OPIT ss 071009rev Part B

SUPPORTING STATEMENT
NMFS OBSERVER PROGRAMS’ INFORMATION THAT CAN BE GATHERED
ONLY THROUGH QUESTIONS
OMB CONTROL NO. 0648-xxxx

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.
The information will be collected for a fishing vessel from its Federal permit holder, captain, or
crew; or it will be collected for a fish processing plant from its manager or staff. Therefore,
fishing vessels and processing plants are the entities for which information will be collected.
The potential respondent universe is the set of fishing vessels and fish processing plants that
operate in the fisheries with NMFS observer programs. It is estimated that on average there will
be approximately 23,100 active fishing vessels and 900 fish processing plants in such fisheries in
2009-2012. From this universe, the sample sizes are expected to be 4,122 fishing vessels and
about 200 processing plants; however, observers are expected to be deployed at only 21
processing plants, all 21 of which are in Alaska. Other fish processing plants in the sample will
be contacted and on average asked less than one question per trip for the fishing vessels
delivering to the plant. Some questions are asked once a trip, some are asked several times
during a trip to collect haul/set specific information, and others are only asked on trips for which
the information cannot be collected readily through direct observation or through nonstandardized oral communication in connection with such direct observations. For the purpose
of this collection, all the information collected for or associated with a single trip or deployment
to a fish processing plant is considered one response. For example, the pre-deployment
information, the information provided to an observer, the information in a completed observer
evaluation survey, and any reimbursement and data release information provided for a specific
trip is considered to be one response. Therefore, the expected number of responses (14,082) is
the sum of the number of observed trips and the number of observer deployments at fish
processing plants because some useful information will be provided by the responses to the
questions included in this collection on each observed trip or deployment. Similarly, some
information is expected to be provided for each observed vessel (i.e., each vessel with an
observer for one or more trips) and for each observed or contacted fish processing plant;
therefore the total number of respondents is expected to be 4,323.
Agencies are encouraged to use the American Association for Public Opinion Research
(AAPOR) standard formulas in calculating and reporting response rates in their Information
Collection Requests (ICR); however, agencies may use other formulas as long as the method
used to calculate response rates is documented in the ICR (see OMB Guidance on Agency
Survey and Statistical Information Collections at:
http://www.cio.noaa.gov/itmanagement/OMBSurveyGuidance_0106.pdf).
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The AAPOR’s 2008 report, Standard Definitions Final Dispositions of Case Codes and Outcome
Rates for Surveys, states that how various types of incomplete responses are classified may
depend on the objectives of the survey and the relative importance of various questions; and that
report defines a response rate (RR2) in which partial responses are included in the numerator of
the response rate calculation. In calculating the response rate for this ICR, the treatment of
incomplete responses is particularly important because, although complete information will be
provided in many responses, at least some useful information will be provided in each response
(i.e., for each observed trip or deployment). The response rate used in this ICR is a modified
version of the RR2 definition. Instead of giving each sufficiently complete response a value of 1
to count the number of incomplete responses to be included in the numerator, as is done with
RR2, the value is scaled by the extent to which each incomplete response is complete. For
example, a response that is 50% complete would be given a value of 0.5 in counting the number
of incomplete responses included in the numerator. For this collection, this method is more
appropriate than arbitrarily identifying an acceptable level of completeness for a response and
giving it a value of 0 or 1 for the purposes of determining the value of the numerator. The
denominator is the total number of trips on vessels that are determined to meet the observer
programs’ safety and/or size requirements, plus the number of deployments to fish processing
plants. The small numbers of fishing vessels that are selected to carry an observer during a given
year but do not, for example for safety or logistical reasons, are not included in the denominator
when calculating the response rates estimates for this ICR. Had that been done, the estimated
overall response rates would have been marginally lower.
The overall response rate for the collection as a whole is expected to be 93% because not all
respondents will respond to all the questions. The response rates have varied by observer
program, type of question, and year, but in 2008, the overall response rate was 93% and that
overall response rate is expected to be maintained in 2009-2012.
Active vessels in fisheries with NMFS observer programs
Observed vessels
Observed trips
Fish processing plants in fisheries with NMFS observer programs
Observed fish processing plants
Observer deployments to fish processing plants 1
Other fish processing plants contacted
Response rate
Number of respondents
Number of responses

23,128
4,122
13,927
900
21
155
180
93%
4,323
14,082

1. During 2009-2012, there are expected to be on average about 7.4 deployments of observers
per year to each of the 21 observed fish processing plants in Alaska.
--------------------------------------------------

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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.
Statistical Methodology for Stratification and Sample Selection
Fisheries may occur year-round, or may be seasonal in nature. Before an observer program is
implemented for a fishery, coverage levels and sampling methods are determined. Resources
generally do not allow the deployment of observers on all fishing vessels and all trips in an
observed fishery. Because only a portion of the vessels or trips is observed, observer programs
have developed methods to achieve a representative sample. Due to variations in fisheries (e.g.
gear types used, length of fishing trip, area of fishery), the sampling methods vary between
programs. Specific details by fishery are presented in Attachment C.
In general, programs identify primary, secondary, and tertiary sampling units (e.g. vessel, trip,
and haul/set) and establish sampling frames to meet coverage requirements. Coverage levels for
fisheries may be specified by regulation, determined by available resources and program costs,
or set to meet certain precision targets (e.g. 30% coefficient of variation (CV) for protected
species).
The vessel sampling frame is often derived from a list of active fishing vessels or fishing
permits. Programs may stratify the sample by area, gear type, calendar quarter, and/or other
variables. Vessel selection methods include census; stratified random sampling (with or without
replacement); systematic random sampling, or ad hoc sampling, including at times opportunistic
sampling. Once a vessel has been selected for coverage, an observer is assigned to a trip.
Observers stay with the vessel for the entire trip. Sampling may occur for all hauls/sets, or
observers may use sampling schemes (e.g. a random breaks table) to determine which hauls/sets
to sample or sub-sample.
The Estimation Procedures
Some types of information, such as the safety, pre-deployment, and gear or vessel characteristics
information, are not collected for statistical estimation purposes, other than perhaps for
stratification purposes, but rather to provide vessel, haul, or trip-specific information. For
example, the safety information is used to ensure that a vessel meets observer program’s safety
standards before an observer is deployed to or embarks on a specific vessel. Similarly, predeployment information (e.g. the expected date, time, and location of a vessel’s departure) is
used to ensure that observers can be effectively and efficiently deployed.
Other information collected from the observed vessels and trips will be used to estimate
biological variables (e.g., catch and bycatch) and economic variables (e.g., variable operating
cost and employment) for the fishery as a whole. In this case, the estimation process relies on
the stratification of observed vessels and trips, as well as unobserved vessel and trips, based on
physical and operational characteristics of the both sets of vessels and trips. Often ratio
estimators are used and applied by stratum. For example, the ratio of discarded catch to landed
catch for observed trips and estimates of landings for all trips from landings reports is often used
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to estimate the discarded catch associated with all landings. Other estimates are based on
multivariate functional relationships that are estimated based on data for observed vessel and
trips and then applied to other vessels and trips. These are but two generic methods that make
use of the observer information for estimation purposes. The methods, which can vary by
program, circumstances (e.g. the availability of auxiliary information for all trips and vessels),
and the variable(s) to be estimated, typically are subject to external review. That review can
include a Council’s Scientific and Statistical Committee or the review that is required for a paper
to be accepted for publication.
The Degree of Accuracy Needed For the Purpose Described In the Justification
The desired degree of accuracy, and corresponding desired sample size and response rate,
depend upon the application for which the data are being used. A basic application of the survey
data will be the inference of unobserved population or sub-population mean values from the
observed sample mean values. The expected sample sizes and response rates, which are limited
by a variety of factors, will result in estimates that are sufficiently accurate for many purposes.
For example, given a population of 2,842 vessels in the Federally managed Northeast fisheries
covered by the Northeast Fisheries Observer Program and assuming a margin of error of 5% and
a confidence level of 90%, the minimum sample size is 248 vessels. If the confidence levels are
increased to 95% and 99%, minimum sample sizes increase to 339 and 539, respectively. The
largest of these minimum sample size scenarios (a sample size of 539) can be reached with a
response rate of about 36% of the approximately 1,500 fishing vessels in the Federally managed
fisheries that are expected to be observed on average in 2009-2012. The other fishing vessels
that will be observed (approximately 540) will be in state managed fisheries.
Three reasons can be identified for desiring higher response rates than those needed to
support inference of population means from sample means.
1) Data from this survey will be used to develop a variety of economic models covering
applications such as fleet efficiency and fishery participation. In these applications, error
will arise not only from how well the data used for model development represents the
population, but also from model specification and estimation. Because 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.
2) Future applications of the data may require further disaggregating the population into
smaller groups according to factors such as state of operation, gear type, or vessel size.
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.
3) When bycatch of a species occurs as a rare event within a fishery, higher levels of
coverage may be necessary to achieve the appropriate level of precision. Because
observer programs are broad based, this may result in higher response rates than those
needed for other types of data.

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Any Unusual Problems Requiring Specialized Sampling Procedures
There are multiple objectives for observer programs and both the nature of and priority for
specific objectives can differ by observer program or by fishery. Meeting the diverse objective
of a specific observer program can require specialized sampling procedures. Similarly, the
objective of providing useful estimates of the bycatch of endangered species, where such bycatch
consists of rare events, can require specialized sampling procedures. The specifics of the
specialized sampling procedures used in the various NMFS observer programs can be found in
Attachment D.
Any Use of Periodic (Less Frequent Than Annual) Data Collection Cycles To Reduce Burden
The observer information is used to estimate variables that can change substantially by area,
season, and year. Therefore, the objectives for collecting observer data cannot be met by less
frequent data collection.
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.
Methods Used To Maximize Response Rates
A number of methods have been used to maximize response rates. First, most of the information
will be collected directly by an observer on the fishing vessel at a time that it is convenient for
the captain/crew. Second, a relatively small number of questions will be asked at any one time.
Third, the observers are trained to help the captain/crew understand the purpose and need of the
data collection and how data will be kept confidential. Fourth, respondents typically are asked to
provide only information that is readily available to them and maintained for their own purposes.
Fifth, extensive outreach activities will also help the response rate. Informing the fishing
industry about the purpose and need for the collection will be important to the success of the
survey. Typically, outreach will occur on a number of levels: (1) news articles in trade
magazines such as Commercial Fisheries News and National Fisherman and handouts made
available at Council meetings and other fishing industry meetings will describe the purpose and
need of the collection (2) similar information will be presented at fishing industry meetings; (3)
on board observer interactions with fishermen; (4) a summary of data received in the previous
collection will be made available to the target population; and (5) letters to permit holders are
used to inform them of a new observer requirement or changes to the existing programs. Sixth,
while the collection of economic information is voluntary for some observer programs, being
associated with the observer program will increase the amount of attention it gets, and thus
improve response rates over, for example, either an interview conducted by someone not
associated with the fishery or a separate mail survey. Seventh, plain, coherent, and unambiguous
terminology that is understandable to respondents is used. Eighth, responding to some of the
questions (e.g., the safety questions) is mandatory for all programs; responding to all of the
questions is mandatory for some observer programs (i.e., the Northeast Region (NER) and
Southeast Region (SER) Observer Programs); and responding to all of the questions, except the
economic questions, is mandatory for the Pacific Islands Region (PIR) Observer Program.
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Strategy to Address Non-Response
A considerable amount of information is currently available about the physical and operational
characteristics for the fishing vessels in the collection population. This information, which is
available from other collections, will be used to compare that population with respondents, and
to make any adjustments for systematic bias in survey response. Those other collections include:
(1) landings reports or vessel logbook programs that provide individual vessel landing
information, in both pounds landed and value of landings, by species, port, and gear, and often
trip level effort data for all vessels in the survey population; (2) vessel monitoring systems
(VMS) that provide additional operational characteristics; and (3) vessel permit systems and state
and Coast Guard vessel registrations programs that provide information on the physical
characteristics (e.g., gross tonnage, length, engine power, hull material, and year built) of
individual fishing vessels. As a result, it is possible to compare respondents and non-respondents
with regard to operational characteristics (e.g., seasonal patterns, species landed, and location of
landings) and physical characteristics.
Adequacy of Accuracy and Reliability of Information for Intended Uses
NMFS needs to measure the biological and economic performance of Federally managed
fisheries and to conduct effective observer programs in order to meet legal and regulatory
requirements, support fisheries management decision making, and undertake biological and
economic research. For many fisheries, observer programs provide the best source of some of
the biological and economic information required for those purposes. The economic data are
critical for constructing key economic performance measures such as profitability, capacity
utilization, efficiency, productivity, and economic impacts. 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. Minimum target response sizes for each population stratum are based on the
objective of having a sample mean within 15% of the population mean at the 95% confidence
level. It is believed that this provides a sufficient level of precision for inference of population
means from sample means. As explained in the response to question 2, even greater precision is
highly desirable for other anticipated applications of the data.
Due to the methods that have been used to maximize response rates and to address non-response
bias, the collections have in the past and are expected to continue to yield "reliable" data that can
be generalized to the universe studied.
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.
No pilot surveys will be necessary. These are not new collection programs and extensive efforts
were undertaken both to develop this collection and to improve it over time.

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5. Provide the name and telephone number of individuals consulted on 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 required information is provided below by Observer Program.
Alaska North Pacific Groundfish Observer Program
Martin Loefflad
Director, Fisheries Monitoring and Analysis (FMA) Division,
Alaska Fisheries Science Center
206-526-4195
[email protected]
Craig Faunce
Fisheries Biologist
Fisheries Monitoring and Analysis Division
Alaska Fisheries Science Center
206-526-4188
[email protected]
Jennifer Cahalan
Statistician
Pacific States Marine Fisheries Commission under contract to the FMA Division, 206-526-4185
[email protected]
Five Observer Providers are certified to provide groundfish observers in Alaska. These
companies employ the observers who actually collect information for the Agency, they are:
Alaskan Observers, Inc.
130 Nickerson, Suite 206
Seattle, WA 98109
MRAG Americas Inc.
1810 Shadetree Circle
Anchorage, AK 99502
NWO, Inc.
P.O. Box 624
Edmonds, WA 98020
Saltwater, Inc.
733 N. Street
Anchorage, AK 99501

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TechSea International
2303 W. Commodore Way
Suite 306
Seattle, WA 98199
Further information on the Observer Providers is available at:
http://www.afsc.noaa.gov/FMA/observer_providers.htm
Alaska Marine Mammal Observer Program
Bridget Mansfield
Alaska/Regional Office
Program coordinator
907.586.7642
[email protected]
Bryan Manly
WEST Inc.
data sampling design and analysis
(307) 755-9122
[email protected]
Saltwater Inc
contractor that deploys observers to the field
907.276-3241
[email protected]
West Coast Groundfish Observer Program
Dr. James Hastie
Northwest Fisheries Science Center
Statistical design and analysis
(206) 860-3412
Jim Hastie [email protected]
Eliza Heery
Pacific States Marine Fisheries Commission
Statistical design and analysis
(206) 860-2413
[email protected]
Marlene Bellman
Pacific States Marine Fisheries Commission
Statistical design and analysis
(206) 860-3360
[email protected]

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Janell Majewski
Northwest Fisheries Science Center
Statistical design and analysis, data collection
(206) 860-3293
[email protected]
Jim Benante
Pacific States Marine Fisheries Commission
Collaborator who manages observer contractor
(206) 860-6794
[email protected]
David Edick
Alaskan Observers, Inc
Contractor that employees observers
(800) 483-7310
At-Sea Hake Observer Program
Becky Renko
Northwest Regional Office
Data analysis for management
(206) 526-6110
[email protected]
Vanessa Tuttle
Northwest Fisheries Science Center
Data collection and analysis
(206) 860-3479
[email protected]
David Edick
Alaskan Observers, Inc
Contractor that employees observers
(800) 483-7310
Stacey Hanson
Northwest Observers, Inc
Contractor that employees observers
(425) 673-6445
Kathy Robinson
Saltwater, Inc
Contractor that employees observers
(907) 276-3241

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Troy Quinlan
TechSea International, Inc.
Contractor that employees observers
(206) 285-1408
Pacific Islands Observer Program
John Kelly
Program Manager
Pacific Islands Regional Office
808-944-2202
[email protected]
Marti McCracken
Mathematical Statistician
Pacific Islands Fisheries Science Center
808-983-5736
[email protected]
Minling Pan
Economists
Pacific Islands Fisheries Science Center
808- 983-5347
[email protected]
Observers are sub-contracted through a contractor that works with the Region. That contractor
is:
Saltwater, Inc.
733 N. Street
Anchorage, AK 99501
(907) 276-3241

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Southeast Pelagic Observer Program
Larry Beerkircher,
Observer Program Coordinator
Southeast Fisheries Science Center
Miami Lab
305-361-4290.
[email protected]
John Carlson (sampling design and analysis)
Acting Chief, Sustainable Fisheries Division
Southeast Fisheries Science Center, Miami Lab
305-361-4484
850-234-6541 ext. 22
[email protected]
Chad Lefferson,
IAP World Services Inc. Contract Observer
Provider Project Manager
228-762-4591 ex. 300
[email protected]
Southeast Shark Fishery Observer Program
John Carlson (sampling design and analysis)
Acting Chief, Sustainable Fisheries Division
Southeast Fisheries Science Center
Miami Lab
305-361-4484
850-234-6541 ext. 22
[email protected]
Chad Lefferson,
IAP World Services Inc. Contract Observer
Provider Project Manager
228-762-4591 ex. 300
[email protected]
SE Gulf of Mexico Reef Fish and Shrimp Observer Program
Elizabeth Scott- Denton (PI)
Southeast Fisheries Science Center
Galveston Laboratory
409-766-3571
[email protected]

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James Nance, SEFSC- Galveston Laboratory (PI)
Southeast Fisheries Science Center
Galveston Laboratory, Director
409-766-3507
[email protected]
SEFSC Stock Assessment Staff
Chad Lefferson,
IAP World Services Inc. Contract Observer
Provider Project Manager
228-762-4591 ex. 300
[email protected]
Southwest Region Observer Program
Lyle Enriquez
Fishery Biologist
Southwest Regional Office
501 West Ocean Blvd, #4200
Long Beach, CA 90802 4213
562 980 4025
[email protected]
Stephen Stohs
Economist
Southwest Fisheries Science Center
8604 La Jolla Shores Drive
La Jolla, CA 92037 1508
858 546 7084
[email protected]
Frank Orth and Associates
Observer Contractor
4201 Long Beach Blvd, #315
Long Beach, CA 90807
Phone: 562 427 1822
Northeast Fisheries Observer Program
Susan Wigley
Operational Research Analyst
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2359

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Paul Rago
Supervisor Research Fish Biologist
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2341
Richard Merrick
Supervisor Research Oceanographer
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2291
Debra Palka
Research Fish Biologist
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2387
Marjorie Rossman
Fishery Biologist Research
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2111\
Kimberly Murray
Research Fish Biologist
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2197
Heather Haas
Research Fish Biologist
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2315
Christopher Orphanides
Research Fish Biologist
28 Tarzwell Drive
Narragansett, RI 02882
508-495-2193
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Andrew Kitts
Economist
13 Church Street
Woods Hole, MA 02543
508-495-2231
Amy Van Atten
Operations Coordinator, Fishery Biologist
Northeast Fisheries Science Center
166 Water Street
Woods Hole, MA 02543
508-495-2266
Diane Borggaard
Natural Resource Specialist
55 Great Republic Drive
Gloucester, MA 01930S
978-281-9145
Douglas Christel
Fishery Management Specialist
55 Great Republic Drive
Gloucester, MA 01930
978-281-9141
David Gouveia
Supervisory Fish Biologist
55 Great Republic Drive
Gloucester, MA 01930
978-281-9505
Gwynne Schnaittacher
A.I.S., Inc (Obs. Provider)
508-495-2261
Jo Michaud
A.I.S., Inc (Obs. Provider)
508-801-1834
Jerry Cygler
EWTS (Obs. Provider)
860-214-2686

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National Observer Program
Samantha Brooke
Fisheries Biologist
Office of Science and Technology
1315 East-West Highway
Silver Spring, MD 20910
301-713-2363
[email protected]
Dennis Hansford
Fisheries Biologist
Office of Science and Technology
1315 East-West Highway
Silver Spring, MD 20910
301-713-2363
[email protected]

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