0393 ss rev 071110

SUPPORTING STATEMENT
AMERICAN FISHERIES ACT: VESSEL AND PROCESSOR PERMIT APPLICATIONS
OMB CONTROL NO. 0648-0393
INTRODUCTION
National Marine Fisheries Service (NMFS) manages the groundfish fisheries in the exclusive
economic zone (EEZ) off Alaska. The North Pacific Fishery Management Council prepared the
Fishery Management Plan for Groundfish of the Bering Sea and Aleutian Islands Management
Area (BSAI) and the Fishery Management Plan (FMP) for Groundfish of the Gulf of Alaska
under the authority of the Magnuson-Stevens Fishery Conservation & Management Act
(16 U.S.C. 1801 et seq.). The American Fisheries Act, 16 U.S.C. 1851 imposed major structural
changes on the BSAI pollock fishery. Regulations implementing the FMPs appear at 50 CFR
part 679.
This collection-of-information is revised to support a new program, the Chinook Salmon
Prohibited Species Catch Program (Chinook PSC Program), in conjunction with RIN 0648AX89.

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
The Chinook PSC Program is established to promote reduction of Chinook salmon PSC in the
Bering Sea pollock fishery to the extent practicable while achieving optimum yield in the pollock
fishery. The focus of the Chinook PSC Program is the Bering Sea pollock fishery because this
trawl fishery catches up to 95 percent of the Chinook salmon taken as PSC in the BSAI
groundfish fisheries. Non-Chinook salmon PSC reduction measures will also remain in effect.
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.
Under Amendment 91, the PSC limit would be 60,000 Chinook salmon if some or all of the
pollock industry participates in an industry-developed contractual arrangement, called an
incentive plan agreement (IPA) that establishes an incentive program to minimize bycatch at all
levels of Chinook salmon abundance. A 47,591 Chinook salmon PSC limit would apply fleetwide if industry does not form any IPAs. This PSC limit of 47,591 Chinook salmon is the
approximate 10-year average Chinook salmon bycatch from 1997 to 2006.
NMFS would issue transferable Chinook salmon PSC allocations under either the 60,000 or
47,591 Chinook salmon PSC limits to eligible entities representing the catcher/processor sector,
the mothership sector, inshore cooperatives, and Community Development Quota (CDQ) groups.
Transferable allocations would provide the pollock fleet the flexibility to maximize the harvest

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of pollock while maintaining Chinook salmon bycatch at or below the PSC limit. Transfers are a
voluntary request, initiated by the entity transferring Chinook salmon PSC allocations, to NMFS
to move a specific amount of a Chinook salmon PSC from a transferor’s (sender’s) account to a
transferee’s (receiver’s) account. NMFS’s approval is required for any transfer.
Transferability is expected to mitigate the variation in the distribution or encounter rates of
Chinook salmon among the recipients of the transferable allocations in a given season by
allowing recipients to accrue a larger portion of the PSC allocations in order to harvest their full
pollock allocation or to transfer surplus allocation to other sectors, including post-delivery
transfers. Transferable allocations would provide the Bering Sea pollock fleet the flexibility to
fully harvest the pollock total allowable catch while maintaining the overall Chinook salmon
PSC at or below the PSC limit.
NMFS may issue transferable Chinook salmon PSC allocations annually to the following four
AFA sectors:
AFA Sector:
One entity formed to represent the
AFA catcher/processor sector
One entity formed to represent the
AFA mothership sector

Eligible Participants are:
AFA catcher vessels delivering to
AFA catcher/processors
AFA catcher vessels harvesting pollock for processing by
AFA motherships

Seven AFA inshore cooperatives

AFA catcher vessels harvesting pollock for processing by
AFA inshore processors
Six CDQ entities

CDQ entities

Chinook salmon PSC allocations may be transferred to any other entity eligible to receive
transferable Chinook salmon PSC allocation. Transferable allocations would allow the salmon
allocation holder to obtain more salmon within an allocation period (e.g., the A season) or to
transfer salmon to another sector, cooperative, or CDQ group in a season. The transfer process
would require the different pollock entities to monitor their respective members’ salmon PSC to
ensure the sector’s collective salmon allocation was not exceeded. An entity could be subject to
enforcement actions if its sector exceeded its annual salmon PSC cap.
NMFS may issue transferable Chinook salmon PSC allocations to the entities, if these entities
meet all of the applicable requirements. Transfers of Chinook salmon bycatch allocations among
eligible entities are subject to the following restrictions:
♦ Entities receiving transferable allocations under the 60,000 PSC limit may only transfer
to and from other entities receiving allocations under the 60,000 PSC limit.
♦ Entities receiving transferable allocations under the 47,591 PSC limit may only transfer
to and from other entities receiving allocations under the 47,591 PSC limit.
♦ Chinook salmon PSC allocations may not be transferred between A season and B season,
among entities from one entity’s A season allocation to another entity’s B season

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allocation, or from any entity’s B season allocation to that entity’s A season allocation or
any other entity’s A season allocation.
If an entity’s allocation account balance falls below zero in a season, the entity may receive
transfers of Chinook salmon PSC to cover overages for that season. Transfers are allowed to
cover overages from all fishing trips including Chinook salmon PSC from fishing trips in
progress at the time the account balance first falls below zero. Post delivery transfers are limited
to the amount of Chinook salmon PSC necessary to bring the entity’s account balance to zero. If
an entity is unable to achieve a zero balance, overages will be assessed after June 25 for the A
season allocations and December 1 for the B season allocations.
a. Application for Approval as an Entity Eligible to Receive Transferable Chinook Salmon
PSC Allocations.
CDQ groups and inshore cooperatives do not have to submit anything to NMFS to be authorized to
receive transferable allocations of Chinook PSC. The CDQ groups already receive transferable
allocations of Chinook and non-Chinook PSC under the current CDQ Program (since 1999). These
groups are known to NMFS and they have a "NMFS Person ID. Inshore cooperatives already are
permitted by NMFS to receive pollock allocations.
Two entities need to submit the application to be authorized to receive transferable allocations of
Chinook: (1) an entity representing the catcher/processor sector, and (2) an entity representing the
mothership sector. Neither of these sectors currently are recognized as a legal entity by NMFS to receive
allocations or be responsible for overages.

NMFS will approve an entity to receive transferable Chinook salmon PSC allocations if a
complete application and authorization contract are received by NMFS by November 1. The
initial application and authorization contract must be submitted by November 1 of the year
before the Chinook salmon PSC allocations are effective. Once submitted, the authorization
contract attached to the application is valid until amended or revoked by the parties to the
contract.
Additions or deletions to the vessels represented by the entity may be done one time per year for
subsequent years by submitting an amended contract and revised vessel information by the
deadline, unless additions or deletions are as a result of a replacement vessel under paragraph
679.21(f)(7) of this section. An amendment to the contract related to a replacement vessel may
be made at any time upon submission of an amended application and a copy of the AFA permit
issued under § 679.4 for the replacement vessel.
An initial or amended application and contract must be received by NMFS no later than 1700
hours A.l.t. on November 1 of the year prior to the fishing year for which the Chinook salmon
PSC allocations are effective.
The authorization contract authorizes the entity to act on behalf of the vessel owner for purposes
of receiving and transferring Chinook salmon PSC allocations and to be responsible for receiving
legal papers on behalf of the vessel owners in the sector. This authorization to represent the
sector members is needed under both the 60,000 and the 47,591 PSC limit. This contract is
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different from the Incentive Plan Agreement (IPA), which is a contract among vessel owners and
CDQ groups to participate in an incentive plan they have developed to minimize bycatch. The
IPA applies only under the 60,000 cap.
The contract must document that:
♦ All parties to the contract agree that the entity, the entity’s representative, and the entity’s
agent for service of process named in the application represent them for purposes of
receiving transferable allocations of Chinook salmon PSC allocations.
♦ The entity’s representative and agent for service of process are authorized to act on behalf
of the parties to the contract.
♦ The applicant is certified including signatures and printed names and date of signature for
the owners of each of the AFA permitted vessels identified in the application. (The
names of the vessel owners signing the contract must be the same as the names of on the
United States Coast Guard (USCG) vessel documentation.)
The applicant must submit a paper copy of the application with all information fields accurately
filled in.
Application for Approval as an Entity Eligible to Receive Transferable Chinook Salmon PSC Allocation
Contact information.
Name and NMFS person ID of entity
Name of entity’s representative and Name of agent for service of process if different from representative
Permanent business mailing address and temporary business mailing address (if applicable)
Business telephone number, business fax number, and business e-mail address of the entity’s representative.
Certification.
Signature and printed name of entity’s representative
Signature and printed name of agent for service of process, if different from representative
Date of signature(s)
Vessel information for each AFA permitted vessel that the entity will represent.
Vessel name
Alaska Department of Fish and Game (ADF&G) vessel registration number
Federal Fisheries Permit number
AFA permit number
Attachment: Authorization Contract
Approval as an Entry Eligible to Receive Transferable Chinook
Salmon PSC Allocation, Respondent
Estimated number of respondents
2
1 mothership entity
1 catcher/processor entity
Total annual responses
2
1 response per year
Total burden hours = 8 hr
16 hr
Total personnel cost
$400
Total miscellaneous cost (3.02)
$3
Mail (1.26 x 2 = 2.52)
Photocopy (5 pages x 0.05 x 2 = 0.50)

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Approval as an Entry Eligible to Receive Transferable Chinook
Salmon PSC Allocations, Federal Government
Total annual responses
2
Total burden hours = 2 hr
4
Total personnel cost
$100
Total miscellaneous cost
0

b. Application for Transfer of Bering Sea Chinook Salmon PSC Allocation
A higher level of salmon PSC accountability is required in order to carry out entity-to-entity transfers or
seasonal rollovers. Enforcement costs would be greater for transferable allocations and rollovers than
those that would be expected for fishery level caps.

Potential Number of Transferable Chinook Salmon PSC Allocations
Entities That Could Receive Transferable Allocations
Catcher/Processor
Sector

A Season
B Season
Annual total

Mothership
Sector

1
1
2

1
1
2

Inshore
Co-Ops

7
7
14

CDQ

6
6
12

Total
Transferable

15
15
30

Including the two new sectors, there would be a maximum of 15 different Chinook salmon PSC
accounts each season. Separate allocations would be made for the A season and the B season for
a total of up to 30 transferable PSC allocation accounts each year. This number of transferable
PSC accounts could exist under either the 60,000 Chinook salmon PSC limit or the 47,591
Chinook salmon PSC limit.
The entity receiving a transferable Chinook salmon PSC allocation from NMFS would be
authorized to transfer all or a portion of the entity’s salmon PSC allocation to another entity or
receive a transfer from another entity (authorized to sign transfer request forms), and be
responsible for any penalties assessed for exceeding the entity’s salmon PSC allocation.
Transfers are a voluntary request to NMFS, initiated by the entity transferring surplus Chinook
salmon allocations, to move a specific amount of a Chinook salmon PSC allocation from one
entity’s account to another entity’s account. NMFS would review the transferring entity’s catch
account to ensure sufficient salmon was available to transfer; therefore, NMFS’s approval would
be required before a transaction could be completed. Transfers to eligible entities could occur at
anytime in a season but transfers cannot be made between the B and A seasons.
Requests for transfers may be submitted to NMFS either electronically or non-electronically
through a form available on the NMFS Alaska Region website (http://alaskafisheries.noaa.gov).

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NMFS will design computer programs to review the transferor’s catch account during a transfer
request to ensure sufficient Chinook salmon is available to transfer and, if it were, to make that
transfer effective immediately.
NMFS will evaluate overages of Chinook salmon PSC on June 25 for the A season and on
December 1 for the B season. This would provide entities 15 days after the end of the A season
and 30 days after the end of the B season to obtain post delivery transfers to reduce or eliminate
any overages. NMFS proposes that 15 days after the A season is an appropriate amount of time
to provide for post delivery transfers because most A season pollock fishing is completed well
before the end of the season on June 10. NMFS needs to resolve A season account balances
relatively quickly so that any necessary adjustments can be made to the B season account
balances before B season pollock fishing begins.
NMFS would allow 30 days after the end of the B season for post delivery transfers because
pollock fishing will cease for the remainder of the year on November 1. NMFS does not need to
make further adjustments to account balances within a specified period of time at the end of the
year. If, after allowing for post-delivery transfers to cover an overage, an entity exceeded its
Chinook salmon PSC allocation, the entity would be subject to an enforcement action for
violating NMFS regulations.
Application for Transfer of Bering Sea Chinook Salmon PSC Allocations
Non-Electronic
Identification of transferor
Name and NMFS person ID
Permanent (and temporary, if applicable) Business Mailing Address
Business Telephone No., Business Fax No, and Business E-mail address:
Identification of transferee
Name and NMFS person ID
Permanent (and temporary, if applicable) Business Mailing Address
Business Telephone No., Business Fax No, and Business E-mail address:
Chinook Salmon PSC transferred
Number of Chinook salmon
Date of Transfer
Whether A Season or B Season
Electronic
Identification of transferor
Transferor selects the transferee.
NMFS person ID, password and Transfer
Chinook PSC Amount Transferred
Number of Chinook PSC
Date of Transfer
Whether A Season or B Season
Identification of Transferee.
Transferee accepts transfer
NMFS person ID, password, and Transfer Key

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Transfer Bering Sea Chinook Salmon PSC Allocation,
Respondents
Total number of respondents
15 per season.
Total number of responses (2)
Separate allocations for A season and B season
Total time burden
15/60 = 0.25 hr x 30 = 7.5 hr
Total personnel cost (25 x 8)
Total miscellaneous cost (1.50)
Online to NMFS (0.05 x 30 = 1.50)

15
30
8 hr
$200
$2

Transfer Bering Sea Chinook Salmon PSC Allocation, Federal
Government
Total number of responses
30
Total time burden = 0.25 hr x 30 = 7.5 hr
8 hr
Total personnel cost ($25)
$200
Total miscellaneous cost
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 following paragraphs, the
information gathered has utility. NMFS will retain control over the information and safeguard it
from improper access, modification, and destruction, consistent with National Oceanic and
Atmospheric Administration (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.
Forms may be downloaded from the NMFS Alaska Region Web site
http://www.alaskafisheries.noaa.gov. The Application for Transfer of Chinook PSC allocation
may be submitted online at this Web site. The Application for Eligibility to Receive
Transferable PSC has an attachment with original signatures and must be mailed to the Regional
Administrator, NMFS, P.O. Box 21668, Juneau, AK 99802, or sent by courier to the Office of
the Regional Administrator, 709 West 9th St., Juneau, AK 99801.
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 applies only to those entities that participate in the directed pollock trawl
fishery in the Bering Sea. The only small entities that are directly regulated by this action are the
six western Alaska CDQ organizations, and the impact is not significant.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
The purpose of the proposed action is to minimize Chinook salmon PSC to the extent practicable
while achieving optimum yield from the pollock fishery. The proposed action is necessary to
ensure long-term conservation and abundance of salmon, maintain a healthy marine ecosystem,
provide maximum benefit to fishermen and communities that depend on salmon and pollock, and
comply with the Magnuson–Stevens Act. If the information were not collected annually, NMFS
would be unable to achieve these goals.
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 Regulation Identifier Number (RIN) 0648AX89 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 under this program.
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. It is also confidential under NOAA Administrative Order 216-100,
which sets forth procedures to protect confidentiality of fishery statistics.

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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.
Estimated total respondents: 61, increased from 44. Estimated total responses: 76, increased
from 44. Estimated total burden: 181, increased from 157 hr. Estimated total personnel costs:
$4,513, increased from $3,913.
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 costs: $124, increased from $119.
14. Provide estimates of annualized cost to the Federal government.
Estimated total burden: 39, increased from 27 hr. Estimated total personnel cost: $975,
increased from $675.
15. Explain the reasons for any program changes or adjustments.
Program Change. This action describes new management measures to minimize Chinook
salmon PSC in the Bering Sea pollock fisheries.
Application for Approval as an Entity to Receive Transferable Chinook Salmon PSC
Allocations (New)
an increase of 2 respondents and responses, 2 instead of 0
an increase of 16 hr burden, 16 instead of 0
an increase of $400 personnel costs, $400 instead of $0
Application for Transfer of Chinook Salmon PSC Allocations (New)
an increase of 15 respondents, 15 instead of 0
an increase of 30 responses, 30 instead of 0
an increase of 8 hr burden, 8 instead of 0
an increase of $200 personnel costs, $200 instead of $0
an increase of $2 miscellaneous costs, $2 instead of $0
These already existing information collections are not changed:
Application for AFA Permit for Replacement Vessel: 1 respondent and response, 30 minutes’
burden (rounded to 1 hour), $13 personnel costs and $6 miscellaneous costs.

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Application for AFA Inshore Catcher Vessel Cooperative Permit: 8 respondents and
responses, 16 hours’ burden, $400 personnel costs and $45 miscellaneous costs.
Contract Fishing by Non-Member Vessels: 35 respondents and responses, 140 hours’ burden,
$3,500 personnel cost and $68 miscellaneous costs.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The results of this collection-of-information will not be published.
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.
Not applicable.
18. Explain each exception to the certification statement.
Not applicable.

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection does not employ statistical methods.

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