0218 SS 112910rrev

SUPPORTING STATEMENT
SOUTH PACIFIC TUNA ACT
OMB CONTROL NO. 0648-0218

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
This request is for renewal of this information collection.
The Treaty on Fisheries Between the Governments of Certain Pacific Island States and the
Government of the United States of America (U.S.), signed in Port Moresby, Papua New Guinea,
in 1987, and its annexes, schedules and implementing agreements, as amended (Treaty),
authorizes U.S. purse seine vessels to fish within of a large region of the Pacific Ocean,
including the national fishing zones of the 16 Pacific Island States that are party to the Treaty.
The South Pacific Tuna Act of 1988 (16 U.S.C. 973g and 973j) and U.S. implementing
regulations (50 CFR Part 300, Subpart D) authorize the collection of information from
participants in the Treaty fishery.
2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
Vessel operators who wish to participate in the Treaty fishery must submit annual applications
for vessel licenses. This information is provided in “License Application Forms”, also known as
Treaty “Schedule 1” forms, and through supplementary information submitted without forms.
They also must submit annual applications for inclusion on the Forum Fisheries Agency (FFA)
Vessel Register, which includes registration of vessels’ vessel monitoring system (VMS) units,
also known as automatic location communicators or mobile transceiver units. This information
is provided in “FFA Vessel Register Application for Registration” forms, and through
supplementary information submitted without forms. Once a vessel is licensed, the vessel
operator must submit periodic written reports of catch and effort. This information is provided in
“Catch Report Forms”, also known as “RPLs,” after each trip, estimated at five times per year.
They also must submit period written reports of transshipments and unloadings of fish. This
information is provided in “Purse Seine Transshipment and other Unloading Logsheets” forms
after each unloading, estimated at six times per year.
The supplementary information that must be provided along with the information specified on
the License Application Form and the FFA Vessel Register Application for Registration form
includes the following: the licensing period for which the license is requested; the name of an
agent, located in Port Moresby, Papua New Guinea, who will receive and respond to any legal
issue on behalf of the vessel, in accordance with the Treaty; documentation from an insurance
company stating that the vessel will be insured against all risks and liabilities normally covered
by maritime liability insurance for the requested licensing period; if subject of proceedings under
bankruptcy laws of the United States, a statement that the owner/charterer will be competent to
fulfill any and all financial responsibilities under the Treaty; a copy of the vessel’s current USCG
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Certificate of Documentation; electronic versions of full color photographs of the vessel in its
current form and appearance, including a bow-to-stern side view photograph and a photograph of
every area of the vessel that is marked with its international radio call sign; a schematic
stowage/well plan for the vessel; and a copy of the VMS unit installation certificate.
As part of the license application process, an applicant may, optionally, and in advance of
submitting a complete application, provide specific information in an “expression of interest”
(not on a form). In the case that more applications are received than there are licenses available,
this information will be used by the National Marine Fisheries Service (NMFS) to determine
eligibility for licenses. For new licenses, the information required to be provided in the
expression of interest includes: (1) the licensing period for which the license is requested;
(2) current name, international radio call sign, and annual USCG Certificate of Documentation
number of the vessel (if known); (3) full name and address of each owner/master of the vessel;
(4) a copy of the vessel’s current USCG Certificate of Documentation, or if not issued, then a
statement of whether application has been or will be made for one, including any endorsements
sought; (5) a list of licensing periods, if any, during which a license for the vessel was issued
under this section; and (6) a statement of the total amount of tuna species landed or transshipped
by the vessel within the United States for each of the calendar years 1988 through the current
year. For license renewals, only items (1) and (2) are required in the (optional) expression of
interest.
The information is collected by the NMFS on behalf of the U.S. Government, which then
forwards it to the FFA, which acts as the Treaty Administrator on behalf of the Pacific Island
Parties to the Treaties, and which is located in Honiara, Solomon Islands. The optional
“expressions of interest” followed by complete license applications include information used by
NMFS to determine eligibility for licenses. The information in vessel license applications and in
applications for the FFA Vessel Register/VMS registration is used by the FFA to determine the
operational capability and financial responsibility of vessel owners/operators interested in
participating in the Treaty fishery. Information obtained from vessel catch and effort reports and
transshipment and unloading reports are used by the FFA to assess the performance of the
fishery and the status of relevant tuna resources in the region and to track the amount of fish
caught within each Pacific Island State’s exclusive economic zone (EEZ) for fair disbursement
of Treaty monies.
The information collected will not be disseminated to the public, yet it will support information
which will be disseminated to the public. If the data collected are used to support information
disseminated to the public they will be as synthesized or interpreted information, and included in
scientific and enforcement technical reports subject to the quality control measures and predissemination review pursuant to Section 515 of Public Law 106-554. 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.

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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.
Most of the information collected and the forms for submitting the information are requirements
under the Treaty. Some of the vessel license application information is not required to be
collected under the Treaty, but is collected so that NMFS can determine eligibility for licenses.
At the current time, the simplest and least burdensome method to obtain the information is
directly from the vessel operator or management firm. At present, there is no existing system
that would be as efficient and as simple as using the required forms. NMFS has engaged the FFA
in discussions to move the fishery to fully automated (electronic) reporting. NMFS staff in Pago
Pago, American Samoa, provides those vessel operators who are interested and capable with
electronic versions of the catch report forms and NMFS accepts electronic versions of those
reports in lieu of written reports. To reduce the burden on respondents, NMFS supplies the
necessary information collection forms and instructions to vessel operators and collects the
completed forms either in person, by mail or by fax.
4. Describe efforts to identify duplication.
Duplication is avoided through consultations and cooperation between the U.S. Government
(through NMFS), the FFA, and the Pacific Island States that are party to the Treaty. There are
no other data collection programs for this information in place; therefore, there is no duplication
with other programs. There are no programs currently in place that contain the information
requested on the forms. The FFA has been informed that any modifications to existing
information collection or forms must be vetted with the U.S. Government and industry at the
annual Treaty consultations for the appropriate Paperwork Reduction Act (PRA) review.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
The collection of most of the information is a requirement, under the Treaty, for vessels to
participate in the Treaty fishery. All of these data have been deemed essential by the parties to
the Treaty. Every effort is made to ensure that when additional information is requested by any
of the parties, there is a review to ensure that it is: (1) essential, (2) not collected elsewhere, and
(3) not overly burdensome or intrusive. Because the number of licenses available under the
Treaty is limited, license eligibility is competitive, and domestic regulations establish the
allocation criteria used in such competition. NMFS has taken steps to ensure that the
information collection includes only those pieces of information that are essential to applying
those allocation criteria.
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 is not collected, the U.S. Government will not meet its obligations under the
Treaty, and the lack of fishing information will result in poor management of the fishery
resource.

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7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
Not Applicable.
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.
A Federal Register Notice published on July 26, 2010 (75 FR 43485) solicited public comments.
No comments were received.
Public comments on the information collection were also solicited in a proposed rule (RIN 0648AY91) published in the Federal Register on June 28, 2010 (75 FR 36619). No comments on the
information collection were received.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payment or gift to respondents has occurred.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
The information is collected by NMFS and transmitted to the FFA pursuant to the Treaty and the
South Pacific Tuna Act of 1988 (SPTA). Confidentiality of the information collected in the
catch report forms and the unloading logsheets is maintained by NMFS pursuant to section 973j
of the SPTA (Appendix 3), and is treated in accordance with NOAA Administrative Order 216100, Protection of Confidential Fisheries Statistics. However, NOAA and NMFS have no direct
control over the confidentiality policies and practices of the FFA, so once the information is
transmitted to the FFA, NMFS and NOAA cannot provide any assurance of confidentiality.
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 questions of a sensitive nature are required in the information collection.
12. Provide an estimate in hours of the burden of the collection of information.
Total annual burden hours:
(a) Expression of interest (optional) –
(i) renewals – 1 response/yr x 15 minutes/response x 38 respondents = 9.5 (10) hours.
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(b)
(c)
(d)
(e)
(f)

(ii) non-renewals – 1 response/yr x 2 hr/response x 4 respondents = 8 hours.
License application form – 1 response/yr x 1 hr/response x 38 respondents = 38 hours.
FFA Vessel Register application/VMS registration form – 1 response/yr x 45
minutes/response x 38 respondents = 28.5 (29) hours.
Catch report form – 5 responses/yr x 1 hr/response x 38 respondents = 190 hours.
Unloading logsheet – 6 responses/yr x 30 minutes/response x 38 respondents = 114 hours.
Maintenance of VMS units – cost only; see #13.

Total burden estimates are 42 respondents, 536 responses, and 389 hours.
Labor costs: $8,188
(a) Expression of interest (optional) –
(i) renewals – 1 response/yr x 0.25 hr/response x $7.00/hr (clerical) x 38 respondents =
$66.50.
(ii) non-renewals – 1 response/yr x 2 hr/response x $7.00/hr (clerical) x 4 respondents =
$56.00.
(b) License application form – 1 response/yr x 1 hr/response x $7.00/hr (clerical) x 38
respondents = $266.00.
(c) FFA Vessel Register application/VMS registration form – 1 response/yr x 0.75 hr/response x
$7.00/hr (clerical) x 38 respondents = $199.50.
(d) Catch report form – 5 responses/yr x 1 hr/response x $25.00/hr (vessel master) x 38
respondents = $4,750.00.
(e) Unloading logsheet – 6 responses/yr x 0.5 hr/response x $25.00/hr (vessel master) x 38
respondents = $2,850.00.
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 total annual cost burden to the respondents is $116,512, or $2,774.09 per respondent.
(a)
(b)
(c)
(d)

Mailing costs – expressions of interest - $1 per forms package x 42 responses = $42.
Mailing costs – catch reports - $1 per forms package x 190 responses = $190.
Mailing costs – unloading logsheets - $1 per forms package x 228 responses = $228.
Mailing costs – license applications and VMS registration, mailed together - $1 per forms
package x 38 respondents = $38.
(e) VMS registration fee - $2,253/yr x 38 respondents = $85,614.
(f) Maintenance of VMS units - $800/yr x 38 respondents = $30,400.
14. Provide estimates of annualized cost to the Federal government.
The estimated annualized cost to the Federal government is $14,273.
(a) License application forms – 1 page of information @ $0.10/page x 38 respondents = $4.
(b) FFA Vessel Register application/VMS registration forms – 3 pages of information @ $0.10
each x 38 respondents = $11.
(c) Mailing and handling of applications – $1 per forms package x 38 respondents = $38.
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(d) Staff review and processing of expressions of interest –
(i) renewals – 15 minutes/response (1 page of information) @ $26/hr [GS-9] x 38
respondents = $247.
(ii) non-renewals – 2 hr/response (3 pages of information) @ $26/hr [GS-9] x 4 respondents
= $208.
(e) Staff review and processing of license applications – 20 minutes/response (3 pages of
information) @ $26/hr [GS-9] x 38 respondents = $329.
(f) Catch report form – 3 pages of information x $0.14 per page x 5 responses per year x 38
respondents = $80.
(g) Unloading logsheet – 1 page of information x $0.14 per page x 6 responses per year x 38
respondents = $32.
(h) Mailing and handling of catch report forms and unloading logsheets – $5 per forms package
x 38 respondents = $190.
(i) Staff review and processing of catch report forms and unloading logsheets – 21 pages of
information x 20 minutes /page x $55/hr [GS-13] x 38 respondents = $14,630.
15. Explain the reasons for any program changes or adjustments.
Due to the recent increase in license holders (from 22 in 2007 to 36 in October 2010), the
expected number of respondents for the information collection has been adjusted to 38, two
fewer than the maximum number of general licenses that may be issued under the Treaty in any
given licensing period, plus four prospective license applicants that submit expressions of
interest each year but that do not subsequently submit a complete application package or receive
a license.
Mailing costs have been added for the catch report and unloading logsheets, because they are
more likely now to be mailed than picked up by NMFS staff (not a program change).
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The information collected is not for publication.
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.
All forms used in the information collection are developed and supplied by the FFA. They do
not display the OMB Control Number or expiration date. NMFS does distribute some of the
license application and FFA Vessel Register/VMS registration forms, and PRA information will
be sent with those forms.
18. Explain each exception to the certification statement.
Not Applicable.

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B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
Statistical methods are not used for this collection.

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