0371 SS 101311 Part B

SUPPORTING STATEMENT
HIGHLY MIGRATORY SPECIES VESSEL LOGBOOKS AND COST-EARNINGS
DATA REPORTS
OMB CONTROL NO. 0648-0371

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.
This collection of information will employ statistical methods to reduce the respondent burden
and the data processing cost to the government. As indicated in the response to Question12 in
Section A, certain fisheries would be subject to a census while others would have a sample
drawn at random. The selection rates apply both to the logbook in general (set forms and trip
forms) and to the cost-earnings form (attached to trip summary forms).
As indicated in Response 12 in Section A, all swordfish, shark, charter/headboat, and
dolphin/wahoo permit holders would be selected for logbook reporting while only 10 percent of
Atlantic Tunas and HMS Angling permit holders would be selected for logbook reporting. The
larger population of tuna vessels (recreational and commercial combined) affords a
representative sample at a 10 percent selection rate for each. In response to comments from
fishermen, NMFS is proposing to continue the 20 percent selection rate for the cost-earnings and
annual expenditures forms in the commercial shark, commercial swordfish, and charter/headboat
fisheries (not required for dolphin/wahoo permit holders). This rate should provide NMFS with
a representative sample of the fishery as a whole.
Table 1 in Section A indicates the affected universe. Out of 35,969 permit holders, under this
program, 10,216 would be required to submit logbooks and 1,280 would be required to submit
the cost-earnings and annual expenditure forms. Compliance with the catch reports or logbooks
is high because they are linked to permit renewal. That is, permits cannot be renewed until
logbooks are submitted for the year. Often logbooks are not submitted in a timely manner but
are submitted prior to renewing the permit. In 2010, compliance with logbook requirements was
approximately 89.23 percent. Similarly, compliance with cost-earnings reports is high since they
are also linked to permit renewal. In 2010, compliance with cost-earning reports was
approximately 77.29 percent.

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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.
The sample universe is the fleet for tuna, shark, swordfish, and charter/headboat permit holders,
for which we have the entire population or universe of vessels from the HMS permit data file
from which to choose. The sample universe also includes any dolphin/wahoo permit holder that
does not hold another federal HMS permit.
The random sample for selection from the tuna fishery is stratified according to the following
criteria: (1) state of homeport and (2) level of landings (high-liner vs. not active). The HMS
logbook form contains sufficient information to determine whether or not a vessel harvested
beyond or within the Exclusive Economic Zone, i.e. U.S. offshore or on the high seas. Sampling
designs for other commercial fishery surveys suggests that overall vessel length provides a
reliable indicator of whether a vessel is capable of fishing on the high seas. A vessel’s homeport
state is recorded in the HMS permit database. The sample size for selection for tuna vessels is
designed to achieve a 95 percent level of precision (significance). For any strata with less than
three vessels, the vessel numbers in these strata is increased to three since NMFS’ policy is not to
disclose aggregated information for anything less than three vessels. The stratified random
sample is determined using the Neyman Allocation Method with a finite population correction.
This method is being used in the collection “Economic Performance Data Surveys For West
Coast Commercial Fisheries Programmatic Clearance (OMB Control Number 0648-0369) for the
Cost and Earnings Survey of the Troll Albacore and Swordfish Fisheries.”
The random sample for the collection of cost-earnings data from the shark, swordfish, and
charter/headboat fleet is stratified according to: (1) location of fishing in the previous year within
designated statistical areas and (2) level of activity (landings versus no landings/held a permit or
did not hold a permit). The HMS logbook form contains sufficient information to determine
where a vessel was fishing and the level of activity in the previous year. Numerous analyses of
logbook data have already designated the statistical areas. These same areas would be used in
the random sample. Sample size for selection of these vessels is designed to ensure adequate
representation across the fleet and across all areas. For areas where few HMS vessels fish (e.g.,
Sargasso or Northeast Distant areas), areas would be combined to ensure a large enough sample
so that data can be disclosed. Sample fleets for selection of the cost-earnings data would then be
averaged to produce information representative of the group. There are not expected to be any
unusual problems requiring sampling procedures more specialized than those indicated above.
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 maximize the response rate, brochures have been developed and circulated to educate
fishermen in various sectors about reporting requirements. NMFS has also published
compliance guides to remind fishermen of their obligations. Non-responders are typically
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contacted first by phone and then are notified by the NMFS Office of Law Enforcement of their
delinquency and issued a written warning. If there continues to be no response, citations could
be issued. For the censused population, a small percentage of non-responders are not likely to
decrease the reliability of the data given the number of vessels and trips. For the sampled
population, however, the reliability of the data could suffer if delinquency rates prove to be high.
In such a case, data between years could be combined to provide biennial estimates.
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 under the Paperwork Reduction Act.
Logbooks have been used in this fishery since the 1980s and have proven an effective method of
collecting data when used with observers. Before implementation mandatory collection, NMFS
tested a voluntary program. The voluntary program was ineffective for meeting management
needs.
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.
NMFS, Highly Migratory Species Management Division (sampling design/analysis):
George Silva 301-427-8503
NMFS, Southeast Fishery Science Center (data collection/analysis):
Dr. David R. Gloeckner 305-361-4257

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