0369 ss ren 061709 Part B rev

SUPPORTING STATEMENT
ECONOMIC SURVEYS OF U.S. COMMERCIAL FISHERIES
OMB CONTROL NO. 0648-0369

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

1. Describe (including a numerical estimate) the potential respondent universe and any
sampling or other respondent selection method to be used. Data on the number of entities
(e.g., establishments, State and local governmental units, households, or persons) in the
universe and the corresponding sample are to be provided in tabular form. The tabulation
must also include expected response rates for the collection as a whole. If the collection has
been conducted before, provide the actual response rate achieved.
For the U.S. commercial fishing fleet, which includes catcher vessels, catcher-processors and
for-hire boats, the potential respondent universe is any boat that holds a federal or state permit or
license, although in practice these surveys will primarily focus on boats actively participating in
federally-managed fisheries. Based on information from USCG files and federal permit files, it
is estimated that there are at least 20,000 federally-permitted fishing boats, and possibly as many
as 25,000-30,000 state fishing boats. Each of the economic surveys to be conducted under this
OMB authorization will involve a subset of these boats that will vary according to the scope of
the particular survey.
The information that will be used to develop the sampling strategy for an economic survey will
vary by fishery but will generally come from three types of data collections. The first
component of this data is USCG, federal permit and state registration data. This data includes
information on vessel characteristics such as vessel length, gross and net tonnages, horsepower
and year built. In addition, address information for vessel and processor owners is available.
The second important component of this data is the landings information for individual vessels.
In each NMFS region, fish ticket information and dealer data provide additional information on a
vessel’s fishing trip, including date, port of landing, species, fish condition codes, pounds landed,
round pound equivalents and revenue received.
The third component of the data analysts may have available for developing sample strata are
logbook programs, which provide detailed trip information on catch (target species, species
landed, species discarded, etc.) and effort (gear used, duration or intensity of effort such as hooks
used or soak time, crew size, etc.). In addition, because logbook tend to require reporting on all
trips, it is possible to distinguish full-time vs. part time operators. Combined, these three
information sources provide analysts with a rich data set with which to develop informed
sampling plans and ascertain the representativeness of potential respondents.
The NMFS processed product database will be the primary source of data for defining the
potential respondent universe and sampling strategy for the processor surveys. This survey
collects contact and location information for processor companies and their plants as well as
information on monthly employment and the volume and value of processed products. It is
mandatory in the Northeast Region for some federally-managed species and voluntary elsewhere.
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This processed product database may be supplemented in the Alaska Region by using processor
permit and logbook information.
In terms of response rates, sampling strategies developed for recent submissions under this
clearance show that obtaining a sample mean within 15% of the population mean at the 95%
confidence level requires, on average, a response rate of roughly 50%. Obtaining a sample mean
within 10% of the population mean at the 95% confidence level requires, on average, a response
rate of roughly 65%.
Under this Clearance, cost earnings surveys were fielded on limited entry trawl vessels during
2005-6 and limited entry fixed gear vessels during 2006. Responses were obtained from 111 of
151 (74%) limited entry vessels and 71 of 122 (58%) limited entry fixed gear vessels. The
higher response rate among limited entry trawl vessels was likely due to regulatory events taking
place at the time of the surveys, the size of vessel operations, and ownership patterns. When the
limited entry trawl survey was fielded in 2005 and 2006, the Pacific Fisheries Management
Council was in the early stages of considering an individual transferable quota management
regime for the limited entry trawl fishery. Adoption of such management change was generally
favored by participants in the fishery, and evaluation of this management change in an
Environmental Impact Statement (EIS) depended on having the economic data being collected
by the survey. Hence, vessel owners who favored adoption of an individual transferrable quota
system had a strong self-interest in responding to the survey. No such management reform was
being considered for the limited entry fixed gear fishery.
Based on these results, we anticipate a high response rate for surveys submitted under this
clearance, due to lessons learned regarding the use of in-person interviews (see West Coast
Limited Entry Trawl and West Coast Fixed Gear Cost Earnings Surveys), telephone follow-up
(see West Coast Limited Entry Trawl and West Coast Fixed Gear Cost Earnings Surveys), or, at
a minimum, much higher industry involvement and support for the data collection (see California
Nearshore Logbook Program). Nevertheless, despite the fact that the expected response rates for
each survey submitted under this clearance has exceeded the minimal calculated response rate,
each submission also included detailed plans for maximizing response rates and addressing nonresponse bias, as required in the Supplemental Questions for this generic clearance package.
2. Describe the procedures for the collection, including: the statistical methodology for
stratification and sample selection; the estimation procedure; the degree of accuracy
needed for the purpose described in the justification; any unusual problems requiring
specialized sampling procedures; and any use of periodic (less frequent than annual) data
collection cycles to reduce burden.
The surveys conducted under this clearance will include those conducted in-person, via
telephone interview, and mail. Depending upon the size of the respondent universe, the data
collection will be conducted as a census or a stratified random sample. Existing data sources
such as landings revenue, logbook catch and effort information, and vessel characteristics
obtained from permit data will be used to define the sample frame as well as to calculate the
desired degree of accuracy and corresponding response rates.
Survey data will be used in combination with other data sources to (a) to assess the economic
status of fisheries, (b) to conduct regulatory analyses that describe the effects of regulations on
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the fishery, and (c) to estimate behavioral models that provide insights into the nature and extent
of management problems (e.g., overcapacity) or predict industry response to changes in
regulations.
No unusual problems are anticipated that would require specialized sampling procedures.
Efforts will be made to reduce burden associated with the frequency of data collection as
follows:
a. The economic surveys to be conducted under this OMB authorization will typically be rotated
among different fisheries from one year to the next, depending on management needs. The
expectation is that a fishery will appear in the rotation only once every 2-4 years. If it is deemed
necessary to survey a fishery more frequently, the sampling frame will, to the extent practicable,
take into account whether a potential respondent had been previously selected to participate in a
survey (e.g., sampling with no replacement of previously selected boats may be used, depending
upon the statistical validity of this approach in the survey fishery). Overall, this approach will
ensure coverage of the different fisheries for which economic data are lacking, while minimizing
the burden on participants in any one of those fisheries.
Many vessels participate in multiple fisheries. Therefore, in situations where it is appropriate,
surveys will be designed to cover predominant combinations of fisheries rather than single
fisheries. Economists and fishery managers will want the data collected in this manner anyway,
in order to better understand the economic effect of restrictions in one fishery in terms of the
alternative opportunities available to the vessels in other fisheries. Focusing surveys on
predominant fishery combinations will also reduce respondent burden, as it will help to avert
situations where a vessel is surveyed one year regarding one of its fishery activities and the next
year regarding another activity.
Example
This example focuses on the desired degree of accuracy and corresponding required response
rate for the West Coast Limited Entry Trawl fishery to illustrate, in a general way, how the
economic surveys will be conducted. The potential respondent universe for this survey includes
the 218 active commercial fishing vessels that hold a limited entry trawl permit on the west
coast. This survey will be performed on a census of the 218 vessels, stratified by those
participating in a buyback program (83 vessels) and those not participating in the buyback
program (135 vessels).
Desired Degree of Accuracy and Corresponding Response Rates: Important objectives of survey
design include data accuracy and data precision (measuring and minimizing non-response bias,
an important aspect of assuring accurate data, is addressed under Question 3). The degree of
accuracy needed is not established by economic theory or legislative mandates. Data collected
through this survey will be used for both statistical inference of population values from sample
respondents and for estimation of econometric models used for policy making purposes. While
more accurate data is clearly preferred, standards do not exist regarding the accuracy of data
required for estimation of an econometric model. Factors such as the minimization of model
specification error also contribute the quality of the empirical results obtained using survey data.
It is not possible to state a level of accuracy that is required for all uses and applications of data
collected by this survey. As discussed in the response to Question 3, data on vessel
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characteristics and landings (location, timing, species, weight, and revenue) is available for both
survey respondents and non-respondents, and will be used to test the representativeness of survey
respondents. This data will also be used to adjust the models and/or data for any response bias
that is detected.
The desired degree of precision, and corresponding desired response rate, depends upon the
application for which the data is being used. Some applications will use data for the entire
limited entry trawl fleet, while others will focus on specific vessel types within a sub-fleet (e.g.,
large groundfish trawlers). A basic application of the survey data will be the inference of
population mean values from the observed sample mean values. The following table shows the
number of responses (and corresponding response rate) needed to get a response sample mean
within 10%, 15%, and 25% of the population mean at the 95% confidence level. In this
calculation, revenues associated with West Coast landings (which are known) are used as a
proxy for revenues from other sources and for expenditures (which are not known and are the
focus of this survey).
Group

N
Population

N
10%

N
15%

N
25%
25

Response
Rate
10%
58%

Response
Rate
15%
38%

Response
Rate
25%
18%

Non-Buyback

135

79

52

Buyback

83

52

36

18

63%

43%

21%

As shown, a sample mean within 15% of the population mean at the 95% confidence level
requires a response rate of 38% from non-buyback vessels and 43% from vessels participating in
the buyback program.
There are a number of reasons for why a higher degree of precision may be preferred
including a) the potential need in the future for additional stratification; and b) the potential need
to offset any loss of precision from model specification and estimation error. Nevertheless, based
on results obtained from the national employment survey, the response rate for this survey
should well exceed the minimal requirements for achieving a sample mean within 15% of the
population mean at the 95% confidence level.
3. Describe the methods used to maximize response rates and to deal with nonresponse.
The accuracy and reliability of the information collected must be shown to be adequate for
the intended uses. For collections based on sampling, a special justification must be
provided if they will not yield “reliable” data that can be generalized to the universe
studied.
In order to enhance response rates and ensure data quality, all economic surveys conducted under
this OMB authorization will be planned in close consultation with industry representatives.
Industry input will be solicited regarding a variety of issues, including the following:
a. the best way to introduce the survey to potential respondents,
b. the preferred elicitation method (e.g., mail questionnaires, telephone or in-person
interviews),
c. the best person to provide survey information (e.g., skipper, vessel owner, vessel owner’s
accountant) and how to facilitate that person’s cooperation,
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d. types of data confidentiality assurances needed to make industry comfortable with
survey,
e. the best time of year to conduct survey,
f. types of data that may be considered proprietary and ways to overcome this sensitivity,
g. questionnaire formats and data formats that make it easier for respondents to answer
survey questions,
h. the most effective way to follow up with people who do not respond to initial solicitation,
i. the most effective ways to communicate survey results back to the industry.
In addition, Dillman’s Total Design Method (1978) will also be followed to ensure maximum
participation and to minimize non-response bias. Overall, past submissions under this clearance
indicate that a 50% response rate will achieve an estimated sample mean within 15% of the
population mean with a 95% confidence limit. Given that the recently completed national
employment survey, a mail survey, achieved a response rate of 50%, the expected response rates
for all of these submissions anticipated exceeding a 50% response rate because they all utilize
methods widely regarded to achieve higher response rates than a mail survey. Therefore, each of
these surveys should achieve a response rate that will ensure estimated sample means will be
accurate. Nevertheless, to ensure that the results are representative of the population being
studied survey data will be compared with information from existing data sources (landings
revenue, logbook catch and effort data, etc.).If the comparison reveals sampling biases,
information obtained from the alternative data source may be used to help devise methods (e.g.,
post-stratification) for correcting for the bias.
4. Describe any tests of procedures or methods to be undertaken. Tests are encouraged as
effective means to refine collections, but if ten or more test respondents are involved OMB
must give prior approval.
All surveys conducted under this OMB authorization will be subject to pretest involving fewer
than ten respondents. As part of the pretest, representatives from the fishery being surveyed will
be asked to complete a draft version of the questionnaire and to provide feedback regarding the
clarity and completeness of the questionnaire and suggestions regarding how the survey can be
improved.
5. Provide the name and telephone number of individuals consulted in the statistical
aspects of the design, and the name of the agency unit, contractor(s), grantee(s), or other
person(s) who will actually collect and/or analyze the information for the agency.
The individuals responsible conducting for designing or conducting data collections for the
agency include:
•
Northeast NMFS economists: Drew Kitts (508) 495-2231; Barbara Roundtree (508) 4952240; Eric Thunberg (508) 495-2272;
•
Southeast NMFS economists: Jim Waters (252) 728-8710; Larry Perruso (305)-3614278; Michael Travis (727)-824-5335;
•
West Coast NMFS economists: Carl Lian (206) 860-3412; Todd Lee 206-302-2436;
Cindy Thomson (831) 420-3911
•
Alaska NMFS economists: Ron Felthoven (206) 526-4114, Brian Garber Yonts, (206)
526-6301
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•
•

Pacific Islands NMFS economists: Minling Pan (808) 983-5347; Justin Hospital, (808)
983-5347
Pacific Fishery Management Plan (PFMC) economist: Jim Seger (503) 820-2280.

Analysts include:
•
West Coast NMFS economists: Todd Lee (206) 302-2436; Carl Lian (206) 860-3412;
Cindy Thomson (831) 420-3911
•
Alaska NMFS economists: Ron Felthoven (206) 526-4114, Alan Haynie, (206) 5264253, Mike Dalton (206) 526-4253
•
Southeast NMFS economists: Christopher Liese (305) 365-4109; Jim Waters (252) 7288710; Larry Perruso (305)-361-4278
•
Northeast NMFS economists: Eric Thunberg (508) 495-2272; Scott Steinback: (508) 4952371
•
PFMC economist: Jim Seger (503) 820-2280
•
Mid-Atlantic Fishery Management Plan economist: Jose Montanez (302) 674-2331 ext.
12.

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