53380 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

DEPARTMENT OF COMMERCE 

National Oceanic and Atmospheric 

Administration 

50 CFR Part 660 

[Docket No. 100212086–0307–03] 

RIN 0648–AY68 

Fisheries off West Coast States; 

Pacific Coast Groundfish Fishery 

Management Plan; Amendments 20 

and 21; Trawl Rationalization Program 

AGENCY: National Marine Fisheries 

Service (NMFS), National Oceanic and 

Atmospheric Administration (NOAA), 

Commerce. 

ACTION: Proposed rule; request for 

comments. 

SUMMARY: NMFS proposes specific 

measures for the implementation of 

Amendments 20 and 21 to the Pacific 

Coast Groundfish Fishery Management 

Plan (FMP). Amendment 20 would 

establish a trawl rationalization program 

for the Pacific Coast groundfish fishery, 

which would consist of: An individual 

fishing quota (IFQ) program for the 

shorebased trawl fleet (including 

whiting and non-whiting); and 

cooperative (coop) programs for the atsea (whiting only) mothership (MS) and 

catcher/processor (C/P) trawl fleets. The 

trawl rationalization program is 

intended to increase net economic 

benefits, create individual economic 

stability, provide full utilization of the 

trawl sector allocation, consider 

environmental impacts, and achieve 

individual accountability of catch and 

bycatch. Amendment 21 would 

establish fixed allocations for limited 

entry (LE) trawl participants. These 

allocations are intended to improve 

management under the rationalization 

program by streamlining its 

administration, providing stability to 

the fishery, and addressing halibut 

bycatch. 

On August 9, 2010, NMFS made its 

decision to partially approve 

Amendments 20 and 21. Accordingly, 

this rule proposes the key components 

that would be necessary to implement 

the trawl rationalization program at the 

start of the 2011 fishery. NMFS 

previously published a proposed rule on 

June 10, 2010 that would restructure 

and clarify the Pacific Coast groundfish 

regulations to more closely track the 

organization of the proposed measures 

(the initial issuance proposed rule). The 

proposed rule and references to the 

groundfish regulations in the preamble 

for this proposed rule cite to the 

applicable sections of in the initial 

issuance proposed rule. The initial 

issuance proposed rule would also 

establish the allocations set forth under 

Amendment 21 and procedures for 

initial issuance of permits, 

endorsements, quota shares (QS), and 

catch history assignments under the IFQ 

and coop programs. This rule 

supplements the prior initial issuance 

proposed rule, and provides additional 

details, including: Program components 

applicable to IFQ gear switching, 

observer programs, retention 

requirements, equipment requirements, 

catch monitors, catch weighing 

requirements, coop permits, coop 

agreement requirements, first receiver 

site licenses, quota share accounts, 

vessel quota pound accounts, further 

tracking and monitoring components, 

and economic data collection 

requirements. NMFS is also planning a 

future ‘‘cost recovery’’ rule based on a 

recommended methodology yet to be 

developed by the Pacific Fishery 

Management Council (the Council). 

DATES: Comments on this proposed rule 

must be received no later than 5 p.m., 

local time on September 30, 2010. 

ADDRESSES: You may submit comments, 

identified by 0648–AY68, by any of the 

following methods: 

• Electronic Submissions: Submit all 

electronic public comments via the 

Federal e-Rulemaking Portal, at http:// 

www.regulations.gov. 

• Fax: 206–526–6736; Attn: Jamie 

Goen. 

• Mail: William W. Stelle, Jr., 

Regional Administrator, Northwest 

Region, NMFS, 7600 Sand Point Way, 

NE., Seattle, WA 98115–0070; Attn: 

Jamie Goen. 

Instructions: All comments received 

are a part of the public record and will 

generally be posted to http:// 

www.regulations.gov without change. 

All Personal Identifying Information (for 

example, name, address, etc.) 

voluntarily submitted by the commenter 

may be publicly accessible. Do not 

submit Confidential Business 

Information or otherwise sensitive or 

protected information. NMFS will 

accept anonymous comments (if 

submitting comments via the Federal eRulemaking portal, enter ‘‘N/A’’ in the 

relevant required fields if you wish to 

remain anonymous). Attachments to 

electronic comments will be accepted in 

Microsoft Word or Excel, WordPerfect, 

or Adobe PDF file formats only. Written 

comments regarding the burden-hour 

estimates or other aspects of the 

collection-of-information requirements 

contained in this proposed rule may be 

submitted to NMFS, Northwest Region, 

e-mailed to 

David_Rostker@omb.eop.gov; or faxed to 

202–395–7285. 

FOR FURTHER INFORMATION CONTACT: 

Jamie Goen, 206–526–4656; (fax) 206– 

526–6736; Jamie.Goen@noaa.gov. 

SUPPLEMENTARY INFORMATION: 

Electronic Access 

This proposed rule is accessible via 

the Internet at the Office of the Federal 

Register’s Web site at http:// 

www.gpoaccess.gov/fr/index.html. 

Background information and 

documents, including the Final 

Environmental Impacts Statements for 

Amendment 20 and Amendment 21, are 

available at the Pacific Fishery 

Management Council’s Web site at 

http://www.pcouncil.org/. 

Background 

On August 9, 2010, NMFS made its 

decision to partially approve 

Amendments 20 and 21 to the Pacific 

Coast Groundfish Fishery Management 

Plan (FMP). Amendment 20 would 

establish a trawl rationalization program 

for the Pacific Coast groundfish fishery, 

which would consist of: An individual 

fishing quota (IFQ) program for the 

shorebased trawl fleet (including 

whiting and non-whiting sectors); and 

cooperative (coop) programs for the atsea (whiting only) mothership (MS) and 

catcher/processor (C/P) trawl fleets. 

Amendment 21 would establish fixed 

allocations for limited entry (LE) trawl 

participants. On May 12, 2010 (75 FR 

26702), NMFS published a notice of 

availability of Amendments 20 and 21, 

and—consistent with requirements of 

the Magnuson-Stevens Fishery 

Conservation and Management Act 

(MSA)—made its decision to partially 

approve the amendments on August 9, 

2010. 

Because of the complexity of these 

amendments, NMFS determined that 

implementation would take place 

through multiple rulemakings. The first 

rule developed by NMFS would: 

Restructure and clarify the Pacific Coast 

groundfish regulations to more closely 

track the organization of the proposed 

management measures, establish the 

allocations set forth under Amendment 

21, and establish procedures for the 

initial issuance of permits, 

endorsements, QS, and catch history 

assignments under the IFQ and coop 

programs. Council staff and NMFS 

coordinated to develop this initial 

issuance rule in early 2010, and the 

Council deemed a version of the initial 

issuance rule necessary or appropriate 

for the implementation of Amendments 

20 and 21 at its April 2010 meeting in 

Portland, Oregon. At the April meeting, 


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the Council directed Council staff to 

make specific revisions to the 

regulations and additional edits as 

appropriate, convened a Regulatory 

Deeming Workgroup (RDW) to review 

the continuing regulatory development, 

and delegated authority to the Executive 

Director of the Council to further deem 

the rule as necessary or appropriate 

prior to their transmittal to NMFS for 

publication. On May 7, 2010, the 

Executive Director transmitted 

Amendments 20 & 21 to NMFS for 

review by the Secretary of Commerce. In 

that same letter, the Executive Director 

deemed that the revised rule continued 

to be necessary or appropriate for the 

purpose of implementing the plan 

amendments consistent with the 

Council’s intent, and after review by 

NMFS headquarters, the initial issuance 

proposed rule was published in the 

Federal Register on June 10, 2010 (75 

FR 32994). The preamble to the June 10, 

2010, proposed rule provided the 

detailed background for the proposed 

management measures and is not 

repeated here. 

After the April 2010 Council meeting, 

Council staff and NMFS coordinated to 

develop the second set of draft 

regulations, which would establish 

several of the program components 

required for implementation of the 

rationalized trawl fishery in 2011, 

including IFQ gear switching 

provisions, details of observer 

requirements and first receiver catch 

monitor programs, first receiver site 

licenses, equipment requirements, catch 

weighing requirements, retention 

requirements in the shorebased IFQ 

program, QS accounts, vessel accounts 

for use of quota pounds (QP), 

requirements for coop permits and coop 

agreements, further tracking and 

monitoring components, and economic 

data collection requirements. A version 

of the program components proposed 

rule was provided to the RDW for its 

June 10–11, 2010 meeting to review and 

comment to the Council. NMFS 

provided this version for the Council’s 

consideration at its June 2010 meeting. 

At the June 2010 meeting, the Council 

directed NMFS to continue drafting the 

proposed rule consistent with the 

Council’s direction on remaining issues 

to be addressed, and to provide a 

revised version for the RDW to review 

at its June 30, 2010 meeting. The 

Council delegated authority to its 

Executive Director to deem the final 

version of the program components 

proposed rule as necessary or 

appropriate after consideration of any 

further comments by the RDW. The 

RDW reviewed additional revisions to 

the program components proposed rule 

on June 30, 2010, and provided its 

comments to the Council. NMFS 

completed drafting the regulations in 

close coordination with Council staff, 

and on July 12, 2010, provided its final 

version of the program components 

proposed rule to the Council. Council 

staff made additional revisions, and on 

July 20, 2010, the Executive Director 

deemed the regulations to be necessary 

or appropriate to implement 

Amendments 20 and 21 consistent with 

the Council’s action. 

The program components proposed 

rule provides details necessary for 

implementation of trawl rationalization 

by January 2011. Some of the provisions 

apply to several or all of the programs 

(i.e., Shorebased IFQ Program, MS Coop 

Program, C/P Coop Program), while 

other details only affect one program, as 

discussed below. 

As mentioned in the preamble to the 

initial issuance proposed rule (75 FR 

32994, June 10, 2010) on page 32997, 

the management approaches set forth in 

the trawl rationalization program 

consist of different types of limitedaccess approaches. These limited-access 

approaches grant permission to the 

holder of the privilege or permit to 

participate in the program. Such 

permission may be revoked, limited, or 

modified at any time. In other words, it 

is a conditional privilege. Amendment 

20 includes features such as annual 

renewal requirements and regular 

program reviews that would ensure 

program goals are being met, provide 

NMFS the ability to review, track, and 

monitor program implementation and 

needs, and prevent the perception that 

the program confers ‘‘rights’’ as opposed 

to privileges. 

Amendment 20 establishes programs 

that are ‘‘limited-access privilege 

programs,’’ which are consistent with 

the MSA provisions at section 303A. 

Limited-access privileges, including the 

QS, QP, and catch history assignments, 

may be revoked, limited or modified at 

any time in accordance with the MSA, 

and do not create any right of 

compensation to the holder of the 

limited-access privilege, QS, QP, or 

catch history assignment if revoked, 

limited or modified. The limited-access 

privilege program does not create any 

right, title, or interest in or to any fish 

before the fish is harvested by the 

holder and shall be considered a grant 

of permission to the holder of the 

limited-access privilege to engage in 

activities permitted by the limitedaccess privilege program. For further 

statutory provisions related to limitedaccess privileges, see section 303A of 

the MSA. 

Section 303A contains an ‘‘antitrust 

savings clause’’ that provides that 

‘‘nothing in this Act shall be construed 

to modify, impair, or supersede the 

operation of any of the antitrust laws. 

For purposes of the preceding sentence, 

the term ‘antitrust laws’ has the 

meaning given such term in subsection 

(a) of the first section of the Clayton Act, 

except that such term includes section 

5 of the Federal Trade Commission Act 

to the extent that such section 5 applies 

to unfair methods of competition.’’ 

NOAA advises that any fishery 

participants who are uncertain about the 

legality of their activities under the 

antitrust laws of the United States 

should consult legal counsel prior to 

commencing those activities. 

Changes Applicable to All Programs 

Recordkeeping and Reporting 

The program components proposed 

rule includes several new recordkeeping 

and reporting requirements, including 

provisions for new declarations, 

electronic fish tickets, a mandatory 

economic data collection program 

(described further under ‘‘Economic 

Data Collection (EDC) Program’’ later in 

this preamble), scale reports, annual 

coop reports, and cease fishing reports. 

The proposed rule would expand the 

use of declarations for the management 

of the groundfish fisheries. Current 

regulations require groundfish vessels to 

submit declarations in order to facilitate 

tracking of compliance with area 

management measures when a vessel is 

required to carry a vessel monitoring 

system (VMS). The proposed rule would 

use declarations not only to 

complement VMS requirements, but 

also to establish what fishery a vessel 

would be participating in for the 

purpose of catch accounting and 

identifying what other requirements 

would be applicable to that vessel. The 

proposed rule would also add a 

declaration for vessels participating in 

the Shorebased IFQ Program under gear 

switching, as described below. 

Motherships would be exempted from 

the requirement to submit declarations, 

because motherships do not operate as 

a catcher vessel, are not subject to any 

groundfish conservation areas (GCAs), 

are not required to carry a VMS, and do 

not switch between various gear types 

such that a declaration would be of any 

use. 

Landings in the Shorebased IFQ 

Program would be reported through a 

Federal electronic fish ticket system. 

Shorebased IFQ first receivers, which 

would be issued a first receiver site 

license from NMFS, would complete the 


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landings information for each fishing 

trip by a vessel offloading at their site. 

Scale reports would be required for 

scales used at shorebased IFQ first 

receivers and for scales used on 

mothership and catcher/processor 

vessels. Scales used to weigh catch on 

vessels would be required to be 

inspected annually and tested daily. 

Records of the scale tests and records of 

the scale printouts (catch weight and 

cumulative weight) would be required 

to be maintained onboard the vessel 

until the end of the year during which 

the reports were made, and be made 

available to NMFS upon request. In 

addition, the vessel owner would be 

required to retain printed reports for 3 

years after the end of the year during 

which the printouts were made. IFQ 

first receivers would be required to 

allow for in-season scale testing. IFQ 

first receivers would also be required to 

ensure that printouts of the scale weight 

of each delivery or offload are made 

available to NMFS staff or to authorized 

officers at the time printouts are 

generated. An IFQ first receiver would 

be required to maintain printouts on site 

until the end of the fishing year during 

which the printouts were made and 

make them available upon request by 

NMFS staff or authorized officers for 3 

years after the end of the fishing year 

during which the printout was made. 

Additional new recordkeeping and 

reporting requirements for the coop 

fisheries would include a requirement 

for an annual coop report describing the 

coop allocation, the total catch (retained 

and discards) of the coop, monitoring, 

and other coop activities. Cease fishing 

reports would be required in the coop 

fisheries to report to NMFS when a coop 

has completed fishing for the year. 

Permits 

Under the proposed initial issuance 

rule, several new permits that could be 

registered to a vessel would be issued. 

The program components proposed rule 

sets forth the rules for registration and 

transfer of registration that would apply 

to these permits. Consistent with 

current regulations, when the owner of 

a limited entry trawl permit registered 

to a vessel operating in the Shorebased 

IFQ Program transfers the registration to 

another vessel, the registration would be 

effective at the start of the next 

cumulative trip limit period. This 

provision would remain in place 

because trip limits would remain in 

place in the Shorebased IFQ Program 

(for non-IFQ species and for Pacific 

whiting outside the primary whiting 

season). A transfer of registration for 

MS/CV-endorsed limited entry trawl 

permits would also be effective at the 

start of the next cumulative limit period 

because vessels registered to MS/CVendorsed permits would be eligible to 

participate in both the Shorebased IFQ 

Program and the MS Coop Program. 

Transfers of MS permits and C/Pendorsed limited entry trawl permits 

would be effective immediately upon 

reissuance to the new vessel, because 

neither of these permits would be 

affected by trip limits. 

With respect to transfer of MS/CVendorsed permits, the Council motion 

included a provision (Appendix D, Page 

D–34) that would allow an MS/CVendorsed permit to have two changes in 

vessel registration in the same calendar 

year, provided that the second change in 

vessel registration would return the 

registration to the original vessel 

assigned to the permit in that year. 

Transfer rules for limited entry trawl 

permits without an MS/CV 

endorsement, however, limit the permit 

owner to only one transfer in a given 

year. During its March 2010 meeting, 

the Council considered that because 

vessels registered to an MS/CVendorsed permit would be able to 

deliver whiting to the MS sector and 

would also potentially be able to deliver 

IFQ groundfish to shorebased first 

receivers, it may be possible for owners 

of an MS/CV-endorsed permit to 

circumvent the restrictions on transfers 

of limited entry permits in the 

Shorebased IFQ Program for owners of 

permits that lack an MS/CVendorsement. Consequently, the Council 

decided that if the owner of an MS/CVendorsed permit were to transfer 

registration of the permit a second time, 

the vessel to which the permit is 

transferred to would not be eligible to 

fish in the Shorebased IFQ Program 

under that permit during the remainder 

of the year. The Council’s motion on 

this issue did not address the timing of 

when the second transfer would be 

effective. Under the regulations being 

proposed, the second transfer would be 

effective at the start of the next 

cumulative limit period (i.e., 2-month 

period). If there are no trip limits for the 

mothership fishery, then this restriction 

on the effective date of transfers may not 

be necessary. NMFS solicits public 

comment on the effective date for a 

second transfer within the same year of 

an MS/CV-endorsed limited entry 

permit. 

Pacific whiting vessel licenses, 

currently used in the at-sea whiting 

fishery, would be removed under this 

proposed rule. Consequently, section 

660.26 of the initial issuance proposed 

rule would be removed from the 

regulations. These licenses, which were 

first issued in 2009 as an interim step 

in implementing Amendment 10, would 

no longer be necessary under the trawl 

rationalization program. Under trawl 

rationalization, participation in the 

mothership and catcher/processor 

sectors would be limited by vessel 

permits that would replace the Pacific 

whiting vessel licenses: MS permits and 

MS/CV-endorsed limited entry trawl 

permits for the mothership sector and 

C/P-endorsed limited entry trawl 

permits for the catcher/processor sector. 

Initial eligibility and application 

processes for these permits and 

endorsements were proposed in the 

initial issuance proposed rule (75 FR 

32994, June 10, 2010). Vessels fishing 

for whiting in the Shorebased IFQ 

Program would be limited through the 

existing limited entry trawl permit 

system, and thus, Pacific whiting vessel 

licenses would no longer be needed. 

The at-sea whiting sectors (both 

mothership and catcher/processor) 

would require a coop permit for any 

coops. Coop permits are discussed 

further in the ‘‘at-sea sector’’ discussion 

below. 

Economic Data Collection (EDC) 

Program 

Trawl rationalization is expected to 

change both the size and distribution of 

economic benefits generated by the 

West Coast groundfish trawl fishery. 

Recognizing these likely changes in the 

economic performance of the fishery, 

and the limitations inherent in 

voluntary economic data collection 

programs, the Council voted to 

implement a mandatory EDC program. 

Authority To Implement the EDC 

Program 

Economic data collection from 

harvesters and processors participating 

in the West Coast groundfish trawl 

fishery is required not only to determine 

if the trawl rationalization goals 

identified by the Council are being met, 

but also to meet the heightened 

requirements for economic analysis 

contained in the MSA. The MSA (Sec. 

303A.(c)(1)(C)(iii)) requires that any 

limited access privilege program (LAPP) 

shall promote social and economic 

benefits. In addition, Sec. 303A(c)(1)(G) 

of the MSA contains a monitoring 

requirement to determine whether a 

LAPP is meeting its goals. The Council’s 

stated goals include several economic 

performance measures such as: a 

profitable and efficient fleet, operational 

flexibility, minimize adverse impact on 

fishing communities, promotion of 

economic and employment benefits, and 

to provide quality product to 

consumers. The monitoring of economic 

performance can also provide needed 


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information to fishery managers about 

how to best use quota that has been 

reserved for adaptive management. 

Without the collection of economic data 

it would be difficult, if not impossible, 

to measure the economic benefits and 

consequences of the proposed 

groundfish trawl rationalization 

program. The EDC program seeks to 

provide the economic data needed not 

only to meet legislative mandates, but 

also to provide the Council with 

valuable information for future fisheries 

management decisions. At the same 

time, the design of this program is 

mindful of confidentiality concerns and 

the compliance burden created for 

harvesters and processors. 

Type of Information To Be Submitted 

In order for economists to provide 

decision makers with information on 

the magnitude and distribution of 

economic benefits of the trawl 

rationalization program, available data 

collection must provide reliable 

information on (1) the relevant parties 

whose economic welfare is affected by 

trawl rationalization, and (2) the 

elements (such as earnings, 

expenditures and employment) that 

comprise each party’s economic welfare 

derived from the groundfish trawl 

fishery. To meet these needs, NMFS has 

designed mandatory survey 

questionnaires for catcher vessels (both 

delivering shoreside and to 

motherships), catcher-processors, 

motherships, shoreside processors, and 

first receivers. These mandatory surveys 

would replace the existing voluntary 

survey program undertaken with the 

shoreside limited entry groundfish trawl 

fleet. This data collection would 

provide, for the first time, a 

comprehensive source of economic 

information that can be used to quantify 

the economic benefits and consequences 

accruing to shoreside processors, 

catcher-processors, motherships, 

harvesters, individuals employed in the 

fishery, and regional economic impacts. 

Information Confidentiality 

Under Federal law, EDC information 

would be considered confidential and, 

as such, would not be disclosed to the 

public. In particular, under the MSA, 

information that is submitted to NMFS 

pursuant to the MSA is considered 

confidential and cannot be disclosed. 

The information submitted through the 

questionnaires would be a required 

submission under the MSA. If a 

Freedom of Information Act (FOIA) 

request for EDC were received by 

NMFS, EDC information would only be 

released in aggregated form, that is, 

without identifiers and other 

information components that, if 

released, would allow someone to 

identify the submitter and result in 

competitive or other harm to the 

submitter. Further information about 

NMFS’ confidentiality and aggregation 

guidance can be found on its Web sites. 

NMFS’ reports or other publications on 

trawl rationalization would discuss EDC 

information, but only in aggregated 

form. 

Purposes for the EDC Information 

Topics that would be addressed by 

economic analysis of the trawl 

rationalization program include the 

magnitude and distribution of economic 

benefits generated by the groundfish 

trawl fishery, regional economic 

impacts, employment, the efficiency of 

harvesting and processing operations 

within the fishery, capacity utilization, 

the functioning of the quota market, 

spillover effects into other fisheries, 

product quality, and incentives to 

reduce bycatch. Addressing these topics 

would require collecting data at the 

level of the individual harvesting vessel, 

processing vessel, first receiver and 

processing plant. The data collection 

would be done on an annual basis, with 

specific questionnaires designed for 

catcher vessels, catcher-processors, 

motherships, and first receivers and 

shoreside processing plants. Due to the 

relatively small number of vessels or 

processing plants in each of these 

populations, a census of all members of 

the survey population would be 

conducted each year. In addition to the 

mandatory surveys of harvesters and 

processors, NMFS is conducting 

voluntary social surveys of a wide range 

of participants in the fishery. 

Deadlines for EDC Form Submission 

The questionnaires would be mailed 

to permitted and licensed fishery 

participants (both active and inactive), 

as well as others who according to 

available databases are required to 

complete a questionnaire. Baseline 

information is necessary for NMFS and 

the Council to understand program 

effects. To achieve a complete and 

useful baseline database, NMFS would 

require 2009 and 2010 trawl fisheries 

participants to provide baseline 

economic information. Although it is 

possible that certain participants may 

not possess baseline information, or 

may have dropped out of the fishery, 

NMFS believes it must attempt to 

acquire the information. Requiring 

submission of 2009 and 2010 baseline 

information and not older information 

reduces the submission burden. 

To facilitate program administration, 

NMFS would attempt to mail 

questionnaires to all relevant fishery 

participants on or around May 1 of 

every year. However, it is possible that 

NMFS would not identify all 

participants who would be obligated to 

submit a questionnaire, thus it would 

ultimately be the relevant participant’s 

responsibility to obtain a questionnaire 

and complete it. NMFS would conduct 

outreach to facilitate identification of 

those who must provide both baseline 

and annual questionnaires. 

NMFS believes that persons required 

to submit EDC questionnaires must have 

sufficient time to retrieve necessary 

information and complete the 

questionnaire. Information submitted in 

annual questionnaires is typically 

similar to information used to complete 

tax returns. Given these considerations, 

NMFS proposes that EDC questionnaires 

would be due no later than September 

1 for both baseline and annual EDC 

questionnaires. Thus, baseline 

questionnaires would be submitted 

before September 1, 2011. Annual 

questionnaires would be submitted 

before September 1 of each 

corresponding year, that is, September 1 

of the year following the year for which 

the information must be provided. 

Compliance With the EDC Form 

Submission Requirement 

Because questionnaire submission 

would be mandatory, NMFS must 

ensure there are compliance incentives. 

In addition to incentives to avoid 

enforcement actions for failure to 

submit the questionnaire, another 

incentive would be to withhold permit 

issuance or other applications 

authorizing participation in the trawl 

program. For example, if a prior year’s 

annual questionnaire is not submitted 

by a permit applicant or a vessel owner 

who maintains a vessel account, the 

application or renewal process would be 

considered incomplete by NMFS. The 

permit or renewal application would be 

denied and an Initial Administrative 

Determination (IAD) issued setting forth 

the underlying facts, a discussion and 

determination. Upon issuance of the 

IAD, NMFS may withhold issuance of 

any new annual QS, not reauthorize a 

vessel account, not register a permit to 

a vessel, not renew a permit, not issue 

a license, or other related authorization 

to a participant. An aggrieved permit or 

other participation applicant could 

appeal an IAD through the Office of 

Administrative Appeals (OAA) in 

NMFS. An IAD that is not appealed to 

the OAA within 30 days of the issuance 

would become final agency action. 

Thus, if a questionnaire had not been 

submitted prior to its receipt of an 

application or renewal request, NMFS 


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would suspend permit application or 

renewal processing. Upon receipt of the 

questionnaire, NMFS would then finish 

application or renewal processing, 

assuming the applicant or requestor had 

met all other requirements. 

Who Would Be Required To Submit the 

EDC Form 

The EDC program would require all 

trawl program participants to submit the 

questionnaires. These participants 

include owners, lessees and charterers 

of, catcher vessels, catcher processor 

vessels, and mothership vessels; and, 

first receivers and shorebased 

processors. For purposes of identifying 

shorebased processors from whom 

NMFS would receive questionnaires 

and relevant economic information, 

NMFS—in consultation with the RDW— 

crafted a specific, EDC program only, 

definition for ‘‘shorebased processor.’’ 

Identifying the ‘‘who’’ among shorebased 

processors that would be required to 

submit the questionnaire raised a 

practical issue. There are a variety of 

seafood processing operations, 

including first receivers and primary 

fish processing operations that subject 

round or headed-and-gutted fish to the 

first strokes of a knife. However, a 

certain amount of ‘‘shorebased’’ fish 

processing occurs long past the point of 

the initial processors. For example, 

commercial processing can occur in 

major food manufacturing facilities and 

supermarkets. While NMFS may have 

authority to collect economic 

information from certain processing 

operations, the EDC program was not 

designed to require information from 

these operations. 

In its consultations with the RDW, 

NMFS initially proposed that the 

limited entry permit owner would bear 

the burden of submitting the 

questionnaire and all information for 

vessels, including all vessel economic 

information. This meant that the permit 

owner would be required to submit data 

from ‘‘third parties,’’ that is, a person 

who leases a permit to operate a vessel. 

In that instance, if the permit owner 

were unable to obtain the lessee or 

charter’s economic information, it was 

possible that the permit owner would be 

unable to submit a completed EDC 

questionnaire to NMFS. The RDW 

responded to NMFS’ proposal and asked 

that NMFS not require the permit owner 

to be responsible for the submission of 

third-party lessee information. 

The problem, according to the RDW, 

would be that in some circumstances it 

would be impossible to obtain thirdparty information. Thus, it would be 

unfair to impose this burden on the 

permit owner. In view of the RDW’s 

response, NMFS has changed the 

requirements it initially proposed before 

the RDW. Thus, in this proposed rule, 

NMFS would require that the permit 

owner submit only the permit owner’s 

information, if required, and not a thirdparty’s information. Further, the permit 

lessees would be required to submit 

questionnaires. This eliminates the 

RDW’s concerns and reduces the 

reporting burden for permit owners and 

certain other program participants. 

However, in order to facilitate its ability 

to identify who must submit a 

questionnaire, NMFS proposes that 

permit owners and vessel owners be 

required to disclose identifying 

information about lessees and charters. 

The RDW also registered concerns 

about NMFS’ use of the administrative 

permit process to gain compliance with 

the EDC requirements. In other EDC 

programs, NMFS has found that 

holding-up a permit or renewal process 

for failure to submit a questionnaire 

resulted in high compliance. NMFS 

believes that this administrative-based 

compliance incentive is preferred to 

enforcement-based incentives. An 

enforcement-based violation requires a 

lengthy and administratively-complex 

adjudication process, while the 

administrative-based, ‘‘complete permit 

application’’ process is more efficient 

and requires fewer resources. 

EDC Audit Process 

In other EDC programs, NMFS has 

installed an economic information 

verification process to ensure that 

submitted information is accurate and to 

ascertain sources or causes for 

anomalous or outlier information. 

Because an audit process enhances the 

reliability and accuracy of the 

information database, NMFS proposes 

an audit process for the trawl program. 

The audit program would consist of a 

process to request submission of 

supporting documentation, either to 

NMFS itself, or to a third-party such as 

a contractor or auditor. Further, NMFS 

or the third-party could require the 

submitter to respond to any questions 

within 20 days, unless an extension is 

granted by NMFS. A NMFS or thirdparty auditor would review requested 

information for verification purposes. 

Requested information would include 

financial statements, worksheets, and 

tax returns. Information submitted in 

this audit process would be a required 

submission to either NMFS or the thirdparty auditor, thus the information 

would be considered confidential. 

Transaction Prices 

Separate from the EDC Program, 

NMFS would collect transaction prices 

as recommended in the Council motion 

(Appendix D, A–2.3.2, p.D–14). For 

collecting transaction values on permits, 

QS, and QP transactions, the data 

collection system would have two 

components: (a) A request for monetary 

estimates; and (b) key questions that 

characterize the nature of the 

transaction. Responses may require a 

few sentences to describe the nature of 

transactions. The permits office would 

use this data to provide the public, via 

the NMFS IFQ Web site, with simple 

averages so that the estimates may not 

reflect the total values of the 

transactions. Detailed data on the nature 

of the transactions would be provided to 

the NWFSC for use in developing more 

precise estimates using econometric 

techniques. Because all reporting would 

be electronic, NMFS would not be 

requesting copies of supporting 

documentations, such as sales or lease 

agreements. Instructions would be 

provided to encourage retention of 

supporting documents in order to be 

responsive to audits that may be 

conducted by OLE as part of an 

enforcement action or by NWFSC as 

part of their economic audit function. 

Only relevant questions would be asked, 

with the intent being to keep the list of 

questions to a minimum. 

Observer Program 

The initial issuance proposed rule 

created a separate section (at § 660.116) 

for regulatory requirements regarding 

mandatory observer coverage as an 

interim step until discrete observer 

regulations were proposed under this 

program components rule for each trawl 

program (IFQ, MS, and C/P). Observers 

have been deployed in the Pacific coast 

groundfish fisheries since 2001 in the 

West Coast Groundfish Observer 

Program (WCGOP). In order to 

incorporate changes expected under 

trawl rationalization, NMFS has been 

adapting the regulations implementing 

the WCGOP. During this regulatory 

development, NMFS recognized that 

each observer’s roles and 

responsibilities would differ between 

each fishery and may change in the 

future based upon a specific fishery’s 

requirements or needs. Accordingly, the 

program components proposed rule 

removes § 660.116 and reorganizes the 

observer regulations to follow the 

overall structure of the regulations, 

providing detailed requirements by 

fishery: Shorebased IFQ Program 

(§ 660.140(h)), MS Coop Program 

(§ 660.150(j)), and C/P Coop Program 

(§ 660.160(g)). While a general 

description of the observer program 

applicable to all is provided here, 

sections within each program outline 


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changes in the proposed regulations 

specific to each. 

Vessels would be required to procure 

observer services from any one of a 

number of observer providers that are 

currently permitted to deploy observers 

in the North Pacific fisheries. This 

presents a distinct change for catcher 

vessels which have previously had no 

observer coverage or which have had 

government-funded observers selected 

and deployed by NMFS. The catcher 

vessels’ cost of procuring observer 

services may be partially defrayed by 

the government via a subsidy for at least 

the first year of the Shorebased IFQ 

Program, subject to appropriations. 

Companies providing observer 

services (aka observer providers) would 

be required to comply with all observer 

support, deployment limitations and 

logistics and communication in this 

rule. The requirements are similar to 

those found in other areas of the country 

and focused on those considered 

necessary to receiving quality data 

without impacting the efficiency of the 

provider companies operating in the 

West Coast rationalized groundfish fleet. 

Observers would be required to meet 

the minimum qualification standards 

currently in use and successfully 

complete all training. Observers would 

also be required to collect and submit 

data as per the protocols of the program. 

If an observer’s performance does not 

meet the observer program minimum 

standards outlined in the observer 

program manuals and other materials, 

the observer may be decertified and 

would not be eligible to observe in any 

West Coast groundfish fishery. If an 

observer fails to meet performance 

standards while conducting their 

responsibilities, NMFS would initiate a 

proceeding to propose their 

decertification. As with any proceeding 

to revoke a certification, NMFS would 

provide the observer notice and an 

opportunity to challenge the proposed 

decertification. NMFS would issue a 

preliminary decision and, if it is 

unfavorable to the observer, an appeal 

process for further review would be 

provided. 

In addition to continuing to deploy 

observers in the non-rationalized fleet, 

the WCGOP is reorganizing to meet the 

new demands of trawl rationalization 

including training and briefings. To 

maintain observer deployment 

flexibility and efficiency, observer 

training will capitalize on the existing 

program structure to train and certify 

qualified observers in the least number 

of trainings and briefings as possible. 

Currently, observers are qualified, 

trained and certified separately for the 

shorebased fleet and at-sea whiting 

processing fleet. NMFS envisions 

continuing to design observer training 

around similar observer duties and 

deployment logistics. Thus, in the 

future coop whiting fleet, observers 

deployed aboard the motherships and 

catcher processors would still be 

required to be certified and in good 

standing with the North Pacific 

Groundfish Observer Program (NPGOP) 

(as data collection, recording and 

transmission methods are similar) and 

successfully complete a whiting 

observer briefing. These existing 

briefings are expected to incorporate 

any additional duties aboard 

motherships and catcher processors due 

to trawl rationalization. As for observers 

deploying aboard catcher vessels 

delivering shoreside or to motherships, 

a broader training incorporating 

updated duties or a stand-alone IFQ 

training or briefing, is being 

investigated. The current shorebased 

observer training is 13 days and 

instruction includes data sampling 

methodology, data recording, species 

identification, at-sea safety, etc. The 

Pacific whiting IFQ fishery and 

mothership catcher vessel coverage that 

would be required under this proposed 

rule creates the need to develop and 

train observers in new methodology not 

previously included in WCGOP 

training. Given the number of vessels 

anticipated to be in the Shorebased IFQ 

Program, the given staffing and class 

size restrictions, NMFS is planning on 

two to three trainings to ensure enough 

qualified observers are available for the 

fleet by year end. 

Conflict of Interest Regulations in the 

Observer or Catch Monitor Programs 

The proposed regulations, as deemed 

by the Council, contain language on 

conflict of interest provisions for 

observers (§§ 660.140(h)(6)(vii)), 

660.150(j)(6)(vii), and 

660.160(g)(6)(i)(G)) and catch monitors 

(§ 660.18(c)). However, NMFS has 

concerns with the language and believes 

it has the potential to undermine the 

integrity of the shorebased and at-sea 

monitoring programs. 

The data coming from observers 

aboard fishing vessels and catch 

monitors at shorebased first receivers is 

crucial to NMFS’s ability to sustainably 

manage groundfish in general, and 

would be particularly important during 

management of the pending groundfish 

trawl rationalization program. A crucial 

component of NMFS’s tracking and 

monitoring system for the trawl 

rationalization program is the collection 

of timely and accurate landings and 

discard data to allow managers to 

ensure that landings stay within 

prescribed limits in order to prevent 

overfishing and promote rebuilding. 

Such landings and discard data would 

also provide fishermen with an accurate 

accounting of their harvesting activities 

so that they can efficiently plan their 

fishing operations. Maintaining strict 

conflict of interest standards for 

monitors and observers would give 

managers and fishermen a high level of 

assurance that they are basing their 

decisions on accurate data. NMFS 

believes that the changes proposed by 

the Council would unacceptably reduce 

the assurance that NMFS is receiving 

the best available information from its 

monitoring programs. 

In addition, if the language deemed by 

the Council were to be implemented, 

there would be inconsistent conflict of 

interest requirements within NMFS 

regulations, both between the regions, 

and on the West Coast. The conflict of 

interest requirements that were 

presented to the Council at its June 2010 

meeting (see http://www.pcouncil.org/

wp-content/uploads/B6a_ATT2_

DRAFT_PRGRM_COMPONENTS_

JUNE2010BB.pdf; requirements for 

catch monitors starting on page 9, and 

for observers on page 41) are consistent 

with conflict of interest standards set 

forth in the NMFS policy statement 04– 

109–01, National Minimum Eligibility 

Standards for Marine Fisheries 

Observers, implemented on August 6, 

2007. In addition, the provisions 

proposed by NMFS are consistent with 

existing requirements in the WCGOP, 

which will remain in place for the fixed 

gear and open access fleets. NMFS 

believes that the changes proposed by 

the Council would create discrepancies 

both within the region and nationally, 

and would place undue administrative 

burdens on NMFS. 

Because of these reasons, NMFS 

intends to use its authority under 

section 305(d) of the MSA to publish 

language in the final rule that differs 

from what was deemed by the Council. 

This proposed rule includes both the 

Council-deemed regulatory language 

and the language proposed by NMFS. 

The regulatory language labeled 

Alternative 1 in the conflict of interest 

provisions for observers 

(§§ 660.140(h)(6)(vii)), 660.150(j)(6)(vii), 

and 660.160(g)(6)(i)(G)) and for catch 

monitors (§ 660.18(c)) is the Councildeemed language, and Alternative 2 is 

the language NMFS proposes to publish 

in the final rule. 

NMFS specifically requests comment 

on these conflict of interest provisions 

for observers and catch monitors, and 

on NMFS’s intent to publish Alternative 

2 to make these requirements consistent 


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53386 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

within the region and with other NMFS 

programs. 

Ownership Information 

Previously, NMFS promulgated rules 

to determine ownership interests of 

limited entry trawl permits under the 

data collection rule (75 FR 4684, 

January 29, 2010). Information regarding 

ownership is necessary for NMFS to 

determine compliance with control 

limits and accumulation limits in the 

trawl rationalization program. Based on 

NMFS’s review of the ownership 

information that it has received, NMFS 

realizes that additional information may 

be necessary to make this 

determination. For instance, while in 

many cases the owner of the trawl 

limited entry permit is the same person 

as the owner of the vessel to which the 

permit is registered, this does not 

always appear to be the case. Because 

control of QS is determined on a case 

by case basis and extensive control of 

QP may indicate control of the 

underlying QS, NMFS needs ownership 

information related to vessel accounts as 

well as for the permit owner. The 

proposed rule would require vessel 

account owners to submit an ownership 

identification form in order to collect 

this information. In the event that the 

permit owner and vessel owner are the 

same, there may be some duplication in 

the requested information, and NMFS is 

exploring methods to coordinate 

processes in order to minimize the 

burden of multiple ownership 

identification forms. 

In some cases, the structure of the 

ownership interests may raise questions 

as to how NMFS interprets the 

ownership interest in order to make its 

determination. NMFS has identified two 

such instances: (1) Joint ownership, and 

(2) ownership by a trust. Each of these 

situations is addressed in the proposed 

rule, and NMFS specifically requests 

comments on the implications of its 

interpretations of these ownership 

structures, or of any other ownership 

structure not previously identified that 

may raise questions. 

A joint ownership situation exists 

where more than one person claims an 

interest indivisible from that of another 

person, such that the total ownership 

interest is greater than 100 percent. An 

example of this would be a joint 

tenancy, a form of property ownership 

where two parties (often a husband and 

wife) each own 100 percent, and in the 

event of death of one of them, the 

survivor would retain the indivisible 

100 percent already owned. In these 

situations, NMFS would credit each 

owner with the full percent claimed 

(e.g., in this example, 100 percent each), 

even though the sum of all ownership 

interests would exceed 100 percent. 

NMFS believes that for some owners, 

the benefits of joint tenancy may be 

greater than the parties’ concern for 

accumulation limits, particularly if they 

are more interested in estate planning 

than accumulation of privileges, and 

that if the parties to a joint tenancy 

don’t want to avoid individual 

accountability for the entire ownership 

interest, they would have the option of 

restructuring. 

Ownership by a trust creates another 

area where questions arise regarding 

compliance with accumulation limits. 

In any consideration of trusts, there are 

three parties that need to be considered: 

the trustee, the beneficiaries, and the 

trustor. Generally speaking, the trustee 

manages the property held in the trust 

according to the terms of the trust 

document for the benefit of the 

beneficiaries of the trust. The 

beneficiaries are equitable owners of the 

property, but generally, since they are 

not the legal owners do not exercise 

control over the property. The trustor is 

the party that sets up and grants 

property to the trust. Because a trust 

vests the legal title to the property in the 

trustee, under the proposed rule NMFS 

would credit ownership to the trustee. 

If there is more than one trustee (i.e., 

‘‘co-trustees’’), NMFS would consider 

each trustee to have 100 percent 

ownership of the trust property. NMFS 

recognizes that whether other parties 

besides the trustee would be impacted 

by ownership and control rules depends 

upon the nature of the trust and how it 

is set up. For instance, a trustor might 

retain authority to take the property 

back from the trust (i.e., a revocable 

trust), or, in some circumstances, 

beneficiaries could assert control over 

the trust property, modify the trust 

document, and/or wrest the legal 

ownership away from the trustee. For 

both of these cases, ownership would 

not appear to be an issue unless the 

trustor or beneficiaries gain actual legal 

ownership of the trust property, 

however, whether control rules would 

be implicated is harder to say and 

would depend upon the trust document. 

Thus, the program components rule 

includes provisions that NMFS may ask 

for additional information it believes to 

be necessary for its determination. 

Monitoring and Enforcement Measures 

As is the case for any quota-based 

program, NMFS would need to be able 

to accurately monitor the use of QS and 

accumulation limits. The Council voted 

to institute a variety of monitoring and 

enforcement measures. The shorebased 

monitoring and catch accounting system 

would be an expansion of the program 

that has been conducted under 

exempted fisheries permits for the 

Pacific whiting shoreside fishery since 

1992. The primary tools for monitoring 

would include: (1) Requiring the use of 

observers aboard catcher, catcherprocessor, and mothership vessels; (2) 

requiring the use of catch monitors at all 

first receivers and related processing 

facilities; (3) requiring the weighing of 

all catch on NMFS approved scales; (4) 

requiring that catcher-processors follow 

specified procedures when handling 

catch prior to processing; (5) requiring 

that first receivers participating in the 

program use electronic fish tickets and 

related computer software, and adopt 

and comply with catch monitoring 

plans for each site. These measures are 

discussed in more detail below. 

Cost Recovery 

The agency may collect fees to cover 

the administrative costs of issuing any 

permits (one-time fee for initial issuance 

and annual renewal), QS accounts and 

vessel accounts (annual), and first 

receiver site licenses (annual). 

Amendment 20 provides for the 

assessment of cost recovery fees up to 3 

percent of ex-vessel value, consistent 

with section 303A(e) of the MSA. Under 

the MSA (Section 303A(e)(1)(2)) and 

Public Law 109–479, the Secretary is 

authorized and shall collect a fee to 

recover the agency’s costs of 

management, data collection, analysis, 

and enforcement activities. Cost 

recovery is not included in this 

proposed rule, but will be addressed 

through a future Council action and 

trailing regulatory amendment. 

Status Quo Management of the Trawl 

Fishery 

Under the trawl rationalization 

program, some status quo management 

measures would remain in place for the 

trawl fishery, including the use of trip 

limits and closed areas. One example of 

a status quo management measures that 

would remain in place is the provision 

at § 660.55 in the initial issuance 

proposed rule that ‘‘no more than 5 

percent of the Shorebased IFQ Program 

allocation may be taken and retained 

south of 42° N. lat. before the start of the 

primary Pacific whiting season north of 

42° N. lat.′′ This issue was specifically 

addressed by the Council at its April 

2010 meeting as a management measure 

that should remain because of 

implications for Chinook salmon 

bycatch. 

Many groundfish species would 

continue to be subject to trip limits 

under the Shorebased IFQ Program; any 

IFQ species caught (retained or 


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discarded) under these trip limits would 

still be required to be covered by QP. 

Trip limits would also remain in place 

for Pacific whiting prior to the primary 

whiting season (see Appendix D, A–1.5, 

p. D–6), in order to maintain protections 

for incidentally-caught Chinook salmon. 

The proposed rule would eliminate trip 

limits at the close of the primary season, 

because under an IFQ program, the 

effective date of the close of the primary 

whiting season would be the end of the 

calendar year, and any catch of Pacific 

whiting would be subject to available 

whiting QP. Closed areas, including the 

GCAs and Ocean Salmon Conservation 

Zone, would also remain in place as a 

management tool for all trawl programs. 

One potential concern may be that 

whiting fishermen could increase 

targeting of non-whiting stocks, such as 

yellowtail, that could be caught with 

midwater trawl gear used in the GCAs 

as allowed for vessels targeting whiting. 

The proposed rule would not prohibit 

this. NMFS believes that it can monitor 

the fishery, and that the Council can 

take action if it determines that this 

possibility presents a concern. 

Shorebased IFQ Program 

Observers and Catch Monitors 

Under the Shorebased IFQ Program, 

in order to assure that all catch, 

including discards, would be matched 

against QP, the Council voted to 

implement 100 percent at-sea observer 

coverage for all vessels and 100 percent 

monitoring of catch by all IFQ first 

receivers. The proposed rule would 

require all vessels in the Shorebased 

IFQ Program to carry observers, and 

defines prohibited actions and 

responsibilities of vessels, the 

responsibilities of companies providing 

observer services, and observer 

qualifications and responsibilities. The 

proposed rule would also require all 

IFQ first receivers to employ catch 

monitors, and would establish similar 

definitions of responsibilities for first 

receivers, catch monitor providers, and 

catch monitors. 

The qualifications, roles, and 

responsibilities would differ between 

observers and catch monitors, therefore, 

each are addressed in separate areas in 

the rule. Observers in the WCGOP are 

highly-trained biologists that work 

independently aboard vessels in 

difficult at-sea environments to quantify 

discards and mortality estimates of 

certain bycatch species, collect 

biological samples and monitor for any 

fishery interactions with marine 

mammals, sea turtles and seabirds. The 

WCGOP was developed consistent with 

guidelines for fishery observer programs 

developed under the MSA (see MSA 

sec. 403, 16 U.S.C. 1881b; 50 CFR 

600.746), and as such, the program 

components proposed rule would retain 

the WCGOP’s existing general 

framework and add new components 

specific to the Shorebased IFQ Program. 

New provisions would include the 

collection of accurate estimates of 

discards of IFQ species that would be 

used to estimate individual vessels’ 

overall use of QP and the requirement 

for observer coverage until all IFQ 

species from the trip are offloaded. 

In contrast to observers, catch 

monitors would be land-based— 

principally at first receiver facilities— 

and would confirm that total landings 

are accurately recorded on fish tickets 

(landing receipts). A catch monitors’ 

focus would be more akin to an 

enforcement role than that of a biologist. 

The shorebased monitoring and catch 

accounting system in the proposed rule 

would expand the current program that 

has been conducted under exempted 

fisheries permits (EFPs) for the Pacific 

whiting shoreside fishery since 1992. 

The new collection of data would cover 

not only the Pacific whiting shoreside 

fishery but all groundfish delivered 

shoreside by vessels participating in the 

Shorebased IFQ Program. 

The proposed rule would adopt 

similar regulations for catch monitors as 

for observers, including definitions of 

prohibited actions that undermine catch 

monitors, such as harassment, and 

responsibilities of IFQ first receivers, 

responsibilities of companies providing 

catch monitor services, and catch 

monitor qualifications and 

responsibilities. The key differences 

between the observer and the catch 

monitor programs include physical 

location, tracking of discards versus 

landings, and educational requirements. 

The program components proposed rule 

would require catch monitors and catch 

monitor providers to meet the standards 

outlined in the rule, but for the first year 

of the trawl rationalization program, to 

ease the implementation of the catch 

monitor program and assure that there 

are enough catch monitors available for 

the fishery to proceed, NMFS would 

‘‘grandfather’’ existing catch monitors 

and catch monitor providers that have 

provided services in the EFP fishery. 

There are some additions to the catch 

monitor regulations in this proposed 

rule that were deemed through the 

Council deeming process after the June 

2010 Council meeting. A summary of 

these additions to § 660.17 follows: (1) 

That a qualified catch monitor would be 

required to have computer skills; (2) 

that a catch monitor would be required 

to be certified by NMFS, not have 

ailments that would prevent them from 

performing their duties, and to have 

completed training; (3) that catch 

monitor providers would be required to 

provide catch monitors to first receivers 

pursuant to the terms of their contract; 

(4) that the catch monitor providers 

would be required to ensure that catch 

monitors complete their duties in a 

timely manner; (5) that the catch 

monitor providers would be required to 

provide catch monitors’ salaries, 

benefits, and logistical support; (6) that 

catch monitor providers would be 

required to assign catch monitors within 

specified assignment limitations and 

workload; (7) that catch monitor 

providers would be required to maintain 

communications with catch monitors 

and the catch monitor program office; 

(8) details of training, briefing, and 

debriefing requirements for catch 

monitors; (9) details on requirements of 

the catch monitor provider contracts; 

(10) that catch monitor providers would 

be required to provide NMFS status 

reports on catch monitors; (11) that 

catch monitor providers would be 

required to replace lost or stolen gear; 

and (12) that catch monitor providers 

would be required to ensure that records 

on individual catch monitor 

performance remain confidential. These 

provisions would delineate the 

respective responsibilities between 

catch monitors, catch monitor 

providers, and first receivers and are 

included to assure the effectiveness of 

the catch monitor program. 

In order to improve efficiency in some 

ports, the proposed rule anticipates that 

some observers would also take the role 

as a catch monitor, provided the 

qualifications for both would have been 

met. However, an individual who 

functions as both would not work more 

than a maximum number of hours that 

would negatively affect their safety, 

health, or job performance. NMFS 

continues to discuss possible 

coordination between observer training 

and catch monitor training programs to 

gain further efficiencies. In addition, 

NMFS is examining the Council’s 

request to explore the possibility that 

State employees may be used as 

observers or catch monitors, but 

discussions have not progressed 

sufficiently to include in this proposed 

rule. 

First Receiver Site License, Catch 

Monitoring Plan, Electronic Fish 

Tickets, and Scales 

The Shorebased IFQ Program requires 

that fish harvested in the program be 

delivered to an IFQ first receiver 

holding a first receiver site license. 

Under the program components 


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proposed rule, for an applicant to obtain 

a first receiver site license, the applicant 

would be required to have a NMFSapproved catch monitoring plan that 

complies with regulatory requirements, 

have been subject to a site inspection 

conducted by NMFS staff, be in 

compliance with equipment 

requirements (e.g., scales), and report 

landings through an electronic fish 

ticket system. Because the rule is not 

projected to be effective until the end of 

December 2010, NMFS anticipates that 

there would not be sufficient time to 

review all catch monitor plans 

submitted with first receiver site license 

applications, nor would there be 

sufficient time to physically inspect 

each site prior to the start of the 

groundfish season on January 1, 2011. 

Thus, the program components 

proposed rule includes a provision for 

an interim first receiver site license that 

would provide a temporary 

authorization for first receivers to buy 

IFQ groundfish while NMFS processes 

the applications for the first receiver site 

licenses. 

To obtain an interim site license, a 

first receiver would need to submit an 

application with a catch monitor plan, 

and NMFS would issue the interim 

license. Subsequently, NMFS would 

review the plan and inspect the site, and 

if the plan and inspection meets the 

listed criteria, NMFS would issue a 

(non-interim) first receiver site license 

which would supersede the interim 

license. If the catch monitor plan or 

inspection does not meet the required 

standards, the first receiver may attempt 

to fix the deficiencies and have its 

application reconsidered by NMFS. The 

interim license would be effective for a 

period of up to six months, or until 

NMFS issues a (non-interim) first 

receiver site license, whichever comes 

first. NMFS anticipates that this six 

month period would be sufficient to 

process initial applications for first 

receiver site licenses, and any 

subsequent applications would be 

processed as applications are received. 

An IFQ first receiver would be 

required to meet equipment 

requirements and electronic landing 

reporting requirements while operating 

under an interim first receiver license. 

A first receiver site license applicant 

would be required to prepare a catch 

monitoring plan and be subject to onsite verification for compliance. These 

plans would be subject to approval by 

NMFS to ensure the plan conforms with 

program monitoring criteria. The plans 

would include descriptions of catchsorting spaces, how first receiver staff 

would sort catch and prevent unsorted 

catch from entering areas beyond the 

sorting space, scales used for weighing 

and their location, ensure accurate catch 

weighing, delivery points where catch is 

removed from vessels, and the catch 

monitor’s observing area sufficient to 

allow monitoring of the flow of fish. 

Likewise, a first receiver site license 

holder would be required to ensure that 

all catch is landed, sorted, and weighed 

in accordance with the plan. Should 

conditions change and the plan require 

modification, a first receiver would be 

able to amend the plan. 

First receivers would be required to 

provide complete facility access to 

NMFS staff, catch monitors, and other 

authorized persons. Such access is 

necessary for monitoring and program 

enforcement. Further, scales to weigh 

catch would be periodically checked for 

accuracy and written printouts verifying 

their accuracy would be required to be 

provided on a periodic basis. 

After catch is weighed by the first 

receiver, the landing information would 

be reported on the electronic fish ticket 

system. The electronic fish ticket system 

would require a first receiver to have a 

computer installed with NMFSspecified hardware and software. To 

facilitate and ensure accurate scales and 

a reliable electronic fish ticket system, 

NMFS proposes a number of standards 

by which the scales and computer and 

software systems would be operated. 

QS Permits, QS Accounts, Vessel 

Accounts 

The initial issuance proposed rule 

established a QS permit that would be 

issued to eligible applicants for QS. 

Under the initial issuance proposed 

rule, a QS permit would be required for 

the establishment of a QS account, 

which would be used for tracking the 

QS owner’s amounts of QS or IBQ for 

each IFQ species. Also under the 

proposed initial issuance rule, such QS 

permits would be required to be 

renewed annually in order to track 

ownership of QS and IBQ for 

compliance with control limits. The 

program components proposed rule 

further develops how NMFS would 

manage QS accounts and QS permit 

renewals. 

The proposed rule would allow QS 

owners to access their QS accounts 

electronically, through the use of a 

unique ID and personal identification 

number (PIN). Previously, NMFS had 

drafted language that QS account and 

vessel account owners would be 

required to make a request to NMFS in 

writing in order to designate other 

people with access to the account. 

NMFS has decided, however, that in 

order to reduce the paperwork burden 

on NMFS and the public, NMFS would 

issue an ID and PIN to account owners 

to access their individual QS account or 

vessel account. If an account owner 

wants to grant access to their account, 

the account owner may authorize any 

individual to access their QS account by 

providing their unique ID and PIN. 

NMFS would not manage access to the 

accounts, and the burden of ensuring 

the integrity of the account would fall 

to the account owner. While not in the 

proposed regulation, if preferable, 

NMFS could issue access level PINs as 

well, allowing account owners to grant 

different levels of account access to 

other individuals as needed. That is, an 

account owner could have a PIN that 

would allow him/her to make a transfer, 

but another individual may have a 

different PIN that only allows for readonly access to the account, which may 

be desirable for a vessel captain to verify 

QP balances in the vessel account before 

making a trip, for example. 

For the first two years of the program, 

QS and IBQ would not be transferable, 

but QS and IBQ pounds would be able 

to be transferred to vessel accounts. 

Each year, QS account holders must 

transfer their associated QP and IBQ 

pounds to a vessel account by 

September 1. QP and IBQ pounds, once 

transferred to a vessel account, would 

not be able to be transferred back to a 

QS account, but could be transferred to 

other vessel accounts. 

Annually, NMFS would make 

allocations of QP and IBQ pounds to QS 

accounts based on available OYs, the 

amount of QS or IBQ in the QS account, 

and the results of any initial issuance 

appeals processes and/or non-renewed 

QS permits. 

A vessel account would be created by 

NMFS upon request by the owner of a 

vessel registered to a valid trawl limited 

entry permit (other than a C/P-endorsed 

permit). A vessel account registration 

would be specific to the vessel and its 

unique vessel owners. The vessel may 

be registered with different trawl 

permits in a given year (one at a time), 

and the vessel account would cover 

landings of IFQ species only when the 

vessel is registered to a trawl limited 

entry permit. Subject to accumulation 

limits, vessel accounts would be able to 

receive QP via transfers from QS 

accounts or from other vessel accounts. 

After an IFQ landing by a vessel, the 

amount of the landing would be initially 

debited from the vessel account, based 

on electronic fish ticket submissions by 

first receivers. However, if the catch 

monitor estimates were to be higher 

than that reported by the first receiver, 

the account would be adjusted to reflect 

the higher estimate, and both the first 

receiver and the vessel account holder 


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would be notified of the discrepancy. 

When a discrepancy occurs, NMFS 

would review available information 

against its quality control procedures. If 

differences cannot be resolved, the final 

correction would be based on the final 

fish ticket estimates developed under 

the State fish ticket system. The 

accounts would also be debited by the 

discard estimates submitted by the 

observer program. Should the vessel 

owner dispute the observer estimates, 

the owner would be able to request the 

WCGOP to review its processes and 

make appropriate corrections. 

QS permit owners and owners of 

vessels that land IFQ species would be 

required to use an online IFQ system to 

account for and to transfer QS and IBQ, 

or QP and IBQ pounds. The online IFQ 

system would grant access to both QS 

accounts and vessel accounts. 

For transfers, each transaction would 

be subject to accumulation limits. 

Because of this, both the transferee and 

the transferor would be required to 

agree to the transaction online. NMFS 

would review the proposed transaction, 

and accept the transaction if 

accumulation limits would not be 

exceeded as a result of the transfer, thus 

allowing the transaction to proceed. 

NMFS acceptance of the transaction 

would only relate to compliance with 

accumulation limits and not control 

limits, as a determination on 

compliance with control limits would 

require more information than that 

which would be provided in the online 

IFQ system. Upon acceptance, the 

online system would send both the 

transferee and transferor confirmation 

notices for the transaction. Account 

holders would be able to use these 

confirmation notices for purposes of 

providing documentation to banks or 

other third parties associated with the 

transaction. NMFS would also provide a 

process by which account holders could 

request a correction of transaction data 

that were incorrectly recorded by the 

online IFQ system. 

The November 2008 Council motion 

states that transfers of ‘‘QS will be 

highly divisible and the QP will be 

transferred in whole pound units (i.e., 

fractions of a pound may not be 

transferred).’’ Appendix D, A–2.2.3(d), 

p. D–12. While the motion clearly 

identified the lowest unit for the 

transfer of QP, the motion did not state 

what the lowest unit of ‘‘highly 

divisible’’ QS would be once QS 

becomes transferable in the third year of 

the program. NMFS presented this issue 

to the Council at its June 2010 meeting, 

and the Council determined that the 

smallest unit for QS transfers would be 

one one-thousandth of a percent. Thus, 

the proposed rule establishes the 

minimum unit for QS transfer at 0.001 

percent. 

Under the proposed initial issuance 

rule, QS permits would be required to 

be renewed annually. The program 

components proposed rule adds a 

renewal requirement for vessel accounts 

as well. Upon review of ownership 

information for limited entry permits 

collected from the data collection rule 

(75 FR 4684, January 29, 2010), NMFS 

realized that ownership of limited entry 

trawl permits alone would be 

insufficient to administer the 

Shorebased IFQ Program and that 

additional information would be 

needed. In particular, NMFS would 

need to collect information for the 

economic data collection program, 

ownership information to assure 

compliance with control limits, and 

general administrative information to 

keep NMFS’ database current. Requiring 

an annual renewal of vessel accounts 

would provide NMFS the ability to 

collect such information at the vessel 

level, in particular where the permit 

owner and vessel owner are not the 

same. In the event that the permit owner 

and vessel owner are the same, there 

may be some duplication in the 

requested information, and NMFS is 

exploring methods to coordinate 

processes in order to minimize the 

burden of multiple renewals. If NMFS 

does not renew a QS permit or a vessel 

account after the owner submits the 

renewal application (e.g., because the 

renewal is incomplete), this action 

would be subject to NMFS’ permit 

appeals process. 

While the initial issuance proposed 

rule would establish a QS permit 

renewal requirement, it did not specify 

what would happen to the QP that 

would be derived from the QS 

associated with the QS permit in the 

event that the permit owner failed to 

renew the permit. Allowing a QS permit 

owner to renew at a later time and 

delaying the issuance of QP until that 

time would provide greater flexibility 

for an individual QS permit owner, but 

would provide less overall flexibility for 

the fleet as the QP would not be 

available for transfer to vessels that seek 

additional QP. At its June 2010 meeting, 

the Council determined that for any QS 

permit that is not timely renewed, the 

QP that would be derived from the QS 

associated with the QS permit would be 

redistributed among all of the QS permit 

owners that timely renew their permits, 

in proportion to the amount of QS they 

each own for each IFQ species. The 

redistribution of QP would not affect the 

ownership of QS; the owner of the QS 

permit that did not timely renew in one 

year would be able to renew the QS 

permit in a subsequent year to bring the 

QS permit current. 

Accumulation Limits and ‘‘Other Fish’’ 

The accumulation limits on used and 

unused QP in vessel accounts in the 

Council motion (Appendix D, Table 

D–2, p. D–20) erroneously included 

limits on ‘‘other fish,’’ which is not an 

IFQ species subject to these limits. The 

initial issuance proposed rule likewise 

included ‘‘other fish’’ erroneously in the 

accumulation limits table at 

§ 660.140(e)(4). In this proposed rule, 

NMFS has removed ‘‘other fish’’ from 

the accumulation limits table, and 

intends to make the same change in the 

final initial issuance rule. 

Maximized Retention in the Pacific 

Whiting IFQ Fishery 

Under current practices in the 

maximized retention Pacific whiting 

fisheries, some minor amounts of 

operational discard are allowed. Under 

trawl rationalization, any minor 

operational amounts of discard would 

be estimated by the observer and 

deducted from allocations. NMFS raised 

this issue at the Council’s March 2010 

meeting for the maximized retention 

fishery in the mothership sector 

(Agenda Item E.6.b, NMFS Report 1, 

March 2010, #25). For the Shorebased 

IFQ Program, however, the Council 

motion at Appendix D, A–2.3.1, p. 

D–13 states: ‘‘Whiting: Maximized 

retention vessels: Discarding of fish 

covered by IFQ or IBQ, and 

nongroundfish species prohibited.’’ The 

proposed rule adopts this language at 

§ 660.140(g)(2), which states: 

‘‘Maximized retention vessels 

participating in the Pacific whiting IFQ 

fishery are prohibited from discarding 

any IFQ species/species group and 

nongroundfish species[;]’’ however, this 

language is potentially ambiguous in 

that it refers to maximized retention 

vessels, but prohibits discarding. NMFS 

specifically requests public comment on 

any implications that the prohibition on 

discarding may have on the prosecution 

of a maximized retention fishery, and 

further requests comment on what 

should constitute discarding under this 

provision of the Shorebased IFQ 

Program. 

IFQ Program Management Measures 

Prohibition on Processing Groundfish in 

Shorebased IFQ Program 

Under the trawl rationalization 

program, vessels participating in the 

Shorebased IFQ Program may have more 

flexibility in when and how they 

harvest their quota, including fishing 


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with any legal groundfish gear under the 

gear switching provisions. Therefore, 

there may be increased opportunity for 

processing of groundfish at sea. Under 

current regulations at § 660.302 (which 

would remain under the proposed rule 

at § 660.11), ‘‘processing’’ is defined as 

‘‘the preparation or packaging of 

groundfish to render it suitable for 

human consumption, retail sale, 

industrial uses or long-term storage, 

including, but not limited to, cooking, 

canning, smoking, salting, drying, 

filleting, freezing, or rendering into meal 

or oil, but does not mean heading and 

gutting unless additional preparation is 

done.’’ Current groundfish regulations 

prohibit the following: (1) Processing 

sablefish taken at-sea in the limited 

entry fixed gear primary sablefish 

fishery from a vessel that does not have 

a sablefish at-sea processing exemption 

(§ 660.334(e)); or (2) processing of 

Pacific whiting except by Pacific 

whiting shoreside vessels 75 feet in 

length or less that are allowed to head 

and gut, remove tails, and freeze 

whiting (§ 660.373(a)(3)). The current 

regulations do not include a general 

prohibition on processing all groundfish 

at-sea for vessels landing groundfish at 

shorebased processors. In other words, 

under current regulations, the nonwhiting trawl catcher vessels are not 

prohibited from processing non-whiting 

catch. 

NMFS brought the prohibitions on 

processing for limited entry fixed gear 

sablefish and Pacific whiting shoreside 

vessels to the Council’s attention at its 

March and April 2010 meetings in 

regards to implications for the 

Shorebased IFQ Program. At the 

Council’s April meeting, NMFS 

provided a document that stated 

‘‘Because at-sea processing is prohibited 

for participants of the limited entry 

primary sablefish fishery and in order to 

maintain fairness between this fishery 

and the shorebased IFQ fishery, 

sablefish processing at-sea will also be 

prohibited for participants in the 

shorebased IFQ fishery.’’ (Agenda Item 

I.1.b, Supplemental NMFS Report 3, 

April 2010, #5). Extending from that 

interpretation, and as brought forward 

in the version of the regulations deemed 

by the Council at its June 2010 Council 

meeting, the prohibition was broadened 

to include processing of all groundfish 

at sea by vessels in the Shorebased IFQ 

Program, regardless of the type of gear 

used, with the following exceptions: (A) 

A vessel that is 75-ft (23-m) or less LOA 

that harvests whiting and, in addition to 

heading and gutting, cuts the tail off and 

freezes the whiting, and (B) a vessel that 

has a sablefish at-sea processing 

exemption may process sablefish at-sea. 

The proposed rule would adopt this 

prohibition at § 660.112(b)(1)(xii). 

Weight Limits and Conversions 

Groundfish allocations, harvest 

guidelines, and quotas are expressed in 

round weight. In cases where fish are 

landed dressed (headed and gutted, or 

in the case of Pacific whiting, headed 

and gutted with tails removed (neither 

activity is considered processing under 

the groundfish regulations which 

prohibit processing at-sea for the 

shorebased fishery), catch weight 

conversions are used to determine 

actual round weight of the harvested 

fish. To derive the weight of round fish 

harvested by a vessel that delivers 

dressed fish, a weight conversion factor 

is multiplied by the dressed weight. 

Due to the increased individual 

accountability of catch (landings and 

discards) and the individual allocations 

of harvest opportunity under the 

Shorebased IFQ Program, NMFS 

proposes to revise regulations at 

§ 660.60(h)(5)(ii) to create more 

consistent use of weight conversion 

factors coastwide. Currently, some 

discrepancies exist between the weight 

conversions used by the States of 

Washington, Oregon, and California. 

The use of State weight conversions 

would remain in place for the limited 

entry fixed gear and open access 

fisheries because they would continue 

to be managed under sector allocations 

(rather than individual quotas) and 

would continue to be tracked under the 

State paper fish ticket system. However, 

under trawl rationalization, landings of 

groundfish in the Shorebased IFQ 

Program would be reported through a 

Federal electronic fish ticket system in 

addition to the State paper fish ticket 

system. A consistent, accurate round 

weight must be reported on the 

electronic fish ticket submitted to 

NMFS, and would be used to determine 

total catch in the Shorebased IFQ 

Program. 

The use of different weight 

conversions in the different States for 

catch estimates under the Shorebased 

IFQ Program may influence vessels to 

make deliveries based on conversion 

factors perceived to be more favorable 

for a particular species, especially if 

landing near a State border. Another 

concern from using different State 

weight conversions would be 

discrepancies in reported landings 

values. NMFS believes that the use of 

consistent coastwide conversion factors 

in the Shoreside IFQ Program would 

provide consistency in catch estimates 

between States, prevent artificial 

influences on individual landings 

choices, and benefit NMFS’s ability to 

track landings values. Thus, NMFS 

proposes Federal conversion factors for 

species within the scope of the IFQ 

program at § 660.60(h)(5)(ii) based on 

published values. 

The new catch weight conversion 

values for dressed IFQ species proposed 

by this action were derived from an 

Alaska Sea Grant College Program 

publication titled, ‘‘Recoveries and 

Yields from Pacific Fish and Shellfish’’ 

(Marine Advisory Bulletin number 37, 

2004). For Pacific whiting that has been 

dressed (headed and gutted) with tails 

removed, the weight conversion was 

derived from the value for pollock as 

published at § 679 for the Alaska 

groundfish fishery. NMFS informed the 

Council at its March 2010 meeting of its 

intent to use published values for these 

weight conversions, however, NMFS 

specifically requests public comment on 

the actual values and implications of the 

proposed conversion factors. 

Area Management 

Under the Shorebased IFQ Program, 

IFQ species would be managed in four 

distinct geographic areas: U.S./Canada 

border to ≥ 40°10′; 40°10′ to ≥ 36°; 36° 

to ≥ 34°27′; 34°27′ to the U.S./Mexico 

border. These management areas would 

have different management measures for 

different species. Many groundfish 

species would be tracked as either a 

single species with different QS by area; 

or as a single species in one area and as 

a component of a species group in 

another area (e.g., minor shelf or slope 

group north or south of 40°10′ N. lat.). 

For example, yellowtail rockfish is an 

individual species management unit 

north of 40°10′, but a member of the 

minor shelf rockfish species complex 

south of 40°10′. As another example, QS 

for sablefish would be issued with area 

distinctions either north or south of 36° 

N. lat. As still another example, QS for 

shortspine thornyhead would be issued 

with area distinctions either north or 

south of 34°27′ N. lat. 

To address the different management 

measures in the different areas, the 

proposed rule would prohibit a vessel 

from fishing in different areas during 

the same trip. Because landings in the 

Shorebased IFQ Program would be a 

mix of all hauls taken during a single 

trip, a vessel would be required to fish 

entirely in one management area during 

any trip to simplify sorting 

requirements, at-sea observation, and 

enforcement of IFQ limits. While this 

provision would reduce flexibility for a 

vessel that wishes to fish in more than 

one area during a trip, this provision 

would address the catch accounting and 

enforcement concerns without 


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increasing costs of the program by 

overburdening the observer and 

enforcement programs, and thus would 

provide the most straightforward and 

efficient method to track and verify total 

catch of a vessel’s IFQ limits for 

individual species and rockfish 

complexes. 

Gear Switching Provisions 

The proposed initial issuance rule 

laid out the provisions of the Council 

motion that would allow IFQ species to 

be harvested with gear other than trawl 

gear, also known as ‘‘gear switching.’’ 

The program components proposed rule 

would set forth details of how such gear 

switching would be managed by NMFS. 

Many existing management measures 

depend upon the gear employed by the 

vessel, and not by the sector 

endorsement on the vessel’s limited 

entry permit. For instance, GCAs are 

specific to whether the vessel employs 

trawl gear or fixed gear, regardless of 

whether the permit the vessel is 

registered to is endorsed for trawl or for 

fixed gear. In order to account for when 

a vessel participating in the Shorebased 

IFQ Program elects to use gear other 

than trawl gear, the proposed rule 

would incorporate a new designation in 

the vessel declaration process that 

would identify the vessel as ‘‘Limited 

entry groundfish non-trawl, shorebased 

IFQ.’’ 

Under the proposed rule, a vessel 

would be required to elect gear 

switching in the declaration before the 

trip begins, and would not be able to use 

trawl gear on that trip. Current 

regulations prohibit a vessel from 

carrying both trawl gear and non-trawl 

gear onboard the vessel at the same 

time. This restriction would continue 

under the proposed rule, because of the 

gear-specific management measures in 

place. If vessels were to be allowed to 

fish more than one gear on the same 

trip, it would present significant 

management difficulties. While vessels 

fishing in the Shorebased IFQ Program 

under gear switching would be required 

to have observer coverage onboard at all 

times, the observer program is designed 

to identify species composition in the 

catch, account for discards and, for 

some species, mortality estimates; to 

have the observer account for changes in 

gear use during the trip would detract 

from the purposes of the observer 

program and thus would be 

impracticable. Alternatively, if a vessel 

wanted to fish with more than one gear 

during the same trip, the vessel would 

need to be accountable to management 

measures for both gear types, as for 

instance, being restricted from both 

fixed gear GCAs and trawl GCAs, a 

management outcome that would 

likewise be impracticable. Instead, to 

reduce the complexity of managing gear 

switching under the Shorebased IFQ 

Program, the proposed rule would 

require that a vessel only fish with trawl 

gear or non-trawl gear on the same trip. 

One issue under consideration with 

regards to gear switching is how often 

a fisherman would be able to declare 

and switch gears. Although the 

declaration system managed by the 

NMFS Office of Law Enforcement can 

manage frequent changes in vessel 

declarations as would be the case for 

frequent gear switching, NMFS believes 

the process must be managed in an 

orderly fashion so as to not compromise 

the efficient management of the observer 

program by the Northwest Fisheries 

Science Center. NMFS specifically 

requests comment regarding the impact 

of any restrictions on changes in 

declarations on gear switching in the 

Shorebased IFQ Program. 

The proposed rule would establish 

the new declaration for gear switching 

as ‘‘Limited entry groundfish non-trawl, 

shorebased IFQ.’’ During the June 2010 

Council meeting and at the RDW 

meetings, some members of the public 

expressed that the declaration process 

should be more specific, with separate 

declarations for pot gear or longline gear 

as opposed to the more general nontrawl declaration. NMFS has not 

included more specific declarations for 

vessels electing to fish in the 

Shorebased IFQ Program under the gear 

switching provisions because the 

management measures for non-trawl 

gears do not differ such that separate 

declarations would be of any use. For 

instance, whether a vessel fishes with 

pot gear or longline gear, the vessel 

would be subject to the same GCAs. 

Furthermore, if the management of the 

nontrawl gears were to change in the 

future such that a separate declaration 

would make sense (e.g., separate GCAs 

for pot and longline gears), such change 

would require a change to the 

regulations and a new declaration 

category could be added at that time. 

Because of this, NMFS declines to adopt 

unnecessary additional declaration 

categories at this time. 

Reallocation 

The November 2008 Council motion 

provided directions for reallocation of 

QS in response to future management 

changes or for future allocations of 

groundfish currently outside the scope 

of the IFQ program (Appendix D, A– 

2.1.6, p. D–9). Specific potential 

changes addressed in the Council 

motion include changes in overfished 

status, changes in area management, 

subdivision of an IFQ species group, or 

subdivision of an IFQ species group. 

Changes in area management could 

entail geographic subdivision of an area 

for management of an IFQ species, 

recombination of two or more 

subdivided areas, or movement of a 

management boundary line. 

The proposed rule sets forth what 

action NMFS would take in the event of 

a change in area management or 

subdivision of a species group. For area 

subdivision, NMFS would issue QS for 

each newly created area that is 

equivalent to the amount that was 

owned for the area before it was 

subdivided. When two areas are 

combined, NMFS would adjust the QS 

for each area so that the total sums to 

100 percent and the QS owner would 

receive the same amount of QP as if the 

areas had not been combined. If a 

management boundary line is moved, 

NMFS would adjust the QS 

proportionally so that the QS owner 

would maintain the same share of the 

trawl allocation for that species on a 

coastwise basis. If a species group 

becomes subdivided, NMFS would 

issue an amount of QS for the newly 

created IFQ management unit equal to 

the amount of QS owned of the species 

group before subdivision. 

With regards to changes in overfished 

status, the November 2008 Council 

motion states that ‘‘When an overfished 

species is rebuilt or a species becomes 

overfished there may be a change in the 

QS allocation within a sector. When a 

stock becomes rebuilt, the reallocation 

will be to facilitate the reestablishment 

of historic target fishing opportunities. 

When a stock becomes overfished, QS 

may be reallocated to maintain target 

fisheries to the degree possible. That 

change may be based on a person’s 

holding of QS for target species 

associated with the rebuilt species or 

other approaches deemed appropriate 

by the Council.’’ Appendix D, A–2.1.6, 

p. D–9. Because any reallocation based 

on a change in overfished status 

anticipates future Council action, NMFS 

does not include this language in this 

proposed rule, but highlights it as a 

statement of Council intent. 

With regards to future allocations of 

groundfish outside the scope of the IFQ 

program, the November 2008 Council 

motion states ‘‘For the ‘Other Fish,’ 

category of groundfish, if at some time 

in the future the Council adds it to the 

IFQ system, the initial allocation would 

be determined using the same history 

criteria as was used for other IFQ 

species (i.e., 1994–2003 history), unless 

otherwise specified by a future Council 

action.’’ Id. This, too, anticipates future 

action by the Council and is thus not 


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included in this proposed rule, but is 

highlighted here in the preamble. 

IFQ Carryover Provision 

The proposed carryover provisions at 

§ 660.140(d)(5) would allow a limited 

amount of surplus QP and IBQ pounds 

in a vessel account to be carried over 

from one year to the next or would 

allow a deficit in a vessel account in one 

year to be covered with QP or IBQ 

pounds from a subsequent year, up to a 

carryover limit. The carryover limit 

would be calculated by multiplying the 

percent allowed for a carryover by the 

total cumulative amount of QP or IBQ 

pounds transferred into the vessel 

account for the year (used and unused), 

less any transfers of QP or IBQ pounds 

out of the vessel account and less any 

prior carryover amounts. The reason 

that QP or IBQ pounds transferred out 

of the account would not be included in 

the calculation is to prevent a carryover 

from being calculated from the same QP 

or IBQ pounds in more than one 

account, which would effectively 

circumvent the percent determined by 

the Council for the carryover limit. The 

reason prior carryover amounts would 

be excluded from the calculation of the 

carryover limit is to prevent carryovers 

from being carried forward more than 

one year, consistent with the Council 

motion. The Council determined that 

the percentage to be used for calculating 

the carryover limit would be 10 percent, 

but that if there was any reduction in 

the OY for an IFQ species, the carryover 

limit would be reduced proportionately. 

The Council could revise the percentage 

used for this calculation in future 

action. 

Under the proposed rule, a surplus up 

to the carryover limit could be carried 

over if a vessel account has remaining 

unused QP for an IFQ species at the end 

of the year. In the case of a surplus, the 

carryover limit would be based on the 

cumulative total QP or IBQ pounds in 

the account (used and unused, less any 

transfers out of the account and any 

prior carryover amounts) for the entire 

year. Alternatively, a vessel account that 

incurs a deficit (a negative balance for 

any IFQ species) that is lower than the 

carryover limit where the vessel account 

owner is unable to transfer QP or IBQ 

pounds into the vessel account to cure 

the deficit within 30 days, the vessel 

account owner could cure the deficit by 

declaring the vessel out of the fishery 

for the remainder of the year and 

transferring sufficient QP or IBQ pounds 

into the vessel account within 30 days 

of NMFS’s issuance of QP and IBQ 

pounds in the following year. In the 

case of a deficit, the carryover limit 

would be based on the cumulative total 

QP or IBQ pounds in the account (used 

and unused, less any transfers out of the 

account and any prior carryover 

amounts) at the date upon which the 

deficit was documented. If a vessel 

declares out of the fishery for the 

remainder of the year, remaining QP or 

IBQ pounds in the vessel account 

(species for which there is no deficit) 

would still be transferable. 

During discussions at the RDW, some 

commenters expressed concern that the 

requirement to declare out of the fishery 

for the remainder of the year in order to 

invoke the carryover provision for a 

deficit would be overly restrictive and 

that, in their view, a vessel that declares 

out of the IFQ fishery under the 

carryover provision should be able to 

declare back into the fishery if able to 

obtain sufficient QP or IBQ pounds later 

in the year. Under the proposed rule, a 

vessel would be able to declare back 

into the Shorebased IFQ Program if it 

cures the deficit in the same year in 

which the deficit occurs, however, if a 

vessel opts to do so, it would no longer 

meet the requirements for the carryover 

provision. Instead, the vessel would be 

subject to enforcement for a violation of 

the requirement to cure a deficit within 

30 days of the date the deficit is 

documented. The Council was emphatic 

on the importance of curing deficits 

within 30 days, and that the carryover 

provision was a narrow exception to 

this requirement. If a vessel were 

allowed to declare out of the fishery 

under the carryover provision, and 

subsequently declare back into the 

fishery before the end of the year, a 

vessel could effectively circumvent the 

requirement to cure a deficit within 30 

days. The RDW did not achieve 

consensus regarding this issue, and it 

was suggested that if any approach 

different from that in this proposed rule 

were considered preferable, the Council 

could address it in the trailing 

amendments for the rationalization 

program. Thus, NMFS specifically 

highlights this issue to solicit public 

comment. 

At-Sea Sectors 

Changes Applicable to All At-Sea 

Sectors 

Coop Permits & Coop Agreements 

The proposed rule would require that 

any coop participating in the MS Coop 

Program or C/P Coop Program would 

need to obtain a NMFS-approved coop 

permit in order to address management 

at the coop level. A coop permit would 

formally register the coop and its 

associated members to harvest and 

process in the sector. Under the 

proposed rule, in order to obtain a coop 

permit, the coop would need to specify 

a coop manager and submit a coop 

agreement that would establish the 

terms and conditions for the coop. 

These provisions would provide NMFS 

with a mechanism to track and 

communicate with the coop. In 

addition, the coop permit would 

provide a means to assure 

accountability at the coop level instead 

of at the individual level, and would 

provide NMFS with an avenue to take 

enforcement or administrative action at 

the coop level if any of the conditions 

of the coop permit and its associated 

coop agreement are not met. Under the 

proposed rule, the coop permit may be 

revised by NMFS to reflect changes in 

the membership or participating vessels 

and other material changes to the coop. 

A coop agreement must be submitted 

with any application for an MS or C/P 

coop permit. The coop agreement would 

establish the terms and conditions for 

the coop. The MS coop agreement 

language from the Council motion at 

Appendix D, B–2.3.3 (e), p. D–31, stated 

that a coop agreement must include ‘‘A 

list of all vessels, and which must match 

the amount distributed to individual 

permit holders by NMFS.’’ Some text 

was inadvertently removed from an 

earlier version of this Council motion 

language. Council staff clarified after the 

June 30th RDW meeting that the text 

should read, ‘‘A list of all vessels and 

permit holders participating in the coop 

and their share of the allocated catch, 

which must match the amount 

distributed to individual permit owners 

by NMFS.’’ NMFS requires this missing 

language because of its need to track 

vessels participating in the coop for 

enforcement reasons. Accordingly, this 

corrected language has been inserted in 

this proposed rule. The C/P coop 

agreement language also requires a list 

of vessels for NMFS’ enforcement 

reasons, but does not specify associated 

catch allocations because the C/P Coop 

Program is one voluntary coop that 

receives the entire C/P sector allocation. 

MS coop agreements would also be 

required to include, ‘‘Provisions that 

prohibit co-op membership by permit 

holders that have incurred legal 

sanctions that prevent them from fishing 

groundfish in the Council region’’ 

(Appendix D, B–2.3.3(e)(10), p. D–31). 

Because MS coops would also be 

required to represent at least 20 percent 

of the catch history assignment 

associated with MS/CV-endorsed 

limited entry trawl permits, as stated, 

such provisions could result in a coop 

failure if a coop member permit incurs 

a legal sanction, is prohibited 

membership in the coop, and the coop 

membership falls below the 20 percent 


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threshold as a result. Such an outcome 

could potentially penalize all members 

of a coop for actions of a single member 

unrelated to the coop’s activity. In this 

proposed rule, NMFS revised this clause 

to require of MS coop agreements 

‘‘Provisions that prohibit member permit 

owners that have incurred legal 

sanctions that prevent them from fishing 

groundfish in the Council region from 

fishing in the coop.’’ This way, such 

members would remain coop members, 

avoiding the risk of triggering a coop 

failure, but could not fish for the coop. 

The proposed rule does not include a 

parallel clause for C/P coop agreements 

referring to legal sanctions. 

The Council motion did not include 

a C/P coop agreement provision. 

However, NMFS determined the need 

for the coop agreement provisions for 

the same reasons such provisions are 

required for the MS Coop Program. 

C/P coop agreement contents would not 

be directly parallel to the MS coop 

agreement language because these 

fisheries are structured differently. 

At-Sea Sector Observers 

Under the MS Coop Program and the 

C/P Coop Program, the Council voted to 

implement 100 percent at-sea observer 

coverage for all vessels, including 

processing vessels, in order to assure 

that all catch, including discards, would 

be matched against allocations. The 

proposed rule would require all vessels 

in the MS Coop or C/P Coop Programs 

to carry observers, and defines 

prohibited actions and responsibilities 

of vessels, the responsibilities of 

companies providing observer services, 

and observer qualifications and 

responsibilities. 

As previously described, the WCGOP 

was developed consistent with 

guidelines for fishery observer programs 

developed under the MSA (see MSA 

sec. 403, 16 U.S.C. 1881b; 50 CFR 

600.746), and as such, the program 

components proposed rule would retain 

the WCGOP’s existing general 

framework and add new components 

specific to the MS or C/P Coop 

Programs. New provisions would 

include mandatory observer coverage, 

the placement of observers on catcher 

vessels, and collection of estimates of 

any operational or other discards. 

Observers certified for catcher vessels 

in the mothership fishery would be 

trained in the same manner as those 

trained for the Shorebased IFQ Program 

because of the similarity of their roles 

(refer back to Shorebased IFQ Program 

observer discussion for details 

applicable to catcher vessel observers). 

Observers certified for mothership 

processors or catcher/processors would 

be trained in the same manner as under 

the current at-sea observer program. 

At-Sea Sector Donation Program 

A management measure that may no 

longer be necessary or may need further 

revision is the optional ‘‘bycatch 

reduction and full utilization program 

for at-sea processors’’ (called bycatch 

reduction and donation program). The 

bycatch reduction and donation 

program was established to allow 

vessels harvesting unsorted catch to 

retain and donate amounts of 

groundfish that were in excess of trip 

limits. Under trawl rationalization, the 

at-sea sector regulations may not require 

vessels to be subject to trip limits for 

groundfish species other than Pacific 

whiting outside of the primary whiting 

season. Therefore, the donation program 

may no longer be necessary or may 

require minor adjustments. In this 

proposed rule, the bycatch reductions 

and donation program remains as stated 

in existing regulations. NMFS 

specifically requests comment on the 

implications of removing or retaining 

this program and suggested language 

revisions. 

Other At-Sea Management Measures 

Many of the existing Pacific whiting 

management measures and provisions 

for bycatch management remain in place 

under the implementation of the 

rationalization program. With regards to 

bycatch, the Council motion states that 

‘‘[t]he goal of bycatch management is to 

control the rate and amounts of rockfish 

and salmon bycatch to ensure that each 

sector is provided an opportunity to 

harvest its whiting allocation’’ 

(Appendix D, B–1.3, p. D–24). For 

rockfish, hard caps for widow, canary, 

darkblotched, and Pacific ocean perch 

would be subdivided between sectors, 

and in the MS Coop Program, would be 

further subdivided between the coop 

fishery and non-coop fishery, and 

between the coops in the coop fishery. 

The motion further states that ‘‘[t]he 

ESA listed salmon bycatch management 

measures—that is, the 11,000 Chinook 

threshold, 0.05 rate threshold, and 

triggered 100 fathom closure—will also 

continue to be in place.’’ Id. The 

program components proposed rule 

specifies that these measures would 

continue to be applicable to the at-sea 

sector under rationalization. 

Existing regulations at § 660.306(f)(8) 

prohibit sorting or discarding of any 

portion of the catch taken by a catcher 

vessel in the mothership sector prior to 

the catch being received on a 

mothership, and prior to the observer 

being provided access to the unsorted 

catch, with the exception of minor 

amounts of catch that are lost when the 

codend is separated from the net and 

prepared for transfer. Moreover, 

§ 660.306(i)(2) prohibits all vessels with 

an observer onboard from interfering 

with or biasing the observer’s sampling 

procedure, including either 

mechanically or physically sorting or 

discarding catch before sampling. These 

prohibitions were retained in the 

proposed initial issuance rule, at 

§ 660.112(c)(5) and § 660.112(e)(2), 

respectively. These existing prohibitions 

address retention requirements 

sufficiently in the catcher/processor 

sector. However, because of the 

allocations to coops and increased 

observer coverage, additional provisions 

have been proposed in the MS Coop 

Program. In the draft program 

components rule provided by NMFS to 

the Council for its review at the June 

2010 meeting, NMFS had included 

language in § 660.150 regarding 

retention requirements in the MS Coop 

Program with the understanding that 

catcher vessels would be able to 

continue to operate as a maximized 

retention fishery where vessels transfer 

all of their catch to the mothership prior 

to sorting the catch. In this program 

components proposed rule, NMFS has 

clarified the retention requirements in 

the MS Coop Program consistent with 

Council guidance that a maximized 

retention fishery would still be allowed 

to continue, but that discards would 

need to be accounted for and applied 

against allocations. 

MS Coop Program 

The proposed rule provides details of 

the requirements of the MS Coop 

Program. Each year, a vessel registered 

to an MS/CV-endorsed permit would be 

allowed to fish in the coop or non-coop 

portion of the MS Coop Program, but 

not both. As discussed above, the MS 

Coop Program is a maximized retention 

fishery. While some minor amounts of 

operational discards may occur, the 

intent is that all such discards would be 

accounted for (estimated by the 

observer) and deducted from 

allocations. 

Motherships 

The proposed rule specifies the 

participation responsibilities for 

mothership processors in the MS Coop 

Program. A mothership would be 

allowed to receive and process fish 

provided that it was registered to an MS 

permit and that it neither fished in the 

MS sector as a catcher vessel nor fished 

in the C/P sector as a catcher processor 

during the same calendar year. An MS 

permit is a new kind of limited entry 

permit; however, unlike vessels 


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registered to other limited entry permits, 

a mothership would not be required to 

have a vessel monitoring system (VMS) 

onboard. VMS provides location data to 

assure fishing vessel with groundfish 

conservation areas, and is inapplicable 

to motherships. As described above, the 

mothership would need to maintain 

observer coverage, provide NMFSapproved catch weighing equipment, 

and ensure that all catch which it 

receives is accurately weighed in its 

round form. The mothership would also 

be required to maintain and submit 

required records and reports, including: 

Economic data collection forms, scale 

test records, and cease fishing reports. A 

vessel registered to an MS permit would 

also be required to declare its intent to 

operate as a mothership in the MS 

permit renewal process. MS permits 

would be subject to a usage limit in that 

no person who owns an MS permit(s) 

may register the MS permit(s) to vessels 

that cumulatively process more than 45 

percent of the annual mothership sector 

Pacific whiting allocation. Ownership of 

an MS permit would be calculated using 

the individual and collective rule, 

which means the person would be 

credited with 100 percent of the 

processing associated with each permit 

wholly owned by that person and with 

an amount of processing equivalent to 

that person’s ownership interest in the 

permit for each permit partially owned 

by that person. 

Catcher Vessels 

A catcher vessel would be eligible to 

participate in the MS Coop Program 

provided it is registered to a trawlendorsed limited entry permit; however, 

it may only elect to participate in the 

non-coop fishery in the MS Coop 

Program if the permit has an MS/CV 

endorsement. The vessel would not be 

eligible to participate as a catcher vessel 

in the MS Coop Program if it operated 

as a mothership in the MS Coop 

Program or as a catcher-processor in the 

C/P Coop Program during the same year. 

A vessel would also not be allowed to 

catch more than 30 percent of the 

Pacific whiting allocation for the 

mothership sector. As with 

motherships, catcher vessels would be 

required to procure observers, and 

maintain and submit required records 

and reports such as economic data 

collection forms and scale test records 

(if scales are employed). MS/CVendorsed permits could be combined 

with another limited entry trawl permit 

in order to increase the size 

endorsement, but if combined with 

another MS/CV-endorsed permit would 

be subject to accumulation limits 

restricting ownership of catch history 

assignment to no more than 20 percent 

of the MS Coop Program allocation. MS/ 

CV-endorsed permits would be subject 

to limited entry permit regulations 

regarding change in ownership, change 

in vessel registration, and annual 

renewal. 

If the owner of an MS/CV-endorsed 

permit fails to renew the permit, the 

catch history assignment for that permit 

would be assigned to the non-coop 

fishery in the first year in which this 

occurs; if not renewed in a second year, 

the catch history assignment would be 

redistributed proportionally to all valid 

MS/CV-endorsed permits. The reason 

the catch history assignment would be 

assigned to the non-coop fishery in the 

first year is to provide sufficient time for 

the permit owner to appeal the 

extinguishment of the permit as a result 

of the permit owner’s failure to renew 

the permit. If the permit owner’s appeal 

were to be successful, the permit owner 

would be eligible to fish in the non-coop 

fishery. If the permit owner’s appeal 

does not succeed, the catch history 

assignment would be redistributed 

among all other MS/CV-endorsed 

permits in the following year; NMFS 

would not redistribute the catch history 

assignment in the first year because of 

the timing involved. 

Coops 

Owners of MS/CV-endorsed limited 

entry trawl permits would be allowed to 

form coops, provided the coop meets its 

own participation requirements and 

responsibilities. A coop would be 

required to be a voluntarily formed, 

legally recognized entity that is owned 

and operated by and representative of 

its members, who would need to be the 

owners of at least 20 percent of all MS/ 

CV-endorsed permits, and would be 

required to designate a coop manager 

and obtain an MS coop permit from 

NMFS. The coop would be responsible 

for applying for and being registered to 

an MS coop permit, managing and 

monitoring transfers of catch allocations 

between members and with other coops, 

managing and monitoring harvest 

activities and enforcing catch limits of 

the coop members, submitting an 

annual report and identifying a 

designated coop manager. The 

designated coop manager would serve 

as the contact person for the coop, and 

would be responsible for the annual 

distribution of catch and bycatch, 

oversee transfers, prepare annual 

reports, and be authorized to receive 

and respond to any legal process against 

the coop. The designated coop manager 

would also be required to notify NMFS 

if the coop dissolves. 

Each year, a coop entity that wishes 

to participate in the MS Coop Program 

as a permitted coop would be required 

to submit a complete application for an 

MS coop permit, including a coop 

agreement and any administrative fees 

and annual reports that may be due. The 

coop entity would also be required to 

provide copies of any inter-coop 

agreement(s) into which the coop has 

entered at the time of annual 

application, which must incorporate 

and honor the provisions of each 

permitted MS coop. For a coop 

agreement to be complete, it must be 

signed by all members of the coop and 

include all of the information outlined 

in the regulation. If NMFS does not 

accept the coop agreement, the 

application would be returned with a 

letter explaining why not, the coop 

entity could resubmit the application 

after addressing any deficiencies. If 

NMFS accepts the coop agreement and 

issues an MS coop permit, the coop 

agreement would remain in place 

through the end of the calendar year. If 

any material changes to the coop 

agreement were to occur during the 

year, the designated coop manager 

would be required to notify NMFS 

within 7 calendar days and would be 

required to submit a revised coop 

agreement within 30 calendar days (a 

material change would be any change in 

the required components of the coop 

agreement). The MS coop permit itself 

would remain in effect until the coop 

has reached its Pacific whiting 

allocation or notifies NMFS that it has 

ceased fishing for the calendar year, a 

material change to the coop agreement 

has occurred and the designated coop 

manager failed to provide a revised coop 

agreement to NMFS within 7 calendar 

days of the material change, or NMFS 

has determined that a coop failure 

occurred. 

MS Coop Program Allocations 

The proposed rule sets forth how suballocations in the MS Coop Program 

would be determined and managed. 

Catch history assignment associated 

with each MS/CV-endorsed limited 

entry trawl permit would be annually 

allocated to a single permitted MS coop 

or to the non-coop fishery, and would 

remain with that coop or non-coop 

fishery for that year. Each permitted MS 

coop would be authorized to harvest a 

quantity of Pacific whiting that is based 

on the sum of the catch history 

assignments for each MS/CV-endorsed 

permit identified in the accepted coop 

agreement for a given calendar year. 

Designated coop managers may 

redistribute Pacific whiting suballocations between permitted MS coops 


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through an inter-coop agreement, but 

Pacific whiting would not be allowed to 

be redistributed from a permitted MS 

coop to the non-coop fishery, nor from 

the MS Coop Program to either the 

Shorebased IFQ Program or the C/P 

Coop Program. 

Annual mothership sector allocations 

of non-whiting groundfish species 

would be divided between MS coops 

and the non-coop fishery annually; 

NMFS would inform each MS coop with 

the amount of its allocation for such 

species at the time NMFS issues the MS 

coop permit. Sub-allocations of nonwhiting groundfish species with 

allocations to permitted MS coops 

would be in proportion to the Pacific 

whiting catch history assignments 

assigned to each permitted MS coop. 

The annual amount of both whiting and 

allocated non-whiting groundfish 

species to the non-coop fishery would 

likewise be calculated from the sum of 

the catch history assignments for each 

MS/CV-endorsed permit in the noncoop fishery plus any permits that did 

not identify a coop, did not renew or 

were revoked in the previous year. 

[Note: After any permits that did not 

renew or were revoked have been 

through due process, the catch history 

assignments from those permits would 

be redistributed pro-rata to all 

remaining MS/CV-endorsed permits in 

the second year after revocation or nonrenewal. Permits that did not declare 

into a coop and that do not have an 

obligation to an MS permit would 

default to the non-coop fishery due to 

failure to meet the processor obligation 

and coop agreement requirements.] 

Pacific halibut and groundfish species 

that are not allocated (e.g., those with atsea sector set-asides and those with no 

set-asides) would not be divided 

between MS coops and the non-coop 

fishery, but would be managed 

annually. 

Under the proposed rule, when a 

mothership sector allocation is reached 

or is projected to be reached, fishing 

would be required to cease and a 

mothership would be prohibited from 

receiving further deliveries. Likewise, if 

a sub-allocation to the non-coop fishery 

is reached or is projected to be reached, 

all fishing would be required to cease in 

the non-coop fishery. In a permitted MS 

coop, fishing would be required to cease 

once the annual sub-allocation is 

reached, unless the coop is operating 

under an inter-coop agreement. Unused 

non-whiting allocations that remain 

after a MS coop ceases fishing could be 

reapportioned among permitted MS 

coops and the non-coop fishery in 

proportion to their sub-allocations, or 

could be reallocated to the C/P sector if 

the mothership sector’s Pacific whiting 

allocation is reached or participants in 

the sector do not intend to harvest the 

remaining allocation. 

Processor Obligations 

The proposed rule outlines 

requirements for owners of MS/CVendorsed permits to make a preliminary 

declaration in the annual permit 

renewal process whether they intend to 

participate in an MS coop or in the noncoop fishery in the following year. If 

declaring to fish in an MS coop, the 

owner of the permit would also be 

required to designate to which 

mothership the owner intends to 

obligate its permit for that year. An MS/ 

CV-endorsed permit owner would be 

required to indicate its intended 

processor obligation through the 

renewal process for that permit, and the 

actual processor obligation would be 

required to be disclosed on the MS coop 

permit application in the following year. 

A permitted MS coop would be required 

to honor the processor obligation of 

each permit with respect to any 

distribution of Pacific whiting suballocation within the coop or between 

permitted coops through an inter-coop 

agreement, unless it obtains a mutual 

agreement with the processor to release 

the MS/CV-endorsed permit owner’s 

processor obligation and the MS/CVendorsed permit owner identifies a 

processor obligation to another MS 

permit. A vessel registered to an MS/ 

CV-endorsed permit may fish for more 

than one coop in a year, but can only 

transfer the catch history assignment 

associated with its MS/CV-endorsed 

permit through an inter-coop agreement 

and deliveries of fish caught under that 

catch history assignment may only be 

delivered to another MS permit through 

a mutual agreement exception. 

In developing the regulations for the 

processor obligation provision, NMFS 

discovered that there may be some 

confusion over the extent of the annual 

obligation of an MS/CV-endorsed permit 

to a specific processor. The Council 

motion states that ‘‘Each year, a permit 

will obligate to a processor all of its 

catch for a coming year[,]’’ and that 

‘‘CV(MS) permits will be obligated to a 

single MS permit for an entire year[.]’’ 

(Appendix D, B–2.4, p. D–31). As the 

motion further describes this obligation, 

it refers to the obligation as a ‘‘linkage’’ 

between the MS/CV-endorsed permit 

and the MS permit, and states that the 

‘‘CV permit must notify the MS permit 

that the CV permit QP will be linked to.’’ 

Id. at p. D–32 (emphasis added). 

Because of this language in the Council 

motion, NMFS believes the nature and 

extent of the processor obligation is the 

commitment of the annual catch history 

assignment associated with the MS/CVendorsed permit, analogous to QP in the 

Shorebased IFQ Program. Draft 

regulations provided to the Council for 

review as part of the deeming process 

referred only to the obligation of the 

MS/CV-endorsed permit to the MS 

permit, and did not specify the nature 

or extent of that obligation. Members of 

the Council’s RDW expressed concern 

that such language could be interpreted 

to require all deliveries of a vessel 

registered to the MS/CV-endorsed 

permit to be delivered to the mothership 

registered to the MS permit, not just 

deliveries of the fish associated with the 

MS/CV-endorsed permit’s catch history 

assignment, and that under such an 

interpretation, for a vessel to deliver to 

a processor other than that to which its 

permit is obligated would require 

registration of the vessel to another 

permit or release of the permit through 

mutual agreement with the processor to 

which the permit is obligated. For the 

reasons described above, NMFS does 

not believe that such an interpretation 

comports with the intent of the Council 

motion. Accordingly, NMFS has 

clarified the regulation to specify that 

the processor obligation refers only to 

the commitment of the permit’s catch 

history assignment to a given MS 

permit, and specifically requests 

comment on the implications that this 

interpretation may have on anticipated 

operations within the MS Coop 

Program. 

There is no processor obligation 

provision for participants in the noncoop fishery. The version of the 

regulations provided to the Council at 

its June 2010 meeting erroneously 

included a processor obligation for 

participants in the non-coop fishery. 

This has been removed from these 

proposed regulations to conform to the 

Council motion on the trawl 

rationalization program. 

The Council motion included a clause 

where a mothership processor may 

withdraw from the mothership fishery 

and its obligation to any MS/CV 

endorsed permits. This provision 

requires a mothership to notify NMFS 

and all MS/CV-endorsed permit owners 

that have declared their obligation to the 

MS permit registered to that mothership 

if the mothership is withdrawing from 

their processor obligation before NMFS 

assignment of catch history assignments 

to an individual mothership coop. The 

Council motion states that this 

withdrawal could happen ‘‘subsequent 

to quota assignments[.]’’ (Appendix D, 

B–2.4.3, p. D–32.) NMFS interprets this 

to mean subsequent to the declaration of 

MS/CV-endorsed permit owners’ intent 


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53396 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

to obligate to particular MS permits 

during the limited entry permit renewal 

process up to NMFS’s issuance of coop 

permits in the following year. After 

NMFS assigns catch history assignments 

to individual MS coops, MS/CVendorsed permits would not be able to 

move between the coop and non-coop 

fishery within the calendar year, and the 

Council provided for transfers of 

allocations in such circumstances 

through the mutual agreement process 

described above. Under the MS permit 

withdrawal provision, if an MS permit 

were to withdraw from the mothership 

fishery before the allocations to 

individual MS coops have been 

announced by NMFS, any MS/CV 

endorsed permit obligated to the MS 

permit may elect to participate in the 

coop or non-coop fishery. In such an 

event, the owner of each MS/CVendorsed permit obligated to the MS 

permit must provide written notification 

to NMFS of their intent to either 

participate in the non-coop fishery or 

the coop fishery, and if participating in 

the coop fishery must identify a 

processor obligation for another MS 

permit. 

MS Coop Failure 

In the event of a coop failure during 

the Pacific whiting primary season for 

the mothership sector, unused 

allocation associated with the catch 

history would not be available for 

harvest by the coop that failed, by any 

former members of the coop that failed, 

any other MS coop, or the non-coop 

fishery for the remainder of that 

calendar year. The regulations at 

§ 660.150(k) do not reference the noncoop fishery because regulations at 

§ 660.150(c)(2), annual mothership 

sector sub-allocations, already 

establishes that allocations could not be 

redistributed between the coop and noncoop fishery within the calendar year. If 

allocations were permitted to move to 

the non-coop fishery within year, it may 

create incentives for coop failure. 

Items Disapproved by NMFS 

On August 9, 2010, NMFS made its 

decision to partially approve 

Amendments 20 and 21 to the FMP. The 

proposed rule, which was developed by 

NMFS and deemed by the Council prior 

to this partial approval, and contains 

several provisions in the MS Coop 

Program that NMFS has subsequently 

disapproved. NMFS intends to remove 

these provisions in the final rule. One 

such provision states: ‘‘Signed copies of 

the coop agreement must be submitted 

to NMFS and the Council and available 

for public review before the coop is 

authorized to engage in fishing 

activities.’’ NMFS disapproved of the 

requirement to submit agreements to the 

Council and for public review because 

not only would it be impracticable given 

the timing for public review, but also 

could violate restrictions on the 

disclosure of confidential information 

under the MSA. Accordingly, NMFS 

intends to revise this provision in the 

final rule to state: ‘‘Signed copies of the 

coop agreement must be submitted to 

NMFS before the coop is authorized to 

engage in fishing activities.’’ Another 

provision would require coops to 

submit a letter to the Department of 

Justice requesting a business review 

letter on the fishery coop, and to submit 

copies of all such correspondence with 

an MS coop permit application. NMFS 

disapproved this provision because 

compliance with antitrust laws is a 

separate and distinct obligation of each 

and every participant and does not need 

to be a requirement specified in the 

FMP. Accordingly, NMFS intends to 

remove this provision entirely in the 

final rule. Another provision would 

require coop agreements to include ‘‘A 

requirement that agreement by at least a 

majority of the members is required to 

dissolve the coop.’’ NMFS disapproved 

this provision because it would interfere 

with private parties’ ability to contract 

and agree to the terms of dissolution 

that are appropriate for their coop. 

Accordingly, NMFS intends to remove 

this provision entirely in the final rule 

as well. 

C/P Coop Program 

Under Amendment 20, the C/P Coop 

Program would formalize in the FMP 

provisions that support the formation of 

a single, voluntary coop consisting of all 

owners of C/P-endorsed permits. 

Because there could be only one coop, 

the allocation of Pacific whiting to the 

C/P Coop Program in a given year would 

be equal to the entire catcher/processor 

sector allocation. The annual amount of 

non-whiting groundfish species with 

allocations (canary rockfish, 

darkblotched rockfish, POP, and widow 

rockfish) would be allocated to the C/P 

Coop Program in proportion to its 

allocation of Pacific whiting (i.e., the 

same percent as the catcher/processor 

sector whiting allocation). Pacific 

halibut and groundfish species that are 

not allocated (e.g., those with at-sea 

sector set-asides and those with no setasides) would not be so divided, but 

would be managed annually. 

When the catcher-processor sector 

whiting allocation is reached or is 

projected to be reached, fishing within 

the sector would be required to cease. If 

the catcher-processor sector’s whiting 

allocation is reached, or if participants 

in the sector do not intend to harvest the 

remaining whiting allocation, unused 

non-whiting allocations that remain 

after the C/P coop ceases fishing could 

be reapportioned to the mothership 

sector. 

Because the catcher-processor sector 

already operates as a voluntary coop 

under existing regulations, NMFS does 

not anticipate significant change to its 

operations. One change that the 

proposed rule would adopt is the 

provision that if the voluntary coop 

were to fail, it would be replaced with 

an IFQ program, and NMFS would issue 

IFQ equally to each owner of a C/Pendorsed permit, as specified in the 

Council motion. Appendix D, B–4, p. D– 

34. Other changes to the C/P Coop 

Program are described in sections of this 

preamble applicable to all fisheries or to 

at-sea sectors (e.g., EDC program, 

observer program, coop permits and 

coop agreements, etc.). 

Classification 

Pursuant to section 304(b)(1)(A) of the 

MSA, the NMFS Assistant 

Administrator has determined that this 

proposed rule is consistent with the 

Pacific Coast Groundfish FMP, other 

provisions of the MSA, and other 

applicable law, subject to further 

consideration after public comment. 

The Council prepared a final 

environmental impact statement (EIS) 

for Amendment 20 and Amendment 21 

to the Pacific Coast Groundfish FMP; a 

notice of availability for each of these 

final EISs was published on June 25, 

2010 (75 FR 36386). 

This proposed rule has been 

determined to be significant for 

purposes of Executive Order 12866. 

An initial regulatory flexibility 

analysis (IRFA) was prepared, as 

required by section 603 of the 

Regulatory Flexibility Act (RFA). The 

IRFA describes the economic impact 

this proposed rule, if adopted, would 

have on small entities. A description of 

the action, why it is being considered, 

and the legal basis for this action are 

contained at the beginning of this 

section in the preamble and in the 

SUMMARY section of the preamble. A 

copy of the IRFA is available from 

NMFS (see ADDRESSES) and a summary 

of the IRFA, per the requirements of 5 

U.S.C. 604(a) follows: 

The Council has prepared two EIS 

documents: Amendment 20— 

Rationalization of the Pacific Coast 

Groundfish Limited Entry Trawl 

Fishery, which would create the 

structure and management details of the 

trawl fishery rationalization program; 

and Amendment 21—Allocation of 

Harvest Opportunity Between Sectors of 


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the Pacific Coast Groundfish Fishery, 

which would allocate the groundfish 

stocks between trawl and non-trawl 

fisheries. The two draft EIS’s prepared 

by the Council provide economic 

analyses of the Council’s preferred 

alternatives and draft RIR and IRFAs. 

The draft RIR and IRFAs were updated 

and combined into a single RIR/IRFA 

for use with the ‘‘initial issuance’’ 

proposed rule that was published on 

June 10, 2010 (75 FR 32994). This single 

RIR/IRFA reviewed and summarized the 

benefits and costs, and the economic 

effects of the Council’s 

recommendations as presented in the 

two EIS’s. In addition, the RIR/IRFA 

contains additional information on 

characterizing the participants in the 

fishery and on the tracking and 

monitoring costs associated with this 

program. 

The RIR/IRFA analyzed the overall 

program as recommended by the Pacific 

Fishery Management Council. The 

analysis encompassed aspects of the 

initial issuance rule which establishes 

the allocations set forth under 

Amendment 21 and procedures for 

initial issuance of permits, 

endorsements, quota shares, and catch 

history assignments under the IFQ and 

coop programs. It also encompassed this 

rule —the ‘‘program components’’ rule 

which provides additional details, 

including: program components 

applicable to IFQ gear switching, 

observer programs, retention 

requirements, equipment requirements, 

catch monitors, catch weighing 

requirements, coop permits/agreements, 

first receiver site licenses, quota share 

accounts, vessel quota pound accounts, 

further tracking and monitoring 

components, and economic data 

collection requirements. Revenue and 

landings data in the RIR/IRFA have 

been updated based on recent analysis 

by the Council (Appendix F: Historical 

Landings and Revenue in Groundfish 

Fisheries; Agenda Item B.3.a, 

Attachment 3, June 2010). The Council 

analysis provides revenue trends based 

on inflation adjusted dollars where 

estimates are adjusted to current (2009) 

dollars. The RIR/IRFA was also revised 

based on comments received on the 

initial issuance rule and includes a 

discussion of the other alternatives 

considered by the Council. This revised 

RIR/IRFA will also be revised again to 

address the future ‘‘cost-recovery’’ rule, 

based on a recommended methodology 

yet to be developed by the Council. A 

summary of the revised RIR/IRFA 

follows. 

Although other alternatives were 

examined, the RIR/IRFA focuses on the 

two key alternatives—the No-Action 

Alternative and the Preferred 

Alternative. The EISs include an 

economic analysis of the impacts of all 

the alternatives and the RIR/IRFA 

incorporates this analysis. For the 

Amendment 20 EIS, the alternatives 

ranged from status quo (no action), to 

IFQ for all trawl sectors, IFQ for the 

non-whiting sector and coops for all 

whiting sectors, and IFQ for the 

shorebased sector and coops for the atsea sectors (preferred). Various elements 

were part of each of these alternatives 

and varied among them, including 

initial qualifications and allocations, 

accumulation limits, grandfathering, 

processor shares, species covered, 

number of sectors, adaptive 

management, area management, and 

carryover provisions. The preferred 

alternative is a blending of components 

from the other alternatives analyzed in 

the EIS. For the Amendment 21 EIS, 

alternatives were provided for 6 

decision points: (1) Limited entry trawl 

allocations for Amendment 21 species, 

(2) shoreside trawl sector allocations, (3) 

trawl sector allocations of trawldominant overfished species, (4) at-sea 

whiting trawl sector set-asides, (5) 

Pacific halibut total bycatch limits, and 

(6) formal allocations in the FMP. For 

most of these decision points, the 

alternatives within them were crafted 

around approximately maintaining 

historical catch levels by the sectors or, 

in some cases, increasing opportunity 

for the non-trawl sector. 

By focusing on the two key 

alternatives in the RIR/IRFA (no action 

and preferred), it encompasses parts of 

the other alternatives and informs the 

reader of these proposed regulations. 

The analysis of the no action alternative 

describes what is likely to occur in the 

absence of the proposed action. It 

provides a benchmark against which the 

incremental effects of the proposed 

action can be compared. Under the no 

action alternative, the current, primary 

management tool used to control the 

Pacific coast groundfish trawl catch 

includes a system of two month 

cumulative landing limits for most 

species and season closures for Pacific 

whiting. This management program 

would continue under the no action 

alternative. Only long-term, fixed 

allocations for Pacific whiting and 

sablefish north of 36° N. lat. would 

exist. All other groundfish species 

would not be formally allocated 

between the trawl and non-trawl 

sectors. Allocating the available harvest 

of groundfish species and species 

complexes would occur in the Council 

process of deciding biennial harvest 

specifications and management 

measures and, as such, would be 

considered short term allocations. 

The analysis of the preferred 

alternative describes what is likely to 

occur as a result of the proposed action. 

Under the preferred alternative, the 

existing shore-based whiting and shorebased non-whiting sectors of the Pacific 

Coast groundfish limited entry trawl 

fishery would be managed as one sector 

under a system of IFQs, and the at-sea 

whiting sectors of the fishery (i.e., 

catcher-processor sector and mothership 

sector, which includes motherships and 

catcher vessels) would be managed 

under a system of sector-specific 

harvesting cooperatives (co-ops). The 

catcher-processor sector would continue 

to operate under the existing, selfdeveloped co-op program entered into 

voluntarily by that sector. A distinct set 

of groundfish species and Pacific 

halibut would be covered by the 

rationalization program. Amendment 20 

would include a tracking and 

monitoring program to assure that all 

catch (including discards) would be 

documented and matched against QP. 

The Council specified that observers 

would be required on all vessels and 

shore-based monitoring (catch monitors) 

would be required during all off-loading 

(100 percent coverage). Compared to 

status quo monitoring, this would be a 

monitoring and observer coverage level 

increase for a large portion of the trawl 

fleet, particularly for non-whiting 

shorebased vessels. 

The limited entry trawl fishery is 

divided into two broad sectors: a multispecies trawl fishery, which most often 

uses bottom trawl gear (hereafter called 

the non-whiting fishery), and the Pacific 

whiting fishery, which uses midwater 

trawl gear. Over the 2005–2009 period, 

these fisheries when combined have 

average annual inflation adjusted 

revenues of about $57 million and total 

landings of about 215,000 tons. The 

non-whiting fishery is principally 

managed through 2-month cumulative 

landing limits along with closed areas to 

limit overfished species bycatch. 

Fishery participants target the range of 

species described above with the 

exception of Pacific whiting. By weight, 

the vast majority of trawl vessel 

groundfish is caught in the Pacific 

whiting fishery. In contrast, the nonwhiting fishery accounts for the 

majority of limited entry trawl fishery 

ex-vessel revenues. On average, for the 

period 2005–2009, Pacific whiting 

accounted for about 90 percent of the 

quantity of groundfish landed in the 

limited entry trawl fishery, but only 44 

percent of the value due to their 

relatively low ex-vessel price. 


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Non-whiting trawl vessels deliver 

their catch to shoreside processors and 

buyers located along the coasts of 

Washington, Oregon, and California, 

and tend to have their homeports 

located in towns within the same 

general area where they make deliveries, 

though there are several cases of vessels 

delivering to multiple ports during a 

year. Some Pacific whiting trawl vessels 

are catcher-processors, which, as their 

name implies, process their catch onboard, while other vessels in this sector 

deliver their catch to shoreside 

processors or motherships that receive 

Pacific whiting for processing but do not 

directly harvest the fish. 

Over time, landings in the limited 

entry trawl fishery have fluctuated, 

especially on a species-specific basis. 

Pacific whiting has grown in 

importance, especially in recent years. 

Through the 1990s, the volume of 

Pacific whiting landed in the fishery 

increased. In 2002 and 2003, landings of 

Pacific whiting declined due to 

information showing the stock was 

depleted and the subsequent regulations 

that restricted harvest in order to 

rebuild the species. Over the years 

2005–2009, estimated Pacific whiting 

ex-vessel revenues averaged about $25 

million (figures have been adjusted to 

2009 dollars to account for inflation). In 

2008, these participants harvested about 

216,000 tons of whiting worth about $51 

million in ex-vessel revenues, based on 

shore-based ex-vessel prices of $235 per 

ton, the highest ex-vessel revenues and 

prices on record. In comparison, the 

2007 fishery harvested about 214,000 

tons worth $29 million at an average exvessel price of about $137 per ton while 

the 2009 non-Tribal fishery harvested 

about 99,000 tons worth about $12 

million at a price of $120 per ton. 

While the Pacific whiting fishery has 

grown in importance in recent years, 

harvests in the non-whiting component 

of the limited entry trawl fishery have 

declined steadily since the 1980s. Nonwhiting trawl ex-vessel revenues 

(adjusted for inflation) in the fishery 

peaked in the mid 1990s of about $40 

million. Following the passage of the 

Sustainable Fisheries Act (1996) and the 

listing of several species as overfished, 

harvests became increasingly restricted 

and landings and revenues declined 

steadily until 2002. Over the period 

2005 to 2009, inflation adjusted exvessel revenues from groundfish in the 

non-whiting trawl sector have averaged 

$27 million annually; ranging from $24 

million (2005) to $32 million (2008). 

The 2009 fishery earned $30 million in 

ex-vessel revenues. Under the trawl 

rationalization program, shorebased 

whiting sector will be joined with the 

shorebased non-whiting sector. For 

perspective, when these fisheries are 

combined, their total ex-vessel revenues 

have averaged about $36 million 

annually over the last five years. 

Expected Effects of Amendment 21— 

Intersector Allocation 

The allocation of harvest opportunity 

between sectors under the proposed 

regulation does not differ significantly 

from the allocation made biennially 

under the no action alternative. The 

primary economic effect of the longterm allocation under the proposed 

regulations is to provide more certainty 

in future trawl harvest opportunities, 

which would enable better business 

planning for participants in the 

rationalized fishery. As described 

elsewhere, the trawl rationalization 

program could create an incentive 

structure and facilitate more 

comprehensive monitoring to allow 

bycatch reduction and effective 

management of the groundfish fisheries. 

In support of the trawl rationalization 

program, the main socioeconomic 

impact of Amendment 21 allocations is 

longer term stability for the trawl 

industry. While the preferred 

Amendment 21 allocations do not differ 

significantly from status quo ad hoc 

allocations made biennially, there is 

more certainty in future trawl harvest 

opportunities, which enables better 

business planning for participants in the 

rationalized fishery. This is the main 

purpose for the Amendment 21 actions. 

The economic effects of Amendment 21 

arise from the impacts on current and 

future harvests. The need to constrain 

groundfish harvests to address 

overfishing has had substantial 

socioeconomic impacts. The groundfish 

limited entry trawl sector has 

experienced a large contraction, spurred 

in part by a partially Federallysubsidized vessel and permit buyback 

program implemented in 2005. This $46 

million buyback program was financed 

by a Congressional appropriation of $10 

million and an industry loan of $36 

million. Approximately 240 groundfish, 

crab, and shrimp permits were retired 

from State and Federal fisheries, and 

there was a 35 percent reduction in the 

groundfish trawl permits. To repay the 

loan, groundfish, shrimp and crab 

fisheries are subject to landings fees. 

Follow-on effects of the buyback have 

been felt in coastal communities where 

groundfish trawlers comprise a large 

portion of the local fleet. As the fleet 

size shrinks and ex-vessel revenues 

decline, income and employment in 

these communities is affected. Fisheryrelated businesses in the community 

may cease operations because of lost 

business. This can affect non-groundfish 

fishery sectors that also depend on the 

services provided by these businesses, 

such as providing ice and buying fish. 

An objective to the trawl rationalization 

program is to mitigate some of these 

effects by increasing revenues and 

profits within the trawl sector. However, 

because further fleet consolidation is 

expected, the resulting benefits are 

likely to be unevenly distributed among 

coastal communities. Some 

communities may see their groundfish 

trawl fleet shrink further as the 

remaining vessels concentrate in a few 

major ports. Species subject to 

Amendment 21 allocations would be: 

Lingcod, Pacific cod, sablefish south of 

36° N. lat., Pacific ocean perch, widow 

rockfish, chilipepper rockfish, splitnose 

rockfish, yellowtail rockfish north of 

40°10′ N. lat., shortspine thornyhead 

(north and south of 34°27′ N. lat.), 

longspine thornyhead north of 34°27′ N. 

lat., darkblotched rockfish, minor slope 

rockfish (north and south of 40°10′ N. 

lat.), Dover sole, English sole, petrale 

sole, arrowtooth flounder, starry 

flounder, and Other Flatfish. While the 

preferred Amendment 21 allocations of 

these species do not differ significantly 

from status quo ad hoc allocations made 

biennially, there is more certainty in 

future trawl harvest opportunities, 

which enables better business planning 

for participants in the rationalized 

fishery. This is the main purpose for the 

Amendment 21 actions. 

Based on ex-vessel revenue 

projections, Table 4–18 (ISA DEIS) 

shows the potential 2010 yield to trawl 

and non-trawl (including recreational) 

sectors under the Amendment 21 

alternatives and the potential 2010 

value of alternative trawl allocations. 

Under the status quo option Alternative 

1, the projected ex-vessel value of the 

trawl allocation is $56 million while the 

projected ex-vessel value of the 

Council’s preferred alternative is $54 

million, indicating a potential increase 

to the non-trawl sectors and a potential 

decrease to the trawl sector. 

In addition to the species above, 

halibut would also be specifically 

allocated to the trawl fishery. The 

proposed regulations include a halibut 

trawl bycatch reduction program in 

phases to provide sufficient time to 

establish a baseline of trawl halibut 

bycatch and for harvesters to explore 

methods (e.g., adjustments to time and/ 

or area fished, gear modifications) to 

reduce halibut bycatch and bycatch 

mortality. Pacific halibut are currently 

not allowed to be retained in any U.S. 

or Canadian trawl fisheries per the 

policy of the IPHC. The Council’s intent 

on setting a total catch limit of Pacific 


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halibut in Area 2A trawl fisheries is to 

limit the bycatch and progressively 

reduce the bycatch to provide more 

benefits to directed halibut fisheries. 

The program establishes a limit for total 

Pacific halibut bycatch mortality (legalsized and sublegal fish) through the use 

of an individual bycatch quota in the 

trawl fishery. The initial amount for the 

first two years of the trawl 

rationalization program would be 

calculated by taking 15% of the Area 2A 

Total Constant Exploitation Yield (CEY) 

as set by the International Pacific 

Halibut Commission (IPHC) for the 

previous year, not to exceed 130,000 lbs 

per year for total mortality. For example, 

if the trawl rationalization program 

went into effect in 2013, the trawl 

halibut IBQ would be set at 15% of the 

Area 2A CEY adopted for 2012 or 

130,000 lbs per year, whichever is less, 

for 2013 and 2014 (years 1 and 2 of the 

program). Beginning with the third year 

of implementation, the maximum 

amount set aside for the trawl 

rationalization program would be 

reduced to 100,000 lbs per year for total 

mortality. This amount may be adjusted 

downward through the biennial 

specifications process for future years. 

Currently there are no total catch 

limits of Pacific halibut specified for the 

west coast trawl fishery. Trawl bycatch 

of Pacific halibut, therefore, does not 

limit the trawl fishery. A phased in, 

halibut bycatch reduction program, 

would provide sufficient time to 

establish a baseline of trawl halibut 

bycatch under the new rationalization 

program and for harvesters to explore 

methods (e.g., adjustments to time and/ 

or area fished, gear modifications) to 

reduce both halibut bycatch and bycatch 

mortality. By limiting the bycatch of 

Pacific halibut in the LE trawl fisheries, 

Amendment 21 would control bycatch 

and could provide increased benefits to 

Washington, Oregon, and California 

fishermen targeting Pacific halibut. 

Reducing the trawl limit would also 

provide more halibut to those who 

participate in the directed Tribal, 

commercial and recreational halibut 

fisheries. 

Effects of Amendment 20—Trawl 

Rationalization 

An overall comprehensive model that 

simultaneously captures changes in 

fishermen’s behavior, changes in the 

markets, and changes in communities 

was not feasible because of lack of data 

and empirical analyses that show 

needed relationships. Instead, a set of 

models designed to focus on specific 

issues was developed. For example, 

models were used to: Analyze the 

effects of the initial allocation of QS in 

the trawl IFQ program; project 

geographic shifts in fishery patterns; 

and illustrate the potential for reducing 

bycatch, increasing target catch, and 

increasing revenues. To illustrate the 

benefits of the IFQ program, a model 

projecting the expected amount of fleet 

consolidation in the shore-based nonwhiting fishery was developed. This 

model illustrates the potential for the 

fleet to reduce bycatch and potentially 

increase the amount of target species 

harvested. This model is primarily 

based on bycatch reduction experiences 

in the Pacific whiting fishery and under 

an Exempted Fishing Permit carried out 

in the arrowtooth flounder fishery. The 

model accounts for the fact that trawlers 

harvest many species (multiple 

outputs). The model also uses fish ticket 

data and the data from the recently 

completed West Coast Limited Entry 

Cost Earnings Survey sponsored by the 

NMFS Northwest Fisheries Science 

Center. (For the other sectors, similar 

models could not be developed because 

the appropriate cost data was 

unavailable.) 

Estimates of potential economic 

benefits are generated based on the 

predicted harvesting practices from the 

first step analysis. Because the west 

coast nonwhiting groundfish fishery is 

not a derby fishery, it is expected that 

economic benefits will come through 

cost reductions and increased access to 

target species that arise from 

modifications in fishing behavior 

(overfished species avoidance). The key 

output of this analysis is an estimate of 

post-rationalization equilibrium 

harvesting cost. 

Changes in harvesting costs can arise 

from three sources. First, the total fixed 

costs incurred by the groundfish trawl 

fleet change as the size of the fleet 

changes. Since many limited entry 

trawlers incur annual fixed costs of at 

least $100,000, reductions in fleet size 

can result in substantial cost savings. In 

other words, a fewer number of vessels 

in the fishery will lead to decreased 

costs through a decrease in annual fixed 

costs. Second, costs may change as 

fishery participation changes and no 

longer incur diseconomies of scope 

(such as the costs of frequently 

switching gear for participating in 

multiple fisheries). Third, costs may 

change as vessels are able to buy and 

sell quota to take advantage of 

economies of scale and operate at the 

minimum point on their long-run 

average cost curve (i.e. the strategy that 

minimizes the cost of harvesting). 

The major conclusions of this model 

suggest that (with landings held at 2004 

levels), the current groundfish fleet 

(non-whiting component) which 

consisted of 117 vessels in 2004, will be 

reduced by roughly 50% to 66%, or 40– 

60 vessels under an IFQ program. The 

reduction in fleet size implies cost 

savings of $18–$22 million for the year 

2004 (most recent year of the data). 

Vessels that remain active will, on 

average, be more cost efficient and will 

benefit from economies of scale that are 

currently unexploited under controlled 

access regulations in the fishery. The 

cost savings estimates are significant, 

amounting to approximately half of the 

costs incurred currently, suggesting that 

IFQ management may be an attractive 

option for the Pacific Coast Groundfish 

Fishery. Assuming a 10% annual return 

to the vessel capital investment, 

estimates indicate that the 2004 

groundfish fleet incurred a total cost of 

$39 million. The PacFIN data indicate 

fleetwide revenue (this includes 

groundfish, crab, and other species) at 

roughly $36 million in 2004, and, 

therefore, fleetwide losses of about $3 

million occurred in 2004. Based on a 

lower 5% return to vessel capital, the 

results suggest that the groundfish fleet 

merely broke even in 2004; i.e., 

dockside revenues were offset by the 

fleetwide harvesting costs. The results 

also suggest a switch from the current 

controlled access management program 

to IFQs could yield a significant 

increase in resource rents in the Pacific 

Coast Groundfish fishery. For instance, 

the analysis finds that the 2004 

groundfish catch generated zero 

resource rent. Instead, it could have 

yielded a substantial positive rent at 

about $14 million. 

As the model was based on the 2004 

fishery, it may be useful to show current 

trends in the fishery. In 2004, the 

shorebased non-whiting trawl fishery 

generated about $21 million in 

groundfish ex-vessel revenues (inflation 

adjusted). But according to cost 

estimates discussed above, this fishery 

was at best breaking even or perhaps 

suffering a loss of up to $2 million. 

Since 2004, shorebased non-whiting 

trawl fisheries have increased their 

revenues to about $30 million. The 

increase in shorebased revenues have 

come from increased landings of flatfish 

and sablefish and significant increase in 

sablefish ex-vessel prices. Sablefish now 

accounts for almost 40 percent of the 

trawl fleet’s revenues. While revenues 

were increasing, so were fuel prices. 

Fuel costs now account for 

approximately 30 to 40 percent of the 

vessels’ revenues. The average 2005– 

2009 revenues were about $27 million, 

or 29 percent greater than 2004. The 

average 2005–2009 fuel price was about 

$2.81 per gallon, 70% greater than that 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
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of 2004. Therefore, it appears that the 

profitability of the 2009 fishery may not 

be that much improved over that of 

2004. 

Ex-vessel revenues for the nonwhiting sector of the limited entry trawl 

fishery are projected to be 

approximately $30–40 million per year 

under the preferred alternative, 

compared to $22–25 million under the 

no action alternative. These projections 

yield a potential range in increased 

revenues of 20 to 80 percent. This 

revenue increase is expected to occur in 

a rationalized fishery, because target 

species quotas can be more fully 

utilized. Currently, in the non-whiting 

sector, cumulative landing limits for 

target species have to be set lower 

because the bycatch of overfished 

species cannot be directly controlled. 

Introducing accountability at the 

individual vessel level by means of IFQs 

provides a strong incentive for bycatch 

avoidance (because of the actual or 

implicit cost of quota needed to cover 

bycatch species) and prevents the 

bycatch of any one vessel from affecting 

the harvest opportunities of others. In 

addition, under the preferred 

alternative, the non-whiting sector 

would have control over harvest timing 

over the whole calendar year. 

Nonwhiting harvesters currently operate 

under 2-month cumulative landing 

limits, which allow greater flexibility in 

terms of harvest timing between 2- 

month periods but less flexibility within 

periods (because any difference between 

actual limits and the period limit cannot 

be carried over to the next period). In 

contrast, under the IFQ program 

harvesters will have control over harvest 

timing over the whole calendar year. 

However, in terms of any influence on 

price, this increased flexibility is 

unlikely to have a noticeable effect. 

Finally, the ability for vessels managed 

under IFQs to use other types of legal 

groundfish gear could allow some 

increases in revenue by targeting highervalue line or pot gear caught fish. This 

opportunity would mainly relate to 

sablefish, which are caught in deeper 

water, rather than nearshore species 

where State level regulatory constraints 

apply. 

Costs for the non-whiting sector of the 

limited entry trawl fishery are expected 

to decrease under the preferred 

alternative because of productivity gains 

related to fleet consolidation. 

Productivity gains would be achieved 

through lower capital requirements and 

a move to more efficient vessels. 

Operating costs for the non-whiting 

sector are predicted to decrease by as 

much as 60 percent annually. Based on 

estimates of current costs, this 

percentage decrease represents a $13.8 

million cost reduction relative to the no 

action alternative. 

The accumulation limits considered 

under the preferred alternative are not 

expected to introduce cost inefficiencies 

in the non-whiting sector, provided that 

current prices and harvest volumes do 

not decrease. However, the preferred 

alternative would impose new costs on 

the non-whiting sector that would not 

be incurred under the no action 

alternative. First, a landings fee of up to 

3 percent of the ex-vessel value of fish 

harvested would be assessed under the 

preferred alternative to recover 

management costs, such as maintenance 

of the system of QS accounts. Second, 

new at-sea observer requirements would 

be introduced, and vessels would have 

to pay the costs of complying with these 

requirements, estimated at $500 a day if 

independent contractors are hired. The 

daily observer cost could place a 

disproportionate adverse economic 

burden on small businesses because 

such costs would comprise a larger 

portion of small vessels costs than that 

of larger vessels. 

The increase in profits that 

commercial harvesters are expected to 

experience under the preferred 

alternative may render them better able 

to sustain the costs of complying with 

the new reporting and monitoring 

requirements. The improved harvesting 

cost efficiency under the preferred 

alternative may allow the non-whiting 

sector to realize profits of $14–23 

million compared to $0 or less under 

the no action alternative. In addition, a 

provision that allows vessels managed 

under the IFQ program to use other legal 

gear (gear switching) would allow 

sablefish allocated to the trawl sector to 

be sold at a higher price per pound, 

possibly contributing to increased 

profits. The imposition of accumulation 

limits could reduce the expected 

increase in the profitability of the nonwhiting sector by restricting the amount 

of expected cost savings, and the costs 

of at-sea observers may reduce profits by 

about $2.2 million, depending on the fee 

structure. However, the profits earned 

by the non-whiting sector would still be 

substantially higher under the preferred 

alternative than under the no action 

alternative. 

New entrants are likely to face a 

barrier to entry in the Pacific Coast 

groundfish limited entry trawl fishery in 

the form of the cost of acquiring QS (or 

a co-op share in the case of the at-sea 

whiting sector). This disadvantages 

them in comparison to those entities 

that receive an initial allocation of 

harvest privileges. Small entities may be 

particularly disadvantaged to the degree 

that they may find it more difficult to 

finance such quota purchases. Among 

the goals the Council identified for the 

adaptive management program was to 

use the reserved non-whiting QS to 

facilitate new entry into the fishery. In 

addition, the Council identified, as a 

trailing action, a framework to allow the 

establishment and implementation of 

Community Fishing Associations as part 

of the adaptive management program. 

These entities could facilitate entry into 

the fishery by leasing QS at below 

market rates, thereby leveling the 

playing field in terms of costs between 

initial recipients of QS and new 

entrants. 

The incremental effects of the 

preferred alternative on buyers and 

processors of trawl caught groundfish 

are detailed Sections 4.9–4.10 of the 

Rationalization of the Amendment 20 

Pacific Coast Groundfish Limited Entry 

Trawl Fishery DEIS. Even though 

processors may have to pay fishermen 

higher ex-vessel prices, processors may 

see cost savings under the preferred 

alternative to the degree that 

rationalization allows greater processors 

and fishermen greater ability to plan the 

timing, location, and species mix of 

landings. Processors could use current 

plant capacity more efficiently, because 

available information suggests that 

processing facilities are currently 

underutilized. Fleet consolidation in the 

non-whiting sector could also provide 

cost savings for processors if landings 

occur in fewer locations, thereby 

reducing the need for facilities and/or 

transport. The preferred alternative 

would also impose new costs on 

processors that would not be incurred 

under the no action alternative. 

Processors would be required to pay 

some or all of the costs of plant 

monitors, who would verify landings. 

Similar to at-sea observers, these 

monitors would be independent 

contractors rather than direct employees 

of the processing firm. 

In the non-whiting processing 

industry, harvest volumes may increase 

because of a decrease in constraining 

species bycatch and a subsequent 

increase in under-utilized target species 

catch. This boost in target species catch 

may increase utilization of processing 

capital and processing activity. (It 

should be noted that if under the 

current system bycatch has been 

underreported, with 100 percent 

observer coverage under the new 

system, the gains in increased target 

catches may be less than expected.) 

Consequently, the possibility of capital 

consolidation in the non-whiting 

shorebased sector may be less than in 

the shore-based whiting sector. 


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However, shifts in the distribution of 

landings across ports as a result of fleet 

consolidation, industry agglomeration, 

and the comparative advantage of ports 

(a function of bycatch rates in the waters 

constituting the operational area for the 

port, differences in infrastructure, and 

other factors) could lead to 

consolidation in processing activity at a 

localized or regional scale and an 

expansion in processing activity 

elsewhere. To mitigate harm to 

adversely impacted non-whiting 

shoreside processors, the adaptive 

management program provides a 

mechanism to distribute non-whiting 

QS to processors, thereby ensuring that 

some processors receive greater landings 

of groundfish than would otherwise be 

the case. 

As noted above, the preferred 

alternative may reduce the power of 

non-whiting shoreside processors to 

negotiate ex-vessel prices with 

harvesters. The larger harvest volume 

due to bycatch avoidance may lower 

processor average costs, which could 

offset the negative effects on nonwhiting shoreside processors of a shift 

in bargaining power. In addition, QS 

could be purchased by processors over 

the long term, thereby increasing 

processors’ negotiation power. However, 

the accumulation limits included in the 

preferred alternative would limit the 

ability of processors to purchase 

substantial quantities of QS. 

Alternatively, the adaptive management 

provision could be used to allocate QS 

to non-whiting shoreside processors, 

thereby providing them additional 

leverage when negotiating terms with 

harvesters. 

The allocation of 20 percent of the 

initial shore-based whiting QS to the 

shoreside processor portion of the 

groundfish fishery would give these 

processors more influence in 

negotiations over ex-vessel prices and 

would tend to offset the gains in 

bargaining power for harvesters. For 

example, a processor could use QS to 

induce a harvester that is short of quota 

pounds for a Pacific whiting trip to 

make deliveries under specified 

conditions and prices. However, 

because of a reduction in peak harvest 

volume, fewer processing companies 

and/or facilities may be necessary to 

handle harvest volumes of Pacific 

whiting, meaning some companies may 

find themselves without enough 

product to continue justifying 

processing operations of Pacific whiting. 

Revenues from harvesting and 

processing trawl-caught groundfish are 

expected to increase. Revenues in the 

non-whiting trawl sector are projected 

to increase by 20 to 80 percent in a 

rationalized fishery, depending on 

bycatch rate reductions and stock status. 

Revenue increases are mainly expected 

because under rationalized fisheries, 

target species quotas can be more fully 

utilized. Currently, in the nonwhiting 

sector, cumulative landing limits for 

target species have to be set lower 

because the bycatch of overfished 

species cannot be directly controlled. 

Introducing accountability at the 

individual vessel level provides a strong 

incentive for bycatch avoidance 

(because of the actual or implicit cost of 

quota needed to cover bycatch species) 

and prevents the bycatch of any one 

vessel from affecting the harvest 

opportunity of others. Whiting fisheries 

are more directly managed through 

quotas, and in recent years, by limits on 

bycatch. Beginning in 2009, bycatch 

limits have been established for each of 

the three whiting sectors. For the shorebased and mothership whiting sectors, 

the fishery can potentially close before 

the whiting allocation is fully harvested 

because a bycatch cap is reached. (The 

catcher-processor sector currently 

operates as a voluntary co-op and is 

therefore better able to coordinate 

harvest strategy to avoid reaching 

bycatch limits.) However, in general, the 

whiting sectors have been able to 

harvest their sector allocations. Whiting 

vessels could increase revenues due to 

improved product recovery as a result of 

the ability to better control harvest 

timing. As mentioned above, the ability 

for vessels managed under IFQs to use 

other types of legal groundfish gear 

could allow some increases in revenue 

by targeting higher-value line or pot gear 

caught fish. 

Harvester and possibly processor 

costs are expected to decrease because 

of productivity gains related to fleet 

consolidation. Cost savings would be 

due to lower capital requirements and a 

move to more efficient vessels in the 

nonwhiting sector. Costs are predicted 

to decrease by as much as 60 percent 

annually, which based on estimates of 

current operating costs would represent 

a $13.8 million decrease. Similar levels 

of consolidation are expected for 

shorebased and mothership catcher 

vessels. Proposed mitigation measures 

could reduce these costs savings. For 

example, a 1 percent quota share 

accumulation limit could reduce cost 

savings by as much as 20 percent. But 

the accumulation limits considered in 

the alternatives are not expected to 

introduce higher costs at current prices 

and harvest volume. The proposed 

action would introduce some new costs. 

First, up to 3 percent of the value of 

landings may be assessed to cover 

administrative and management costs. 

Second, new at-sea observer 

requirements would be introduced and 

vessels would have to pay the cost, 

estimated at $350–$500 a day. 

Processors may see cost-savings to the 

degree that rationalization allows 

greater control over the timing and 

location of landings. Processors could 

use current plant capacity more 

efficiently, because available 

information suggests that processing 

facilities are currently underutilized. 

Fleet consolidation could also drive 

some cost savings on the part of 

processors if landings occur in fewer 

locations. This would reduce the need 

for facilities and/or transport. Under the 

proposed action, processors would be 

required to pay the costs of plant 

monitors, who would verify landings. 

These monitors would not be directly 

employed by the processing firm but, 

similar to at-sea observers, be 

independent contractors. 

Rationalization of the groundfish 

trawl sector is expected to free up 

capital and labor because of increases in 

productivity. (Since the basic input, 

trawl-caught fish, is subject to an 

underlying constraint due to biological 

productivity, increases in labor and 

capital productivity are expected to 

reduce the amount of those inputs 

needed.) However, from a national net 

benefit perspective these effects are 

neutral since capital and labor can be 

put to some productive use elsewhere in 

the broader economy. Also, current 

groundfish fishery participants that 

receive QS (trawl limited entry trawl 

permit holders and eligible shoreside 

processors) are compensated to the 

degree that the asset value of the QS 

covers capital losses. 

It was noted in the RIR/IRFA 

associated with the initial issuance rule 

that tracking and monitoring costs of 

this program will be provided in more 

detail with this rule. The program 

details associated with this rule do not 

change; however, the RIR/IRFA now 

presents an explicit range of costs based 

on different daily observer cost rates. 

What follows is a summary of those 

estimates—these estimates are focused 

on the shorebased non-whiting fishery 

so that it is compared to the results of 

the NWFSC economic model of this 

fishery. After a transition period, for the 

shore-based fishery, the initial estimates 

of the annual Federal and State agency 

costs to run this program are about $5 

million; and after the transition period, 

these costs could fall to $4.0 million. 

Based on the observer cost of $500 per 

day, the annual costs to the vessel of 

observer monitoring is about $4 million. 

Based on $350 per day, the annual costs 


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of compliance monitors is just over $1 

million. These figures add up to about 

$10 million. From a cost-benefit 

viewpoint, if consolidation leads to $14 

million savings from reduced harvesting 

costs and the new program increases the 

tracking and monitoring costs of $10 

million, there is a projected net gain of 

about $4 million. These estimates do not 

take into account expectations that 

agency, observer and compliance costs 

are likely to be reduced due to 

consolidation or the expected increases 

in revenues discussed above. Better 

planning by the industry and companies 

that provide the observers and 

compliance monitors should further 

reduce costs. Recent analyses developed 

for the North Pacific Council and for the 

New England Council were reviewed. 

The New England analysis includes 

observer cost estimates associated with 

the Canadian Pacific Groundfish fishery. 

Based on a review of these analyses, a 

daily observer rate of $350 a day is 

feasible. If so, the annual shoreside nonwhiting costs of observers and catch 

monitors will add up to about $3.5 

million. 

In contrast to the shoreside nonwhiting fishery, the effect of the 

preferred alternative on revenues and 

costs in the whiting sector of the limited 

entry trawl fishery can only be 

discussed qualitatively, as there is no 

economic model because of lack of cost 

data. The lower motivation to ‘‘race for 

fish’’ due to coop harvest privileges is 

expected to result in improved product 

quality, slower-paced harvest activity, 

increased yield (which should increase 

exvessel prices), and enhanced 

flexibility and ability for business 

planning. The overall effect of these 

changes would be higher revenues and 

profits for harvesters in the shoreside 

and mothership portions of the whiting 

fishery in comparison to the no action 

alternative. Under the preferred 

alternative, some consolidation may 

occur in the shoreside and mothership 

sectors of the Pacific whiting fishery, 

though the magnitude of consolidation 

is expected to be less than in the nonwhiting sector. The existing catcherprocessor coop would continue under 

the preferred alternative, with effects on 

the catcher-processor sector that look 

similar, or identical, to those of the no 

action alternative. However, the change 

from a vessel-based limit under 

Amendment 15 to the permit-based 

limit of Amendment 21 will provide 

additional flexibility that currently does 

not exist in the catcher-processor 

fishery. Using estimates of $350 per day 

for observers and compliance monitors, 

the total annual costs of observers and 

catch monitors for the whiting sector 

(shoreside harvesters, processors, 

mothership processors, mothership 

catcher vessels, and catcher-processors) 

is about $1.5 million. Additional agency 

costs associated with managing these 

whiting fisheries are included in the 

estimates provided in the above 

discussion on shore-based non-whiting 

costs. 

This proposed rule would regulate 

businesses that harvest groundfish and 

processors that wish to process limited 

entry trawl groundfish. Under the RFA, 

the term ‘‘small entities’’ includes small 

businesses, small organizations, and 

small governmental jurisdictions. For 

small businesses, the SBA has 

established size criteria for all major 

industry sectors in the U.S., including 

fish harvesting and fish processing 

businesses. A business involved in fish 

harvesting is a small business if it is 

independently owned and operated and 

not dominant in its field of operation 

(including its affiliates) and if it has 

combined annual receipts not in excess 

of $4.0 million for all its affiliated 

operations worldwide. A seafood 

processor is a small business if it is 

independently owned and operated, not 

dominant in its field of operation, and 

employs 500 or fewer persons on a full 

time, part time, temporary, or other 

basis, at all its affiliated operations 

worldwide. A business involved in both 

the harvesting and processing of seafood 

products is a small business if it meets 

the $4.0 million criterion for fish 

harvesting operations. A wholesale 

business servicing the fishing industry 

is a small business if it employs 100 or 

fewer persons on a full time, part time, 

temporary, or other basis, at all its 

affiliated operations worldwide. For 

marinas and charter/party boats, a small 

business is one with annual receipts not 

in excess of $7.0 million. The RFA 

defines a small organization as any 

nonprofit enterprise that is 

independently owned and operated and 

is not dominant in its field. The RFA 

defines small governmental 

jurisdictions as governments of cities, 

counties, towns, townships, villages, 

school districts, or special districts with 

populations of less than 50,000. 

NMFS makes the following 

conclusions based primarily on analyses 

associated with fish ticket data and 

limited entry permit data, available 

employment data provided by 

processors, information on the 

charterboat and Tribal fleets, and 

available industry responses industry to 

on-going survey on ownership. Entities 

were analyzed as to whether they were 

only affected by the Amendment 21 

allocation processes (non-trawl), or if 

they were affected by both Amendment 

20 and 21 (trawl). 

The non-trawl businesses are 

associated with the following fleets: 

limited entry fixed gear (approximately 

150 companies), open access groundfish 

(1,100), charterboats (465), and the 

Tribal fleet (four Tribes with 66 vessels). 

Available information on average 

revenue per vessel suggests that all the 

entities in this group can be considered 

small. 

For the trawl sector, there are 177 

permit holders. Nine limited entry trawl 

permits are associated with the catcherprocessing vessels which are considered 

‘‘large’’ companies. Of the remaining 168 

limited entry permits, 25 limited entry 

trawl permits are either owned or 

closely associated with a ‘‘large’’ shorebased processing company or with a 

non-profit organization who considers 

itself a ‘‘large’’ organization. Nine other 

permit owners indicated that they were 

large ‘‘companies.’’ Almost all of these 

companies are associated with the 

shorebased and mothership whiting 

fisheries. The remaining 134 limited 

entry trawl permits are projected to be 

held by ‘‘small’’ companies. Three of the 

six mothership processors are ‘‘large’’ 

companies. Within the 14 shorebased 

whiting first receivers/processors, there 

are four ‘‘large’’ companies. Including 

the shorebased whiting first receivers, in 

2008, there were 75 first receivers that 

purchased limited entry trawl 

groundfish. There were 36 small 

purchasers (less than $150,000); 26 

medium purchasers (purchases greater 

than $150,000 but less than $1,000,000); 

and 13 large purchasers (purchases 

greater than $1.0 million). Because of 

the costs of obtaining a ‘‘processor site 

license’’, procuring and scheduling a 

catch monitor, and installing and using 

the electronic fish ticket software, these 

‘‘small’’ purchasers will likely opt out of 

buying groundfish, or make 

arrangements to purchase fish from 

another company that has obtained a 

processing site license. 

The major impacts of this rule appear 

to be on three groups: Shoreside 

processors which are a mix of large and 

small processors; and shore-based 

trawlers which are also a mix of large 

and small companies. The non-whiting 

shore-based trawlers are currently 

operating at a loss or at best are 

‘‘breaking even.’’ The new 

rationalization program would lead to 

profitability, but only with a reduction 

of about 60 percent of the fleet. This 

program would lead to major changes in 

the fishery. To help mitigate against 

these changes, as discussed above, the 

agency has announced its intent, subject 

to available Federal funding, that 


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participants would initially be 

responsible for 10 percent of the cost of 

hiring observers and catch monitors. 

The industry proportion of the costs of 

hiring observers and catch monitors 

would be increased every year so that by 

2014, once the fishery has transitioned 

to the rationalization program, the 

industry would be responsible for 100 

percent of the cost of hiring the 

observers and catch monitors. NMFS 

believes that an incrementally reduced 

subsidy to industry funding would 

enhance the observer and catch monitor 

program’s stability, ensure 100 percent 

observer and catch monitor coverage, 

and facilitate the industries’ successful 

transition to the new quota system. In 

addition, to help mitigate against the 

negative impacts of this program, the 

Council has adopted an Adaptive 

Management Program where starting in 

year 3 of the program, 10 percent of 

non-whiting QS would be set aside 

every year to address community 

impacts and industry transition needs. 

After reviewing the initial effects of ITQ 

programs in other parts of the world, the 

council had placed a short term QS 

trading prohibition so that fishermen 

can learn from their experiences and not 

make premature sales of their QS. The 

Council is also envisioning future 

regulatory processes that would allow 

community fisheries associations to be 

established to help aid communities and 

fishermen. 

A summary of the proposed action is 

as follows. The proposed action is to 

replace the current, primary 

management tool used to control the 

West Coast groundfish trawl catch—a 

system of 2-month cumulative landing 

limits for most species and season 

closures for whiting—with a system 

requiring more individual 

accountability by the assignment of 

limited access privileges (LAPs). LAPs 

are a form of output control whereby an 

individual fisherman, community, or 

other entity is granted the privilege to 

catch a specified portion of the total 

allowable catch (TAC). The alternatives 

include (1) a catch-based IFQ system 

where all groundfish catch (landings 

plus bycatch) by LE trawl vessels would 

count against a vessel’s IFQ holdings, 

which could be applied to the whole 

groundfish trawl fishery or selected 

trawl sectors; and (2) a system of coops 

that would be applied to one or more of 

the fishery sectors that target Pacific 

whiting. The status quo alternative (no 

action) could also be considered for 

application to one or more trawl fishery 

sectors even if one or both action 

alternatives (IFQs or coops) are chosen 

for the other trawl sectors. 

The description of purpose and need 

in section 1.2 of the Amendment 20 

DEIS also outlines the objectives of the 

proposed action. The introductory 

paragraph in Chapter 1 and section 1.3 

of the DEIS, background to the purpose 

and need, provide information on the 

legal basis for the proposed action 

(proposed rule). The Council articulated 

the following goal for the trawl 

rationalization program: ‘‘Create and 

implement a capacity rationalization 

plan that increases net economic 

benefits, creates individual economic 

stability, provides for full utilization of 

the trawl sector allocation, considers 

environmental impacts, and achieves 

individual accountability of catch and 

bycatch.’’ The objectives supporting this 

goal are: Provide a mechanism for total 

catch accounting; provide for a viable, 

profitable, and efficient groundfish 

fishery; promote practices that reduce 

bycatch and discard mortality, and 

minimize ecological impacts; increase 

operational flexibility; minimize 

adverse effects from an IFQ program on 

fishing communities and other fisheries 

to the extent practical; promote 

measurable economic and employment 

benefits through the seafood catching, 

processing, distribution elements, and 

support sectors of the industry; provide 

quality product for the consumer; and 

increase safety in the fishery. 

As part of the proposed action, NMFS 

would place observers and/or cameras 

on board all catcher vessels in the shorebased sector (which combines the 

current shore-based whiting and nonwhiting trawl sectors). Existing 

requirements for motherships, catcher 

vessels in the MS sector, and C/Ps 

would continue. Independently 

contracted processing plant monitors 

would track landings. Also, there would 

be new reporting requirements related 

to the tracking of QS and QP in the 

shore-based fishery. 

No Federal rules have been identified 

that duplicate, overlap, or conflict with 

the alternatives. Public comment is 

hereby solicited, identifying such rules. 

A copy of this analysis is available from 

NMFS (see ADDRESSES). 

This proposed rule contains a 

collection-of-information requirement 

subject to review and approval by OMB 

under the Paperwork Reduction Act 

(PRA). This requirement has been 

submitted to OMB for approval. Public 

reporting burden for the Economic Data 

Collection survey is estimated to 

average 8 hours per response (268 

responses). Public reporting burden for 

QS Permit Renewal Application is 

estimated to average 0.33 hour per 

response (120 responses), First Receiver 

Site License Initial Issuance/Renewal 

Application is estimated to average 0.5 

hour per response (80 responses), MS 

Renewal Application is estimated to 

average 0.33 hour per response (6 

responses), MS Transfer Application is 

estimated to average 0.5 hour per 

response (3 responses) C/P Coop Permit 

Transfer Application is estimated to 

average 3 hours per response (1 

response), MS Coop Permit Application 

is estimated to average 3 hours per 

response (1 response), Change in vessel 

fishing for coop form is estimated to 

average 0.33 hours per response (3 

responses), Material Change form is 

estimated to average 2 hours per 

response (3 responses), MS Withdrawal/ 

Mutual Exception form is estimated to 

average 2 hours per response (2 

responses), Ownership Interest Form 

Renewal is estimated to average 0.5 

hour per response (156 responses), 

Ownership Interest Form Transfer, is 

estimated to average 0.5 hour per 

response (20 responses), Vessel Account 

Registration (Initial) is estimated to 

average 0.5 hour per response (120 

responses), Vessel Account Registration 

(ongoing) is estimated to average 0.5 

hour per response (10 responses), Vessel 

Account Renewal (annual), is estimated 

to average 0.33 hour per response (30 

responses), QS Account Registration is 

estimated to average 1 hour per 

response (1 response), QS/QP transfer 

from QS account to vessel account is 

estimated to average 0.25 hour per 

response (180 responses), QP Transfer 

from vessel account to vessel account is 

estimated to average 0.25 hour per 

response (600 responses), Transaction 

Dispute Request is estimated to average 

1 hour per response (10 responses). 

Public reporting burden for the catch 

monitor providers, Application 

preparation & submission is estimated 

to average 10 hours per response (3 

responses), Training registration is 

estimated to average 1 hour per 

response (3 responses), Exit Interview 

registration is estimated to average 10 

minutes per response (3 responses), 

Appeals—written response & 

submission is estimated to average 4 

hours per response (1 response). Public 

reporting burden for the catch monitors 

application appeals—written response & 

submission is estimated to average 4 

hours per response (5 responses). Public 

reporting burden for the catch 

monitoring plans, Preparation & 

submission is estimated to average 4 

hours per response (80 responses), 

Inspection, is estimated to average 2 

hours per response (80 responses), 

inseason scale testing is estimated to 

average 1 hour per response (80 

responses), reports are estimated to 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53404 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

average 10 minutes per response (2400 

responses). Public reporting burden for 

electronic fish tickets are estimated to 

average 10 minutes per response (400 

responses). Public reporting burden for 

the changes to the declaration reporting 

system and the changes to the observer 

program are not expected to change the 

public reporting burden. These 

estimates include the time for reviewing 

instructions, searching existing data 

sources, gathering and maintaining the 

data needed, and completing and 

reviewing the collection information. 

Public comment is sought regarding: 

Whether this proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information shall have practical utility; 

the accuracy of the burden estimate; 

ways to enhance the quality, utility, and 

clarity of the information to be 

collected; and ways to minimize the 

burden of the collection of information, 

including through the use of automated 

collection techniques or other forms of 

information technology. Send comments 

on these or any other aspects of the 

collection of information to NMFS, 

Northwest Region, at the ADDRESSES

section above; e-mail to 

David_Rostker@omb.eop.gov; or fax to 

202–395–7285. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, and no person shall be 

subject to penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB control number. 

NMFS issued Biological Opinions 

under the Endangered Species Act 

(ESA) on August 10, 1990, November 

26, 1991, August 28, 1992, September 

27, 1993, May 14, 1996, and December 

15, 1999 pertaining to the effects of the 

Pacific Coast groundfish FMP fisheries 

on Chinook salmon (Puget Sound, 

Snake River spring/summer, Snake 

River fall, upper Columbia River spring, 

lower Columbia River, upper Willamette 

River, Sacramento River winter, Central 

Valley spring, California coastal), coho 

salmon (Central California coastal, 

southern Oregon/northern California 

coastal), chum salmon (Hood Canal 

summer, Columbia River), sockeye 

salmon (Snake River, Ozette Lake), and 

steelhead (upper, middle and lower 

Columbia River, Snake River Basin, 

upper Willamette River, central 

California coast, California Central 

Valley, south/central California, 

northern California, southern 

California). These biological opinions 

have concluded that implementation of 

the FMP for the Pacific Coast groundfish 

fishery was not expected to jeopardize 

the continued existence of any 

endangered or threatened species under 

the jurisdiction of NMFS, or result in 

the destruction or adverse modification 

of critical habitat. 

NMFS reinitiated a formal section 7 

consultation under the ESA in 2005 for 

both the Pacific whiting midwater trawl 

fishery and the groundfish bottom trawl 

fishery. The December 19, 1999, 

Biological Opinion had defined an 

11,000 Chinook incidental take 

threshold for the Pacific whiting fishery. 

During the 2005 Pacific whiting season, 

the 11,000 fish Chinook incidental take 

threshold was exceeded, triggering 

reinitiation. Also in 2005, new data 

from the West Coast Groundfish 

Observer Program became available, 

allowing NMFS to complete an analysis 

of salmon take in the bottom trawl 

fishery. 

NMFS prepared a Supplemental 

Biological Opinion dated March 11, 

2006, which addressed salmon take in 

both the Pacific whiting midwater trawl 

and groundfish bottom trawl fisheries. 

In its 2006 Supplemental Biological 

Opinion, NMFS concluded that catch 

rates of salmon in the 2005 whiting 

fishery were consistent with 

expectations considered during prior 

consultations. Chinook bycatch has 

averaged about 7,300 fish over the last 

15 years and has only occasionally 

exceeded the reinitiation trigger of 

11,000 fish. 

Since 1999, annual Chinook bycatch 

has averaged about 8,450 fish. The 

Chinook ESUs most likely affected by 

the whiting fishery has generally 

improved in status since the 1999 

section 7 consultation. Although these 

species remain at risk, as indicated by 

their ESA listing, NMFS concluded that 

the higher observed bycatch in 2005 

does not require a reconsideration of its 

prior ‘‘no jeopardy’’ conclusion with 

respect to the fishery. For the 

groundfish bottom trawl fishery, NMFS 

concluded that incidental take in the 

groundfish fisheries is within the 

overall limits articulated in the 

Incidental Take Statement of the 1999 

Biological Opinion. The groundfish 

bottom trawl limit from that opinion 

was 9,000 fish annually. NMFS will 

continue to monitor and collect data to 

analyze take levels. NMFS also 

reaffirmed its prior determination that 

implementation of the Groundfish FMP 

is not likely to jeopardize the continued 

existence of any of the affected ESUs. 

Lower Columbia River coho (70 FR 

37160, June 28, 2005) were recently 

listed and Oregon Coastal coho (73 FR 

7816, February 11, 2008) were recently 

relisted as threatened under the ESA. 

The 1999 biological opinion concluded 

that the bycatch of salmonids in the 

Pacific whiting fishery were almost 

entirely Chinook salmon, with little or 

no bycatch of coho, chum, sockeye, and 

steelhead. The Southern Distinct 

Population Segment (DPS) of green 

sturgeon (71 FR 17757, April 7, 2006) 

and the southern DPS of Pacific 

eulachon (75 FR 13012, March 18, 2010) 

were also recently listed as threatened 

under the ESA. As a consequence, 

NMFS has reinitiated its Section 7 

consultation on the PFMC’s Groundfish 

FMP. 

After reviewing the available 

information, NMFS concluded that, in 

keeping with Sections 7(a)(2) and 7(d) of 

the ESA, the proposed action would not 

result in any irreversible or irretrievable 

commitment of resources that would 

have the effect of foreclosing the 

formulation or implementation of any 

reasonable and prudent alternative 

measures. 

This proposed rule was developed 

after meaningful consultation and 

collaboration with the Tribal 

representative on the Council who has 

agreed with the provisions that apply to 

Tribal vessels. 

List of Subjects in 50 CFR Part 660 

Fisheries, Fishing, and Indian 

fisheries. 

Dated: August 20, 2010. 

Samuel D. Rauch III, 

Deputy Assistant Administrator for 

Regulatory Programs, National Marine 

Fisheries Service. 

For the reasons stated in the 

preamble, 50 CFR Chapter VI, as 

proposed to be amended at 75 FR 32994, 

June 10, 2010, is further proposed to be 

amended as follows: 

50 CFR Chapter VI 

PART 660—FISHERIES OFF WEST 

COAST STATES 

1. The authority citation for part 660 

continues to read as follows: 

Authority: 16 U.S.C. 1801 et seq. and 16 

U.S.C. 773 et seq. 

2. In § 660.11, the definitions for 

‘‘processing or to process’’ and 

‘‘processor’’ are revised to read as 

follows: 

§ 660.11 General definitions. 

* * * * * 

Processing or to process means the 

preparation or packaging of groundfish 

to render it suitable for human 

consumption, retail sale, industrial uses 

or long-term storage, including, but not 

limited to, cooking, canning, smoking, 

salting, drying, filleting, freezing, or 


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rendering into meal or oil, but does not 

mean heading and gutting unless 

additional preparation is done. (Also see 

an exception to certain requirements at 

§ 660.131(a), subpart D pertaining to 

Pacific whiting shoreside vessels 75-ft 

(23-m) or less LOA that, in addition to 

heading and gutting, remove the tails 

and freeze catch at sea.) 

(1) At-sea processing means 

processing that takes place on a vessel 

or other platform that floats and is 

capable of being moved from one 

location to another, whether shorebased or on the water. 

(2) Shorebased processing or 

processing means processing that takes 

place at a facility that is permanently 

fixed to land. (Also see the definition for 

shoreside processing at § 660.140, 

subpart D which defines shoreside 

processing for the purposes of 

qualifying for a Shorebased IFQ Program 

QS permit.) For the purposes of 

economic data collection in the 

Shorebased IFQ Program, shorebased 

processing means either of the 

following: 

(i) Any activity that takes place 

shoreside; and that involves: Cutting 

groundfish into smaller portions; or 

freezing, cooking, smoking, drying 

groundfish; or packaging that 

groundfish for resale into 100 pound 

units or smaller; for sale or distribution 

into a wholesale or retail market. 

(ii) The purchase and redistribution in 

to a wholesale or retail market of live 

groundfish from a harvesting vessel. 

Processor means a person, vessel, or 

facility that engages in commercial 

processing; or receives live groundfish 

directly from a fishing vessel for retail 

sale without further processing. (Also 

see the definition for processors at 

§ 660.140, subpart D which defines 

processor for the purposes of qualifying 

for initial issuance of QS in the 

Shorebased IFQ Program.) 

(1) For the purposes of economic data 

collection in the Shorebased IFQ 

Program, shorebased processor means a 

person that engages in commercial 

processing, that is an operation working 

on U.S. soil or permanently fixed to 

land, that takes delivery of fish that has 

not been subject to at-sea processing or 

shorebased processing; and that 

thereafter engages that particular fish in 

shorebased processing; and excludes 

retailers, such as grocery stores and 

markets, which receive whole or headed 

and gutted fish that are then filleted and 

packaged for retail sale. At § 660.114(b), 

trawl fishery—economic data collection 

program, the definition of processor is 

further refined to describe which 

shorebased processors are required to 

submit their economic data collection 

forms. 

(2) [Reserved] 

* * * * * 

3. In § 660.12, paragraph (e)(7) and 

(e)(8) are revised, paragraph (f) is 

redesignated as paragraph (g), and a new 

paragraph (f) is added to read as follows: 

§ 660.12 General groundfish prohibitions. 

* * * * * 

(e) * * * 

(7) Fail to provide departure or cease 

fishing reports specified at §§ 660.140, 

660.150, 660.160, subpart D; § 660.216, 

subpart E; or § 660.316, subpart F. 

(8) Fail to meet the vessel 

responsibilities specified at §§ 660.140, 

660.150, 660.160, subpart D; § 660.216, 

subpart E; or § 660.316, subpart F. 

(f) Groundfish catch monitor program. 

(1) Forcibly assault, resist, oppose, 

impede, intimidate, harass, sexually 

harass, bribe, or interfere with a catch 

monitor. 

(2) Interfere with or bias the 

monitoring procedure employed by a 

catch monitor, including either 

mechanically or manually sorting or 

discarding catch before its monitored. 

(3) Tamper with, destroy, or discard a 

catch monitor’s collected samples, 

equipment, records, photographic film, 

papers, or personal effects. 

(4) Harass a catch monitor by conduct 

that: 

(i) Has sexual connotations, 

(ii) Has the purpose or effect of 

interfering with the catch monitor’s 

work performance, and/or 

(iii) Otherwise creates an 

intimidating, hostile, or offensive 

environment. In determining whether 

conduct constitutes harassment, the 

totality of the circumstances, including 

the nature of the conduct and the 

context in which it occurred, will be 

considered. The determination of the 

legality of a particular action will be 

made from the facts on a case-by-case 

basis. 

(5) Receive, purchase, or take custody, 

control, or possession of a delivery 

without catch monitor coverage when 

such coverage is required under 

§ 660.140, subpart D. 

(6) Fail to allow the catch monitor 

unobstructed access to catch sorting, 

processing, catch counting, catch 

weighing, or electronic or paper fish 

tickets. 

(7) Fail to provide reasonable 

assistance to the catch monitor. 

(8) Require, pressure, coerce, or 

threaten a catch monitor to perform 

duties normally performed by 

employees of the first receiver, 

including, but not limited to duties 

associated with the receiving of landing, 

processing of fish, sorting of catch, or 

the storage of the finished product. 

* * * * * 

4. In § 660.13, paragraph (d)(5)(iv) 

introductory text, paragraph 

(d)(5)(iv)(A) introductory text, and 

paragraphs (d)(5)(iv)(A)(1) through (4), 

and (6) through (8) are revised to read 

as follows: 

§ 660.13 Recordkeeping and reporting. 

* * * * * 

(d) * * * 

(5) * * * 

(iv) Declaration reports will include: 

the vessel name and/or identification 

number, and gear type (as defined in 

paragraph (d)(5)(iv)(A) of this section). 

Upon receipt of a declaration report, 

NMFS will provide a confirmation code 

or receipt to confirm that a valid 

declaration report was received for the 

vessel. Retention of the confirmation 

code or receipt to verify that a valid 

declaration report was filed and the 

declaration requirement was met is the 

responsibility of the vessel owner or 

operator. Vessels using nontrawl gear 

may declare more than one gear type 

with the exception of vessels 

participating in the Shorebased IFQ 

Program (i.e. gear switching), however, 

vessels using trawl gear may only 

declare one of the trawl gear types listed 

in paragraph (d)(5)(iv)(A) of this section 

on any trip and may not declare 

nontrawl gear on the same trip in which 

trawl gear is declared. 

(A) One of the following gear types or 

sectors must be declared: 

(1) Limited entry fixed gear, not 

including shorebased IFQ fishery, 

(2) Limited entry groundfish nontrawl, shorebased IFQ, 

(3) Limited entry midwater trawl, 

non-whiting shorebased IFQ, 

(4) Limited entry midwater trawl, 

Pacific whiting shorebased IFQ, 

* * * * * 

(6) Limited entry midwater trawl, 

Pacific whiting mothership sector 

(catcher vessel or mothership), 

(7) Limited entry bottom trawl, 

shorebased IFQ, not including demersal 

trawl, 

(8) Limited entry demersal trawl, 

shorebased IFQ, 

* * * * * 

5. In § 660.14, paragraph (b)(1) is 

revised to read as follows: 

§ 660.14 Vessel Monitoring System (VMS) 

requirements. 

* * * * * 

(b) * * * 

(1) Any vessel registered for use with 

a limited entry ‘‘A’’ endorsed permit 

(i.e., not a MS permit) that fishes in 

State or Federal waters seaward of the 


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baseline from which the territorial sea is 

measured off the States of Washington, 

Oregon or California (0–200 nm 

offshore). 

* * * * * 

6. Section 660.15 is revised to read as 

follows: 

§ 660.15 Equipment requirements. 

(a) Applicability. This section 

contains the equipment and operational 

requirements for scales used to weigh 

catch at sea, scales used to weigh catch 

at IFQ first receivers, computer 

hardware for electronic fish ticket 

software, and computer hardware for 

electronic logbook software. Unless 

otherwise specified by regulation, the 

operator or manager must retain, for 3 

years, a copy of all records described in 

this section and make available the 

records upon request of NMFS staff or 

authorized officer. 

(b) Scales used to weigh catch at 

sea—performance and technical 

requirements. (1) Scales approved by 

NMFS for MS and C/P Coop Programs. 

A scale used to weigh catch in the MS 

and C/P Coop Programs must meet the 

type evaluation and initial inspection 

requirements set forth in 50 CFR 

679.28(b)(1) and (2), and must be 

approved by NMFS. 

(2) Annual inspection. Once a scale is 

installed on a vessel and approved by 

NMFS for use, it must be inspected 

annually as described in 50 CFR 

679.28(b). 

(3) Daily testing. Each scale must be 

tested daily and meet the maximum 

permissible error (MPE) requirements 

described at described at paragraph 

(b)(4) of this section. 

(4) At-sea scale tests. To verify that 

the scale meets the maximum 

permissible errors (MPEs) specified in 

this paragraph, the vessel operator must 

ensure that vessel crew test each scale 

used to weigh catch at least one time 

during each 24-hour period when use of 

the scale is required. The vessel owner 

must ensure that these tests are 

performed in an accurate and timely 

manner. 

(i) Belt scales. The MPE for the daily 

at-sea scale test is plus or minus 3 

percent of the known weight of the test 

material. The scale must be tested by 

weighing at least 400 kg (882 lb) of fish 

or an alternative material supplied by 

the scale manufacturer on the scale 

under test. The known weight of the fish 

or test material must be determined by 

weighing it on a platform scale 

approved for use under 50 CFR 679.28 

(b)(7). 

(ii) Platform scales used for observer 

sampling on MSs and C/Ps. A platform 

scale used for observer sampling must 

be tested at 10, 25, and 50 kg (or 20, 50, 

and 100 lb if the scale is denominated 

in pounds) using approved test weights. 

The MPE for the daily at-sea scale test 

is plus or minus 0.5 percent. 

(iii) Approved test weights. Each test 

weight must have its weight stamped on 

or otherwise permanently affixed to it. 

The weight of each test weight must be 

annually certified by a National Institute 

of Standards and Technology approved 

metrology laboratory or approved for 

continued use by the NMFS authorized 

inspector at the time of the annual scale 

inspection. 

(iv) Requirements for all at-sea scale 

tests. The vessel operator must ensure 

that vessel crew: 

(A) Notify the observer at least 15 

minutes before the time that the test will 

be conducted, and conduct the test 

while the observer is present. 

(B) Conduct the scale test and record 

the following information on the at-sea 

scale test report form: 

(1) Vessel name; 

(2) Month, day, and year of test; 

(3) Time test started to the nearest 

minute; 

(4) Known weight of test weights; 

(5) Weight of test weights recorded by 

scale; 

(6) Percent error as determined by 

subtracting the known weight of the test 

weights from the weight recorded on the 

scale, dividing that amount by the 

known weight of the test weights, and 

multiplying by 100; and 

(7) Sea conditions at the time of the 

scale test. 

(C) Maintain the test report form on 

board the vessel 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 

vessel owner must retain the scale test 

report forms for 3 years after the end of 

the fishing year during which the tests 

were performed. Each scale test report 

form must be signed by the vessel 

operator immediately following 

completion of each scale test. 

(5) Scale maintenance. The vessel 

owner must ensure that the vessel 

operator maintains the scale in proper 

operating condition throughout its use, 

that adjustments made to the scale are 

made so as to bring the performance 

errors as close as practicable to a zero 

value, and that no adjustment is made 

that will cause the scale to weigh 

inaccurately. 

(6) Printed reports from the scale. The 

vessel owner must ensure that the 

printed reports are provided to NMFS as 

required by this paragraph. Printed 

reports from the scale must be 

maintained on board the vessel until the 

end of the year during which the reports 

were made, and be made available to 

NMFS staff or authorized officers. In 

addition, the vessel owner must retain 

printed reports for 3 years after the end 

of the year during which the printouts 

were made. 

(i) Reports of catch weight and 

cumulative weight. Reports must be 

printed at least once every 24 hours. 

Reports must also be printed before any 

information stored in the scale 

computer memory is replaced. Scale 

weights must not be adjusted by the 

scale operator to account for the 

perceived weight of water, slime, mud, 

debris, or other materials. Scale 

printouts must show: 

(A) The vessel name and Federal 

vessel permit number; 

(B) The date and time the information 

was printed; 

(C) The haul number; 

(D) The total weight of the haul; and 

(E) The total cumulative weight of all 

fish and other material weighed on the 

scale since the last annual inspection. 

(ii) Printed report from the audit trail. 

The printed report must include the 

information specified in sections 

2.3.1.8, 3.3.1.7, and 4.3.1.8 of appendix 

A to 50 CFR part 679. The printed report 

must be provided to the authorized 

scale inspector at each scale inspection 

and must also be printed at any time 

upon request of NMFS staff or other 

authorized officer. 

(iii) Platform scales used for observer 

sampling. A platform scale used for 

observer sampling is not required to 

produce a printed record. 

(c) Scales used to weigh catch at IFQ 

first receivers—performance and 

technical requirements. Scale 

requirements in this paragraph are in 

addition to those requirements set forth 

by the State in which the scale is 

located, and nothing in this paragraph 

may be construed to reduce or 

supersede the authority of the State to 

regulate, test, or approve scales within 

the State. Scales used to weigh catch 

that are also required to be approved by 

the State must meet the following 

requirements: 

(1) Verification of approval. The scale 

must display a valid sticker indicating 

that the scale is currently approved in 

accordance with the laws of the State 

where the scale is located. 

(2) Visibility. NMFS staff, NMFSauthorized personnel, or authorized 

officers must be allowed to observe the 

weighing of catch on the scale and be 

allowed to read the scale display at all 

times. 

(3) Printed scale weights. (i) An IFQ 

first receiver must ensure that printouts 

of the scale weight of each delivery or 


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offload are made available to NMFS 

staff, to NMFS-authorized personnel, or 

to authorized officers at the time 

printouts are generated. An IFQ first 

receiver must maintain printouts on site 

until the end of the fishing year during 

which the printouts were made and 

make them available upon request by 

NMFS staff, NMFS-authorized 

personnel, or authorized officers for 3 

years after the end of the fishing year 

during which the printout was made. 

(ii) All scales identified in a catch 

monitoring plan (see § 660.140(f)(3), 

subpart D) must produce a printed 

record for each delivery, or portion of a 

delivery, weighed on that scale, unless 

specifically exempted by NMFS. NMFS 

may exempt, as part of the NMFSaccepted catch monitoring plan, scales 

not designed for automatic bulk 

weighing from part or all of the printed 

record requirements. For scales that 

must produce a printed record, the 

printed record must include: 

(A) The IFQ first receiver’s name; 

(B) The weight of each load in the 

weighing cycle; 

(C) The total weight of fish in each 

landing, or portion of the landing that 

was weighed on that scale; 

(D) The date the information is 

printed; and 

(E) The name and vessel registration 

or documentation number of the vessel 

making the delivery. The scale operator 

may write this information on the scale 

printout in ink at the time of printing. 

(4) Inseason scale testing. IFQ first 

receivers must allow, and provide 

reasonable assistance to NMFS staff, 

NMFS-authorized personnel, and 

authorized officers to test scales used to 

weigh IFQ catch. A scale that does not 

pass an inseason test may not be used 

to weigh IFQ catch until the scale passes 

an inseason test or is approved for 

continued use by the weights and 

measures authorities of the State in 

which the scale is located. 

(i) Inseason testing criteria. To pass an 

inseason test, NMFS staff or authorized 

officers must be able to verify that: 

(A) The scale display and printed 

information are clear and easily read 

under all conditions of normal 

operation; 

(B) Weight values are visible on the 

display until the value is printed; 

(C) The scale does not exceed the 

maximum permissible errors specified 

in the following table: 

Test load in scale divisions 

Maximum error 

in scale 

divisions 

(1) 0–500 ............................ 1 

(2) 501–2,000 ..................... 2 

(3) 2,001–4,000 .................. 3 

(4) >4,000 ........................... 4 

(D) Automatic weighing systems. An 

automatic weighing system must be 

provided and operational that will 

prevent fish from passing over the scale 

or entering any weighing hopper unless 

the following criteria are met: 

(1) No catch may enter or leave a 

weighing hopper until the weighing 

cycle is complete; 

(2) No product may be cycled and 

weighed if the weight recording element 

is not operational; and 

(3) No product may enter a weighing 

hopper until the prior weighing cycle 

has been completed and the scale 

indicator has returned to a zero. 

(ii) [Reserved] 

(d) Electronic fish tickets. IFQ first 

receivers using the electronic fish ticket 

software provided by Pacific States 

Marine Fisheries Commission are 

required to meet the hardware and 

software requirements below. Those IFQ 

first receivers who have NMFSapproved software compatible with the 

standards specified by Pacific States 

Marine Fisheries Commission for 

electronic fish tickets are not subject to 

any specific hardware or software 

requirements. 

(1) Hardware and software 

requirements. (i) A personal computer 

with Pentium 75-MHz or higher. 

Random Access Memory (RAM) must 

have sufficient megabyte (MB) space to 

run the operating system, plus an 

additional 8 MB for the software 

application and available hard disk 

space of 217 MB or greater. A CD–ROM 

drive with a Video Graphics Adapter 

(VGA) or higher resolution monitor 

(super VGA is recommended). 

(ii) Microsoft Windows 2000 (64 MB 

or greater RAM required), Windows XP 

(128 MB or greater RAM required), or 

later operating system. 

(iii) Microsoft Access 2003 or newer. 

(2) NMFS approved software 

standards and Internet access. The IFQ 

first receiver is responsible for 

obtaining, installing, and updating 

electronic fish tickets software either 

provided by Pacific States Marine 

Fisheries Commission, or compatible 

with the data export specifications 

specified by Pacific States Marine 

Fisheries Commission and for 

maintaining Internet access sufficient to 

transmit data files via e-mail. Requests 

for data export specifications can be 

submitted to: Attn: Electronic Fish 

Ticket Monitoring, National Marine 

Fisheries Service, Northwest Region, 

Sustainable Fisheries Division, 7600 

Sand Point Way NE., Seattle, WA 98115. 

(3) Maintenance. The IFQ first 

receiver is responsible for ensuring that 

all hardware and software required 

under this subsection are fully 

operational and functional whenever 

they receive, purchase, or take custody, 

control, or possession of an IFQ landing. 

(4) Improving data quality. Vessel 

owners and operators, IFQ first 

receivers, or shoreside processor 

owners, or managers may contact NMFS 

in writing to request assistance in 

improving data quality and resolving 

issues. Requests may be submitted to: 

Attn: Electronic Fish Ticket Monitoring, 

National Marine Fisheries Service, 

Northwest Region, Sustainable Fisheries 

Division, 7600 Sand Point Way NE., 

Seattle, WA 98115. 

7. Section 660.16 is revised to read as 

follows: 

§ 660.16 Groundfish observer program. 

(a) General. Vessel owners, operators, 

and managers are jointly and severally 

responsible for their vessel’s compliance 

with observer requirements specified in 

this section and within §§ 660.140, 

660.150, 660.160, subpart D; § 660.216, 

subpart E; § 660.316, subpart F; or 

subpart G. 

(b) Purpose. The purpose of the 

Groundfish Observer Program is to 

collect fisheries data necessary and 

appropriate for, among other relevant 

purposes, management, compliance 

monitoring, and research in the 

groundfish fisheries and for the 

conservation of living marine resources. 

(c) Observer coverage requirements. 

The following table provides references 

to the paragraphs in the Pacific coast 

groundfish subparts that contain fishery 

specific requirements. Observer 

coverage required for the Shorebased 

IFQ Program, MS Coop Program, or 

C/P Coop Program shall not be used to 

comply with observer coverage 

requirements for any other Pacific coast 

groundfish fishery in which that vessel 

may also participate. 

West coast groundfish fishery Regulation section 

(1) Shorebased IFQ Program—Trawl Fishery ................................................................................................................. § 660.140, subpart D. 

(2) MS Coop Program—Whiting At-sea Trawl Fishery .................................................................................................... § 660.150, subpart D. 


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West coast groundfish fishery Regulation section 

(3) C/P Coop Program—Whiting At-sea Trawl Fishery ................................................................................................... § 660.160, subpart D. 

(4) Fixed Gear Fisheries .................................................................................................................................................. § 660.216, subpart E. 

(5) Open Access Fisheries ............................................................................................................................................... § 660.316, subpart F. 

8. Section 660.17 is added to read as 

follows: 

§ 660.17 Catch monitors and catch 

monitor providers. 

(a) Catch monitor certification. Catch 

monitor certification authorizes an 

individual to fulfill duties as specified 

by NMFS while under the employ of a 

certified catch monitor provider. 

(b) Catch monitor certification 

requirements. NMFS may certify 

individuals who: 

(1) Are employed by a certified catch 

monitor provider at the time of the 

issuance of the certification and 

qualified, as described at paragraph 

(e)(1)(i) through (viii) of this section and 

have provided proof of qualifications to 

NMFS, through the certified catch 

monitor provider. 

(2) Have successfully completed 

NMFS-approved training. 

(i) Successful completion of training 

by an applicant consists of meeting all 

attendance and conduct standards 

issued in writing at the start of training; 

meeting all performance standards 

issued in writing at the start of training 

for assignments, tests, and other 

evaluation tools; and completing all 

other training requirements established 

by NMFS. 

(ii) If a candidate fails training, he or 

she will be notified in writing on or 

before the last day of training. The 

notification will indicate: The reasons 

the candidate failed the training; 

whether the candidate can retake the 

training, and under what conditions. 

(3) Have not been decertified as an 

observer or catch monitor under 

provisions in §§ 660.18, 660.140(h)(6), 

660.150(g)(6), and 660.160(g)(6). 

(4) Existing catch monitors as of 2010. 

A catch monitor who has completed 

sampling or monitoring activities in 

2010 in NMFS-managed West Coast 

groundfish fisheries, and has not had 

his or her certification revoked during 

or after that time, will be considered to 

have met his or her certification 

requirements under this section. These 

catch monitors will be issued a new 

catch monitor certification prior to their 

first deployment to a first receiver after 

December 31, 2010, unless NMFS 

determines that he or she has not 

completed any additional training 

required for this program. 

(c) Catch monitor standards of 

behavior. Catch monitors must do the 

following: 

(1) Perform authorized duties as 

described in training and instructional 

manuals or other written and oral 

instructions provided by NMFS. 

(2) Accurately record and submit the 

required data, which includes fish 

species composition, identification, 

sorting, and weighing information. 

(3) Write complete reports, and report 

accurately any observations of 

suspected violations of regulations. 

(4) Keep confidential and not disclose 

data and observations collected at the 

processing facility to any person except, 

NMFS staff or authorized officers or 

others as specifically authorized by 

NMFS. 

(d) Catch monitor provider 

certification. Persons seeking to provide 

catch monitor services under this 

section must obtain a catch monitor 

provider certification from NMFS. 

(1) Applications. Persons seeking to 

provide catch monitor services must 

submit a completed application by mail 

to the NMFS Northwest Region, Permits 

Office, Attn: Catch Monitor Coordinator, 

7600 Sand Point Way NE., Seattle, WA 

98115. An application for a catch 

monitor provider permit shall consist of 

a narrative that contains the following: 

(i) Identification of the management, 

organizational structure, and ownership 

structure of the applicant’s business, 

including identification by name and 

general function of all controlling 

management interests in the company, 

including but not limited to owners, 

board members, officers, authorized 

agents, and staff. If the applicant is a 

corporation, the articles of incorporation 

must be provided. If the applicant is a 

partnership, the partnership agreement 

must be provided. 

(ii) Contact information. (A) The 

owner’s permanent mailing address, 

telephone, and fax numbers. 

(B) The business mailing address, 

including the physical location, e-mail 

address, telephone and fax numbers. 

(C) Any authorized agent’s mailing 

address, physical location, e-mail 

address, telephone and fax numbers. An 

authorized agent means a person 

appointed and maintained within the 

United States who is authorized to 

receive and respond to any legal process 

issued in the United States to an owner 

or employee of a catch monitor 

provider. 

(iii) Prior experience. A statement 

identifying prior relevant experience in 

recruiting, hiring, deploying, and 

providing support for individuals in 

marine work environments in the 

groundfish fishery or other fisheries of 

similar scale. 

(iv) Ability to perform or carry out 

responsibilities of a catch monitor 

provider. A description of the 

applicant’s ability to carry out the 

responsibilities of a catch monitor 

provider is set out under paragraph (e) 

of this section. 

(v) A statement describing any 

criminal convictions of each owner and 

board member, officer, authorized agent, 

and staff; a list of Federal contracts held 

and related performance ratings; and, a 

description of any previous 

decertification actions that may have 

been taken while working as an observer 

or observer provider. 

(vi) A statement describing each 

owner and board member, officer, 

authorized agent, and staff indicating 

that they are free from conflict of 

interest as described under § 660.18(d). 

(2) Application review. (i) The 

certification official, described in 

§ 660.18(a), may issue catch monitor 

provider certifications upon 

determination that the application 

submitted by the candidate meets all 

requirements specified in paragraph 

(d)(2)(ii) of this section. 

(ii) Issuance of the certification will, 

at a minimum, be based on the 

completeness of the application, as well 

as the following criteria: 

(A) The applicant’s ability to carry out 

the responsibilities and relevant 

experience; 

(B) Satisfactory performance ratings 

on any Federal contracts held by the 

applicant. 

(C) Absence of a conflict of interest. 

(D) Absence of relevant criminal 

convictions. 

(3) Agency determination. The 

certification official will make a 

determination to approve or deny the 

application and notify the applicant by 

letter via certified return receipt mail, 

within 60 days of receipt of the 

application. Additional certification 

procedures are specified in § 660.18, 

subpart C. 

(4) Existing catch monitor providers 

as of 2010. NMFS-certified providers 


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who deployed catch monitors in a 

NMFS-managed West Coast groundfish 

fishery or observers under the North 

Pacific Groundfish Program in 2010, are 

exempt from the requirement to apply 

for a permit for 2011 and will be issued 

a catch monitor provider permit 

effective through December 31, 2011, 

except that a change in ownership of an 

existing catch monitor provider or 

observer provider after January 1, 2011, 

requires a new permit application under 

this section. To receive catch monitor 

certification for 2012 and beyond, these 

exempted catch monitor providers must 

follow application procedures otherwise 

set forth in this section. 

(e) Catch monitor provider 

responsibilities. (1) Provide qualified 

candidates to serve as catch monitors. 

To be qualified a candidate must: 

(i) Be a U.S. citizen or have 

authorization to work in the United 

States; 

(ii) Be at least 18 years of age; 

(iii) Have a high school diploma and; 

(A) At least two years of study from 

an accredited college with a major study 

in natural resource management, natural 

sciences, earth sciences, natural 

resource anthropology, law 

enforcement/police science, criminal 

justice, public administration, 

behavioral sciences, environmental 

sociology, or other closely related 

subjects pertinent to the management 

and protection of natural resources, or; 

(B) One year of specialized experience 

performing duties which involved 

communicating effectively and 

obtaining cooperation, identifying and 

reporting problems or apparent 

violations of regulations concerning the 

use of protected or public land areas, 

and carrying out policies and 

procedures within a recreational area or 

natural resource site. 

(iv) Computer skills that enable the 

candidate to work competently with 

standard database software and 

computer hardware. 

(v) Have a current and valid driver’s 

license. 

(vi) Have had a background 

investigation and been found to have 

had no criminal or civil convictions that 

would affect their performance or 

credibility as a catch monitor. 

(vii) Have had health and physical 

fitness exams and been found to be fit 

for the job duties and work conditions; 

(A) Physical fitness exams shall be 

conducted by a medical doctor who has 

been provided with a description of the 

job duties and work conditions and who 

provides a written conclusion regarding 

the candidate’s fitness relative to the 

required duties and work conditions; 

and 

(B) Physical exams may include 

testing for illegal drugs; 

(viii) Have signed a statement 

indicating that they are free from 

conflict of interest as described under 

§ 660.18(c); and 

(ix) Priority shall be given to qualified 

candidates who have and show proof of 

their knowledge of West Coast marine 

fish species, ability to effectively 

communicate in writing and orally, and 

have technical expertise in weights and 

measures. 

(2) Standards. Provide to the 

candidate a copy of the standards of 

conduct, responsibilities, conflict of 

interest standards and drug and alcohol 

policy. 

(3) Contract. Provide to the candidate 

a copy of a written contract signed by 

the catch monitor and catch monitor 

provider that shows among other factors 

the following provisions for 

employment: 

(i) Compliance with the standards of 

conduct, responsibilities, conflict of 

interest standards and drug and alcohol 

policy; 

(ii) Willingness to complete all 

responsibilities of current deployment 

prior to performing jobs or duties which 

are not part of the catch monitor 

responsibilities. 

(iii) Commitment to return all 

sampling or safety equipment issued for 

the deployment. 

(4) Catch monitors provided to a first 

receiver. 

(i) Must have a valid catch monitor 

certification; 

(ii) Must not have informed the 

provider prior to the time of assignment 

that he or she is experiencing a mental 

illness or a physical ailment or injury 

developed since submission of the 

physician’s statement, as required in 

paragraph (e)(1)(vii)(A) of this section 

that would prevent him or her from 

performing his or her assigned duties; 

and 

(iii) Must have successfully 

completed all NMFS required training 

and briefing before assignment. 

(5) Respond to industry requests for 

catch monitors. A catch monitor 

provider must provide a catch monitor 

for assignment pursuant to the terms of 

the contractual relationship with the 

first receiver to fulfill first receiver 

requirements for catch monitor coverage 

under paragraph (e)(10)(i)(C)(1)(ii) of 

this section. An alternate catch monitor 

must be supplied in each case where 

injury or illness prevents the catch 

monitor from performing his or her 

duties or where the catch monitor 

resigns prior to completion of his or her 

duties. If the catch monitor provider is 

unable to respond to an industry request 

for catch monitor coverage from a first 

receiver for whom the provider is in a 

contractual relationship due to the lack 

of available catch monitors, the provider 

must report it to NMFS at least 4 hours 

prior to the expected assignment time. 

(6) Ensure that catch monitors 

complete duties in a timely manner. 

Catch monitor providers must ensure 

that catch monitors employed by that 

provider do the following in a complete 

and timely manner: 

(i) Submit to NMFS all data, logbooks 

and reports as required under the catch 

monitor program deadlines. 

(ii) Report for his or her scheduled 

debriefing and complete all debriefing 

responsibilities. 

(7) Provide catch monitor salaries and 

benefits. A catch monitor provider must 

provide to its catch monitor employees 

salaries and any other benefits and 

personnel services in accordance with 

the terms of each catch monitor’s 

contract. 

(8) Provide catch monitor assignment 

logistics. 

(i) A catch monitor provider must 

ensure each of its catch monitors under 

contract: 

(A) Has an individually assigned 

mobile or cell phones, in working order, 

for all necessary communication. A 

catch monitor provider may 

alternatively compensate catch monitors 

for the use of the catch monitor’s 

personal cell phone or pager for 

communications made in support of, or 

necessary for, the catch monitor’s 

duties. 

(B) Has Internet access for catch 

monitor program communications and 

data submission. 

(C) Remains available to NOAA Office 

for Law Enforcement and the catch 

monitor program until the completion of 

the catch monitors’ debriefing. 

(D) Receives all necessary 

transportation, including arrangements 

and logistics, of catch monitors to the 

location of assignment, to all subsequent 

assignments during that assignment, 

and to the debriefing location when an 

assignment ends for any reason; and 

(E) Receives lodging, per diem, and 

any other services necessary to catch 

monitors assigned to first receivers, as 

specified in the contract between the 

catch monitor and catch monitor 

provider. 

(F) While under contract with a 

permitted catch monitor provider, catch 

monitor shall be provided with 

accommodations in accordance with the 

contract between the catch monitor and 

the catch monitor provider. If the catch 

monitor provider is responsible for 

providing accommodations under the 

contract with the catch monitor, the 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
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accommodations must be at a licensed 

hotel, motel, bed and breakfast, or other 

accommodations that has an assigned 

bed for each catch monitor that no other 

person may be assigned to for the 

duration of that catch monitor’s stay. 

(ii) [Reserved] 

(9) Catch monitor assignment 

limitations and workload. 

(i) Not assign a catch monitor to the 

same first receiver for more than 90 

calendar days in a 12-month period, 

unless otherwise authorized by NMFS. 

(ii) Not exceed catch monitor 

assignment limitations and workload as 

outlined in § 660.140(i)(3)(ii), subpart D. 

(10) Maintain communications with 

catch monitors. A catch monitor 

provider must have an employee 

responsible for catch monitor activities 

on call 24 hours a day to handle 

emergencies involving catch monitors or 

problems concerning catch monitor 

logistics, whenever catch monitors are 

assigned, or in transit, or awaiting first 

receiver reassignment. 

(11) Maintain communications with 

the catch monitor program office. A 

catch monitor provider must provide all 

of the following information by 

electronic transmission (e-mail), fax, or 

other method specified by NMFS. 

(i) Catch monitor training, briefing, 

and debriefing registration materials. 

This information must be submitted to 

the catch monitor program at least 7 

business days prior to the beginning of 

a scheduled catch monitor certification 

training or briefing session. 

(A) Training registration materials 

consist of the following: 

(1) Date of requested training; 

(2) A list of catch monitor candidates 

that includes each candidate’s full name 

(i.e., first, middle and last names), date 

of birth, and gender; 

(3) A copy of each candidate’s 

academic transcripts and resume; 

(4) A statement signed by the 

candidate under penalty of perjury 

which discloses the candidate’s 

criminal convictions; 

(5) Projected candidate assignments. 

Prior to the completion of the training 

session, the catch monitor provider 

must submit to the catch monitor 

program a statement of projected catch 

monitor assignments that includes each 

catch monitor’s name and length of 

catch monitor’s contract. 

(B) Briefing registration materials 

consist of the following: 

(1) Date and type of requested briefing 

session; 

(2) List of catch monitors to attend the 

briefing session, that includes each 

catch monitor’s full name (first, middle, 

and last names); 

(3) Projected catch monitor 

assignments. Prior to the catch 

monitor’s completion of the briefing 

session, the catch monitor provider 

must submit to the catch monitor 

program a statement of projected catch 

monitor assignments that includes each 

catch monitor’s name and length of 

observer contract. 

(C) Debriefing. The catch monitor 

program will notify the catch monitor 

provider which catch monitors require 

debriefing and the specific time period 

the provider has to schedule a date, 

time, and location for debriefing. The 

catch monitor provider must contact the 

catch monitor program within 5 

business days by telephone to schedule 

debriefings. 

(1) Catch monitor providers must 

immediately notify the catch monitor 

program when catch monitors end their 

contract earlier than anticipated. 

(2) [Reserved] 

(ii) Catch monitor provider contracts. 

If requested, catch monitor providers 

must submit to the catch monitor 

program a completed and unaltered 

copy of each type of signed and valid 

contract (including all attachments, 

appendices, addendums, and exhibits 

incorporated into the contract) between 

the catch monitor provider and those 

entities requiring catch monitor services 

under § 660.140(i)(1), subpart D. Catch 

monitor providers must also submit to 

the catch monitor program upon 

request, a completed and unaltered copy 

of the current or most recent signed and 

valid contract (including all 

attachments, appendices, addendums, 

and exhibits incorporated into the 

contract and any agreements or policies 

with regard to catch monitor 

compensation or salary levels) between 

the catch monitor provider and the 

particular entity identified by the catch 

monitor program or with specific catch 

monitors. The copies must be submitted 

to the catch monitor program via e-mail, 

fax, or mail within 5 business days of 

the request. Signed and valid contracts 

include the contracts a catch monitor 

provider has with: 

(A) First receivers required to have 

catch monitor coverage as specified at 

paragraph § 660.140(i)(1), subpart D; 

and 

(B) Catch monitors. 

(iii) Change in catch monitor provider 

management and contact information. 

A catch monitor provider must submit 

to the catch monitor program any 

change of management or contact 

information submitted on the provider’s 

permit application under paragraph 

(d)(1) of this section within 30 days of 

the effective date of such change. 

(iv) Catch monitor status report. Each 

Tuesday, catch monitor providers must 

provide NMFS with an updated list of 

contact information for all catch 

monitors that includes the catch 

monitor’s name, mailing address, e-mail 

address, phone numbers, first receiver 

assignment for the previous week and 

whether or not the catch monitor is ‘‘in 

service’’, indicating when the catch 

monitor has requested leave and/or is 

not currently working for the provider. 

(v) Informational materials. Providers 

must submit to NMFS, if requested, 

copies of any information developed 

and used by the catch monitor providers 

and distributed to first receivers, 

including, but not limited to, 

informational pamphlets, payment 

notification, and description of catch 

monitor duties. 

(vi) Other reports. Reports of the 

following must be submitted in writing 

to the catch monitor program by the 

catch monitor provider via fax or e-mail 

address designated by the catch monitor 

program within 24 hours after the catch 

monitor provider becomes aware of the 

information: 

(A) Any information regarding 

possible catch monitor harassment; 

(B) Any information regarding any 

action prohibited under § 660.12(f); 

(C) Any catch monitor illness or 

injury that prevents the catch monitor 

from completing any of his or her duties 

described in the catch monitor manual; 

and 

(D) Any information, allegations or 

reports regarding catch monitor conflict 

of interest or breach of the standards of 

behavior described in catch monitor 

provider policy. 

(12) Replace lost or damaged gear. A 

catch monitor provider must replace all 

lost or damaged gear and equipment 

issued by NMFS to a catch monitor 

under contract to that provider. 

(13) Confidentiality of information. A 

catch monitor provider must ensure that 

all records on individual catch monitor 

performance received from NMFS under 

the routine use provision of the Privacy 

Act or as otherwise required by law 

remain confidential and are not further 

released to anyone outside the employ 

of the catch monitor provider company 

to whom the catch monitor was 

contracted except with written 

permission of the catch monitor. 

9. Section 660.18 is revised to read as 

follows: 

§ 660.18 Certification and decertification 

procedures for catch monitors and catch 

monitor providers. 

(a) Certification official. The Regional 

Administrator (or a designee) will 

designate a NMFS catch monitor 

certification official who will make 

decisions on whether to issue or deny 

catch monitor or catch monitor provider 


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certification pursuant to the regulations 

at §§ 660.17 and 660.18, subpart C. 

(b) Agency determinations on 

certifications. (1) Issuance of 

certifications—Certification may be 

issued upon determination by the 

certification official that the candidate 

has successfully met all requirements 

for certification as specified in: 

(i) § 660.17(b) for catch monitors; and 

(ii) § 660.17(d) for catch monitor 

providers. 

(2) Denial of a certification. The 

NMFS certification official will issue a 

written determination identifying the 

reasons for denial of a certification. 

[Alternative 1 for paragraph (c) 

(Council-deemed)] 

(c) Limitations on conflict of interest 

for catch monitors. (1) Catch monitors 

must not have a direct financial interest 

in the first receivers at which they serve 

as catch monitors or vessels that deliver 

to those first receivers, other than the 

provision of observer or catch monitor 

services. 

(2) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS or has interests that may be 

substantially affected by the 

performance or nonperformance of the 

catch monitor’s official duties. 

(3) May not serve as a catch monitor 

at any shoreside or floating stationary 

processing facility owned or operated 

where a person was previously 

employed in the last two years. 

(4) May not solicit or accept 

employment as a crew member or an 

employee of a vessel, or shoreside 

processor while employed by a catch 

monitor provider. 

(5) Provisions for remuneration of 

catch monitors under this section do not 

constitute a conflict of interest. 

[Alternative 2 for paragraph (c) (NMFSproposed)] 

(c) Limitations on conflict of interest 

for catch monitors. (1) Catch monitors 

must not have a direct financial interest, 

other than the provision of observer or 

catch monitor services, in a North 

Pacific fishery managed pursuant to an 

FMP for the waters off the coast of 

Alaska, Alaska State waters, or in a 

Pacific Coast fishery managed by either 

the State or Federal governments in 

waters off Washington, Oregon, or 

California, including but not limited to: 

(i) Any ownership, mortgage holder, 

or other secured interest in a vessel, 

shore-based or floating stationary 

processor facility involved in the 

catching, taking, harvesting or 

processing of fish, 

(ii) Any business involved with 

selling supplies or services to any 

vessel, shore-based or floating stationary 

processing facility; or 

(iii) Any business involved with 

purchasing raw or processed products 

from any vessel, shore-based or floating 

stationary processing facilities. 

(2) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS or has interests that may be 

substantially affected by the 

performance or nonperformance of the 

catch monitor’s official duties. 

(3) May not serve as a catch monitor 

at any shoreside or floating stationary 

processing facility owned or operated 

where a person was previously 

employed in the last two years. 

(4) May not solicit or accept 

employment as a crew member or an 

employee of a vessel, or shoreside 

processor while employed by a catch 

monitor provider. 

(5) Provisions for remuneration of 

catch monitors under this section do not 

constitute a conflict of interest. 

(d) Limitations on conflict of interest 

for catch monitor providers. Catch 

monitor providers must not have a 

direct financial interest, other than the 

provision of observer or catch monitor 

services, in a North Pacific fishery 

managed pursuant to an FMP for the 

waters off the coast of Alaska, Alaska 

State waters, or in a Pacific Coast fishery 

managed by either the State or Federal 

governments in waters off Washington, 

Oregon, or California, including but not 

limited to: 

(1) Any ownership, mortgage holder, 

or other secured interest in a vessel, 

shore-based or floating stationary 

processor facility involved in the 

catching, taking, harvesting or 

processing of fish, 

(2) Any business involved with 

selling supplies or services to any 

vessel, shore-based or floating stationary 

processing facility; or 

(3) Any business involved with 

purchasing raw or processed products 

from any vessel, shore-based or floating 

stationary processing facilities. 

(e) Decertification. (1) Decertification 

review official—The Regional 

Administrator (or a designee) will 

designate a decertification review 

official(s), who will have the authority 

to review certifications and issue IADs 

of decertification. 

(2) Causes for decertification. The 

decertification official may initiate 

decertification proceedings when it is 

alleged that any of the following acts or 

omissions have been committed: 

(i) Failed to satisfactorily perform the 

specified duties and responsibilities; 

(ii) Failed to abide by the specified 

standards of conduct; 

(iii) Upon conviction of a crime or 

upon entry of a civil judgment for: 

(A) Commission of fraud or other 

violation in connection with obtaining 

or attempting to obtain certification, or 

in performing the duties and 

responsibilities specified in this section; 

(B) Commission of embezzlement, 

theft, forgery, bribery, falsification or 

destruction of records, making false 

statements, or receiving stolen property; 

(C) Commission of any other offense 

indicating a lack of integrity or honesty 

that seriously and directly affects the 

fitness of catch monitors. 

(3) Issuance of IAD. Upon 

determination that decertification is 

warranted under § 660.17(c) or (e), the 

decertification official will issue a 

written IAD. The IAD will identify the 

specific reasons for the action taken. 

Decertification is effective 30 days after 

the date of issuance, unless there is an 

appeal. 

(4) Appeals. Pursuant to § 679.43, a 

catch monitor who receives an IAD that 

revokes certification may appeal within 

30 days of the determination revoking 

the certification. 

10. In § 660.25, paragraphs (b)(1)(i)(A) 

and (B) are removed; paragraph 

(b)(4)(i)(F) is added; paragraphs 

(b)(4)(iv)(A), (b)(4)(v)(A), (b)(4)(v)(C), 

(b)(4)(vi)(C), and (e) are revised to read 

as follows: 

§ 660.25 Permits. 

* * * * * 

(b) * * * 

(4) * * * 

(i) * * * 

(F) A limited entry permit will not be 

renewed until a complete economic data 

collection form is submitted as required 

under § 660.113(b), (c) and (d), subpart 

D. The permit renewal will be marked 

incomplete until the required 

information is submitted. 

* * * * * 

(iv) Changes in permit ownership and 

permit holder—(A) General. The permit 

owner may convey the limited entry 

permit to a different person. The new 

permit owner will not be authorized to 

use the permit until the change in 

permit ownership has been registered 

with and approved by the SFD. The SFD 

will not approve a change in permit 

ownership for a limited entry permit 

with a sablefish endorsement that does 

not meet the ownership requirements 

for such permit described at paragraph 

(b)(3)(iv)(C) of this section. The SFD 


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will not approve a change in permit 

ownership for a limited entry permit 

with a MS/CV endorsement or an MS 

permit that does not meet the ownership 

requirements for such permit described 

at § 660.150(g)(3), subpart D, and 

§ 660.150(f)(3), subpart D, respectively. 

Change in permit owner and/or permit 

holder applications must be submitted 

to SFD with the appropriate 

documentation described at paragraph 

(b)(4)(vii) of this section. During the 

initial issuance application period for 

the trawl rationalization program, 

NMFS will not review or approve any 

request for a change in limited entry 

trawl permit owner at any time during 

the application period as specified at 

§ 660.140(d)(8)(viii) for QS applicants, 

at § 660.150(g)(6)(vii) for MS/CV 

endorsement applicants, and at 

§ 660.160(d)(7)(vii) for C/P endorsement 

applicants. 

* * * * * 

(v) Changes in vessel registrationtransfer of limited entry permits and 

gear endorsements—(A) General. A 

permit may not be used with any vessel 

other than the vessel registered to that 

permit. For purposes of this section, a 

permit transfer occurs when, through 

SFD, a permit owner registers a limited 

entry permit for use with a new vessel. 

Permit transfer applications must be 

submitted to SFD with the appropriate 

documentation described at paragraph 

(b)(4)(vii) of this section. Upon receipt 

of a complete application, and following 

review and approval of the application, 

the SFD will reissue the permit 

registered to the new vessel. 

Applications to transfer limited entry 

permits with sablefish endorsements 

will not be approved until SFD has 

received complete documentation of 

permit ownership as described at 

paragraph (b)(3)(iv)(C)(4) and as 

required under paragraph (b)(4)(vii) of 

this section. Applications to transfer 

limited entry permits with trawl 

endorsements or MS permits will not be 

approved until SFD has received 

complete EDC forms as required under 

§ 660.114, subpart D. 

* * * * * 

(C) Effective date. Changes in vessel 

registration on permits will take effect 

no sooner than the first day of the next 

major limited entry cumulative limit 

period following the date that SFD 

receives the signed permit transfer form 

and the original limited entry permit, 

except for MS permits and C/P endorsed 

permits will take effect immediately 

upon reissuance to the new vessel. No 

transfer is effective until the limited 

entry permit has been reissued as 

registered with the new vessel. 

* * * * * 

(vi) * * * 

(C) Limited entry MS permits and 

limited entry permits with a MS/CV or 

C/P endorsement. Limited entry MS 

permits and limited entry permits with 

a MS/CV or C/P endorsement may be 

registered to another vessel up to two 

times during the fishing season as long 

as the second transfer is back to the 

original vessel. The original vessel is 

either the vessel registered to the permit 

as of January 1, or if no vessel is 

registered to the permit as of January 1, 

the original vessel is the first vessel to 

which the permit is registered after 

January 1. After the original vessel has 

been established, the first transfer 

would be to another vessel, but any 

second transfer must be back to the 

original vessel. For a MS/CV endorsed 

permit on the second transfer back to 

the original vessel, that vessel must be 

used to fish exclusively in the MS Coop 

Program described § 660.150, and 

declare in to the limited entry midwater 

trawl, Pacific whiting mothership sector 

as specified at § 660.13(d)(5)(iv). 

* * * * * 

(e) Coop permit—(1) MS coop permit. 

A MS coop permit conveys a 

conditional privilege to an eligible coop 

entity to receive and manage a coop’s 

allocation of designated species and 

species groups. A MS coop permit is not 

a limited entry permit. The provisions 

for the MS coop permit, including 

eligibility, renewal, change of permit 

ownership, fees, and appeals are 

described in the MS Coop Program at 

§ 660.150, subpart D. 

(2) C/P coop permit. A C/P coop 

permit conveys a conditional privilege 

to an eligible coop entity to receive and 

manage a coop’s allocation of 

designated species and species groups. 

A C/P coop permit is not a limited entry 

permit. The provisions for the C/P coop 

permit, including eligibility, renewal, 

change of permit ownership, fees, and 

appeals are described in the C/P Coop 

Program at § 660.160, subpart D. 

* * * * * 

§ 660.26 [Removed] 

11. Section 660.26 is removed. 

12. In § 660.55, paragraph (i)(2) is 

revised to read as follows: 

§ 660.55 Allocations. 

* * * * * 

(i) * * * 

(2) The commercial harvest guideline 

for Pacific whiting is allocated among 

three sectors, as follows: 34 percent for 

the C/P Coop Program; 24 percent for 

the MS Coop Program; and 42 percent 

for the Shorebased IFQ Program. No 

more than 5 percent of the Shorebased 

IFQ Program allocation may be taken 

and retained south of 42° N. lat. before 

the start of the primary Pacific whiting 

season north of 42° N. lat. Specific 

sector allocations for a given calendar 

year are found in Tables 1a and 2a of 

this subpart. Set asides for other species 

for the at-sea whiting fishery for a given 

calendar year are found in Tables 1d 

and 2d of this subpart. 

* * * * * 

13. In § 660.60, paragraph (d)(1), 

paragraph (h)(2), and paragraph 

(h)(5)(ii), (h)(5)(iii), and (h)(5)(iv) are 

revised; and paragraphs (h)(5)(v) 

through (xii) are added to read as 

follows: 

§ 660.60 Specifications and management 

measures. 

* * * * * 

(d) * * * 

(1) Automatic actions are used in the 

Pacific whiting fishery to: 

(i) Close an at-sea sector of the fishery 

when that sector’s Pacific whiting 

allocation is reached, or is projected to 

be reached; 

(ii) Close all at-sea sectors or a single 

sector of the fishery when a non-whiting 

groundfish species with allocations is 

reached or projected to be reached; 

(iii) Reapportion unused allocations 

of non-whiting groundfish species from 

one at-sea sector of the Pacific whiting 

fishery to another. 

(iv) Implement the Ocean Salmon 

Conservation Zone, described at 

§ 660.131(c)(3), subpart D, when NMFS 

projects the Pacific whiting fishery may 

take in excess of 11,000 Chinook within 

a calendar year. 

(v) Implement Pacific Whiting 

Bycatch Reduction Areas, described at 

§ 660.131(c)(4) Subpart D, when NMFS 

projects a sector-specific bycatch limit 

will be reached before the sector’s 

whiting allocation. 

* * * * * 

(h) * * * 

(2) Landing. As stated at § 660.11, 

subpart C (in the definition of 

‘‘Landing’’), once the offloading of any 

species begins, all fish aboard the vessel 

are counted as part of the landing and 

must be reported as such. Transfer of 

fish at sea is prohibited under § 660.12, 

subpart C, unless a vessel is 

participating in the primary whiting 

fishery as part of the mothership or 

catcher/processor sectors, as described 

at § 660.131(a), subpart D. Catcher 

vessels in the mothership sector must 

transfer all catch from a haul to the 

same vessel registered to a MS permit 

prior to the gear being set for a 


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subsequent haul. Catch may not be 

transferred to a tender vessel. 

* * * * * 

(5) * * * 

(ii) Weight limits and conversions. To 

determine the round weight, multiply 

the processed weight times the 

conversion factor. For participants in 

the Shorebased IFQ Program landing 

sorted catch, the weight conversions are 

provided below for purposes of 

applying QP. For participants in the 

limited entry fixed gear or open access 

fisheries, the weight limit conversion 

factor established by the State where the 

fish is or will be landed will be used to 

convert the processed weight to round 

weight for purposes of applying the trip 

limit or other allocation. Weight 

conversions provided herein are those 

conversions currently in use by the 

States of Washington, Oregon, and 

California and may be subject to change 

by those States. Fishery participants 

should contact fishery enforcement 

officials in the State where the fish will 

be landed to determine that State’s 

official conversion factor. 

(iii) Sablefish. The following 

conversions apply: 

(A) The following conversion applies 

to both the limited entry fixed gear and 

open access fisheries: For headed and 

gutted (eviscerated) sablefish the weight 

conversion factor is 1.6. 

(B) The following conversion applies 

to vessels landing sorted catch in the 

Shorebased IFQ Program: For headed 

and gutted (eviscerated) sablefish the 

weight conversion factor is 1.47. 

(iv) Lingcod. The following 

conversions apply: 

(A) North of 42° N. lat., for lingcod 

with the head removed, the minimum 

size limit is 18 inches (46 cm), which 

corresponds to 22 inches (56 cm) total 

length for whole fish. 

(B) South of 42° N. lat., for lingcod 

with the head removed, the minimum 

size limit is 19.5 inches (49.5 cm), 

which corresponds to 24 inches (61 cm) 

total length for whole fish. 

(C) The following conversions apply 

in both limited entry fixed gear and 

open access fisheries: For headed and 

gutted (eviscerated) lingcod, the weight 

conversion factor is 1.5; for lingcod that 

has only been gutted with the head on, 

the weight conversion factor is 1.1. 

(D) The following conversions apply 

to vessels landing sorted catch in the 

Shorebased IFQ Program: For headed 

and gutted (eviscerated), the weight 

conversion factor is 1.43; for lingcod 

that has only been gutted with the head 

on, the weight conversion factor is 1.1. 

(v) Pacific whiting. The following 

conversion applies to vessels landing 

sorted catch in the Shorebased IFQ 

Program: For headed and gutted Pacific 

whiting (head removed just in front of 

the collar bone and viscera removed), 

the weight conversion factor is 1.67; for 

headed and gutted Pacific whiting with 

the tail removed the weight conversion 

factor is 2.0. 

(vi) Rockfish (including thornyheads), 

except POP. The following conversions 

apply to vessels landing sorted catch in 

the Shorebased IFQ Program: For 

headed and gutted (eviscerated), the 

weight conversion factor is 1.75; for 

headed and gutted, western cut (head 

removed just in front of the collar bone 

and viscera removed), the weight 

conversion factor is 1.66; for headed and 

gutted, eastern cut (head removed just 

in behind the collar bone and viscera 

removed,) the weight conversion factor 

is 2.0. 

(vii) Pacific ocean perch (POP). The 

following conversion applies to vessels 

landing sorted catch in the Shorebased 

IFQ Program: For headed and gutted 

(eviscerated), the weight conversion 

factor is 1.6. 

(viii) Pacific cod. The following 

conversion applies to vessels landing 

sorted catch in the Shorebased IFQ 

Program: For headed and gutted 

(eviscerated), the weight conversion 

factor is 1.58. 

(ix) Dover sole, English sole, and 

‘‘other flatfish’’. The following 

conversion applies to vessels landing 

sorted catch in the Shorebased IFQ 

Program: For headed and gutted 

(eviscerated), the weight conversion 

factor is 1.53. 

(x) Petrale sole. The following 

conversion applies to vessels landing 

sorted catch in the Shorebased IFQ 

Program: For headed and gutted 

(eviscerated), the weight conversion 

factor is 1.51. 

(xi) Arrowtooth flounder. The 

following conversion applies to vessels 

landing sorted catch in the Shorebased 

IFQ Program: For headed and gutted 

(eviscerated), the weight conversion 

factor is 1.35. 

(xii) Starry flounder. The following 

conversion applies to vessels landing 

sorted catch in the Shorebased IFQ 

Program: For headed and gutted 

(eviscerated), the weight conversion 

factor is 1.49. 

* * * * * 

14. Section 660.100 is revised to read 

as follows: 

§ 660.100 Purpose and scope. 

This subpart covers the Pacific coast 

groundfish limited entry trawl fishery. 

Under the trawl rationalization program, 

the limited entry trawl fishery consists 

of the Shorebased IFQ Program, the MS 

Coop Program, and the C/P Coop 

Program. Nothing in these regulations 

shall be construed to modify, impair, or 

supersede the operation of any of the 

antitrust laws. The trawl rationalization 

program creates limited access 

privileges. These limited access 

privileges, including the QS or IBQ, QP 

or IBQ pounds, and catch history 

assignments, may be revoked, limited or 

modified at any time in accordance with 

the MSA—and do not create any right 

of compensation to the holder of the 

limited access privilege if it is revoked, 

limited, or modified. The trawl 

rationalization program does not create 

any right, title, or interest in or to any 

fish before the fish is harvested by the 

holder and shall be considered a grant 

of permission to the holder of the 

limited access privilege to engage in 

activities permitted by the trawl 

rationalization program. 

15. In § 660.111, the following 

definitions are removed: ‘‘Pacific 

whiting shoreside first receivers’’, 

‘‘Pacific whiting shoreside or shorebased fishery’’, ‘‘Pacific whiting 

shoreside vessel,’’ and ‘‘Vessel limits’’; 

‘‘Pacific whiting IFQ fishery’’ is revised; 

and new definitions are added in 

alphabetical order for: ‘‘accumulation 

limits,’’ ‘‘charterer,’’ ‘‘complete economic 

data collection (EDC) form,’’ ‘‘IFQ trip’’, 

‘‘lessee,’’ and ‘‘Pacific whiting IFQ trip’’. 

§ 660.111 Trawl fishery—definitions. 

* * * * * 

Accumulation limits mean the 

maximum extent of permissible 

ownership, control or use of a privilege 

within the trawl rationalization 

program, and include the following: 

(1) Shorebased IFQ Program. (i) 

Control limits means the maximum 

amount of QS that a person may own or 

control, as described at § 660.140(d)(4). 

(ii) Vessel limits means the maximum 

amount of QP a vessel can hold, acquire, 

and/or use during a calendar year, and 

specify the maximum amount of QP that 

may be registered to a single vessel 

during the year (QP Vessel Limit) and, 

for some species, the maximum amount 

of unused QP registered to a vessel 

account at any one time (Unused QP 

Vessel Limit), as described at 

§ 660.140(e)(4). 

(2) MS Coop Program. (i) MS permit 

usage limit means the maximum 

amount of the annual mothership sector 

Pacific whiting allocation that a person 

may cumulatively process, no more than 

45 percent, as described at 

§ 660.150(f)(3)(i). 

(ii) MS/CV permit ownership limit 

means the maximum amount of catch 

history assignment that a person may 

own, no more than 20 percent of the MS 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
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sector’s allocation of Pacific whiting, as 

described at § 660.150(g)(3)(i). 

(iii) Catcher vessel usage limit means 

the maximum amount of the annual 

mothership sector Pacific whiting 

allocation that a vessel may catch, no 

more than 30 percent, as described at 

§ 660.150(g)(3)(ii). 

* * * * * 

Charterer means, for the purpose of 

economic data collection program, a 

person, other than the owner of the 

vessel, who: Entered in to any 

agreement or commitment by which the 

possession or services of the vessel are 

secured for a period of time for the 

purposes of commercially harvesting or 

processing fish. A long-term or 

exclusive contract for the sale of all or 

a portion of the vessel’s catch or 

processed products is not considered a 

charter. 

* * * * * 

Complete economic data collection 

(EDC) form means that a response is 

supplied for each question, subquestion, and answer-table cell. If 

particular question or sub-question is 

not applicable, ‘‘NA’’, must be entered in 

the appropriate space on the form. The 

form must also be signed and dated to 

certify that the information is true and 

complete to the best of the signatory’s 

knowledge. 

* * * * * 

IFQ trip means a trip in which the 

vessel has a valid fishing declaration for 

any of the following: Limited entry 

midwater trawl, non-whiting shorebased 

IFQ; Limited entry midwater trawl, 

Pacific whiting shorebased IFQ; Limited 

entry bottom trawl, shorebased IFQ, not 

including demersal trawl; Limited entry 

demersal trawl, shorebased IFQ; or 

Limited entry groundfish non-trawl, 

shorebased IFQ. 

* * * * * 

Lessee means, for the purpose of 

economic data collection program, a 

person, other than the owner of the 

vessel or facility, who: Was identified as 

the leaseholder, in a written lease, of the 

vessel or facility, or paid expenses of the 

vessel or facility, or claimed expenses 

for the vessel or facility as a business 

expense on a Federal income tax return, 

or on a State income tax return. 

* * * * * 

Pacific whiting IFQ fishery means the 

Shorebased IFQ Program fishery 

composed of vessels making Pacific 

whiting IFQ trips pursuant to the 

requirements at § 660.131 during the 

primary whiting season fishery dates for 

the Shorebased IFQ Program. 

Pacific whiting IFQ trip means a trip 

in which a vessel registered to a limited 

entry permit uses legal midwater 

groundfish trawl gear with a valid 

declaration for limited entry midwater 

trawl, Pacific whiting shorebased IFQ, 

as specified at § 660.13(d)(5)(iv)(A) 

during the dates that the Pacific whiting 

IFQ fishery primary season. 

* * * * * 

16. In § 660.112: 

a. Paragraph (f) is removed; 

b. Paragraph (a)(2) is added; 

c. Paragraph (a)(3)(iii) is added; 

d. Paragraph (a)(4) is redesignated as 

paragraph (a)(5), and a new paragraph 

(a)(4) is added; and 

e. Paragraphs (b) through (e) are 

added to read as follows: 

§ 660.112 Trawl fishery—prohibitions. 

* * * * * 

(a) * * * 

(2) Sorting. Fail to sort catch 

consistent with the requirements 

specified at § 660.130(d). 

* * * * * 

(3) * * * 

(iii) Failure to submit a complete EDC 

form to NMFS as required by § 660.113. 

* * * * * 

(4) Observers. (i) Fish (including 

processing, as defined at § 600.10 of this 

chapter) in the Shorebased IFQ Program, 

the MS Coop Program, or the C/P Coop 

Program if NMFS determines the vessel 

is unsafe for an observer. 

(ii) Fish in the Shorebased IFQ 

Program, the MS Coop Program, or the 

C/P Coop Program without observer 

coverage. 

* * * * * 

(b) Shorebased IFQ program—(1) 

General. (i) Own or control by any 

means whatsoever an amount of QS that 

exceeds the Shorebased IFQ Program 

accumulation limits. 

(ii) Fish in the Shorebased IFQ 

Program with a vessel that does not 

have a valid vessel account or that has 

a vessel account with a deficit (negative 

balance) for any species/species group. 

(iii) Have any IFQ species/species 

group catch (landings and discards) 

from an IFQ trip not covered by QP for 

greater than 30 days from the date the 

deficit (negative balance) from that trip 

is documented, unless the deficit is 

within the limits of the carryover 

provision specified at § 660.140(e)(5), 

subpart D, in which case the vessel has 

30 days after the QP for the following 

year are issued to eliminate the deficit. 

(iv) Transfer the limited entry trawl 

endorsed permit to another vessel or sell 

the limited entry trawl endorsed permit 

to another owner if the vessel registered 

to the permit has an overage (catch not 

covered by QP), until the overage is 

covered, regardless of the amount of the 

overage. 

(v) Use QP by vessels not registered to 

a limited entry trawl permit with a valid 

vessel account. 

(vi) Use QP in an area or for species/ 

species groups other than that for which 

it is designated. 

(vii) Fish in more than one IFQ 

management area, specified at 

§ 660.140(c)(2), on the same trip. 

(viii) Fish on a Pacific whiting IFQ 

trip with a gear other than legal 

midwater groundfish trawl gear. 

(ix) Fish on a Pacific whiting IFQ trip 

without a valid declaration for limited 

entry midwater trawl, Pacific whiting 

shorebased IFQ, as specified at 

§ 660.13(d)(5)(iv)(A), subpart C. 

(x) Use midwater trawl gear to fish for 

Pacific whiting within an RCA outside 

the Pacific whiting IFQ fishery primary 

season as specified at 

§ 660.131(b)(2)(iii). 

(xi) Bring a haul on board before all 

catch from the previous haul has been 

stowed. 

(xii) Process groundfish at-sea (‘‘at-sea 

processing’’) by vessels in the 

Shorebased IFQ Program regardless of 

the type of gear used, with the following 

exceptions: 

(A) A vessel that is 75-ft (23-m) or less 

LOA that harvests whiting and, in 

addition to heading and gutting, cuts the 

tail off and freezes the whiting, is not 

considered to be a catcher/processor nor 

is it considered to be processing fish, 

and 

(B) A vessel that has a sablefish at-sea 

processing exemption, defined at 

§ 660.25(b)(3)(iv)(D), subpart C may 

process sablefish at-sea. 

(xiii) Retain any IFQ species/species 

group onboard a vessel unless the vessel 

has observer coverage. A vessel may 

deliver IFQ species/species groups to 

more than one IFQ first receiver, but 

must maintain observer coverage until 

all IFQ species from the trip are 

offloaded. Once transfer of fish begins, 

all fish aboard the vessel are counted as 

part of the same landing as defined at 

§ 660.11. 

(xiv) Discard IFQ species/species 

group onboard a vessel unless observer 

has documented the amount and species 

of the discards. 

(2) IFQ first receivers. (i) Accept an 

IFQ landing without a valid first 

receiver site license. 

(ii) Fail to sort fish received from a 

IFQ landing prior to first weighing after 

offloading as specified at § 660.130(d)(2) 

for the Shorebased IFQ Program, except 

the vessels declared in to the limited 

entry midwater trawl, Pacific whiting 

shorebased IFQ at § 660.13(d)(5)(iv)(A), 

subpart C may weigh catch on a bulk 

scale before sorting as described at 

§ 660.140(j)(2). 


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(iii) Process, sell, or discard any 

groundfish received from an IFQ 

landing that has not been weighed on a 

scale that is in compliance with 

requirements at § 660.15, subpart C. 

(iv) Transport catch away from the 

point of landing before that catch has 

been sorted and weighed by Federal 

groundfish species or species group, and 

recorded for submission on an 

electronic fish ticket. (If fish will be 

transported to a different location for 

processing, all sorting and weighing to 

Federal groundfish species groups must 

occur before transporting the catch away 

from the point of landing). 

(v) Receive an IFQ landing without 

coverage by a catch monitor when one 

is required by regulations, unless NMFS 

has granted a written waiver exempting 

the IFQ first receiver from the catch 

monitor coverage requirements. On a 

case-by-case basis, a temporary written 

waiver may be granted by the Assistant 

Regional Administrator or designee if 

he/she determines that the failure to 

obtain coverage of a catch monitor was 

due to circumstances beyond the control 

of the first receiver. The duration of the 

waiver will be determined on a case-bycase basis. 

(vi) Receive an IFQ landing without a 

NMFS-accepted catch monitoring plan 

or not in accordance with their NMFSaccepted catch monitoring plan. 

(vii) Mix catch from more than one 

IFQ landing prior to the catch being 

sorted and weighed. 

(viii) Fail to comply with the IFQ first 

receiver responsibilities specified at 

§ 660.140(b)(2). 

(ix) Process, sell, or discard any 

groundfish received from an IFQ 

landing that has not been accounted for 

on an electronic fish ticket with the 

identification number for the vessel that 

delivered the fish. 

(x) Fail to submit, or submit 

incomplete or inaccurate information on 

any report, application, or statement 

required under this part. 

(c) MS and C/P Coop Programs. (1) 

Process Pacific whiting in the fishery 

management area during times or in 

areas where at-sea processing is 

prohibited for the sector in which the 

vessel fishes, unless: 

(i) The fish are received from a 

member of a Pacific Coast treaty Indian 

Tribe fishing under § 660.50, subpart C; 

(ii) The fish are processed by a wasteprocessing vessel according to 

§ 660.131(h), subpart D; or 

(iii) The vessel is completing 

processing of Pacific whiting taken on 

board prior to the close of that vessel’s 

primary season. 

(2) During times or in areas where atsea processing is prohibited, take and 

retain or receive Pacific whiting, except 

as cargo or fish waste, on a vessel in the 

fishery management area that already 

has processed Pacific whiting on board. 

An exception to this prohibition is 

provided if the fish are received within 

the Tribal U&A from a member of a 

Pacific Coast treaty Indian Tribe fishing 

under § 660.50, subpart C. 

(3) Operate as a waste-processing 

vessel within 48 hours of a primary 

season for Pacific whiting in which that 

vessel operates as a catcher/processor or 

mothership, according to § 660.131(h), 

subpart D. 

(4) On a vessel used to fish for Pacific 

whiting, fail to keep the trawl doors on 

board the vessel, when taking and 

retention is prohibited under 

§ 660.131(b), subpart D. 

(5) Sort or discard any portion of the 

catch taken by a catcher vessel in the 

mothership sector before the catcher 

vessel observer completes sampling of 

the catch, with the exception of minor 

amounts of catch that are lost when the 

codend is separated from the net and 

prepared for transfer. 

(d) MS Coop Program (coop and noncoop fisheries). (1) Catch, take, or 

harvest fish in the mothership non-coop 

fishery with a vessel that is not 

registered to a current MS/CV-endorsed 

limited entry trawl permit. 

(2) Receive catch, process catch, or 

otherwise fish as a mothership vessel if 

it is not registered to a current MS 

permit. 

(3) Fish with a vessel in the 

mothership sector, if that vessel was 

used to fish in the C/P fishery in the 

same calendar year. 

(4) Catch, take, or harvest fish in the 

MS Coop Program with a vessel that 

does not have a valid VMS declaration 

for limited entry midwater trawl, Pacific 

whiting mothership sector, as specified 

at § 660.13(d)(5)(iv)(A), subpart C. 

(5) Transfer catch to a vessel that is 

not registered to a MS permit. (i.e. a 

tender vessel). 

(6) Use a vessel registered to a limited 

entry permit with a trawl endorsement 

(with or without a MS/CV endorsement) 

to catch more than 30 percent of the 

Pacific whiting allocation for the 

mothership sector. 

(7) Process more than 45 percent of 

the annual mothership sector’s Pacific 

whiting allocation. 

(8) Catch, take, or harvest fish before 

all catch from any previous haul has 

been transferred to a single vessel 

registered to a MS permit. 

(9) Transfer catch from a single haul 

to more than one permitted MS vessel. 

(10) Catch, take, or harvest fish for a 

MS coop with a vessel that has not been 

identified by the coop as a vessel 

authorized to harvest that coop’s 

allocation. 

(11) Catch, take, or harvest fish in the 

non-coop fishery with a vessel 

registered to a MS/CV endorsed permit 

in the same year the MS/CV endorsed 

permit was registered to a vessel that 

fished as a member of a coop in the MS 

Coop Program. 

(12) Sort or discard any portion of the 

catch taken by a catcher vessel in the 

mothership sector before the catcher 

vessel observer completes sampling of 

the catch, except for minor operational 

amounts of catch lost by a catcher vessel 

provided the observer has accounted for 

the discard (i.e., a maximized retention 

fishery). 

(13) Mix catch from more than one 

haul before the observer completes their 

collection of catch for sampling. 

(14) Take deliveries without a valid 

scale inspection report signed by an 

authorized scale inspector on board the 

vessel. 

(15) Sort, process, or discard catch 

delivered to a mothership before the 

catch is weighed on a scale that meets 

the requirements of § 660.15(b), 

including the daily test requirements. 

(e) C/P Coop Program. (1) Fish with 

a vessel in the catcher/processor sector 

that is not registered to a current C/P 

endorsed limited entry trawl permit. 

(2) Fish as a catcher/processor vessel 

in the same year that the vessel fishes 

as a catcher vessel in the mothership 

fishery. 

(3) Fish as a catcher/processor vessel 

in the same year that the vessel operates 

as a mothership in the mothership 

fishery. 

(4) Fish in the C/P Coop Program with 

a vessel that does not have a valid VMS 

declaration for limited entry midwater 

trawl, Pacific whiting catcher/processor 

sector, as specified at 

§ 660.13(d)(5)(iv)(A). 

(5) Fish in the C/P Coop Program with 

a vessel that is not identified in the 

C/P coop agreement. 

(6) Fish in the C/P Coop Program 

without a valid scale inspection report 

signed by an authorized scale inspector 

on board the vessel. 

(7) Sort, process, or discard catch 

before the catch is weighed on a scale 

that meets the requirements of 

§ 660.15(b), including the daily test 

requirements. 

(8) Discard any catch from the codend 

or net (i.e. bleeding) before the observer 

has completed their data collection. 

(9) Mix catch from more than one 

haul before the observer completes their 

collection of catch for sampling. 

17. In § 660.113, paragraphs (a) 

through (c) are added, and paragraph (d) 

is revised, to read as follows: 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53416 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

§ 660.113 Trawl fishery—recordkeeping 

and reporting. 

* * * * * 

(a) General requirements. (1) All 

records or reports required by this 

paragraph must: Be maintained in 

English, be accurate, be legible, be based 

on local time, and be submitted in a 

timely manner. 

(2) Retention of Records. 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 must be 

maintained for a period of not less than 

three years after the date 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. 

(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)(5)(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, gear type 

used, catch area, first receiver, round 

weights of species landed listed by 

species or species group including 

species with no value, number of 

salmon by species, number of Pacific 

halibut, 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. 

(B) Use for the purpose of submitting 

electronic fish tickets, and maintain in 

good working order, computer 

equipment as specified at § 660.15(d)(1); 

(C) Install, use, and update as 

necessary, any NMFS-approved 

software described at § 660.15(d)(3); 

(D) 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. 

(iii) Revising a submission. In the 

event that a data error is found, 

electronic fish ticket submissions may 

be revised by resubmitting the revised 

form. 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-bycase 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, Northwest 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. 

(c) MS Coop Program (coop and noncoop 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 a MS permit. 

(2) NMFS-approved scales—(i) Scale 

test report form. Mothership vessel 

operators are responsible for conducting 

scale tests and for recording the scale 

test information on the at-sea scale test 

report form as specified at § 660.15(b), 

subpart C, for mothership vessels. 

(ii) Printed scale reports. Specific 

requirements pertaining to printed scale 

reports and scale weight printouts are 

specified at § 660.15(b), subpart C, for 

mothership vessels. 

(iii) Retention of scale records and 

reports. The vessel must maintain the 

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, 

NMPS staff, or authorized officers. In 

addition, the vessel owner must retain 

the scale test report forms 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 vessel operator. 

(3) Annual coop report—(i) The 

designed coop manager for the 

mothership coop must submit an annual 

report to the Pacific Fishery 

Management Council for their 

November meeting each year. The 

annual coop report will contain 

information about the current year’s 

fishery, including: 

(A) The mothership sector’s annual 

allocation of Pacific whiting and the 

permitted mothership coop allocation; 

(B) 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; 

(C) A description of the method used 

by the mothership coop to monitor 

performance of coop vessels that 

participated in the fishery; 

(D) A description of any actions taken 

by the mothership coop in response to 

any vessels that exceed their allowed 

catch and bycatch; and 


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(E) Plans for the next year’s 

mothership coop fishery, including the 

companies participating in the 

cooperative, the harvest agreement, and 

catch monitoring and reporting 

requirements. 

(ii) The annual coop report submitted 

to the Pacific Fishery Management 

Council must be finalized to capture any 

additional fishing activity that year and 

submitted to NMFS by March 31 of the 

following year before a coop permit is 

issued for the following year. 

(4) Cease fishing report. As specified 

at § 660.150(c)(4)(ii), the designated 

coop manager, or in the case of an intercoop agreement, all of the designated 

coop managers must submit a cease 

fishing report to NMFS indicating that 

harvesting has concluded for the year. 

(d) C/P Coop 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 at-sea 

scale test report form as specified at 

§ 660.15(b), subpart C, for C/P vessels. 

(ii) Printed scale reports. Specific 

requirements pertaining to printed scale 

reports and scale weight print outs are 

specified at § 660.15(b), subpart C, for C/ 

P vessels. 

(iii) Retention of scale records and 

reports. The vessel must maintain the 

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 vessel owner must retain 

the scale test report forms 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 vessel operator. 

(3) Annual coop report—(i) The 

designated coop manager for the C/P 

coop must submit an annual report to 

the Pacific Fishery Management Council 

for their November meeting each year. 

The annual coop report will contain 

information about the current year’s 

fishery, including: 

(A) The C/P sector’s annual allocation 

of Pacific whiting; 

(B) 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; 

(C) A description of the method used 

by the C/P coop to monitor performance 

of cooperative vessels that participated 

in the fishery; 

(D) A description of any actions taken 

by the C/P coop in response to any 

vessels that exceed their allowed catch 

and bycatch; and 

(E) Plans for the next year’s C/P coop 

fishery, including the companies 

participating in the cooperative, the 

harvest agreement, and catch 

monitoring and reporting requirements. 

(ii) The annual coop report submitted 

to the Pacific Fishery Management 

Council must be finalized to capture any 

additional fishing activity that year and 

submitted to NMFS by March 31 of the 

following year before a coop permit is 

issued for the following year. 

(4) Cease fishing report. As specified 

at § 660.160(c)(5), the designated coop 

manager must submit a cease fishing 

report to NMFS indicating that 

harvesting has concluded for the year. 

18. Section 660.114 is added to read 

as follows: 

§ 660.114 Trawl fishery—economic data 

collection program. 

(a) General. The economic data 

collection (EDC) program collects 

mandatory economic data from 

participants in the trawl rationalization 

program. NMFS requires submission of 

an EDC form to gather ongoing, annual 

data for 2011 and beyond, as well as a 

onetime collection in 2011 of baseline 

economic data from 2009 through 2010. 

(b) Economic data collection program 

requirements. The following fishery 

participants in the limited entry 

groundfish trawl fisheries are required 

to comply with the following EDC 

program requirements: 

Fishery participant Economic data 

collection Who is required to submit an EDC? 

Consequence for failure to submit 

(In addition to consequences listed below, 

failure to submit an EDC may be a violation 

of the MSA) 

(1) Limited entry trawl 

catcher vessels.

(i) Baseline (2009 and 

2010) economic 

data.

All owners, lessees, and charterers of a 

catcher vessel registered to a limited entry 

trawl endorsed permit at any time in 2009 

or 2010.

(A) For permit owner, a limited entry trawl 

permit application (including MS/CV endorsed limited entry trawl permit) will not 

be considered complete until the required 

EDC for that permit owner associated with 

that permit is submitted, as specified at 

§ 660.25(b)(4)(i), subpart C. 

(B) For a vessel owner, participation in the 

groundfish fishery (including, but not limited 

to, changes in vessel registration, vessel 

account actions, or if own QS permit, 

issuance of annual QP) will not be authorized until the required EDC for that owner 

for that vessel is submitted, as specified, in 

part, at § 660.25(b)(4)(v), subpart C and 

§ 660.140(e), subpart D. 

(C) For a vessel lessee or charterer, participation in the groundfish fishery (including, 

but not limited to, issuance of annual QP if 

own QS) will not be authorized, until the required EDC for their operation of that vessel is submitted. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
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Fishery participant Economic data 

collection Who is required to submit an EDC? 

Consequence for failure to submit 

(In addition to consequences listed below, 

failure to submit an EDC may be a violation 

of the MSA) 

(ii) Annual/ongoing 

(2011 and beyond) 

economic data.

All owners, lessees, and charterers of a 

catcher vessel registered to a limited entry 

trawl endorsed permit at any time in 2011 

and beyond.

(A) For permit owner, a limited entry trawl 

permit application (including MS/CV endorsed limited entry trawl permit) will not 

be considered complete until the required 

EDC for that permit owner associated with 

that permit is submitted, as specified at 

§ 660.25(b)(4)(i), subpart C. 

(B) For a vessel owner, participation in the 

groundfish fishery (including, but not limited 

to, changes in vessel registration, vessel 

account actions, or if own QS permit, 

issuance of annual QP) will not be authorized until the required EDC for that owner 

for that vessel is submitted, as specified, in 

part, at § 660.25(b)(4)(v), subpart C and 

§ 660.140(e), subpart D. 

(C) For a vessel lessee or charterer, participation in the groundfish fishery (including, but not limited to, issuance of annual 

QP if own QS) will not be authorized, until 

the required EDC for their operation of that 

vessel is submitted. 

(2) Motherships ........... (i) Baseline (2009 and 

2010) economic 

data.

All owners, lessees, and charterers of a 

mothership vessel that received whiting in 

2009 or 2010 as recorded in NMFS’ 

NORPAC database.

(A) For permit owner, a MS permit application 

will not be considered complete until the 

required EDC for that permit owner associated with that permit is submitted, as specified at § 660.25(b)(4)(i), subpart C. 

(B) For a vessel owner, participation in the 

groundfish fishery (including, but not limited 

to, changes in vessel registration) will not 

be authorized until the required EDC for 

that owner for that vessel is submitted, as 

specified, in part, at § 660.25(b)(4)(v), subpart C. 

(C) For a vessel lessee or charterer, participation in the groundfish fishery will not be 

authorized, until the required EDC for their 

operation of that vessel is submitted. 

(ii) Annual/ongoing 

(2011 and beyond) 

economic data.

All owners, lessees, and charterers of a 

mothership vessel registered to a MS permit at any time in 2011 and beyond.

(A) For permit owner, a MS permit application 

will not be considered complete until the 

required EDC for that permit owner associated with that permit is submitted, as specified at § 660.25(b)(4)(i), subpart C. 

(B) For a vessel owner, participation in the 

groundfish fishery (including, but not limited 

to, changes in vessel registration) will not 

be authorized until the required EDC for 

that owner for that vessel is submitted, as 

specified, in part, at § 660.25(b)(4)(v), subpart C. 

(C) For a vessel lessee or charterer, participation in the groundfish fishery will not be 

authorized, until the required EDC for their 

operation of that vessel is submitted. 

(3) Catcher processors (i) Baseline (2009 and 

2010) economic 

data.

All owners, lessees, and charterers of a 

catcher processor vessel that harvested 

whiting in 2009 or 2010 as recorded in 

NMFS’ NORPAC database.

(A) For permit owner, a C/P endorsed limited 

entry trawl permit application will not be 

considered complete until the required 

EDC for that permit owner associated with 

that permit is submitted, as specified at 

§ 660.25(b)(4)(i), subpart C. 

(B) For a vessel owner, participation in the 

groundfish fishery (including, but not limited 

to, changes in vessel registration) will not 

be authorized until the required EDC for 

that owner for that vessel is submitted, as 

specified, in part, at § 660.25(b)(4)(v), subpart C. 

(C) For a vessel lessee or charterer, participation in the groundfish fishery will not be 

authorized, until the required EDC for their 

operation of that vessel is submitted. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
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Fishery participant Economic data 

collection Who is required to submit an EDC? 

Consequence for failure to submit 

(In addition to consequences listed below, 

failure to submit an EDC may be a violation 

of the MSA) 

(ii) Annual/ongoing 

(2011 and beyond) 

economic data.

All owners, lessees, and charterers of a 

catcher processor vessel registered to a 

catcher processor permit at any time in 

2011 and beyond.

(A) For permit owner, a C/P endorsed limited 

entry trawl permit application will not be 

considered complete until the required 

EDC for that permit owner associated with 

that permit is submitted, as specified at 

§ 660.25(b)(4)(i), subpart C. 

(B) For a vessel owner, participation in the 

groundfish fishery (including, but not limited 

to, changes in vessel registration) will not 

be authorized until the required EDC for 

that owner for that vessel is submitted, as 

specified, in part, at § 660.25(b)(4)(v), subpart C. 

(C) For a vessel lessee or charterer, participation in the groundfish fishery will not be 

authorized, until the required EDC for their 

operation of that vessel is submitted. 

(4) First receivers/ 

shorebased processors.

(i) Baseline (2009 and 

2010) economic 

data.

All owners and lessees of a shorebased 

processor and all buyers that received 

groundfish or whiting harvested with a limited entry trawl permit as listed in the 

PacFIN database in 2009 or 2010.

A first receiver site license application for a 

particular physical location for processing 

and buying will not be considered complete 

until the required EDC for the applying 

processor or buyer is submitted, as specified at § 660.140(f)(3), subpart D. 

(ii) Annual/ongoing 

(2011 and beyond) 

economic data.

(A) All owners of a first receiver site license 

in 2011 and beyond.

(B) All owners and lessees of a shore-based 

processor (as defined under ‘‘processor’’ at 

§ 660.11, subpart C, for purposes of EDC) 

that received round or headed-and-gutted 

IFQ species groundfish or whiting from a 

first receiver in 2011 and beyond.

A first receiver site license application will not 

be considered complete until the required 

EDC for that license owner associated with 

that license is submitted, as specified at 

§ 660.140(f)(3), subpart D. 

(c) Submission of the EDC form and 

deadline—(1) Submission of the EDC 

form. The complete, certified EDC form 

must be submitted to Attn: Economic 

Data Collection Program (FRAM 

Division), NMFS, Northwest Fisheries 

Science Center, 2725 Montlake 

Boulevard East, Seattle, WA 98112. A 

complete EDC form contains responses 

for all data fields, which include but are 

not limited to costs, labor, earnings, 

activity in a fishery, vessel or plant 

characteristics, value, quota, operational 

information, location of expenditures 

and earnings, ownership information 

and leasing information. 

(2) Deadline. Complete, certified EDC 

forms must be mailed and postmarked 

by or hand-delivered to NMFS NWFSC 

no later than September 1, 2011, for 

baseline data, and, for the annual/ 

ongoing data collection beginning 

September 1, 2012, September 1 each 

year for the prior year’s data. 

(d) Confidentiality of information. 

Information received on an EDC form 

will be considered confidential under 

applicable law and guidance. 

(e) EDC audit procedures—(1) NMFS 

reserves the right to conduct verification 

of economic data with the submitter of 

the form. NMFS may employ a third 

party agent to conduct the audits. 

(2) The submitter of the EDC form 

must respond to any inquiry by NMFS 

or a NMFS agent within 20 days of the 

date of issuance of the inquiry, unless 

an extension is granted by NMFS. 

(3) The submitter of the form must 

provide copies of additional data to 

facilitate verification by NMFS or 

NMFS’ agent upon request. The NMFS 

auditor may review and request copies 

of additional data provided by the 

submitter, including but not limited to, 

previously audited or reviewed 

financial statements, worksheets, tax 

returns, invoices, receipts, and other 

original documents substantiating the 

economic data submitted. 

§ 660.116 [Removed] 

19. Section 660.116 is removed. 

20. In § 660.130, paragraphs (a) and 

(d) are revised to read as follows: 

§ 660.130 Trawl fishery—management 

measures. 

(a) General. Limited entry trawl 

vessels are those vessels registered to a 

limited entry permit with a trawl 

endorsement and those vessels 

registered to a MS permit. Most species 

taken in limited entry trawl fisheries 

will be managed with quotas (see 

§ 660.140), allocations or set-asides (see 

§ 660.150 or § 660.160), or cumulative 

trip limits (see trip limits in Tables 1 

(North) and 1 (South) of this subpart), 

size limits (see § 660.60 (h)(5), subpart 

C), seasons (see Pacific whiting at 

§ 660.131(b), subpart D), gear 

restrictions (see paragraph (b) of this 

section) and closed areas (see paragraph 

(e) of this section and §§ 660.70 through 

660.79, subpart C). The trawl fishery has 

gear requirements and harvest limits 

that differ by the type of trawl gear on 

board and the area fished. Groundfish 

vessels operating south of Point 

Conception must adhere to CCA 

restrictions (see paragraph (e)(1) of this 

section and § 660.70, subpart C). The 

trip limits in Tables 1 (North) and 1 

(South) of this subpart apply to vessels 

participating in the limited entry 

groundfish trawl fishery and may not be 

exceeded. Federal commercial 

groundfish regulations are not intended 

to supersede any more restrictive State 

commercial groundfish regulations 

relating to Federally-managed 

groundfish. 

* * * * * 

(d) Sorting. Under § 660.12(a)(8), 

subpart C, it is unlawful for any person 

to ‘‘fail to sort, prior to the first weighing 

after offloading, those groundfish 

species or species groups for which 

there is a trip limit, size limit, scientific 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53420 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

sorting designation, quota, harvest 

guideline, or OY, if the vessel fished or 

landed in an area during a time when 

such trip limit, size limit, scientific 

sorting designation, quota, harvest 

guideline, or OY applied.’’ The States of 

Washington, Oregon, and California 

may also require that vessels record 

their landings as sorted on their State 

landing receipt. 

(1) Species and areas—(i) Coastwide. 

Widow rockfish, canary rockfish, 

darkblotched rockfish, yelloweye 

rockfish, shortbelly rockfish, black 

rockfish, blue rockfish, minor nearshore 

rockfish, minor shelf rockfish, minor 

slope rockfish, shortspine and longspine 

thornyhead, Dover sole, arrowtooth 

flounder, petrale sole, starry flounder, 

English sole, other flatfish, lingcod, 

sablefish, Pacific cod, spiny dogfish, 

other fish, longnose skate, and Pacific 

whiting; 

(ii) North of 40°10′ N. lat. POP, 

yellowtail rockfish; 

(iii) South of 40°10′ N. lat. Minor 

shallow nearshore rockfish, minor 

deeper nearshore rockfish, California 

scorpionfish, chilipepper rockfish, 

bocaccio rockfish, splitnose rockfish, 

Pacific sanddabs, cowcod, 

bronzespotted rockfish and cabezon. 

(2) Sorting requirements for the 

Shorebased IFQ Program—(i) First 

receivers. Fish landed at IFQ first 

receivers (including shoreside 

processing facilities and buying stations 

that intend to transport catch for 

processing elsewhere) must be sorted, 

prior to first weighing after offloading 

from the vessel and prior to transport 

away from the point of landing, except 

the vessels declared in to the limited 

entry midwater trawl, Pacific whiting 

shorebased IFQ at § 660.13(d)(5)(iv)(A), 

subpart C, may weigh catch on a bulk 

scale before sorting as described at 

§ 660.140(j)(2). 

(ii) Catcher vessels. All catch must be 

sorted to the species groups specified in 

paragraph (d)(1) of this section for 

vessels with limited entry permits, 

except those retaining all catch during 

a Pacific whiting IFQ trip. The catch 

must not be discarded from the vessel 

and the vessel must not mix catch from 

hauls until the observer has sampled the 

catch. Prohibited species must be sorted 

according to the following species 

groups: Dungeness crab, Pacific halibut, 

Chinook salmon, other salmon. Nongroundfish species must be sorted as 

required by the State of landing. 

(3) Sorting requirements for the at-sea 

sectors of the Pacific whiting fishery. 

(i) Pacific whiting at-sea processing 

vessels may use an accurate in-line 

conveyor or hopper type scale to derive 

an accurate total catch weight prior to 

sorting. Immediately following weighing 

of the total catch, the catch must be 

sorted to the species groups specified in 

paragraph (d)(1) of this section and all 

incidental catch (groundfish and nongroundfish species) must be accurately 

accounted for and the weight of 

incidental catch deducted from the total 

catch weight to derive the weight of 

target species. 

(ii) Catcher vessels in the MS sector. 

If sorting occurs on the catcher vessel, 

the catch must not be discarded from 

the vessel and the vessel must not mix 

catch from hauls until the observer has 

sampled the catch. 

* * * * * 

21. In § 660.131: 

a. Paragraphs (a) and (b), the 

introductory text of paragraph (c), and 

paragraphs (e) and (f) are revised; 

b. Paragraphs (g), (h), and (k) are 

removed; 

c. Paragraphs (i) and (j) are 

redesignated as paragraphs (g) and (h); 

and 

d. The newly redesignated paragraph 

(g) is revised to read as follows: 

§ 660.131 Pacific whiting fishery 

management measures. 

* * * * * 

(a) Sectors—(1) The catcher/processor 

sector, or C/P Coop Program, is 

composed of catcher/processors 

registered to a limited entry permit with 

a C/P endorsement. 

(2) The mothership sector, or MS 

Coop Program, is composed of 

motherships and catcher vessels that 

harvest Pacific whiting for delivery to 

motherships. Motherships are vessels 

registered to a MS permit, and catcher 

vessels are vessels registered to a 

limited entry permit with a MS/CV 

endorsement or vessels registered to a 

limited entry permit without a MS/CV 

endorsement if the vessel is authorized 

to harvest the coop’s allocation. 

(3) The Pacific whiting IFQ fishery is 

composed of vessels that harvest Pacific 

whiting for delivery shoreside to IFQ 

first receivers during the primary 

season. 

(b) Pacific whiting seasons—(1) 

Primary seasons. The primary seasons 

for the Pacific whiting fishery are: 

(i) For the Shorebased IFQ Program, 

Pacific whiting IFQ fishery, the 

period(s) of the large-scale target fishery 

is conducted after the season start date; 

(ii) For catcher/processors, the 

period(s) when catching and at-sea 

processing is allowed for the catcher/ 

processor sector(after the season closes 

at-sea processing of any fish already on 

board the processing vessel is allowed 

to continue); and 

(iii) For vessels delivering to 

motherships, the period(s) when 

catching and at-sea processing is 

allowed for the mothership sector (after 

the season closes, at-sea processing of 

any fish already on board the processing 

vessel is allowed to continue). 

(2) Different primary season start 

dates. North of 40°30′ N. lat., different 

starting dates may be established for the 

catcher/processor sector, the mothership 

sector, and in the Pacific whiting IFQ 

fishery for vessels delivering to IFQ first 

receivers north of 42° N. lat. and vessels 

delivering to IFQ first receivers between 

42° and 40°30′ N. lat. 

(i) Procedures. The primary seasons 

for the whiting fishery north of 40°30′ N. 

lat. generally will be established 

according to the procedures of the 

PCGFMP for developing and 

implementing harvest specifications and 

apportionments. The season opening 

dates remain in effect unless changed, 

generally with the harvest specifications 

and management measures. 

(ii) Criteria. The start of a primary 

season may be changed based on a 

recommendation from the Council and 

consideration of the following factors, if 

applicable: Size of the harvest 

guidelines for whiting and bycatch 

species; age/size structure of the whiting 

population; expected harvest of bycatch 

and prohibited species; availability and 

stock status of prohibited species; 

expected participation by catchers and 

processors; the period between when 

catcher vessels make annual processor 

obligations and the start of the fishery; 

environmental conditions; timing of 

alternate or competing fisheries; 

industry agreement; fishing or 

processing rates; and other relevant 

information. 

(iii) Primary whiting season start 

dates and duration. After the start of a 

primary season for a sector of the 

whiting fishery, the season remains 

open for that sector until the sector 

allocation of whiting or non-whiting 

groundfish (with allocations) is reached 

or projected to be reached and the 

fishery season for that sector is closed 

by NMFS. The starting dates for the 

primary seasons for the whiting fishery 

are as follows: 

(A) Catcher/processor sector—May 15. 

(B) Mothership sector—May 15. 

(C) Shorebased IFQ program, Pacific 

whiting IFQ fishery. 

(1) North of 42° N. lat.— June 15; 

(2) Between 42° and 40°30′ N. lat.— 

April 1; and 

(3) South of 40°30′ N. lat.—April 15. 

(3) Trip limits in the whiting fishery. 

The ‘‘per trip’’ limit for whiting before 

the regular (primary) season for the 

shorebased sector is announced in Table 


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1 of this subpart, and is a routine 

management measure under § 660.60(c). 

This trip limit includes any whiting 

caught shoreward of 100–fm (183–m) in 

the Eureka, CA area. The ‘‘per trip’’ limit 

for other groundfish species are 

announced in Table 1 (North) and Table 

1 (South) of this subpart and apply as 

follows: 

(i) During the groundfish cumulative 

limit periods both before and after the 

primary whiting season, vessels may use 

either small and/or large footrope gear, 

but are subject to the more restrictive 

trip limits for those entire cumulative 

periods. 

(ii) If, during a primary whiting 

season, a whiting vessel harvests a 

groundfish species other than whiting 

for which there is a midwater trip limit, 

then that vessel may also harvest up to 

another footrope-specific limit for that 

species during any cumulative limit 

period that overlaps the start or end of 

the primary whiting season. 

(c) Closed areas. Vessels fishing in the 

Pacific whiting primary seasons for the 

Shorebased IFQ Program, MS Coop 

Program, or C/P Coop Program shall not 

target Pacific whiting with midwater 

trawl gear in the following portions of 

the fishery management area: 

* * * * * 

(e) At-sea processing. Whiting may 

not be processed at sea south of 42°00′ 

N. lat. (Oregon-California border), 

unless by a waste-processing vessel as 

authorized under paragraph (g) of this 

section. 

(f) Time of day. Vessels fishing in the 

Pacific whiting primary seasons for the 

Shorebased IFQ Program, MS Coop 

Program or C/P Coop Program shall not 

target Pacific whiting with midwater 

trawl gear in the fishery management 

area south of 42°00′ N. lat. between 0001 

hours to one-half hour after official 

sunrise (local time). During this time 

south of 42°00′ N. lat., trawl doors must 

be on board any vessel used to fish for 

whiting and the trawl must be attached 

to the trawl doors. Official sunrise is 

determined, to the nearest 5° lat., in The 

Nautical Almanac issued annually by 

the Nautical Almanac Office, U.S. Naval 

Observatory, and available from the U.S. 

Government Printing Office. 

(g) Bycatch reduction and full 

utilization program for at-sea processors 

(optional). If a catcher/processor or 

mothership in the whiting fishery 

carries more than one NMFS-approved 

observer for at least 90 percent of the 

fishing days during a cumulative trip 

limit period, then groundfish trip limits 

may be exceeded without penalty for 

that cumulative trip limit period, if the 

conditions in paragraph (g)(1) of this 

section are met. For purposes of this 

program, ‘‘fishing day’’ means a 24-hour 

period, from 0001 hours through 2400 

hours, local time, in which fishing gear 

is retrieved or catch is received by the 

vessel, and will be determined from the 

vessel’s observer data, if available. 

Changes to the number of observers 

required for a vessel to fish under in the 

bycatch reduction program will be 

announced prior to the start of the 

fishery, generally concurrent with the 

harvest specifications and management 

measures. Groundfish consumed on 

board the vessel must be within any 

applicable trip limit and recorded as 

retained catch in any applicable logbook 

or report. [Note: For a mothership, nonwhiting groundfish landings are limited 

by the cumulative landings limits of the 

catcher vessels delivering to that 

mothership.] 

(1) Conditions. Conditions for 

participating in the voluntary full 

utilization program are as follows: 

(i) All catch must be made available 

to the observers for sampling before it is 

sorted by the crew. 

(ii) Any retained catch in excess of 

cumulative trip limits must either be: 

Converted to meal, mince, or oil 

products, which may then be sold; or 

donated to a bona fide tax-exempt 

hunger relief organization (including 

food banks, food bank networks or food 

bank distributors), and the vessel 

operator must be able to provide a 

receipt for the donation of groundfish 

landed under this program from a taxexempt hunger relief organization 

immediately upon the request of an 

authorized officer. 

(iii) No processor or catcher vessel 

may receive compensation or otherwise 

benefit from any amount in excess of a 

cumulative trip limit unless the overage 

is converted to meal, mince, or oil 

products. Amounts of fish in excess of 

cumulative trip limits may only be sold 

as meal, mince, or oil products. 

(iv) The vessel operator must contact 

the NMFS enforcement office nearest to 

the place of landing at least 24 hours 

before landing groundfish in excess of 

cumulative trip limits for distribution to 

a hunger relief agency. Cumulative trip 

limits and a list of NMFS enforcement 

offices are found on the NMFS, 

Northwest Region homepage at http:// 

www.nwr.noaa.gov. 

(v) If the meal plant on board the 

whiting processing vessel breaks down, 

then no further overages may be 

retained for the rest of the cumulative 

trip limit period unless the overage is 

donated to a hunger relief organization. 

(vi) Prohibited species may not be 

retained. 

(vii) Donation of fish to a hunger relief 

organization must be noted in the 

transfer log (Product Transfer/ 

Offloading Log (PTOL)), in the column 

for total value, by entering a value of ‘‘0’’ 

or ‘‘donation,’’ followed by the name of 

the hunger relief organization receiving 

the fish. Any fish or fish product that is 

retained in excess of trip limits under 

this rule, whether donated to a hunger 

relief organization or converted to meal, 

must be entered separately on the PTOL 

so that it is distinguishable from fish or 

fish products that are retained under 

trip limits. The information on the 

Mate’s Receipt for any fish or fish 

product in excess of trip limits must be 

consistent with the information on the 

PTOL. The Mate’s Receipt is an official 

document that states who takes 

possession of offloaded fish, and may be 

a Bill of Lading, Warehouse Receipt, or 

other official document that tracks the 

transfer of offloaded fish or fish product. 

The Mate’s Receipt and PTOL must be 

made available for inspection upon 

request of an authorized officer 

throughout the cumulative limit period 

during which such landings occurred 

and for 15 days thereafter. 

* * * * * 

22. In § 660.140: 

a. Paragraphs (a), (d)(1), (d)(4)(iv), and 

(d)(5) are revised; 

b. Paragraph (i) is removed and 

paragraphs (j) through (m) are 

redesignated as paragraphs (i) through 

(l), and text is added to the newly 

redesignated paragraphs (i) through (l); 

c. Paragraph (c) heading is revised, 

paragraph (c)(2) is redesignated as 

paragraph (c)(3) and a new paragraph 

(c)(2) is added, and the newly 

redesignated paragraph (c)(3)(vi) is 

revised; and 

d. Paragraphs (b), (c)(3)(vii), (d)(2), 

(d)(3), and (e) through (h) are added, 

and paragraph (d)(7) is added and 

reserved, to read as follows: 

§ 660.140 Shorebased IFQ Program. 

* * * * * 

(a) General. The Shorebased IFQ 

Program requirements in this section 

will be effective beginning January 1, 

2011, except for paragraphs (d)(4), 

(d)(6), and (d)(8) of this section, which 

are effective immediately. The 

Shorebased IFQ Program applies to 

qualified participants in the Pacific 

Coast Groundfish fishery and includes a 

system of transferable QS for most 

groundfish species or species groups 

(and transferable IBQ for Pacific halibut) 

and trip limits or set-asides for the 

remaining groundfish species or species 

groups. NMFS will issue a QS permit to 

eligible participants and will establish a 

QS account for each QS permit owner 


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to track the amount of QS or IBQ and 

QP or IBQ pounds owned by that owner. 

QS permit owners may own QS or IBQ 

for IFQ species, expressed as a percent 

of the allocation to the Shorebased IFQ 

Program for that species. NMFS will 

issue QP or IBQ pounds to QS permit 

owners, expressed in pounds, on an 

annual basis, to be deposited in the 

corresponding QS account. NMFS will 

establish a vessel account for each 

eligible vessel owner participating in 

the Shorebased IFQ Program, which is 

independent of the QS permit and QS 

account. In order to use QP or IBQ 

pounds, a QS permit owner must 

transfer the QP or IBQ pounds from the 

QS account in to the vessel account for 

the vessel to which the QP or IBQ 

pounds is to be assigned. Harvests of 

IFQ species may only be delivered to an 

IFQ first receiver with a first receiver 

site license. In addition to the 

requirements of this section, the 

Shorebased IFQ Program is subject to 

the following groundfish regulations of 

subparts C and D: 

(1) Regulations set out in the 

following sections of subpart C: § 660.11 

Definitions, § 660.12 Prohibitions, 

§ 660.13 Recordkeeping and reporting, 

§ 660.14 VMS requirements, § 660.15 

Equipment requirements, § 660.16 

Groundfish observer program, § 660.20 

Vessel and gear identification, § 660.25 

Permits, § 660.55 Allocations, § 660.60 

Specifications and management 

measures, § 660.65 Groundfish harvest 

specifications, and §§ 660.70 through 

660.79 Closed areas. 

(2) Regulations set out in the 

following sections of subpart D: 

§ 660.111 Trawl fishery definitions, 

§ 660.112 Trawl fishery prohibitions, 

§ 660.113 Trawl fishery recordkeeping 

and reporting, § 660.120 Trawl fishery 

crossover provisions, § 660.130 Trawl 

fishery management measures, and 

§ 660.131 Pacific whiting fishery 

management measures. 

(3) The shorebased IFQ fishery may be 

restricted or closed as a result of 

projected overages within the 

Shorebased IFQ Program, the MS Coop 

Program, or the C/P Coop Program. As 

determined necessary by the Regional 

Administrator, area restrictions, season 

closures, or other measures will be used 

to prevent the trawl sector in aggregate 

or the individual trawl sectors 

(Shorebased IFQ, MS Coop, or C/P 

Coop) from exceeding an OY, or formal 

allocation specified in the PCGFMP or 

regulation at § 660.55, subpart C, or 

§§ 660.140, 660.150, or 660.160, subpart 

D. 

(b) Participation requirements and 

responsibilities—(1) IFQ vessels. (i) 

Vessels must be registered to a 

groundfish limited entry permit, 

endorsed for trawl gear with no C/P 

endorsement. 

(ii) To start a trip in the Shorebased 

IFQ Program, a vessel and its owner(s) 

(as described on the USCG 

documentation) must be registered to 

the same vessel account established by 

NMFS with no deficit (negative balance) 

for any species/species group. 

(iii) All IFQ species/species group 

catch (landings and discards) must be 

covered by QP or IBQ pounds. Any 

deficit (negative balance in a vessel 

account) must be cured within 30 days 

from the date the deficit from that trip 

is documented in the vessel account, 

unless the deficit is within the limits of 

the carryover provision at paragraph 

(e)(5) of this section, in which case the 

vessel may declare out of the IFQ 

fishery for the year in which the deficit 

occurred and must cure the deficit 

within 30 days after the issuance of QP 

or IBQ pounds for the following year. 

(iv) Any vessel with a deficit (negative 

balance) in its vessel account is 

prohibited from fishing that is within 

the scope of the Shorebased IFQ 

Program until sufficient QP or IBQ 

pounds are transferred in to the vessel 

account to remove any deficit, 

regardless of the amount of the deficit. 

(v) A vessel account may not have QP 

or IBQ pounds (used and unused 

combined) in excess of the QP Vessel 

Limit in any year, and for species 

covered by Unused QP Vessel Limit, 

may not have QP or IBQ pounds in 

excess of the Unused QP Vessel Limit at 

any time. These amounts are specified 

at paragraph (e)(4) of this section. 

(vi) Vessels must use either trawl gear 

as specified at § 660.130(b), or a legal 

non-trawl groundfish gear under the 

gear switching provisions as specified at 

§ 660.140(k). 

(vii) Vessels that are registered to MS/ 

CV endorsed permits may be used to 

fish in the Shorebased IFQ Program 

provided that the vessel is registered to 

a valid Shorebased IFQ Program vessel 

account. 

(viii) In the same calendar year, a 

vessel registered to a trawl endorsed 

limited entry permit with no MS/CV or 

C/P endorsements may be used to fish 

in the Shorebased IFQ Program if the 

vessel has a valid vessel account, and to 

fish in the mothership sector for a 

permitted MS coop as authorized by the 

MS coop. 

(ix) Vessels that are registered to C/P 

endorsed permits may not be used to 

fish in the Shorebased IFQ Program. 

(2) IFQ first receivers. The IFQ first 

receiver must: 

(i) Ensure that all catch removed from 

a vessel making an IFQ delivery is 

weighed on a scale or scales meeting the 

requirements described in § 660.15(c), 

subpart C; 

(ii) Ensure that all catch is landed, 

sorted, and weighed in accordance with 

a valid catch monitoring plan as 

described in § 660.140(f)(3)(iii), subpart 

D. 

(iii) Ensure that all catch is sorted, 

prior to first weighing, by species or 

species groups as specified at 

§ 660.130(d), except the vessels declared 

in to the limited entry midwater trawl, 

Pacific whiting shorebased IFQ at 

§ 660.13(d)(5)(iv)(A), subpart C may 

weigh catch on a before sorting as 

described at § 660.140(j)(2). 

(iv) Provide uninhibited access to all 

areas where fish are or may be sorted or 

weighed to NMFS staff, NMFSauthorized personnel, or authorized 

officer at any time when a delivery of 

IFQ species, or the processing of those 

species, is taking place. 

(v) Ensure that each scale produces a 

complete and accurate printed record of 

the weight of all catch in a delivery, 

unless exempted in the NMFS-accepted 

catch monitoring plan. 

(vi) Retain and make available to 

NMFS staff, NMFS-authorized 

personnel, or an authorized officer, all 

printed output from any scale used to 

weigh catch, and any hand tally sheets, 

worksheets, or notes used to determine 

the total weight of any species. 

(vii) Ensure that each delivery of IFQ 

catch is monitored by a catch monitor 

and that the catch monitor is on site the 

entire time the delivery is being 

weighed or sorted. 

(viii) Ensure that sorting and weighing 

is completed prior to catch leaving the 

area that can be monitored from the 

observation area. 

* * * * * 

(c) IFQ species, management areas, 

and allocations. * * * 

(2) IFQ management areas. A vessel 

participating in the Shorebased IFQ 

Program may not fish in more than one 

IFQ management area during a trip. IFQ 

management areas are as follows: 

(i) Between the U.S./Canada border 

and 40°10′ N. lat., 

(ii) Between 40°10′ N. lat. and 36° N. 

lat., 

(iii) Between 36° N. lat. and 34°27′ N. 

lat., and 

(iv) Between 34°27′ N. lat. and the 

U.S./Mexico border. 

* * * * * 

(3) * * * 

(vi) For each IFQ species, NMFS will 

determine annual sub-allocations to 

individual QS accounts by multiplying 

the percent of QS or IBQ registered to 

the account by the amount of each 


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respective IFQ species allocated to the 

Shorebased IFQ Program for that year. 

For each IFQ species, NMFS will issue 

QP or IBQ pounds to the respective QS 

account in the amount of each suballocation determined. 

(vii) Reallocations—(A) Reallocation 

with changes in management areas. 

(1) Area subdivision. If at any time 

after the initial allocation, an IFQ 

species/species group is geographically 

subdivided, those holding QS for the 

species/species group being subdivided 

will receive an amount of QS for each 

newly created area that is equivalent to 

the amount they held for the area before 

it was subdivided. 

(2) Area recombination. When two 

areas are combined, the QS held by 

individuals in each area will be adjusted 

proportionally such that: 

(i) The total QS for the area sums to 

100 percent, and 

(ii) A person holding QS in the newly 

created area will receive the same 

amount of total QP as they would if the 

areas had not been combined. 

(3) Area line movement. When a 

management area boundary line is 

moved, the QS held by individuals in 

each area will be adjusted 

proportionally such that they each 

maintain their same share of the trawl 

allocation on a coastwide basis (a 

fishing area may expand or decrease, 

but the individual’s QP for both areas 

combined wouldn’t change because of 

the change in areas). In order to achieve 

this end, the holders of QS in the area 

being reduced will receive QS for the 

area being expanded, such that the total 

QP they would be issued will not be 

reduced as a result of the area reduction. 

Those holding QS in the area being 

expanded will have their QS reduced 

such that the total QP they receive in 

the year of the line movement will not 

increase as a result of the expansion 

(nor will it be reduced). 

(B) Reallocation with subdivision of a 

species group. If at any time after the 

initial allocation an IFQ species group is 

subdivided, those holding QS for the 

species group being subdivided will 

receive an amount of QS for each newly 

created IFQ species/species group that 

is equivalent to the amount they held 

for the species group before it was 

subdivided. For example, if a person 

holds one percent of a species group 

before the subdivision, that person will 

hold one percent of the QS for each 

species or species group resulting from 

the subdivision. 

* * * * * 

(d) QS permits and QS accounts—(1) 

General. In order to obtain QS, a person 

must apply for a QS permit. NMFS will 

determine if the applicant is eligible to 

acquire QS in compliance with the 

accumulation limits found at paragraph 

(d)(4) of this section. For those persons 

that are found to be eligible for a QS 

permit, NMFS will issue QS and 

establish a QS account. On or about 

January 1 each year, QS permit owners 

will be notified, via the IFQ Web site 

and their QS account of their QP or IBQ 

pound allocations, for each of the IFQ 

species/species groups, for the 

upcoming fishing year. These updated 

QS/QP values will reflect the results of: 

changed OYs, carryover adjustments, 

and any redistribution of QS (resulting 

from nonrenewal or permanent 

revocation of applicable permits, subject 

to accumulation limits). QS permit 

owners can monitor the status of their 

QS and QP allocations throughout the 

year via the IFQ Web site. QP will be 

issued to the nearest whole pound using 

standard rounding rules (i.e. decimal 

amounts from zero up to 0.5 round 

down and 0.5 up to 1.0 round up), 

except that initial allocations of QP for 

overfished species greater than zero but 

less than one pound will be rounded up 

to one pound in the first year of the 

trawl rationalization program. QS 

owners must transfer their QP from their 

QS account to a vessel account in order 

for those QP to be fished. QP must be 

transferred in whole pounds (i.e. no 

fraction of a QP can be transferred). All 

QP in a QS account must be transferred 

to a vessel account by September 1 of 

each year. 

(2) Eligibility and registration—(i) 

Eligibility. Only the following persons 

are eligible to own QS permits: 

(A) A United States citizen, that is 

eligible to own and control a U.S. 

fishing vessel with a fishery 

endorsement pursuant to 46 USC 12113 

(general fishery endorsement 

requirements and 75 percent citizenship 

requirement for entities); 

(B) A permanent resident alien, that is 

eligible to own and control a U.S. 

fishing vessel with a fishery 

endorsement pursuant to 46 USC 12113 

(general fishery endorsement 

requirements and 75 percent citizenship 

requirement for entities); or 

(C) A corporation, partnership, or 

other entity established under the laws 

of the United States or any State, that is 

eligible to own and control a U.S. 

fishing vessel with a fishery 

endorsement pursuant to 46 USC 12113 

(general fishery endorsement 

requirements and 75 percent citizenship 

requirement for entities). However, 

there is an exception for any entity that 

owns a mothership that participated in 

the west coast groundfish fishery during 

the allocation period and is eligible to 

own or control that U.S. fishing vessel 

with a fishery endorsement pursuant to 

sections 203(g) and 213(g) of the AFA. 

(ii) Registration. A QS account will be 

established by NMFS with the issuance 

of a QS permit. The administrative 

functions associated with the 

Shorebased IFQ Program (e.g., account 

registration, landing transactions, and 

transfers) are designed to be 

accomplished online; therefore, a 

participant must have access to a 

computer with Internet access and must 

set up an appropriate QS account to 

participate. The computer must have 

Internet browser software installed (e.g. 

Internet Explorer, Netscape, Mozilla 

Firefox); as well as the Adobe Flash 

Player software version 9.0 or greater. 

NMFS will mail initial QS permit 

owners instructions pertinent to setting 

up an online QS account. Each IFQ 

participant must monitor his/her online 

QS account and all associated messages 

and comply with all online reporting 

requirements. 

(3) Renewal, change of permit 

ownership, and transfer—(i) Renewal. 

(A) QS permits expire at the end of each 

calendar year, and must be renewed 

between October 1 and November 30 of 

each year in order to remain in force the 

following year. A complete QS permit 

renewal package must be received by 

SFD no later than November 30 to be 

accepted by NMFS. 

(B) Notification to renew QS permits 

will be issued by SFD prior to 

September 1 each year to the QS permit 

owner’s most recent address in the SFD 

record. The permit owner shall provide 

SFD with notice of any address change 

within 15 days of the change. 

(C) Any QS permit for which SFD 

does not receive a QS permit renewal 

request by November 30 will have its 

QS account inactivated by NMFS at the 

end of the calendar year and the QS 

permit will not be renewed by NMFS for 

the following year. NMFS will not issue 

QP or IBQ pounds to the inactivated QS 

account associated with the nonrenewed QS permit. Any QP or IBQ 

pounds derived from the QS in the 

inactivated QS account will be 

redistributed among all other QS permit 

owners that renewed their permit by the 

deadline. Redistribution to QS permit 

owners will be proportional to the QS 

or IBQ for each IFQ species. A nonrenewed QS permit may be renewed in 

a subsequent year by submission of a 

complete QS permit renewal package 

during the permit renewal period for 

that year. 

(D) QS permits will not be renewed 

until SFD has received a complete 

application for a QS permit renewal, 

which includes payment of required 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53424 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

fees, complete documentation of QS 

permit ownership on the Trawl 

Identification of Ownership Interest 

Form as required under (d)(4)(iv) of this 

section, and a complete economic data 

collection form if required under 

§ 660.114, subpart D. The QS permit 

renewal will be marked incomplete 

until the required information is 

submitted. 

(E) Effective Date. A QS permit is 

effective on the date given on the permit 

and remains in effective until the end of 

the calendar year. 

(F) IAD and appeals. QS permit 

renewals are subject to the permit 

appeals process specified at § 660.25(g), 

subpart C. 

(ii) Change of permit ownership and 

transfer restrictions—(A) Restriction on 

the transfer of ownership for QS 

permits. A QS permit cannot be 

transferred to another individual or 

entity. The QS permit owner cannot 

change or add additional individuals or 

entities as owners of the permit (i.e., 

cannot change the registered permit 

owners as given on the permit). Any 

change to the owner of the QS permit 

requires the new owner(s) to apply for 

a QS permit, and is subject to 

accumulation limits and approval by 

NMFS. 

(B) Transfer of QS or IBQ. Transfers 

of QS or IBQ must be accomplished 

online via the IFQ Web site. To make a 

transfer, a QS permit owner must 

initiate a transfer request by logging 

onto the IFQ Web site. Following the 

instructions provided on the Web site, 

the QS permit owner must enter 

pertinent information regarding the 

transfer request including, but not 

limited to: amount of QS, IBQ, QP or 

IBQ pounds to be transferred; name and 

any other identifier of the eligible 

transferee (e.g., account number); and 

the value of the transferred QS, IBQ, QP, 

or IBQ pounds. If the information is not 

accepted, the online system will send 

the QS permit owner an electronic 

message explaining the reason(s). 

During the year there may be situations 

where NMFS deems it necessary to 

prohibit transfers (i.e., account 

reconciliation, system maintenance, or 

for emergency fishery management 

reasons). If the information is accepted, 

the online system will send the 

transferee an electronic message 

regarding the pending transfer. The 

transferee must approve the transfer by 

electronic signature. If the transferee 

approves the transfer, the online system 

will send a transfer transaction 

confirmation notice to both the QS 

permit owner and the vessel account 

owner confirming the transaction. If the 

transaction itself is incorrectly recorded, 

either party can contact the NMFS NWR 

for instructions on how to request a 

correction. NMFS will review and make 

a determination on whether to make a 

correction based on the request and 

available information. 

(1) Transfer of QS or IBQ between QS 

accounts. After the second year of the 

trawl rationalization program, QS 

permit owners may transfer QS or IBQ 

to another QS permit owner, subject to 

accumulation limits and approval by 

NMFS. QS or IBQ is transferred as a 

percent, divisible to one-thousandth of 

a percent (i.e., greater than or equal to 

0.001%). QP or IBQ pounds may not be 

transferred with the QS or IBQ. During 

the first 2 years after implementation of 

the program, QS or IBQ cannot be 

transferred to another QS permit owner, 

except under U.S. court order and as 

approved by NMFS. QS or IBQ may not 

be transferred between December 1 

through December 31. 

(2) Transfer of QP or IBQ pounds from 

a QS account to a vessel account. QP or 

IBQ pounds must be transferred in 

whole pounds (i.e. no fraction of a QP 

can be transferred). QP or IBQ pounds 

must be transferred to a vessel account 

in order to be used. Transfers of QP or 

IBQ pounds from a QS account are 

subject to vessel accumulation limits 

and NMFS’ approval. All QP or IBQ 

pounds from a QS account must be 

transferred to one or more vessel 

accounts by September 1 each year. 

Once QP or IBQ pounds are transferred 

from a QS account to a vessel account, 

they cannot be transferred back to a QS 

account and may only be transferred to 

another vessel account. QP or IBQ 

pounds may not be transferred from one 

QS account to another QS account. 

(C) Effective date—(1) Transfer of QS 

or IBQ between QS accounts is effective 

on the date approved by NMFS. 

(2) Transfer of QP or IBQ pounds from 

a QS account to a vessel account is 

effective on the date approved by 

NMFS. 

(E) IAD and appeals. Transfers are 

subject to the permit appeals process 

specified at § 660.25 (g), subpart C. 

* * * * * 

(4) * * * 

(iv) Trawl identification of ownership 

interest form. Any person that owns a 

limited entry trawl permit and that is 

applying for or renewing a QS permit 

shall document those persons that have 

an ownership interest in the limited 

entry trawl or QS permit greater than or 

equal to 2 percent. This ownership 

interest must be documented with the 

SFD via the Trawl Identification of 

Ownership Interest Form. For renewal, 

if the limited entry trawl permit and QS 

permit have identical ownership 

interest, only one form need be 

submitted attesting to such ownership. 

SFD will not issue a QS Permit unless 

the Trawl Identification of Ownership 

Interest Form has been completed. 

Further, if SFD discovers through 

review of the Trawl Identification of 

Ownership Interest Form that a person 

owns or controls more than the 

accumulation limits and is not 

authorized to do so under paragraph 

(d)(4)(v) of this section, the person will 

be notified and the QS permit will be 

issued up to the accumulation limit 

specified in the QS Control Limit table 

from paragraph (d)(4)(i) of this section. 

NMFS may request additional 

information of the applicant as 

necessary to verify compliance with 

accumulation limits. 

* * * * * 

(5) Appeals. An appeal to a QS permit 

or QS account action follows the same 

process as the general permit appeals 

process is defined at § 660.25(g), subpart 

C. 

* * * * * 

(7) Cost recovery. [Reserved] 

* * * * * 

(e) Vessel account—(1) General. QP or 

IBQ pounds will have the same species/ 

species groups and area designations as 

the QS or IBQ from which it was issued. 

Annually, QS or IBQ (expressed as a 

percent) are converted to QP or IBQ 

pounds (expressed as a weight) in a QS 

account. QP or IBQ pounds may only be 

transferred from a QS account to a 

vessel account. QP or IBQ pounds are 

required to cover catch (landings and 

discards) by limited entry trawl vessels 

of all IFQ species/species groups, except 

for: 

(i) Gear exception. Vessels with a 

limited entry trawl permit using the 

following gears would not be required to 

cover groundfish catch with QP or 

Pacific halibut catch with IBQ pounds: 

non-groundfish trawl, gear types 

defined in the coastal pelagic species 

FMP, gear types defined in the highly 

migratory species FMP, salmon troll, 

crab pot, and limited entry fixed gear 

when the vessel also has a limited entry 

permit endorsed for fixed gear and has 

declared that they are fishing in the 

limited entry fixed gear fishery. 

(ii) Species exception. QP are not 

required for the following species, 

longspine thornyheads south of 34°27 

N. lat., minor nearshore rockfish (north 

and south), black rockfish (coastwide), 

California scorpionfish, cabezon, kelp 

greenling, shortbelly rockfish, and 

‘‘other fish’’ (as defined at § 660.11, 

subpart C, under the definition of 

‘‘groundfish’’). For these species, trip 


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limits remain in place as specified in 

the trip limit tables at Table 1 (North) 

and Table 1 (South) of this subpart. 

(2) Eligibility and registration—(i) 

Eligibility. To have a registered vessel 

account, a person must own a vessel 

and that vessel must be registered to a 

groundfish limited entry permit 

endorsed for trawl gear. 

(ii) Registration. A vessel account 

must be registered with the NMFS SFD 

Permits Office. A vessel account may be 

established at any time during the year. 

An eligible vessel owner must request in 

writing that NMFS establish a vessel 

account. The request must include the 

vessel name; USCG vessel registration 

number (as given on USCG Form 1270); 

all vessel owner names (as given on 

USCG Form 1270); if the vessel owner 

is a business entity, then include the 

name of the authorized vessel account 

manager that may act on behalf of the 

entity; business contact information, 

including: address, phone number, fax 

number, and e-mail. Applications for a 

vessel account must also include the 

following information: a complete 

economic data collection form as 

required under § 660.113(b), (c) and (d), 

subpart D, and a complete Trawl 

Identification of Ownership Interest 

Form as required under paragraph 

(e)(4)(ii) of this section. The application 

for a vessel account will be marked 

incomplete until the required 

information is submitted. Any change in 

the legal name of the vessel owner(s) 

will require the new owner to register 

with NMFS for a vessel account. 

(3) Renewal, change of account 

ownership, and transfer of QP or IBQ 

pounds—(i) Renewal. (A) Vessel 

accounts expire at the end of each 

calendar year, and must be renewed 

between October 1 and November 30 of 

each year in order to remain in force the 

following year. A complete vessel 

account renewal package must be 

received by SFD no later than November 

30 to be accepted by NMFS. 

(B) Notification to renew vessel 

accounts will be issued by SFD prior to 

September 1 each year to the vessel 

account owner’s most recent address in 

the SFD record. The vessel account 

owner shall provide SFD with notice of 

any address change within 15 days of 

the change. 

(C) Any vessel account for which SFD 

does not receive a vessel account 

renewal request by November 30 will 

have its vessel account inactivated by 

NMFS at the end of the calendar year. 

NMFS will not issue QP or IBQ pounds 

to the inactivated vessel account. Any 

QP or IBQ pounds in the vessel account 

will expire and surplus QP or IBQ 

pounds will not be available for 

carryover. A non-renewed vessel 

account may be renewed in a 

subsequent year by submission of a 

complete vessel account renewal 

package. 

(D) Vessel accounts will not be 

renewed until SFD has received a 

complete application for a vessel 

account renewal, which includes 

payment of required fees, a complete 

documentation of permit ownership on 

the Trawl Identification of Ownership 

Interest Form as required under (e)(4)(ii) 

of this section, and a complete 

economic data collection form as 

required under § 660.114, subpart D. 

The vessel account renewal will be 

marked incomplete until the required 

information is submitted. 

(E) Effective Date. A vessel account is 

effective on the date issued by NMFS 

and remains effective until the end of 

the calendar year. 

(F) IAD and appeals. Vessel account 

renewals are subject to the appeals 

process specified at § 660.25 (g), subpart 

C. 

(ii) Change in vessel account 

ownership. Vessel accounts are nontransferable and ownership of a vessel 

account cannot change. If the owner of 

a vessel changes, then a new vessel 

account must be opened. 

(iii) Transfer of QP or IBQ pounds— 

(A) General. QP or IBQ pounds may 

only be transferred from a QS account 

to a vessel account or between vessel 

accounts. QP or IBQ pounds cannot be 

transferred from a vessel account to a 

QS account. QP or IBQ pounds transfers 

are subject to accumulation limits. QP 

or IBQ pounds in a vessel account may 

only be transferred to another vessel 

account. QP or IBQ pounds must be 

transferred in whole pounds (i.e. no 

fraction of a QP can be transferred). 

(B) Transfer procedures. QP or IBQ 

pound transfers from one vessel account 

to another vessel account must be 

accomplished online via the IFQ Web 

site. A vessel account owner must 

initiate a transfer request by logging 

onto the IFQ Web site. Following the 

instructions provided on the Web site, 

the vessel account owner must enter 

pertinent information regarding the 

transfer request including, but not 

limited to: Amount of QP or IBQ pounds 

to be transferred (in whole pound 

increments); name and any other 

identifier (e.g., vessel account number) 

of the eligible vessel account receiving 

the transfer; and value of the transferred 

QPs or IBQ pounds. The online system 

will verify the information entered. If 

the information is not accepted, the 

online system will send the both parties 

an electronic message explaining the 

reason(s). If the information is accepted, 

the online system will send the 

transferee receiving the QP or IBQ 

pounds an electronic message of the 

pending transfer. The transferee must 

approve the transfer by electronic 

signature. If the transferee approves the 

QP or IBQ pound transfer, the online 

system will send a transfer transaction 

confirmation notice to both the vessel 

account owner that made the transfer 

and transferee receiving the QP or IBQ 

pounds. Once this confirmation is 

received, this transaction is final. If the 

transaction itself is incorrectly recorded, 

either party can contact the NMFS NWR 

for instructions on how to request a 

correction. NMFS will review and make 

a determination on whether to make a 

correction based on the request and 

available information. QP or IBQ 

pounds may be transferred to vessel 

accounts at any time during the year 

unless otherwise notified by NMFS. 

During the year there may be situations 

where NMFS deems it necessary to 

prohibit transfers because of account 

reconciliation purposes, system 

maintenance, or for emergency fishery 

management reasons. 

(4) Accumulation limits—(i) Vessel 

limits. Vessel accounts may not have QP 

or IBQ pounds in excess of the QP 

Vessel Limit in any year, and for species 

covered by Unused QP Vessel Limits, 

may not have QP or IBQ pounds in 

excess of the Unused QP Vessel Limit at 

any time. These amounts are as follows: 

Species category 

QP Vessel limit 

(annual limit) 

% 

Unused 

QP Vessel limit 

(daily limit) 

% 

Nonwhiting Groundfish Species .................................................................................................................. 3.2 ..............................

Lingcod—coastwide ..................................................................................................................................... 3.8 ..............................

Pacific Cod ................................................................................................................................................... 20.0 ..............................

Pacific whiting (shoreside) ........................................................................................................................... 15.0 ..............................

Sablefish: 


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Species category 

QP Vessel limit 

(annual limit) 

% 

Unused 

QP Vessel limit 

(daily limit) 

% 

N. of 36° (Monterey north) ................................................................................................................... 4.5 ..............................

S. of 36° (Conception area) ................................................................................................................. 15.0 ..............................

PACIFIC OCEAN PERCH ........................................................................................................................... 6.0 4.0 

WIDOW ROCKFISH 1 ................................................................................................................................. 8.5 5.1 

CANARY ROCKFISH .................................................................................................................................. 10.0 4.4 

Chilipepper Rockfish .................................................................................................................................... 15.0 ..............................

BOCACCIO .................................................................................................................................................. 15.4 13.2 

Splitnose Rockfish ....................................................................................................................................... 15.0 ..............................

Yellowtail Rockfish ....................................................................................................................................... 7.5 ..............................

Shortspine Thornyhead: 

N. of 34°27’ ........................................................................................................................................... 9.0 ..............................

S. of 34°27’ ........................................................................................................................................... 9.0 ..............................

Longspine Thornyhead: 

N. of 34°27’ ........................................................................................................................................... 9.0 ..............................

COWCOD .................................................................................................................................................... 17.7 17.7 

DARKBLOTCHED ....................................................................................................................................... 6.8 4.5 

YELLOWEYE ............................................................................................................................................... 11.4 5.7 

Minor Rockfish North: 

Shelf Species ........................................................................................................................................ 7.5 ..............................

Slope Species ....................................................................................................................................... 7.5 ..............................

Minor Rockfish South: 

Shelf Species ........................................................................................................................................ 13.5 ..............................

Slope Species ....................................................................................................................................... 9.0 ..............................

Dover sole .................................................................................................................................................... 3.9 ..............................

English Sole ................................................................................................................................................. 7.5 ..............................

Petrale Sole ................................................................................................................................................. 4.5 ..............................

Arrowtooth Flounder .................................................................................................................................... 20.0 ..............................

Starry Flounder ............................................................................................................................................ 20.0 ..............................

Other Flatfish ............................................................................................................................................... 15.0 ..............................

Pacific Halibut .............................................................................................................................................. 14.4 5.4 

1 If widow rockfish is rebuilt before initial allocation of QS, the vessel limit will be set at 1.5 times the control limit. 

(ii) Trawl identification of ownership 

interest form. Any person that owns a 

vessel registered to a limited entry trawl 

permit and that is applying for or 

renewing a vessel account shall 

document those persons that have an 

ownership interest in the vessel greater 

than or equal to 2 percent. This 

ownership interest must be documented 

with the SFD via the Trawl 

Identification of Ownership Interest 

Form. SFD will not issue a vessel 

account unless the Trawl Identification 

of Ownership Interest Form has been 

completed. NMFS may request 

additional information of the applicant 

as necessary to verify compliance with 

accumulation limits. 

(5) Carryover. The carryover provision 

allows a limited amount of surplus QP 

or IBQ pounds in a vessel account to be 

carried over from one year to the next 

or allows a deficit in a vessel account in 

one year to be covered with QP or IBQ 

pounds from a subsequent year, up to a 

carryover limit. The carryover limit is 

calculated by multiplying the carryover 

percentage by the cumulative total of QP 

or IBQ pounds (used and unused) in a 

vessel account for the base year, less any 

transfers out of the vessel account or 

any previous carryover amounts. The 

percentage used for the carryover 

provision may be changed during the 

biennial specifications and management 

measures process. 

(i) Surplus QP or IBQ pounds. A 

vessel account with a surplus of QP or 

IBQ pounds (unused QP or IBQ pounds) 

for any IFQ species at the end of the 

fishing year may carryover for use in the 

immediately following year an amount 

of unused QP or IBQ pounds up to its 

carryover limit. The carryover limit for 

the surplus is calculated as 10 percent 

of the cumulative total QP or IBQ 

pounds (used and unused, less any 

transfers or any previous carryover 

amounts) in the vessel account at the 

end of the year. NMFS will credit the 

carryover amount to the vessel account 

in the immediately following year. If 

there is a decline in the OY between the 

base year and the following year in 

which the QP or IBQ pounds would be 

carried over, the carryover amount will 

be reduced in proportion to the 

reduction in the OY. Surplus QP or IBQ 

pounds may not be carried over for 

more than one year. Any amount of QP 

or IBQ pounds in a vessel account and 

in excess of the carryover amount will 

expire on December 31 each year and 

will not be available for any future use. 

(ii) Deficit QP or IBQ pounds. A vessel 

account with a deficit (negative balance) 

of QP or IBQ pounds for any IFQ species 

in the current year may cover that 

deficit with QP or IBQ pounds from the 

following year without incurring a 

violation if the following conditions are 

met: 

(A) The vessel declares out of the 

shorebased IFQ fishery for the year in 

which the deficit occurred (If the deficit 

occurs less than 30 days before the end 

of the calendar year, then declaring out 

for the year is not required.); 

(B) The amount of QP or IBQ pounds 

required to cover the deficit from the 

current fishing year is less than or equal 

to the vessel’s carryover limit for a 

deficit. The carryover limit for a deficit 

is calculated as 10 percent of the total 

cumulative QP or IBQ pounds (used and 

unused, less any transfers or any 

previous carryover amounts) in the 

vessel account 30 days after the date the 

deficit is documented; and 

(C) Sufficient QP or IBQ pounds are 

transferred in to the vessel account to 

cure the deficit within 30 days of 

NMFS’ issuance of QP or IBQ pounds to 

QS accounts in the following year. 

(6) Appeals. An appeal to a vessel 

account action follows the appeals 

process defined at § 660.25(g), subpart 

C. 

(7) Fees. The Regional Administrator 

is authorized to charge fees for 

administrative costs associated with the 


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vessel accounts consistent with the 

provisions given at § 660.25(f), subpart 

C. 

(8) Cost recovery. [Reserved] 

(f) First receiver site license—(1) 

General. Any IFQ first receiver that 

receives IFQ landings must hold a valid 

first receiver site license. The first 

receiver site license authorizes the 

holder to receive, purchase, or take 

custody, control, or possession of an 

IFQ landing at a specific physical site 

onshore directly from a vessel. Once the 

trawl rationalization program is 

implemented, a temporary, interim first 

receiver site license will be available by 

application to NMFS and will be valid 

until June 30, 2011, or until an 

application for a first receiver site 

license as specified in paragraph (f)(3) of 

this section is approved by NMFS, 

whichever comes first. An application 

for an interim first receiver site license 

is subject to all of the requirements in 

this paragraph (f) including the 

submission of a catch monitoring plan, 

except that the catch monitoring plan in 

paragraph (f)(3)(iii) does not have to 

have been previously accepted by 

NMFS and the site does not have to 

have been previously inspected. 

(2) Issuance. (i) First receiver site 

licenses will only be issued to a person 

registered to a valid license issued by 

the State of Washington, Oregon, or 

California, and that authorizes the 

person to receive fish from a catcher 

vessel. 

(ii) A first receiver may apply for a 

first receiver site license at any time 

during the calendar year. 

(iii) A first receiver site license is 

valid for one year from the date it was 

issued by NMFS, or until the State 

license required by paragraph (f)(2)(i) of 

this section is no longer effective, 

whichever occurs first. IFQ first 

receivers must reapply for a first 

receiver site license each year and 

whenever a change in the ownership 

occurs. 

(3) Application process. Persons 

interested in being licensed as an IFQ 

first receiver must submit a complete 

application for a first receiver site 

license. NMFS will only consider 

complete applications for approval. A 

complete application includes: 

(i) State license. A copy of a valid 

license issued by the State in which 

they operate which allows the person to 

receive fish from a catcher vessel. 

(ii) Contact information. (A) The 

name of the first receiver, 

(B) The physical location of the first 

receiver, including the street address 

where the IFQ landings will be received 

and/or processed. 

(C) The name and phone number of 

the plant manager and any other 

authorized representative who will 

serve as a point of contact with NMFS. 

(iii) A NMFS–accepted catch 

monitoring plan. All IFQ first receivers 

must prepare and operate under a 

NMFS-accepted catch monitoring plan. 

NMFS will not issue a first receiver site 

license to a processor that does not have 

a current, NMFS-accepted catch 

monitoring plan. 

(A) Catch monitoring plan review 

process. NMFS will accept a catch 

monitoring plan if it meets all the 

requirements specified in paragraph 

(f)(3)(iii)(C) of this section. The site 

must be inspected by NMFS staff or a 

NMFS designated inspector prior to 

acceptance to ensure that the first 

receiver conforms to the elements 

addressed in the catch monitoring plan. 

NMFS will complete its review of the 

catch monitoring plan within 14 

working days of receiving a complete 

catch monitoring plan and conducting a 

monitoring plan inspection. If NMFS 

does not accept a catch monitoring plan 

for any reason, a new or revised catch 

monitoring plan may be submitted. 

(B) Arranging an inspection. The time 

and place of a monitoring plan 

inspection must be arranged by 

submitting a written request for an 

inspection to NMFS at NMFS, 

Northwest Region, Permits Office, Attn: 

Catch Monitor Coordinator, Bldg. 1, 

7600 Sand Point Way NE., Seattle, WA 

98115. NMFS will schedule an 

inspection within ten working days after 

receiving a complete application for an 

inspection. The inspection request must 

include: 

(1) Name and signature of the person 

submitting the application and the date 

of the application; 

(2) Address, telephone number, fax 

number, and e-mail address (if 

available) of the person submitting the 

application; 

(3) A proposed catch monitoring plan 

detailing how the IFQ first receiver will 

meet each of the performance standards 

in paragraph (f)(3)(iii)(C) of this section. 

(C) Contents of a catch monitoring 

plan. The catch monitoring plan must: 

(1) Catch sorting. Describe the amount 

and location of all space used for sorting 

catch, the number of staff assigned to 

catch sorting, and the maximum rate 

that catch will flow through the sorting 

area. 

(2) Monitoring for complete sorting. 

Detail how IFQ first receiver staff will 

ensure that sorting is complete; what 

steps will be taken to prevent unsorted 

catch from entering the factory or other 

areas beyond the location where catch 

sorting and weighing can be monitored 

from the observation area; and what 

steps will be taken if unsorted catch 

enters the factory or other areas beyond 

the location where catch sorting and 

weighing can be monitored from the 

observation area. 

(3) Scales used for weighing IFQ 

landings. Identify each scale that will be 

used to weigh IFQ landings by the type 

and capacity and describe where it is 

located and what it will be used for. 

Each scale must be appropriate for its 

intended use. 

(4) Printed record. Identify all scales 

that will be used to weigh IFQ landings 

that cannot produce a complete printed 

record as specified at § 660.15(c), 

subpart C. State how the scale will be 

used, and how the plant intends to 

produce a complete and accurate record 

of the total weight of each delivery. 

(5) Weight monitoring. Detail how the 

IFQ first receiver will ensure that all 

catch is weighed and the process used 

to meet the catch weighing requirements 

specified at paragraph (j) of this section. 

If a catch monitoring plan proposes the 

use of totes in which IFQ species will 

be weighed, or a deduction for the 

weight of ice, the catch monitoring plan 

must detail how the process will 

accurately account for the weight of ice 

and/or totes. 

(6) Delivery points. Identify specific 

delivery points where catch is removed 

from an IFQ vessel. The delivery point 

is the first location where fish removed 

from a delivering catcher vessel can be 

sorted or diverted to more than one 

location. If the catch is pumped from 

the hold of a catcher vessel or a codend, 

the delivery point will be the location 

where the pump first discharges the 

catch. If catch is removed from a vessel 

by brailing, the delivery point normally 

will be the bin or belt where the brailer 

discharges the catch. 

(7) Observation area. Designate and 

describe the observation area. The 

observation area is a location where a 

catch monitor may monitor the flow of 

fish during a delivery, including: access 

to the observation area, the flow of fish, 

and lighting used during periods of 

limited visibility. Standards for the 

observation area are specified at 

paragraph (i)(4)(ii) of this section. 

(8) Lockable cabinet. Identify the 

location of a secure, dry, and lockable 

cabinet or locker with the minimum 

interior dimensions of two feet wide by 

two feet tall by two feet deep for the 

exclusive use of the catch monitor, 

NMFS staff, or authorized officers. 

(9) Plant liaison. Identify the 

designated plant liaison. The plant 

liaison responsibilities are specified at 

paragraph (i)(6) of this section. 


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53428 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

(10) First receiver diagram. The catch 

monitoring plan must be accompanied 

by a diagram of the plant showing: 

(i) The delivery point(s); 

(ii) The observation area; 

(iii) The lockable cabinet; 

(iv) The location of each scale used to 

weigh catch; and 

(v) Each location where catch is 

sorted. 

(D) Catch monitoring plan acceptance 

period and changes. NMFS will accept 

a catch monitoring plan if it meets the 

performance standards specified in 

paragraph (f)(3)(iii)(C) of this section. 

For the first receiver site license to 

remain in effect through the calendar 

year, an owner or manager must notify 

NMFS in writing of any and all changes 

made in IFQ first receiver operations or 

layout that do not conform to the catch 

monitoring plan. 

(E) Changing a NMFS-accepted catch 

monitoring plan. An owner and 

manager may change an accepted catch 

monitoring plan by submitting a plan 

addendum to NMFS. NMFS will accept 

the modified catch monitoring plan if it 

continues to meet the performance 

standards specified in paragraph 

(f)(3)(iii)(C) of this section. Depending 

on the nature and magnitude of the 

change requested, NMFS may require an 

additional catch monitoring plan 

inspections. A catch monitoring plan 

addendum must contain: 

(1) Name and signature of the person 

submitting the addendum; 

(2) Address, telephone number, fax 

number and e-mail address (if available) 

of the person submitting the addendum; 

(3) A complete description of the 

proposed catch monitoring plan change. 

(iv) Completed EDC form. A first 

receiver site license application must 

include a complete economic data 

collection form as required under 

§ 660.113(b), subpart D. The application 

for a first receiver site license will be 

marked incomplete until the required 

information is submitted. 

(4) Initial administrative 

determination. For all complete 

applications, NMFS will issue an IAD 

that either approves or disapproves the 

application. If approved, the IAD will 

include a first receiver site license. If 

disapproved, the IAD will provide the 

reasons for this determination. 

(5) Effective date. The first receiver 

site license is effective upon approval 

and issuance by NMFS and will be 

effective for one year from the date of 

NMFS issuance. 

(6) Reissuance in subsequent years. 

Existing license holders must reapply 

annually. If the existing license holder 

fails to reapply, the first receiver’s site 

license will expire one year from the 

date of NMFS issuance of the license. 

The first receiver will not be authorized 

to receive or process groundfish IFQ 

species if their first receiver site license 

has expired. 

(7) Change in ownership of an IFQ 

first receiver. If there are any changes to 

the owner of a first receiver registered 

to a first receiver site license during a 

calendar year, the first receiver site 

license is void. The new owner of the 

first receiver must apply to NMFS for a 

first receiver site license. A first receiver 

site license is not transferrable by the 

license holder to any other person. 

(8) Fees. The Regional Administrator 

is authorized to charge fees for 

administrative costs associated with 

processing the application consistent 

with the provisions given at § 660.25(f), 

subpart C. 

(9) Appeals. If NMFS does not accept 

the first receiver site license application 

through an IAD, the applicant may 

appeal the IAD consistent with the 

general permit appeals process defined 

at § 660.25(g), subpart C. 

(g) Retention requirements (whiting 

and non-whiting vessels)—(1) Nonwhiting vessels. Vessels participating in 

the Shoreside IFQ Program other than 

vessels participating in the Pacific 

whiting IFQ fishery (non-whiting 

vessels) may discard IFQ species/ 

species groups, provided such discards 

are accounted for and deducted from QP 

in the vessel account. Non-whiting 

vessels must discard Pacific halibut and 

the discard mortality must be accounted 

for and deducted from IBQ pounds in 

the vessel account. Non-whiting vessels 

may discard non-IFQ species and nongroundfish species. The sorting of catch, 

the weighing and discarding of any IBQ 

and IFQ species, and the retention of 

IFQ species must be monitored by the 

observer. 

(2) Whiting maximized retention 

vessels. Maximized retention vessels 

participating in the Pacific whiting IFQ 

fishery are prohibited from discarding 

any IFQ species/species group and 

nongroundfish species. 

(3) Whiting vessels sorting at-sea. 

Vessels participating in the Pacific 

whiting IFQ fishery that sort their catch 

at sea (whiting vessels sorting at-sea) 

may discard IFQ species/species groups, 

provided such discards are accounted 

for and deducted from QP in the vessel 

account. Whiting vessels sorting at sea 

must discard Pacific halibut and such 

discard mortality must be accounted for 

and deducted from IBQ pounds in the 

vessel account. Whiting vessels sorting 

at-sea may discard non-IFQ species and 

non-groundfish species. The sorting of 

catch, weighing and discarding of any 

IFQ or IBQ species must be monitored 

by the observer. 

(h) Observer requirements—(1) 

Coverage requirements. (i) Any vessel 

participating in the Shorebased IFQ 

Program must carry a NMFS-certified 

observer during any trip until all fish 

from that trip have been offloaded. If a 

vessel delivers fish from an IFQ trip to 

more than one IFQ first receiver, the 

observer must remain onboard the 

vessel during any transit between 

delivery points. 

(ii) The observer deployment 

limitations and workload. Observer 

must not be deployed for more than 22 

calendar days in a calendar month. The 

observer program may issue waivers to 

allow observers to work more than 22 

calendar days per month when it’s 

anticipated one trip will last over 20 

days or for issues with observer 

availability due to illness or injury of 

other observers. 

(A) If an observer is unable to perform 

their duties for any reason, the vessel is 

required to be in port within 36 hours 

of the last haul sampled by the observer. 

(B) [Reserved] 

(iii) Any boarding refusal on the part 

of the observer or vessel is immediately 

reported to the observer program and 

NOAA OLE by the observer provider. 

The observer must be available for an 

interview with the observer program or 

NOAA OLE if necessary. 

(2) Vessel responsibilities—(i) 

Accommodations and food. (A) 

Accommodations and food for trips less 

than 24 hours must be equivalent to 

those provided for the crew. 

(B) Accommodations and food for 

trips of 24 hours or more must be 

equivalent to those provided for the 

crew and must include berthing space, 

a space that is intended to be used for 

sleeping and is provided with installed 

bunks and mattresses. A mattress or 

futon on the floor or a cot is not 

acceptable if a regular bunk is provided 

to any crew member, unless other 

arrangements are approved in advance 

by the Regional Administrator or their 

designee. 

(ii) Safe conditions. (A) Maintain safe 

conditions on the vessel for the 

protection of observers including 

adherence to all U.S. Coast Guard and 

other applicable rules, regulations, 

statutes, and guidelines pertaining to 

safe operation of the vessel, including, 

but not limited to rules of the road, 

vessel stability, emergency drills, 

emergency equipment, vessel 

maintenance, vessel general condition 

and port bar crossings. An observer may 

refuse boarding or reboarding a vessel 

and may request a vessel to return to 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
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port if operated in an unsafe manner or 

if unsafe conditions are identified. 

(B) Have on board: A valid 

Commercial Fishing Vessel Safety Decal 

that certifies compliance with 

regulations found in 33 CFR Chapter I 

and 46 CFR Chapter I, a certificate of 

compliance issued pursuant to 46 CFR 

28.710 or a valid certificate of 

inspection pursuant to 46 U.S.C. 3311. 

(iii) Computer hardware and software. 

[Reserved] 

(iv) Vessel position. Allow observer(s) 

access to the vessel’s navigation 

equipment and personnel, on request, to 

determine the vessel’s position. 

(v) Access. Allow observer(s) free and 

unobstructed access to the vessel’s 

bridge, trawl or working deck, holding 

bins, sorting areas, cargo hold, and any 

other space that may be used to hold, 

process, weigh, or store fish at any time. 

(vi) Prior notification. Notify 

observer(s) at least 15 minutes before 

fish are brought on board to allow 

sampling the catch. 

(vii) Records. Allow observer(s) to 

inspect and copy any state or Federal 

logbook maintained voluntarily or as 

required by regulation. 

(viii) Assistance. Provide all other 

reasonable assistance to enable 

observer(s) to carry out their duties, 

including, but not limited to: 

(A) Measuring decks, codends, and 

holding bins. 

(B) Providing a designated working 

area on deck for the observer(s) to 

collect, sort and store catch samples. 

(C) Collecting samples of catch. 

(D) Collecting and carrying baskets of 

fish. 

(E) Allowing the observer(s) to collect 

biological data and samples. 

(F) Providing adequate space for 

storage of biological samples. 

(G) Providing time between hauls to 

sample and record all catch. 

(H) Sorting retained and discarded 

catch into quota pound groupings. 

(I) Stowing all catch from a haul 

before the next haul is brought aboard. 

(ix) Sampling station. To allow the 

observer to carry out the required 

duties, the vessel owner must provide 

an observer sampling station that is: 

(A) Accessible. The observer sampling 

station must be available to the observer 

at all times. 

(B) Limits hazards. To the extent 

possible, the area should be free and 

clear of hazards including, but not 

limited to, moving fishing gear, stored 

fishing gear, inclement weather 

conditions, and open hatches. 

(x) Transfers at sea. Transfers at-sea 

are prohibited. 

(3) Procurement of observer services— 

(i) Owners of vessels required to carry 

observers under paragraph (a)(1) of this 

section must arrange for observer 

services from a permitted observer 

provider, except that: 

(A) Vessels are required to procure 

observer services directly from NMFS 

when NMFS has determined and given 

notification that the vessel must carry 

NMFS staff or an individual authorized 

by NMFS in lieu of an observer 

provided by a permitted observer 

provider. 

(B) Vessels are required to procure 

observer services directly from NMFS 

and a permitted observer provider when 

NMFS has determined and given 

notification that the vessel must carry 

NMFS staff and/or individuals 

authorized by NMFS, in addition to an 

observer provided by a permitted 

observer provider. 

(ii) [Reserved] 

(4) Application to become an observer 

provider. Any observer provider holding 

a valid permit issued by the North 

Pacific observer program in 2010 can 

supply observer services to the west 

coast trawl fishery and will be issued a 

West Coast Groundfish Observer 

Program permit. 

(5) Observer provider responsibilities. 

Observer providers must: 

(i) Provide qualified candidates to 

serve as observers. 

(A) To be qualified, a candidate must 

have: 

(1) A Bachelor’s degree or higher from 

an accredited college or university with 

a major in one of the natural sciences; 

(2) Successfully completed a 

minimum of 30 semester hours or 

equivalent in applicable biological 

sciences with extensive use of 

dichotomous keys in at least one course; 

(3) Successfully completed at least 

one undergraduate course each in math 

and statistics with a minimum of 5 

semester hours total for both; and 

(4) Computer skills that enable the 

candidate to work competently with 

standard database software and 

computer hardware. 

(ii) Prior to hiring an observer 

candidate, the observer provider must: 

(A) Provide the candidate a copy of 

NMFS-provided pamphlets, information 

and other literature describing observer 

duties, for example, the West Coast 

Groundfish Observer Program’s 

sampling manual. Observer job 

information is available from the 

Observer Program Office’s Web site at 

http://www.nwfsc.noaa.gov/research/ 

divisions/fram/observer/index.cfm. 

(B) For each observer employed by an 

observer provider, have a written 

contract or a written contract addendum 

signed by the observer and observer 

provider prior to the observer’s 

deployment with the following clauses: 

(1) That all the observer’s in-season 

catch messages between the observer 

and NMFS are delivered to the Observer 

Program Office as specified by the 

Observer Program instructions; 

(2) That the observer inform the 

observer provider prior to the time of 

embarkation if he or she is experiencing 

any new mental illness or physical 

ailments or injury since submission of 

the physician’s statement as required as 

a qualified observer candidate that 

would prevent him or her from 

performing their assigned duties; and 

(3) That every observer completes a 

basic cardiopulmonary resuscitation/ 

first aid course prior to the end of the 

NMFS West Coast Groundfish Observer 

Training class. 

(iii) Ensure that observers complete 

duties in a timely manner. Observer 

providers must ensure that observers 

employed by that observer provider do 

the following in a complete and timely 

manner: 

(A) Submit to NMFS all data, 

logbooks and reports and biological 

samples as required under the observer 

program policy deadlines. 

(B) Report for his or her scheduled 

debriefing and complete all debriefing 

responsibilities; and 

(C) Return all sampling and safety 

gear to the Observer Program Office at 

the termination of their contract. 

(iv) Observers provided to vessel. 

(A) Must have a valid West Coast 

Groundfish observer certification; 

(B) Must not have informed the 

provider prior to the time of 

embarkation that he or she is 

experiencing a mental illness or a 

physical ailment or injury developed 

since submission of the physician’s 

statement, as required in paragraph 

(h)(5)(xi)(B) of this section that would 

prevent him or her from performing his 

or her assigned duties; and 

(C) Must have successfully completed 

all NMFS required training and briefing 

before deployment. 

(v) Respond to industry requests for 

observers. An observer provider must 

provide an observer for deployment 

pursuant to the terms of the contractual 

relationship with the vessel to fulfill 

vessel requirements for observer 

coverage under paragraphs (h)(5)(xi)(D) 

of this section. An alternate observer 

must be supplied in each case where 

injury or illness prevents the observer 

from performing his or her duties or 

where the observer resigns prior to 

completion of his or her duties. If the 

observer provider is unable to respond 

to an industry request for observer 

coverage from a vessel for whom the 


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provider is in a contractual relationship 

due to the lack of available observers by 

the estimated embarking time of the 

vessel, the provider must report it to 

NMFS at least 4 hours prior to the 

vessel’s estimated embarking time. 

(vi) Provide observer salaries and 

benefits. An observer provider must 

provide to its observer employees 

salaries and any other benefits and 

personnel services in accordance with 

the terms of each observer’s contract. 

(vii) Provide observer deployment 

logistics. (A) An observer provider must 

ensure each of its observers under 

contract: 

(1) Has an individually assigned 

mobile or cell phones, in working order, 

for all necessary communication. An 

observer provider may alternatively 

compensate observers for the use of the 

observer’s personal cell phone or pager 

for communications made in support of, 

or necessary for, the observer’s duties. 

(2) Calls into the NMFS deployment 

hotline upon departing and arriving into 

port for each trip to leave the following 

information: observer name, phone 

number, vessel departing on, expected 

trip end date and time. 

(3) Remains available to NOAA Office 

for Law Enforcement and the Observer 

Program until the conclusion of 

debriefing. 

(4) Receives all necessary 

transportation, including arrangements 

and logistics, of observers to the initial 

location of deployment, to all 

subsequent vessel assignments during 

that deployment, and to the debriefing 

location when a deployment ends for 

any reason; and 

(5) Receives lodging, per diem, and 

any other services necessary to 

observers assigned to fishing vessels. 

(i) An observer under contract may be 

housed on a vessel to which he or she 

is assigned: prior to their vessel’s initial 

departure from port; for a period not to 

exceed twenty-four hours following the 

completion of an offload when the 

observer has duties and is scheduled to 

disembark; or for a period not to exceed 

twenty-four hours following the vessel’s 

arrival in port when the observer is 

scheduled to disembark. 

(ii) During all periods an observer is 

housed on a vessel, the observer 

provider must ensure that the vessel 

operator or at least one crew member is 

aboard. 

(iii) Otherwise, each observer between 

vessels, while still under contract with 

a permitted observer provider, shall be 

provided with accommodations in 

accordance with the contract between 

the observer and the observer provider. 

If the observer provider is responsible 

for providing accommodations under 

the contract with the observer, the 

accommodations must be at a licensed 

hotel, motel, bed and breakfast, or other 

shoreside accommodations that has an 

assigned bed for each observer that no 

other person may be assigned to for the 

duration of that observer’s stay. 

Additionally, no more than four beds 

may be in any room housing observers 

at accommodations meeting the 

requirements of this section. 

(viii) Observer deployment limitations 

and workload. (A) Not deploy an 

observer on the same vessel more than 

90 calendar days in a 12-month period, 

unless otherwise authorized by NMFS. 

(B) Not exceed observer deployment 

limitations and workload as outlined in 

paragraph (h)(1)(ii) of this section. 

(ix) Verify vessel’s safety decal. An 

observer provider must verify that a 

vessel has a valid USCG safety decal as 

required under paragraph (h)(2)(ii)(B) of 

this section before an observer may get 

underway aboard the vessel. One of the 

following acceptable means of 

verification must be used to verify the 

decal validity: 

(A) An employee of the observer 

provider, including the observer, 

visually inspects the decal aboard the 

vessel and confirms that the decal is 

valid according to the decal date of 

issuance; or 

(B) The observer provider receives a 

hard copy of the USCG documentation 

of the decal issuance from the vessel 

owner or operator. 

(x) Maintain communications with 

observers. An observer provider must 

have an employee responsible for 

observer activities on call 24 hours a 

day to handle emergencies involving 

observers or problems concerning 

observer logistics, whenever observers 

are at sea, in transit, or in port awaiting 

vessel reassignment. 

(xi) Maintain communications with 

the observer program office. An observer 

provider must provide all of the 

following information by electronic 

transmission (e-mail), fax, or other 

method specified by NMFS. 

(A) Observer training, briefing, and 

debriefing registration materials. This 

information must be submitted to the 

Observer Program Office at least 7 

business days prior to the beginning of 

a scheduled West Coast groundfish 

observer certification training or briefing 

session. 

(1) Training registration materials 

consist of the following: 

(i) Date of requested training; 

(ii) A list of observer candidates that 

includes each candidate’s full name 

(i.e., first, middle and last names), date 

of birth, and gender; 

(iii) A copy of each candidate’s 

academic transcripts and resume; 

(iv) A statement signed by the 

candidate under penalty of perjury 

which discloses the candidate’s 

criminal convictions; 

(v) Projected observer assignments. 

Prior to the observer’s completion of the 

training or briefing session, the observer 

provider must submit to the Observer 

Program Office a statement of projected 

observer assignments that include that 

includes each observer’s name, current 

mailing address, e-mail address, phone 

numbers and port of embarkation 

(‘‘home port’’); and 

(vi) Length of observers contract. 

(2) Briefing registration materials 

consist of the following: 

(i) Date and type of requested briefing 

session; 

(ii) List of observers to attend the 

briefing session, that includes each 

observer’s full name (first, middle, and 

last names); 

(iii) Projected observer assignments. 

Prior to the observer’s completion of the 

training or briefing session, the observer 

provider must submit to the Observer 

Program Office a statement of projected 

observer assignments that includes each 

observer’s name, current mailing 

address, e-mail address, phone numbers 

and port of embarkation (‘‘home port’’); 

and 

(iv) Length of observer contract. 

(3) Debriefing. The West Coast 

Groundfish Observer Program will 

notify the observer provider which 

observers require debriefing and the 

specific time period the provider has to 

schedule a date, time, and location for 

debriefing. The observer provider must 

contact the West Coast Groundfish 

Observer program within 5 business 

days by telephone to schedule 

debriefings. 

(i) Observer providers must 

immediately notify the observer 

program when observers end their 

contract earlier than anticipated. 

(ii) [Reserved] 

(B) Physical examination. A signed 

and dated statement from a licensed 

physician that he or she has physically 

examined an observer or observer 

candidate. The statement must confirm 

that, based on that physical 

examination, the observer or observer 

candidate does not have any health 

problems or conditions that would 

jeopardize that individual’s safety or the 

safety of others while deployed, or 

prevent the observer or observer 

candidate from performing his or her 

duties satisfactorily. The statement must 

declare that, prior to the examination, 

the physician was made aware of the 

duties of the observer and the 


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dangerous, remote, and rigorous nature 

of the work by reading the NMFSprepared information. The physician’s 

statement must be submitted to the 

Observer Program Office prior to 

certification of an observer. The 

physical exam must have occurred 

during the 12 months prior to the 

observer’s or observer candidate’s 

deployment. The physician’s statement 

will expire 12 months after the physical 

exam occurred. A new physical exam 

must be performed, and accompanying 

statement submitted, prior to any 

deployment occurring after the 

expiration of the statement. 

(C) Certificates of insurance. Copies of 

‘‘certificates of insurance’’, that names 

the NMFS Observer Program leader as 

the ‘‘certificate holder’’, shall be 

submitted to the Observer Program 

Office by February 1 of each year. The 

certificates of insurance shall verify the 

following coverage provisions and state 

that the insurance company will notify 

the certificate holder if insurance 

coverage is changed or canceled. 

(1) Maritime Liability to cover 

‘‘seamen’s’’ claims under the Merchant 

Marine Act (Jones Act) and General 

Maritime Law ($1 million minimum). 

(2) Coverage under the U.S. Longshore 

and Harbor Workers’ Compensation Act 

($1 million minimum). 

(3) States Worker’s Compensation as 

required. 

(4) Commercial General Liability. 

(D) Observer provider contracts. If 

requested, observer providers must 

submit to the Observer Program Office 

a completed and unaltered copy of each 

type of signed and valid contract 

(including all attachments, appendices, 

addendums, and exhibits incorporated 

into the contract) between the observer 

provider and those entities requiring 

observer services under paragraph 

(h)(1)(i) of this section. Observer 

providers must also submit to the 

Observer Program Office upon request, 

a completed and unaltered copy of the 

current or most recent signed and valid 

contract (including all attachments, 

appendices, addendums, and exhibits 

incorporated into the contract and any 

agreements or policies with regard to 

observer compensation or salary levels) 

between the observer provider and the 

particular entity identified by the 

Observer Program or with specific 

observers. The copies must be submitted 

to the Observer Program Office via email, fax, or mail within 5 business days 

of the request. Signed and valid 

contracts include the contracts an 

observer provider has with: 

(1) Vessels required to have observer 

coverage as specified at paragraph 

(h)(1)(i) of this section; and 

(2) Observers. 

(E) Change in observer provider 

management and contact information. 

An observer provider must submit to the 

Observer Program office any change of 

management or contact information 

submitted on the provider’s permit 

application under paragraphs (h)(4) of 

this section within 30 days of the 

effective date of such change. 

(F) Biological samples. The observer 

provider must ensure that biological 

samples are stored/handled properly 

prior to delivery/transport to NMFS. 

(G) Observer status report. Each 

Tuesday, observer providers must 

provide NMFS with an updated list of 

contact information for all observers 

that includes the observer’s name, 

mailing address, e-mail address, phone 

numbers, port of embarkation (‘‘home 

port’’), fishery deployed the previous 

week and whether or not the observer is 

‘‘in service’’, indicating when the 

observer has requested leave and/or is 

not currently working for the provider. 

(H) Providers must submit to NMFS, 

if requested, copies of any information 

developed and used by the observer 

providers distributed to vessels, such as 

informational pamphlets, payment 

notification, description of observer 

duties, etc. 

(I) Other reports. Reports of the 

following must be submitted in writing 

to the West Coast Groundfish Observer 

Program Office by the observer provider 

via fax or e-mail address designated by 

the Observer Program Office within 24 

hours after the observer provider 

becomes aware of the information: 

(1) Any information regarding 

possible observer harassment; 

(2) Any information regarding any 

action prohibited under § 660.112 or 

§ 600.725(o), (t) and (u); 

(3) Any concerns about vessel safety 

or marine casualty under 46 CFR 4.05– 

1 (a)(1) through (7); 

(4) Any observer illness or injury that 

prevents the observer from completing 

any of his or her duties described in the 

observer manual; and 

(5) Any information, allegations or 

reports regarding observer conflict of 

interest or breach of the standards of 

behavior described in observer provider 

policy. 

(xii) Replace lost or damaged gear. An 

observer provider must replace all lost 

or damaged gear and equipment issued 

by NMFS to an observer under contract 

to that provider. All replacements must 

be in accordance with requirements and 

procedures identified in writing by the 

Observer Program Office. 

(xiii) Maintain confidentiality of 

information. An observer provider must 

ensure that all records on individual 

observer performance received from 

NMFS under the routine use provision 

of the Privacy Act or as otherwise 

required by law remain confidential and 

are not further released to anyone 

outside the employ of the observer 

provider company to whom the observer 

was contracted except with written 

permission of the observer. 

(xiv) Must meet limitations on conflict 

of interest. Observer providers: 

(A) Must not have a direct financial 

interest, other than the provision of 

observer services, in the North Pacific or 

Pacific coast fishery managed under an 

FMP for the waters off the coasts of 

Alaska, Washington, Oregon, and 

California, including, but not limited to, 

(1) Any ownership, mortgage holder, 

or other secured interest in a vessel, or 

shoreside processors facility involved in 

the catching, taking, harvesting or 

processing of fish, 

(2) Any business involved with 

selling supplies or services to any vessel 

or shoreside processors participating in 

a fishery managed pursuant to an FMP 

in the waters off the coasts of Alaska, 

California, Oregon, and Washington, or 

(3) Any business involved with 

purchasing raw or processed products 

from any vessel or shoreside processor 

participating in a fishery managed 

pursuant to an FMP in the waters off the 

coasts of Alaska, California, Oregon, and 

Washington. 

(B) Must assign observers without 

regard to any preference by 

representatives of vessels other than 

when an observer will be deployed. 

(C) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value except for compensation 

for providing observer services from 

anyone who conducts fishing or fish 

processing activities that are regulated 

by NMFS in the Pacific coast or North 

Pacific regions, or who has interests that 

may be substantially affected by the 

performance or nonperformance of the 

official duties of observer providers. 

(xv) Must develop and maintain a 

policy addressing observer conduct and 

behavior for their employees that serve 

as observers. 

(A) The policy shall address the 

following behavior and conduct 

regarding: 

(1) Observer use of alcohol; 

(2) Observer use, possession, or 

distribution of illegal drugs and; 

(3) Sexual contact with personnel of 

the vessel or processing facility to 

which the observer is assigned, or with 

any vessel or processing plant personnel 

who may be substantially affected by 

the performance or non-performance of 

the observer’s official duties. 


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(B) An observer provider shall 

provide a copy of its conduct and 

behavior policy to each observer 

candidate and to the Observer Program 

by February 1 of each year. 

(xvi) Refuse to deploy an observer on 

a requesting vessel if the observer 

provider has determined that the 

requesting vessel is inadequate or 

unsafe pursuant to those described at 

§ 600.746 or U.S. Coast Guard and other 

applicable rules, regulations, statutes, or 

guidelines pertaining to safe operation 

of the vessel. 

(6) Observer certification and 

responsibilities—(i) Applicability. 

Observer certification authorizes an 

individual to fulfill duties as specified 

in writing by the NMFS Observer 

Program Office while under the employ 

of a NMFS-permitted observer provider 

and according to certification 

requirements as designated under 

paragraph (h)(6)(iii) of this section. 

(ii) Observer certification official. The 

Regional Administrator will designate a 

NMFS observer certification official 

who will make decisions for the 

Observer Program Office on whether to 

issue or deny observer certification. 

(iii) Certification requirements—(A) 

Initial certification. NMFS may certify 

individuals who, in addition to any 

other relevant considerations: 

(1) Are employed by an observer 

provider company permitted pursuant 

to § 660.140(h) at the time of the 

issuance of the certification; 

(2) Have provided, through their 

observer provider: 

(i) Information identified by NMFS at 

§ 660.140(h) regarding an observer 

candidate’s health and physical fitness 

for the job; 

(ii) Meet all observer candidate 

education and health standards as 

specified in § 660.140(h); and 

(iii) Have successfully completed 

NMFS-approved training as prescribed 

by the West Coast Groundfish Observer 

Program. 

(B) Successful completion of training 

by an observer applicant consists of 

meeting all attendance and conduct 

standards issued in writing at the start 

of training; meeting all performance 

standards issued in writing at the start 

of training for assignments, tests, and 

other evaluation tools; and completing 

all other training requirements 

established by the Observer Program. 

(C) Have not been decertified under 

paragraph (h)(6)(ix) of this section. 

(iv) Denial of Certification. The NMFS 

observer certification official will issue 

a written determination denying 

observer certification if the candidate 

fails to successfully complete training, 

or does not meet the qualifications for 

certification for any other relevant 

reason. 

(v) Issuance of an observer 

certification. An observer certification 

may be issued upon determination by 

the observer certification official that 

the candidate has successfully met all 

requirements for certification as 

specified at paragraph (h)(6)(iii) of this 

section. The following endorsements 

must be obtained in addition to observer 

certification, in order for an observer 

deploy. 

(A) West Coast Groundfish Observer 

Program training certification 

endorsement. A training certification 

endorsement signifies the successful 

completion of the training course 

required to obtain observer certification. 

This endorsement expires when the 

observer has not been deployed and 

performed sampling duties as required 

by the observer Program office for a 

period of time, specified by the 

Observer Program, after his or her most 

recent debriefing. The observer can 

renew the endorsement by successfully 

completing training once more. 

(B) West Coast Groundfish Observer 

Program annual general endorsement. 

Each observer must obtain an annual 

general endorsement to their 

certification prior to his or her first 

deployment within any calendar year 

subsequent to a year in which a training 

certification endorsement is obtained. 

To obtain an annual general 

endorsement, an observer must 

successfully complete the annual 

briefing, as specified by the Observer 

Program. All briefing attendance, 

performance, and conduct standards 

required by the Observer Program must 

be met. 

(C) West Coast Groundfish Observer 

Program deployment endorsement. Each 

observer who has completed an initial 

deployment after their certification or 

annual briefing must receive a 

deployment endorsement to their 

certification prior to any subsequent 

deployments for the remainder of that 

year. An observer may obtain a 

deployment endorsement by 

successfully completing all briefing 

requirements, when applicable. The 

type of briefing the observer must attend 

and successfully complete will be 

specified in writing by the Observer 

Program during the observer’s most 

recent debriefing. 

(vi) Maintaining the validity of an 

observer certification. After initial 

issuance, an observer must keep their 

certification valid by meeting all of the 

following requirements specified below: 

(A) Successfully perform their 

assigned duties as described in the 

Observer Manual or other written 

instructions from the Observer Program 

Office including calling into the NMFS 

deployment hotline upon departing and 

arriving into port each trip to leave the 

following information: observer name, 

phone number, vessel name departing 

on, date and time of departure and date 

and time of expected return. 

(B) Accurately record their sampling 

data, write complete reports, and report 

accurately any observations of 

suspected violations of regulations 

relevant to conservation of marine 

resources or their environment. 

(C) Not disclose collected data and 

observations made on board the vessel 

or in the processing facility to any 

person except the owner or operator of 

the observed vessel or an authorized 

officer or NMFS. 

(D) Successfully complete NMFSapproved annual briefings as prescribed 

by the West Coast Groundfish Observer 

Program. 

(E) Successful completion of briefing 

by an observer applicant consists of 

meeting all attendance and conduct 

standards issued in writing at the start 

of training; meeting all performance 

standards issued in writing at the start 

of training for assignments, tests, and 

other evaluation tools; and completing 

all other briefing requirements 

established by the Observer Program. 

(F) Hold current basic 

cardiopulmonary resuscitation/first aid 

certification as per American Red Cross 

Standards. 

(G) Successfully meet all expectations 

in all debriefings including reporting for 

assigned debriefings. 

(H) Submit all data and information 

required by the observer program within 

the program’s stated guidelines. 

(I) Meet the minimum annual 

deployment period of 3 months at least 

once every 12 months. 

[Alternative 1 for Paragraph (h)(6)(vii) 

(Council-Deemed)] 

(vii) Limitations on conflict of 

interest. Observers: 

(A) Must not have a direct financial 

interest in the vessels on which the 

observers are stationed or in the first 

receivers to which those vessels make 

deliveries, other than the provision of 

observer services. 

(B) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS in the Pacific coast or North 

Pacific regions or has interests that may 

be substantially affected by the 

performance or nonperformance of the 

observers’ official duties. 


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(C) May not serve as observers on any 

vessel or at any shore-based processor 

owned or operated by a person who 

employed the observer in the last two 

years. 

(D) May not solicit or accept 

employment as a crew member or an 

employee of a vessel or shore-based 

processor while employed by an 

observer provider. 

(E) Provisions for remuneration of 

observers under this section do not 

constitute a conflict of interest. 

[Alternative 2 for Paragraph (h)(6)(vii) 

(NMFS-Proposed)] 

(vii) Limitations on conflict of 

interest. Observers: 

(A) Must not have a direct financial 

interest, other than the provision of 

observer services, in a fishery managed 

pursuant to an FMP for the waters off 

the coast of Alaska, or in a Pacific Coast 

fishery managed by either the State or 

Federal governments in waters off 

Washington, Oregon, or California, 

including but not limited to: 

(1) Any ownership, mortgage holder, 

or other secured interest in a vessel, 

shore-based or floating stationary 

processor facility involved in the 

catching, taking, harvesting or 

processing of fish, 

(2) Any business involved with 

selling supplies or services to any 

vessel, shore-based or floating stationary 

processing facility; or 

(3) Any business involved with 

purchasing raw or processed products 

from any vessel, shore-based or floating 

stationary processing facilities. 

(B) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS in the Pacific coast or North 

Pacific regions or has interests that may 

be substantially affected by the 

performance or nonperformance of the 

observers’ official duties. 

(C) May not serve as observers on any 

vessel or at any shore-based owned or 

operated by a person who employed the 

observer in the last two years. 

(D) May not solicit or accept 

employment as a crew member or an 

employee of a vessel or shore-based 

processor while employed by an 

observer provider. 

(E) Provisions for remuneration of 

observers under this section do not 

constitute a conflict of interest. 

(viii) Standards of behavior. 

Observers must: 

(A) Perform their duties as described 

in the Observer Manual or other written 

instructions from the Observer Program 

Office. 

(B) Report to the Observer Program 

office and the NOAA OLE any time they 

refuse to board a vessel. 

(C) Accurately record their sampling 

data, write complete reports, and report 

accurately any observations of 

suspected violations of regulations 

relevant to the conservation of marine 

resources of their environment. 

(D) Not disclose collected data and 

observations made on board the vessel 

to any person except the owner or 

operator of the observed vessel, an 

authorized officer, or NMFS. 

(ix) Suspension and decertification— 

(A) Suspension and decertification 

review official. The Regional 

Administrator (or a designee) will 

designate an observer suspension and 

decertification review official(s), who 

will have the authority to review 

observer certifications and issue initial 

administrative determinations of 

observer certification suspension and/or 

decertification. 

(B) Causes for suspension or 

decertification. The suspension and 

decertification official may initiate 

suspension or decertification 

proceedings against an observer: 

(1) When it is alleged that the 

observer has not met applicable 

standards, including any of the 

following: 

(i) Failed to satisfactorily perform 

duties as described or directed by the 

observer program; or 

(ii) Failed to abide by the standards of 

conduct for observers, including 

conflicts of interest; 

(2) Upon conviction of a crime or 

upon entry of a civil judgment for: 

(i) Commission of fraud or other 

violation in connection with obtaining 

or attempting to obtain certification, or 

in performing the duties as specified in 

writing by the NMFS Observer Program; 

(ii) Commission of embezzlement, 

theft, forgery, bribery, falsification or 

destruction of records, making false 

statements, or receiving stolen property; 

(iii) Commission of any other offense 

indicating a lack of integrity or honesty 

that seriously and directly affects the 

fitness of observers. 

(C) Issuance of initial administrative 

determination. Upon determination that 

suspension or decertification is 

warranted, the suspension/ 

decertification official will issue a 

written IAD to the observer via certified 

mail at the observer’s most current 

address provided to NMFS. The IAD 

will identify whether a certification is 

suspended or revoked and will identify 

the specific reasons for the action taken. 

(D) Appeals. A certified observer who 

receives an IAD that suspends or 

revokes his or her observer certification 

may appeal within 30 of issuance of the 

IAD to the Office of Administrative 

Appeals pursuant to § 679.43. 

(i) Catch monitor requirements for 

IFQ first receivers—(1) Catch monitor 

coverage requirements. A catch monitor 

is required be present at each IFQ first 

receiver whenever an IFQ landing is 

received, unless the first receiver has 

been granted a written waiver from the 

catch monitor requirements by NMFS. 

(2) Procurement of catch monitor 

services. Owners or managers of each 

IFQ first receiver must arrange for catch 

monitor services from a certified catch 

monitor provider prior to accepting IFQ 

landings. IFQ first receivers are 

responsible for all associated costs 

including training time, debriefing time, 

and lodging while deployed. 

(3) Catch monitor safety. (i) Each IFQ 

first receiver must adhere to all 

applicable rules, regulations, or statutes 

pertaining to safe operation and 

maintenance of a processing and/or 

receiving facility. 

(ii) The working hours of each 

individual catch monitor will be limited 

as follows: 

(A) An individual catch monitor shall 

not be required or permitted to work 

more than 16 hours per calendar day, 

with maximum of 14 hours being work 

other than the summary and submission 

of catch monitor data. 

(B) Following monitoring shift of 

more than 10 hours, each catch monitor 

must be provided with a minimum 6 

hours break before they may resume 

monitoring. 

(4) Catch monitor access. (i) Each IFQ 

first receiver must allow catch monitors 

free and unobstructed access to the 

catch throughout the sorting process 

and the weighing process. 

(ii) The IFQ first receiver must ensure 

that there is an observation area 

available to the catch monitor that meets 

the following standards: 

(A) Access to the observation area. 

The observation area must be freely 

accessible to NMFS staff, NMFSauthorized personnel, or authorized 

officers at any time a valid catch 

monitoring plan is required. 

(B) Monitoring the flow of fish. The 

catch monitor must have an 

unobstructed view or otherwise be able 

to monitor the entire flow of fish 

between the delivery point and a 

location where all sorting has takes 

place and each species has been 

weighed. 

(C) Adequate lighting. Adequate 

lighting must be provided during 

periods of limited visibility. 

(iii) Each IFQ first receiver must allow 

catch monitors free and unobstructed 

access to any documentation required 


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by regulation including fish tickets, 

scale printouts and scale test results. 

(iv) Each IFQ first receiver must 

provide the catch monitors free and 

unobstructed access to a telephone line 

during the hours that Pacific whiting is 

being processed at the facility and 30 

minutes after the processing of the last 

delivery each day. 

(5) Lockable cabinet. Each IFQ first 

receiver must provide a secure, dry, and 

lockable cabinet or locker with the 

minimum interior dimensions of two 

feet wide by two feet tall by two feet 

deep for the exclusive use the catch 

monitor and NMFS staff or NMFSauthorized agents. 

(6) Plant liaison for the catch monitor. 

Each IFQ first receiver must designate a 

plant liaison. The plant liaison is 

responsible for: 

(i) Orienting new catch monitors to 

the facility; 

(ii) Assisting in the resolution of catch 

monitoring concerns; and 

(iii) Informing NMFS if changes must 

be made to the catch monitoring plan. 

(7) Reasonable assistance. Each IFQ 

first receiver must provide reasonable 

assistance to the catch monitors to 

enable each catch monitor to carry out 

his or her duties. Reasonable assistance 

includes, but is not limited to: 

Informing the monitor when bycatch 

species will be weighed, and providing 

a secure place to store equipment and 

gear. 

(j) Catch weighing requirements—(1) 

Catch monitoring plan. All first 

receivers must operate under a NMFSaccepted catch monitoring plan. 

(2) Sorting and weighing IFQ 

landings—(i) Approved scales. The 

owner of an IFQ first receiver must 

ensure that all IFQ species received 

from a vessel making an IFQ landing are 

weighed on a scale(s) that meets the 

requirements specified at § 660.15(c). 

(ii) Printed record. All scales 

identified in the catch monitoring plan 

accepted by NMFS during the first 

receiver site license application process, 

must produce a printed record for each 

delivery, or portion of a delivery, 

weighed on that scale, with the 

following exception: If approved by 

NMFS as part of the catch monitoring 

plan, scales not designed for automatic 

bulk weighing may be exempted from 

part or all of the printed record 

requirements. The printed record must 

include: 

(A) The first receiver’s name; 

(B) The weight of each load in the 

weighing cycle; 

(C) The total weight of fish in each 

landing, or portion of the landing that 

was weighed on that scale; 

(D) The date the information is 

printed; and 

(E) The name and vessel registration 

or documentation number of the vessel 

making the delivery. The scale operator 

may write this information on the scale 

printout in ink at the time of printing. 

(iii) Scales that may be exempt from 

printed report. An IFQ first receiver that 

receives no more than 200,000 pounds 

of groundfish in any calendar month 

will be exempt from the requirement to 

produce a printed record provided that: 

(A) The first receiver has not 

previously operated under a catch 

monitoring plan where a printed record 

was required; 

(B) The first receiver ensures that all 

catch is weighed; and 

(C) The catch monitor, NMFS staff, or 

authorized officer can verify that all 

catch is weighed. 

(iv) Retention of printed records. An 

IFQ first receiver must maintain 

printouts on site until the end of the 

fishing year during which the printouts 

were made and make them available 

upon request by NMFS staff or an 

authorized officer for 3 years after the 

end of the fishing year during which the 

printout was made. 

(v) Weight monitoring. An IFQ first 

receiver must ensure that it is possible 

for the catch monitor, NMFS staff, or 

authorized officer to verify the weighing 

of all catch. 

(vi) Catch sorting. All fish delivered to 

the plant must be sorted and weighed by 

species as specified at § 660.130(d). 

(vii) Complete sorting. Sorting and 

weighing must be completed prior to 

catch leaving the area that can be 

monitored from the catch monitor’s 

observation area. 

(viii) Pacific whiting. For Pacific 

Whiting taken with midwater trawl gear, 

IFQ first receivers may use an in-line 

conveyor or hopper type scale to derive 

an accurate total catch weight prior to 

sorting. Immediately following weighing 

of the total catch and prior to processing 

or transport away from the point of 

landing, the catch must be sorted to the 

species groups specified at § 660.130(d) 

and all incidental catch (groundfish and 

non groundfish species) must be 

accurately weighed and the weight of 

incidental catch deducted from the total 

catch weight to derive the weight of 

target species. 

(ix) For all other IFQ landings the 

following weighing standards apply: 

(A) A belt or automatic hopper scale 

may be used to weigh all of the catch 

prior to sorting. All but a single 

predominant species must then be 

reweighed. 

(B) An in-line conveyor or automatic 

hopper scale may be used to weigh the 

predominant species after catch has 

been sorted. Other species must be 

weighed in a manner that facilitates 

tracking of the weights of those species. 

(C) IFQ species or species group may 

be weighed in totes on a platform scale 

capable of printing a label or tag and 

recording the label or tag information to 

memory for printing a report as 

specified at § 660.15. The label or tag 

must remain affixed to the tote until the 

tote is emptied. The label or tag must 

show the following information: 

(1) The species or species group; 

(2) The weight of the fish in the tote; 

(3) The date the label or tag was 

printed; and 

(4) The vessel name. 

(D) Totes and ice. If a catch 

monitoring plan proposes the use of 

totes in which fish will be weighed, or 

a deduction for the weight of ice, the 

deduction must be accurately accounted 

for. No deduction may be made for the 

weight of water or slime. This standard 

may be met by: 

(1) Taring the empty or pre-iced tote 

on the scale prior to filling with fish; 

(2) Labeling each tote with an 

individual tare weight. This weight 

must be accurate within 500 grams (1 

pound if scale is denominated in 

pounds) for any given tote and the 

average error for all totes may not 

exceed 200 grams (8 ounces for scales 

denominated in pounds); 

(3) An alternate approach approved 

by NMFS. NMFS will only approve 

approaches that do not involve the 

estimation of the weight of ice or the 

weight of totes and allow NMFS staff or 

an authorized officer to verify that the 

deduction or tare weight is accurate. 

(E) An alternate approach accepted by 

NMFS in the catch monitoring plan. 

(3) IFQ first receiver responsibilities 

relative to catch weighing and 

monitoring of catch weighing. The 

owner of an IFQ first receiver must: 

(i) General. (A) Ensure that all IFQ 

landings are sorted and weighed as 

specified at § 660.130(d) and in 

accordance with an approved catch 

monitoring plan. 

(ii) Catch monitors, NMFS staff, and 

authorized officers. (A) Have a catch 

monitor on site the entire time an IFQ 

landing is being offloaded, sorted, or 

weighed. 

(B) Notify the catch monitor of the 

offloading schedule. 

(C) Provide catch monitors, NMFS 

staff, or an authorized officer with 

unobstructed access to any areas where 

IFQ species are or may be sorted or 

weighed at any time IFQ species are 

being landed or processed. 

(D) Allow catch monitors, NMFS staff, 

or an authorized officer to observe the 


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weighing of catch on the scale and to 

read the scale display at any time. 

(E) Ensure that printouts of the scale 

weight of each delivery or offload are 

made available to catch monitors, NMFS 

staff, or an authorized officer at the time 

printouts are generated. 

(4) Scale tests. (i) All testing must 

meet the scale test standards specified at 

§ 660.15(c). 

(ii) Inseason scale testing. First 

receivers must allow, and provide 

reasonable assistance to a catch monitor, 

NMFS staff or an authorized officer to 

test scales used to weigh IFQ catch. A 

scale that does not pass an inseason test 

may not be used to weigh IFQ catch 

until the scale passes an inseason test or 

is approved for continued use by the 

weights and measures authorities of the 

State in which the scale is located. 

(k) Gear switching. (1) Participants in 

the Shorebased IFQ Program may take 

IFQ species using any legal groundfish 

non-trawl gear (i.e., gear switching) and 

are exempt from the gear endorsements 

at § 660.25(b)(3) for limited entry fixed 

gear permits, provided the following 

requirements are met: 

(i) The vessel must be registered to a 

limited entry trawl permit. 

(ii) The vessel must be registered to a 

vessel account that is not in deficit on 

any IFQ species. 

(iii) The vessel operator must have 

submitted a valid gear declaration for 

the trip that declares ‘‘Limited entry 

groundfish non-trawl, shorebased IFQ,’’ 

as specified in § 660.13(d)(5)(iv)(A), and 

does not declare any other designation 

(a Shorebased IFQ Program trip may not 

be combined with any other 

designation). 

(iv) The vessel must comply with 

prohibitions applicable to limited entry 

fixed gear fishery as specified at 

§ 660.212, gear restrictions applicable to 

limited entry fixed gear as specified in 

§§ 660.219 and 660.230(b), and 

management measures specified in 

§ 660.230(d), including restrictions on 

the fixed gear allowed onboard, its 

usage, and applicable fixed gear 

groundfish conservation area 

restrictions, except that the vessel will 

not be subject to limited entry fixed gear 

trip limits when fishing in the 

Shorebased IFQ Program. 

(v) The vessel must comply with the 

limited entry trawl trip limits for 

species/species groups not covered 

under the Shorebased IFQ Program or 

whiting trip limits outside the primary 

season. 

(vi) The vessel must comply with 

recordkeeping and reporting 

requirements applicable to limited entry 

trawl gear as specified in § 660.113. 

(vii) The vessel must comply with and 

observer requirements and all other 

provisions of the Shoreside IFQ Program 

as specified in this section. 

(2) [Reserved] 

(l) Adaptive management program— 

(1) General. The adaptive management 

program (AMP) is a set-aside of 10 

percent of the non-whiting QS to 

address the following objectives: 

(i) Community stability; 

(ii) Processor stability; 

(iii) Conservation; 

(iv) Unintended/unforeseen 

consequences of IFQ management; or 

(v) Facilitating new entrants. 

(2) Years one and two. The 10 percent 

of non-whiting QS will be reserved for 

the AMP during years one and two of 

the Shorebased IFQ Program, but the 

resulting AMP QP will be issued to all 

QS permit owners in proportion to their 

non-whiting QS during years one and 

two. 

23. In § 660.150; 

a. Paragraph (g)(1) introductory text is 

revised, and paragraph (g)(1)(v) is 

removed; 

b. Paragraph (a) introductory text and 

paragraphs (a)(3), (a)(4), (d), (f)(3), and 

(g)(3)(i)(C) are revised; 

c. Paragraphs (b), (c), (e), (f)(2), (f)(4), 

(g)(1)(iv), (g)(2), (g)(3)(ii), (g)(4), and (h) 

through (k) are added; and 

d. Paragraph (l) is removed to read as 

follows: 

§ 660.150 Mothership (MS) Coop Program. 

(a) General. The MS Coop Program 

requirements in this section will be 

effective beginning January 1, 2011, 

except for paragraphs (f)(3), (f)(5), (f)(6), 

(g)(3), (g)(5), and (g)(6) of this section, 

which are effective immediately. The 

MS Coop Program is a general term to 

describe the limited access program that 

applies to eligible harvesters and 

processors in the mothership sector of 

the Pacific whiting at-sea trawl fishery. 

Eligible harvesters and processors, 

including coop and non-coop fishery 

participants, must meet the 

requirements set forth in this section of 

the Pacific Coast groundfish regulations. 

Each year a vessel registered to a MS/ 

CV-endorsed permit may fish in either 

the coop or non-coop portion of the MS 

Coop Program, but not both. In addition 

to the requirements of this section, the 

MS Coop Program is subject to the 

following groundfish regulations of 

subparts C and D: 

* * * * * 

(3) Regulations set out in the 

following sections of subpart C: § 660.11 

Definitions, § 660.12 Prohibitions, 

§ 660.13 Recordkeeping and reporting, 

§ 660.14 VMS requirements, § 660.15 

Equipment requirements, § 660.16 

Groundfish Observer Program, § 660.20 

Vessel and gear identification, § 660.25 

Permits, § 660.55 Allocations, § 660.60 

Specifications and management 

measures, § 660.65 Groundfish harvest 

specifications, and §§ 660.70 through 

660.79 Closed areas. 

(4) Regulations set out in the 

following sections of subpart D: 

§ 660.111 Trawl fishery definitions, 

§ 660.112 Trawl fishery prohibitions, 

§ 660.113 Trawl fishery recordkeeping 

and reporting, § 660.120 Trawl fishery 

crossover provisions, § 660.130 Trawl 

fishery management measures, and 

§ 660.131 Pacific whiting fishery 

management measures. 

* * * * * 

(b) Participation requirements and 

responsibilities—(1) Mothership vessels. 

(i) Mothership vessel participation 

requirements. A vessel is eligible to 

receive and process catch as a 

mothership in the MS Coop Program if: 

(A) The vessel is registered to a MS 

permit; 

(B) The vessel is not used to fish as 

a catcher vessel in the mothership sector 

of the Pacific whiting fishery in the 

same calendar year; and 

(C) The vessel is not used to fish as 

a C/P in the Pacific whiting fishery in 

the same calendar year. 

(ii) Mothership vessel responsibilities. 

The owner and operator of a mothership 

vessel must: 

(A) Recordkeeping and reporting. 

Maintain a valid declaration as specified 

at § 660.13(d), subpart C; and, maintain 

and submit all records and reports 

specified at § 660.113(c) including, 

economic data, scale tests records, and 

cease fishing reports. 

(B) Observers. As specified at 

paragraph (j) of this section, procure 

observer services, maintain the 

appropriate level of coverage, and meet 

the vessel responsibilities. 

(C) Catch weighing requirements. The 

owner and operator of a MS vessel must: 

(1) Ensure that all catch is weighed in 

its round form on a NMFS-approved 

scale that meets the requirements 

described in section § 660.15(b), subpart 

C; 

(2) Provide a NMFS-approved 

platform scale, belt scale, and test 

weights that meet the requirements 

described in section § 660.15(b), subpart 

C. 

(2) Mothership catcher vessels—(i) 

Mothership catcher vessel participation 

requirements—(A) A vessel is eligible to 

harvest in the MS Coop Program if the 

following conditions are met: 

(1) If the vessel is used to fish as a 

mothership catcher vessel for a 

permitted MS coop, the vessel is 


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registered to a limited entry permit with 

a trawl endorsement and NMFS has 

been notified that the vessel is 

authorized to fish for the coop. 

(2) If the vessel is used to harvest fish 

in the non-coop fishery, the vessel is 

registered to a MS/CV endorsed limited 

entry permit. 

(3) The vessel is not used to harvest 

fish or process as a mothership or 

catcher/processor vessel in the same 

calendar year. 

(4) The vessel does not catch more 

than 30 percent of the Pacific whiting 

allocation for the mothership sector. 

(B) [Reserved] 

(ii) Mothership catcher vessel 

responsibilities—(A) Observers. As 

specified at paragraph (j) of this section, 

procure observer services, maintain the 

appropriate level of coverage, and meet 

the vessel responsibilities. 

(B) Recordkeeping and reporting. 

Maintain a valid declaration as specified 

at § 660.13(d), subpart C; and, maintain 

and submit all records and reports 

specified at § 660.113(c) including, 

economic data and scale tests records, if 

applicable. 

(3) MS coops—(i) MS coop 

participation requirements. For a MS 

coop to participate in the Pacific 

whiting mothership sector fishery it 

must: 

(A) Be issued a MS coop permit; 

(B) Be composed of MS/CV endorsed 

limited entry permit owners; 

(C) Be formed voluntarily; 

(D) Be a legally recognized entity that 

represents its members; 

(E) Designate an individual as a coop 

manager; and 

(F) Include at least 20 percent of all 

MS/CV endorsed permits as members. 

The coop membership percentage will 

be interpreted by rounding to the 

nearest whole permit (i.e. zero up to 0.5 

rounds down and 0.5 up to 1.0 rounds 

up). 

(ii) MS coop responsibilities. A MS 

coop is responsible for: 

(A) Applying for and being registered 

to a MS coop permit; 

(B) Organizing and coordinating 

harvest activities of vessels authorized 

to fish for the coop; 

(C) Reassigning catch history 

assignments for use by coop members; 

(D) Organizing and coordinating the 

transfer and leasing of catch allocations 

with other permitted coops through 

inter-coop agreements; 

(E) Monitoring harvest activities and 

enforcing the catch limits of coop 

members; 

(F) Submitting an annual report. 

(G) Having a designated coop 

manager. The designated coop manager 

must: 

(1) Serve as the contact person 

between NMFS, the Council, and other 

coops; 

(2) Be responsible for the annual 

distribution of catch and bycatch 

allocations among coop members; 

(3) Oversee reassignment of catch 

allocations within the coop; 

(4) Oversee inter-coop catch 

allocation reassignments; 

(5) Prepare and submit an annual 

report on behalf of the coop; 

(6) Be authorized to receive or 

respond to any legal process in which 

the coop is involved; and 

(7) Notify NMFS if the coop dissolves. 

(iii) MS coop compliance and joint/ 

several liability. An MS coop must 

comply with the provisions of this 

section. The MS coop, member limited 

entry permit owners, and owners and 

operators of vessels registered to 

member limited entry permits, are 

jointly and severally responsible for 

compliance with the provisions of this 

section. Pursuant to 15 CFR part 904, 

each MS coop, member permit owner, 

and owner and operator of a vessel 

registered to a coop member permit may 

be charged jointly and severally for 

violations of the provisions of this 

section. For purposes of enforcement, an 

MS coop is a legal entity that can be 

subject to NOAA enforcement action for 

violations of the provisions of this 

section. 

(c) MS Coop Program species and 

allocations—(1) MS Coop Program 

species. MS Coop Program species are 

as follows: 

(i) Species with formal allocations to 

the MS Coop Program are Pacific 

whiting, canary rockfish, darkblotched 

rockfish, Pacific Ocean perch, and 

widow rockfish; 

(ii) Species with set-asides for the MS 

and C/P Coop Programs combined, as 

described in Tables 1d and 2d, subpart 

C. 

(2) Annual mothership sector suballocations. Annual allocation 

amount(s) will be determined using the 

following procedure: 

(i) MS/CV catch history assignments. 

Catch history assignments will be based 

on catch history using the following 

methodology: 

(A) Pacific whiting catch history 

assignment. For each MS/CV endorsed 

limited entry permit, the permit’s entire 

catch history assignment of Pacific 

whiting will be annually allocated to a 

single permitted MS coop or to the noncoop fishery. A MS/CV endorsed permit 

owner cannot divide the permit’s catch 

history assignment between more than 

one MS coop or between a coop and the 

non-coop fishery for that year. Once 

assigned to a permitted MS coop or to 

the non-coop fishery, the permit’s catch 

history assignment remains with that 

permitted MS coop or non-coop fishery 

for that calendar year. When the 

mothership sector allocation is 

established through the final Pacific 

whiting specifications, the information 

for the conversion of catch history 

assignment to pounds will be made 

available to the public through a 

Federal Register announcement and/or 

public notice and/or the NMFS Web 

site. The amount of whiting from the 

catch history assignment will be issued 

to the nearest whole pound using 

standard rounding rules (i.e. zero up to 

0.5 rounds down and 0.5 up to 1.0 

rounds up). 

(B) Non-whiting groundfish species 

catch—(1) Non-whiting groundfish 

species with a mothership sector 

allocation will be divided annually 

between the permitted coops and the 

non-coop fishery. The pounds 

associated with each permitted MS coop 

will be provided when the coop permit 

is issued. 

(2) Groundfish species with at-sea 

sector set-asides will be managed on an 

annual basis unless there is a risk of a 

harvest specification being exceeded, 

unforeseen impact on another fisheries, 

or conservation concerns in which case 

inseason action may be taken. Set asides 

may be adjusted through the biennial 

specifications and management 

measures process as necessary. 

(3) Groundfish species not addressed 

in paragraph (1) or (2) above, will be 

managed on an annual basis unless 

there is a risk of a harvest specification 

being exceeded, unforeseen impact on 

another fisheries, or conservation 

concerns in which case inseason action 

may be taken. 

(4) Halibut set-asides. Annually a 

specified amount of the Pacific halibut 

will be held in reserve as a shared setaside for bycatch in the at-sea Pacific 

whiting fisheries and the shorebased 

trawl sector south of 40°10′ N lat. 

(ii) Annual coop allocations—(A) 

Pacific whiting. Each permitted MS 

coop is authorized to harvest a quantity 

of Pacific whiting that is based on the 

sum of the catch history assignments for 

each member MS/CV endorsed permit 

identified in the NMFS-accepted coop 

agreement for a given calendar year. 

Other limited entry permits registered to 

vessels that will fish for the coop do not 

bring catch allocation to a permitted MS 

coop. 

(B) Non-whiting groundfish with 

allocations. Sub-allocations of nonwhiting groundfish species with 

allocations to permitted MS coops will 

be in proportion to the Pacific whiting 


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catch history assignments assigned to 

each permitted MS coop. 

(iii) Annual non-coop allocation—(A) 

Pacific whiting. The non-coop whiting 

fishery is authorized to harvest a 

quantity of Pacific whiting that is 

remaining in the mothership sector 

annual allocation after the deduction of 

all coop allocations. 

(B) Non-whiting groundfish with 

allocations. The sub-allocation to the 

non-coop fishery will be in proportion 

to the mothership catcher vessel Pacific 

whiting catch history assignments for 

the non-coop fishery. 

(C) Announcement of the non-coop 

fishery allocations. Information on the 

amount of Pacific whiting and nonwhiting groundfish with allocations that 

will be made available to the non-coop 

fishery when the final Pacific whiting 

specifications for the mothership sector 

is established and will be announced to 

the public through a Federal Register 

announcement and/or public notice 

and/or the NMFS Web site. 

(3) Reaching an allocation or suballocation. When the mothership sector 

Pacific whiting allocation, Pacific 

whiting sub-allocation, or non-whiting 

groundfish catch allocation is reached 

or is projected to be reached, the 

following action may be taken: 

(i) Further harvesting, receiving or atsea processing by a mothership or 

catcher vessel in the mothership sector 

is prohibited when the mothership 

sector Pacific whiting allocation or nonwhiting groundfish allocation is 

projected to be reached. No additional 

unprocessed groundfish may be brought 

on board after at-sea processing is 

prohibited, but a mothership may 

continue to process catch that was on 

board before at-sea processing was 

prohibited. Pacific whiting may not be 

taken and retained, possessed, or landed 

by a catcher vessel participating in the 

mothership sector. 

(ii) When a permitted MS coop suballocation of Pacific whiting or nonwhiting groundfish species is reached, 

further harvesting or receiving of 

groundfish by vessels fishing in the 

permitted MS coop must cease, unless 

the permitted MS coop is operating 

under an NMFS-accepted inter-coop 

agreement. 

(iii) When the non-coop fishery suballocation of Pacific whiting or nonwhiting groundfish species is projected 

to be reached, further harvesting or 

receiving of groundfish by vessels 

fishing in under the non-coop fishery 

must cease. 

(4) Non-whiting groundfish species 

reapportionment. This paragraph 

describes the process for reapportioning 

non-whiting groundfish species with 

allocations between permitted MS coops 

and the catcher/processor sector. 

Reapportionment of mothership sector 

allocations to the catcher/processor will 

not occur until all permitted MS coops 

and the non-coop fishery have been 

closed by NMFS or have informed 

NMFS that they have ceased operations 

for the remainder of the calendar year. 

(i) Within the mothership sector. The 

Regional Administrator may make 

available for harvest to permitted coops 

and the non-coop fishery that have not 

notified NMFS that they have ceased 

fishing for the year, the amounts of a 

permitted MS coop’s non-whiting catch 

allocation remaining when a coop 

reaches its Pacific whiting allocation or 

when the designated coop manager 

notifies NMFS that a permitted coop has 

ceased fishing for the year. The 

reapportioned allocations will be in 

proportion to their original allocations. 

(ii) Between the mothership and 

catcher/processor sectors. The Regional 

Administrator may make available for 

harvest to the catcher/processor sector 

of the Pacific whiting fishery, the 

amounts of the mothership sector’s nonwhiting catch allocation remaining 

when the Pacific whiting allocation is 

reached or participants in the sector do 

not intend to harvest the remaining 

allocation. The designated coop 

manager, or in the case of an inter-coop, 

all of the designated coop managers 

must submit a cease fishing report to 

NMFS indicating that harvesting has 

concluded for the year. At any time after 

greater than 80 percent of the 

Mothership sector Pacific whiting 

allocation has been harvested, the 

Regional Administrator may contact 

designated coop managers to determine 

whether they intend to continue fishing. 

When considering redistribution of nonwhiting catch allocation, the Regional 

Administrator will take in to 

consideration the best available data on 

total projected fishing impacts. 

Reapportionment between permitted 

MS coops and the non-coop fishery 

within the mothership sector will be in 

proportion to their original coop 

allocations for the calendar year. 

(iii) Set-aside species. No inseason 

management actions are associated with 

set asides. 

(5) Announcements. The Regional 

Administrator will announce in the 

Federal Register when the mothership 

sector or the allocation of Pacific 

whiting or non-whiting groundfish with 

an allocation is reached, or is projected 

to be reached, and specify the 

appropriate action. In order to prevent 

exceeding an allocation and to avoid 

underutilizing the resource, 

prohibitions against further taking and 

retaining, receiving, or at-sea processing 

of Pacific whiting, or reapportionment 

of non-whiting groundfish with 

allocations may be made effective 

immediately by actual notice to fishers 

and processors, by e-mail, Internet 

(http://www.nwr.noaa.gov/GroundfishHalibut/Groundfish-FisheryManagement/Whiting-Management/ 

index.cfm), phone, fax, letter, press 

release, and/or USCG Notice to Mariners 

(monitor channel 16 VHF), followed by 

publication in the Federal Register, in 

which instance public comment will be 

sought for a reasonable period of time 

thereafter. 

(6) Redistribution of annual 

allocation—(i) Between permitted MS 

coops (inter-coop). (A) Through an 

inter-coop agreement, the designated 

coop managers of permitted MS coops 

may distribute Pacific whiting and nonwhiting groundfish allocations among 

one or more permitted MS coops, 

provided the processor obligations at 

paragraph (c)(7) of this section have 

been met or a mutual agreement 

exception at paragraph (c)(7)(iv) of this 

section has been submitted to NMFS. 

(B) In the case of a MS coop failure 

during the Pacific whiting primary 

season for the mothership sector, 

unused allocation associated with the 

catch history will not be available for 

harvest by the coop that failed, by any 

former members of the coop that failed, 

or any other MS coop for the remainder 

of that calendar year. 

(ii) Between the MS coop and noncoop fisheries. Pacific whiting may not 

be redistributed between the coop and 

non-coop fisheries. 

(ii) Between Pacific whiting sectors. 

Pacific whiting may not be redistributed 

between the mothership sector and 

catcher/processor sector. Whiting may 

not be redistributed to the Shorebased 

IFQ Program. 

(7) Processor obligation and mutual 

agreement exceptions—(i) Processor 

obligation. Through the annual MS/CV 

endorsed limited entry permit renewal 

process, the MS/CV endorsed permit 

owner must identify to NMFS to which 

MS permit the MS/CV permit owner 

intends to obligate the catch history 

assignment associated with that permit 

if they are participating in the MS coop 

fishery. Only one MS permit may be 

designated (the obligation may not be 

split among MS permits). 

(ii) Expiration of a processor 

obligation. Processor obligations expire 

at the end of each calendar year when 

the MS Coop Permit expires. 

(iii) Processor obligation when MS 

coop allocation is redistributed. When a 

permitted MS coop redistributes Pacific 

whiting allocation within the permitted 


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MS coop or from one permitted MS 

coop to another permitted MS coop 

through an inter-coop agreement, such 

allocations must be delivered to the 

mothership registered to the MS permit 

to which the allocation was obligated 

under the processor obligation 

submitted to NMFS, unless a mutual 

agreement exception has been submitted 

to NMFS. 

(iv) Mutual agreement exception. A 

MS/CV endorsed permit’s catch history 

assignment can be released from a 

processor obligation through a mutual 

agreement exception. The MS/CV 

endorsed permit owner must submit a 

copy to NMFS of the written agreement 

that includes the initial MS permit 

owner’s acknowledgment of the release 

of the MS/CV endorsed permit owner’s 

processor obligation and the MS/CV 

endorsed permit owner must identify a 

processor obligation for a new MS 

permit. 

(v) MS permit withdrawal. If a MS 

permit withdraws from the mothership 

fishery before the resulting amounts of 

catch history assignment have been 

announced by NMFS, any MS/CV 

endorsed permit obligated to the MS 

permit may elect to participate in the 

coop or non-coop fishery. In such an 

event, the MS permit owner must 

provide written notification of its 

withdrawal to NMFS and all MS/CVendorsed permits that are obligated to 

the MS permit, and the owner of each 

MS/CV-endorsed permit obligated to the 

MS permit must provide written 

notification to NMFS of their intent to 

either participate in the non-coop 

fishery or the coop fishery, and if 

participating in the coop fishery must 

identify a processor obligation for a new 

MS permit. 

(vi) Submission of a mutual 

agreement exception or MS permit 

withdrawal. Written notification of a 

mutual exception agreement or MS 

permit withdrawal must be submitted to 

NMFS, Northwest Region, Permits 

Office, Bldg. 1, 7600 Sand Point Way 

NE., Seattle, WA 98115. 

(d) MS coop permit and agreement— 

(1) Eligibility and registration. (i) 

Eligibility. To be an eligible coop entity 

a group of MS/CV endorsed permit 

owners (coop members) must be a 

recognized entity under the laws of the 

United States or the laws of a State and 

represent all of the coop members. 

(ii) Annual registration and deadline. 

Each year, a coop entity intending to 

participate as a coop under the MS Coop 

Program must submit an application for 

a MS coop permit between February 1 

and March 31 of the year in which it 

intends to fish. NMFS will not consider 

any applications received after March 

31. A MS coop permit expires on 

December 31 of the year in which it was 

issued. 

(iii) Application for MS coop permit. 

The designated coop manager, on behalf 

of the coop entity, must submit a 

complete application form and include 

each of the items listed in paragraph (A) 

below. Only complete applications will 

be considered for issuance of a MS coop 

permit. An application will not be 

considered complete if any required 

application fees and annual coop 

reports have not been received by 

NMFS. NMFS may request additional 

supplemental documentation as 

necessary to make a determination of 

whether to approve or disapprove the 

application. Application forms and 

instruction are available on the NMFS 

NWR Web site (http:// 

www.nwr.noaa.gov) or by request from 

NMFS. The designated coop manager 

must sign the application 

acknowledging the responsibilities of a 

designated coop manager defined in 

paragraph (b)(3) of this section. 

(A) Coop agreement. Signed copies of 

the coop agreement must be submitted 

to NMFS and the Council and available 

for public review before the coop is 

authorized to engage in fishing 

activities. A coop agreement must 

include all of the information listed in 

this paragraph to be considered a 

complete coop agreement. NMFS will 

only review complete coop agreements. 

A coop agreement will not be accepted 

unless it includes all of the required 

information; the descriptive items listed 

in this paragraph appear to meet the 

stated purpose; and information 

submitted is correct and accurate. 

(1) Coop agreement contents. Each 

coop agreement must be signed by all of 

the coop members (MS/CV endorsed 

permit owners) and include the 

following information: 

(i) A list of all vessels, and permit 

holders participating in the coop and 

their share of the allocated catch which 

must match the amount distributed to 

individual permit owners by NMFS. 

(ii) All MS/CV endorsed limited entry 

member permits identified by permit 

number. 

(iii) A processor obligation clause 

indicating that each MS/CV endorsed 

permit has notified a specific MS permit 

by September 1 of the previous year of 

that MS/CV endorsed permit’s intent to 

obligate its catch history assignment to 

that MS permit. 

(iv) A clause indicting that each 

member MS/CV endorsed permit’s catch 

history assignment is based on the catch 

history assignment calculation by NMFS 

used for distribution to the coop. 

(v) A description of the coop’s plan to 

adequately monitor and account for the 

catch of Pacific whiting and nonwhiting groundfish allocations, and to 

monitor and account for the catch of 

prohibited species. 

(vi) A clause stating that if a permit is 

transferred during the effective period of 

the coop agreement, any new owners of 

that member permit would be coop 

members required to comply with 

membership restrictions in the coop 

agreement. 

(vii) A description of the coop’s 

enforcement and penalty provisions 

adequate to maintain catch of Pacific 

whiting and non-whiting groundfish 

within the allocations. 

(viii) A description of measures to 

reduce catch of overfished species. 

(ix) A clause describing the co-op 

manager’s responsibility for managing 

inter-coop reassignments of catch 

history assignment, should any occur. 

(x) A clause describing how the 

annual report will be produced to 

document the coop’s catch, bycatch 

data, inseason catch history 

reassignments and any other significant 

activities undertaken by the coop during 

the year, and the submission deadlines 

for that report. 

(xi) Identification of the designated 

coop manager. 

(xii) A requirement that agreement by 

at least a majority of the members is 

required to dissolve the coop. 

(xiii) Provisions that prohibit member 

permit owners that have incurred legal 

sanctions that prevent them from fishing 

groundfish in the Council region from 

fishing in the coop. 

(2) Department of Justice 

correspondence. Each coop must submit 

a letter to the Department of Justice 

requesting a business review letter on 

the fishery coop. Copies of the letter and 

any correspondence with the 

Department of Justice regarding the 

request must be included in the 

application to NMFS for a MS Coop 

Permit. 

(3) Inter-coop agreement. The coop 

entity must provide, at the time of 

annual application, copies of any intercoop agreement(s) into which the coop 

has entered. Such agreements must 

incorporate and honor the provisions of 

the individual coop agreements for each 

coop that is a party to the inter-coop 

agreement. Inter-coop agreements are 

specified at paragraph (e) of this section. 

(B) Acceptance of a coop agreement— 

(1) If NMFS does not accept the coop 

agreement, the coop permit application 

will be returned to the applicant with a 

letter stating the reasons the coop 

agreement was not accepted by NMFS. 


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(2) Coop agreements that are not 

accepted may be resubmitted for review 

by sufficiently addressing the 

deficiencies identified in the NMFS 

letter and resubmitting the entire coop 

permit application by the date specified 

in the NMFS letter. 

(3) An accepted coop agreement that 

was submitted with the MS coop permit 

application and for which a MS coop 

permit was issued will remain in place 

through the end of the calendar year. 

The designated coop manager must 

resubmit a complete coop agreement to 

NMFS consistent with the coop 

agreement contents described in 

paragraph (d)(1)(iii)(A)(1) of this section 

if there is a material change to the coop 

agreement. 

(4) Within 7 calendar days following 

a material change, the designated coop 

manager must notify NMFS of the 

material change. Within 30 calendar 

days, the designated coop manager must 

submit to NMFS the revised coop 

agreement with a letter that describes 

such changes. NMFS will review the 

material changes and provide a letter to 

the coop manager that either accepts the 

changes as given or does not accept the 

revised coop agreement with a letter 

stating the reasons that it was not 

accepted by NMFS. The coop may 

resubmit the coop agreement with 

further revisions to the material changes 

responding to NMFS concerns. 

(iv) Effective date of MS coop permit. 

A MS coop permit will be effective 

upon the date approved by NMFS and 

will allow fishing from the start of the 

MS sector primary whiting season until 

the end of the calendar year or until one 

or more of the following events occur, 

whichever comes first: 

(A) NMFS permanently closes the 

mothership sector fishing season for the 

year or a specific MS coop or the 

designated coop manager notifies NMFS 

that the coop has completed fishing for 

the calendar year, 

(B) The coop has reached its Pacific 

whiting allocation, 

(C) A material change to the coop 

agreement has occurred and the 

designated coop manager failed to notify 

NMFS within 7 calendar days of the 

material change and submit to NMFS 

the revised coop agreement with a letter 

that describes such changes within 30 

calendar days, or 

(D) NMFS has determined that a coop 

failure occurred. 

(2) Initial administrative 

determination. For all complete 

applications, NMFS will issue an IAD 

that either approves or disapproves the 

application. If approved, the IAD will 

include a MS coop permit. If 

disapproved, the IAD will provide the 

reasons for this determination. 

(3) Appeals. An appeal to a MS coop 

permit action follows the same process 

as the general permit appeals process 

defined at § 660.25(g), subpart C. 

(4) Fees. The Regional Administrator 

is authorized to charge fees for 

administrative costs associated with the 

issuance of a MS coop permit consistent 

with the provisions given at § 660.25(f), 

subpart C. 

(5) Cost recovery. [Reserved] 

(e) Inter-coop agreements—(1) 

General. Permitted MS coops may 

voluntarily enter into inter-coop 

agreements for the purpose of sharing 

permitted MS coop allocations of Pacific 

whiting and allocated non-whiting 

groundfish. If two or more permitted MS 

coops enter into an inter-coop 

agreement, the inter-coop agreement 

must incorporate and honor the 

provisions of each permitted MS coop 

subject to the inter-coop agreement. 

(3) Submission of inter-coop 

agreements. Inter-coop agreements must 

be submitted to NMFS for acceptance. 

(4) Inter-coop agreement review 

process. Each designated coop manager 

must submit a copy of the inter-coop 

agreement signed by both designated 

coop managers for review. Complete 

coop agreements containing all items 

listed under paragraph (d)(1)(iii)(A)(1) 

will be reviewed by NMFS. 

* * * * * 

(f) * * * 

(2) Renewal, change of permit 

ownership, or vessel registration—(i) 

Renewal. A MS permit must be renewed 

annually consistent with the limited 

entry permit regulations given at 

§ 660.25(b)(4), subpart C. If a vessel 

registered to the MS permit will operate 

as a mothership in the year for which 

the permit is renewed, the permit owner 

must make a declaration as part of the 

permit renewal that while participating 

in the whiting fishery it will operate 

solely as a mothership during the 

calendar year to which its limited entry 

permit applies. Any such declaration is 

binding on the vessel for the calendar 

year, even if the permit is transferred 

during the year, unless it is rescinded in 

response to a written request from the 

permit owner. Any request to rescind a 

declaration must be made by the permit 

holder and granted in writing by the 

Regional Administrator before any 

unprocessed whiting has been taken on 

board the vessel that calendar year. 

(ii) Change of permit ownership. A 

MS permit is subject to the limited entry 

permit change in permit ownership 

regulations given at § 660.25(b)(4), 

subpart C. 

(iii) Change of vessel registration. A 

MS permit is subject to the limited entry 

permit change of vessel registration 

regulations given at § 660.25(b)(4), 

subpart C. 

(3) Accumulation limits—(i) MS 

permit usage limit. No person who owns 

an MS permit(s) may register the MS 

permit(s) to vessels that cumulatively 

process more than 45 percent of the 

annual mothership sector Pacific 

whiting allocation. For purposes of 

determining accumulation limits, NMFS 

requires that permit owners submit a 

complete trawl ownership interest form 

for the permit owner as part of annual 

renewal for the MS permit. An 

ownership interest form will also be 

required whenever a new permit owner 

obtains a MS permit as part of a permit 

transfer request. Accumulation limits 

will be determined by calculating the 

percentage of ownership interest a 

person has in any MS permit. 

Determination of ownership interest 

will subject to the individual and 

collective rule. 

(ii) Ownership—individual and 

collective rule. The ownership that 

counts toward a person’s accumulation 

limit will include: 

(A) Any MS permit owned by that 

person, and 

(B) A portion of any MS permit 

owned by an entity in which that person 

has an interest, where the person’s share 

of interest in that entity will determine 

the portion of that entity’s ownership 

that counts toward the person’s limit. 

(iii) [Reserved] 

(iv) Trawl identification of ownership 

interest form. Any person that is 

applying for or renewing an MS permit 

shall document those persons that have 

an ownership interest in the permit 

greater than or equal to 2 percent. This 

ownership interest must be documented 

with the SFD via the Trawl 

Identification of Ownership Interest 

Form. SFD will not issue an MS Permit 

unless the Trawl Identification of 

Ownership Interest Form has been 

completed. NMFS may request 

additional information of the applicant 

as necessary to verify compliance with 

accumulation limits. 

(4) Appeals. An appeal to a MS permit 

action follows the same process as the 

general permit appeals process defined 

at § 660.25(g), subpart C. 

* * * * * 

(g) Mothership catcher vessel (MS/CV) 

endorsed permit—(1) General. Any 

vessel that delivers whiting to a 

mothership processor in the Pacific 

whiting fishery mothership sector must 

be registered to an MS/CV-endorsed 

permit, except that a vessel registered to 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53440 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

limited entry trawl permit without an 

MS/CV or C/P endorsement may fish for 

a coop if authorized by the coop. Within 

the MS Coop Program, an MS/CV 

endorsed permit may participate in an 

MS coop or in the non-coop fishery. A 

MS/CV endorsed permit is a limited 

entry permit and is subject to the 

limited entry permit provisions given at 

§ 660.25(b), subpart C. 

* * * * * 

(iv) Restrictions on processing for MS/ 

CV endorsed permits. A vessel 

registered to an MS/CV-endorsed permit 

in a given year shall not engage in 

processing of Pacific whiting during that 

year. 

* * * * * 

(2) Renewal, change of permit owner, 

vessel registration, or combination—(i) 

Renewal. A MS/CV endorsed permit 

must be renewed annually consistent 

with the limited entry permit 

regulations given at § 660.25(b)(4), 

subpart C. During renewal, all MS/CV 

endorsed limited entry permit owners 

must make a preliminary declaration 

regarding their intent to participate in 

the coop or non-coop portion of the MS 

Coop Program for the following year. If 

the owner of the MS/CV endorsed 

permit intends to participate in the coop 

portion of the MS Coop Program, they 

must also declare which MS vessel to 

which they intend to obligate the 

permit’s catch history assignment. MS/ 

CV endorsed permits not obligated to a 

permitted MS coop by March 31 of the 

fishing year will be assigned to the noncoop fishery. For an MS/CV endorsed 

permit that is not renewed, the 

following occurs: 

(A) For the first year after the permit 

is not renewed, the permit will be 

extinguished, and the catch history 

assignment from that permit will be 

assigned to the non-coop fishery. 

(B) In the year after the permit is 

extinguished (the second year after the 

permit is not renewed), the catch history 

assignment from that permit will be 

redistributed proportionally to all valid 

MS/CV endorsed permits. 

(ii) Change of permit ownership. A 

MS/CV endorsed permit is subject to the 

limited entry permit change in permit 

ownership regulations given at 

§ 660.25(b)(4), subpart C. 

(iii) Change of vessel registration. A 

MS/CV endorsed permit is subject to the 

limited entry permit change of vessel 

registration regulations given at 

§ 660.25(b)(4), subpart C. 

(iv) Combination. An MS/CV 

endorsed permit may be combined with 

one or more other limited entry trawl 

permits; the resulting permit will be a 

single permit with an increased size 

endorsement. If the MS/CV endorsed 

permit is combined with another 

limited entry trawl-endorsed permit 

other than a C/P endorsed permit, the 

resulting permit will be MS/CV 

endorsed. If a MS/CV endorsed permit 

is combined with a C/P endorsed 

permit, the resulting permit will be 

exclusively a C/P endorsed permit, and 

will not have an MS/CV endorsement. If 

a MS/CV endorsed permit is combined 

with another MS/CV endorsed permit, 

the combined catch history assignment 

of the permit(s) will be added to the 

active permit (the permit remaining 

after combination) and the other permit 

will be retired. NMFS will not approve 

a permit combination if it results in a 

person exceeding the accumulation 

limits specified at paragraph (g)(3) of 

this section. Any request to combine 

permits is subject to the provision 

provided at § 660.25(b), including the 

combination formula for resulting size 

endorsements. 

* * * * * 

(3) * * * 

(i) * * * 

(C) Trawl identification of ownership 

interest form. Any person that owns a 

limited entry trawl permit and that is 

applying for or renewing an MS/CV 

endorsement shall document those 

persons that have an ownership interest 

in the permit greater than or equal to 2 

percent. This ownership interest must 

be documented with the SFD via the 

Trawl Identification of Ownership 

Interest Form. SFD will not issue an 

MS/CV endorsement unless the Trawl 

Identification of Ownership Interest 

Form has been completed. NMFS may 

request additional information of the 

applicant as necessary to verify 

compliance with accumulation limits. 

Further, if SFD discovers through 

review of the Trawl Identification of 

Ownership Interest Form that a person 

owns or controls more than the 

accumulation limits, the person will 

subject to divestiture provisions 

specified in paragraph (g)(3)(i)(D) of this 

section. 

* * * * * 

(ii) Catcher vessel usage limit. No 

vessel may catch more than 30 percent 

of the mothership sector’s whiting 

allocation. 

(4) Appeals. An appeal to a MS/CV 

endorsed permit action follows the same 

process as the general permit appeals 

process defined at § 660.25(g), subpart 

C. 

* * * * * 

(h) Non-coop fishery—(1) Access to 

non-coop fishery allocation. All vessels 

registered to the MS/CV endorsed 

permits assigned to the non-coop fishery 

will have access to harvest and deliver 

the aggregate catch history assignment 

of all MS/CV permits assigned to the 

non-coop fishery. 

(2) Non-coop fishery closure. The 

non-coop fishery will be closed by 

automatic action as specified at 

§ 660.60(d) when the Pacific whiting or 

non-whiting allocations to the non-coop 

fishery have been reached or are 

projected to be reached. 

(i) Retention requirements. Catcher 

vessels participating in the MS Coop 

Program may discard minor operational 

amounts of catch at sea if the observer 

has accounted for the discard (i.e., a 

maximized retention fishery). 

(j) Observer requirements—(1) 

Observer coverage requirements. (i) 

Coverage. (A) Motherships. Any vessel 

registered to a MS permit 125 ft (38.1 m) 

LOA or longer must carry two NMFScertified observers, and any vessel 

registered to a MS permit mothership 

shorter than 125 ft (38.1 m) LOA must 

carry one NMFS-certified observer, each 

day that the vessel is used to take, 

retain, receive, land, process, or 

transport groundfish. 

(B) Catcher vessels. Any vessel 

delivering catch to any mothership must 

carry one NMFS-certified observer each 

day that the vessel is used to take 

groundfish. 

(ii) Observer workload—(A) 

Motherships. The time required for the 

observer to complete sampling duties 

must not exceed 12 consecutive hours 

in each 24-hour period. 

(B) Catcher vessels. If an observer is 

unable to perform their duties for any 

reason, the vessel is required to be in 

port within 36 hours of the last haul 

sampled by the observer. 

(iii) Refusal to board. Any boarding 

refusal on the part of the observer or 

vessel is reported to the observer 

program and NOAA OLE by the 

observer provider. The observer must be 

available for an interview with the 

observer program or NOAA OLE if 

necessary. 

(2) Vessel responsibilities. An 

operator and/or crew of a vessel 

required to carry an observer must 

provide: 

(i) Accommodations and food—(A) 

Motherships. Provide accommodations 

and food that are equivalent to those 

provided for officers, engineers, 

foremen, deck-bosses or other 

management level personnel of the 

vessel. 

(B) Catcher vessels—(1) 

Accommodations and food for trips less 

than 24 hours must be equivalent to 

those provided for the crew. 

(2) Accommodations and food for 

trips of 24 hours or more must be 


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equivalent to those provided for the 

crew and must include berthing space, 

a space that is intended to be used for 

sleeping and is provided with installed 

bunks and mattresses. A mattress or 

futon on the floor or a cot is not 

acceptable if a regular bunk is provided 

to any crew member, unless other 

arrangements are approved in advance 

by the Regional Administrator or their 

designee. 

(ii) Safe conditions. Motherships and 

Catcher Vessels must: 

(A) Maintain safe conditions on the 

vessel for the protection of observers 

including adherence to all U.S. Coast 

Guard and other applicable rules, 

regulations, or statutes pertaining to safe 

operation of the vessel including, but 

not limited to, rules of the road, vessel 

stability, emergency drills, emergency 

equipment, vessel maintenance, vessel 

general condition, and port bar 

crossings. An observer may refuse 

boarding or reboarding a vessel and may 

request a vessel return to port if 

operated in an unsafe manner or if 

unsafe conditions are indentified. 

(B) Have on board a valid Commercial 

Fishing Vessel Safety Decal that certifies 

compliance with regulations found in 

33 CFR Chapter I and 46 CFR Chapter 

I, a certificate of compliance issued 

pursuant to 46 CFR 28.710 or a valid 

certificate of inspection pursuant to 46 

U.S.C. 3311. 

(iii) Computer hardware and 

software—(A) Motherships must: 

(1) Provide hardware and software 

pursuant to regulations at 

§§ 679.50(g)(1)(iii)(B)(1) through 

679.50(g)(1)(iii)(B)(3). 

(2) Provide the observer(s) access to a 

computer required under paragraph 

(j)(2)(iii)(A) of this section, and that is 

connected to a communication device 

that provides a point-to-point 

connection to the NMFS host computer. 

(3) Ensure that the mothership has 

installed the most recent release of 

NMFS data entry software provided by 

the Regional Administrator, or other 

approved software prior to the vessel 

receiving, catching or processing IFQ 

species. 

(4) Ensure that the communication 

equipment required in paragraph 

(j)(2)(iii) of this section and that is used 

by observers to enter and transmit data, 

is fully functional and operational. 

‘‘Functional’’ means that all the tasks 

and components of the NMFS supplied, 

or other approved, software described at 

paragraph (j)(2)(iii) of this section and 

the data transmissions to NMFS can be 

executed effectively aboard the vessel 

by the communications equipment. 

(B) Catcher vessels. [Reserved] 

(iv) Vessel position. Allow observer(s) 

access to the vessel’s navigation 

equipment and personnel, on request, to 

determine the vessel’s position. 

(v) Access. Allow observer(s) free and 

unobstructed access to the vessel’s 

bridge, trawl or working decks, holding 

bins, processing areas, freezer spaces, 

weight scales, cargo holds, and any 

other space that may be used to hold, 

process, weigh, or store fish or fish 

products at any time. 

(vi) Prior notification. Notify 

observer(s) at least 15 minutes before 

fish are brought on board, or fish and 

fish products are transferred from the 

vessel, to allow sampling the catch or 

observing the transfer. 

(vii) Records. Allow observer(s) to 

inspect and copy any State or Federal 

logbook maintained voluntarily or as 

required by regulation. 

(viii) Assistance. Provide all other 

reasonable assistance to enable 

observer(s) to carry out their duties, 

including, but not limited to: 

(A) Measuring decks, codends, and 

holding bins. 

(B) Providing the observer(s) with a 

safe work area. 

(C) Collecting samples of catch. 

(D) Collecting and carrying baskets of 

fish. 

(E) Allowing the observer(s) to collect 

biological data and samples. 

(F) Providing adequate space for 

storage of biological samples. 

(ix) Sample station and operational 

requirements. 

(A) Motherships. To allow the 

observer to carry out required duties, 

the vessel owner must provide an 

observer sampling station that meets the 

following requirements: 

(1) Accessibility. The observer 

sampling station must be available to 

the observer at all times. 

(2) Location. The observer sampling 

station must be located within 4 m of 

the location from which the observer 

samples unsorted catch. 

(3) Access. Unobstructed passage 

must be provided between the observer 

sampling station and the location where 

the observer collects sample catch. 

(4) Minimum work space. The 

observer must have a working area of at 

least 4.5 square meters, including the 

observer’s sampling table, for sampling 

and storage of fish to be sampled. The 

observer must be able to stand upright 

and have a work area at least 0.9 m deep 

in the area in front of the table and 

scale. 

(5) Table. The observer sampling 

station must include a table at least 0.6 

m deep, 1.2 m wide and 0.9 m high and 

no more than 1.1 m high. The entire 

surface area of the table must be 

available for use by the observer. Any 

area for the observer sampling scale is 

in addition to the minimum space 

requirements for the table. The 

observer’s sampling table must be 

secured to the floor or wall. 

(6) Diverter board. The conveyor belt 

conveying unsorted catch must have a 

removable board (‘‘diverter board’’) to 

allow all fish to be diverted from the 

belt directly into the observer’s 

sampling baskets. The diverter board 

must be located downstream of the scale 

used to weigh total catch. At least 1 m 

of accessible belt space, located 

downstream of the scale used to weigh 

total catch, must be available for the 

observer’s use when sampling. 

(7) Other requirements. The sampling 

station must be in a well-drained area 

that includes floor grating (or other 

material that prevents slipping), lighting 

adequate for day or night sampling, and 

a hose that supplies fresh or sea water 

to the observer. 

(8) Observer sampling scale. The 

observer sample station must include a 

NMFS-approved platform scale 

(pursuant to requirements at 

§ 679.28(j)(2)) with a capacity of at least 

50 kg located within 1 m of the 

observer’s sampling table. The scale 

must be mounted so that the weighing 

surface is no more than 0.7 m above the 

floor. 

(B) Catcher vessels. To allow the 

observer to carry out the required 

duties, the vessel owner must provide 

an observer sampling station that is: 

(1) Accessible. The observer sampling 

station must be available to the observer 

at all times. 

(2) Limits hazards. To the extent 

possible, the area should be free and 

clear of hazards including, but not 

limited to, moving fishing gear, stored 

fishing gear, inclement weather 

conditions, and open hatches. 

(x) Transfer at-sea. Observers may be 

transferred at-sea between motherships, 

between motherships and catcherprocessors, or between a mothership 

and a catcher vessel. Transfers at-sea 

between catcher vessels is prohibited. 

For transfers, both vessels must: 

(A) Ensure that transfers of observers 

at sea via small boat under its own 

power are carried out during daylight 

hours, under safe conditions, and with 

the agreement of observers involved. 

(B) Notify observers at least 3 hours 

before observers are transferred, such 

that the observers can finish any 

sampling work, collect personal 

belongings, equipment, and scientific 

samples. 

(C) Provide a safe pilot ladder and 

conduct the transfer to ensure the safety 

of observers during transfers. 


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(D) Provide an experienced crew 

member to assist observers in the small 

boat in which any transfer is made. 

(3) Procurement of observer services— 

(i) Motherships—(A) Owners of vessels 

required to carry observers under 

paragraph (j)(1)(i) of this section must 

arrange for observer services from a 

permitted observer provider, except 

that: 

(1) Vessels are required to procure 

observer services directly from NMFS 

when NMFS has determined and given 

notification that the vessel must carry 

NMFS staff or an individual authorized 

by NMFS in lieu of an observer 

provided by a permitted observer 

provider. 

(2) Vessels are required to procure 

observer services directly from NMFS 

and a permitted observer provider when 

NMFS has determined and given 

notification that the vessel must carry 

NMFS staff and/or individuals 

authorized by NMFS, in addition to an 

observer provided by a permitted 

observer provider. 

(B) [Reserved] 

(ii) Catcher vessels—(A) Owners of 

vessels required to carry observers 

under paragraph (j)(1)(i) of this section 

must arrange for observer services from 

a permitted observer provider, except 

that: 

(1) Vessels are required to procure 

observer services directly from NMFS 

when NMFS has determined and given 

notification that the vessel must carry 

NMFS staff or an individual authorized 

by NMFS in lieu of an observer 

provided by a permitted observer 

provider. 

(2) Vessels are required to procure 

observer services directly from NMFS 

and a permitted observer provider when 

NMFS has determined and given 

notification that the vessel must carry 

NMFS staff and/or individuals 

authorized by NMFS, in addition to an 

observer provided by a permitted 

observer provider. 

(B) [Reserved] 

(4) Application to become an observer 

provider—(i) Mothership observers. Any 

observer provider holding a valid permit 

issued by the North Pacific Groundfish 

Observer Program in 2010 can supply 

observer services and will be issued a 

West Coast Groundfish Observer 

Program permit. 

(ii) Catcher vessel observers. 

[Reserved] 

(5) Observer provider 

responsibilities—(i) Provide qualified 

candidates to serve as observers. 

Observer providers must provide 

qualified candidates to serve as 

observers. To be qualified, a candidate 

must have: 

(A) A Bachelor’s degree or higher 

from an accredited college or university 

with a major in one of the natural 

sciences; 

(B) Successfully completed a 

minimum of 30 semester hours or 

equivalent in applicable biological 

sciences with extensive use of 

dichotomous keys in at least one course; 

(C) Successfully completed at least 

one undergraduate course each in math 

and statistics with a minimum of 5 

semester hours total for both; and 

(D) Computer skills that enable the 

candidate to work competently with 

standard database software and 

computer hardware. 

(ii) Prior to hiring an observer 

candidate—(A) Motherships. 

(1) The observer provider must 

provide the candidate a copy of NMFSprovided pamphlets, information and 

other literature describing observer 

duties (i.e. The At-Sea Hake Observer 

Program’s Observer Manual) prior to 

hiring the candidate. Observer job 

information is available from the 

Observer Program Office’s Web site at 

http://www.nwfsc.noaa.gov/research/ 

divisions/fram/observer/atseahake.cfm. 

(2) Observer contracts. The observer 

provider must have a written contract or 

a written contract addendum that is 

signed by the observer and observer 

provider prior to the observer’s 

deployment with the following clauses: 

(i) That all the observer’s catch reports 

required to be sent while deployed are 

delivered to the Observer Program 

Office as specified by written Observer 

Program instructions; 

(ii) That the observer inform the 

observer provider prior to the time of 

embarkation if he or she is experiencing 

any new mental illness or physical 

ailments or injury that would prevent 

the candidate from performing their 

assigned duties of an observer and 

which were not documented in the 

physician’s statement submitted by the 

candidate; 

(iii) That the observer completes 

duties in a timely manner. An observer 

provider must ensure that observers 

employed by that observer provider do 

the following in a complete and timely 

manner: Once an observer is scheduled 

for a final deployment debriefing, 

submit to NMFS all data, reports 

required by the Observer Manual, and 

biological samples from the observer’s 

deployment by the completion of the 

electronic vessel and/or processor 

survey(s); report for the scheduled 

debriefing and complete all debriefing 

responsibilities; report to the observer 

program office and the NOAA OLE any 

refusal to board an assigned vessel. 

(iv) That all sampling and safety gear 

will be returned to the Observer 

Program Office. 

(B) Catcher vessels—(1) Provide the 

candidate a copy of NMFS-provided 

pamphlets, information and other 

literature describing observer duties, for 

example, the West Coast Groundfish 

Observer Program’s sampling manual. 

Observer job information is available 

from the Observer Program Office’s Web 

site at http://www.nwfsc.noaa.gov/ 

research/divisions/fram/observer/ 

index.cfm. 

(2) For each observer employed by an 

observer provider, have a written 

contract or a written contract addendum 

that is signed by the observer and 

observer provider prior to the observer’s 

deployment with the following clauses: 

(i) That all of the observer’s in-season 

catch messages and catch reports 

between the observer and NMFS are 

delivered to the Observer Program 

Office as specified by the Observer 

Program instructions; 

(ii) That the observer inform the 

observer provider prior to the time of 

embarkation if he or she is experiencing 

any new mental illness or physical 

ailments or injury since submission of 

the physician’s statement as required as 

a qualified observer candidate that 

would prevent him or her from 

performing their assigned duties; 

(iii) That the observer completes a 

basic cardiopulmonary resuscitation/ 

first aid course prior to the end of the 

NMFS West Coast Groundfish Observer 

Training class. 

(iii) Observers provided to vessels— 

(A) Motherships. Observers provided to 

mothership vessels: 

(1) Must have a valid North Pacific 

groundfish observer certification 

endorsements and an At-Sea Hake 

Observer Program certification; 

(2) Must not have not informed the 

provider prior to the time of 

embarkation that he or she is 

experiencing a mental illness or a 

physical ailment or injury developed 

since submission of the physician’s 

statement that would prevent him or her 

from performing his or her assigned 

duties; and 

(3) Must have successfully completed 

all NMFS required training and briefing 

before deployment. 

(B) Catcher vessels. Observers 

provided to catcher vessels: 

(1) Must have a valid West Coast 

Groundfish observer certification; 

(2) Must have not informed the 

provider prior to the time of 

embarkation that he or she is 

experiencing a mental illness or a 

physical ailment or injury developed 

since submission of the physician’s 


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statement, as required in paragraph 

(j)(5)(x)(B)(2) of this section that would 

prevent him or her from performing his 

or her assigned duties; and 

(3) Must have successfully completed 

all NMFS required training and briefing 

before deployment. 

(iv) Respond to industry requests for 

observers. An observer provider must 

provide an observer for deployment 

pursuant to the terms of the contractual 

relationship with the vessel to fulfill 

vessel requirements for observer 

coverage specified at paragraph (j)(1)(i) 

of this section. An alternate observer 

must be supplied in each case where 

injury or illness prevents the observer 

from performing his or her duties or 

where the observer resigns prior to 

completion of his or her duties. If the 

observer provider is unable to respond 

to an industry request for observer 

coverage from a vessel for whom the 

provider is in a contractual relationship 

due to lack of available observers by the 

estimated embarking time of the vessel, 

the provider must report it to the 

observer program at least 4 hours prior 

to the vessel’s estimated embarking 

time. 

(v) Provide observer salaries and 

benefits. An observer provider must 

provide to its observer employees 

salaries and any other benefits and 

personnel services in accordance with 

the terms of each observer’s contract. 

(vi) Provide observer deployment 

logistics—(A) Motherships. An observer 

provider must provide to each of its 

observers under contract: 

(1) All necessary transportation, 

including arrangements and logistics, of 

observers to the initial location of 

deployment, to all subsequent vessel 

assignments during that deployment, 

and to the debriefing location when a 

deployment ends for any reason; and 

(2) Lodging, per diem, and any other 

services necessary to observers assigned 

to fishing vessels. 

(3) An observer under contract may be 

housed on a vessel to which he or she 

is assigned: 

(i) Prior to their vessel’s initial 

departure from port; 

(ii) For a period not to exceed twentyfour hours following the completion of 

an offload when the observer has duties 

and is scheduled to disembark; or 

(iii) For a period not to exceed twentyfour hours following the vessel’s arrival 

in port when the observer is scheduled 

to disembark. 

(iv) During all periods an observer is 

housed on a vessel, the observer 

provider must ensure that the vessel 

operator or at least one crew member is 

aboard. 

(v) An observer under contract who is 

between vessel assignments must be 

provided with shoreside 

accommodations pursuant to the terms 

of the contract between the observer 

provider and the observers. If the 

observer provider is responsible for 

providing accommodations under the 

contract with the observer, the 

accommodations must be at a licensed 

hotel, motel, bed and breakfast, or other 

shoreside accommodations for the 

duration of each period between vessel 

or shoreside assignments. Such 

accommodations must include an 

assigned bed for each observer and no 

other person may be assigned that bed 

for the duration of that observer’s stay. 

Additionally, no more than four beds 

may be in any room housing observers 

at accommodations meeting the 

requirements of this section. 

(B) Catcher vessels. An observer 

provider must ensure each of its 

observers under contract: 

(1) Has an individually assigned 

mobile or cell phones, in working order, 

for all necessary communication. An 

observer provider may alternatively 

compensate observers for the use of the 

observer’s personal cell phone or pager 

for communications made in support of, 

or necessary for, the observer’s duties. 

(2) Calls into the NMFS deployment 

hotline upon departing and arriving into 

port for each trip to leave the following 

information: Observer name, phone 

number, vessel departing on, expected 

trip end date and time. 

(3) Remains available to NOAA OLE 

and the Observer Program until the 

conclusion of debriefing. 

(4) Receives all necessary 

transportation, including arrangements 

and logistics, of observers to the initial 

location of deployment, to all 

subsequent vessel assignments during 

that deployment, and to the debriefing 

location when a deployment ends for 

any reason; and 

(5) Receives lodging, per diem, and 

any other services necessary to 

observers assigned to fishing vessels. 

(i) An observer under contract may be 

housed on a vessel to which he or she 

is assigned: Prior to their vessel’s initial 

departure from port; for a period not to 

exceed 24 hours following the 

completion of an offload when the 

observer has duties and is scheduled to 

disembark; or for a period not to exceed 

twenty-four hours following the vessel’s 

arrival in port when the observer is 

scheduled to disembark. 

(ii) During all periods an observer is 

housed on a vessel, the observer 

provider must ensure that the vessel 

operator or at least one crew member is 

aboard. 

(iii) Otherwise, each observer between 

vessels, while still under contract with 

a permitted observer provider, shall be 

provided with accommodations in 

accordance with the contract between 

the observer and the observer provider. 

If the observer provider is responsible 

for providing accommodations under 

the contract with the observer, the 

accommodations must be at a licensed 

hotel, motel, bed and breakfast, or other 

shoreside accommodations that has an 

assigned bed for each observer that no 

other person may be assigned to for the 

duration of that observer’s stay. 

Additionally, no more than four beds 

may be in any room housing observers 

at accommodations meeting the 

requirements of this section. 

(vii) Observer deployment 

limitations—(A) Motherships. Unless 

alternative arrangements are approved 

by the Observer Program Office, an 

observer provider must not: 

(1) Deploy an observer on the same 

vessel more than 90 days in a 12-month 

period; 

(2) Deploy an observer for more than 

90 days in a single deployment; 

(3) Include more than four vessels 

assignments in a single deployment, or 

(4) Disembark an observer from a 

vessel before that observer has 

completed his or her sampling or data 

transmission duties. 

(B) Catcher vessels. Not deploy an 

observer on the same vessel more than 

90 calendar days in a 12-month period. 

(viii) Verify vessel’s safety decal. An 

observer provider must verify that a 

vessel has a valid USCG safety decal as 

required under paragraph (j)(2)(ii)(B) of 

this section before an observer may get 

underway aboard the vessel. One of the 

following acceptable means of 

verification must be used to verify the 

decal validity: 

(A) The observer provider or 

employee of the observer provider, 

including the observer, visually inspects 

the decal aboard the vessel and confirms 

that the decal is valid according to the 

decal date of issuance; or 

(B) The observer provider receives a 

hard copy of the USCG documentation 

of the decal issuance from the vessel 

owner or operator. 

(ix) Maintain communications with 

observers. An observer provider must 

have an employee responsible for 

observer activities on call 24 hours a 

day to handle emergencies involving 

observers or problems concerning 

observer logistics, whenever observers 

are at sea, in transit, or in port awaiting 

vessel reassignment. 

(x) Maintain Communications With 

The Observer Program Office. An 

observer provider must provide all of 


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53444 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

the following information by electronic 

transmission (e-mail), fax, or other 

method specified by NMFS. 

(A) Motherships—(1) Training and 

briefing registration materials. The 

observer provider must submit training 

and briefing registration materials to the 

Observer Program Office at least 5 

business days prior to the beginning of 

a scheduled observer at-sea hake 

training or briefing session. 

(i) Registration materials consist of the 

date of requested training or briefing 

with a list of observers including each 

observer’s full name (i.e., first, middle 

and last names). 

(ii) Projected observer assignments. 

Prior to the observer’s completion of the 

training or briefing session, the observer 

provider must submit to the Observer 

Program Office a statement of projected 

observer assignments that include the 

observer’s name; vessel, gear type, and 

vessel/processor code; port of 

embarkation; and area of fishing. 

(2) Observer debriefing registration. 

The observer provider must contact the 

At-Sea Hake Observer Program within 5 

business days after the completion of an 

observer’s deployment to schedule a 

date, time and location for debriefing. 

Observer debriefing registration 

information must be provided at the 

time of debriefing scheduling and must 

include the observer’s name, cruise 

number, vessel name(s) and code(s), and 

requested debriefing date. 

(3) Observer provider contracts. If 

requested, observer providers must 

submit to the Observer Program Office 

a completed and unaltered copy of each 

type of signed and valid contract 

(including all attachments, appendices, 

addendums, and exhibits incorporated 

into the contract) between the observer 

provider and those entities requiring 

observer services under paragraph 

(j)(1)(i) of this section. Observer 

providers must also submit to the 

Observer Program Office upon request, 

a completed and unaltered copy of the 

current or most recent signed and valid 

contract (including all attachments, 

appendices, addendums, and exhibits 

incorporated into the contract and any 

agreements or policies with regard to 

observer compensation or salary levels) 

between the observer provider and the 

particular entity identified by the 

Observer Program or with specific 

observers. The copies must be submitted 

to the Observer Program Office via fax 

or mail within 5 business days of the 

request. Signed and valid contracts 

include the contracts an observer 

provider has with: 

(i) Vessels required to have observer 

coverage as specified at paragraph 

(j)(1)(i) of this section; and 

(ii) Observers. 

(4) Change in observer provider 

management and contact information. 

Observer providers must submit 

notification of any other change to 

provider contact information, including 

but not limited to, changes in contact 

name, phone number, e-mail address, 

and address. 

(5) Other reports. Reports of the 

following must be submitted in writing 

to the At-Sea Hake Observer Program 

Office by the observer provider via fax 

or e-mail address designated by the 

Observer Program Office within 24 

hours after the observer provider 

becomes aware of the information: 

(i) Any information regarding possible 

observer harassment; 

(ii) Any information regarding any 

action prohibited under §§ 660.112 or 

600.725(o), (t) and (u); 

(iii) Any concerns about vessel safety 

or marine casualty under 46 CFR 4.05– 

1 (a)(1) through (7); 

(iv) Any observer illness or injury that 

prevents the observer from completing 

any of his or her duties described in the 

observer manual; and 

(v) Any information, allegations or 

reports regarding observer conflict of 

interest or breach of the standards of 

behavior described in observer provider 

policy. 

(B) Catcher vessels. An observer 

provider must provide all of the 

following information by electronic 

transmission (e-mail), fax, or other 

method specified by NMFS. 

(1) Observer training, briefing, and 

debriefing registration materials. This 

information must be submitted to the 

Observer Program Office at least 7 

business days prior to the beginning of 

a scheduled West Coast groundfish 

observer certification training or briefing 

session. 

(i) Training registration materials 

consist of the following: Date of 

requested training; a list of observer 

candidates that includes each 

candidate’s full name (i.e., first, middle 

and last names), date of birth, and 

gender; a copy of each candidate’s 

academic transcripts and resume; a 

statement signed by the candidate under 

penalty of perjury which discloses the 

candidate’s criminal convictions; 

projected observer assignments—Prior 

to the observer’s completion of the 

training or briefing session, the observer 

provider must submit to the Observer 

Program Office a statement of projected 

observer assignments that include that 

includes each observer’s name, current 

mailing address, e-mail address, phone 

numbers and port of embarkation 

(‘‘home port’’); and length of observers 

contract. 

(ii) Briefing registration materials 

consist of the following: Date and type 

of requested briefing session; list of 

observers to attend the briefing session, 

that includes each observer’s full name 

(first, middle, and last names); projected 

observer assignments—Prior to the 

observer’s completion of the training or 

briefing session, the observer provider 

must submit to the Observer Program 

Office a statement of projected observer 

assignments that include that includes 

each observer’s name, current mailing 

address, e-mail address, phone numbers 

and port of embarkation (‘‘home port’’); 

and length of observer contract. 

(iii) Debriefing. The West Coast 

Groundfish Observer Program will 

notify the observer provider which 

observers require debriefing and the 

specific time period the provider has to 

schedule a date, time, and location for 

debriefing. The observer provider must 

contact the West Coast Groundfish 

Observer program within 5 business 

days by telephone to schedule 

debriefings. Observer providers must 

immediately notify the observer 

program when observers end their 

contract earlier than anticipated. 

(2) Physical examination. A signed 

and dated statement from a licensed 

physician that he or she has physically 

examined an observer or observer 

candidate. The statement must confirm 

that, based on that physical 

examination, the observer or observer 

candidate does not have any health 

problems or conditions that would 

jeopardize that individual’s safety or the 

safety of others while deployed, or 

prevent the observer or observer 

candidate from performing his or her 

duties satisfactorily. The statement must 

declare that, prior to the examination, 

the physician was made aware of the 

duties of the observer and the 

dangerous, remote, and rigorous nature 

of the work by reading the NMFSprepared information. The physician’s 

statement must be submitted to the 

Observer Program Office prior to 

certification of an observer. The 

physical exam must have occurred 

during the 12 months prior to the 

observer’s or observer candidate’s 

deployment. The physician’s statement 

will expire 12 months after the physical 

exam occurred. A new physical exam 

must be performed, and accompanying 

statement submitted, prior to any 

deployment occurring after the 

expiration of the statement. 

(3) Certificates of insurance. Copies of 

‘‘certificates of insurance,’’ that names 

the NMFS Observer Program leader as 

the ‘‘certificate holder’’, shall be 

submitted to the Observer Program 

Office by February 1 of each year. The 


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certificates of insurance shall verify the 

following coverage provisions and state 

that the insurance company will notify 

the certificate holder if insurance 

coverage is changed or canceled. 

(i) Maritime Liability to cover 

‘‘seamen’s’’ claims under the Merchant 

Marine Act (Jones Act) and General 

Maritime Law ($1 million minimum). 

(ii) Coverage under the U.S. 

Longshore and Harbor Workers’ 

Compensation Act ($1 million 

minimum). 

(iii) States Worker’s Compensation as 

required. 

(iv) Commercial General Liability. 

(4) Observer provider contracts. If 

requested, observer providers must 

submit to the Observer Program Office 

a completed and unaltered copy of each 

type of signed and valid contract 

(including all attachments, appendices, 

addendums, and exhibits incorporated 

into the contract) between the observer 

provider and those entities requiring 

observer services under paragraph 

(j)(1)(i) of this section. Observer 

providers must also submit to the 

Observer Program Office upon request, 

a completed and unaltered copy of the 

current or most recent signed and valid 

contract (including all attachments, 

appendices, addendums, and exhibits 

incorporated into the contract and any 

agreements or policies with regard to 

observer compensation or salary levels) 

between the observer provider and the 

particular entity identified by the 

Observer Program or with specific 

observers. The copies must be submitted 

to the Observer Program Office via fax 

or mail within 5 business days of the 

request. Signed and valid contracts 

include the contracts an observer 

provider has with: 

(i) Vessels required to have observer 

coverage as specified at paragraph 

(j)(1)(i) of this section; and 

(ii) Observers. 

(5) Change in observer provider 

management and contact information. 

An observer provider must submit to the 

Observer Program office any change of 

management or contact information 

submitted on the provider’s permit 

application under paragraphs (j)(4) of 

this section within 30 days of the 

effective date of such change. 

(6) Boarding refusals. The observer 

provider must report to NMFS any trip 

that has been refused by an observer 

within 24 hours of the refusal. 

(7) Biological samples. The observer 

provider must ensure that biological 

samples are stored/handled properly 

prior to delivery/transport to NMFS. 

(8) Observer status report. Each 

Tuesday, observer providers must 

provide NMFS with an updated list of 

contact information for all observers 

that includes the observer’s name, 

mailing address, e-mail address, phone 

numbers, port of embarkation (‘‘home 

port’’), fishery deployed the previous 

week and whether or not the observer is 

‘‘in service,’’ indicating when the 

observer has requested leave and/or is 

not currently working for the provider. 

(9) Providers must submit to NMFS, if 

requested, copies of any information 

developed and used by the observer 

providers distributed to vessels, such as 

informational pamphlets, payment 

notification, description of observer 

duties, etc. 

(10) Other reports. Reports of the 

following must be submitted in writing 

to the At-Sea Hake or West Coast 

Groundfish Observer Program Office by 

the observer provider via fax or e-mail 

address designated by the Observer 

Program Office within 24 hours after the 

observer provider becomes aware of the 

information: 

(i) Any information regarding possible 

observer harassment; 

(ii) Any information regarding any 

action prohibited under §§ 660.112 or 

600.725(o), (t) and (u); 

(iii) Any concerns about vessel safety 

or marine casualty under 46 CFR 4.05– 

1 (a)(1) through (7); 

(iv) Any observer illness or injury that 

prevents the observer from completing 

any of his or her duties described in the 

observer manual; and 

(v) Any information, allegations or 

reports regarding observer conflict of 

interest or breach of the standards of 

behavior described in observer provider 

policy. 

(xi) Replace lost or damaged gear. An 

observer provider must replace all lost 

or damaged gear and equipment issued 

by NMFS to an observer under contract 

to that provider. All replacements must 

be in accordance with requirements and 

procedures identified in writing by the 

Observer Program Office. 

(xii) Maintain confidentiality of 

information. An observer provider must 

ensure that all records on individual 

observer performance received from 

NMFS under the routine use provision 

of the Privacy Act or as otherwise 

required by law remain confidential and 

are not further released to anyone 

outside the employ of the observer 

provider company to whom the observer 

was contracted except with written 

permission of the observer. 

(xiii) Limitations on conflict of 

interest. Observer providers must meet 

limitations on conflict of interest. 

Observer providers: 

(A) Must not have a direct financial 

interest, other than the provision of 

observer services, in the North Pacific or 

Pacific Coast Groundfish fishery 

managed under an FMP for the waters 

off the coasts of Alaska, Washington, 

Oregon, and California, including, but 

not limited to, 

(1) Any ownership, mortgage holder, 

or other secured interest in a vessel, or 

shoreside processor facility involved in 

the catching, taking, harvesting or 

processing of fish, 

(2) Any business involved with 

selling supplies or services to any vessel 

or shoreside processors participating in 

a fishery managed pursuant to an FMP 

in the waters off the coasts of Alaska, 

California, Oregon, and Washington, or 

(3) Any business involved with 

purchasing raw or processed products 

from any vessel or shoreside processor 

participating in a fishery managed 

pursuant to an FMP in the waters off the 

coasts of Alaska, California, Oregon, and 

Washington. 

(B) Must assign observers without 

regard to any preference by 

representatives of vessels other than 

when an observer will be deployed. 

(C) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value except for compensation 

for providing observer services from 

anyone who conducts fishing or fish 

processing activities that are regulated 

by NMFS, or who has interests that may 

be substantially affected by the 

performance or nonperformance of the 

official duties of observer providers. 

(xiv) Observer conduct and behavior. 

Observer providers must develop and 

maintain a policy addressing observer 

conduct and behavior for their 

employees that serve as observers. The 

policy shall address the following 

behavior and conduct regarding: 

(A) Observer use of alcohol; 

(B) Observer use, possession, or 

distribution of illegal drugs and; 

(C) Sexual contact with personnel of 

the vessel or processing facility to 

which the observer is assigned, or with 

any vessel or processing plant personnel 

who may be substantially affected by 

the performance or nonperformance of 

the observer’s official duties. 

(D) An observer provider shall 

provide a copy of its conduct and 

behavior policy by February 1 of each 

year, to: Observers, observer candidates 

and; the Observer Program Office. 

(xv) Refusal to deploy an observer. 

Observer providers may refuse to deploy 

an observer on a requesting vessel if the 

observer provider has determined that 

the requesting vessel is inadequate or 

unsafe pursuant to those regulations 

described at § 600.746 or U.S. Coast 

Guard and other applicable rules, 

regulations, statutes, or guidelines 


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pertaining to safe operation of the 

vessel. 

(6) Observer certification and 

responsibilities. 

(i) Applicability. Observer 

certification authorizes an individual to 

fulfill duties as specified in writing by 

the NMFS Observer Program Office 

while under the employ of a NMFSpermitted observer provider and 

according to certification endorsements 

as designated under paragraph (j)(6)(iii) 

of this section. 

(ii) Observer certification official. The 

Regional Administrator will designate a 

NMFS observer certification official 

who will make decisions for the 

Observer Program Office on whether to 

issue or deny observer certification. 

(iii) Certification requirements. 

(A) Initial certification. NMFS may 

certify individuals who, in addition to 

any other relevant considerations: 

(1) Are employed by an observer 

provider company permitted pursuant 

to § 679.50 at the time of the issuance 

of the certification; 

(2) Have provided, through their 

observer provider: 

(i) Information identified by NMFS at 

§ 679.50 regarding an observer 

candidate’s health and physical fitness 

for the job; 

(ii) Meet all observer education and 

health standards as specified in § 679.50 

and 

(iii) Have successfully completed 

NMFS-approved training as prescribed 

by the At-Sea Hake and/or the West 

Coast Groundfish Observer Program. 

Successful completion of training by an 

observer applicant consists of meeting 

all attendance and conduct standards 

issued in writing at the start of training; 

meeting all performance standards 

issued in writing at the start of training 

for assignments, tests, and other 

evaluation tools; and completing all 

other training requirements established 

by the Observer Program; and having 

not been decertified under paragraph 

(j)(6)(ix) of this section, or pursuant to 

§ 679.50. 

(B) [Reserved] 

(iv) Denial of a certification. The 

NMFS observer certification official will 

issue a written determination denying 

observer certification if the candidate 

fails to successfully complete training, 

or does not meet the qualifications for 

certification for any other relevant 

reason. 

(v) Issuance of an observer 

certification. An observer certification 

will be issued upon determination by 

the observer certification official that 

the candidate has successfully met all 

requirements for certification as 

specified at paragraph (j)(6)(iii) of this 

section. The following endorsements 

must be obtained, in addition to 

observer certification, in order for an 

observer to deploy. 

(A) Motherships—(1) North Pacific 

Groundfish Observer Program 

certification training endorsement. A 

certification training endorsement 

signifies the successful completion of 

the training course required to obtain 

observer certification. This endorsement 

expires when the observer has not been 

deployed and performed sampling 

duties as required by the Observer 

Program Office for a period of time, 

specified by the Observer Program, after 

his or her most recent debriefing. The 

observer can renew the endorsement by 

successfully completing certification 

training once more. 

(2) North Pacific Groundfish Observer 

Program annual general endorsements. 

Each observer must obtain an annual 

general endorsement to their 

certification prior to his or her first 

deployment within any calendar year 

subsequent to a year in which a 

certification training endorsement is 

obtained. To obtain an annual general 

endorsement, an observer must 

successfully complete the annual 

briefing, as specified by the Observer 

Program. All briefing attendance, 

performance, and conduct standards 

required by the Observer Program must 

be met. 

(3) North Pacific Groundfish Observer 

Program deployment endorsements. 

Each observer who has completed an 

initial deployment after certification or 

annual briefing must receive a 

deployment endorsement to their 

certification prior to any subsequent 

deployments for the remainder of that 

year. An observer may obtain a 

deployment endorsement by 

successfully completing all pre-cruise 

briefing requirements. The type of 

briefing the observer must attend and 

successfully complete will be specified 

in writing by the Observer Program 

during the observer’s most recent 

debriefing. 

(4) At-Sea Hake Observer Program 

endorsements. A Pacific hake fishery 

endorsement is required for purposes of 

performing observer duties aboard 

vessels that process groundfish at sea in 

the Pacific whiting fishery. A Pacific 

whiting fishery endorsement to an 

observer’s certification may be obtained 

by meeting the following requirements: 

(i) Be a prior NMFS-certified observer 

in the groundfish fisheries off Alaska; 

(ii) Receive an evaluation by NMFS 

for his or her most recent deployment 

that indicated that the observer’s 

performance met Observer Program 

expectations for that deployment; 

successfully complete a NMFSapproved observer training and/or 

Pacific whiting briefing as prescribed by 

the Observer Program; and comply with 

all of the other requirements of this 

section. 

(B) Catcher vessels. The following 

endorsements must be obtained in 

addition to observer certification, in 

order for an observer to deploy. 

(1) West Coast Groundfish Observer 

Program training certification 

endorsement. A training certification 

endorsement signifies the successful 

completion of the training course 

required to obtain observer certification. 

This endorsement expires when the 

observer has not been deployed and 

performed sampling duties as required 

by the observer Program office for a 

period of time, specified by the 

Observer Program, after his or her most 

recent debriefing. The observer can 

renew the endorsement by successfully 

completing training once more. 

(2) West Coast Groundfish Observer 

Program annual general endorsement. 

Each observer must obtain an annual 

general endorsement to their 

certification prior to his or her first 

deployment within any calendar year 

subsequent to a year in which a training 

certification endorsement is obtained. 

To obtain an annual general 

endorsement, an observer must 

successfully complete the annual 

briefing, as specified by the Observer 

Program. All briefing attendance, 

performance, and conduct standards 

required by the Observer Program must 

be met. 

(3) West Coast Groundfish Observer 

Program deployment endorsement. Each 

observer who has completed an initial 

deployment after their certification or 

annual briefing must receive a 

deployment endorsement to their 

certification prior to any subsequent 

deployments for the remainder of that 

year. An observer may obtain a 

deployment endorsement by 

successfully completing all briefing 

requirements, when applicable. The 

type of briefing the observer must attend 

and successfully complete will be 

specified in writing by the Observer 

Program during the observer’s most 

recent debriefing. 

(vi) Maintaining the validity of 

observer certification. After initial 

issuance, an observer must keep their 

certification valid by meeting all of the 

following requirements specified below: 

(A) Motherships—(1) Successfully 

perform their assigned duties as 

described in the Observer Manual or 

other written instructions from the 

Observer Program Office including 

calling into the NMFS deployment 


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hotline upon departing and arriving into 

port each trip to leave the following 

information: Observer name, phone 

number, vessel name departing on, date 

and time of departure and date and time 

of expected return. 

(2) Accurately record their sampling 

data, write complete reports, and report 

accurately any observations of 

suspected violations of regulations 

relevant to conservation of marine 

resources or their environment. 

(3) Not disclose collected data and 

observations made on board the vessel 

or in the processing facility to any 

person except the owner or operator of 

the observed vessel or an authorized 

officer or NMFS. 

(4) Successfully complete NMFSapproved annual briefings as prescribed 

by the At-Sea Hake Observer Program. 

(5) Successful completion of briefing 

by an observer applicant consists of 

meeting all attendance and conduct 

standards issued in writing at the start 

of training; meeting all performance 

standards issued in writing at the start 

of training for assignments, tests, and 

other evaluation tools; and completing 

all other briefing requirements 

established by the Observer Program. 

(6) Successfully meet all expectations 

in all debriefings including reporting for 

assigned debriefings. 

(7) Submit all data and information 

required by the observer program within 

the program’s stated guidelines. 

(B) Catcher vessels. After initial 

issuance, an observer must keep their 

certification valid by meeting all of the 

following requirements specified below: 

(1) Successfully perform their 

assigned duties as described in the 

Observer Manual or other written 

instructions from the Observer Program 

Office including calling into the NMFS 

deployment hotline upon departing and 

arriving into port each trip to leave the 

following information: Observer name, 

phone number, vessel name departing 

on, date and time of departure and date 

and time of expected return. 

(2) Accurately record their sampling 

data, write complete reports, and report 

accurately any observations of 

suspected violations of regulations 

relevant to conservation of marine 

resources or their environment. 

(3) Not disclose collected data and 

observations made on board the vessel 

or in the processing facility to any 

person except the owner or operator of 

the observed vessel or an authorized 

officer or NMFS. 

(4) Successfully complete NMFSapproved annual briefings as prescribed 

by the West Coast Groundfish Observer 

Program. 

(5) Successful completion of briefing 

by an observer applicant consists of 

meeting all attendance and conduct 

standards issued in writing at the start 

of training; meeting all performance 

standards issued in writing at the start 

of training for assignments, tests, and 

other evaluation tools; and completing 

all other briefing requirements 

established by the Observer Program. 

(6) Hold current basic 

cardiopulmonary resuscitation/first aid 

certification as per American Red Cross 

Standards. 

(7) Successfully meet all expectations 

in all debriefings including reporting for 

assigned debriefings. 

(8) Submit all data and information 

required by the observer program within 

the program’s stated guidelines. 

(9) Meet the minimum annual 

deployment period of 3 months at least 

once every 12 months. 

[Alternative 1 for paragraph (j)(6)(vii) 

(Council-deemed)] 

(vii) Limitations on conflict of 

interest. Observers: 

(A) Must not have a direct financial 

interest in the vessels on which the 

observers are stationed, or in the vessels 

receiving deliveries from or making 

deliveries to those vessels, other than 

the provision of observer services. 

(B) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS in the Pacific coast or North 

Pacific regions or has interests that may 

be substantially affected by the 

performance or nonperformance of the 

observers’ official duties. 

(C) May not serve as observers on any 

vessel owned or operated by a person 

who employed the observer in the last 

two years. 

(D) May not solicit or accept 

employment as a crew member or an 

employee of a vessel or shoreside 

processor while employed by an 

observer provider. 

(E) Provisions for remuneration of 

observers under this section do not 

constitute a conflict of interest. 

[Alternative 2 for paragraph (j)(6)(vii) 

(NMFS-proposed)] 

(vii) Limitations on conflict of 

interest. Observers: 

(A) Must not have a direct financial 

interest, other than the provision of 

observer services, in a fishery managed 

pursuant to an FMP for the waters off 

the coast of Alaska, or in a Pacific Coast 

fishery managed by either the State or 

Federal governments in waters off 

Washington, Oregon, or California, 

including but not limited to: 

(1) Any ownership, mortgage holder, 

or other secured interest in a vessel, 

shore-based or floating stationary 

processor facility involved in the 

catching, taking, harvesting or 

processing of fish, 

(2) Any business involved with 

selling supplies or services to any 

vessel, shore-based or floating stationary 

processing facility; or 

(3) Any business involved with 

purchasing raw or processed products 

from any vessel, shore-based or floating 

stationary processing facilities. 

(B) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS in the Pacific coast or North 

Pacific regions or has interests that may 

be substantially affected by the 

performance or nonperformance of the 

observers’ official duties. 

(C) May not serve as observers on any 

vessel or at any shore-based owned or 

operated by a person who employed the 

observer in the last two years. 

(D) May not solicit or accept 

employment as a crew member or an 

employee of a vessel or shore-based 

processor while employed by an 

observer provider. 

(E) Provisions for remuneration of 

observers under this section do not 

constitute a conflict of interest. 

(viii) Standards of behavior. (A) 

Observers must: 

(1) Perform their assigned duties as 

described in the Observer Manual or 

other written instructions from the 

Observer Program Office. 

(2) Report to the observer program 

office and the NMFS OLE any time they 

refuse to board. 

(3) Accurately record their sampling 

data, write complete reports, and report 

accurately any observations of 

suspected violations of regulations 

relevant to conservation of marine 

resources or their environment. 

(4) Not disclose collected data and 

observations made on board the vessel 

or in the processing facility to any 

person except the owner or operator of 

the observed vessel or processing 

facility, an authorized officer, or NMFS. 

(B) [Reserved] 

(ix) Suspension and decertification— 

(A) Suspension and decertification 

review official. The Regional 

Administrator (or a designee) will 

designate an observer suspension and 

decertification review official(s), who 

will have the authority to review 

observer certifications and issue initial 

administrative determinations of 


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observer certification suspension and/or 

decertification. 

(B) Causes for suspension or 

decertification. The suspension/ 

decertification official may initiate 

suspension or decertification 

proceedings against an observer: 

(1) When it is alleged that the 

observer has not met applicable 

standards, including any of the 

following: 

(i) Failed to satisfactorily perform 

duties of observers as specified in 

writing by the NMFS Observer Program; 

or 

(ii) Failed to abide by the standards of 

conduct for observers, including 

conflicts of interest; 

(2) Upon conviction of a crime or 

upon entry of a civil judgment for: 

(i) Commission of fraud or other 

violation in connection with obtaining 

or attempting to obtain certification, or 

in performing the duties as specified in 

writing by the NMFS Observer Program; 

(ii) Commission of embezzlement, 

theft, forgery, bribery, falsification or 

destruction of records, making false 

statements, or receiving stolen property; 

(iii) Commission of any other offense 

indicating a lack of integrity or honesty 

that seriously and directly affects the 

fitness of observers. 

(C) Issuance of initial administrative 

determination. Upon determination that 

suspension or decertification is 

warranted, the suspension/ 

decertification official will issue a 

written IAD to the observer via certified 

mail at the observer’s most current 

address provided to NMFS. The IAD 

will identify whether a certification is 

suspended or revoked and will identify 

the specific reasons for the action taken. 

(D) Appeals. A certified observer who 

receives an IAD that suspends or 

revokes his or her observer certification 

may appeal the IAD within 30 days of 

its issuance to the Office of 

Administrative Appeals pursuant to 

§ 679.43. 

(k) MS coop failure—(1) The Regional 

Administrator will determine that a 

permitted MS coop is considered to 

have failed if: 

(i) The coop members dissolve the 

coop, or 

(ii) The coop membership falls below 

20 percent of the MS/CV endorsed 

limited entry permits, or 

(iii) The coop agreement is no longer 

valid. 

(2) If a permitted MS coop dissolves, 

the designated coop manager must 

notify NMFS SFD in writing of the 

dissolution of the coop. 

(3) In the event of a NMFS determined 

coop failure, or reported failure, the 

designated coop manager will be 

notified in writing about NMFS’ 

determination. Upon notification of a 

coop failure, fishing under the MS coop 

permit will no longer be allowed. 

Should a coop failure determination be 

made during the Pacific whiting 

primary season for the mothership 

sector, unused allocation associated 

with the catch history will not be 

available for harvest by the coop that 

failed, by any former members of the 

coop that failed, or any other MS coop 

for the remainder of that calendar year. 

24. In § 660.160: 

a. Paragraphs (a)(3) and (a)(4) are 

revised; 

b. Paragraphs (g) and (h) are removed; 

c. Paragraphs (b) through (f) are 

redesignated as paragraphs (c) through 

(g); 

d. A new paragraph (b) is added; 

e. Text is added to the newly 

designated paragraph (c)(2); 

f. New paragraphs (c)(3) through 

(c)(7), (d), and (e)(2) through (e)(4) are 

added; 

g. The newly designated paragraphs 

(e)(1) introductory text, and (e)(5) are 

revised; 

h. The newly designated paragraph 

(e)(7) is redesignated as paragraph (e)(6); 

i. Text is added to the newly 

designated paragraph (g); and 

j. A new paragraph (h) is added to 

read as follows: 

§ 660.160 Catcher/processor (C/P) Coop 

Program. 

* * * * * 

(a) * * * 

(3) Regulations set out in the 

following sections of subpart C: § 660.11 

Definitions, § 660.12 Prohibitions, 

§ 660.13 Recordkeeping and reporting, 

§ 660.14 VMS requirements, § 660.15 

Equipment requirements, § 660.16 

Groundfish Observer Program, § 660.20 

Vessel and gear identification, § 660.25 

Permits, § 660.55 Allocations, § 660.60 

Specifications and management 

measures, § 660.65 Groundfish harvest 

specifications, and §§ 660.70 through 

660.79 Closed areas. 

(4) Regulations set out in the 

following sections of subpart D: 

§ 660.111 Trawl fishery definitions, 

§ 660.112 Trawl fishery prohibitions, 

§ 660.113 Trawl fishery recordkeeping 

and reporting, § 660.120 Trawl fishery 

crossover provisions, § 660.130 Trawl 

fishery management measures, and 

§ 660.131 Pacific whiting fishery 

management measures. 

* * * * * 

(b) Participation requirements and 

responsibilities—(1) C/P vessels—(i) C/P 

vessel participation requirements. A 

vessel is eligible to fish as a catcher/ 

processor in the C/P Coop Program if: 

(A) The vessel is registered to a C/P 

endorsed limited entry trawl permit. 

(B) The vessel is not used to harvest 

fish as a catcher vessel in the 

mothership coop program in the same 

calendar year. 

(C) The vessel is not used to fish as 

a mothership in the MS Coop Program 

in the same calendar year. 

(ii) C/P vessel responsibilities. The 

owner and operator of a catcher/ 

processor vessel must: 

(A) Recordkeeping and reporting. 

Maintain a valid declaration as specified 

at § 660.13(d), subpart C; and maintain 

and submit all records and reports 

specified at § 660.113(d) including, 

economic data, scale tests records, and 

cease fishing reports. 

(B) Observers. As specified at 

paragraph (g) of this section, procure 

observer services, maintain the 

appropriate level of coverage, and meet 

the vessel responsibilities. 

(C) Catch weighing requirements. The 

owner and operator of a C/P vessel 

must: 

(1) Ensure that all catch is weighed in 

its round form on a NMFS-approved 

scale that meets the requirements 

described in § 660.15(b), subpart C; 

(2) Provide a NMFS-approved 

platform scale, belt scale, and test 

weights that meet the requirements 

described in § 660.15(b), subpart C. 

(2) C/P coops—(i) C/P coop 

participation requirements. For a C/P 

coop to participate in the catcher/ 

processor sector of the Pacific whiting 

fishery, the C/P coop must: 

(A) Be issued a C/P coop permit; 

(B) Be composed of all C/P endorsed 

limited entry permits and their owners; 

(C) Be formed voluntarily; 

(D) Be a legally recognized entity that 

represents its members; and 

(E) Designate an individual as a coop 

manager. 

(ii) C/P coop responsibilities. A C/P 

coop is responsible for: 

(A) Applying for and being registered 

to a C/P coop permit; 

(B) Organizing and coordinating 

harvest activities of vessels that fish for 

the coop; 

(C) Allocating catch for use by 

specific coop members; 

(D) Monitoring harvest activities and 

enforcing the catch limits of coop 

members; 

(E) Submitting an annual report. 

(F) Having a designated coop 

manager. The designated coop manager 

must: 

(1) Serve as the contact person with 

NMFS and the Council; 

(2) Be responsible for the annual 

distribution of catch and bycatch 

allocations among coop members; 


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(3) Prepare and submit an annual 

report on behalf of the coop; and, 

(4) Be authorized to receive or 

respond to any legal process in which 

the coop is involved; and 

(5) Notify NMFS if the coop dissolves. 

(iii) C/P coop compliance and joint/ 

several liability. A C/P coop must 

comply with the provisions of this 

section. The C/P coop, member limited 

entry permit owners, and owners and 

operators of vessels registered to 

member limited entry permits, are 

jointly and severally responsible for 

compliance with the provisions of this 

section. Pursuant to 15 CFR part 904, 

each C/P coop, member permit owner, 

and owner and operator of a vessel 

registered to a coop member permit may 

be charged jointly and severally for 

violations of the provisions of this 

section. For purposes of enforcement, a 

C/P coop is a legal entity that can be 

subject to NOAA enforcement action for 

violations of the provisions of this 

section. 

* * * * * 

(c) * * * 

(2) C/P Coop Program annual 

allocations. The C/P Coop Program 

allocation of Pacific whiting is equal to 

the catcher/processor sector allocation. 

Only a single coop may be formed in the 

catcher/processor sector with the one 

permitted coop receiving the catcher/ 

processor sector allocation. 

(3) Non-whiting groundfish species— 

(i) Non-whiting groundfish species with 

a catcher/processor sector allocation are 

established in accordance with 

regulation at § 660.55(i). The pounds 

associated with each species will be 

provided when the coop permit is 

issued. 

(ii) Groundfish species with at-sea 

sector set-asides will be managed on an 

annual basis unless there is a risk of a 

harvest specification being exceeded, 

unforeseen impact on another fisheries, 

or conservation concerns in which case 

inseason action may be taken. Set asides 

may be adjusted through the biennial 

specifications and management 

measures process as necessary. 

(iii) Groundfish species not addressed 

under paragraph (i) or (ii) above, will be 

managed on an annual basis unless 

there is a risk of a harvest specification 

being exceeded, unforeseen impact on 

another fisheries, or conservation 

concerns in which case inseason action 

may be taken. 

(4) Halibut set-asides. Annually a 

specified amount of the Pacific halibut 

will be held in reserve as a shared setaside for bycatch in the at-sea Pacific 

whiting fisheries and the shorebased 

trawl sector south of 40°10’ N lat. 

(5) Non-whiting groundfish species 

reapportionment. The Regional 

Administrator may make available for 

harvest to the mothership sector of the 

Pacific whiting fishery, the amounts of 

the catcher/processor sector’s nonwhiting catch allocation remaining 

when the catcher/processor sector 

reaches its Pacific whiting allocation or 

participants in the catcher/processor 

sector do not intend to harvest the 

remaining sector allocation. The 

designated coop manager must submit a 

cease fishing report to NMFS indicating 

that harvesting has concluded for the 

year. At any time after greater than 80 

percent of the catcher/processor sector 

Pacific whiting allocation has been 

harvested, the Regional Administrator 

may contact the designated coop 

manager to determine whether they 

intend to continue fishing. When 

considering redistribution of nonwhiting catch allocation, the Regional 

Administrator will take into 

consideration the best available data on 

total projected fishing impacts. 

(6) Reaching the catcher/processor 

sector allocation. When the catcher/ 

processor sector allocation of Pacific 

whiting or non-whiting groundfish 

catch allocation is reached or is 

projected to be reached, further taking 

and retaining, receiving, or at-sea 

processing by a catcher/processor is 

prohibited. No additional unprocessed 

groundfish may be brought on board 

after at-sea processing is prohibited, but 

a catcher/processor may continue to 

process catch that was on board before 

at-sea processing was prohibited. The 

catcher/processor sector will close when 

the allocation of any one species is 

reached or projected to be reached. 

(7) Announcements. The Regional 

Administrator will announce in the 

Federal Register when the catcher/ 

processor sector allocation of Pacific 

whiting or non-whiting groundfish with 

an allocation is reached, or is projected 

to be reached, and specify the 

appropriate action. In order to prevent 

exceeding an allocation and to avoid 

underutilizing the resource, 

prohibitions against further taking and 

retaining, receiving, or at-sea processing 

of Pacific whiting, or reapportionment 

of non-whiting groundfish with 

allocations may be made effective 

immediately by actual notice to fishers 

and processors, by e-mail, Internet 

(http://www.nwr.noaa.gov/GroundfishHalibut/Groundfish-FisheryManagement/Whiting-Management/ 

index.cfm), phone, fax, letter, press 

release, and/or USCG Notice to Mariners 

(monitor channel 16 VHF), followed by 

publication in the Federal Register, in 

which instance public comment will be 

sought for a reasonable period of time 

thereafter. 

(d) C/P coop permit and agreement— 

(1) Eligibility and registration—(i) 

Eligibility. To be an eligible coop entity 

a group of C/P endorsed permit owners 

(coop members) must be a recognized 

entity under the laws of the United 

States or the laws of a State and that 

represents all of the coop members. 

(ii) Annual registration and deadline. 

Each year, the coop entity must submit 

a complete application to NMFS for a C/ 

P coop permit. The application must be 

submitted to NMFS by between 

February 1 and March 31 of the year in 

which it intends to participate. NMFS 

will not consider any applications 

received after March 31. A C/P coop 

permit expires on December 31 of the 

year in which it was issued. 

(iii) Application for a C/P coop 

permit. The designated coop manager, 

on behalf of the coop entity, must 

submit a complete application form and 

include each of the items listed in 

paragraph (d)(1)(iii)(A) of this section. 

Only complete applications will be 

considered for issuance of a C/P coop 

permit. An application will not be 

considered complete if any required 

application fees and annual coop 

reports have not been received by 

NMFS. NMFS may request additional 

supplemental documentation as 

necessary to make a determination of 

whether to approve or disapprove the 

application. Application forms and 

instruction are available on the NMFS 

NWR Web site (http:// 

www.nwr.noaa.gov) or by request from 

NMFS. The designated coop manager 

must sign the application 

acknowledging the responsibilities of a 

designated coop manager defined in 

paragraph (b)(2) of this section. 

(A) Coop agreement. Signed copies of 

the coop agreement must be submitted 

to NMFS and the Council and available 

for public review before the coop is 

authorized to engage in fishing 

activities. A coop agreement must 

include all of the information listed in 

this paragraph to be considered a 

complete coop agreement. NMFS will 

only review complete coop agreements. 

A coop agreement will not be accepted 

unless it includes all of the required 

information; the descriptive items listed 

in this paragraph appear to meet the 

stated purpose; and information 

submitted is correct and accurate. 

(1) Coop agreement contents. The 

coop agreement must be signed by the 

coop members (C/P endorsed permit 

owners) and include the following 

information: 

(i) A list of all vessels registered to 

C/P endorsed permits that the member 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53450 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

permit owners intend to use for fishing 

under the C/P coop permit. 

(ii) All C/P endorsed limited entry 

member permits identified by permit 

number. 

(iii) A description of the coop’s plan 

to adequately monitor and account for 

the catch of Pacific whiting and nonwhiting groundfish allocations, and to 

monitor and account for the catch of 

prohibited species. 

(iv) A clause stating that if a permit is 

transferred during the effective period of 

the co-op agreement, any new owners of 

that member permit would be coop 

members and are required to comply 

with membership restrictions in the 

coop agreement. 

(v) A description of the coop’s 

enforcement and penalty provisions 

adequate to maintain catch of Pacific 

whiting and non-whiting groundfish 

within the allocations. 

(vi) A description of measures to 

reduce catch of overfished species. 

(vii) A clause describing how the 

annual report will be produced to 

document the coop’s catch, bycatch 

data, and any other significant activities 

undertaken by the coop during the year, 

and the submission deadlines for that 

report. 

(viii) Identification of the designated 

coop manager. 

(2) Department of Justice 

correspondence. Each coop must submit 

a letter to the Department of Justice 

requesting a business review letter on 

the fishery coop. Copies of the letter and 

any correspondence with the 

Department of Justice regarding the 

request must be included in the 

application to NMFS for a C/P coop 

permit. 

(B) Acceptance of a coop agreement— 

(1) If NMFS does not accept the coop 

agreement, the coop permit application 

will be returned to the applicant with a 

letter stating the reasons the coop 

agreement was not accepted by NMFS. 

(2) Coop agreements that are not 

accepted may be resubmitted for review 

by sufficiently addressing the 

deficiencies identified in the NMFS 

letter and resubmitting the entire coop 

permit application by the date specified 

in the NMFS letter. 

(3) An accepted coop agreement that 

was submitted with the C/P coop permit 

application and for which a C/P coop 

permit was issued will remain in place 

through the end of the calendar year. 

The designated coop manager must 

resubmit a complete coop agreement to 

NMFS consistent with the coop 

agreement contents described in this 

paragraph if there is a material change 

to the coop agreement. 

(4) Within 7 calendar days following 

a material change, the designated coop 

manager must notify NMFS of the 

material change. Within 30 calendar 

days, the designated coop manger must 

submit to NMFS the revised coop 

agreement with a letter that describes 

such changes. NMFS will review the 

material changes and provide a letter to 

the coop manager that either accepts the 

changes as given or does not accept the 

revised coop agreement with a letter 

stating the reasons that it was not 

accepted by NMFS. The coop may 

resubmit the coop agreement with 

further revisions to the material changes 

responding to NMFS concerns. 

(iv) Effective date of C/P coop permit. 

A C/P coop permit will be effective on 

the date approved by NMFS and will 

allow fishing from the start of the C/P 

sector primary whiting season until the 

end of the calendar year or until one or 

more of the following events occur, 

whichever comes first: 

(A) NMFS closes the C/P sector 

fishing season for the year or the 

designated coop manager notifies NMFS 

that the coop has completed fishing for 

the calendar year, 

(B) The C/P coop has reached its 

Pacific whiting allocation, 

(C) A material change to the coop 

agreement has occurred and the 

designated coop manager failed to notify 

NMFS within 7 calendar days of the 

material change and submit to NMFS 

the revised coop agreement with a letter 

that describes such changes within 30 

calendar days, or 

(D) NMFS has determined that a coop 

failure occurred. 

(2) Initial administrative 

determination. For all complete 

applications, NMFS will issue an IAD 

that either approves or disapproves the 

application. If approved, the IAD will 

include a C/P coop permit. If 

disapproved, the IAD will provide the 

reasons for this determination. 

(3) Appeals. An appeal to a C/P coop 

permit action follows the same process 

as the general permit appeals process 

defined at § 660.25(g), subpart C. 

(4) Fees. The Regional Administrator 

is authorized to charge fees for 

administrative costs associated with the 

issuance of a C/P coop permit consistent 

with the provisions given at § 660.25(f), 

subpart C. 

(5) Cost recovery. [Reserved] 

(e) C/P endorsed permit—(1) General. 

Any vessel participating in the C/P 

sector of the non-Tribal primary Pacific 

whiting fishery during the season 

described at § 660.131(b) of this subpart 

must be registered to a valid limited 

entry permit with a C/P endorsement. A 

C/P endorsed permit is a limited entry 

permit and is subject to the limited 

entry permit provisions given at 

§ 660.25(b), subpart C. 

* * * * * 

(2) Renewal, change in permit 

ownership, vessel registration, or 

combination. 

(i) Renewal. A C/P endorsed permit 

must be renewed annually consistent 

with the limited entry permit 

regulations given at § 660.25(b)(4), 

subpart C. If a vessel registered to the 

C/P endorsed permit will operate as a 

mothership in the year for which the 

permit is renewed, the permit owner 

must make a declaration as part of the 

permit renewal that while participating 

in the whiting fishery they will operate 

solely as a mothership during the 

calendar year to which its limited entry 

permit applies. Any such declaration is 

binding on the vessel for the calendar 

year, even if the permit is transferred 

during the year, unless it is rescinded in 

response to a written request from the 

permit owner. Any request to rescind a 

declaration must be made by the permit 

holder and granted in writing by the 

Regional Administrator before any 

unprocessed whiting has been taken on 

board the vessel that calendar year. 

(ii) Change of permit ownership. A 

C/P endorsed permit is subject to the 

limited entry permit change in permit 

ownership regulations given at 

§ 660.25(b)(4), subpart C. 

(iii) Change of vessel registration. A 

C/P endorsed permit is subject to the 

limited entry permit change of vessel 

registration regulations given at 

§ 660.25(b)(4), subpart C. 

(iv) Combination. If two or more 

permits are combined, the resulting 

permit is one permit with an increased 

size endorsement. A C/P endorsed 

permit that is combined with another 

limited entry trawl-endorsed permit that 

does not have a C/P endorsement will 

result in a single trawl limited entry 

permit with a C/P endorsement with a 

larger size endorsement. Any request to 

combine permits is subject to the 

provisions provided at § 660.25(b), 

including the combination formula for 

resulting size endorsements. 

(3) Appeals. An appeal to a C/P 

endorsed permit action follows the same 

process as the general permit appeals 

process defined at § 660.25(g), subpart 

C. 

(4) Fees. The Regional Administrator 

is authorized to charge fees for the 

administrative costs associated with 

review and issuance of a C/P 

endorsement consistent with the 

provisions at § 660.25(f), subpart C. 

(5) Cost recovery. [Reserved] 

* * * * * 


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(g) Observer requirements—(1) 

Observer coverage requirements—(i) 

Coverage. Any vessel registered to a 

C/P endorsed limited entry trawl permit 

that is 125 ft (38.1 m) LOA or longer 

must carry two NMFS-certified 

observers, and any vessel registered to a 

C/P endorsed limited entry trawl permit 

that is shorter than 125 ft (38.1 m) LOA 

must carry one NMFS-certified observer, 

each day that the vessel is used to take, 

retain, receive, land, process, or 

transport groundfish. 

(ii) Observer workload. The time 

required for the observer to complete 

sampling duties must not exceed 12 

consecutive hours in each 24-hour 

period. 

(iii) Refusal to board. Any boarding 

refusal on the part of the observer or 

vessel is reported to the observer 

program and NOAA OLE by the 

observer provider. The observer must be 

available for an interview with the 

observer program or NOAA OLE if 

necessary. 

(2) Vessel responsibilities. An 

operator and/or crew of a vessel 

required to carry an observer must 

provide: 

(i) Accommodations and food. 

Provide accommodations and food that 

are equivalent to those provided for 

officers, engineers, foremen, deck-bosses 

or other management level personnel of 

the vessel. 

(ii) Safe conditions—(A) Maintain safe 

conditions on the vessel for the 

protection of observers including 

adherence to all U.S. Coast Guard and 

other applicable rules, regulations, or 

statutes pertaining to safe operation of 

the vessel, including but not limited to, 

rules of the road, vessel stability, 

emergency drills, emergency equipment, 

vessel maintenance, vessel general 

condition, and port bar crossings. An 

observer may refuse boarding or 

reboarding a vessel and may request a 

vessel to return to port if operated in an 

unsafe manner or if unsafe conditions 

are identified. 

(B) Have on board a valid Commercial 

Fishing Vessel Safety Decal that certifies 

compliance with regulations found in 

33 CFR Chapter I and 46 CFR Chapter 

I, a certificate of compliance issued 

pursuant to 46 CFR 28.710 or a valid 

certificate of inspection pursuant to 46 

U.S.C. 3311. 

(iii) Computer hardware and software. 

Catcher/processor vessels must: 

(A) Provide hardware and software 

pursuant to regulations at 

§§ 679.50(g)(1)(iii)(B)(1) through 

679.50(g)(1)(iii)(B)(3). 

(B) Provide the observer(s) access to a 

computer required under paragraph 

(g)(2)(iii) of this section that is 

connected to a communication device 

that provides a point-to-point 

connection to the NMFS host computer. 

(C) Ensure that the catcher/processor 

has installed the most recent release of 

NMFS data entry software provided by 

the Regional Administrator, or other 

approved software prior to the vessel 

receiving, catching or processing IFQ 

species. 

(D) Ensure that the communication 

equipment required in paragraph 

(g)(2)(iii) of this section and used by 

observers to enter and transmit data, is 

fully functional and operational. 

‘‘Functional’’ means that all the tasks 

and components of the NMFS supplied, 

or other approved, software described at 

paragraph (g)(2)(iii) of this section and 

the data transmissions to NMFS can be 

executed effectively aboard the vessel 

by the communications equipment. 

(iv) Vessel position. Allow observer(s) 

access to, the vessel’s navigation 

equipment and personnel, on request, to 

determine the vessel’s position. 

(v) Access. Allow observer(s) free and 

unobstructed access to the vessel’s 

bridge, trawl or working decks, holding 

bins, processing areas, freezer spaces, 

weight scales, cargo holds, and any 

other space that may be used to hold, 

process, weigh, or store fish or fish 

products at any time. 

(vi) Prior notification. Notify 

observer(s) at least 15 minutes before 

fish are brought on board, or fish and 

fish products are transferred from the 

vessel, to allow sampling the catch or 

observing the transfer. 

(vii) Records. Allow observer(s) to 

inspect and copy any State or Federal 

logbook maintained voluntarily or as 

required by regulation. 

(viii) Assistance. Provide all other 

reasonable assistance to enable 

observer(s) to carry out their duties, 

including, but not limited to: 

(A) Measuring decks, codends, and 

holding bins. 

(B) Providing the observer(s) with a 

safe work area. 

(C) Collecting samples of catch when 

requested by the observer(s). 

(D) Collecting and carrying baskets of 

fish when requested by the observer(s). 

(E) Allowing the observer(s) to collect 

biological data and samples. 

(F) Providing adequate space for 

storage of biological samples. 

(ix) Sample Station and Operational 

Requirements for catcher/processor 

vessels. This paragraph contains the 

requirements for observer sampling 

stations. To allow the observer to carry 

out the required duties, the vessel 

owner must provide an observer 

sampling station that meets the 

following requirements: 

(A) Accessibility. The observer 

sampling station must be available to 

the observer at all times. 

(B) Location. The observer sampling 

station must be located within 4 m of 

the location from which the observer 

samples unsorted catch. 

(C) Access. Unobstructed passage 

must be provided between the observer 

sampling station and the location where 

the observer collects sample catch. 

(D) Minimum work space. The 

observer must have a working area of at 

least 4.5 square meters, including the 

observer’s sampling table, for sampling 

and storage of fish to be sampled. The 

observer must be able to stand upright 

and have a work area at least 0.9 m deep 

in the area in front of the table and 

scale. 

(E) Table. The observer sampling 

station must include a table at least 0.6 

m deep, 1.2 m wide and 0.9 m high and 

no more than 1.1 m high. The entire 

surface area of the table must be 

available for use by the observer. Any 

area for the observer sampling scale is 

in addition to the minimum space 

requirements for the table. The 

observer’s sampling table must be 

secured to the floor or wall. 

(F) Diverter board. The conveyor belt 

conveying unsorted catch must have a 

removable board (‘‘diverter board’’) to 

allow all fish to be diverted from the 

belt directly into the observer’s 

sampling baskets. The diverter board 

must be located downstream of the scale 

used to weigh total catch. At least 1 m 

of accessible belt space, located 

downstream of the scale used to weight 

total catch, must be available for the 

observer’s use when sampling. 

(G) Other Requirements. The 

sampling station must be in a welldrained area that includes floor grating 

(or other material that prevents 

slipping), lighting adequate for day or 

night sampling, and a hose that supplies 

fresh or sea water to the observer. 

(H) Observer Sampling Scale. The 

observer sample station must include a 

NMFS-approved platform scale 

(pursuant to requirements at 

§ 679.28(d)(5)) with a capacity of at least 

50 kg located within 1 m of the 

observer’s sampling table. The scale 

must be mounted so that the weighing 

surface is no more than 0.7 m above the 

floor. 

(x) Transfer At-sea. Observers may be 

transferred at-sea between catcherprocessors, between catcher-processors 

and motherships, or between a catcherprocessor and a catcher vessel. Transfers 

at-sea between catcher vessels is 

prohibited. For transfers, both vessels 

must: 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53452 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

(A) Ensure that transfers of observers 

at sea via small boat under its own 

power are carried out during daylight 

hours, under safe conditions, and with 

the agreement of observers involved. 

(B) Notify observers at least 3 hours 

before observers are transferred, such 

that the observers can finish any 

sampling work, collect personal 

belongings, equipment, and scientific 

samples. 

(C) Provide a safe pilot ladder and 

conduct the transfer to ensure the safety 

of observers during transfers. 

(D) Provide an experienced crew 

member to assist observers in the small 

boat in which any transfer is made. 

(3) Procurement of observer services— 

(i) Owners of vessels required to carry 

observers under paragraph (g)(1) of this 

section must arrange for observer 

services from a permitted observer 

provider, except that: 

(A) Vessels are required to procure 

observer services directly from NMFS 

when NMFS has determined and given 

notification that the vessel must carry 

NMFS staff or an individual authorized 

by NMFS in lieu of an observer 

provided by a permitted observer 

provider. 

(B) Vessels are required to procure 

observer services directly from NMFS 

and a permitted observer provider when 

NMFS has determined and given 

notification that the vessel must carry 

NMFS staff and/or individuals 

authorized by NMFS, in addition to an 

observer provided by a permitted 

observer provider. 

(ii) [Reserved] 

(4) Application to become an observer 

provider. Any observer provider holding 

a valid permit issued by the North 

Pacific Groundfish Observer Program in 

2010 can supply observer services and 

will be issued a West Coast Groundfish 

Observer Program permit. 

(5) Observer provider 

responsibilities—(i) Provide qualified 

candidates to serve as observers. 

Observer providers must provide 

qualified candidates to serve as 

observers. To be qualified, a candidate 

must have: 

(A) A Bachelor’s degree or higher 

from an accredited college or university 

with a major in one of the natural 

sciences; 

(B) Successfully completed a 

minimum of 30 semester hours or 

equivalent in applicable biological 

sciences with extensive use of 

dichotomous keys in at least one course; 

(C) Successfully completed at least 

one undergraduate course each in math 

and statistics with a minimum of 5 

semester hours total for both; and 

(D) Computer skills that enable the 

candidate to work competently with 

standard database software and 

computer hardware. 

(ii) Prior to hiring observer candidate. 

The observer provider must provide the 

candidate a copy of NMFS-provided 

pamphlets, information and other 

literature describing observer duties (i.e. 

The At-Sea Hake Observer Program’s 

Observer Manual) prior to hiring an 

observer candidate. Observer job 

information is available from the 

Observer Program Office’s Web site at 

http://www.nwfsc.noaa.gov/research/ 

divisions/fram/observer/atseahake.cfm. 

(iii) Observer contracts. The observer 

provider must have a written contract or 

a written contract addendum that is 

signed by the observer and observer 

provider prior to the observer’s 

deployment with the following clauses: 

(A) That all the observer’s catch 

reports required to be sent while 

deployed are delivered to the Observer 

Program Office as specified by written 

Observer Program instructions; 

(B) That the observer inform the 

observer provider prior to the time of 

embarkation if he or she is experiencing 

any new mental illness or physical 

ailment or injury that would prevent the 

candidate from performing the assigned 

duties of an observer and which were 

not documented in the physician’s 

statement submitted by the candidate; 

(C) That the observer completes duties 

in a timely manner. An observer 

provider must ensure that observers 

employed by that observer provider do 

the following in a complete and timely 

manner: 

(1) Once an observer is scheduled for 

a final deployment debriefing, submit to 

NMFS all data, reports required by the 

Observer Manual, and biological 

samples from the observer’s deployment 

by the completion of the electronic 

vessel and/or processor survey(s); 

(2) Report for the scheduled 

debriefing and complete all debriefing 

responsibilities; 

(3) Report to the observer program 

office and the NOAA OLE any refusal to 

board an assigned vessel, and 

(4) Return all sampling and safety gear 

to the Observer Program Office. 

(iv) Observers provided to vessels. 

Observers provided to catcher 

processors: 

(A) Must have a valid North Pacific 

groundfish observer certification 

endorsements and an At-Sea Hake 

Observer Program certification; 

(B) Must not have informed the 

provider prior to the time of 

embarkation that he or she is 

experiencing a mental illness or a 

physical ailment or injury developed 

since submission of the physician’s 

statement that would prevent him or her 

from performing his or her assigned 

duties; and 

(C) Must have successfully completed 

all NMFS required training and briefing 

before deployment. 

(v) Respond to industry requests for 

observers. An observer provider must 

provide an observer for deployment as 

requested pursuant to the contractual 

relationship with the vessel to fulfill 

vessel requirements for observer 

coverage specified under paragraph 

(g)(1) of this section. An alternate 

observer must be supplied in each case 

where injury or illness prevents the 

observer from performing his or her 

duties or where the observer resigns 

prior to completion of his or her duties. 

If the observer provider is unable to 

respond to an industry request for 

observer coverage from a vessel for 

whom the provider is in a contractual 

relationship due to lack of available 

observers by the estimated embarking 

time of the vessel, the provider must 

report it to the observer program at least 

4 hours prior to the vessel’s estimated 

embarking time. 

(vi) Provide observer salaries and 

benefits. An observer provider must 

provide to its observer employees 

salaries and any other benefits and 

personnel services in accordance with 

the terms of each observer’s contract. 

(vii) Provide observer deployment 

logistics. An observer provider must 

provide to each of its observers under 

contract: 

(A) All necessary transportation, 

including arrangements and logistics, of 

observers to the initial location of 

deployment, to all subsequent vessel 

assignments during that deployment, 

and to the debriefing location when a 

deployment ends for any reason; and 

(B) Lodging, per diem, and any other 

services necessary to observers assigned 

to fishing vessels. 

(1) An observer under contract may be 

housed on a vessel to which he or she 

is assigned: 

(i) Prior to their vessel’s initial 

departure from port; 

(ii) For a period not to exceed 24 

hours following the completion of an 

offload when the observer has duties 

and is scheduled to disembark; or 

(iii) For a period not to exceed twentyfour hours following the vessel’s arrival 

in port when the observer is scheduled 

to disembark. 

(2) [Reserved] 

(C) During all periods an observer is 

housed on a vessel, the observer 

provider must ensure that the vessel 

operator or at least one crew member is 

aboard. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
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(D) An observer under contract who is 

between vessel assignments must be 

provided with shoreside 

accommodations in accordance with the 

contract between the observer and the 

observer provider. If the provider is 

providing accommodations, it must be 

at a licensed hotel, motel, bed and 

breakfast, or other shoreside 

accommodations for the duration of 

each period between vessel or shoreside 

assignments. Such accommodations 

must include an assigned bed for each 

observer and no other person may be 

assigned that bed for the duration of that 

observer’s stay. Additionally, no more 

than four beds may be in any room 

housing observers at accommodations 

meeting the requirements of this 

section. 

(viii) Deployment limitations. An 

observer provider must not exceed 

observer deployment limitations 

specified in this paragraph unless 

alternative arrangements are approved 

by the Observer Program Office. An 

observer provider must not: 

(A) Deploy an observer on the same 

vessel for more than 90 days in a 12- 

month period; 

(B) Deploy an observer for more than 

90 days in a single deployment; 

(C) Include more than four vessel 

assignments in a single deployment, or 

(D) Disembark an observer from a 

vessel before that observer has 

completed his or her sampling or data 

transmission duties. 

(ix) Verify vessel’s safety decal. An 

observer provider must verify that a 

vessel has a valid USCG safety decal as 

required under paragraph (g)(2)(ii)(B) of 

this section before an observer may get 

underway aboard the vessel. One of the 

following acceptable means of 

verification must be used to verify the 

decal validity: 

(A) The observer provider or 

employee of the observer provider, 

including the observer, visually inspects 

the decal aboard the vessel and confirms 

that the decal is valid according to the 

decal date of issuance; or 

(B) The observer provider receives a 

hard copy of the USCG documentation 

of the decal issuance from the vessel 

owner or operator. 

(x) Maintain communications with 

observers. An observer provider must 

have an employee responsible for 

observer activities on call 24 hours a 

day to handle emergencies involving 

observers or problems concerning 

observer logistics, whenever observers 

are at sea, in transit, or in port awaiting 

vessel reassignment. 

(xi) Maintain communications with 

the observer program. An observer 

provider must provide all of the 

following information by electronic 

transmission (e-mail), fax, or other 

method specified by NMFS. 

(A) Observer training and briefing. 

Observer training and briefing 

registration materials must be submitted 

to the Observer Program Office at least 

5 business days prior to the beginning 

of a scheduled observer at-sea hake 

training or briefing session. Registration 

materials consist of the following: The 

date of requested training or briefing 

with a list of observers including each 

observer’s full name (i.e., first, middle 

and last names). 

(B) Projected observer assignments. 

Prior to the observer’s completion of the 

training or briefing session, the observer 

provider must submit to the Observer 

Program Office a statement of projected 

observer assignments that include the 

observer’s name; vessel, gear type, and 

vessel/processor code; port of 

embarkation; and area of fishing. 

(C) Observer debriefing registration. 

The observer provider must contact the 

At-Sea Hake Observer Program within 5 

business days after the completion of an 

observer’s deployment to schedule a 

date, time and location for debriefing. 

Observer debriefing registration 

information must be provided at the 

time of debriefing scheduling and must 

include the observer’s name, cruise 

number, vessel name(s) and code(s), and 

requested debriefing date. 

(D) Observer provider contracts. If 

requested, observer providers must 

submit to the Observer Program Office 

a completed and unaltered copy of each 

type of signed and valid contract 

(including all attachments, appendices, 

addendums, and exhibits incorporated 

into the contract) between the observer 

provider and those entities requiring 

observer services under paragraph (g)(1) 

of this section. Observer providers must 

also submit to the Observer Program 

Office upon request, a completed and 

unaltered copy of the current or most 

recent signed and valid contract 

(including all attachments, appendices, 

addendums, and exhibits incorporated 

into the contract and any agreements or 

policies with regard to observer 

compensation or salary levels) between 

the observer provider and the particular 

entity identified by the Observer 

Program or with specific observers. The 

copies must be submitted to the 

Observer Program Office via fax or mail 

within 5 business days of the request. 

Signed and valid contracts include the 

contracts an observer provider has with: 

(1) Vessels required to have observer 

coverage as specified at paragraph (g)(1) 

of this section; and 

(2) Observers. 

(E) Change in observer provider 

management and contact information. 

Observer providers must submit 

notification of any other change to 

provider contact information, including 

but not limited to, changes in contact 

name, phone number, e-mail address, 

and address. 

(F) Other reports. Reports of the 

following must be submitted in writing 

to the At-Sea Hake Observer Program 

Office by the observer provider via fax 

or e-mail address designated by the 

Observer Program Office within 24 

hours after the observer provider 

becomes aware of the information: 

(1) Any information regarding 

possible observer harassment; 

(2) Any information regarding any 

action prohibited under §§ 660.112 or 

600.725(o), (t) and (u); 

(3) Any concerns about vessel safety 

or marine casualty under 46 CFR 4.05– 

1 (a)(1) through (7); 

(4) Any observer illness or injury that 

prevents the observer from completing 

any of his or her duties described in the 

observer manual; and 

(5) Any information, allegations or 

reports regarding observer conflict of 

interest or breach of the standards of 

behavior described in observer provider 

policy. 

(xii) Replace lost or damaged gear. An 

observer provider must replace all lost 

or damaged gear and equipment issued 

by NMFS to an observer under contract 

to that provider. All replacements must 

be in accordance with requirements and 

procedures identified in writing by the 

Observer Program Office. 

(xiii) Maintain confidentiality of 

information. An observer provider must 

ensure that all records on individual 

observer performance received from 

NMFS under the routine use provision 

of the Privacy Act or other applicable 

law remain confidential and are not 

further released to anyone outside the 

employ of the observer provider 

company to whom the observer was 

contracted except with written 

permission of the observer. 

(xiv) Conflict of interest. An observer 

provider must meet limitations on 

conflict of interest. Observer providers: 

(A) Must not have a direct financial 

interest, other than the provision of 

observer services, in a fishery managed 

under an FMP for the waters off the 

coasts of Alaska, Washington, Oregon, 

and California, including, but not 

limited to, 

(1) Any ownership, mortgage holder, 

or other secured interest in a vessel or 

shoreside processor facility involved in 

the catching, taking, harvesting or 

processing of fish, 


emcdonald on DSK2BSOYB1PROD with PROPOSALS2
53454 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

(2) Any business involved with 

selling supplies or services to any vessel 

or shoreside processors participating in 

a fishery managed pursuant to an FMP 

in the waters off the coasts of Alaska, 

California, Oregon, and Washington, or 

(3) Any business involved with 

purchasing raw or processed products 

from any vessel or shoreside processor 

participating in a fishery managed 

pursuant to an FMP in the waters off the 

coasts of Alaska, California, Oregon, and 

Washington. 

(B) Must assign observers without 

regard to any preference by 

representatives of vessels other than 

when an observer will be deployed. 

(C) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value except for compensation 

for providing observer services from 

anyone who conducts fishing or fish 

processing activities that are regulated 

by NMFS in the Pacific coast or North 

Pacific regions, or who has interests that 

may be substantially affected by the 

performance or nonperformance of the 

official duties of observer providers. 

(xv) Observer conduct and behavior. 

An observer provider must develop and 

maintain a policy addressing observer 

conduct and behavior for their 

employees that serve as observers. The 

policy shall address the following 

behavior and conduct: 

(A) Observer use of alcohol; 

(B) Observer use, possession, or 

distribution of illegal drugs and; 

(C) Sexual contact with personnel of 

the vessel or processing facility to 

which the observer is assigned, or with 

any vessel or processing plant personnel 

who may be substantially affected by 

the performance or non-performance of 

the observer’s official duties. 

(D) An observer provider shall 

provide a copy of its conduct and 

behavior policy by February 1 of each 

year, to observers, observer candidates, 

and the Observer Program Office. 

(xvi) Refusal to deploy an observer. 

Observer providers may refuse to deploy 

an observer on a requesting vessel if the 

observer provider has determined that 

the requesting vessel is inadequate or 

unsafe pursuant to those regulations 

described at § 600.746 or U.S. Coast 

Guard and other applicable rules, 

regulations, statutes, or guidelines 

pertaining to safe operation of the 

vessel. 

(6) Observer certification and 

responsibilities—(i) Observer 

certification—(A) Applicability. 

Observer certification authorizes an 

individual to fulfill duties as specified 

in writing by the NMFS Observer 

Program Office while under the employ 

of a NMFS-permitted observer provider 

and according to certification 

endorsements as designated under 

paragraph (g)(6)(i)(C) of this section. 

(B) Observer certification official. The 

Regional Administrator will designate a 

NMFS observer certification official 

who will make decisions for the 

Observer Program Office on whether to 

issue or deny observer certification. 

(C) Certification requirements. NMFS 

may certify individuals who, in addition 

to any other relevant considerations: 

(1) Are employed by an observer 

provider company holding a valid North 

Pacific Groundfish Observer Program 

permit at the time of the issuance of the 

certification to the observer; 

(2) Have provided, through their 

observer provider: 

(i) Information set forth at § 679.50 

regarding an observer candidate’s health 

and physical fitness for the job; 

(ii) Meet all observer education and 

health standards as specified in § 679.50 

and 

(iii) Have successfully completed 

NMFS-approved training as prescribed 

by the At-Sea Hake Observer Program. 

Successful completion of training by an 

observer applicant consists of meeting 

all attendance and conduct standards 

issued in writing at the start of training; 

meeting all performance standards 

issued in writing at the start of training 

for assignments, tests, and other 

evaluation tools; and completing all 

other training requirements established 

by the Observer Program. 

(3) Have not been decertified under 

paragraph (g)(6)(i)(I) of this section, or 

pursuant to § 679.50. 

(D) Denial of a certification. The 

NMFS observer certification official will 

issue a written determination denying 

observer certification if the candidate 

fails to successfully complete training, 

or does not meet the qualifications for 

certification for any other relevant 

reason. 

(E) Issuance of an observer 

certification. An observer certification 

may be issued upon determination by 

the observer certification official that 

the candidate has successfully met all 

requirements for certification as 

specified in paragraph (g)(6)(i)(C) of this 

section. The following endorsements 

must be obtained, in addition to 

observer certification, in order for an 

observer to deploy. 

(1) North Pacific Groundfish Observer 

Program certification training 

endorsement. A certification training 

endorsement signifies the successful 

completion of the training course 

required to obtain observer certification. 

This endorsement expires when the 

observer has not been deployed and 

performed sampling duties as required 

by the Observer Program Office for a 

period of time, specified by the 

Observer Program, after his or her most 

recent debriefing. The observer can 

renew the endorsement by successfully 

completing certification training once 

more. 

(2) North Pacific Groundfish Observer 

Program annual general endorsements. 

Each observer must obtain an annual 

general endorsement to their 

certification prior to his or her first 

deployment within any calendar year 

subsequent to a year in which a 

certification training endorsement is 

obtained. To obtain an annual general 

endorsement, an observer must 

successfully complete the annual 

briefing, as specified by the Observer 

Program. All briefing attendance, 

performance, and conduct standards 

required by the Observer Program must 

be met. 

(3) North Pacific Groundfish Observer 

Program deployment endorsements. 

Each observer who has completed an 

initial deployment after certification or 

annual briefing must receive a 

deployment endorsement to their 

certification prior to any subsequent 

deployments for the remainder of that 

year. An observer may obtain a 

deployment endorsement by 

successfully completing all pre-cruise 

briefing requirements. The type of 

briefing the observer must attend and 

successfully complete will be specified 

in writing by the Observer Program 

during the observer’s most recent 

debriefing. 

(4) At-Sea Hake Observer Program 

endorsements. A Pacific hake fishery 

endorsement is required for purposes of 

performing observer duties aboard 

vessels that process groundfish at sea in 

the Pacific whiting fishery. A Pacific 

whiting fishery endorsement to an 

observer’s certification may be obtained 

by meeting the following requirements: 

(i) Be a prior NMFS-certified observer 

in the groundfish fisheries off Alaska, 

unless an individual with this 

qualification is not available; 

(ii) Receive an evaluation by NMFS 

for his or her most recent deployment 

that indicated that the observer’s 

performance met Observer Program 

expectations for that deployment; 

(iii) Successfully complete a NMFSapproved observer training and/or 

Pacific whiting briefing as prescribed by 

the Observer Program; and 

(iv) Comply with all of the other 

requirements of this section. 

(F) Maintaining the validity of 

observer certification. After initial 

issuance, an observer must keep their 


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certification valid by meeting all of the 

following requirements specified below: 

(1) Successfully perform their 

assigned duties as described in the 

Observer Manual or other written 

instructions from the Observer Program 

Office including calling into the NMFS 

deployment hotline upon departing and 

arriving into port each trip to leave the 

following information: observer name, 

phone number, vessel name departing 

on, date and time of departure and date 

and time of expected return. 

(2) Accurately record their sampling 

data, write complete reports, and report 

accurately any observations of 

suspected violations of regulations 

relevant to conservation of marine 

resources or their environment. 

(3) Not disclose collected data and 

observations made on board the vessel 

or in the processing facility to any 

person except the owner or operator of 

the observed vessel or an authorized 

officer or NMFS. 

(4) Successfully complete NMFSapproved annual briefings as prescribed 

by the At-Sea Hake Observer Program. 

(5) Successful completion of briefing 

by an observer applicant consists of 

meeting all attendance and conduct 

standards issued in writing at the start 

of training; meeting all performance 

standards issued in writing at the start 

of training for assignments, tests, and 

other evaluation tools; and completing 

all other briefing requirements 

established by the Observer Program. 

(6) Successfully meet all expectations 

in all debriefings including reporting for 

assigned debriefings. 

(7) Submit all data and information 

required by the observer program within 

the program’s stated guidelines. 

[Alternative 1 for paragraph (g)(6)(i)(G) 

(Council-deemed)] 

(G) Limitations on conflict of interest. 

Observers: 

(1) Must not have a direct financial 

interest in the vessels on which the 

observers are stationed, other than the 

provision of observer services. 

(2) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS or has interests that may be 

substantially affected by the 

performance or nonperformance of the 

observers’ official duties. 

(3) May not serve as observers on any 

vessel owned or operated by a person 

who employed the observer in the last 

two years. 

(4) May not solicit or accept 

employment as a crew member or an 

employee of a vessel or shore-based 

processor while employed by an 

observer provider. 

(5) Provisions for remuneration of 

observers under this section do not 

constitute a conflict of interest. 

[Alternative 2 for paragraph (g)(6)(i)(G) 

(NMFS-proposed)] 

(G) Limitations on conflict of interest. 

Observers: 

(1) Must not have a direct financial 

interest, other than the provision of 

observer services, in a fishery managed 

pursuant to an FMP for the waters off 

the coast of Alaska, or in a Pacific Coast 

fishery managed by either the State or 

Federal governments in waters off 

Washington, Oregon, or California, 

including but not limited to: 

(i) Any ownership, mortgage holder, 

or other secured interest in a vessel, 

shore-based or floating stationary 

processor facility involved in the 

catching, taking, harvesting or 

processing of fish, 

(ii) Any business involved with 

selling supplies or services to any 

vessel, shore-based or floating stationary 

processing facility; or 

(iii) Any business involved with 

purchasing raw or processed products 

from any vessel, shore-based or floating 

stationary processing facilities. 

(2) Must not solicit or accept, directly 

or indirectly, any gratuity, gift, favor, 

entertainment, loan, or anything of 

monetary value from anyone who either 

conducts activities that are regulated by 

NMFS in the Pacific coast or North 

Pacific regions or has interests that may 

be substantially affected by the 

performance or nonperformance of the 

observers’ official duties. 

(3) May not serve as observers on any 

vessel or at any shore-based owned or 

operated by a person who employed the 

observer in the last two years. 

(4) May not solicit or accept 

employment as a crew member or an 

employee of a vessel or shore-based 

processor while employed by an 

observer provider. 

(5) Provisions for remuneration of 

observers under this section do not 

constitute a conflict of interest. 

(H) Standards of behavior. Observers 

must: 

(1) Perform their assigned duties as 

described in the Observer Manual or 

other written instructions from the 

Observer Program Office. 

(2) Report to the observer program 

office and the NOAA Office of Law 

Enforcement any time they refuse to 

board a vessel. 

(3) Accurately record their sampling 

data, write complete reports, and report 

accurately any observations of 

suspected violations of regulations 

relevant to conservation of marine 

resources or their environment. 

(4) Not disclose collected data and 

observations made on board the vessel 

or in the processing facility to any 

person except the owner or operator of 

the observed vessel or processing 

facility, an authorized officer, or NMFS. 

(I) Suspension and decertification. 

(1) Suspension and decertification 

review official. The Regional 

Administrator (or a designee) will 

designate an observer suspension and 

decertification review official(s), who 

will have the authority to review 

observer certifications and issue initial 

administrative determinations of 

observer certification suspension and/or 

decertification. 

(2) Causes for suspension or 

decertification. The suspension/ 

decertification official may initiate 

suspension or decertification 

proceedings against an observer: 

(i) When it is alleged that the observer 

has committed any acts or omissions of 

any of the following: Failed to 

satisfactorily perform the duties of 

observers as specified in writing by the 

NMFS Observer Program; or failed to 

abide by the standards of conduct for 

observers (including conflicts of 

interest); 

(ii) Upon conviction of a crime or 

upon entry of a civil judgment for: 

Commission of fraud or other violation 

in connection with obtaining or 

attempting to obtain certification, or in 

performing the duties as specified in 

writing by the NMFS Observer Program; 

commission of embezzlement, theft, 

forgery, bribery, falsification or 

destruction of records, making false 

statements, or receiving stolen property; 

or commission of any other offense 

indicating a lack of integrity or honesty 

that seriously and directly affects the 

fitness of observers. 

(3) Issuance of initial administrative 

determination. Upon determination that 

suspension or decertification is 

warranted, the suspension/ 

decertification official will issue a 

written IAD to the observer via certified 

mail at the observer’s most current 

address provided to NMFS. The IAD 

will identify whether a certification is 

suspended or revoked and will identify 

the specific reasons for the action taken. 

(4) Appeals. A certified observer who 

receives an IAD that suspends or 

revokes the observer certification may 

appeal the determination within 30 days 

of its issuance to the Office of 

Administrative Appeals pursuant to 

§ 679.43. 

(h) C/P coop failure—(1) The Regional 

Administrator will determine that a 

permitted C/P coop is considered to 


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53456 Federal Register / Vol. 75, No. 168 / Tuesday, August 31, 2010 / Proposed Rules 

have failed if any one of the following 

occurs: 

(i) Any current C/P endorsed limited 

entry trawl permit is not identified as a 

C/P coop member in the coop agreement 

submitted to NMFS during the C/P coop 

permit application process; 

(ii) Any current C/P endorsed permit 

withdraws from the C/P coop 

agreement; 

(iii) The coop members voluntarily 

dissolve the coop; or 

(iv) The coop agreement is no longer 

valid. 

(2) If the permitted C/P coop 

dissolves, the designated coop manager 

must notify NMFS SFD in writing of the 

dissolution of the coop. 

(3) The Regional Administrator may 

make an independent determination of 

a coop failure based on factual 

information collected by or provided to 

NMFS. 

(4) In the event of a NMFSdetermined coop failure, or reported 

failure, the designated coop manager 

will be notified in writing about NMFS’ 

determination. 

(i) Upon notification of a coop failure, 

the C/P coop permit will no longer be 

in effect. 

(ii) The C/P sector will convert to an 

IFQ-based fishery beginning the 

following calendar year after a coop 

failure, or a soon as practicable 

thereafter. NMFS will develop 

additional regulations, as necessary to 

implement an IFQ fishery for the C/P 

sector. Each C/P endorsed permit would 

receive an equal distribution of QS from 

the total IFQ for the catcher/processor 

sector allocation. 

25. In § 660.212, the introductory text, 

and paragraphs (a)(2) and (c)(1), are 

revised to read as follows: 

§ 660.212 Fixed gear fishery—prohibitions. 

These prohibitions are specific to the 

limited entry fixed gear fisheries and to 

the limited entry trawl fishery 

Shorebased IFQ Program under gear 

switching. General groundfish 

prohibitions are found at § 660.12, 

subpart C. In addition to the general 

groundfish prohibitions specified in 

§ 660.12, subpart C, it is unlawful for 

any person to: 

* * * * * 

(a) * * * 

(2) Take, retain, possess, or land more 

than a single cumulative limit of a 

particular species, per vessel, per 

applicable cumulative limit period, 

except for sablefish taken in the limited 

entry, fixed gear sablefish primary 

season from a vessel authorized to fish 

in that season, as described at § 660.231, 

subpart E and except for IFQ species 

taken in the Shorebased IFQ Program 

from a vessel authorized under gear 

switching provisions as described at 

§ 660.140. 

* * * * * 

(c) Fishing in conservation areas—(1) 

Operate a vessel registered to a limited 

entry permit with a longline, trap (pot), 

or trawl endorsement and longline and/ 

or trap gear onboard in an applicable 

GCA (as defined at § 660.230(d)), except 

for purposes of continuous transiting, 

with all groundfish longline and/or trap 

gear stowed in accordance with 

§ 660.212(a) or except as authorized in 

the groundfish management measures at 

§ 660.230. 

* * * * * 

[FR Doc. 2010–21124 Filed 8–24–10; 11:15 am] 

BILLING CODE 3510–22–P 


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