0648- 0369 Hawaii For-Hire (Charter) Fishery Cost-Earnings Survey Supplementary Questions

Hawaii For-Hire (Charter) Fishery Cost-Earnings Survey
Responses to Supplemental Questions for PRA Clearance
OMB Review of Individual Instruments
Project Title: Cost Earnings Study of Hawaii’s For-Hire (Charter) Fishery
Justification under OMB Generic Clearance:
(Economic Survey of US Commercial Fisheries, OMB Control No. 0648-0369)
Commercial fisheries economic data collection programs implemented by National Marine
Fisheries Service (NMFS) address statutory and regulatory mandates to determine the quantity
and distribution of net benefits derived from living marine resources as well as predict the
economic impacts from proposed management options on commercial harvesters, shore side
industries, and fishing communities. In particular, these economic data collection programs
contribute to legally mandated analyses required under the Magnuson-Stevens Fishery
Conservation and Management Act (MFCMS), the National Environmental Policy Act (NEPA),
the Regulatory Flexibility Act (RFA), Executive Order 12866 (E.O. 12866) as well as a variety
of state statues.
This particular survey instrument very closely mirrors research efforts recently approved and
fielded under generic clearance 0648-0052 (recreational fishing – 11/30/2013) for the Northeast
for-hire (charter) sector. However, based on the unique conditions of the Hawaii for-hire
(charter) industry – namely, extensive commercial fishing behavior - this application seeks
approval under generic clearance 0648-0369 (commercial fisheries). Prior research has
established that nearly 66% of pounds caught on charter fishing trips in Hawaii are sold by
charter captains, thus confirming the ‘commercial’ nature of for-hire fishing in Hawaii
(Hamilton, 1998). Likewise, all for-hire captains possess State of Hawaii Commercial Marine
Licenses (CML). This request is for a one-time survey of the Hawaii for-hire (charter) fleet
which has been developed based on previously approved question categories as outlined in the
generic clearance (0648-0369) supporting statement
Objective: The charter fishing industry has a long and storied history in Hawaii, as residents,
tourists, and big tournament fishermen have come to Hawaii to experience the “Blue Marlin
Capital of the World”. Pelagic charter fishing is a notable component of tourism in Hawaii, with
charter patrons generating sales impacts of approximately $10.3 million and value-added impacts
of $5.7 million in 2008 1 (NOAA, 2011). Previous studies on Hawaii’s charter fishing industry
have mostly reported on the demographics, motivations, expenditures, and valuation of charter
patrons 2 (Samples and Schug, 1985; O’Malley and Glazier, 2001; Gentner and Steinback, 2008).

1

NOAA - National Marine Fisheries Service, Interactive Fisheries Economic Impacts Tool.
http://www.st.nmf.noaa.gov (visited 2/15/11)
2
Samples KC and DM Schug. 1985. Charter Fishing in Hawaii: A study of their demographics, motivations,
expenditures, and fishing values. National Marine Fisheries Service, Southwest Fisheries Science Center
Administrative Report H-85-8c.

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However, our understanding of the operational aspects of the Hawaii charter fleet, its financial
performance, and its economic contribution to the state of Hawai’i are outdated, at best, as an
extensive economic analysis (cost-earnings) of fishing operations has not been conducted since
1997 3. Given the multitude of recent macroeconomic changes in the past 15 years coupled with
regulatory changes including the establishment of Annual Catch Limits (ACLs) for all Federallymanaged fisheries, and the potential for allocation decisions to be made in the future in the form
of catch shares management 4, it is imperative that economic and social data on this fleet 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 170 5 active charter captains holding State of
Hawaii commercial marine licenses (CML) to catch and sell fish, active in 2010. These captains
took an estimated 8,900 trips during 2010 6. Unlike many other states, Hawaii law allows the
sales of fish caught during sportfishing charter boat trips provided that the seller (usually but not
always the captain) possess a valid CML (Hamilton, 1998). Prior research has shown that nearly
66% of pounds caught on charter fishing trips are sold by charter captains, thus confirming the
‘commercial’ nature of for-hire fishing in Hawaii (Hamilton, 1998).
These commercial marine licenses must be renewed annually, and fishermen holding these
permits must file monthly reports of fishing catch and effort. Active charter captains for our
study are defined as those holding a valid State of Hawaii CML for fishing year 2010 who
indicated ‘charter’ activities at some time during the year 7. Survey respondents will be contacted
via the list of active CML permit holders held by the State of Hawaii Division of Aquatic
Resources (DAR). 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, although contact information is readily available through advertising and public records.
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.
O’Malley, JM and EW Glazier. 2001. Motivations, Satisfaction and Expenditures of Recreational Pelagic Charter
Fishing Patrons in Hawaii. Joint Institute for Marine and Atmospheric Research, University of Hawaii, JIMAR
contribution 01-339. 56p.
Gentner, Brad and Scott Steinback. 2008. The Economic Contribution of Marine Angler Expenditures in the United
States, 2006. NOAA Technical Memorandum NMFS-F/SPO-94.
3
Hamilton, Marcia. 1998. Cost-Earnings Study of the Hawaii Charter Fleet 1996-1997. Joint Institute for Marine
and Atmospheric Research, University of Hawaii. JIMAR contribution 98-322. 105p.
4
National Oceanic and Atmospheric Administration (NOAA). 2010. NOAA Catch Share Policy.
http://www.nmfs.noaa.gov/sfa/domes_fish/catchshare/docs/noaa_cs_policy.pdf
5
State of Hawaii, February 2011, Personal Communication.
6
State of Hawaii, February 2011, Personal Communication.
7
‘Charter’ activities are denoted in the monthly State of Hawaii commercial catch reports whereby a captain is
required to check a yes/no box labeled ‘Charter’ trip to indicate a for-hire fishing trip(s) was taken during the month.

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Sampling and Other Respondent Selection Methods
The survey will be distributed to a census of Hawaii charter captains. While cost earnings
surveys of the Hawaii small boat fishery8 (Hamilton and Huffman, 1997; Hospital, et al. 2011)
have demonstrated the effectiveness of in-person interviews in collecting data and obtaining high
response rates in Hawaii, the complexity of charter operations, 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 mixedmode administration featuring an initial mail instrument followed by phone and in-person
coordination where desired by the respondent or where necessary to account for any identified
non-response bias.
The initial mailing will consist of a 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) 9 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 available from the State of Hawaii Division of
Aquatic Resources.
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.
The same questionnaire will be used for all modes (mail, in-person, and telephone interviews – if
desired).
Expected Response Rate
The expected response rate is approximately 70%, with a target sample size of 119 (170*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 nonresponse bias. We expect that this
flexibility of survey administration will greatly improve our response rates.

8

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
Hospital, Justin, Skaidra Scholey, and Minling Pan. 2011. Economic and Social Characteristics of the Hawaii Small
Boat Pelagic Fishery. Pacific Islands Fisheries Science Center. Administrative Report H11-01. 78p.
9
Dillman, Don, Jolene D. Smyth, and Leah Melani Chrisitian. 2008. Internet, Mail and Mixed-Mode Surveys: The
Tailored Design Method, John Wiley Publishing

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Previous research on the Hawaii charter fleet applied an in-person mode of administration.
Hamilton (1998) achieved a response rate of 95% (61 out of 64 active vessels contacted in 19961997), which suggests that this fleet is open to participating in research efforts. While we do not
have any precedent of mail survey response rates for this specific fleet; recently completed
research on the Hawaii bottomfish fishery10, using a Dillman (2008) mail survey methodology
achieved a representative sample with a response rate of 62% of active fishermen after only two
survey mailings. Therefore, it is safe to assume that we will achieve a similar, if not better
response, due to the homogeneity 11 of the charter fleet relative to the bottomfish fleet, and
previous research has established that any required in-person follow-ups to ensure a
representative sample should not be problematic. 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 Hawaii Charter Fleet
Expected
Expected
Number of
Data Collection
response
number
Captains
Method
rate
of responses
170
Mixed Mode*
70%
119
* 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 Hawaii charter 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 charter captains, holding a valid CML. Data collection and sample selection methods are
detailed in Question 1 of this submission.
The most obvious stratification within the Hawaii charter fleet is at county level. The Main
Hawaiian Islands consists of four counties encompassing seven populated islands across the
10

Hospital, Justin and Courtney Beavers. In Press – 2011. Reflections on Management of the Hawaii Bottomfish
Fishery: Fishers’ Attitudes, Perceptions, and Comments. National Marine Fisheries Service - Pacific Islands
Fisheries Science Center Administrative Report. 78p.
11
While the scale of operations and avidity may differ across the Hawaii charter fleet – all individual captains are in
the business of providing fishing opportunities and experiences for-hire. This differs from the bottomfish fleet in that
the bottomfish fishery is comprised of a complex mix of commercial and noncommercial fishermen, with diverse
fishing motivations including profit, recreation, cultural importance, and subsistence. Additionally, nearly 70% of
the fleet catch less than 100 pounds of bottomfish creating a wide spectrum of incentive or disincentive to
participate in the survey.

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Hawaiian Archipelago. The degree of fishery conditions, participation, and market access vary
spatially across counties (see Table 2). 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. (2008) to increase survey
response rates.
Table 2
Distribution Hawaii Charter Captains and Effort (# of trips) 2010, by County
Percentage of
Number
Percentage of
County
total effort
Licensed
Licenses
(# of trips)
Hawaii
82
48.2 %
43.1 %
Maui
28
16.5 %
22.0 %
Honolulu (Oahu)
32
18.8 %
22.9 %
Kauai
22
12.9 %
12.0 %
Total charter fleet*
164
96.4 %
100 %
* - Additionally there are 6 license holders (3.5%) that fished in multiple counties for a total
active charter fleet size of 170.

Table 3
Minimum Sample Size, by County and Fleet
10%
5%
County
margin of error
margin of error
Hawaii
44
68
Maui
22
26
Honolulu (Oahu)
24
30
Kauai
18
21
Total Fleet
62
118
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 170 charter captains, a sample of 118 completed surveys would provide a sample
mean within 5% of the population mean (see Table 3). This can be reached with a response rate
of 70% from our survey instrument – which is in line with what we expect (given previous
research in this and other fisheries in Hawaii).
Expected Dates of Survey Implementation
Preferred start date for initiating the mail treatment of the survey is September 15, 2011.
Following established methodologies by Dillman, et al. (2008) we intend to allow respondents
ample time (the contact regime from initial contact through the survey mailings will last
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approximately 8 weeks) to complete the mail instrument or opt for an in-person/phone treatment.
For non-respondents to the mail instrument or for captains preferring an in-person interview,
field staff will initiate contact to arrange interviews at the convenience of the captain. This is an
ideal time to engage this fishery as the summer months (through Labor Day weekend) is
generally the peak season for charter fishing in Hawaii, and so an off-peak survey will make
administration and participation easier for the fleet
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, previous research has shown this fishery to be responsive to research efforts as
Hamilton (1998) received a response rate of approximately 95%. In addition, numerous outlets
are available to us for getting survey information directly to charter captains. Extensive outreach
activities will help our response rate, and 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 through trade magazines such as Hawaii Fishing News
and Lawai’a. In addition, fact sheets will be made available at harbors and marinas where
charter vessels are moored. 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, Pacific Islands
Regional Office, and Western Pacific Regional Fishery Management Council web sites.
Informational materials promoting/detailing the survey will be provided at upcoming
Western Pacific Regional Fishery Management Council and public 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 under the State of Hawaii CML program must file monthly catch reports.
Additionally, each sales transaction is monitored through a State of Hawaii dealer database.
Using these resources, we are aware of the spatial distribution of licensed captains by county
(and harbor) 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 effort-based, to validate the representativeness of our sample. If nonresponse 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.
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Accuracy of Data Collected
NMFS needs to measure the economic performance of Hawaii charter operations in order to
meet legal and regulatory requirements, support fisheries management decision making, and
pursue more detailed 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, our survey
sample will allow us to estimate sample means 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 successfully fielded by Hamilton (1998)
and a survey recently approved for the Northeast For-Hire Sector under OMB generic clearance
0648-0052 , in keeping with approved questions under OMB generic clearance 0648-0369. 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 charter fishermen in our target population and
are aware of concerns they may have. 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 Hawaii charter operations in order to
meet legal and regulatory requirements, support fisheries management decision making, and
pursue more detailed 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 important to the Pacific Islands Regional Office, Western Pacific Regional Fishery
Management Council, and the Hawaii charter fleet.
Reporting of Survey Results
Survey results will be reported through a series of reports and project summaries prepared for the
survey respondents, general fishing public, fisheries managers, and academics. Results will be
7

reported directly to survey respondents, as well as 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, presentations at conferences, and public meetings. 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, if
requested.
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.
6. Contact information for agency coordinator and principal investigator.
Agency Coordinator
Sarah Malloy
NOAA Fisheries
Pacific Islands Fisheries Science Center
1601 Kapiolani Blvd, suite 1000
Honolulu, HI 96814
808-944-2140
[email protected]

Principal Investigator
Justin Hospital
NOAA Fisheries
Pacific Islands Fisheries Science Center
1601 Kapiolani Blvd, suite 1000
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 90 burden hours on the Hawaii For-Hire (Charter) Fleet.
Total Target Population
Expected survey response rate
Expected # survey respondents
Average burden hours/survey
Total burden hours

170
70%
119
45 minutes
89
8