Supplementary Questions - Part B equivalent!!!

OMB Control No. 0648-0369
Expires 02/28/2013

Main Hawaiian Islands Bottomfish Fishery Survey
Responses to Supplemental Questions for PRA Clearance
OMB Review of Individual Instruments
Project Title: Cost Earnings Study of Hawaii’s Main Hawaiian Islands Bottomfish Fishery
Objective: The Main Hawaiian Islands (MHI) bottomfish fleet has undergone substantial
institutional and regulatory changes in recent years including a shift to Total Allowable Catch
(quota) management coupled with seasonal closures and non-commercial permitting
requirements. Estimates of operational aspects of the MHI bottomfish fleet, financial
performance, and its economic contribution to the state of Hawai’i are nonexistent as an
extensive economic analysis of the fishery has not been conducted. Given the multitude of recent
regulatory changes within the fishery and the potential for further changes in the future, it is
imperative that economic and social data on the fishery are collected.
1. The potential respondent universe and any sampling or other respondent selection
method to be used and the expected response rate.
Potential Respondent Universe
The potential respondent universe consists of 703 1 active bottomfish fishermen holding either
Pacific Islands Regional Office (PIRO) non-commercial bottomfish permits or State of Hawaii
commercial marine licenses (CML) to catch and sell (only CML holders are permitted to sell)
Federal Bottomfish Management Unit Species (BMUS) 2 . These permits must be renewed
annually, and fishermen holding these permits must file monthly reports of fishing catch and
effort. Active fishermen for our study are defined as those holding a valid State of Hawaii CML
or PIRO bottomfish permit for fishing year 2010 (began September 1, 2009). Survey respondents
will be contacted via the list of active permit holders held by the State of Hawaii Division of
Aquatic Resources (DAR) and PIRO. Contact information (mailing address and phone numbers)
will be provided by the Hawaii DAR office through a cooperative data sharing agreement that is
currently in place. As permits must be renewed annually we are confident that valid contact
information is readily available for permit holders and provides us a distinct target population.
Sampling and Other Respondent Selection Methods
The survey will be distributed to a census of the vessels in the survey population. While cost
earnings surveys of the Hawaii small boat fishery have demonstrated the effectiveness of inperson interviews in collecting data and obtaining high response rates, the large size of the MHI
bottomfish fleet, spatial distribution across six islands, and relatively high cost of in-person data
collection make the use of this mode of administration for all members of our population
impractical. As a result, we propose a mixed-mode administration featuring an initial mail
1
2

State of Hawaii Division of Aquatic Resources (11/10/2009)
This includes 15 species of snappers (both deepwater and shallow water), groupers, and jacks

1

OMB Control No. 0648-0369
Expires 02/28/2013
instrument followed by phone, in-person, and email administration where desired by the
respondent or where necessary to account for any non-response bias identified.
The initial mailing will consist of an introductory letter introducing the survey to the population.
Within a week, respondents will receive a package including a cover letter and survey instrument
designed to be filled out and returned in a self-addressed stamped envelope. Nonrespondents will
receive a series of follow-up mailings which utilize the techniques developed by Dillman (2008) 3
to increase survey response rates. In the third mailing, a postcard will be supplied allowing
respondents to indicate whether they would prefer to conduct the survey over the phone or inperson. We can ensure the representativeness of our sample by comparing completed surveys to
the survey population distribution (both spatial and effort-based distributions by linking
respondents to commercial fishing records)
All survey recipients will be given the name, telephone number, and email of the principal
investigator to contact with any questions or to schedule an interview with field staff, if desired.
In addition to home mailing address, within the bottomfish license frame, 92.3% of fishers have
a valid home phone number, 81.2% have a cell phone number on record, 52.3% note a business
phone number, and 44.4% have submitted an email address. The same questionnaire will be used
for all modes (mail, telephone, and in-person interviews).
Expected Response Rate
The expected response rate is approximately 70% with a target sample size of 492 (703*70%)
completed and usable surveys. As described above, this will be accomplished through a mixedmode instrument designed in an effort to balance cost considerations and allow for an improved
response rate. We will couple a mail instrument with in-person/telephone surveys where desired
by respondents or where necessary to account for non-response bias. We expect that this
flexibility of survey administration will greatly improve our response rates.
There has never been a concentrated research effort on the MHI bottomfish fleet. Therefore we
do not have any history of response rates for this specific fleet; however they can be classified as
active members of the broader defined Hawaii small boat fishery, of which we have an
established research history. Recently completed research on the Hawaii commercial small boat
fishery (Hospital, Scholey, and Pan, In Press 4 ) using intercept face-to-face interviews achieved a
response rate of 74.7% while Hamilton and Huffman (1997) 5 received a 77% response rate for
in-person intercept surveys conducted on the commercial small boat fishery in Hawaii.
Therefore, it is safe to assume that we will get a similar response rate from those requesting the
survey to be administered in person
Also, due to the extensive regulation of the MHI bottomfish fishery (arguably the most heavily
regulated in Hawaii) this survey will be extremely salient to survey respondents. The nature of
the survey instrument allows fishermen an opportunity to comment on past and future
management, so we envision high response rates to the mail instrument.
3
Dillman, Don, Jolene D. Smyth, and Leah Melani Chrisitian. Internet, Mail and Mixed-Mode Surveys: The Tailored Design
Method, John Wiley (2008)
4
Hospital, Justin, Skaidra Scholey, and Minling Pan. In Press. Economic and Social Characteristics of the Hawaii Small Boat
Pelagic Fishery. Pacific Islands Fisheries Science Center. Technical Memorandum.
5
Hamilton, Marcia S., and Stephen W. Huffman, Cost-Earnings Study of Hawaii’s Small Boat Fishery, 1995-1996, 104 pp,
University of Hawaii, Joint Institute for Marine and Atmospheric Research, 1000 Pope Road, Honolulu, HI 96822, 1997.

2

OMB Control No. 0648-0369
Expires 02/28/2013
Based on previous survey response rates, the relevance of the survey to these fishermen and the
flexibility of survey methods, we envision a response rate of 70%.
Table 1
Expected Response Rates for MHI Bottomfish Fleet
Expected
Expected
Number of
Data Collection
response
number
Fishers
Method
rate
of responses
703
Mixed Mode*
70%
492
* All respondents will receive a mail instrument, but will be given the flexibility of making
alternative arrangements to complete the survey by phone or to arrange for an in-person
interview – where requested
2. Data collection procedures, including the statistical methodology for stratification and
sample selection, the estimation procedures, the degree of accuracy needed for the intended
purpose, expected dates of survey implementation, and any unusual problems requiring
specialized sampling procedures.
Data Collection Procedures, Sample Selection and Stratification
We intend to conduct a census of the MHI bottomfish fleet using a mixed-mode survey design.
Our initial mode of administration will consist of a mail instrument sent to all active State of
Hawaii bottomfish fishers, holding a valid CML or non-commercial bottomfish permit for
Federal BMUS species. Data collection and sample selection methods are detailed in Question 1.
The most obvious stratification within the MHI bottomfish fleet is at county and island level. The
Main Hawaiian Islands consists of four counties comprising seven islands across the Hawaiian
archipelago. Degrees of fishery conditions, participation, and market access vary spatially both
across counties and within islands (see Tables 2 and 3). Initial stratification is not a concern as
we will mail instruments to our entire population. However, stratification is a primary concern in
the context of non-response bias (see question 3). Initial non-respondents will receive a series of
follow-up mailings which utilize the techniques developed by Dillman, et al. (2009) 6 to increase
survey response rates.
Table 2
Distribution MHI Bottomfish Fleet 2008, by County
Percentage of
Number
Percentage of
total BMUS
County
of
BMUS-licensed
pounds
Vessels
vessels
caught
Hawaii
233
33
20
Maui
155
22
27
Honolulu
230
33
39
Kauai
85
12
14
Total MHI bottomfish fleet
703
100
100
6

Dillman, Don, Jolene D. Smyth, and Leah Melani Chrisitian. Internet, Mail and Mixed-Mode Surveys: The Tailored Design
Method, John Wiley (2009)

3

OMB Control No. 0648-0369
Expires 02/28/2013
Table 3
Distribution MHI Bottomfish Fleet 2008, by Island
Percentage of
Number
Percentage of
total BMUS
Island
of
BMUS- licensed
pounds
Vessels
vessels
caught
Hawaii
233
33
20
Maui
133
19
23
Lanai
7
1
1
Molokai
15
2
3
Oahu
230
33
39
Kauai
85
12
14
Total MHI bottomfish fleet
703
100
100
Table 4
Minimum Sample Size, by County, Island, and Fishery
10%
5%
County (Island)
margin of error
margin of error
Hawaii
68
145
Maui
60
111
(Maui)
(56)
(99)
(Lanai)
(7)
(7)
(Molokai)
(13)
(14)
Honolulu (Oahu)
68
144
Kauai
45
70
Total Fishery
85
249
Degree of Accuracy Needed for Intended Purpose
The desired degree of accuracy, and corresponding desired response rate, depends upon the
application for which the data are being used. A basic application of the survey data could be the
inference of unobserved population mean values from the observed sample mean values. Given a
population of 703 fishermen, a sample of 249 vessels would provide a sample mean within 5%
of the population mean. This can be reached with a response rate of 36% from our initial mail
instrument – which is far less than what we expect (given recent management changes and
increased regulations within this fishery, fishers are actively engaged in the management process
as they must renew their license annually and are contacted regularly (through their home
mailing address) by government agencies as to the current status of quota levels through
quarterly newsletters).
Two reasons can be identified for desiring higher response rates than those needed to support
inference of population means from sample means.
First, data from this survey may be used to develop a variety of economic models covering
applications such as economic contributions of the fishery to the state economy, fishery
participation, and the economic health of the fishery. In these applications, error will arise not

4

OMB Control No. 0648-0369
Expires 02/28/2013
only from how well the data used for model development represents the population, but also
from model specification and estimation. Since it is not possible to completely avoid
specification and estimation error in model development, there is good reason to desire a higher
response rate and higher degree of accuracy in the data collection process.
Second, future applications of the data may require further disaggregating the population into
smaller groups according to factors such as county, island, motivation, vessel size, or scale of
operations. Identification of all such future disaggregated data needs is not possible at the present
time. A higher response and higher degree of accuracy in the current data collection process will
facilitate such future population disaggregation. Using our expected response rate of 70% and a
sample distribution that mirrors Table 4, we can provide sample means within 5% of the
population mean at the county and island level.
Expected Dates of Survey Implementation
Preferred start date for initiating the mail treatment of the survey is April 1, 2010. Following
established methodologies by Dillman, et al. (2009) 7 we intend to allow respondents ample time
(8 weeks) to complete the mail instrument or opt for an in-person/phone treatment. For nonrespondents to the mail instrument or for respondents preferring an in-person interview, field
staff will initiate contact to arrange interviews at the convenience of fishers. This is an ideal time
to engage this fishery as the spring is generally a low effort period for bottomfish fishing and
also is prior to the pelagic season which peaks in the mid-to-late summer months. Additionally,
collection of economic data may be timelier given the proximity to tax season.
3. The methods used to maximize response rates and address non-response. The accuracy
and reliability of the information collected must be shown to be adequate for the intended
uses.
Strategy to Maximize Response Rates
There are a number of reasons why a response rate of approximately 70% is anticipated for this
survey. For one, the MHI bottomfish fishery is arguably the most heavily regulated fishery in
Hawaii – managed through a total allowable catch and the requirement on non-commercial
permits with reporting requirements to catch bottomfish species. Secondly, we have a distinct
population actively involved in the fishery management process – due to intense regulation.
In addition, numerous outlets are available to us for getting survey information directly to
bottomfish fishers. Fishery agencies are already in direct contact with these fishers during the
fishing year by way of a mailed newsletter which update fishers on the status of the quota level
and alert them to a potential fishery closure. Extensive outreach activities will help our response
rate. Informing the fishermen about the purpose and need for the cost-earnings survey will be
important to the success of the survey. Outreach will occur on a number of levels:
•

Written materials: A summary of the research goals and methods will be provided
directly to our target population in advance of fieldwork through the State of Hawaii
Bottomfish News newsletter. A similar article will be submitted to trade magazines such

7

Dillman, Don, Jolene D. Smyth, and Leah Melani Chrisitian. Internet, Mail and Mixed-Mode Surveys: The Tailored Design
Method, John Wiley (2009)

5

OMB Control No. 0648-0369
Expires 02/28/2013

•

•
•

as Hawaii Fishing News and Lawai’a. In addition, fact sheets will be made available at
dealer establishments licensed to purchase and sell Federal BMUS. All disseminated
written material will describe the purpose and need of the survey, how it will be
administered, address confidentiality concerns, and provide principal investigator contact
information.
Informational web page on the Pacific Islands Fisheries Science Center web site as well
as the official Hawaii Bottomfish web site administered jointly by the State of Hawaii,
Western Pacific Regional Fishery Management Council, and National Marine Fisheries
Service
Informational materials promoting/detailing the survey will be provided at upcoming
Western Pacific Regional Fishery Management Council meetings
Variety of people, including Pacific Islands Fisheries Science Center and Western Pacific
Regional Fishery Management Council staff, are available to assist in this research.

Strategy to Address Non-Response
All fishers licensed to catch Federal BMUS must file monthly catch reports. Additionally, the
State of Hawaii requires all fishers that sell fish to own a commercial marine license and each
transaction is monitored through a State of Hawaii dealer database. Using these resources, we are
aware of the spatial distribution of licensed fishers by island (and county) across the State of
Hawaii, as well as the distribution of fishing effort and revenues. Based on the distribution of
survey responses that we receive these databases provide a direct link, both spatial and effortbased, to validate the representativeness of our sample. If non-response bias appears evident in
our survey responses, efforts will be made to contact groups that are under-represented or
weighting methods could be developed to account for non-response.
Accuracy of Data Collected
NMFS needs to measure the economic performance of MHI bottomfish fishers in order to meet
legal and regulatory requirements, support fisheries management decision making, and undertake
economic research. Currently, no cost earnings data are available to meet these needs. This study
will collect data that is needed to construct key economic performance measures such as
profitability, productivity, economic impacts, and social aspects of the fishery. The data gathered
and performance measures constructed will be used to address a wide range of issues.
While the data will be used to comply with legal and regulatory requirements, these requirements
do not specify a level of data accuracy. As explained in the response to Question 2, greater
precision is desired than would be achieved from responses resulting in a sample mean within
5% of the population mean..
4. How the survey instrument was developed, including the steps taken to validate the
questionnaire design.
The survey instrument closely mirrors an instrument developed, approved by OMB, and
successfully implemented by Hospital, Scholey, and Pan (In press) 8 . While a distinct fleet, the
8

Hospital, Justin, Skaidra Scholey, and Minling Pan. In Press. Economic and Social Characteristics of the Hawaii Small Boat
Pelagic Fishery. Pacific Islands Fisheries Science Center. Technical Memorandum.

6

OMB Control No. 0648-0369
Expires 02/28/2013
population in this past survey treatment approximates the survey population for the study at
hand. The survey has been reviewed and pre-tested with Federal staff of the NMFS Pacific
Islands Fisheries Science Center (PIFSC), State of Hawaii, and Western Pacific Regional Fishery
Management Council, many of whom work very closely with fishermen in our target population.
All comments were considered in the design of the final survey format.
5. The reporting and use of the results of the survey
Use of Survey Results
NMFS needs to measure the economic performance of MHI bottomfish fishers in order to meet
legal and regulatory requirements, support fisheries management decision making, and undertake
economic research. Currently, no cost earnings data are available to meet these needs. This study
will collect data that is needed to construct key economic performance measures such as
profitability, productivity, economic impacts, and social aspects of the fishery. The data gathered
and performance measures constructed will be used to address a wide range of issues.
Reporting of Survey Results
Survey results will be reported through a series of summaries prepared for the general fishing
public, fisheries managers, and academics. Results will be reported directly to fishers through
the State of Hawaii’s quarterly Bottomfish News newsletter (mailed directly to our target
population) and Hawaii Fishing News, a monthly publication targeted to the fishing community
of Hawaii. It is anticipated that results will also be reported in the form of a technical
memorandum of the Pacific Fisheries Science Center, academic publications, and presentations
at conferences. All reporting of survey results will conform to data confidentiality requirements.
Qualified researchers with data access and confidentiality agreements will have access to raw
data for performing future analyses.
Information Quality Guidelines and Confidentiality
It is anticipated that the information collected will be disseminated to the public or used to
support publicly disseminated information. As explained in the previous paragraphs, the
information gathered has utility. NMFS will retain control over the information and safeguard it
from improper access, modification, and destruction, consistent with NOAA standards for
confidentiality, privacy, and electronic information. In particular, the data collected will be kept
confidential as required by section 402(b) of the Magnuson-Stevens Act and NOAA
Administrative Order 216-100, Confidentiality of Fisheries Statistics, and will not be released for
public use except in aggregate statistical form without identification as to its source.
The information collection is designed to yield data that meet all applicable information quality
guidelines. Prior to dissemination, the information will be subjected to quality control measures
and a pre-dissemination review pursuant to Section 515 of Public Law 106-554.

7

OMB Control No. 0648-0369
Expires 02/28/2013
6. Contact information for agency coordinator and principal investigator.
Agency Coordinator
Sarah Malloy
NOAA Fisheries
Pacific Islands Fisheries Science Center
2570 Dole St.
Honolulu, HI 96822
808-983-5364
[email protected]
Principal Investigator
Justin Hospital
NOAA Fisheries
Pacific Islands Fisheries Science Center
1601 Kapiolani Blvd, suite 1110
Honolulu, HI 96814
808-944-2188
[email protected]
7. Estimated burden and number of respondents
Completing the survey is expected to take 45 minutes per respondent. As a result, the survey is
expected to impose a total of 369 burden hours on the MHI bottomfish fleet.
Total Target Population
Expected survey response rate
Expected # survey respondents
Average burden hours/survey
Total in-person burden hours

703
70%
492
45 minutes
369

Total annual burden hours

369

8