Editorial Note on Part 660
Editorial Note: Nomenclature changes to part 660 appear at 67 FR 65906, Oct. 29, 2002, 88 FR 81358, Nov. 22, 2023.

§ 660.113 Trawl fishery—recordkeeping and reporting. General groundfish recordkeeping and reporting requirements are defined at § 660.13, subpart C. The following recordkeeping and reporting requirements are in addition to those and are specific to the limited entry trawl fisheries. ( a ) *General requirements.* ( 1 ) All records or reports required by this paragraph (a) must: be maintained in English, be accurate, be legible, be based on local time, and be submitted in a timely manner.
( 2 ) All records used in the preparation of records or reports specified in this section or corrections to these reports must be maintained for a period of not less than three years after the date of landing and must be immediately available upon request for inspection by NMFS or authorized officers or others as specifically authorized by NMFS. Records used in the preparation of required reports specified in this section or corrections to these reports that are required to be kept include, but are not limited to, any written, recorded, graphic, electronic, or digital materials as well as other information stored in or accessible through a computer or other information retrieval system; worksheets; weight slips; preliminary, interim, and final tally sheets; receipts; checks; ledgers; notebooks; diaries; spreadsheets; diagrams; graphs; charts; tapes; disks; or computer printouts. All relevant records used in the preparation of electronic fish ticket reports or corrections to these reports, including dock tickets, must be maintained for a period of not less than three years after the date of landing and must be immediately available upon request for inspection by NMFS or authorized officers or others as specifically authorized by NMFS.
( b ) *Shorebased IFQ Program* — ( 1 ) *Economic data collection (EDC) program.* The following persons are required to submit an EDC form as specified at § 660.114: ( i ) All owners, lessees, and charterers of a catcher vessel registered to a limited entry trawl endorsed permit.
( ii ) All owners of a first receiver site license.
( iii ) All owners and lessees of a shorebased processor.
( iv ) All owners of a quota share (QS) permit as defined at § 660.25(c).
( 2 ) *Electronic vessel logbook.* [Reserved]
( 3 ) *Gear switching declaration.* Any person with a limited entry trawl permit participating in the Shorebased IFQ Program using groundfish non-trawl gear (*i.e.,* gear switching) must submit a valid gear declaration reporting such participation as specified in § 660.13(d)(4)(iv)(A).
( 4 ) *Electronic fish ticket.* The IFQ first receiver is responsible for compliance with all reporting requirements described in this paragraph. ( i ) *Required information.* All IFQ first receivers must provide the following types of information: Date of landing, vessel that made the delivery, vessel account number, name of the vessel operator, gear type used, catch area, first receiver, actual weights of species landed listed by species or species group including species with no value, condition landed, number of salmon by species, number of Pacific halibut, ex-vessel value of the landing by species, fish caught inside/outside 3 miles or both, and any other information deemed necessary by the Regional Administrator as specified on the appropriate electronic fish ticket form.
( ii ) *Submissions.* The IFQ first receiver must: ( A ) Include, as part of each electronic fish ticket submission, the actual scale weight for each groundfish species as specified by requirements at § 660.15(c), and the vessel identification number. Use, and maintain in good working order, hardware, software, and internet access as specified at § 660.15(d).
( B ) Submit a completed electronic fish ticket for every IFQ landing no later than 24 hours after the date the fish are received, unless a waiver of this requirement has been granted under provisions specified at paragraph (b)(4)(iv) of this section.
( C ) Follow these process and submittal requirements for offloading at a first receiver site where the fish will be processed at the offload site or if an electronic fish ticket will be recorded prior to transport: ( 1 ) The IFQ first receiver must communicate the electronic fish ticket number to the catch monitor.
( 2 ) After completing the offload, the electronic fish ticket information must be recorded immediately.
( 3 ) Prior to submittal of the electronic fish ticket, the information recorded for the electronic fish ticket must be reviewed by the catch monitor and the vessel operator who delivered the fish.
( 4 ) After review, the IFQ first receiver and the vessel operator must sign a printed hard copy of the electronic fish ticket or, if the delivery occurs outside of business hours, the original dock ticket.
( 5 ) Prior to submittal, three copies of the printed, signed, electronic fish ticket must be produced by the IFQ first receiver and a copy provided to each of the following: ( i ) The vessel operator,
( ii ) The state of origin if required by state regulations, and
( iii ) The IFQ first receiver.
( 6 ) After review and signature, the electronic fish ticket must be submitted within 24 hours of the completion of the offload, as specified in paragraph (b)(4)(ii)(B) of this section.
( D ) Follow these process and submittal requirements for offloading at a first receiver site where the fish will be transported for processing at a different location if an electronic fish ticket is not recorded prior to transport: ( 1 ) The IFQ first receiver must communicate the electronic fish ticket number to the catch monitor at the beginning of the offload.
( 2 ) The vessel name and the electronic fish ticket number must be recorded on each dock ticket related to that delivery.
( 3 ) Upon completion of the dock ticket, but prior to transfer of the offload to another location, the dock ticket information that will be used to complete the electronic fish ticket must be reviewed by the catch monitor and the vessel operator who delivered the fish.
( 4 ) After review, the IFQ first receiver and the vessel operator must sign the original copy of each dock ticket related to that delivery.
( 5 ) Prior to submittal of the electronic fish ticket, three copies of the signed dock ticket must be produced by the IFQ first receiver and a copy provided to each of the following: ( i ) The vessel operator,
( ii ) The state of origin if required by state regulations, and
( iii ) The IFQ first receiver.
( 6 ) Based on the information contained in the signed dock ticket, the electronic fish ticket must be completed and submitted within 24 hours of the completion of the offload, as specified in paragraph (b)(4)(ii)(D) of this section.
( 7 ) Three copies of the electronic fish ticket must be produced by the IFQ first receiver and a copy provided to each of the following: ( i ) The vessel operator,
( ii ) The state of origin if required by state regulations, and
( iii ) The IFQ first receiver.
( iii ) *Revising a submission.* In the event that a data error is found, electronic fish ticket submissions must be revised by resubmitting the revised form electronically. Electronic fish tickets are to be used for the submission of final data. Preliminary data, including estimates of fish weights or species composition, shall not be submitted on electronic fish tickets.
( iv ) *Waivers for submission.* On a case-by-case basis, a temporary written waiver of the requirement to submit electronic fish tickets may be granted by the Assistant Regional Administrator or designee if he/she determines that circumstances beyond the control of a first receiver would result in inadequate data submissions using the electronic fish ticket system. The duration of the waiver will be determined on a case-by-case basis.
( v ) *Reporting requirements when a temporary waiver has been granted.* IFQ first receivers that have been granted a temporary waiver from the requirement to submit electronic fish tickets must submit on paper the same data as is required on electronic fish tickets within 24 hours of the date received during the period that the waiver is in effect. Paper fish tickets must be sent by facsimile to NMFS, West Coast Region, Sustainable Fisheries Division, 206-526-6736 or by delivering it in person to 7600 Sand Point Way NE., Seattle, WA 98115. The requirements for submissions of paper tickets in this paragraph are separate from, and in addition to existing state requirements for landing receipts or fish receiving tickets.
( 5 ) *Cost recovery program.* In addition to the requirements at paragraph (a) of this section, the fish buyer, as defined at § 660.111 for the Shorebased IFQ Program, is required to comply with the following recordkeeping and reporting requirements: ( i ) *Reporting.* The fish buyer must submit a cost recovery form at the time cost recovery fees are paid to NMFS as specified at § 660.115. The cost recovery form requires providing information that includes, but is not limited to, fish buyer's name, address, phone number, first receiver site license number, month and year of landings, weight of landings, ex-vessel value, and fee due.
( ii ) *Recordkeeping.* The fish buyer must maintain the following records: ( A ) For all deliveries of groundfish that the fish buyer buys from each fish seller: ( 1 ) The date of delivery,
( 2 ) The fish seller's identity,
( 3 ) The weight of each species of groundfish delivered,
( 4 ) Information sufficient to specifically identify the fishing vessel which delivered the groundfish,
( 5 ) The ex-vessel value of each species of groundfish,
( 6 ) The net ex-vessel value of each species of groundfish,
( 7 ) The identity of the payee to whom the net ex-vessel value is paid, if different than the fish seller,
( 8 ) The date the net ex-vessel value was paid,
( 9 ) The total fee amount collected as a result of all groundfish.
( B ) For all fee collection deposits to and disbursements from the deposit account: ( 1 ) The date of each deposit in to the deposit account required at § 660.115(d)(1)(ii)(A),
( 2 ) The total amount deposited in to the deposit account,
( 3 ) The date of each disbursement,
( 4 ) The total amount disbursed,
( 5 ) The dates and amounts of disbursements to the fish buyer, or other parties, of interest earned on deposits.
( c ) *MS Co-op Program (co-op and non-coop fisheries)* — ( 1 ) *Economic data collection (EDC) program.* The following persons are required to submit a complete economic data collection form as specified at § 660.114. ( i ) All owners, lessees, and charterers of a catcher vessel registered to a limited entry trawl MS/CV-endorsed permit.
( ii ) All owners, lessees, and charterers of a vessel registered to an MS permit.
( 2 ) *NMFS-approved scale* — ( i ) *Scale test report form.* Mothership vessel operators are responsible for conducting scale tests and for recording the scale test information on the scale test report form as specified at § 660.15(b), for mothership vessels.
( ii ) *Printed scale reports.* Requirements pertaining to printed scale reports and scale weight printouts are specified at § 660.15(b), for mothership vessels.
( iii ) *Retention of scale records and reports.* Vessels must maintain scale test report forms on board until the end of the fishing year during which the tests were conducted, and make the report forms available to observers, NMFS staff, or authorized officers. In addition, the scale test report forms must be maintained for 3 years after the end of the fishing year during which the tests were performed. All scale test report forms must be signed by the operator.
( 3 ) *Annual co-op report.* The designated co-op manager for the mothership co-op must submit an annual report to NMFS and the Council by March 17 each year, before a co-op permit is issued for that year. The annual co-op report will contain information about the previous year's fishery, including: ( i ) The mothership sector's annual allocation of Pacific whiting and the permitted mothership co-op allocation;
( ii ) The mothership coop's actual retained and discarded catch of Pacific whiting, salmon, Pacific halibut, rockfish, groundfish, and other species on a vessel-by-vessel basis;
( iii ) A description of the method used by the mothership co-op to monitor performance of co-op vessels that participated in the fishery;
( iv ) A description of any actions taken by the mothership co-op in response to any vessels that exceed their allowed catch and bycatch; and
( v ) Plans for the current year's mothership co-op fishery, including the companies participating in the cooperative, the harvest agreement, and catch monitoring and reporting requirements.
( 4 ) [Reserved]
( 5 ) *Cost recovery program.* In addition to the requirements at paragraph (a) of this section, the fish buyer, as defined at § 660.111 for the MS Co-op Program, is required to comply with the following recordkeeping and reporting requirements: ( i ) *Reporting* — ( A ) *Cost recovery form.* The fish buyer must submit a cost recovery form at the time cost recovery fees are paid to NMFS as specified at § 660.115. The cost recovery form requires providing information that includes, but is not limited to, fish buyer's name, address, phone number, MS permit number, vessel name, USCG vessel documentation number, month and year of deliveries, weight of deliveries, ex-vessel value, and fee due.
( B ) *Annual report.* By March 31 each year, each fish buyer must submit to NMFS a report containing the following information from the preceding calendar year for all groundfish each fish buyer purchases from fish sellers: ( 1 ) Total weight bought,
( 2 ) Total ex-vessel value paid,
( 3 ) Total fee amounts collected,
( 4 ) Total fee collection amounts deposited by month,
( 5 ) Dates and amounts of monthly disbursements to the Fund.
( ii ) *Recordkeeping.* The fish buyer must maintain the following records: ( A ) For all deliveries of Pacific whiting that the fish buyer buys from each fish seller: ( 1 ) The date of delivery,
( 2 ) The fish seller's identity,
( 3 ) The weight of Pacific whiting delivered;
( 4 ) Information sufficient to specifically identify the fishing vessel which delivered the groundfish,
( 5 ) The ex-vessel value of Pacific whiting;
( 6 ) The net ex-vessel value of Pacific whiting;
( 7 ) The identity of the payee to whom the net ex-vessel value is paid, if different than the fish seller,
( 8 ) The date the net ex-vessel value was paid,
( 9 ) The total fee amount collected as a result of all Pacific whiting.
( B ) For all fee collection deposits to and disbursements from the deposit account: ( 1 ) The date of each deposit in to the deposit account required at § 660.115(d)(1)(ii)(A),
( 2 ) The total amount deposited in to the deposit account,
( 3 ) The date of each disbursement,
( 4 ) The total amount disbursed,
( 5 ) The dates and amounts of disbursements to the fish buyer, or other parties, of interest earned on deposits.
( d ) *C/P Co-op Program* — ( 1 ) *Economic data collection (EDC) program.* All owners, lessees, and charterers of a vessel registered to a C/P-endorsed limited entry trawl permit are required to submit a complete economic data collection form as specified at § 660.114.
( 2 ) *NMFS-approved scales* — ( i ) *Scale test report form.* Catcher/processor vessel operators are responsible for conducting scale tests and for recording the scale test information on the scale test report form as specified at § 660.15(b), for catcher/processor vessels.
( ii ) *Printed scale reports.* Specific requirements pertaining to printed scale reports and scale weight printouts are specified at § 660.15(b), for catcher/processor vessels.
( iii ) *Retention of scale records and reports.* The vessel must maintain the scale test report form on board until the end of the fishing year during which the tests were conducted, and make the report forms available to observers, NMFS staff, or authorized officers. In addition, the scale test report forms must be maintained for 3 years after the end of the fishing year during which the tests were performed. All scale test report forms must be signed by the operator.
( 3 ) *Annual co-op report.* The designated co-op manager for the C/P co-op must submit an annual report to NMFS and the Council by March 17 each year, before a co-op permit is issued for that year. The annual co-op report will contain information about the previous year's fishery, including: ( i ) The C/P sector's annual allocation of Pacific whiting;
( ii ) The C/P coop's actual retained and discarded catch of Pacific whiting, salmon, Pacific halibut, rockfish, groundfish, and other species on a vessel-by-vessel basis;
( iii ) A description of the method used by the C/P co-op to monitor performance of cooperative vessels that participated in the fishery;
( iv ) A description of any actions taken by the C/P co-op in response to any vessels that exceed their allowed catch and bycatch; and
( v ) Plans for the current year's C/P co-op fishery, including the companies participating in the cooperative, the harvest agreement, and catch monitoring and reporting requirements.
( 4 ) [Reserved]
( 5 ) *Cost recovery program.* In addition to the requirements at paragraph (a) of this section, the fish buyer, as defined at § 660.111 for the C/P Co-op Program, is required to comply with the following recordkeeping and reporting requirements: ( i ) *Reporting.* The fish buyer must submit a cost recovery form at the time cost recovery fees are paid to NMFS as specified at § 660.115. The cost recovery form requires providing information that includes, but is not limited to, fish buyer's name, address, phone number, C/P-endorsed limited entry permit number, vessel name, USCG vessel documentation number, year of harvest, weight, ex-vessel value, and fee due.
( ii ) *Recordkeeping.* The fish buyer must maintain the following records: ( A ) For all Pacific whiting: ( 1 ) The date of harvest,
( 2 ) The weight of Pacific whiting retained on board;
( 3 ) Information sufficient to specifically identify the fishing vessel which harvested the groundfish,
( 4 ) The ex-vessel value of Pacific whiting retained on board;
( 5 ) The net ex-vessel value of Pacific whiting retained on board; and
( 6 ) The total fee amount collected as a result of all Pacific whiting.
( B ) For all disbursements to NMFS: ( 1 ) The date of each disbursement,
( 2 ) The total amount disbursed.
( e ) *Salmon Mitigation Plan (SMP).* NMFS may approve a SMP for a group of at least three vessels in the MS Co-op Program, C/P Co-op Program, or Pacific whiting IFQ fishery. NMFS may approve an SMP for more than one group in a given year. ( 1 ) *Applicability of further measures to manage salmon bycatch.* Routine management measures to minimize Chinook salmon bycatch as described in § 660.60(i) may be implemented for vessels with an approved SMP.
( 2 ) *SMP contents.* The SMP must contain, at a minimum, the following— ( i ) *SMP name.* The name of the SMP.
( ii ) *Vessels party to the SMP.* The vessel name and USCG vessel registration number (as given on USCG Form 1270) or state registration number, if no USCG documentation, of each vessel that is party to the SMP. A minimum of three vessels must be party to the SMP.
( iii ) *Compliance agreement.* A written statement that all parties to the SMP agree to voluntarily comply with all provisions of the SMP.
( iv ) *Signatures of those party to SMP.* The names and signatures of the owner or representative for each vessel that is party to the SMP.
( v ) *Designated SMP representative.* The name, telephone number, mailing address, and email address of a person appointed by those party to the SMP who is responsible for: ( A ) Serving as the SMP contact person between NMFS and the Council;
( B ) Submitting the SMP proposal and any SMP amendments; and
( C ) Submitting the SMP postseason report to the Council and NMFS.
( vi ) *Plan.* A description of: ( A ) How parties to the SMP will adequately monitor and account for the catch of Chinook salmon.
( B ) How parties to the SMP will avoid and minimize Chinook salmon bycatch, including a description of tools parties will employ. Tools may include, but would not be limited to, information sharing, area closures, movement rules, salmon excluder use, and internal bycatch guidelines.
( C ) How the SMP is expected to promote reductions in Chinook salmon bycatch relative to what would have occurred in absence of the SMP.
( 3 ) *Deadline for proposed SMP.* A proposed SMP must be submitted between February 1 and March 17 of the year in which it intends to be in effect to NMFS at: NMFS, West Coast Region, ATTN: Fisheries Permit Office, Bldg. 1, 7600 Sand Point Way NE, Seattle, WA 98115.
( 4 ) *Duration.* Once approved, the SMP expires on December 31 of the year in which it was approved. An SMP may not expire mid-year. No party may join or leave an SMP once it is approved, except as allowed in paragraph (e)(5)(iii) of this section.
( 5 ) *NMFS review of a proposed SMP* — ( i ) *Approval.* The Assistant Regional Administrator will provide written notification of approval to the designated SMP representative if the SMP meets the following requirements: ( A ) Contains the information required in paragraph (e)(2) of this section;
( B ) Is submitted in compliance with the requirements of paragraphs (e)(3) and (4) of this section; and
( C ) As determined by NMFS, is reasonably expected to reduce Chinook salmon bycatch.
( ii ) *SMP identification number.* If approved, NMFS will assign an SMP identification number to the approved SMP.
( iii ) *Amendments to an SMP.* After the SMP is approved, the designated SMP representative must submit any changes to the SMP, including any changes in the vessels party to the SMP, as an amendment to the SMP for approval by NMFS. The designated SMP representative may submit amendments to an approved SMP to NMFS at any time during the year in which the SMP is approved. The amendment must include the SMP identification number. An amendment to an approved SMP is effective upon written notification of approval by NMFS to the designated SMP representative. The Assistant Regional Administrator will provide written notification of approval to the designated SMP representative if the SMP as amended meets the following requirements: ( A ) Contains the information required in paragraph (e)(2) of this section;
( B ) Is submitted in compliance with the requirements of paragraph (e)(4) of this section; and
( C ) As determined by NMFS, is reasonably expected to reduce Chinook salmon bycatch.
( iv ) *Disapproval* — ( A ) *NMFS Disapproval.* NMFS will disapprove a proposed SMP or a proposed amendment to an SMP for any of the following reasons: ( 1 ) If the proposed SMP fails to meet any of the requirements of paragraphs (e)(2) through (4) of this section,
( 2 ) If a proposed amendment to an SMP would cause the SMP to no longer meet the requirements of paragraphs (e)(2) and (4) of this section, or
( 3 ) If NMFS determines the proposed SMP or SMP amendment is not reasonably expected to reduce Chinook salmon bycatch.
( B ) *Initial Administrative Determination (IAD).* If, in NMFS' review of the proposed SMP or amendment, NMFS identifies deficiencies in the proposed SMP that would require disapproval of the proposed SMP or amendment, NMFS will notify the applicant in writing. The applicant will be provided one 30-day period to address, in writing, the deficiencies identified by NMFS. Additional information or a revised SMP received by NMFS after the expiration of the 30-day period specified by NMFS will not be considered for purposes of the review of the proposed SMP or amendment. NMFS will evaluate any additional information submitted by the applicant within the 30-day period. If the Assistant Regional Administrator determines the additional information addresses deficiencies in the proposed SMP or amendment, the Assistant Regional Administrator will approve the proposed SMP or amendment under paragraph (e)(5)(i) or (iii) of this section. However, if, after consideration of the original proposed SMP or amendment, any additional information, or a revised SMP submitted during the 30-day period, NMFS determines the proposed SMP or amendment does not comply with the requirements of paragraph (e)(5)(i) or (iii) of this section, the Assistant Regional Administrator will issue an IAD to the applicant in writing providing the reasons for disapproving the proposed SMP or amendment.
( C ) *Administrative Appeals.* An applicant who receives an IAD disapproving a proposed SMP or amendment may appeal. The appeal must be filed in writing within 30 calendar days of when NMFS issues the IAD. The NOAA Fisheries National Appeals Office will process any appeal. The regulations and policy of the National Appeals Office will govern the appeals process. The National Appeals Office regulations are specified at 15 CFR part 906.
( D ) *Pending appeal.* While the appeal of an IAD disapproving a proposed SMP or amendment is pending, proposed parties to the SMP subject to the IAD will not have access to the Chinook salmon bycatch reserve unless a measure described in § 660.60(i)(1)(ii) has been implemented for that component of the whiting fishery.
( 6 ) *SMP postseason report.* The designated SMP representative for an approved SMP must submit a written postseason report to NMFS and the Council for the year in which the SMP was approved. ( i ) *Submission deadline.* The SMP postseason report must be received by NMFS and the Council no later than March 17 of the year following that in which the SMP was approved.
( ii ) *Information requirements.* The SMP postseason report must contain, at a minimum, the following information: ( A ) Name of the SMP and SMP identification number.
( B ) A comprehensive description of Chinook salmon bycatch avoidance measures used in the fishing year in which the SMP was approved, including but not limited to, information sharing, area closures, movement rules, salmon excluder use, and internal bycatch guidelines.
( C ) An evaluation of the effectiveness of these avoidance measures in minimizing Chinook salmon bycatch.
( D ) A description of any amendments to the terms of the SMP that were approved by NMFS during the fishing year in which the SMP was approved and the reasons the amendments to the SMP were made.
[75 FR 60897, Oct. 1, 2010, as amended at 75 FR 78385, Dec. 15, 2010; 76 FR 53837, Aug. 30, 2011; 76 FR 74740, Dec. 1, 2011; 78 FR 68769, Nov. 15, 2013; 78 FR 75279, Dec. 11, 2013; 80 FR 22285, Apr. 21, 2015; 81 FR 27010, May 5, 2016; 81 FR 84430, Nov. 23, 2016; 83 FR 62276, Dec. 3, 2018; 84 FR 68806, Dec. 17, 2019; 86 FR 10869, Feb. 23, 2021; 87 FR 77005, Dec. 16, 2022; 88 FR 81358, Nov. 22, 2023]