0206 revision 06 16 11.ss

SUPPORTING STATEMENT
ALASKA REGION PERMIT FAMILY OF FORMS
OMB CONTROL NO. 0648-0206

INTRODUCTION
This request is for the revision of an existing collection of information due to an associated rule,
RIN 0648- AY53.
National Marine Fisheries Service, Alaska Region (NMFS) manages the groundfish fisheries in
the Exclusive Economic Zone (EEZ) off the coast of Alaska under the Fishery Management Plan
for Groundfish of the Gulf of Alaska (FMP). The North Pacific Fishery Management Council
(Council) prepared the FMP under the Magnuson-Stevens Fishery Conservation and
Management Act as amended in 2006. Regulations implementing these procedures are located at
50 CFR part 679.
NMFS created the Federal Fisheries Permit (FFP), Federal Processor Permit (FPP), and
Exempted Fishery Permit for use in the EEZ groundfish fisheries. These permits allow NMFS to
monitor participation in groundfish fisheries. All vessel operators must hold onboard a vessel a
valid FFP to fish for or to retain groundfish in the Gulf of Alaska (GOA). All managers of a
shoreside processor or a stationary floating processor must hold at the plant or onboard a valid
FPP to receive, purchase, or arrange to purchase unprocessed groundfish.
The State of Alaska parallel waters are concurrent physically and temporally with Federal waters
in the GOA for specific fish species. Federal groundfish fisheries in the EEZ may be opened by
NMFS to directed fishing for selected groundfish species. Parallel fisheries for groundfish
species may be opened by the Commissioner for the Alaska Department of Fish and Game
(ADF&G) through emergency order. The directed fisheries for Pacific cod in State waters
(0 to 3 nm) are open concurrently with the directed fisheries in Federal waters (3 nm to 200 nm).
The fisheries in State waters (referred to as the ‘parallel fisheries’) are conducted under virtually
the same rules as the Federal fisheries, and catch is counted against the Federal total allowable
catch (TAC). NMFS requires all vessel operators who hold an active FFP to comply with NMFS
recordkeeping and reporting requirements as well as observer coverage and vessel monitoring
system (VMS) requirements (see OMB Control No. 0648-0445).
One of the objectives of the proposed action is to establish sector allocations for each gear and
operation type in the GOA Pacific cod fishery. The sector allocations would be based primarily
on historical catches, as well as conservation, catch monitoring, bycatch, prohibited species catch
(PSC) avoidance, and social objectives, including considerations for small boat sectors and
coastal communities. Dividing the TAC among sectors may also facilitate the future
development of management measures to address Steller Sea lion mitigation issues, bycatch
reduction, and PSC mortality issues.
Currently, vessel operators who hold an FFP and fish for Pacific cod in Federal waters may
surrender their FFP for the purpose of fishing in the parallel waters Pacific cod fishery; this
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surrender allows them to avoid Federal monitoring (recordkeeping and reporting, observer, and
VMS requirements. Without an active FFP, the vessel is immune from requirements. Without
the Federal monitoring these requirements provide, NMFS believes that the quality of catch
accounting is degraded.
In addition, certain catcher/processors using pot and hook-and-line gear continue to fish for
Pacific cod in parallel waters when Pacific cod is closed to the catcher/processor sector but is
open to directed fishing to the catcher vessel sector. This additional fishing by unauthorized
vessels -- increased fishing pressure -- has resulted in shortened seasons, has exacerbated the
race for fish, and has increased the concentration of Pacific cod harvest inside State waters. If
not corrected, this pressure will erode the harvests by vessels that have historically participated
in the GOA Pacific cod fishery. The increased fishing pressure and catch in the parallel waters
fishery have also increased the complexity and difficulty in managing sector allocations,
seasonal apportionments, area apportionments, and maintaining catch below acceptable
biological catch and TAC. With this action, NMFS expects to reduce the frequency with which
some catcher/processors circumvent the intent of Pacific cod sector allocations. Reduction of
unauthorized fishing pressure is intended to enhance stability in the Western and Central GOA
Pacific cod fisheries, reduce competition among the sectors, and preserve the historical division
of catch among sectors.
Federal Fisheries Permit (FFP)
The owner of a vessel of the United States must hold an FFP for the vessel to fish for groundfish
in the GOA or Bering Sea and Aleutian Islands (BSAI). The owner of a vessel of the United
States must hold an FFP to fish in the GOA or BSAI for any non-groundfish species, including
but not limited to halibut, crab, salmon, scallops, and herring, and that is required to retain any
bycatch of groundfish. See 50 CFR 679.4(b).
Currently, an FFP may be voluntarily surrendered; if surrendered, NMFS will reissue an FFP in
the same fishing year in which it was surrendered. With this action, NMFS would change
procedures for surrender of an FFP:
♦ In the BSAI, NMFS will not reissue an FFP to the owner of a vessel named on an FFP
that has been issued with endorsements for catcher/processor vessel operation type, pot or hookand-line gear type, and the BSAI area, until after the expiration date of the surrendered FFP.
♦ In the GOA, NMFS will not reissue an FFP to the owner of a vessel named on an FFP
that has been issued with endorsements for catcher/processor or catcher vessel operation type;
trawl, hook-and-line, pot, or jig gear type; and the GOA area endorsement, until after the
expiration date of the surrendered FFP.
Currently, an FFP may be amended; if amended, NMFS will reissue an amended FFP in the
same fishing year in which it was amended. With this action, NMFS would change procedures
for amendment of an FFP:
♦ In the BSAI, NMFS will not approve an application to amend an FFP to remove a
catcher/processor vessel operation endorsement, pot gear type endorsement, hook-and-line gear
type endorsement, or BSAI area endorsement from an FFP that was issued with endorsements
for catcher/processor operation type, pot or hook-and-line gear type, and the BSAI area.
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♦ In the GOA, NMFS will not approve an application to amend an FFP to remove a
catcher/processor or catcher vessel operation endorsement, pot gear type endorsement, trawl gear
type endorsement, hook-and-line gear type endorsement, or GOA area endorsement from an FFP
that was issued with these endorsements.
Federal Processor Permit (FPP)
A shoreside processor or stationary floating processor must hold an active FPP to receive,
purchase, arrange to purchase, unprocessed groundfish harvested in the GOA or BSAI (see
50 CFR 679.4(f)).
With this action, NMFS adds a new category of participants required to hold an FPP: a
Community Quota Entity (CQE) floating processor. Vessel owners and operators can apply for a
CQE floating processor endorsement on the FPP. A mothership FFP holder that chooses to
operate as a CQE floating processor would need to surrender his or her FFP and apply for an FPP
with the CQE floating processor endorsement. Regulations restrict the owner or operator of a
vessel from possessing both an FPP and an FFP simultaneously.
Currently, a limited number of shoreside processors operate in GOA communities. The majority
of Western GOA groundfish deliveries are made to Sand Point and King Cove, which each have
one shoreside plant, and Dutch Harbor. Most (>95%) of Central GOA groundfish deliveries are
made to Kodiak. The rationale for allowing motherships to process within specific GOA
communities is that it may provide an incentive for additional processors to operate in the GOA,
which would give CV operators more options for making deliveries, and possibly higher prices.
A.

JUSTIFICATION

Amendment 83 to the Fishery Management Plan for Groundfish of the Gulf of Alaska (GOA)
would allocate the Western and Central GOA Pacific cod total allowable catch (TAC) limits
among various gear and operational sectors. Sector allocations would limit the amount of
Western and Central GOA Pacific cod that each sector is authorized to harvest. This action
would reduce competition among sectors and would support stability in the Pacific cod fishery.
This action would also limit access to the Federal Pacific cod TAC fisheries prosecuted in State
waters, commonly known as the parallel fishery, adjacent to the Western and Central GOA. This
action is intended to promote community participation and would provide incentives for new
entrants in the jig sector.
1. Explain the circumstances that make the collection of information necessary.
Competition among participants in the Western and Central GOA Pacific cod fisheries has
intensified in recent years. Because the TACs are not divided among gear or operation types,
there is a derby-style race for fish and competition among the various gear types for shares of the
TACs. The proposed action would divide the Western and Central GOA Pacific cod TACs
among the various gear and operation types, based primarily on historical dependency and use by
each sector, while also considering the needs of fishing communities. This amendment is
intended to enhance stability in the fishery by enabling operators within each sector to plan
harvesting or processing activity during a fishing year, reduce competition among sectors, and
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preserve the historical division of catch among sectors, while providing opportunities for new
entrants in these fisheries.
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 FFP and FPP applications is used for fisheries management
and regulatory compliance by the U.S. Coast Guard (USCG), NMFS Sustainable Fisheries
Division, NMFS Restricted Access Management Program, NMFS Observer Program, NOAA
Fisheries Office for Enforcement, and the Council.
The applications may be submitted
by mail to:

NMFS, Alaska Region
Restricted Access Management (RAM) Program
P.O. Box 21668
Juneau, AK 99802

or delivered to:
Federal Building
709 W. 9th Street, Suite 713
Juneau, AK 99801
or faxed to:

907-586-7354

a. Federal Fisheries Permit (FFP).
An FFP authorizes a vessel owner to deploy a vessel to conduct groundfish operations in the
GOA or BSAI as a catcher vessel, catcher/processor, mothership, tender vessel, or support
vessel. A vessel may not be operated in a category other than as specified on the FFP, except
that a catcher vessel, catcher/processor, mothership, or tender vessel may be operated as a
support vessel. FFPs are non-transferable, three-year permits, issued on request and without
charge to vessel owners. These permits are authorized 50 CFR 679(4)b.
The FFP is also required for vessels used to fish for any non-groundfish species and that are
required to retain any bycatch of groundfish under 50 CFR Part 679. Non-groundfish species
include but are not limited to halibut, crab, salmon, scallops, and herring.
If the owner of a catcher vessel or catcher/processor plans to participate in the directed fishery
for Pacific cod, pollock, or Atka mackerel in the GOA or BSAI with any gear other than jig gear,
the FFP must be endorsed for these species by gear type. For new requests for an FFP or if
ownership of the vessel issued an FFP has changed, documentation of vessel ownership must be
provided with the application.

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Federal fisheries permit (FFP) application
Indicate the type of request: New FFP, FFP Renewal, Amended FFP, or Surrendered FFP
If requesting to renew, amend, or surrender an existing FPP, provide current FPP number
Block A – Owner information
Owner name and NMFS Person ID
Business mailing address, including street or P.O. box, city, state, and zip code;
indicate whether permanent or temporary
Managing company name (if any)
Business telephone number, business fax number, and e-mail address
Block B. Vessel information
Vessel name
Home port (city and state)
ADF&G processor code (if applicable)
Indicate whether this is a vessel of the United States
USCG documentation number
ADF&G vessel registration number
Length overall (ft) and registered length (ft)
Gross tonnage and net tonnage
Shaft horsepower
Block C. Permit information
Area of operation.
Type of vessel operation.
Gear type (catcher vessel or catcher/processor only)
GOA Inshore Processing Endorsement (vessels under 125 ft length overall)
Block D. Species Endorsements and Amendments
Indicate requested species endorsements with gear other than jig gear; or
Remove species endorsement
Block E. Signature
Printed name and signature of applicant and date signed
Attachments:
For USCG documented vessels, a copy of the USCG Abstract of Title or Certificate of Documentation
For undocumented vessels, a copy of the ADF&G vessel license or registration
Federal Fisheries Permit, respondents
Total number of respondents
1,460 catcher vessels
170 catcher/processors
34 motherships
100 tender vessels
25 support vessels
Total number of annualized respondents and
responses (1789 /3 = 586.33)
Response per participant = 1 every 3 yrs
Total Time burden (208.60)
Time per response (21 min)
Total personnel costs ($25 x 209)
Cost per hour =$25
Total miscellaneous costs (877.84)
Submit by fax ($6 x 100 = 600)
Submit by mail (.44 x 496 = 218.24)
Photocopy (0.05 x 2pp x 596 = 59.60)

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1,789

596

209 hr
$5,225
$878

Federal Fisheries Permit, Federal Government
Total number of responses
Total time burden
Time requirement per response (45 min)
Total personnel cost ($25 x 447)
Cost per hour =$25
Total miscellaneous costs

596
447 hr
$11,175
$0

b. Federal processor permit (FPP) application
The FPP is a groundfish permit required for stationary floating processors (processing vessels
that operate solely within Alaska State waters) and for shoreside processors that receive,
purchase, arrange to purchase, and/or process groundfish harvested in the GOA and BSAI. FPPs
are non-transferable, three year permits, issued to owners on request and without charge. Only
persons who are U.S. citizens are authorized to receive or hold an FPP.
A new endorsement, a CQE Floating Processor, is required on a Federal Processor Permit (FPP)
if the vessel will process Pacific cod within the marine municipal boundaries of CQE
communities in the Western or Central GOA. A CQE floating processor is able to move to any
number of CQE communities in a given fishing year. A vessel cannot function as both a
mothership and as a CQE floating processor at the same time; a vessel cannot have an FFP and
an FPP at the same time.
This action would permit eligible vessels to operate in the Western and Central GOA within the
boundaries of municipalities eligible to participate in the CQE program. The owners or
operators of vessels that are not stationary floating processors, defined at 50 CFR part 679.2,
could apply for an FPP with a CQE floating processor endorsement. Under this action, Federally
permitted vessels that receive and process groundfish from other vessels, and have not been used
to harvest groundfish off Alaska during the same calendar year could temporarily process
groundfish within the municipal boundaries of a Western or Central GOA CQE community.
Federal processor permit (FPP) application
Indicate category of processor: Shoreside processor, SFP, or CQE floating processor
Indicate type of permit requested
If requesting to renew or amend an existing FPP, enter FPP number
Block A. Owner information
Owner name
NMFS Person ID
Permanent business mailing address, including street or box, city, state, and zip code
A temporary business mailing address may also be included
Business telephone number, business fax number, and business e-mail address
Managing company name (if any)
Block B. SFP information.
Name of SFP
Indicate whether this is a vessel of the United States
USCG documentation number
ADF&G vessel registration number
ADF&G processor code
Length overall (ft) and registered length (ft)
Gross tonnage and net tonnage
Shaft horsepower
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Home port (city and state)
Indicate if requesting GOA Inshore Processing Endorsement
Block C. Shoreside processor information
Name of shoreside processor
ADF&G processor code
Permanent business mailing address, including P.O. box or street, city, state, and zip code
A temporary business mailing address may also be included
Physical location of plant at which this shoreside processor is operating (no post office boxes)
Indicate whether this shoreside processor is replacing a previous processor at this facility;
if YES, name of previous processor
Indicate whether there are multiple processors using this facility
Indicate whether the owner named in Block A owns the plant named in Block C
Business telephone number, business fax number, and business e-mail address
Block D. CQE Floating processor information
Name of vessel
Indicate whether a vessel of the United States
USCG documentation number
ADF&G vessel registration number
ADF&G processor code
Length overall (ft) and registered length (ft)
Gross tonnage and net tonnage
Shaft horsepower
Home port of vessel (city and state)
Indicate if requesting GOA CQE Floating Processor Endorsement
Block E. Applicant signature
Printed name and signature of applicant and date signed
Attachment: If an SFP or CQE floating processor, attach a copy of the USCG Abstract of Title
or Certificate of Documentation if requesting a new FPP or if ownership of the SFP or
CQE floating processor has changed

Federal Processor Permit, respondents
Total number of respondents
119 shoreside processors
14 SFPs
24 CQE floating processors
Total number of annualized respondents and
responses (52.33)
Number responses per participant=1 every 3 years
Total time burden for all responses (18.2)
Time requirement per response (21 min)
Total personnel cost
Cost per hour =$25
Total miscellaneous cost (55.88)
Submit by fax ($6 x 5 = 30)
Submit by mail (.44 x 47 = 20.68)
Photocopy (0.05 x 2pp x 52 = 5.20
Federal Processor Permit, Federal Government
Total number responses
Total time burden for all responses
Time requirement per permit = 45 min
Total personnel cost ($25 x 39 hr)
Total miscellaneous cost

157

52
18 hr
$450
$56

52
39 hr
$975
$0

The other information collection, annual exempted fishery permit, remains the same:
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Exempted Fishing Permit, Respondent
Estimated number of respondents
Total estimated responses
Number of responses per participant=1
Total time burden (4 x 20 hr)
Application for each permit=20 hr
Total personnel cost ($25 x 80 hr)
Personnel cost per hour=$25
Total miscellaneous cost
Priority Mail Postage (4.50 x 4)
Exempted Fishing Permit, Federal Government
Estimated total responses
Number responses per respondent=1
Total time burden
Review application & resolve questions (10)
4 hr at GS-12/13
5 hr at GS-14/15
1 hr at $100/hr
Process application, create EA, issue EFP (33 hr)
24 hr at GS-12/13
9 hr at GS-14/15
Complete report of EFP activity (2 hr)
1 hr at GS-12/13
1 hr at GS-14/15
Total personnel cost
(4 + 24 + 1 GS-12/13) x $43 = 1247
(5 + 9 + 1 GS-14/15) x $60 = 900
1 hr at $100 = 100
Total miscellaneous costs

4
4
80 hr
$2,000
$18

4
45 hr

$2,247

$300

It is anticipated that the information collected will be disseminated to the public or used to
support publicly disseminated information. As explained in the following paragraphs, the
information gathered has utility. NOAA Fisheries 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.
The FFP and FPP applications may be completed onscreen using fillable forms, downloaded, and
printed from the NMFS Alaska Region website http://www.alaskafisheries.noaa.gov.
4. Describe efforts to identify duplication.
No duplication exists with other information collections.

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5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
The proposed action directly regulates catcher vessels and catcher/processors that participate in
the Pacific cod fisheries in the Western and Central GOA. Data from 2008 show that five
processing entities and 401 catcher vessels are considered small entities. Seven
catcher/processors are estimated to be small entities. NMFS estimates that one mothership and a
stationary floating processor owned by two different processing entities, are small entities. As of
April 29, 2011, 24 CQE non-profit corporations represent 24 unique Alaskan communities.
The collection-of-information does not impose a significant impact on small entities.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
In 1992, the inshore/offshore processing allocations were established under Amendment 23 to
the FMP (57 FR 23321; June 3, 1992) and were intended to prevent one processing sector, such
as catcher/processors, from preempting another, such as shoreside processors. The
inshore/offshore processing allocations enabled vessels and facilities operators to better plan
their annual harvest and processing activity. These provisions protected the inshore processing
component from competition by the offshore fleet.
The proposed action, Amendment 83, would supersede the inshore/offshore allocations with
sector allocations. This amendment is intended to enhance stability in the fishery by enabling
operators within each sector to plan harvesting or processing activity during a fishing year,
reduce competition among sectors, and preserve the historical division of catch among sectors,
while providing opportunities for new entrants in these fisheries.
This action would retain restrictions established under the inshore/offshore system to prohibit
stationary floating processors from engaging in mothership activity in more than one geographic
location in the GOA, or operating as a catcher/processor in the GOA during the same calendar
year. In addition, this proposed rule would establish various processing caps as part of the new
sector allocations in the Western and Central GOA.
Without these restrictions, sector allocations, and processing caps, owners and operators of
vessels receiving deliveries of Pacific cod could shift historic processing delivery patterns away
from communities historically dependent on processing activity and future harvests by some
sectors would increase and impinge on the historical levels of catch by other sectors.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
No special circumstances exist.

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8. Provide a copy of the PRA Federal Register Notice that solicited public comments on the
information collection prior to this submission. Summarize the public comments received
in response to that notice and describe the actions taken by the agency in response to those
comments. Describe the efforts to consult with persons outside the agency to obtain their
views on the availability of data, frequency of collection, the clarity of instructions and
recordkeeping, disclosure, or reporting format (if any), and on the data elements to be
recorded, disclosed, or reported.
NMFS Alaska Region will submit a proposed rule (RIN 0648-AY53) coincident with this
submission, requesting comments from the public.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payment or gift is provided.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
As stated on the forms, the information collected is confidential under section 402(b) of the
Magnuson-Stevens Act (16 U.S.C. 1801 et seq.); and also under NOAA Administrative Order
(AO) 216-100, which sets forth procedures to protect confidentiality of fishery statistics.
All information collected is part of a system of records: NOAA #19, Permits and Registrations
for United States Federally Regulated Fisheries.
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
This information collection does not involve information of a sensitive nature.
12. Provide an estimate in hours of the burden of the collection of information.
Estimated total respondents and responses: 652, up from 644. Hours: 307, up from 304.
Personnel costs: $ 7,675, up from $ 7,600.
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).
Estimated total miscellaneous cost: $ 952, down from $2,200.
14. Provide estimates of annualized cost to the Federal government.
Estimated total burden: 531 up from 525 hr. Estimated total personnel cost: $14,397, up from
$14,247. Total miscellaneous costs: no change from previous cost of $300.
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15. Explain the reasons for any program changes or adjustments.
Adjustments are made in this collection, due in part to differences in numbers of participants,
based on current permit counts, and due to revisions to postage rates and fax costs and the more
current proportions of those choosing to mail vs. faxing.
Federal fisheries permit application
A decrease of $1,038 miscellaneous costs, $878 instead of $1,916.
Federal processor permit application
A decrease of $210 miscellaneous costs, $56 instead of $266.
Program change: A total of 24 CQE floating processors will be completing the FPP application
(annualized to 8).
Federal processor permit application
An increase of 8 respondents and responses, 52 instead of 44
An increase of 3 hrs, 18 instead of 15
An increase of $75 personnel costs, $450 instead of $375.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The information obtained from the applications for FFPs and FPPs is not expected to be
published for statistical use. Information resulting from issuance of EFPs will be made available
to the public. NMFS anticipates that some of this information will be in the form of statistical
data.
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.
In accordance with OMB requirements, the control number and expiration date of OMB approval
will be shown on the FFP and FPP applications. The EFP application does not have a form;
required information may be submitted in any format.
18. Explain each exception to the certification statement.
In accordance with OMB requirements, the certification statement will be shown on the FFP and
FPP applications. The EFP application does not have a form; required information may be
submitted in any format.
B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.

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