MACS SS_021011 Part B rev

SUPPORTING STATEMENT
SOCIAL IMPACTS OF THE IMPLEMENTATION OF CATCH SHARES PROGRAMS
IN THE MID-ATLANTIC
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 respondent universe for this study consists of all active fishermen from Connecticut to North
Carolina that are involved in federal Mid-Atlantic fisheries. Types of respondents expected are
fishing vessel owners, operators, and crew.
The only group for which a potential sample frame exists are the permit holders (i.e., vessel
owners) because that is required information on the federal fishing permit application form.
However, this information provides only an approximation of the numerical universe as one
person may own more than one vessel and some vessels may have multiple owners. There is no
crew registry or list of crew in the northeastern U.S. that could be used as a base sample frame,
making it difficult to estimate the total crew universe. Access to vessel owners and crew will be
achieved through two methods. The primary method will be an intercept survey at docks,
marinas and other locations where fishermen tend to congregate. Vessel owners and permit
holders will also be asked for lists of employees and/or permission to contact their employees. In
general, it is customary to seek approval from captains, if they are available, to speak to their
crew. When appropriate, appointments will be made at a time and location of the interviewee’s
choosing. Any crew member approached who has already completed the survey will inform the
surveyor.
Due to the lack of a precise respondent universe it is not possible to draw a strictly random
sample. Given the rapid assessment research design of this study, all available fishermen found
in places where fishermen congregate will be approached, at random times and locations within
ports systematically selected using multivariate criteria (see below). Pollnac and Poggie
(1978:365) found this an effective method for achieving a high respondent participation rate, and
a sample obtained in this manner can be conceptualized as a sample from the universe of all
hypothetically possible data sets collected under the same conditions (cf. Chein 1976; Thomas
1976; Freund 1960).
Values for calculating the total estimated potential respondent universe (see below) come from a
combination of published data and information from personal communications. Published data
for delimiting the number of active vessels include the number of permitted vessels from the
NMFS Northeast Regional Office (NERO) database and associated landings value and pounds
from the NMFS Northeast Fisheries Science Center (NEFSC) dealer database. Any vessel with a
permit but no landings is considered inactive. Estimates of crew come from personal
communication with NMFS employees and the contractor. Although the databases noted above
are ample for initiating sampling, they are inadequate for capturing the respondent universe
because of the lack of a formal sample frame for crew.
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No. of Permitted
Vessels by
Owner’s
Residence
1,544

Estimated No.
of Crewx per
Vessel
2

Estimated
Potential
No. of
Crewxx
3,088

No. of
Respondents
Targeted for
Survey
300

Expected
Response
Rate

Targeted
No. of
Surveys

90%

270

*

In general there is a distinction between captains and crew who perform other roles on a fishing vessel. However for
the purposes of the above calculation captains are included in the crew count.
** Given the constraints described above for estimating the total number of crew, double counting of crew is likely
therefore inflating the overall estimate.

Further, the respondent selection process is based on a previous study implemented in New
England in 2009 and 2010 (see Part A Question 4), using the same research design. Using an
intercept survey approach for that study and a targeted sample of 350 a 90% response rate was
achieved. Similar results are expected for this study. This design has also been replicated
elsewhere in the U.S. and internationally for over thirty years by the contractor, an international
expert in the field of fisheries anthropology and social science surveys, e.g. Pollnac and RuízStout 1977; Pollnac and Poggie 1988, 2006, 2008; Pomeroy et al. 1997; Pollnac et al. 2001;
Sievanen et al. 2005.
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.
Interviews will be conducted in Mid-Atlantic primary ports and select secondary ports. Ports will
be systematically selected based on a numerical taxonomy of fishing communities developed
using principal component analysis and cluster analysis. (Smith et al. In prep). This method
creates clusters of communities with like characteristics, making it possible to select a smaller
number of communities for the survey while retaining an appropriate mix of different types of
ports (e.g., rural vs. urban, focused on particular species, having particular demographic
characteristics). Hence, selection of communities to survey will be based on multivariate criteria.
As previously mentioned in Part B Question 1, the approach to this study is to conduct a rapid
assessment of the study population. Individuals who meet the study criteria will be provided an
opportunity to participate in the research, i.e., fishermen, vessel operators, and crew - within the
ports chosen via multivariate analysis,. The sample selection will be based on a random intercept
of fishermen and vessel owners (see Question 3 below on methods appropriate for hard-to-find
individuals) who are (a) active in the Mid-Atlantic fisheries, (b) located within a community
selected by the multivariate analysis, and (c) willing to participate.
Data collection will occur through in-person, face-to-face surveys. Interviewers will explain the
purpose of the study, administer the surveys and be available to answer questions. The survey is
completely anonymous; no identifying information is collected.
This is a one-time data collection intended to capture baselines and Year One impacts of catch
share regimes for fisheries in the Mid-Atlantic to evaluate impacts over time. A baseline is
critical for trend analysis and to evaluate impacts over time. Without baselines we cannot as
effectively judge change due to management from change due to other factors.
The projected study year is 2011.
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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.
Various steps have been and will continue to be taken to maximize response rates. The first step
to increase response rates will be to use a pre-existing refined survey tool (described in Part B
Question 1) that has already been tested and revised by researchers at the University of Rhode
Island. That prior University of Rhode Island study first piloted the survey in New England and
then administered the survey to over 300 respondents. Mid-way through that study the survey
was reevaluated and trimmed based on researcher observations and industry input on questions
that some interviewees found confusing. This reduced the average time to administer from thirty
to twenty five minutes in New England.
A random intercept survey is used to maximize response rates and is a method used for studies of
hard-to-find individuals (Miller et.al. 1997) such as crew, who may not have a permanent
address or phone number or may live aboard the vessel on which they work (Kitner 2006). As
mentioned in Part B Question 1 above, 90% of all fishermen approached participated in the New
England study.
To improve response rates survey administrators will conduct all surveys in-person. Face-to-face
interviews are an effective method for the collection of information from people such as illiterate
individuals who may not be able to participate using other methods (Bernard 2006:256). Faceto-face interviews also make it possible to probe for more in-depth answers and clarify
respondent questions (Bernard 2006:256). In addition, the individuals participating in the
research have the opportunity to communicate with the researcher and provide additional
information that is useful to the overall objectives of the study.
Prior to the implementation of the survey, interviewers will explain that the survey is
anonymous, participation is voluntary and that the interview can be stopped at any point. It will
also be explained that participants can skip questions they do not want to answer. In the New
England study there was no pattern to the very few questions that were refused or skipped. In
general all questions were completed.
Contact has been made with key members of NMFS, academia, and industry to better understand
the study universe.
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.
A review of the study description, the study methodology, and the survey instrument has
been undertaken. NMFS personnel in various regions have reviewed the survey tool and
provided comments on both the survey tool and the study. An industry-funded organization
provided feedback for the original New England study when it was piloted in 2009. Invaluable
feedback was garnered from the New England study and from other NMFS personnel that
resulted in modifications to the survey.

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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 internal NMFS design, development, and review team including statistical analysis included
Dr. Lisa L. Colburn, social scientist NEFSC (401) 782-3253; Dr. Patricia M. Clay, social
scientist NEFSC (301) 713-2328 x 125; Dr. Richard B. Pollnac, contractor, University of Rhode
Island (401) 874-6102.
The primary individuals expected to collect the data include Richard B. Pollnac, University of
Rhode Island contractor NEFSC, co-principal investigator ; Lisa L. Colburn, social scientist,
co-principal investigator, NEFSC; and 3 graduate students from the University of Rhode Island.
Individuals who are expected to analyze the data include Lisa L. Colburn (401) 782-3253
NEFSC and Richard B. Pollnac (401) 874-6102.
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