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pdfSUPPORTING STATEMENT
NORTHEAST REGION OBSERVER PROVIDERS REQUIREMENTS
OMB CONTROL NO. 0648-0546
A. JUSTIFICATION
1. Explain the circumstances that make the collection of information necessary.
This request is for extension of a current information collection.
Fishery Management Plans for Federal Fisheries managed under the National Oceanic and
Atmospheric Administration’s (NOAA) National Marine Fishery Service (NMFS) are developed
under the authority of the Magnuson-Stevens Fishery Conservation and Management Act
(MSA). Amendment 13 to the Atlantic Sea Scallop (Scallop) Fishery Management Plan (FMP),
finalized in 0648-AV39 (72 FR 32549, June 13, 2007) implemented an industry-funded observer
program which included reporting requirements for both observer service providers as well as
the scallop fishing industry. Framework 19, finalized in 0648-AV90 (73 FR 30790, May 29,
2008) further revised the scallop observer program and implemented additional information
collection requirements to allow for more effective administration of the program.
Observer coverage in the scallop fishery is necessary to monitor the bycatch of finfish including
yellowtail flounder, skates, monkfish, cod, and other species. Monitoring of yellowtail flounder
bycatch in the Scallop Access Areas within the year round closed areas under the Northeast (NE)
Multispecies FMP is of particular concern because the scallop fishery is constrained by a fisheryspecific total allowable catch (TAC) of yellowtail flounder. The yellowtail flounder TAC
allocated to the scallop fishery is part of the stock-wide yellowtail flounder TACs set by the NE
Multispecies FMP to achieve specified yellowtail flounder mortality targets. Observer coverage
is also needed to monitor interactions of the scallop fishery with endangered and threatened sea
turtles.
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 collections which are a result of Amendment 13 and Framework 19 are
reporting requirements used by the National Marine Fisheries Service (NMFS) and Northeast
Fisheries Observer Program (NEFOP).
There are 17 separate information collections that were implemented by Amendment 13 and
Framework 19, the use of which is discussed here. All information collections are necessary for
the successful operation of the scallop observer program. NOTE: The information collections in
the last two submissions were not broken out in as much detail as they are below. The
description below does not add any information collections, just breaks them out in clearer detail.
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1. Observer deployment report: The observer service provider deployment reports are used
to inform NEFOP when, where, to whom, and to what scallop area an observer has been
deployed within 24 hours of the observer’s departure. The observer service provider also
must ensure that the observer reports back to the NEFOP its Observer Contractor Trip
Reporting (OBSCON) data, as described in the certified observer training, within 12
hours of landing.
2. Observer Availability Report: The observer service provider availability reports are used
to inform NEFOP of any occurrence of their inability to respond to an industry request
for observer coverage due to the lack of available observers on staff by 5:00 pm, Eastern
Standard Time, on any day with an industry request for observer coverage.
3. Safety Refusals: The observer service provider safety refusal reports are used to inform
NEFOP of any trip that has been refused due to safety issues, e.g., failure to hold a valid
USCG Commercial Fishing Vessel Safety Examination Decal or meet the safety
requirements of the observer’s pre-trip vessel safety checklist, within 24 hours of the
refusal.
4. Raw observer data: The submission of raw (unedited) data (via courier service eg.
FedEx, DHL, etc.) collected by the observer to the NEFOP within 72 hours of trip
landing is necessary for NEFOP to administer the observer program. This data is also
used to monitor bycatch in the scallop fishery.
5. Observer debriefing: The observer service provider must ensure that the observer
remains available to the NEFOP and/or NMFS Office for Law Enforcement for
debriefing for two weeks following any observed trip. Observer debriefings ensure the
data collected by the observer is as accurate as possible, and any potential issues are
addressed. An observer that is at sea during the two-week period must contact the
NEFOP upon his or her return if requested.
6. Other reports: Reports of possible observer harassment, discrimination, concerns about
vessel safety or marine casualty, observer illness or injury, and any information,
allegations, or reports regarding observer conflict of interest or breach of the standards of
behavior must be submitted to the NEFOP in a timely manner.
7. Biological samples: The observer service provider must ensure that biological samples,
including whole marine mammals, turtles and sea birds, are stored/handled properly and
transported to the NEFOP within 7 days of landing.
8. New permit application for observer provider: Any third party provider that wishes to
operate in the scallop observer program must submit a thorough application and gain
approval from NMFS.
9. Applicant response to a denial: If an application for approval as an observer service
provider is incomplete or does not meet the requirements of an approved observer service
provider, the applicant will be provided with a written denial. Each applicant may
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present additional information to NMFS to rectify the deficiencies specified in the written
denial within 30 days of the applicant’s receipt of the denial notification.
10. Request for observer training: The observer service provider must submit a request for a
certified training class at least 30 days prior to the beginning of the proposed training
class to ensure that the NEFOP is provided with the necessary time and information to
prepare for the training of candidate observers.
11. Rebuttal of pending removal from list of approved observer providers: An observer
provider that fails to meet the requirements, conditions, and responsibilities of an
approved observer service provider will be notified in writing that it is subject to removal
from the list of approved observer service providers. An observer service provider that
has received notification that it is subject to removal from the list of approved observer
service providers may submit information to rebut the reasons for removal from the list
within 30 days and must give written evidence that clearly disproves the reasons for
removal.
12. Request to observer service provider to procure an observer: An owner of a scallop
vessel required to carry an observer must arrange for carrying a NEFOP-certified
observer from an approved observer service provider. The owner, operator, or vessel
manager of a vessel selected to carry an observer must contact the observer service
provider by phone and must provide at least 72 hours for the provider to arrange for
observer deployment for a specified trip.
13. Notification of unavailability of observers: An owner, operator, or vessel manager of a
vessel who cannot procure a certified observer within 72 hours of the notification to the
provider, due to the unavailability of an observer, may request a waiver from the
requirement for observer coverage for that trip, but only if the owner, operator, or vessel
manager has contacted all of the available observer service providers to secure observer
coverage. To request a waiver based on the unavailability of observers, an owner,
operator, or vessel manager of the vessel must call the NEFOP. If the NEFOP confirms
that no observers are available, it will issue a waiver within 24 hours.
14. Observer contact list updates: The updated observer contact list would facilitate the
ability of NMFS/NEFOP to contact an observer when necessary. This list would be
updated by the service provider as necessary.
15. Observer availability updates: The observer status report would facilitate the ability of
NMFS/NEFOP to confirm observer availability, or the lack thereof, when a provider
notifies NFMS/NEFOP of instances when no observers were available for deployment.
This list would be updated by the service provider as necessary.
16. Service provider material submissions: NMFS/NEFOP may request service providers to
provide copies of materials provided to the fishing industry. This would allow
NMFS/NEFOP to ensure such materials are accurate and in keeping with the objectives
of the program. This information would likely be solicited when changes to such
materials are made.
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17. Service provider contracts: NMFS/NEFOP may request service providers to provide a
copy of each type of signed and valid contract between the observer provider and those
entities requiring observer services. This would allow NMFS/NEFOP to resolve contract
disputes between the provider and industry, and to ensure provider contracts with their
employees are in keeping with the objectives of the observer program. This information
would likely be solicited when changes to such materials are made.
NMFS retains control over all information and safeguards it from improper access, modification,
and destruction, consistent with NOAA standards for confidentiality, privacy, and electronic
information. The information collection is designed to yield data that meet all applicable
information quality guidelines. Prior to dissemination, the information would be subjected to
quality control measures and pre-dissemination review pursuant to Section 515 of Public law
106-554.
3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
The observer providers and vessels submit materials to NMFS/NEFOP via e-mail, fax or postal
service. Instructions for providers and for vessels are available on the Northeast Region Web
site: http://www.nefsc.noaa.gov/femad/fsb/.
4. Describe efforts to identify duplication.
The application processes and information submissions for the observer provider and vessels are
unique to the scallop observer program, and direct duplication with other collections does not
exist.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
This 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.
All information is required for the efficient operation of the scallop observer program and must
be submitted in the time frames requested. Collecting this information less frequently would
jeopardize the goals and objectives of the observer program and the effective management of the
scallop fishery.
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7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
Service providers would be required to submit observer contact and availability information as
necessary, which may be more often than quarterly. This to ensure NMFS/NEFOP observer data
is accurate and up to date.
NMFS/NEFOP may request service provider materials as necessary, which may be more
frequent than quarterly. This is to ensure materials provided to industry and observers are
accurate, up to date, and in keeping with observer program objectives and policies.
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.
A Federal Register Notice published on February 18, 2011 (76 FR 9551) solicited public
comments on this information collection. No comments 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 is provided under this program for observer service providers
or vessel owners as a part of the scallop observer program.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
As stated in information collection instructions, the information collected is confidential under
section 402(b) of the Magnuson-Stevens Act (16 U.S.C. 1801, et seq.).
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 collection of information does not request any information that are of a sensitive nature.
12. Provide an estimate in hours of the burden of the collection of information.
The time and cost burden of this information collection is presented in Table 1 below. There are
currently 628 Limited Access and Limited Access General Category permitted Scallop vessels
that are subject to this information collection. At the time of this renewal, there are 2 providers
that support the scallop observer program. Conversations with NEFOP staff indicated that there
is the potential for one more service provider to enter the scallop observer program within the
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three years before this information collection is renewed. Therefore, the majority of the
information collections here were analyzed for either 628 vessels or 3 scallop observer program
providers. The two exceptions are the ‘applicant response to a denial’ as it is unlikely the 2
scallop providers already operating will be denied as future providers. However, if a new
provider applies to be approved, there is the potential for it to be denied. Therefore, for
information collections #9 and #11, analysis was completed assuming only one observer
provider would be subject to this information collection in the three years before this information
collection is renewed. The estimated total number of respondents, responses and hours for the
entire scallop observer program are: 631 respondents (628 vessels and 3 observer providers),
35,841 responses and 6,236 hours. The burden hours for each information collection are
presented here as well as in Table 1:
1. Observer deployment report: Each provider is estimated to submit 250 observer
deployment reports annually (once a day not including weekends) for a total of 750
reports annually (250 * 3 providers). Each report is estimated to take 10 minutes to fill
out and email to NEFOP, for a total of 125 hours.
2. Observer Availability Report: Each provider is estimated to submit 150 observer
availability reports annually (estimate from NEFOP) for a total of 450 reports annually
(150 * 3 providers). Each report is estimated to take 10 minutes to fill out and email to
NEFOP, for a total of 75 hours.
3. Safety Refusals: Each provider is estimated to submit a maximum of 25 safety refusal
reports annually (estimate from NEFOP) for a total of 75 reports annually (25 * 3
providers). Each report is estimated to take 30 minutes to fill out and email to NEFOP,
for a total of 37.5 (38) hours.
4. Raw observer data: Each provider is estimated to submit raw data to the NEFOP 250
times annually (once a day not including weekends) for a total of 750 total times annually
(250 * 3 providers). Each report is estimated to take 5 minutes to fill out and send via
express mail to NEFOP for a total of 62.5 hours
5. Observer debriefing: Each provider is estimated to have 70 debriefings with observers
annually for a total of 210 observer briefings (70 * 3 providers). Each briefing is
estimated to take 2 hours for a total of 420 hours.
6. Other reports: Each provider is estimated to submit 35 other reports (predominantly
incident reports) annually for a total of 105 reports. Each report takes 30 minutes to fill
out and email to NEFOP for a total of 52.5 hours.
7. Biological samples: Each provider is estimated to submit biological samples 250 times
annually for a total of 750 times (250 * 3 providers). Each submission is estimated to
take 5 minutes to mail to NEFOP for a total of 62.5 hours.
8. New permit application for observer provider: Each provider is estimated to submit new
permit applications once annually for a total of 3 new permit applications. Each
application is estimated to take 10 hours to complete for a total of 30 hours.
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9. Applicant response to a denial: NEFOP staff estimated that one new provider
application would be denied annually (maximum) and have the opportunity to respond.
Each response would take 10 hours to put together and submit to NEFOP for a total of 10
hours.
10. Request for observer training: Each provider is estimated to request observer training
twice annually for a total of six times (2 * 3 providers). Each request is estimated to take
30 minutes for a total of 3 hours.
11. Rebuttal of pending removal from list of approved observer providers: NEFOP staff
estimated that no more than one new provider would be removed from the list of
approved providers and have the opportunity to rebut their removal. Each rebuttal is
estimated to take 8 to complete and mail to NEFOP for a total of 8 hours.
12. Request to observer service provider to procure an observer: Each vessel is estimated to
request an observer 50 times annually for a total of 31,400 requests (50 * 628 vessels).
Each request is estimated to take 10 minutes to call the NEFOP for a total of 5233 hours
annually.
13. Notification of unavailability of observers: Each vessel is estimated to notify NEFOP of
the unavailability of observers twice per year for a total of 1256 times annually (628 * 2).
Each notification is estimated to take 5 minutes to call NEFOP, for a total of 105 hours.
14. Observer contact list updates: Each provider is estimated to update their observer
contact list 12 times annually (once a month) for a total of 36 times (12 * 3 providers).
Each update is estimated to take 5 minutes to email to NEFOP for a total of 3 hours.
15. Observer availability updates: Each provider is estimated to update their observer
availability list 12 times annually (once a month) for a total of 36 times (12 * 3
providers). Each update is estimated to take1 minute to email to NEFOP for a total of 36
minutes (1 hour).
16. Service provider material submissions: Each provider is estimated to submit new
materials to NEFOP twice annually for a total of 6 times (2 * 3 providers). Each update
is estimated to take 30 minutes to mail to NEFOP for a total of 3 hours.
17. Service provider contracts: Each provider is estimated to submit service provider
contracts to NEFOP twice annually for a total of 6 times (2 * 3 providers). Each contract
is estimated to take 30 minutes to mail to NEFOP for a total of 3 hours.
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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 total annual cost burden to the respondents from the scallop observer program is $44, 716
(rounded down in ROCIS to $44,715) (Table 1). These costs are exclusively mail or telephone
costs associated with the information collections. Phone calls were estimated to cost $0.10 per
minute and stamps are currently $0.44 each. Some information collections are required to be
sent by express mail (ex. $13.00 for an express mail envelope) such as raw observer data for
timely monitoring of particular bycatch species. The burden cost for each information collection
is presented here as well as in Table 1:
1. Observer deployment report: sent via e-mail = $0
2. Observer Availability Report: sent via e-mail = $0
3. Safety Refusals: sent via e-mail = $0
4. Raw observer data: $13.00 per raw data mailing (express mail) times 750 mailings =
$9,750
5. Observer debriefing: $12.00 per debriefing times 210 debriefings = $2,520
6. Other reports: sent via e-mail = $0
7. Biological samples: $0.50 per sample times 750 samples = $375
8. New permit application for observer provider: $0.44 per application times 3 applications
= $1.32
9. Applicant response to a denial: $0.44 per denial times 1 application = $0.44
10. Request for observer training: $1.80 per request times 6 requests = $10.80
11. Rebuttal of pending removal from list of approved observer providers: $0.44 per rebuttal
time 1 estimated rebuttal = $0.44
12. Request to observer service provider to procure an observer: $1.00 per request times
31,400 requests = $31,400
13. Notification of unavailability of observers: $0.50 per notification times 1256
notifications = $628
14. Observer contact list updates: sent via e-mail = $0
15. Observer availability updates: sent via e-mail = $0
8
16. Service provider material submissions: $2.50 per submission times 6 submissions = $15
17. Service provider contracts: $2.50 per contract times 6 contracts = $15.
14. Provide estimates of annualized cost to the Federal government.
The total annualized cost to the Federal government from the scallop observer program is
$626,242. This is the cost to the Federal government based on 1089.12 hours at a rate of $35 per
hour. The burden hours for each information collection are presented here as well as in Table 1:
1. Observer deployment report: 21 hours annually for a total of $729
2. Observer Availability Report: 13 hours annually for a total of $438
3. Safety Refusals: 19 hours annually for a total of $656
4. Raw observer data: 31 hours annually for a total of $1,094
5. Observer debriefing: 840 hours annually for a total of $29,400
6. Other reports: 26 hours annually for a total of $919
7. Biological samples: 31 hours annually for a total of $1,094
8. New permit application for observer provider: 3 hours annually for a total of $105
9. Applicant response to a denial: 0.02 hours annually for a total of $1.00
10. Request for observer training: 0.05 hours annually for a total of $2.00
11. Rebuttal of pending removal from list of approved observer providers: 0.05 hours
annually for a total of $2.00
12. Request to observer service provider to procure an observer: 52 hours annually for a
total of $1,308
13. Notification of unavailability of observers: 52 hours annually for a total of $1,308
14. Observer contact list updates: 0.10 hours annually for a total of $4.00
15. Observer availability updates: 0.05 hours annually for a total of $2
16. Service provider material submissions: 0.25 hours annually for a total of $9.00
17. Service provider contracts: 0.10 hours annually for a total of $4.00
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15. Explain the reasons for any program changes or adjustments.
The scallop observer program was established with the implementation of Amendment 13. At
the time the program was implemented, the burden and costs were estimated based on how many
observer providers were believed to apply, and how many vessels were operating in the scallop
fishery at that time. Cost and time burden as a result of the information collection was estimated
before the observer program was put into place. The most recent request regarding OMB
Control No. 0648-0546 – a revision in conjunction with RIN 0648-AV90 - was coordinated with
Framework 19 and introduced new information collections to aid in the effectiveness of the
scallop observer program. However, the original burdens and costs were not reviewed at that
time.
For this renewal, the burden and costs of the scallop observer program were thoroughly reviewed
in coordination with NEFOP staff, as the program has been operational since the 2007
implementation of Amendment 13. Therefore, any changes to the costs and burdens from the
previous renewal are due to better understanding the actual burdens and costs of the program, as
it is operating currently, and as it is expected to operate in the three years until the next renewal.
There are no new information collections introduced during this renewal.
Adjustments to the number of providers:
At the time of this renewal there are 2 providers that support the scallop observer program.
Conversations with NEFOP staff indicated that there is the potential for one more service
provider to enter the scallop observer program within the three years before this information
collection is renewed. Therefore, the majority of the information collections here were analyzed
for either 628 vessels or 3 scallop observer program providers. The two exceptions are the
‘applicant response to a denial’ as it is unlikely the 2 scallop providers already operating will be
denied as future providers. However, if a new provider applies to be approved, there is the
potential for it to be denied. Therefore, for information collections #9 and #11, analysis was
completed assuming only one observer provider would be subject to this information collection
in the three years before this information collection is renewed.
Adjustments to the number of vessels:
The previous renewals estimated 805 vessels subject to reporting requirements as a part of this
information collection: 337 limited access scallop vessels and approximately 50 percent of
general category scallop vessels (425 vessels). Since the last renewal, a limited access program
for general category scallop vessels has been implemented and the number of total vessels for
this information collection has decreased to 628 permitted limited access and limited access
general category scallop vessels.
Updates to this information collection resulted in the following adjustments:
Adjustments in Burden and Cost from 2008 to 2011
2008 Renewal
Number of Respondents
Number of Responses
2011 Renewal
Change in Burden
805
631
-177
1740
35,841
+ 34,101
Total annual hours
619
6,236
+ 5,617
Total annual costs
*Per ROCIS
$6,010
$44,715*
+ $38,705
10
16. For collections whose results will be published, outline the plans for tabulation and
publication.
NMFS has no plans to tabulate the results of this information collection.
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.
No forms are available in this collection. The information is collected through e-mail, reports
without forms, and by phone. The instructions posted on the Web site have the OMB Control
No. and expiration date on them.
18. Explain each exception to the certification statement.
No exceptions to the certification statement are requested.
B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.
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Table 1
Information Collection
Number
of
Entities
Items
per
Entity
Total #
of
Items
Public
Response
Time
(Minutes)
Observer deployment report
3
250
750
Observer availability report
3
150
450
Safety refusals
3
25
75
Raw observer data
3
250
750
Observer debriefing
3
70
210
Other reports
3
35
105
Biological samples
3
250
Request to observer service provider to
procure an observer
628
Notification of unavailability of
observers
New permit application for observer
provider
628
Applicant response to denial
Request for observer training
Rebuttal of pending removal from list
of approved observer providers
Total
Time
Burden
(Hours)
Cost
per
Hour
10
125
$25
10
75
$25
30
38
$25
5
63
120
420
30
750
50
2
3
1
1
1
3
2
$0.00
10
$1,875
e-mail
$0.00
10
$938
e-mail
$0.00
30
$25
$1,563
$13.00
$9,750.00
30
$25
$10,500
$12.00
$2,520.00
120
53
$25
$1,313
e-mail
$0.00
30
5
63
$25
$1,563
$0.50
$375.00
30
31,400
10
5233.3
$15
$78,500
$1.00
$31,400.00
5
1,256
5
104.7
$15
$1,570
$0.50
$628.00
5
600
30
1
600
10
1
1
3
12
Observer Availability Updates
3
12
Service Provider Material Submissions
3
2
Service Provider Contracts
3
2
1,297
1,115
$750
$25
6
1
Observer Contact List Updates
Totals
Total Actual
Costs
$3,125
Total
Actual
Costs per
Entity
(phone call
($0.10/min)
unless
noted)
e-mail
3
Total
Time
Burden
Cost
Governme
nt
Response
Time
(Minutes)
3
30
480
$25
$25
8
$75
36
6
6
35,841
3
5
1
1
3
30
3
30
2,001
6,236
$0.44
$1.80
$200
$25
36
$0
$0
$0
$0
NA
*Rounded down to $44,715 in ROCIS.
12
$0.44
$10.80
$0
$0
$0
$1,901,248
13
19
31
840
26
31
$729
$35
$438
$35
$656
$35
$1,094
$35
$29,400
$35
$919
$35
$1,094
$1,308
52
$25
52
$25
$1,308
$105
60
3
$35
1
0.02
$35
1
0.05
$35
3
0.05
$35
$0.00
2
0.10
$35
e-mail
$0.00
$15.00
1
0.05
$35
$2.50
NA
$15.00
$44,716.00*
$1
$2
$2
e-mail
$2.50
Total
Cost
$35
$0.44
$0.44
$0
21
Cost
per
Hour
$1.32
$0.44
$250
Total
Time
Burden
(Hours)
5
0.25
$35
2
0.10
$35
345
1089.12
NA
$4
$2
$9
$4
$626,242
| File Type | application/pdf |
| File Title | Microsoft Word - 0318 ss ren 091305.doc |
| Author | skuzmanoff |
| File Modified | 2011-06-24 |
| File Created | 2011-06-24 |