivalent state form. In all cases, Federal permit holders are provided
annually with information from NMFS on how to purchase their trap tags. The purpose of the
trap tagging program is to enforce the number of traps that a vessel is authorized to fish based on
the lobster trap fishing areas designated on the permit.

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State Quota Transfers
The summer flounder and bluefish regulations allow one or more states to transfer all or part of
their annual commercial quota. In addition, two or more states implementing a state commercial
quota for summer flounder or bluefish may request approval from the RA to combine all or part
of their quotas into an overall regional quota. The intent of these regulations is to provide a
mechanism within the overall coastwide quota to give the states flexibility in quota management,
in order to respond to changes in landing patterns or emergency situations. The states wishing to
utilize these provisions must apply to the RA by a letter stating their intentions. Requests for
transfer or the combination of commercial quotas for summer flounder or bluefish must be made
by individual or joint letter(s) signed by the principal state officials with marine fishery
management responsibility and expertise, or his/her previously names designee, for each state
involved. The letter(s) must certify that all pertinent state requirements have been met and
identify the states involved and the amount of quota transferred or combined (§648.100(d),
§648.120(e), §648.160(f)). Such requests must meet the approval of the RA. The frequency of
requests is dependent upon supply and demand of a state’s summer flounder or bluefish quota.
Sector Allocation Proposed Operational Plan
A sector allocation proposal, operation plan, and the accompanying analytical analysis included
within each document is required to adequately describe the proposed sector operations in order
for the Council, in consultation with NMFS, to determine whether the sector plan meets the
requirements of Amendment 13 and does not jeopardize efforts to rebuild groundfish stocks.
Sector proposals that do not meet the identified requirements may not be approved.
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. NMFS 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.
After the initial permit issuance, permit renewal has been made as simple as possible and
currently feasible for both the public and the issuing office. The information obtained from
current permits is used to prepare a computer-generated, pre-printed renewal permit, which is
sent to the permit holder for updating. If there are no changes in the information required on the
permit, renewal requires only the applicant’s signature. This feature minimizes the reporting
burden on the public as well as the administrative burden on the agency.
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Permit information and all initial permit applications are posted as fillable Adobe Acrobat
documents (PDF file format) on the NE Regional Office’s (NERO) web site:
http://www.nero.noaa.gov. Posting such information on the internet makes it widely available to
the public, thereby reducing both public and administrative burden. The Initial Vessel
Application, Vessel Operator Permit Application, RUPH Application, and Lobster Trap Tag
Order Form, along with their respective instructions, can currently be found at
http://www.nero.noaa.gov. At this time, permit applications, with signature and accompanying
documents, must be mailed.
Automated reporting has been made available via VMS for fishing vessels required to have the
system as a condition of the permit and is available as an option for other fishery permits with a
DAS notification requirement. The cost of the VMS unit, which continues to decrease, is
justified due to the scope of the fishing activity.
No other improved information collection technology has been identified to further reduce the
burden associated with the Permit Family of Forms. Every effort will be made in the future to
use computer technology to reduce the public burden.
4. Describe efforts to identify duplication.
The information to be collected through the issuance of permits or through vessel monitoring is
not duplicated elsewhere. The Magnuson-Stevens Act’s operational guidelines require each
FMP to evaluate existing state and Federal laws that govern the fisheries in question, and the
findings are made part of each FMP. Council membership includes state and Federal officials
responsible for resource management in their area. In addition, each FMP undergoes extensive
public comment periods where potential applicants review the proposed permit application
requirements. Therefore, NMFS is confident that it is aware of similar collections if they exist.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize the burden.
Only the minimum data needed to meet the permit objectives are requested from all respondents.
Since most of the respondents are small businesses, separate requirements based on the size of
business have not been developed. Detailed instructions are included with the application to
help facilitate proper completion of the form.
NMFS has currently certified three vendors to provide VMS service to vessels participating in
the fisheries that require VMS as a condition of their permits. Each vendor offers comparable
equipment and services over a range of prices. This reduces the burden on the public by
increasing competition among vendors, thereby decreasing costs to the fishing industry to obtain
and operate a VMS unit. Further, the increased variety of VMS units may allow vessel
owners/operators to select the most economical and efficient unit to purchase, therefore
minimizing costs associated with VMS.

27

6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
The consequences of not conducting the collection of information described in Questions 1 and 2
would be immense. This collection of information in necessary for a variety of reasons, from
monitoring fishing effort and catch, to collecting valuable fishery information (e.g., fishing power
and gears used). Furthermore, reducing the frequency of collection would also compromise the
ability to monitor vessel activities, in turn affecting the enforcement of management measures.
To the extent practicable, frequency of information collection under the Permit Family of Forms
has been minimized. To reduce the frequency any further would compromise the intent of each
collection of information requirement. For example, less frequent monitoring of vessels fishing
under the NE multispecies and monkfish DAS programs would reduce the effectiveness of the
system in helping prevent violations of DAS controls. Other examples are discussed below.
An annual request for tags is required of vessel owners participating in the NE multispecies
gillnet, monkfish gillnet, lobster trap, and surf clam and ocean quahog fisheries. It is not useful to
conduct this collection less frequently since it is expected that tags will routinely be lost as part of
doing business. Furthermore, the number of nets and traps being fished by a vessel frequently
changes. In addition, annual adjustments allow for further reductions in the number of gillnets
and lobster traps to be implemented if such management measures should prove necessary. Surf
clam and ocean quahog tags are not reusable by design because they are associated with the use
of a portion of an annual quota allocation.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
Some of the requirements may not be consistent with OMB guidelines with regard to the
reporting frequency. While OMB guidelines suggest that respondents not be required to report
more often than quarterly, requirements for VMS for NE multispecies, herring, scallop and surf
clam/ocean quahog, and the call-in/call-out for blocks of time out of the non-exempt gillnet
fishery will require more frequent reports.
Vessels that intend to target NE multispecies, monkfish, sea scallops, surf clam/ocean quahog
and herring, or exceed the bycatch allowances in the NE multispecies fishery must declare via
VMS that they will be on such a trip prior to leaving and upon returning to port. The declaration
requirement is needed to keep an accounting of DAS usage, and therefore necessary to reduce
fishing mortality by limiting total fishing activity. Similarly, call-in requirements for the
required blocks of time out of the non-exempt gillnet fishery and the required 20-day spawning
season block are needed to ensure that vessels are complying with these measures.

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8. Provide information on the PRA Federal Register Notice that solicited public comments
on the information collection prior to this submission. Summarize the public comments
received in response to that notice and describe the actions taken by the agency 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 Federal Register Notice soliciting comment on the renewal of the NE Region Permit Family
of Forms was published on July 2, 2009 (74 FR 31689). No comments were received.
As described in the response to Question 4, consultation with potential applicants is assured by
the FMP regulatory process. Experience with the various programs, some of which have been
operating since 1981, provides a continual feedback mechanism to NMFS on issues and
concerns to the applicants.
9. Explain any decisions to provide payments or gifts to respondents, other than
renumeration of contractors or grantees.
No payment or gift will be made to respondents; however, respondents may use tax-exempt
Capital Construction Fund monies to purchase VMS devices because of their safety benefits.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
All data will be handled in accordance with NOAA Administrative Order 216-100,
Confidentiality of Fisheries Statistics, and will not be released for public use except in aggregate
statistical form (and without identifying the source of data, i.e., vessel name, owner, etc). In
addition, any information collected under the Permit Family of Forms would be considered
confidential and would not be disclosed except as provided in Section 402(b) of the MagnusonStevens Act.
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 involved in this collection of information.
12. Provide an estimate in hours of the burden of the collection of information.
A full summary of the burden estimate involved in this collection of information can be found in
Table 1.
Vessel, Dealer and Operator Permits
An initial vessel permit application (1,200 responses annually) requires an estimated 45 minutes
to complete (8,000) while preprinted vessel permit renewal forms require an estimated 30
29

minutes per response (1,200). Initial dealer permit applications (134) take an estimated 15
minutes to complete, while preprinted dealer permit renewal forms require an estimated 5
minutes to complete (1,000). The initial and renewal vessel operator permit applications are
estimated to take an average of 1 hour to complete due to the color photograph submission
requirement (700 and 10,500). Limited access vessel upgrade or replacement applications take
approximately 3 hours to complete (600). Applications for retention of limited access permit
history require an estimated 30 minutes (100). The total annual time burden for all
permitting applications is estimated at 18,067 hours.
VMS/Call-in Requirements
It is estimated to take NE multispecies and monkfish vessels approximately 3 minutes to declare
of blocks of time out of the gillnet fishery (2,000 responses), for a total of 100 hours. It is
estimated to take 2 minutes per call for monkfish and occasional scallop vessels to notify of
departure and landing (67 hours).
VMS Installation
In June 2009, there were 1,274 vessels registered in the OLE system. This figure counts each
vessel with a registered VMS unit aboard only once. The total number of vessels required to use
VMS included in this submission, 1,587 vessels total, includes all vessels in our records that
hold permits that require VMS use. This number is slightly higher than that describing only
vessels registered in the OLE system.
It is estimated that there will be 550 VMS unit replacements per year over a 3 year period. This
figure assumes that 1/3 of all vessels in our records that hold permits that require VMS will need
to replace their VMS unit each year (550 hours). The estimated burden associated with the
connectivity confirmation requirement is 5 minutes, and the VMS certification form takes an
estimated 10 minutes to complete. The annual burden associated with completing the
required VMS certification form and confirming a VMS unit installation via phone call
with OLE would be 138 hours ([550 vessels x 5 minutes per VMS Certification Form] + [550
vessels x 10 minutes per connectivity confirmation phone call]).
VMS monitoring in the sea scallop, NE multispecies, herring, monkfish and surf clam/ocean
quahog fisheries is automated and thus there is no public burden.
VMS Power Down Exemption
Vessels required to have a fully functional VMS unit at all times may request to turn off the
VMS (power-down exemption) at approximately 30 minutes per 3,174 requests, for a total
burden of 1,587 hours.
For the 10 Canadian herring transport vessels that will begin using VMS, there will be two
responses associated with installation: 1) completion of the VMS Certification form and 2) a
telephone call to notify OLE of activation. The average burden including installation would be 1
hour and 20 minutes (a total of 20 responses and 13 hours). For each trip, two email messages
30

with information on the vessel, days and times of arrival into and departure from the US EEZ,
and description of fishing activities, will need to be transmitted via VMS. The estimated burden
for each of the 20 emails messages is 15 minutes per message, for a total burden of 5 hours.
Overall, the time burden for Canadian herring transport vessel VMS would be 18 hours.
Area and DAS Declaration
Groundfish Vessels fishing under Multispecies DAS: In 2008, approximately 25,000 trips were
taken under a groundfish DAS. Since not all of the allocated DAS were used during 2008, and
because of continued effort reductions in the fishery, there is an incentive to maximize the
utilization of DAS allocated. Therefore, a conservative estimate of the number of trips expected
was determined to be approximately 30,000 trips/year. Assuming that each DAS declaration
takes approximately 5 minutes (0.083 hours), the yearly burden associated with these
declarations is estimated at 2,490 hours.
GOM Differential DAS Heaving-to: #12: A vessel that has not declared its intent to fish in the
inshore GOM Differential DAS Area but is in the area due to adverse weather circumstances
beyond its control must declare that it is neither fishing nor transiting this area via VMS--what is
termed as a heaving-to declaration. During the 2004 fishing year, a total of 529 vessels took a
total of 14,043 trips into the GOM RMA. Assuming that one percent of the yearly trips into the
GOM RMA would be in the inshore GOM Differential DAS Area for circumstances beyond its
control, vessels operating in such a manner would need to submit approximately 140 VMS
declarations indicating that they are neither fishing nor transiting while in this area on a yearly
basis. Assuming that each declaration takes approximately 5 minutes (0.083 hours) per
response, the annualized burden for such declarations is estimated at approximately 12
hours.
Herring vessels are required to notify the NMFS OLE of the time and port of landing so that
enforcement staff could observe offloading operations for groundfish bycatch. This notification
would be in the form of an email using VMS. It is expected that this notification would take
approximately five (5) minutes. Assuming that limited access herring vessels take a total of
2,775 trips per year, this provision would result in a total of 2,775 notifications per year, or 230
hours of additional burden.
Good Samaritan DAS Credits
Limited access vessels fishing under DAS requirements that have assisted in USCG search and
rescue operations or assisted in towing a disabled vessel may apply for Good Samaritan DAS
credits at a burden of 30 minutes per application, a total annual burden of 10 hours, assuming
20 responses.
DAS Credit for Standing by Entangle Whales
Vessels standing by an entangled whale would be required to notify the USCG and/or the Center
for Coastal Studies of the whale’s location and that they are intending to stand by the whale until
the arrival of a response team. This notification would likely occur through the use of Very high
31

frequency (VHF) radio. Each notification is expected to take approximately ten minutes per
response. Vessels standing by an entangled whale are estimated to communicate with either the
U.S. Coast Guard or the Center for Coastal Studies every hour. The average time spent by a
vessel standing by an entangled whale is estimated at 12 hours. Assuming that each
communication takes approximately 10 minutes per response, the overall burden associated with
this provision amounts to approximately 2 hours per event. There were 153 confirmed large
whale entanglements between 2003 and 2007 (an average of 31 per year) reported by a variety of
vessels, including groundfish vessels. Assuming that vessels issued a limited access NE
multispecies groundfish permit report 30 percent of these entanglements results in 10 such
reports per year. Therefore, an estimated annualized burden for this provision would be 20
hours.
Vessels may request a DAS credit for time spent standing by an entangled whale through a
written request to the Regional Administrator. Each request must include at least the following
communication: Date and time when the vessel began its stand-by status, date of first
communication with the USCG and/or the Center for Coastal Studies, and date and time when
the vessel terminated its stand-by status. It is estimated that each request would take
approximately 30 minutes (0.5 hours) to prepare. This would result in an annualized burden
of 5 hours, assuming 10 requests per year.
Expedited submission of proposed Special Access Programs
Under the Amendment 13 provision for industry participants and members of the public to
submit proposed SAPs, on entity per year is estimated to submit a proposal, at an estimated
burden of 20 hours.
Exemption programs authorized for permit holders
Owners or operators of vessels seeking to participate in any of the exemption programs
described in Part A, Question 1 must request a Letter of Authorization (LOA) from the Regional
Administrator (RA) at an estimated 5 minutes per request. All exemption requests except for the
State waters sea scallop exemption program require only an initial telephone call requesting the
LOA.
For the State waters sea scallop exemption, limited access sea scallop vessels wishing to
participate in either the state waters DAS exemption program or the state waters gear exemption
program must notify the RA by VMS or call-in notification. Participants in the sea scallop state
waters exemption programs using VMS notification must notify the RA prior to the first trip in
the exemption program and prior to the first planned trip in the EEZ, at an estimated 5 minutes
per response.
Once the LOA is obtained, participants in these exemption programs using the call-in system
must notify the RA at least 7 days prior to fishing under the exemption, at an estimated 5 minutes
per call. If participants using the call-in system wish to withdraw from either state waters
exemption program prior to the end of the 7-day designated exemption period requirement, they
must also call the RA to notify of early withdrawal, at an estimated 5 minutes per call;
32

For an estimated 10,786 responses, the total hours for these requests would be 888.
Authorization to transfer fish at sea: The time burden for this exemption is described under
the “Transfer at Sea” section below.
DAS Transfer Program
Only vessels with a valid limited access NE multispecies permit or CPH who are not
participating in a sector allocation program would be allowed to permanently transfer DAS to
another vessel. A total of approximately 1,400 vessels would be able to permanently transfer
DAS to another vessel annually. The number expected to participate in the sectoral allocation
programs is unknown at this time, making this number a conservative estimate of the potential
participants in the DAS Transfer Program. The application for this transfer is expected to take 5
minutes to complete, a total burden of 116 hours.
Change in NE multispecies fishery permit category/Transit to another port
In the NE multispecies fishery, a request for change in permit category designation requires
approximately 5 minutes, and a request for transit to another port by a vessel required to remain
in the GOM cod trip limit takes 5 minutes. The total annual burden for these two provisions (20
permit category changes and one transit to another port) is 2.5 (3) hours.
Transfer at Sea
An LOA is also required for permitted vessels intending to transfer selected species from one
vessel to another, as follows: Loligo and butterfish moratorium permit, or Illex moratorium
permit, and vessels issued a mackerel or squid/butterfish incidental catch permit that intend to
transfer Loligo, Illex, or butterfish; vessels issued a NE multispecies or scallop permit that intend
to transfer species other than regulated species; and NE multispecies vessels intending to transfer
up to 500 lb (227 kg) of combined small-mesh NE multispecies per trip for use as bait. The
estimated time required to request each of the LOAs is 5 minutes. One transfer is estimated, at
5 minutes.
Gillnet tags and designations
Gillnet category designation, including initial requests for gillnet tags (300) and requests for tags
with designation already given (48,000), requires approximately 10 minutes. Requests for
additional tags (300) require an estimated 2 minutes. Notification of lost tags and requests for
replacement tag numbers (300) also require an estimated 2 minutes. It will take approximately 1
minute to attach each gillnet tag (48,000). The overall time burden for this provision is 2,471
hours.

33

Lobster Area Designation and Request for Traps, and Lobster Area 5 Waiver
In the American lobster fishery, the estimated time to designate lobster management areas and
order trap tags is 5 minutes; a request for additional tags is estimated to take 2 minutes; and a
notification of lost tags is estimated to take 3 minutes. Approximately 2,700 vessels will
designate lobster management areas on the annual permit renewal application and order trap
tags. Approximately 1,350 vessels will not order their total allowable trap allotment initially,
and, therefore, will submit a request for additional trap tags (their remaining balance) later in the
permit year; approximately 2,700 vessels will report lost tags and request replacement tags.
The total time burden is 404 hours.
Approximately 69 vessels will choose to participate in the lobster Area 5 waiver program and
will therefore, select, cancel, and re-designate this permit category. The initial lobster Area 5
waiver program designations are estimated to take 15 minutes, requests for the cancellation and
selection of an alternative permit category are estimated at 15 minutes, and the return of the
suspended lobster trap permit is estimated at 2 minutes, a total of 32 minutes per vessel. The
total time burden for this provision is 37 hours.
State Quota Transfers
Requests for state quota transfers in the bluefish and summer flounder fisheries are estimated to
require 1 hour. Assuming 8 state quota transfers a year, the total annual time burden is 8 hours.
Proposed Sector Allocation
At this time, it is unclear how many sectors would form and later apply for acceptance under this
provision. Based on information related to the existing Georges Bank Hookgear sector, it is
estimated that approximately 40 hours will be spent preparing the plan of operations under this
provision. This estimate takes into consideration only hours spent in meetings for sector
participants (two meetings per week for two months) and does not include other time spent
independent of group meetings. Therefore, this is considered a lower-bound estimate of the time
required to form a sector and prepare the appropriate submissions under this provision. It can be
estimated that the same amount of time would be spent in the formation of a sector and the
preparation of a sector proposal for submission to NMFS and the Council. Therefore, a
conservative estimate of the time burden associated with the development of the sectoral
proposal and the operations plan documents for a proposed sector is approximately 50
hours for each of these two submissions. For this submission, NMFS is anticipating that
one additional sector would apply for acceptance from the Council and later submit a plan
of operations, for a total of 100 hours.
All sectors approved under the provisions contained at § 648.87 would be required to submit
annual year-end reports as described above. NMFS estimates that an annual report from a sector
would require approximately six (6) hours to complete and submit. NMFS is anticipating two
sector reports for each upcoming fishing year. Therefore, the estimated burden associated
with this information collection would be 12 hours for this provision.

34

Total burden for sector allocation information requirements would be 112 hours.
The total annual burden hours estimated for the NE Region Permit Family of Forms is 26,832
hours.
13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in Question
12 above).
A full summary of the cost of these reporting requirements to the public found in Table 1.
Vessel Permitting and Replacement
Mailing costs for permit applications and renewals, at $0.44 per mailing, as well as requests for
replacement/upgrade and history retention, total $9,783. For the 11,200 operator applications and
renewals, a $10 cost for a photograph is added: $112,000. The costs to applicants wishing to
replace an existing vessel with a larger or newer vessel, and subsequently move the limited
access permits and fishing history to the replacement vessel will vary. Verification of vessel
specifications are required in the case of undocumented vessels or unseaworthy vessels being
replaced. Such verification is also required in the case where an applicant is requesting an
upgrade of an undocumented vessel’s specification(s). Surveys to verify undocumented vessel
specifications range in cost $150 to $600 ($375 average) depending on the surveyor, the
specifications needed, the vessel size, and if vessel condition is included in the survey. A survey
to verify a vessel’s unseaworthy condition costs approximately $400 per respondent. The
estimated average annual cost to the public of verifying vessel specifications is estimated at
$112,500 based on an estimated 300 respondents. This includes only those respondents who
are requesting a vessel replacement or upgrade an undocumented vessel. The average annual
cost to the public verifying a vessel’s unseaworthy condition for purposes of replacement is
estimated at $60,000 based on an estimated 150 respondents.
Total costs for permitting and replacement information requirements are $294,283.
VMS Requirements
The RA must approve any VMS system selected for use. Currently, there are three vendors that
offer VMS equipment approved for use in the NE Region. The vendors are Boatracs, Inc.,
Thrane and Thrane, and Skymate (OrbComm); a majority of the fleet uses systems provided
through either Boatracs or Skymate. VMS purchase and installation costs average $3,200,
depending on the model. All vessels currently required to have VMS units already have them
installed. Only vessels that choose to use the VMS system versus the call-in system, and those
vessels replacing broken or outdated VMS equipment, would incur the initial cost of VMS
purchase and installation. Based on the last three years, it is estimated that approximately
550 vessels will install or replace VMS each year, at a total cost of $1,760,000.
The cost burden for VMS installation confirmation is based on an average of $1.00 per call.

35

This yields an annual cost of $550 ($1.00 x 550 vessels = $500). An annual postage cost of
$242 is associated with VMS Certification Form submission ($.44 per stamp x 550 vessels).
The average monthly maintenance cost for a VMS unit is approximately $150. The total
annual cost of monthly operation is $2,856,600.
VMS monitoring in the sea scallop, NE multispecies, herring, monkfish and surf clam/ocean
quahog fisheries is automated, but costs $0.05 per transmission. Participants in the scallop
fishery and must automatically transmit vessel location via VMS two times per hour. The total
cost for daily, twice-hourly VMS location transmission is $343,392 (scallop and “combination”
vessels in Table 1). All other VMS users must automatically transmit vessel location one time
per hour. The total cost for daily once-hourly VMS location transmission is $523,410. The
total annual costs for transmission are $866,802.
VMS Power Down Exemptions
Vessels required to have a fully functional VMS unit at all times may request to turn off the
VMS (power-down exemption) at approximately $0.44 per 3,174 requests, for a total annual
cost of $1,396.56.
The 10 additional Canadian herring transport vessels will need to purchase and install a
VMS unit at a cost of $3,400 each, with yearly maintenance costs of $200, for a 3-year total of
$3,800 ($3,400 + $200 + $200), annualized to $1,267 or $12,670 for all vessels. Canadian
herring transport vessels must also call to confirm VMS installation; calls from all 10 Canadian
vessels yield an annual cost of $10 ($1.00 per telephone call x $10). Assuming a vessel trip
from Canada to the US will take an average of 24 hours, and there are a total of 10 herring
transport trips during the year, the total number of transmissions would be 240, based on hourly
automatic VMS reporting. Assuming each transmission costs $0.03, the total cost would be
$7.20. For each trip, two email messages with information on the vessel, days and times of
arrival into and departure from the US EEZ, and description of fishing activities, will need to be
transmitted via VMS. Each message is estimated to cost $2 per message, for a total of $40.
Total costs for the 10 vessels: $12,727,20.
Area and DAS Declaration
Costs associated with area and DAS declarations prior to each trip fishing under a NE
Multispecies DAS are estimated at $0.50/submission. In 2008, approximately 25,000 trips were
taken under a groundfish DAS. Since not all of the allocated DAS were used during 2008, and
because of continued effort reductions in the fishery, there is an incentive to maximize the
utilization of DAS allocated. Therefore, a conservative estimate of the number of trips expected
was determined to be approximately 30,000 trips/year. The yearly cost associated with VMS
declarations for these 30,000 trips is $15,000 (30,000 trips x $0.50/trip).
As described above, it is estimated that approximately one percent of the yearly trips into the
GOM will be required to declare that the vessel is in the GOM Differential DAS Area due to
36

circumstances beyond its control and is not fishing or transiting. Each declaration would be
required to be made via VMS. Each declaration would cost $0.50. During the 2004 fishing year,
approximately 14,043 trips were taken into the GOM RMA. Therefore, approximately 140
GOM Differential DAS Area heaving-to declarations are expected each year, resulting in an
annualized cost burden of $70.
Herring vessels issued All Areas Limited Access and/or Area 2 or 3 Limited Access permits are
required notify NMFS OLE of the time and port of landing via VMS six (6) hours prior to
crossing the VMS demarcation line ending their trip. Each notification would cost $0.50.
Herring vessels are expected to make approximately 2,775 notifications to NMFS OLE
informing them of the time and port of landing. For the 2,775 notifications per year expected
from this provision, the annualized cost to herring vessels would be $1,388 ($0.50 x 2,775
declarations).
Expedited submission of proposed Special Access Programs
The NE multispecies regulations specify the issues must be addressed in an application for a new
SAP. However, it is unknown how many pages an application for a new SAP would be. The
only costs associated with this submission would be the costs to copy and mail the application to
the Council and NMFS for review. Without knowing how long these applications would be, it is
difficult to approximate the costs associated with this submission. A rough estimate of
approximately 10 pages was used to for this submission. Copying costs are estimated at
$0.10/page. Mailing a document of this size would likely require at least two stamps at $0.44
each. This would result in a total annualized cost of approximately $2 for the one estimated
submission per year.
DAS Credits for Standing by Entangled Whales
Vessels communicating with the USCG for the Center for Coastal Studies would likely
communication using VHF or cellular phones. This would result in little or no cost to the vessel.
However, it is possible that the vessel could be operating beyond the effective rang of VHF
radio or cellular phone capabilities. Under this circumstance, communications would only be
possible using a satellite phone. However, due to the prohibitive cost of using the satellite phone
fir this elective measure, it is not likely that vessels would use the satellite phone to report an
entangled whale. Vessels may request a DAS credit for time spent standing by an entangled
whale by providing a written request to the Regional Administrator as specified above. Costs
associated with this written request would involve postage costs only. Assuming 10 such
request would be mailed per year, this would amount to a cost of approximately $4.40 (10 x
$0.44 per stamp). Therefore, for this submission, the public costs associated with this measure
only include the costs for mailing in DAS credit requests to the Regional Administrator.
DAS Transfer Program
Participants in the DAS Transfer Program are required to submit a DAS Transfer Application
that has been signed by both the seller and buyer. It is likely that for each request, the application
would be mailed first to the buyer and then to NMFS. Therefore, two stamps are required for
37

each submission. For their records, two copies would likely be made, resulting in an estimated
copying cost of $280 when using a cost of $0.10/page for this submission. This results in an
overall annualized cost to the public of $1,512 ($1,232 for postage of 1,400 applications, and
$280 for copying costs).
Gillnet tagging
Gillnet tags are purchased from, and supplied to industry by, an independent contractor. The
cost associated with the purchase of gillnet tags is $1.15 per tag for an annual cost of
$55,200 (48,000 tags X $1.15). This price includes shipping and handling, but there is an
additional shipping and handling charge of $5.00 for orders of less than 20 tags.
Lobster Trap Tags
Lobster trap tags are purchased by Federal lobster permit holders from a designated vendor using
the NMFS Lobster Trap Tag Form or state agency equivalent. Permit holders are responsible for
the cost of the tags which is currently $0.14 per tag. The number of tags that may be purchased
is based on the areas that the vessel designates on the permit renewal application, and permit
holders are authorized to purchase an amount of tags equal to their trap allocation plus an
additional 10% to cover routine losses. Of the 2,700 Federal lobster permit holders estimated to
purchase tags, it is estimated that 2,500 would be authorized to purchase up to 880 trap tags, at a
total cost of about $123.20 per permit holder (880 tags X $0.14 per tag) and an overall cost of
$308,000.00 ($123.20 per permit holder X 2,500 permit holders) for all 2,500 permit holders
combined. It is also estimated that 200 of the 2,700 permit holders expected to purchase tags
would be eligible to purchase up to 1,980 tags. The estimated cost per permit holder at that level
is $277.20 per permit holder ($0.14 per tag X 1,980 tags) and an overall cost for the 200 permit
holders is estimated at $55,400 (200 permit holders X $277.20). The estimated total cost to
purchase tags for one year by all 2,700 permit holders is $363,440.
All 2,700 permit holders that purchase trap tags could encounter losses of traps during the year.
Accordingly, if 2,700 permit holders each request an additional 10% of their allocation as
replacement tags then the cost breakdown for the public is:
2,500 vessels with allocations of 800 could order 10% for replacements,
80 tags X $0.14 per tag = $11.20 per permit holder X 2,500 = $28,000;
200 vessels with allocations of 1,800 could order 10% replacement tags,
180 tags X $0.14 = $25.20 per permit holder X 200 = $5,040.00.
The total cost of all 2,700 permit holders replacing tags on 10% of their traps due to losses
is $28,000 + $5,040 = $33,040.
State Quota Transfers
The cost burden associated with ability of states to transfer or combine summer flounder or
bluefish quota is estimated to be $0.44 or a total of $3.52 for eight requests.

38

Sector Allocations
The submission of sector allocation proposals, plans of operations, and annual reports required
would incur costs from copying and the postage of these documents to the Council and the RA.
It is unknown how large these documents would be. Postage and copying costs would be
proportional to the size of the document and would be an additional cost associated with
participating in this provision of Amendment 13. The estimated costs for copying and postage
that were used for the submission of an application of a new SAP described above (an average of
10 pages per submission at $0.10/page copying cost and two $0.44 stamps/submission) were
used to provide a minimum annualized cost for each of these submissions under the sector
allocation provisions. However, since these documents must be submitted to both the Council
and NMFS, the total annualize cost burden for the submission of each document is estimated at
$4 per submission ($2 for two copies of a 10-page document, and two stamps for each
document), for a total of $6.
The total cost to the Public for all items included in the Permit Family of Forms is $6,262,267
($1,760,000 in start-up costs, and $4,50,267 in operations and maintenance costs). 
.
14. Provide estimates of annualized cost to the Federal Government.
A full summary of the following information may be found in Table 1.
Vessel permitting
All Federal fishery permits, annual renewals for Federal fishery permits, dealer permits, and
operator permits are included in this collection of information. Estimated annualized cost to the
Federal Government assumes that the average cost for issuance of a permit is $33/permit,
including labor, printing, distribution, computer time, and handling. The total annual cost to the
Government for initial and renewal permit applications for vessels, dealers, and operators, is
estimated to be $710,622. The NE Region of NMFS may implement a fee system to allow
recovery of a significant portion of these costs as allowed under the Magnuson-Stevens Act.
Estimated annualized cost to process applications for vessel replacement/upgrade, or history
retention/CPH assumes a $25/hour wage and overhead value for the Government, for a total cost
of $46,250.
Total Government costs are $756,872.
VMS/Call-in Requirements and VMS Power Down Exemption
$300,000 per year include staff costs, Internet connection, training, travel, and the annual costs
for equipment and the back-up system. Salary costs are those minimally associated with two
GS-13 computer specialists and one GS-11 VMS technician, including benefits.
There is a $25 per hour wage and overhead cost to the Government associated with the call-ins
to verify proof of VMS installation and processing of the VMS Certification Form. Assuming
550 vessels purchase new or replacement VMS units each year, the total annual cost to the
39

government for receiving verification calls and processing certification forms is estimated
at $2,282. There is no cost to the Government associated with automated VMS polling of vessel
position. The cost to the Government associated with turning off the VMS unit is estimated
at $25/hour, a total annual cost of $39,675.
The cost associated with call-in notification for the 20-day spawning season block of time out of
the NE multispecies and monkfish fisheries and notification of the required 120 days out of the
non-exempt NE multispecies gillnet fishery. Assuming 400 vessels call out of the fishery each
year and a $25/hour wage and overhead rate, this provision costs the Government a total of
$2,500.
Departure/Landing call-in for Monkfish and Occasional Sea Scallop Vessels: $1,675.
Notifications of transit to another port while under the GOM cod trip limit are estimated to cost
the Government $25/hour; assuming one (1) notification per year, the total cost to the
Government is $0.83.
The cost to the government associated with herring vessel notifications to NMFS OLE
regarding the time and place of vessel landings include cost associated with processing these
notices. It is estimated that approximately three (3) minutes (0.05 hours) are required to process
each email and inform responsible staff of the intended time and place of landing. Assuming
approximately 2,775 landing notices would be sent by herring vessels each year, and using a
wage rate of $25/hour, the total yearly cost to the government for this provision amounts to
$3,469 (0.05 hours/notice x 2,775 notices x $25/hour).
Good Samaritan Credits
Cost to the government associated with applications for Good Samaritan Credits are estimated at
$25 per hour. Assuming a total of 10 requests per year results in a total annual cost to the
government of $250.
DAS Credits for Standing By Entangled Whales
Although a majority of the communications from vessels standing by an entangled whale would
occur directly with the Center for Coastal Studies, the U.S. Coast Guard may facilitate such
communications. Therefore, the U.S. Coast Guard is estimated to spend approximately 30
minutes (0.5 hours) communicating to vessels standing by an entangled whale. Using a wage
rate of $25/hour and assuming 10 such entanglement notifications per year results in an
annualized cost to the government of $250. It is estimated that it would take approximately 1
hour to respond to a written request for a DAS credit from vessels that have stood by an
entangled whale. Using a wage rate of $25/hour and assuming a total of 10 requests per year
results in an annualized cost to the government of $250, with total cost $500.

40

Exemption programs authorized for permit holders
The cost burden associated with issuing LOAs for exemption programs authorized for permit
holder is estimated to be $25/hour to the Government, for a total annual cost of $22.359 for all
exemption programs.
DAS Transfer Program
Costs associated with the DAS Transfer Program reflect a cost of $25/hour to the Government.
The cost to the government for the DAS Transfer Program is expected to require 10 minutes
(0.17 hours) per request. This results in an estimated annualized cost to the government of
$5,950 (1,400 applications x 0.17 hours/response x $25 per hour) to review DAS transfer
requests. Additional costs likely to be incurred by the government include the costs of
distributing confirmations of the DAS transfer to both participants. These confirmations would
be mailed to participants resulting in postage costs of $1,232. This results in an overall cost of
$7,182 to the Government for the management of the DAS Transfer Program.
Gillnet and Lobster Trap tagging
The cost to the Federal Government associated with NE multispecies and monkfish gillnet
category designation, the issuance of initial and replacement tags, and the act of updating the tag
database to account for lost tags are estimated to be $25/hour, for a total cost of $1,770. No cost
is associated with the attachment of tags to gillnets. Similarly, the cost associated with lobster
area designation and issuance of lobster trap tags, and responses to notification of lost tags is $25
per hour, for a total cost of $10,091.
Lobster Area 5 Waivers
With an estimated 69 waiver requests per year, and review time of approximately one hours, at
$25 per hour, the Government cost would be $925.
Expedited submission of proposed SAPs
Applications for proposed SAPs would be required to meet a number of requirements prior to its
approval by the Council and the RA. These applications would require extensive review by
NMFS staff. It is expected that each application would take approximately four (4) hours to
review. Using a wage rate of $25 per hour for wages and overhead, review of SAP submission
has an estimated annualized cost to the Government of $100.
State Quota Transfer
Assuming eight (8) quota transfers per year, the total annual cost to the Federal Government is
$200.

41

Proposed Sector Allocation
Sector proposals (including the sector allocation proposal and the operations plan) submitted
under the procedure outlined in Amendment 13 would require extensive review by the Council
and NMFS to ensure that operation plans meet the objectives of the FMP without jeopardizing
the rebuilding plans of groundfish stocks. It is estimated that each application would require at
least four (4) hours review per application. Using a wage rate of $25 per hour, application
review will cost the Government $300 per year. In addition, each approved sector would be
required to submit an annual report summarizing the sector’s activities and harvest levels for the
fishing year. This report would likely require approximately 2 hours review time to evaluate the
performance of the sector. This review would cost the government $50 per submission, or $100.
Two annual reports are expected from the two existing sectors, resulting in an annualized cost of
$100 for this submission. The total annual cost to the Government for reviewing all sector
submissions is $400.
The total cost to the Government for all items included in the Permit Family of Forms is
$1,149,998.
15. Explain the reasons for any program changes or adjustments.
In the past years, the collection has been revised as part of the FMP amendment process or as
new FMPs are approved and implemented. In some instances new requirements were added, and
in others, requirements were dropped. All burden figures are based on the estimated number of
individuals most likely to be affected. The actual number of dealers, vessel operators, and
appeals may differ from these estimates.
The number of respondents listed is significantly less than the number presented in past
renewals. In past renewals, individual respondents were counted multiple times. The number
presented here includes only individuals submitting initial and renewal applications, Canadian
herring transport vessels, states applying for quota transfers, and individuals/organizations
submitting sector proposals. These individuals/organizations are assumed to be the universe of
respondents from whom all other information in this submission will be collected.
Under Framework 42, the yellowtail flounder trip limit requirements for the Cape Cod/GOM and
the SNE/MA Yellowtail Flounder Areas (excluding the U.S./Canada Management Are) were
made the same in all months. Vessels are now relieved of the requirement to request an LOA to
be exempt from the yellowtail possession limits associated with each of these areas, and the
burden estimates for these requirements have been removed from this submission.
The total annual hours listed is also less than in previous submissions, which included a time
burden for automated means of information collection, namely the automated VMS polling of
vessel position. Additional hours have been subtracted due to the observer program
requirements’ now being included in OMB Control No. 0648-0593, Observer Programs’
Information That Can Be Gathered Only Through Questions.
The total annualized cost listed in is significantly higher than in previous submissions. Outside
of increases related to mergers and changes, the increase can be attributed to a change in the
42

accounting for VMS installation costs. The figure presented in this submission assumes that
roughly one third of the vessels currently equipped with VMS units will replace their equipment
each year. This assumption increases the number of vessels installing VMS units, and thus
increases the estimated costs associated with purchasing and certifying installation for each unit.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
Results from this collection may be used in scientific, management, technical, or general
informational publications such as Fisheries of the United States, which follows prescribed
statistical tabulations and summary table formats. Data are available to the general public on
request in summary form only. 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.
NA.
18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
NA.

B.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS

No statistical methods are employed in the information collection procedures. The requirements
are mandatory for all participants in the indicated fisheries.

9

43

 TABLE I 

Permit Requirements (1) 
     Initial Vessel Permit

(2)  (

$0.44 for postage) 

     Vessel Permit Renewal(2)  ($0.44 for postage) 
     Initial Dealer Permit(2)  ($0.44 for postage) 
(2)  (

     Dealer Permit Renewal $0.44 for postage) 
     Initial Operator Permit (time plus $10 for photograph and $0.44 for 
postage)(2) 
     Operator Permit Renewal (time plus $10 for photograph and $0.44 for 
postage)(2)(3) 
RUPH Application 
     Replacement/Upgrade   ($0.44 for postage) 
     History Retention    ($0.44 for postage) 

# of Entities 

Items per 
Entity 

Total # of 
Items 

Response 
Time 

Total 
Burden 

Cost to: 
Public 

Govt. 

1,200 

1 

1,200 

0.750 

900 

$ 528 

$39,600 

8,000 

1 

8,000 

0.500 

4,000 

 $3,520 

$264,000 

134 

1 

134 

0.250 

34 

$59 

$4,422 

1,000 

1 

1,000 

0.083 

83 

$ 440 

$33,000 

700 

1 

700 

1.000 

700 

$7, 308 

$23,100 

10,500 

600 
100 

1 

1 
1 

10,500 

600 
100 

1.000 

3.000 
0.500 

10,500 

1,800 
50 

$109,620 

$264  
$44  

$346,500 

$45,000 
$1,250 

300 
150 

1 
1 

300 
150 
22,684 

 NA 
NA  

NA  
NA  
18,067 

$112,500 
$60,000 
$294,283 

0  
0 
$756,872 

     Vessel Specification Verification(4)     (cost of survey) 
     Unseaworthy vessel (proof of loss) (cost of survey) 

VMS/Call‐in Requirements 

   Declaration of days out of gillnet fishery (Multispecies and Monkfish 
Vessels) 
  Departure/Landing call‐in for Monkfish and Occasional Sea Scallop Vessels 
     Monkfish 
     Sea Scallops (Limited Access Occasional) 

VMS Installation  (cost of  $3,200/unit) 
Proof of VMS Installation 
     VMS Certification Form 

400 

170 
25 

550 

550 

5 

9 
20 

1 

1 

2,000 

1,530 
500 

550 

550 

0.050 

0.033 
0.033 

NA  

0.083 

100 

50 
17 
167 

NA  

46 

 0 
 0 
 0 
 0 

$1,760,000 

$242 

     Call‐in for unit confirmation 

550 

1 

550 

0.167 

92 

$550 

$2,500 

$1,262 
$413 
$1,675 

0  

$1,141 
$1,141 

138 

$2,282 

44

# of Entities 

(6)

VMS Operation  

Items per Entity 

Total # of Items 

Response Time 

Total Burden 

Cost to: 
Public 

Govt. 

     Scallop  

347 

 1 

347 

NA  

 NA 

$624,600 

 0 

     Surf Clam/Ocean Quahog 

62 

 1 

62 

NA  

 NA 

$111,600 

 0 

     Herring (Categories A, B and C) 

111 

 1 

111 

NA  

 NA 

$199,800 

 0 

     Multispecies 

997 

 1 

997 

NA  

 NA 

$1,794,600 

 0 

     Monkfish 

25 

 1 

25 

NA  

 NA 

$45,000 

 0 

     Combination 

45 

 1 

45 

NA  

 NA 

$81,000 
2,856,600 

 0 

Automated VMS polling of vessel position(7) 

347 

17,520 

6,079,440 

NA  

 NA 

303,972 

 0 

     Surf Clam/Ocean Quahog, Herring (365*24) 

62 

8,760 

543,120 

NA  

 NA 

27,156 

 0 

     Herring (365*24) 

111 

8,760 

972,360 

NA  

 NA 

48,618 

 0 

     Multispecies (365*24) 

997 

8,760 

8,733,720 

NA  

 NA 

436,686 

 0 

     Monkfish (365*24) 

25 

8,760 

219,000 

NA  

 NA 

10,950 

 0 

     Combination (365*48) 

45 

17,520 

788,400 

NA  

 NA 

39,420 
866,802 

 0 
$300,000 

     Scallop (365*48)  

VMS Power Down Exemption 

347 

2 

694 

0.500 

347 

305.36 

     Surf Clam/Ocean Quahog 

62 

2 

124 

0.500 

62 

54.56 

     Herring  

111 

2 

222 

0.500 

111 

97.68 

     Multispecies 

997 

2 

1,994 

0.500 

997 

877.36 

     Monkfish 

25 

2 

50 

0.500 

25 

22 

     Combination 

45 

2 

90 

0.500 

45 

39.60 

3,174 

1,587 

1,396.56 

$39,675 

     Installation and Operation/Maintenance Costs 

10 

1 

10 

 NA 

 NA 

$12,670 

 0 

     Installation confirmation 

10 

2 

20 

0.125 

3 

$10 

 0 

     Automated VMS polling 

10 

24 

240 

 NA 

 NA 

7 

 0 

     Emails for US EEZ Arrival/Departure 

10 

2 

20 

0.250 

5 

40 

0 

6 

1,2,727 

Area and DAS Declaration (time burden and message cost) 

     Groundfish vessels fishing under any NE Multispecies DAS 

997 

30 

30,000 

0.083 

2,490 

$15,000 

 0 

     GOM Differential DAS Area Heaving‐to Declaration 

140 

1 

140 

0.083 

12 

$70 

 0 

     NMFS OLE Landings Notification for Herring Vessels 

     Scallop  

VMS for Canadian Herring Transport Vessels 

111 

25 

2,775 

0.083 

230 

$1,388 

$3,469 

32,915 

2,732 

$3,469 

45

# of Entities 

Items per 
Entity 

Total # of Items 

Response 
Time 

Total Burden 

DAS Credits for Standing By Entangled Whale 

Cost to: 

Public 

Govt. 

     Notification and Communication with USCG and Center for Coastal Studies 

1,400 

1 

10 

2 

20 

 0 

$250 

     Request for DAS Credit 

1,400 

1 

10 

0.500 

5 

$4 

$250 

1 

30 
30 
35 
1 
37 
91 
40 
1 
50 
91 
50 

1 

52 
52 
18 
1 
16 
24 
1 
1 
2 
4 
1 

20 

1 

1,560 
1,560 
630 
1 
592 
2,184 
40 
1 
100 
364 
50 

20 

0.083 
0.083 
0.083 
0.083 
0.083 
0.083 
0.083 
0.033 
0.033 
0.083 
0.083 

25 

20 

129 
129 
52 
0 
49 
181 
3 
0 
3 
30 
4 

$4 

$2 

 0 
 0 
 0 
 0 
 0 
 0 
 0 
 0 
 0 
 0 
 0 

$500 

$100 

$3,237 
$3,237 
$1,307 
$2.08 
$1,228 
$4,532 
$83 
$0.83 
$82.50 
$755.30 
$103.75 

301 
91 

1,400 

20 
1 
8 

12 
1 

1 

1 
1 
1 

3,612 
91 
10,786 

1,400 

20 
1 
1 

0.083 
0.083 

0.083 

0.083 
0.083 
0.083 

300 
8 
888 

116 

1.66 
0.083 
0.083 

 0 
 0 
0 

$1,512 

$7,495 
$188.83 
$22,359 

$7,182 

$41.50 
$0.83 
$2.08 

Expedited Submission of Proposed Special Access Programs 
Exemption programs authorized for federal permit holders 
     Midwater Trawl Exemption 
     Purse Seine Exemption 
     Cultivator Shoals Whiting Exemption 
     Nantucket Shoals Dogfish Exemption 
     Raised Footrope Trawl Whiting Fishery [Sept 1 ‐ Dec 31] 
     Summer Flounder Small‐Mesh Exemption 
     SNE Little Tunny Gillnet Exemption 
     Winter Flounder State Waters Exemption 
     State waters Sea Scallop Exemption 
     GOM/Nantucket Lightship Party/Charter Exemption 
     NAFO Regulatory Area Request 
     Monkfish Southern Fishery Management Area Landing Limit & Minimum 
Fish Size Exemption 
     WGOM and Cashes Ledge Closed Area Charter/Party Exemption Cert. 

DAS Transfer Program 

Change in Multispecies Permit Category 
Transiting to Another Port 
Transfer at Sea 

46

# of Entities 

300 

Items per 
Entity 

1 

300 

     Additional tags  
     Notification of lost tags(9) 
     Attachment of Gillnet Tags 

Gillnet Designations/Request for tags 
     Designation with request for tags 
     Request for tags (designation already given) ($1.15 x total number of items 
(tags)) 
(8)

Lobster Area Designation and Requests for Trap Tags 
    Designation with request for tags 
     Additional tags ‐ assumes entire allocation isn't ordered initially
(11)

     Notification of lost tags and replacement of lost tags

Lobster Area 5 Waiver 
State Quota Transfers 
Proposed Sector Allocation 
     Sector Allocation Proposal 
     Plan of Operations 
     Annual Report 

(10)

TOTALS

(12)

Total # of Items 

300 

Response 
Time 

0.170 

Total Burden 

51 

Public 

NA 

Govt. 

160 

48,000 

0.033  

1,584  

$55,200 

300 

1 

300 

0.033 

10 

NA 

300 
300 

1 
160 

300 
48,000 

0.033 
0.017 

10 
816 

NA 
NA 

96,900 

2,471 

$55,200 

$1,770 

2,700 

1 

2,700 

0.083 

224 

$363,440 

1,350 

1 

1,350 

0.033 

45 

NA  

2,700 

69 
8 

1 
2 
2 

1 

1 
1 

1 
1 
1 

2,700 
6,750 

69 
8 

1 
2 
2 

0.050 

0.54  
1 

50 
50 
6 

135 
404 

37 
8 

50 
100 
12 

$33,040 

$4 

$2 
$2 
$2 

$10,091 

$925 
$200 

$100 
$200 
$100 

5 

162 

$6 

$400 

$6,262,267 

(2) The cost to the government is estimated to be $33 per burden hour. 
(3) The burden is divided by 3 because the operator permit is renewed every 3 years. 
(4) Survey to verify undocumented specifications average $375. 
(6) Assumes an estimated cost of $150/vessel per month. 
(7) 365 days per year multiplied by the number of polls per day (2 per hour for scallops and 
combination vessels, 1 per hour for all others). 
(8) Cost of additional gillnet tags included in total allowed in initial request. 
(9) Assumes that all participants will replace 10 percent of their total allotment annually. 
(10) Cost of additional lobster tags is included in total allowed in initial request so only time 
burdens shown here. 
(11) Assumes that all participants will replace 10 percent of their total allotment annually. 
(12) Counts each affected entity once. 

47

Cost to: 

 $1,149,998 

21,554 

(1) The cost to the government is estimated to be $25 per burden hour unless otherwise noted. 

179,903 

26,832