FHTS Supporting Statement Part B 091514

SUPPORTING STATEMENT

FOR-HIRE TELEPHONE SURVEY

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 For-Hire Telephone Survey (FHTS) is a weekly telephone survey of for-hire fishing vessels. The survey, which estimates for-hire fishing effort, is conducted in all coastal states from Maine through Louisiana. The FHTS will be conducted for five, two-month reference waves (44 weeks) (March/April – November/December) in the states along the Atlantic Coast, with the exceptions of Maine, New Hampshire, North Carolina and Florida. The survey will be conducted for three waves (28 weeks) (May/June – September/October) in Maine and New Hampshire. In North Carolina and the Gulf States (including both coasts of Florida, the FHTS will be conducted for six reference waves (52 weeks) (January/February – November/December).

The sample universe for the FHTS includes all for-hire fishing vessels that operate within the study area. Sampling is stratified by state and type of for-hire fishing vessel; charter boats are generally smaller vessels (6 or fewer passengers) that charge a fee for the entire fishing party, while headboats are larger vessels that charge a fee for each passenger. Each week, a simple random sample of vessels is selected within each stratum, and sampled vessels are contacted via telephone and asked to describe fishing activity during the preceding week. Table 1 provides the sample universe, target sample sizes and estimated number of completed telephone interviews for each stratum for a given reference week, Table 2 provides the annual target sample size and expected number of completed interviews for each state.

Table 1. Estimated number of for-hire vessels in the population, number of vessels sampled each week, expected response rates, and estimated number of completed interviews per sample week for the For-Hire Telephone Survey.

State	Type of Fishing Vessel	Estimated Total Number of Vessels	Weekly Sample Size	Expected Response Rate1	Estimated Completed Weekly Interviews
AL	Charter	274	27	57	15
CT	Charter	190	19	60	12
CT	Headboat*	4	3	60	2
DE	Charter	130	13	53	7
DE	Headboat	8	3	53	2
FL	Charter	2,031	203	52	106
GA	Charter	160	16	86	14
LA	Charter	296	30	57	17
MA	Charter	1,110	111	61	68
MA	Headboat	27	3	61	2
MD	Charter	560	56	60	34
MD	Headboat	14	3	60	2
ME	Charter	180	18	72	13
ME	Headboat	7	3	72	2
MS	Charter	38	4	57	2
NC	Charter	690	69	77	53
NH	Charter	110	11	62	7
NH	Headboat	12	3	62	2
NJ	Charter	830	83	52	44
NJ	Headboat	38	4	52	2
NY	Charter	500	50	57	29
NY	Headboat	30	3	57	2
RI	Charter	270	27	58	16
RI	Headboat*	4	3	58	2
SC	Charter	330	33	55	18
VA	Charter	220	22	59	13
VA	Headboat	11	3	59	2
Total		8,074	823		488

*It is important to mention that the minimum sample size per type of fishing vessel is 3.

Table 2. Estimated annual sample size, response rates and completed number of interviews For-Hire Telephone Survey.

State	Type of Fishing Vessel	Annual Sample Size*	Expected Response Rate	Estimated Completed Annual Interviews
AL	Charter	1,404	57	800
CT	Charter	836	60	498
CT	Headboat	132	60	79
DE	Charter	572	53	303
DE	Headboat	132	53	70
FL	Charter	10,556	52	5,489
GA	Charter	704	86	606
LA	Charter	1,560	57	889
MA	Charter	4,884	61	2,965
MA	Headboat	132	61	80
MD	Charter	2,464	60	1,486
MD	Headboat	132	60	80
ME	Charter	504	72	364
ME	Headboat	84	72	61
MS	Charter	208	57	119
NC	Charter	3,588	77	2,745
NH	Charter	308	62	190
NH	Headboat	84	62	52
NJ	Charter	3,652	52	1,910
NJ	Headboat	176	52	92
NY	Charter	2,200	57	1,252
NY	Headboat	132	57	75
RI	Charter	1,188	58	694
RI	Headboat	132	58	77
SC	Charter	1,452	55	797
VA	Charter	968	59	572
VA	Headboat	132	59	78
Total		38,316		22,421

*Multiple of weekly sample size in Table 1, either 28, 44 or 52 weeks per the bolded text on page 6.

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.

2.1 Sampling Design

The sampling unit for the FHTS is the for-hire vessel. The FHTS sample frame is constructed from a comprehensive directory of all for-hire vessels operating within the study area. The FHTS vessel directory consists of a unique for-hire vessel identifier, the vessel name and/or registration number (state registration number or Coast Guard number) as well as the vessel operator’s name, address, and telephone number.

The directory is continually updated with information collected from licenses or fishing permits, as well as through advertisements and field observations. Directory updates are incorporated one week prior to sample selection for each data collection period. Once the FHTS directory has been finalized and the frame created, the frame is stratified by vessel type, and a 10% random sample of for-hire vessels is selected from each stratum for each sample week.

2.2. Data Collection Procedures

An advance letter is mailed to a representative of each sampled for-hire vessel one week prior to each reference week. The letter notifies the representative that the vessel has been selected for the survey, the week for which he or she will be asked to provide data, and the week in which the interview will take place. Representatives are also provided with web, fax and phone contact information, as well as instructions for completing the survey through alternative reporting modes (described below).

Data collection for each reference week begins on the first day immediately following the reference week and continues for a period of seven days. Interviews are conducted via a Computer Assisted Telephone Interviewing (CATI) system that automatically dials sampled telephone numbers, schedules call-back interviews, ensures that dialing protocols are satisfied for each sampled number, navigates the interview through complex skip patterns, and verifies suspect or illogical responses at the point of data entry.

At least ten attempts are made to complete an interview with a representative for each sampled vessel. When each number is dialed, the telephone is allowed to ring five times before being classified as a "no answer." Telephone calls are distributed among weekend/weekday and day/evening, such that the following criteria are satisfied:

• All initial attempts are made on the day immediately following the end of the reference week.

• Each number receives at least one daytime attempt and three night attempts. The time delineating day and night is 5:00 PM local time.

• Calling is completed before 9:00 PM local time.

Once a vessel representative has been contacted, the CATI interviewer determines if the vessel participated in for-hire fishing activity during the reference week and then attempts to collect detailed information about each for-hire fishing trip that occurred during the reference week. In the event that the interview cannot be completed at the time of the initial contact future calls to that individual are made on an appointment basis.

The FHTS provides three alternative response options in lieu of a CATI interview. First, vessel representatives are permitted to fax to a toll free number completed logsheets that are included with the advanced letter. Similarly, vessel operators may fax a completed vessel trip report (VTR) for each trip taken during the reference week². Finally, vessel representatives have the option of submitting data via an online instrument that was developed specifically for the FHTS. The tool is PIN protected through a unique sample identification number assigned during sample selection. PIN numbers and instructions for submitting data through the online instrument are included in the pre-notification letter.

2.3 Estimation Design

The estimation weights for the FHTS are formed in stages. The first stage is the creation of a base weight for the sampled vessel, which is the inverse of the selection probability. The second stage is a non-response adjustment, which is applied at the stratum level.

Estimates of total for-hire fishing effort (Ŷ_f) are produced using these nonresponse adjusted weights.

where and are the final, nonresponse adjusted weight and reported number of recreational fishing trips, respectfully, for vessel i of stratum h.

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.

The FHTS utilizes a multi-faceted approach to maximize response rates and minimize potential nonresponse bias. First, intensive interviewer training and tested methodological approaches are employed to maximize response. Interviewers are tested for skills in effective communication with potential respondents, and/or accurate coding of responses before they are hired for training. Training familiarizes interviewers with a procedures manual, develops interviewing skills through role-playing exercises and builds interviewer confidence. Supervision and additional training of interviewers occurs during the conduct of all telephone surveys. Call-center supervisors monitor in-progress interviews and provide immediate feedback and additional training as needed.

In addition, the FHTS utilizes a multi-mode approach to encourage survey participation. Representatives of selected vessels can proactively submit fishing information through an online instrument, by faxing completed logbook entries to a toll-free fax number or by calling a toll-free number to initiate a telephone interview. Vessel operators who do not proactively report will be contacted and asked to participate in a telephone interview. Response options are described in the advanced letter.

Finally, residual nonresponse will be handled through nonresponse weighting adjustment. Specifically, the weights of non-responding vessels will be transferred to respondents within adjustment cells. Generally, nonresponse adjustment cells will be defined at the stratum level.

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.

NOAA Fisheries staff is currently examining sampling allocations in an effort to optimize data collection. No additional studies are planned.

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.

Ana Valentín (301-427-8187) is the point of contact of the For-Hire Telephone Survey for NOAA Fisheries Service. The For-Hire Telephone Survey contractor is Quantech, Inc. of Rockville, Maryland. Data collections are performed under contract, while NOAA Fisheries Service staff performs the statistical analyses.

1 Response rates for the most recent administration of the for-hire telephone survey under OMB Control No. 0648-0052.

2 Vessel Trip Reports (OMB Control no. 0648-0212) are mandatory logbook reporting requirements for all vessels permitted under the Atlantic mackerel, squid, butterfish, Atlantic sea scallop, Atlantic surf clam, ocean quahog, Northeast (NE) multispecies, monkfish, summer flounder, scup, black sea bass, Atlantic bluefish, spiny dogfish, Atlantic herring, tilefish, red crab and skate fishery management plans.

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