0445 SS 071911 rev

SUPPORTING STATEMENT
NMFS ALASKA REGION
VESSEL MONITORING SYSTEM (VMS) PROGRAM
OMB CONTROL NO. 0648-0445

INTRODUCTION
National Marine Fisheries Service (NMFS), Alaska Region manages the groundfish fisheries in
the exclusive economic zone (EEZ) of the Bering Sea and Aleutian Islands Management Area
(BSAI) and Gulf of Alaska (GOA) under fishery management plans (FMPs) for groundfish in the
respective areas. The North Pacific Fishery Management Council (Council) prepared, and
NMFS approved, the FMPs under the authority of the Magnuson-Stevens Fishery Conservation
and Management Act, 16 U.S.C. 1801 et seq. The Northern Pacific Halibut Act of 1982 (Halibut
Act) at 16 U.S.C. 773–773k provides the Secretary of Commerce with the authority and general
responsibility to carry out the requirements of the Preservation of the Halibut Fishery of the
North Pacific Ocean and Bering Sea (Convention), signed at Ottawa, Ontario, on March 2, 1953.
Commercial halibut fisheries operate within the Individual Fishing Quota (IFQ) Program,
Western Alaska Community Development Quota (CDQ) Program, and through area-specific
catch sharing plans. Regulations implementing the FMPs appear at 50 CFR part 679.
VMS units integrate global positioning system and communications electronics in a single,
tamper-resistant package to automatically determine the vessel’s position several times per hour.
The units can be set to transmit a vessel’s location periodically and automatically to an overhead
satellite in real time. In most cases, the vessel owner is unaware of exactly when the unit is
transmitting and is unable to alter the signal or the time of transmission. The VMS unit is
passive and automatic, requiring no reporting effort by the vessel operator. A communications
service provider receives the transmission and relays it to NOAA Fisheries Office of Law
Enforcement (OLE) and U.S. Coast Guard (USCG).
Traditional methods of monitoring compliance with fishing regulations do not fully meet
NMFS’s need to monitor fishing activities under protection measures. The VMS is generally
acknowledged to be an essential component of monitoring and management for complicated,
geographically widespread fishing closures. The VMS allows verification of where fishing is
taking place in real time. This, in turn, allows verification that vessels fishing in an area are
permitted to fish in that area. Much can be inferred about whether a vessel is actively fishing,
and the type of gear being used, when a VMS track is examined by an analyst knowledgeable
about the vessel, and the fisheries that are open when the track is observed. This information can
be useful for targeting vessels for more detailed observation.
The VMS also ensures that harvested fish are properly debited or reported, because NMFS can
track vessels as they arrive in port to offload the product.
This action is a request for revision of an existing collection due to a proposed rule, RIN 0648AY53.

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A.

JUSTIFICATION

1. Explain the circumstances that make the collection-of-information necessary.
GOA Parallel Fisheries
During the Federal Pacific cod total allowable catch (TAC) fisheries, the State creates a parallel
Pacific cod fishing season by generally adopting NMFS management actions in State waters;
however, trawl gear is generally not allowed within State waters of the GOA. The State has
management authority for groundfish resources within State waters, and the Commissioner of the
Alaska Department of Fish and Game (ADF&G) opens parallel fisheries through emergency
order under the Parallel Groundfish Fishery Emergency Order Authority at 5 AAC 28.086.
These emergency orders establish parallel fishing seasons that allow vessels to fish for
groundfish, including Pacific cod, within State waters with the same season as the Federal
seasons. In addition, the Commissioner is authorized to open or close the fisheries under
emergency order to adapt to unanticipated openings or closures of the Federal fisheries.
Currently, there are no limits on entry into the parallel waters groundfish fisheries, and no limits
on the proportion of the GOA Pacific cod TAC that may be harvested in parallel waters. There
is concern that participation in the GOA Pacific cod parallel waters fishery by vessels that do not
hold License Limitation Program (LLP) licenses may increase. The Council, in consideration of
options and recommendations for the parallel fishery, will balance the objectives of providing
stability to the long term participants in the sectors, while recognizing that new entrants who do
not hold Federal permits or licenses may participate in the parallel fishery.
GOA State Waters Fisheries
In 1997, the ADF&G began managing Pacific cod fisheries inside of 3 nm (referred to as the
State waters fisheries or State Guideline Harvest Limit (GHL) fisheries) that are generally open
when the Federal and parallel fisheries are closed. The State waters Pacific cod seasons are
managed under five Pacific cod management plans under the authority of State regulation. The
State waters fisheries close when the GHL is harvested, or when the Commissioner closes the
fishery under emergency order, on December 31, or whichever occurs later. Closing of the State
waters fisheries typically occurs by August 31 to coincide with the opening of the B season
parallel/Federal fishing season.
Many participants in the State waters Pacific cod fisheries also participate in the parallel/Federal
Pacific cod fisheries. During 1997 through 2008, an average of 75 percent of Central GOA State
waters pot catch and 93 percent of Western GOA State waters pot catch was harvested by vessels
that also participated in the GOA Pacific cod parallel/Federal fishery (using any gear type) in a
particular year.
GOA Federal Waters Fisheries
Per the Council’s Problem Statement: The limited access derby-style management of the
Western GOA and Central GOA Pacific cod fisheries has led to competition among the various

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gear types (trawl, hook-and-line, pot and jig) and operation types (catcher/processor and catcher
vessel) for shares of the TAC. Competition for the GOA Pacific cod resource has increased for a
variety of reasons. These reasons include increased market value of cod products, rationalization
of other fisheries in the Bering Sea and Aleutian Islands Management Area (BSAI) and GOA,
increased participation by fishermen displaced from other fisheries, reduced Federal TACs due
to the State waters cod fishery, and Steller sea lion mitigation measures. The competition among
sectors in the fishery may contribute to higher rates of bycatch, discards, and out-of-season
incidental catch of Pacific cod.
Participants in the fisheries who have made long-term investments and are dependent on the
fisheries face uncertainty as a result of the competition for catch shares among sectors. To
reduce uncertainty and contribute to stability across the sectors, and to promote sustainable
fishing practices and facilitate management measures, the Western and Central GOA Pacific cod
TACs should be divided among the sectors. Allocations to each sector would be based primarily
on qualifying catch history, but may be adjusted to address conservation, catch monitoring, and
social objectives, including considerations for small boat sectors and coastal communities.
The operators of harvesting vessels that possess a Federal Fisheries Permit (FFP) and that are
participating in a pollock or Pacific cod fishery in the GOA are required to have onboard a
transmitting vessel monitoring system (VMS), as described at § 679.28(f)(6). A VMS consists
of a NMFS-approved transmitter that automatically determines a vessel’s position and transmits
that information to NMFS. While Pacific cod directed fisheries are open, all harvesting vessels
with an FFP endorsed with a hook and line, pot, or trawl Pacific cod endorsement are required to
have an operational VMS, regardless of where the vessel is fishing at the time or what the vessel
is targeting. Thus, a VMS is required of all vessels with an FFP endorsed with a Pacific cod
hook and line, pot, or trawl gear while fishing in the adjacent State waters (0 to 3 nm). However,
vessels fishing exclusively in State waters are not required to be designated on an FFP, and the
operator of such a vessel is not subject to NMFS observer, VMS, or recordkeeping and reporting
requirements unless specified by the State.
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 VMS vessel location reports are used to facilitate enforcement of area closures in certain
fisheries and to check the accuracy of vessel position information reported by the vessel operator
in the daily logbooks. The VMS reports not only provide real-time vessel location and activity
information, but also can be used by NMFS to help ascertain the effects of fishing on threatened
and endangered species of certain fisheries.
a. VMS operation
Prior to participation in a fishery that requires VMS, a vessel owner must purchase a NMFSapproved VMS transmitter and install it or have it installed onboard the vessel. Installation time
for a VMS unit is estimated to be less than two hours. A higher installation estimate of 6

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hours/vessel is used, based on a worst-case scenario, e.g. in which a suitable electrical hookup is
not convenient to a location where the VMS unit can be installed.
The VMS transmitter must be available for inspection by NMFS personnel, observers, or
authorized officers. The vessel owner must ensure that the VMS transmitter is not tampered
with, disabled, destroyed, or operated improperly; and must pay all charges levied by the
communication service provider.
OLE developed national standards for VMS transmitters, base stations and communication
service providers. These standards ensure that a vessel purchasing a unit for use in one region of
the United States will not have to purchase a different unit to fish in another region. The
approved VMS units are: Argos MAR-GE, Thrane & Thrane 3022-D, 3026-S, 3026-M, and
Orbcomm. Refer to OLE’s VMS website at http://www.nmfs.noaa.gov/ole/ak_faqs.html.
Regulations at 50 CFR part 679.28 require that the VMS be operational. VMS equipment failure
may interfere with normal vessel operations until repairs can be made, and this may impose
additional costs. If the VMS unit is not working, the vessel operator must contact OLE who will
assist in troubleshooting the system to get it operational again. OLE treats equipment
breakdowns on a case-by-case basis and tries to avoid interrupting a fishing trip already in
progress.
NMFS estimates that a single non-AFA mothership and up to three stationary floating processors
would participate in this program. NMFS will require the owner of a mothership or stationary
floating processor – to become permitted as a Community Quota Entity (CQE) floating processor
(see OMB Control No. 0648-0545) and then to purchase and operate VMS equipment if the
vessel operates within the municipal boundaries of a CQE in the Gulf of Alaska (GOA).
Depending on which brand of VMS is chosen, NMFS estimates that this requirement would
impose a cost of up to $2,000 per vessel for equipment purchase, $780 for installation and
maintenance, and $5 per day for data transmission costs.
Vessel owners purchasing a VMS unit in order to comply with new Federal regulations could be
eligible for a reimbursement of the initial purchase cost of the VMS unit pending approval of
funding for this purpose by the NOAA Fisheries Office for Law Enforcement. The VMS
reimbursement funds typically cover the costs of purchase and freight, but not the costs of sales
taxes, installation, annual operating expenses, or replacement. However, we are asking approval
for all costs at this time, as the availability of funds is not certain.
In this supporting statement, VMS transmissions are not counted as burden, because they are
automatic. The number of VMS transmissions per day is 48.

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VMS operation, Respondent
Number of VMS respondents
CQE floating processors = 4
Total VMS transmissions (not counted as responses)
VMS = 48 transmissions per fishing day
Pacific cod estimated 180 fishing days per vessel (48 x 4 x 180) = 34,560
Total Responses
Installation
Maintenance
Total burden
There is no burden for VMS transmissions
VMS installation time for each NEW VMS
(6 hr one time ) x 4 vessels to replace VMS unit or add a new VMS
= 24/3 year = 8 hr)
VMS maintenance time (4 hr/yr x 4 vessels = 16 hr)
Total personnel cost @ $25/hr
Total miscellaneous cost

4
34,560

4
4
24

$600
$6,547

Annualized purchase cost ($2,000/3) x 4

$2,667

Annual VMS transmission cost @ $5/day
Pacific cod (4 x 180 x 5 = 3,600)
Annual maintenance ($70 x 4 = 280)

$3,880

VMS data are monitored and interpreted by OLE. Currently, no officers are directly dedicated to
VMS; however, a program manager, information technology technician, and enforcement
technician work on VMS each day for some hours.
VMS operation, Federal Government
Total responses
Total burden hours
(3 personnel x 3 hr = 9 hr)
9 hr x 180 days = 1620 hr
Total personnel cost (1620 hr x $35/hr)
Total miscellaneous costs

4
1,620

$56,700
$0

b. VMS check-in report
Upon completion of purchase and installation of a VMS unit, the participant must register the
VMS unit with an approved service provider. At least 72 hours before participation in a fishery
that requires VMS, the participant must send a one-time VMS check-in report to OLE. This
check-in report is required only once to obtain the signature of the VMS unit. The information on
this report enables OLE to verify that the VMS system is functioning and that VMS data can be
identified as a specific vessel. The VMS check-in report may be filled out on the screen, printed,
and faxed to (907) 586-7703.
VMS Check-in Report
Date
VMS transmitter ID or serial number
Vessel name
USCG documentation number
Federal Fisheries permit number or Federal crab vessel permit number
Name and telephone number of contact person

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VMS check-in report, Respondent
Number of respondents
Total responses
Frequency = 1
Total burden hours (48 minutes)
Hours per response = 12 min
Total personnel cost ($25 x 1)
Total miscellaneous costs (24.20)
Fax $6 x 4 = 24
Photocopy 0.05 x 4 = 0.2
VMS check-in report, Federal Government
Total responses
Total burden hours (48 minutes)
(12 min x 4)/60
Total personnel cost ($25 x 1)
Total miscellaneous costs

4
4
1
$25
$24

4
1 hr
$25
0

It is anticipated that the information collected will be disseminated to the public or used to
support publicly disseminated information. As explained in the preceding paragraphs, the
information gathered has utility. 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 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 predissemination 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 VMS collection of information is automated and integrates current information technology
in the fishery management and monitoring process.
The VMS check-in report may be completed onscreen using fillable forms, downloaded, and
printed from the NMFS Alaska Region website http://www.alaskafisheries.noaa.gov. The
VMS check-in report must be faxed to: NOAA Fisheries Office for Law Enforcement Fax
number: (907) 586-7703.
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.
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.
The VMS is an integral part of the management of the fisheries in the Alaska Region. It would
not be possible to carry out the mandates of the Magnuson-Stevens Act and other laws if
approval to continue these previously approved collections were to be denied.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
No special circumstances exist.
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.
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 to respondents is provided under this program.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
All VMS units include systems to minimize the risk of direct or inadvertent disclosure of vessel
position. As stated in the applicable regulations, the information collected, including VMS
transmission – but not including information on the VMS check-in report - 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 #6: Fishermen's Statistical Data.

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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.
Total estimated unique respondents: 882, up from 878. Total estimated responses: 48, up from
44. Total estimated burden hours: 3,746, up from 3,721. Total estimated personnel costs:
$93,650, up from $93,025.
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).
Total estimated miscellaneous costs: $740,145, up from $733,574.
$2,667 in annualized VMS purchase costs.
$737,478 in operations and maintenance costs.
14. Provide estimates of annualized cost to the Federal government.
Total estimated burden hours: 3,705, up from 2,084. Total estimated personnel costs: $129,625,
up from $72,900.
15. Explain the reasons for any program changes or adjustments.
Program changes are due to the difference between initiating a new program and maintaining an
existing program.
VMS Check-in report
an increase of 4 respondents and responses, 48 instead of 44
an increase of 1 hour, 11 instead of 10
an increase of $25 personnel costs, $275 instead of $250
an increase of $24 miscellaneous costs, $288 instead of $264
VMS Operation (includes purchase, installation, transmission, and maintenance)
an increase of 24 hr burden, 3,735 hr instead of 3,711 hr*
an increase of $600 personnel costs, $93,000 instead of $92,800
an increase of $6,547 miscellaneous costs, $739, 857 instead of $733,310
*Since purchase, installation, transmission and maintenance are not considered responses per se,
and only installation and maintenance have burden associated with them, this burden and
reporting costs will be included in the Information Collection for “VMS Check-in report and
operation” in ROCIS.

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16. For collections whose results will be published, outline the plans for tabulation and
publication.
NMFS has no plans to publish 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.
In accordance with OMB requirements, the control number and expiration date of OMB approval
are shown on the VMS check-in report. The transmission of the VMS data is automatic and
electronic, and therefore not possible to display the OMB expiration date. The VMS malfunction
notification is an email.
18. Explain each exception to the certification statement.
There are no exceptions to the certification statement.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.

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