# Fisheries of the Northeastern United States; Dealer and Vessel Reporting Requirements

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URL: https://www.frixlaw.com/law-library/documents/fr%3A00-26357

## Record

- **Collection:** Federal Register
- **Document type:** Rule
- **Published:** October 13, 2000
- **Citation:** 65 FR 60892

## Text

DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

50 CFR Part 648

[Docket No. 991104295-0259-02; I.D. 100599D]
RIN 0648-AM74

Fisheries of the Northeastern United States; Dealer and Vessel
Reporting Requirements

AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: NMFS issues a final rule to amend the existing reporting
regulations for dealers and owners whose vessels are federally
permitted to operate in the summer flounder, scup, black sea bass,
Atlantic sea scallop, Northeast (NE) multispecies, monkfish, Atlantic
mackerel, squid, butterfish, surfclam, ocean quahog, spiny dogfish or
Atlantic bluefish fisheries. Changes to the existing regulations are
needed to improve the monitoring of commercial landings and to enhance
the enforceability of the reporting regulations. The intent of this
action is to improve the collection of fisheries-dependent data.

DATES: Effective November 13, 2000.

ADDRESSES: Copies of the Regulatory Impact Review supporting this
action are available from Patricia A. Kurkul, Regional Administrator,
Northeast Region, NMFS, One Blackburn Drive, Gloucester, MA 01930.
Comments regarding the collection-of-information requirements contained
in this final rule should be sent to Patricia A. Kurkul and to the
Office of Information and Regulatory Affairs, Attention: NOAA Desk
Officer, Office of Management and Budget, Washington, D.C. 20503. Send
comments regarding any ambiguity or unnecessary complexity arising from
the language used in this rule to Patricia Kurkul.

FOR FURTHER INFORMATION CONTACT: Sandra Arvilla, (978) 281-9255, Kelley
McGrath, (978) 281-9307 or Gregory Power, (978) 281-9304.

SUPPLEMENTARY INFORMATION:

Background

In order to improve monitoring of commercial landings and to
enhance enforceability of the reporting regulations, this final rule
clarifies or modifies several of the existing reporting requirements
for dealers and owners whose vessels are federally permitted in the
summer flounder, scup, black sea bass, Atlantic sea scallop, NE
multispecies, monkfish, Atlantic mackerel, squid, butterfish, surfclam,
ocean quahog, spiny dogfish or Atlantic bluefish fisheries. Regulations
implementing the fishery management plans (FMPs) for the summer
flounder, scup, black sea bass, Atlantic sea scallop, NE multispecies,
monkfish, Atlantic mackerel, squid, butterfish, surfclam, ocean quahog,
spiny dogfish and Atlantic bluefish fisheries were prepared under the
authority of the Magnuson-Stevens Fishery Conservation and Management
Act and are found at 50 CFR part 648. A proposed rule to implement
these changes was published on December 2, 1999 (64 FR 67551). NMFS
reopened the comment period on the proposed rule to ensure that
affected fishmen and dealers were aware of the proposed reporting
changes and had an opportunity to provide comments (65 FR 7820,
February 16, 2000).

Trip Identifier

One of the data elements that dealers are required to provide on
the weekly reports is a trip identifier for each trip from which fish
are purchased. This requirement is in the existing regulations.
However, the term ``trip identifier'' has not been defined and, thus,
has not been reported by industry. Supplying a trip identifier for each
trip from which fish are purchased would aid in matching dealer data
with the corresponding vessel data by using a uniquely identifiable
serial number from the vessel logbook, if applicable, or a combination
of the date sailed, and, if the vessel sailed more than once on the
same day, the sequential trip number within that date sailed. To enable
dealers to provide the trip identifier to NMFS, vessel owners/operators
would have to provide each dealer with the trip identifier information
at the time of offloading.
Because dealer compliance would be dependent upon compliance by the
vessel owner/operator, establishing responsibility for compliance would
be difficult, making fair and equitable enforcement of the requirement
equally difficult. Thus, a requirement to provide a trip identifier is
not being imposed at this time. Due to the importance of establishing a
link between the dealer and vessel data, NMFS intends to make reporting
a trip identifier mandatory in the near future. NMFS will work with
industry members to explore various options for transferring trip
identifier information from vessels to dealers without overly burdening
either party. NMFS encourages the industry to assist in the development
of alternative methods for providing this information.

Dealer Reporting Changes

This final rule modifies two requirements affecting summer
flounder, scup, black sea bass, Atlantic sea scallop, NE multispecies,
monkfish, Atlantic mackerel, squid, butterfish, spiny dogfish or
Atlantic bluefish dealers, and two requirements affecting surfclam or
ocean quahog dealers.
To collect more comprehensive and accurate data on the processing
segment of the industry, dealers who have been issued a summer
flounder, scup, black sea bass, Atlantic sea scallop, NE multispecies,
monkfish, Atlantic mackerel, squid, butterfish, spiny dogfish or an
Atlantic bluefish permit must complete all sections of the Annual
Processed Products Report.
Federally permitted dealers must retain copies of reports, and
records upon which the reports were based, for a total of 3 years after
the date of the last entry on the report. This time frame is in keeping
with standard business practices and will allow for validating the
compliance of past landings reported by dealers and vessels.
To ensure that quotas in the surfclam and ocean quahog fisheries
are not exceeded, harvest levels must be monitored on a timely basis.
While dealers have historically provided these data on a weekly basis,
this action specifies that reports must be postmarked or received
within 3 days of the end of the reporting week.

[[Page 60893]]

Vessel Reporting Changes

This final rule modifies three requirements affecting vessels that
have been issued a summer flounder, scup, black sea bass, Atlantic sea
scallop, NE multispecies, monkfish, Atlantic mackerel, squid and
butterfish, spiny dogfish or Atlantic bluefish permit. This final rule
also modifies two requirements affecting vessels federally permitted in
the surfclam or ocean quahog fisheries.
Regulations requiring vessel owners/operators to submit fishing log
reports are clarified to indicate that a vessel logbook report needs to
be submitted only for each trip taken, rather than for each day within
a trip. The current regulations state that vessel owner/operators must
submit an ``accurate daily fishing log report'' for all trips. To
clarify that a report must be submitted only for each fishing trip, the
word ``daily'' is removed from the existing regulations.
Vessel owners/operators are required to report the pounds, by
species, of all fish landed or discarded. This final rule clarifies
that ``hail weight'' should be reported rather than exact weight.
Because many vessel owners/operators interpret the pounds landed to be
the exact pounds sold to the dealer, many vessel operators copy the
catch information from the dealer receipts after the catch has been
sold. ``Hail weight'' is defined to mean a good-faith estimate, in
pounds for commercial vessels and in numbers of individual fish for
party and charter vessels, by species, or parts of species, such as
monkfish livers, of all fish landed or discarded for each trip.
To clarify, for enforcement purposes, which logbook information
must be completed prior to the vessel entering port with fish, this
final rule specifies that all information, other than that which is not
able to be ascertained (i.e., dealer name, dealer permit number, and
date sold) must be completed prior to entering port with fish.
Vessel log reports and any records upon which the reports were
based must be kept on board the vessel for at least 1 year and retained
for a total of 3 years after the date of the last entry on the report.
This time frame is in keeping with standard business practices and will
allow for validation of compliance of past landings reported by dealers
and vessels.
To better monitor harvest levels of surfclams and ocean quahogs,
surfclam and ocean quahog vessel log reports must be postmarked or
received within 3 days of the end of the reporting week. While vessel
owners have historically provided these data on a weekly basis, this
action clarifies that reports must be submitted within the specified
time frame.

Comments and Responses

NMFS received three written comments during the initial comment
period from December 2, 1999, through January 3, 2000, and 12
additional comments during the reopening of the comment period, which
ran from February 16, 2000, through March 2, 2000. Only comments
received during the comment periods were considered for response. Seven
comments were received after one or both comment periods were closed.
Those comments were not considered. However, all but one of those
comments were contained in comments received during the comment period.
Comment 1: Eight commenters cited increased costs and compliance
issues as the two primary reasons for opposition to the trip identifier
requirement. One concern was the requirement for fishermen to supply
dealers with a trip identifier at the time of offloading. This would be
difficult in cases where product is being shipped, sold on consignment,
or sold to multiple dealers, as the owner/operator would not be in
contact with the dealer. The commenters felt that the burden imposed on
dealers would be significant, causing a halt to production in the
crucial period of offloading to fill out logbooks. Several commenters
were also concerned about potential violations and who would be held
responsible if the trip identifier is not reported. Since dealer
compliance would be dependent upon compliance by the vessel owner/
operator, establishing responsibility for compliance would be
difficult.
Three commenters supported the rule to provide a trip identifier,
expressing that it would not be unreasonable or cumbersome for dealers
to provide the information. One commenter felt that this change would
help improve the accuracy of landings data and it would also make it
easier to determine the location of catches.
Response: While the requirement for federally permitted dealers to
provide a trip identifier is in the existing regulations, trip
identifier has not been defined, and, thus, has not been reported by
industry. Supplying a trip identifier for each trip from which fish are
purchased would aid in matching dealer data with the corresponding
vessel data by using a uniquely identifiable serial number from the
vessel logbook, if applicable, or a combination of the date sailed,
and, if the vessel sailed more than once on the same day, the
sequential trip number within that date sailed. NMFS believes that
having a unique trip identifier to link dealer and vessel data is
critical to provide accurate data for fishery scientists, managers and
analysts to quantify harvest rates, set quotas, predict closures, and
assess stocks. Because of its importance, reporting a trip identifier
will be mandatory in the near future.
Comment 2: Five commenters opposed the requirement to complete trip
reports prior to entering port with fish because of a variety of
physical conditions at sea that sometimes make it impossible to
complete a vessel trip report. Also, loss of revenue may result from
having to complete trip reports rather than actually fishing while at
sea. One commenter expressed that although the Agency requires ``hail
weight,'' a captain may not have the ability to estimate weights
accurately and that actual weights would allow assessments, analyses
and management decisions to be based on more accurate data. One
commenter also perceived the requirement as an excuse to revoke
licenses for non-compliance. Another commenter expressed concern that
completing trip reports at sea does not promote legibility and/or
accuracy.
Response: Although NMFS understands the industry's concerns, the
Agency's objective is to collect the most accurate data. To ensure that
NMFS is receiving the most accurate data, the information should be
recorded at the time of the vessel's trip. The information submitted on
the vessel trip reports, such as the vessel's gear type and statistical
area fished, is used to augment the dealer data, which provide exact
weight and value. These data are used by fishery scientists, managers,
and analysts to quantify harvest rates, set quotas, predict closures,
and assess stock status. This modification would enhance the
enforceability of the reporting requirements.
Therefore, NMFS is requiring that all information in the logbooks,
other than that which is not able to be ascertained, be completed prior
to entering port with fish. To complete the log books within this time
frame, this action clarifies that vessel owners/operators must report
hail weight, defined as a good faith estimate, by species, or parts of
species, such as monkfish livers, of all fish landed or discarded.
Comment 3: Two commenters were concerned with NMFS over- burdening
the industry with reporting requirements. Another concern was that
additional data-collection measures will impose increased costs of
compliance

[[Page 60894]]

(without improvements in data collection); present unnecessary
complexity due to differences between primary versus secondary product
sales at auction; and introduce administrative burdens, increasing both
risk and liability to dealers.
Response: The intention of the proposed changes is to improve the
collection of fisheries-dependent data by modifying or clarifying
several dealer and vessel reporting requirements. It will also improve
the monitoring of commercial landings and enhance the enforceability of
the reporting regulations. The modifications and clarifications of the
existing regulations being implemented by this rule do not add any new
reporting requirements.
Comment 4: One commenter was concerned that requiring a vessel
logbook report to be submitted for ``each trip taken'' rather than for
``each day of the trip'' would result in the loss of detailed catch and
area information, and that the vessel logbook information would be
diminished in value.
Response: This rule would not change the current regulations that
require a separate logbook report to be completed for each statistical
area fished, and each change in gear or mesh size within a trip.
Existing regulations state that vessels must submit an ``accurate daily
fishing log report'' for all trips. This has resulted in
misinterpretation of when a logbook report must be completed and
submitted. To clarify that reports must be submitted only for each
fishing trip, the word ``daily'' would be removed from the existing
regulations. Because a separate report will continue to be required for
any change in gear type, mesh or statistical area, this change will not
cause any pertinent data to be lost.
Comment 5: One commenter was concerned that an extra paperwork
burden would be imposed on the Maine Mahogany Quahog dealers to report
the ocean quahog landings to NMFS because Maine Mahogany Quahog dealers
are also required to submit monthly reports to the state of Maine. The
commenter expressed that detailed weekly reports are too burdensome to
an industry with limited clerical staff.
Response: As part of the final rule implementing Amendment 10 for
the Atlantic Surfclam and Ocean Quahog Fisheries (63 FR 27481, May 19,
1998) and joint management between NMFS and the state of Maine, NMFS is
responsible for setting and monitoring Maine Mahogany quahog quotas.
Maine dealers are currently required to submit weekly reports to NMFS.
Although state- certified dealers submit monthly reports to the state
of Maine, they need to submit weekly reports, within 3 days of the end
of the reporting week, to NMFS so that the Agency may effectively
monitor quotas. NMFS is working with the state of Maine in an effort to
eliminate duplicate reporting, where possible.
Comment 6: Two comments received stated that the additional record
retention from 1 year to 3 years is not justified, and that 2 more
years of additional storage is unreasonable.
Response: Increasing the record retention requirement for dealer
and vessel reports from 1 year to a total of 3 years, after the date of
the last entry on the report, is consistent with standard business
practices and the Internal Revenue Service requirements. In keeping
with current regulations, vessel owner/operators will continue to be
required to retain logbooks on board the vessel for at least 1 year. It
will allow for validating the compliance of past landings reported by
dealers and vessel owners or operators. Requirement of records for
storage for the total retention period would be minimal since many
companies keep their records for at least 3 years for business purposes
already. In addition, only 1 year need be stored on board. Thus, the
actual amount of records required to be on board a vessel has not
changed.
Comment 7: Two commenters who were opposed to the requirement for
dealers to fill out an annual processing report on all processed
seafood stated that most product is in some way processed, whether
purchased from vessels, domestic dealers or foreign countries. One
commenter felt that NMFS should currently have enough data with landing
data, import data and employment data to assess economic factors in the
processing industry. One commenter stated that completion time would
exceed the estimated 30 minutes per annual report.
Response: The data on volume and value are used by NMFS and
Regional Fishery Management Council economists to estimate processing
capacity and to forecast and subsequently measure the economic impact
of fishery management regulations on fish and shellfish supplies. The
information collected through all sections of the Annual Processed
Product survey is a necessary part of the economic and social analyses
NMFS must perform when proposing and evaluating management actions
affecting federally managed fisheries. Many of the species under
Federal management are considered overfished and some stocks have
reached critically low levels. In order to manage these fisheries
effectively and balance the needs of the resource and the industry
members, NMFS must have a comprehensive database that accurately
represents the fishing industry, including the processing segment of
the industry. If decisions affecting the fisheries are based on
inadequate or incomplete data, the long-term viability and economic
yield from those fisheries, as well as the credibility of the fishery
management process itself, are jeopardized.
Direct feedback from respondents provide the estimate for average
response time. The 30 minutes per response was based on a statistical
analysis of 1,260 respondents.
Comment 8: Two commenters felt that NMFS should place the same
level of reporting requirements on the recreational sector, including
party/charter vessels and head boats, as exist for the commercial
vessels. They were concerned that statistical information on the
recreational sector is lacking.
Response: Any recreational fishing vessel that fishes for federally
managed species in the EEZ, under 50 CFR part 648, and takes passengers
for hire, must have been issued a Federal permit. Federally-permitted
vessels in the recreational fisheries are subject to the same reporting
requirements as federally permitted commercial vessels. Under the
Magnuson-Stevens Fishery Conservation and Management Act, recreational
fishing vessels that do not fish in the EEZ are not required to be
issued a Federal permit, and therefore are not subject to Federal
reporting requirements. Similarly, recreational vessels that fish in
the EEZ for their own recreation and do not take passengers for hire
are also not required to obtain a Federal permit and are not required
to report their catch. However, recreational vessels do provide catch
and effort data to NMFS for inclusion in the Marine Recreational
Fishery Statistics Survey.

Changes From the Proposed Rule

Because reporting a trip identifier is not being implemented at
this time, changes were made to two sections of the proposed rule to
clarify the measures and the intent of the regulations, and to respond
to public comments. These changes are listed here in the order that
they appear in the regulations:
Section 648.2 is revised to delete definitions for ``Serial
number'' and ``Trip identifier'' to reflect that the ``trip
identifier'' requirement is not being implemented at this time. The
definition for ``Hail weight'' has been expanded to clarify that a
party or charter vessel report in numbers of individual fish.

[[Page 60895]]

In Sec. 648.7, paragraph (b)(1)(i) is modified to reflect the new
language from the final rule implementing Amendment 1 to the FMP for
the Atlantic Bluefish Fishery. The new language was incorporated into
the Atlantic bluefish final rule to make it easier for the public to
understand which vessel owner/operators are affected by the reporting
requirements specified in this part. Also, in this paragraph the phrase
``hail weight, in pounds (or count, if a party or charter vessel) by
species, of all species landed or discarded'' was expanded to read
``hail weight, in pounds (or count of individual fish, if a party or
charter vessel), by species, of all species, or parts of species, such
as monkfish livers, landed or discarded.''
The President has directed Federal agencies to use plain language
in their communications with the public, including regulations. To
comply with this directive, we seek public comment on any ambiguity or
unnecessary complexity arising from the language used in this rule.
Send comments to Patricia Kurkul (see ADDRESSES).

Classification

This final rule has been determined to be not significant for
purposes of Executive Order 12866.
The Chief Counsel for Regulation of the Department of Commerce
certified to the Chief Counsel for Advocacy of the Small Business
Administration that this final rule would not have a significant
economic impact on a substantial number of small entities. The basis
for this certification was contained in the classification section of
the proposed rule and is not repeated here. No comments were received
regarding this certification. As a result, a regulatory flexibility
analysis was not prepared.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information subject to the
requirements of the Paperwork Reduction Act (PRA) unless that
collection of information displays a currently valid Office of
Management and Budget (OMB) control number.
This rule contains collection-of-information requirements subject
to review and approval by the OMB under the PRA, and clarifies or
modifies requirements previously approved under OMB control number
0648-0229 (2 minutes per response for dealer purchase reports, 4
minutes for interactive voice response reports, and 30 minutes for
shellfish processor reports); OMB control number 0648-0212 (5 minutes
per response for vessel logbook reports and 12 minutes for shellfish
logs); and OMB control number 0648-0018 (30 minutes per response for
processed products reports and 15 minutes for fish meal and oil
production reports). The requirement to complete all sections of the
Annual Processed Products Report was approved on March 4, 2000, under
OMB control number 0648-0018. Public reporting burden for this
collection of information is estimated to average 30 minutes per
response.
The aforementioned response estimates include the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding this burden
estimate, or any other aspect of this data collection, including
suggestions for reducing the burden, to NMFS and OMB (see ADDRESSES).

List of Subjects in 50 CFR Part 648

Fisheries, Fishing, Reporting and recordkeeping requirements.

Dated: October 6, 2000.
William T. Hogarth,
Deputy Assistant Administrator for Fisheries, National Marine Fisheries
Service.

For the reasons set out in the preamble, 50 CFR part 648 is amended
as follows:

PART 648--FISHERIES OF THE NORTHEASTERN UNITED STATES

1. The authority citation for part 648 continues to read as
follows:

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

2. Section 648.2 is revised by adding definition for ``Hail
Weight'', to read as follows:

Sec. 648.2 Definitions.

* * * * *
Hail Weight means a good-faith estimate in pounds (or count of
individual fish, if a party or charter vessel), by species, of all
species, or parts of species, such as monkfish livers, landed or
discarded for each trip.
* * * * *

3. In Sec. 648.7 paragraphs (f)(1)(ii) and (f)(1)(iii) are
redesignated as (f)(1)(iii) and (f)(1)(iv) respectively; new paragraph
(f)(1)(ii) is added; paragraph (f)(2) is redesignated as paragraph
(f)(2)(i) and the first sentence is revised; new paragraph (f)(2)(ii)
is added; and paragraphs (a)(3)(i), (b)(1)(i), (c), (e), and (f)(1)(i)
first sentence are revised to read as follows:

Sec. 648.7 Recordkeeping and reporting requirements.

(a) * * *
(3) * * *
(i) All dealers issued a dealer permit under this part, with the
exception of those processing only surfclams or ocean quahogs, must
complete all sections of the Annual Processed Products Report for all
species of fish or shellfish that were processed during the previous
year. Reports must be submitted to the address supplied by the Regional
Administrator.
* * * * *
(b) * * *
(1) * * *
(i) The owner or operator of any vessel issued a valid permit under
this part must maintain on board the vessel, and submit, an accurate
fishing log report for each fishing trip, regardless of species fished
for or taken, on forms supplied by or approved by the Regional
Administrator. If authorized in writing by the Regional Administrator,
a vessel owner or operator may submit reports electronically, for
example by using a VMS or other media. With the exception of those
vessel owners or operators fishing under a surfclam or ocean quahog
permit, at least the following information and any other information
required by the Regional Administrator, must be provided: vessel name;
USCG documentation number (or state registration number, if
undocumented); permit number; date/time sailed; date/time landed; trip
type; number of crew; number of anglers (if a charter or party boat);
gear fished; quantity and size of gear; mesh/ring size; chart area
fished; average depth; latitude/longitude (or loran station and
bearings); total hauls per area fished; average tow time duration; hail
weight, in pounds (or count of individual fish, if a party or charter
vessel), by species, of all species, or parts of species, such as
monkfish livers, landed or discarded; dealer permit number; dealer
name; date sold, port and state landed; and vessel operator's name,
signature, and operator's permit number (if applicable).
* * * * *
(c) When to fill out a log report. Log reports required by
paragraph (b)(1)(i) of this section must be filled out with all
required information, except for information not yet ascertainable,
prior to entering port with fish. Information that may be considered
unascertainable prior to entering port with fish includes dealer name,
dealer permit number, and date sold. Log reports must be completed as
soon as the information becomes available. Log reports required by
paragraph (b)(1)(ii) of this section

[[Page 60896]]

must be filled out before landing any surfclams or ocean quahogs.
* * * * *
(e) Record retention. Copies of dealer reports, and records upon
which the reports were based, must be retained and be available for
review for a total of 3 years after the date of the last entry on the
report. Dealers must retain required reports and records at their
principal place of business. Copies of fishing log reports must be kept
on board the vessel for at least 1 year and available for review and
retained for a total of 3 years after the date of the last entry on the
log.
(f) * * *
(1) * * *
(i) Detailed weekly trip reports, required by paragraph (a)(1)(i)
of this section, must be postmarked or received within 16 days after
the end of each reporting week. * * *
(ii) Surfclam and ocean quahog reports, required by paragraph
(a)(1)(ii) of this section, must be postmarked or received within 3
days after the end of each reporting week.
* * * * *
(2) * * *
(i) Fishing vessel log reports, required by paragraph (b)(1)(i) of
this section, must be postmarked or received within 15 days after the
end of the reporting month. * * *
(ii) Surfclam and ocean quahog log reports, required by paragraph
(b)(1)(ii) of this section, must be postmarked or received within 3
days after the end of each reporting week.
* * * * *
FR Doc. 00-26357 Filed 10-12-00; 8:45 am]
BILLING CODE 3510-22-S

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A00-26357. Public record. Not legal advice.