0548_NWHISupportingStatement_041410

SUPPORTING STATEMENT
PAPAHĀNAUMOKUĀKEA NATIONAL MARINE MONUMENT
OMB CONTROL NO. 0648-0548

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
President Bush established the Papahānaumokuākea Marine National Monument (Monument) by
issuing Presidential Proclamation 8031 on June 15, 2006 (71 FR 36443, June 26, 2006) under the
authority of the Antiquities Act (Act) (16 U.S.C. 431). The Proclamation reserves all lands and
interests in lands owned or controlled by the Government of the United States in the
Northwestern Hawaiian Islands (NWHI), including emergent and submerged lands and waters,
out to a distance of approximately 50 nautical miles (nmi) from the islands. The outer boundary
of the Monument is approximately 100 miles wide and extends approximately 1200 miles around
coral islands, seamounts, banks, and shoals. The area includes the Northwestern Hawaiian
Islands Coral Reef Ecosystem Reserve, the Midway Atoll National Wildlife Refuge, the
Hawaiian Islands National Wildlife Refuge, and the Battle of Midway National Memorial.
The Secretary of Commerce, through the National Oceanic and Atmospheric Administration
(NOAA), has primary responsibility regarding the management of the marine areas of the
Monument, in consultation with the Secretary of the Interior. Similarly, the Secretary of the
Interior, through the Fish and Wildlife Service (FWS), has sole responsibility for management of
the areas of the Monument that overlay the Midway Atoll National Wildlife Refuge, the Battle of
Midway National Memorial, and the Hawaiian Islands National Wildlife Refuge, in consultation
with the Secretary of Commerce.
The Proclamation includes restrictions and prohibitions regarding activities in the Monument
consistent with the authority provided by the Act. The Proclamation prohibits access to the
Monument except when passing through the Monument without interruption or as allowed under
a permit issued by the agencies. Vessels passing through the Monument without interruption are
required to notify the agencies upon entering into and leaving the Monument. Individuals
wishing to access the Monument to conduct certain regulated activities must first apply for and
be granted a permit issued by the agencies pursuant to the Proclamation. Applicants must also
certify compliance with certain vessel monitoring system requirements.
On August 29, 2006, NOAA and FWS published a final rule in the Federal Register (71 FR
51134) codifying the provisions of the Proclamation at 50 CFR Part 404. These agencies have
since worked extensively with the State to ensure the permitting requirements and processes of
all three entities are sufficiently coordinated to ensure applicants for permits for Monument
activities require only a single application and receive one, combined agency permit.
NOAA is requesting an extension of this information collection.

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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 submitted by permit applicants will be used by the agencies’ staff to decide
whether to approve or deny a permit application. In making this decision, the agencies will
consider such factors as:
• the professional qualifications and financial ability of the applicant as related to the
proposed activity;
• the duration of the activity and its effects;
• the appropriateness of the methods and procedures proposed by the applicant for the
conduct of the activity;
• the extent to which the conduct of the activity may diminish or enhance the qualities for
which the Monument was designated;
• the end value of the activity; and
• other such matters as agency staff deem appropriate.
In addition to informing the agencies’ decisions on permit applications, information submitted in
permit applications and reports submitted pursuant to permit conditions may also be used by the
agencies to, in some circumstances, inform—
• administrative appeals of permit decisions;
• decisionmaking on a permit amendment request or another permit application; or
• other management actions (e.g., emergency response and enforcement).
In terms of frequency of use, the information submitted in permit applications will, in general,
only be used at the time the application is submitted to make a final decision on the application.
Some of the information may also be used subsequent to the initial decisionmaking to inform
management actions or decisionmaking. For example, a survey of a project location by one
permit applicant may be used by the agencies in the future to respond to a vessel grounding in
the same area in addition to facilitating the agencies’ decision on that application. Information
submitted in a report will be used to periodically assess the permittee’s compliance with permit
terms and conditions and to assist in evaluating the appropriateness of the permitted activity.
As explained in the preceding paragraphs, the information gathered has utility. The agencies will
retain control over the information and safeguard it from improper access, modification, and
destruction, consistent with NOAA and FWS standards for confidentiality, privacy, and
electronic information. See response to Question10 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. Publication is not planned; however,
prior to any dissemination, the information will be subjected to quality control measures and a
pre-dissemination review pursuant to Section 515 of Public Law 106-554.

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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.
All permit-related guidance and documents will be found on the Monument website. In addition,
the agencies are currently developing an Internet-based permit tracking system. This system will
ultimately allow permit applicants to submit their permit applications, logs, and final reports via
the Internet. Currently, agencies will accept electronic permit applications, logs, and reports via
email. Individuals passing through the Monument without interruption can provide the required
notification via email as well. Information on installed vessel monitoring systems (VMS) is
included in each permit application.
4. Describe efforts to identify duplication.
The agencies and the State have developed a fully coordinated and integrated permitting system
for the Monument that minimizes duplication wherever possible. Applicants will be required to
submit only a single application for a combined permit that meets the requirements of both the
agencies and the State.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
This collection of information has minimal impact on small entities such as small businesses,
organizations, or government bodies. The majority of permit applications are for activities
conducted by large institutions (such as academic institutions), individuals, and government
agencies. There may be some small impact on small businesses that wish to conduct commercial
activities within the Monument; however, this impact is not likely to include a significant
financial burden.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
If the information collection is not conducted, or is conducted less frequently, it is likely that the
management objectives of the agencies could not be met. The agencies must be able to allow the
conduct of otherwise prohibited activities to facilitate important research, education and
management activities. Furthermore, the permit process allows these activities to take place
under controlled conditions to ensure that the primary mandate of resource protection is fulfilled.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
NA.

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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 in response
to those comments. Describe the efforts to consult with persons outside the agency to
obtain their views on the availability of data, frequency of collection, the clarity of
instructions and recordkeeping, disclosure, or reporting format (if any), and on the data
elements to be recorded, disclosed, or reported.
NOAA issued a request for public comment on the proposed information collection in the
Federal Register on February 4, 2010 (75 FR 5760). No public comments on the information
collection requirements were received.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payments or gifts will be provided to any respondents.
10. Describe any assurance or confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
Permit applicants are requested to indicate any information they wish to be kept confidential,
including proprietary business information and locations of historic shipwrecks and artifacts.
Such information is typically exempt from disclosure to anyone requesting information pursuant
to the Freedom of Information Act (FOIA). The agencies will make all possible attempts to
protect such information, consistent with all applicable FOIA exemptions in 5 U.S.C. 552(b).
Typically exempt information includes trade secrets, commercial and financial information (5
U.S.C. 552(b)(4)). For all permit types, personal information affecting an individual’s privacy
will be kept confidential consistent with 5 U.S.C. 552(b)(6).
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
No sensitive questions are asked.
12. Provide an estimate in hours of the burden of the collection of information.
This collection of information has six different categories distinguished by the number of
responses per permit and the time per response. Please see the Applicant Burden table following
this support statement for response and burden totals. Annual responses total 191,250. Annual
hours total 1,836. The forms and instructions to applicants that will be used to collect most
categories of information (as specified below) are included in this request.

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(a) General Permits:
Scope of this category. This category includes all permits not specifically addressed in other
permit types listed below; typically, permit applications for scientific research, education, and
management activities permits fall into this category.
Burden estimate. Each respondent will submit an application for a permit, a cruise log (or some
other form of activity report) and a final summary report after the activity is complete for an
average of three responses per permit. On average, each response is expected to take the
respondent 5 hours to complete (longer for the application, shorter for the logs/reports). The
agencies estimate that it will process approximately 60 permit applications with related
documents under this category (180 responses) annually resulting from the final rule. The total
burden hours would be 900 annually under this category.
Applicant guidelines. The form (with instructions containing guidance on what is required) to be
used to collect this information was developed cooperatively between the agencies and the State.
(b) Special Ocean Use Permits:
Scope of this category. This category includes all permit applications processed for special
ocean uses pursuant to the Proclamation.
Burden Estimate. For special ocean use permits, an application, a final report, and a financial
report are required for each permit (total of 3 responses per permit). An average response time
of 10 hours is estimated for each of these activities. Financial reports (due on December 31 of
each year) may take less time but the application will take more time particularly if additional
NEPA documentation is required and prepared by the respondentThe agencies expect a total of
9 permit applications under this category each year for a total of 27 responses and 270
burden hours annually.
Applicant guidelines. The form (with instructions containing guidance on what is required) to be
used to collect this information was developed cooperatively between the agencies and the State.
(c) Native Hawaiian Practice Permits:
Scope of this category. This category includes all permit applications for the conduct of Native
Hawaiian practices within the Monument.
Burden Estimate. For this category, an average time of 8 hours is estimated for each response
(more for the application, less for the annual and summary trip reports). The agencies estimate
it will process approximately 3 permit applications in this category each year for a total of
9 responses and 72 burden hours annually.
Applicant guidelines. The form (with instructions containing guidance on what is required) to be
used to collect this information was developed cooperatively between the agencies and the State.

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(d) Recreation Permits:
Scope of this category. This category includes all requests to conduct non-extractive recreational
activities within the Midway Atoll Special Management Area of the Monument.
Burden Estimate. For this category, each respondent will submit an application for a permit, an
activity report, and a final summary report after the activity is complete, for an average of three
responses per permit. The agencies estimate an applicant would require an average of 6 hours
per response (more for the application, less for annual and final summary reports). The agencies
estimate a total of 2 permit applications under this category each year, for a total burden
hour estimate of 36 hours annually.
Applicant guidelines. The form (with instructions containing guidance on what is required) to be
used to collect this information was developed cooperatively between the agencies and the State.
(e) Entry and Exit Notification:
Scope of this category. This category includes all notices to the agencies of entry into and exit
from the Monument. This category includes notification by persons engaged in passage without
interruption.
Burden Estimate. The agencies estimate there would be approximately 192 respondents passing
through the proposed sanctuary without interruption. Each respondent would have to provide
telephone or email notification up to four times depending on the area(s) of entry and exit (one
entry at the Monument boundary, one entry into an Area To Be Avoided (ATBA), one exit from
an ATBA, and one exit notification at the Monument boundary), for a total of 768 responses.
For this category, the agencies estimate each response would require 5 minutes, for a total
of 3,840 minutes (64 hours) per year.
Applicant guidelines. The procedures for providing notice are included at 73 FR 73592.
(f) VMS Installation:
Scope of this category. This category includes all holders of Monument permits (74), with
approximately 50 with a VMS not yet installed.
Burden Estimate. Installation takes an average of 4 hours (annualized over 4 years, the life of the
unit, burden time is 1 hour). Thus, the total annualized burden would be 50 hours. However, as
these are not information collection response hours, we will count only the cost of
purchase/installation.
Applicant guidelines. Installation instructions would be obtained from Thrane & Thrane, or Faria
Watchdog, the manufacturers.

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(g) VMS Maintenance:
Scope of this category. All owners of VMS units, per (f).
Burden Estimate. Annual maintenance of VMS units averages 4 hours, with the total burden 74
X 4 = 296 hours; however, as with purchase/installation, there is no information provided, so
only the maintenance cost is counted
Applicant guidelines. Maintenance guidelines would be obtained from Thrane & Thrane, or
Faria Watchdog, the manufacturers.
(h) VMS Unit Certification:
Scope of this category. This category includes all certifications to NOAA’s Office of Law
Enforcement (OLE) that an installed VMS complies with the applicable requirements.
Burden Estimate. The agencies estimate there would be approximately 50 respondents subject to
this certification requirement, on a one-time basis. This estimate includes all applicants for
general permits, special ocean use permits, Native Hawaiian Practice permits, and recreational
activities permits annually. Each certification would take 5 minutes to complete, for a total
of 4 hours one time, annualized to 1 hour.
Applicant guidelines. Information on the applicant’s VMS certification is requested as part of
the attached permit application form and instructions.
(i) Hourly VMS Reports:
Scope of this category. This category includes all Monument permit holders who have
purchased a VMS unit for use in the Monument.
Burden Estimate. Hourly transmission of position takes 5 seconds. The current estimate is that a
vessel would average 159 days per year in the Monument, with 24 transmissions per day.
However, OMB has clarified that these automatic responses do not count as burden; only the cost
of transmission counts, as recordkeeping/reporting costs.
Applicant guidelines. Having the unit on, and transmitting the vessel’s position, is required from
a vessel’s entrance into the Monument until its exit. No further guidance to applicants is
required.
Total respondents are 192 (74 permittees plus an additional 118 non-permittees transiting
without interruption, only). Total responses are 1,000. Total hours are 1,319.

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13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in Question
12 above).
The cost of the Thrane & Thrane Sailor specified unit or a Faria WatchDog 750 VMS specified
unit is $3,596 (annualized over 4 years, the life of the unit = $899, totaling $434,950). Average
annual maintenance costs are $100, totaling $7,400. Transmission costs are $1.28 per day. The
current estimate is that a vessel would average 159 days per year in the Monument: 159 x 74 x
$1.28 = $15,060.48. Copying, mailing and faxing of other reports total $$225.
The estimated annual costs are $67,635 ($44,950 in capital costs and $ 22,685 in operations
and maintenance costs). Please see the Applicant Burden table following this support
statement.
14. Provide estimates of annualized cost to the Federal government.
The cost to the Federal government for each of the permit types is listed in the table below. All
costs are for time to process applications and reports. Hours estimated annually are 2,309, at $13
per hour, with the total cost $30,017.
15. Explain the reasons for any program changes or adjustments.
The numbers of respondents and hours have been adjusted based on the actual experience by
agency and state staff after averaging the Monument’s first three field seasons. There are more
than the expected commercial vehicle trips involving entering and exiting the Monument,
resulting in an increase of 41 burden hours. The time for completion of general, Native Hawaiian
practices and recreation permits and reports had been underestimated. These combined adjusted
estimates result in an increase of 470 burden hours. However, there was a decrease in response
time for special ocean use permits, of 93 hours. Also, it has been clarified that the automatic
transmissions are not to be counted as burden, creating a further downward adjustment of 264
hours. The net decrease is 113 hours.
All costs associated with purchase and installation of VMS and certification remain the same.
However, previously the cost of VMS maintenance was not included. Currently, 74 vessels
spend an average of $100 per year on maintenance, adding $7,400 annually. Also, 74 vessels are
now submitting automatic VMS transmissions, for a total of $15,060, an increase of $4,915 from
$10,145. Thus total costs have increased from $55, 224 to $67,635, an increase of $12,411.
NOTE: In addition to adjusting/renaming most of the information collections in ROCIS, we were
still left with three that were not needed, and the apparent changes due to agency discretion
resulting are simply artifacts of the ROCIS system.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The information collected will not be published.

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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.
The expiration date for OMB approval of the information collection will be displayed.
18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
There are no exceptions.
B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.
Applicant Burden

Permit type

Permits
and other
Reporting
per
Year

Responses
per
Requirement

Total
Responses

Avg. Hours/
Response

Total
Hours

Annual
Recordkeeping/
Reporting Cost
per
Response ($)

Total Annual
Cost ($)

(a) General

60

3

180

5

900

$1.00

$180

(b) Special Ocean Use

9

3

27

10

270

$1.00

$27

(c) Native Hawaiian Practices

3

3

9

8

72

$1.00

$9

(d) Recreation

2

3

6

6

36

$1.00

$6

(e) Entry & Exit Notice

192

4

768

5 minutes

64

$0.00

$0

(f) Purchase and installation
of VMS*

50

NA

NA

NA

$899 (initial cost:
$3595)

$44,950

(g) VMS maintenance

74

NA

NA

NA

NA

$100

$7,400

(h) VMS Certification

50

0.25

12.5 (13)

5 minutes

1

$0.25

$3

74

NA

NA

NA

$1.28/day x 159
days

$15,060

(i) Hourly VMS reports

TOTAL

192**

NA

1,003

1,343

67,635

* VMS installation and activation hours and purchase costs are annualized by dividing by 4 years, the expected service life.
** Total respondents are only 192 (74 permittees (a)-(d), plus 118 individuals transiting without interruption).

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Federal Government Burden
Permit type

Responses per
year

Hours per
permit

Total hours

Labor cost per
hour ($)

Total annual
cost ($)

(a) General

180

10

1800

13

$23,400

(b) Special Ocean Use

27

12

270

13

$3,510

(c) Native Hawaiian Practices

9

10

90

13

$1,170

(d) Recreation

6

10

60

13

$780

(g) Entry & Exit Notice

768

5 minutes

64

13

$832

(f) VMS Certification

50

30 minutes

25

13

$325

TOTAL

1,040

2,309

10

$30,017