Welcome & thank you for attending the 4th Sector Monitoring & Reporting Workshop

Gloucester, MA

October 14-15, 2009

OVERVIEW – Data & Information Technology Systems

Jim St. Cyr; NERO/FSOJoan Palmer; NEFSC/DMS

Sector Workshop IVOctober 14-15, 2009

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DATASETS

• Sector Administration Data (Member Roster)

• VMS Declaration (aka Stock Area Declaration)

• Vessel Trip Reports (VTR)

• Electronic Dealer Reports (EDR)

• At-Sea Monitoring/NE Fisheries Observer Program data (ASM/NEFOP)

• Discard Rates

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SIMMSector Information Management Module

• Provides four primary functions

• Source system for purely sector information— Sector Membership Rosters— Sector Manager Contact Information

• It aggregates and displays data from other source systems— Stock Records— Potential Sector Contributions— Annual Catch Entitlements— Discard Rate

• Provides secure access for sector managers to send and receive information from NMFS— Download

• VMS Declarations• VTR Data (Paper & eVTR)• Dealer Data• At-Sea Observer Data• Discard Rates• Summary Reports

— Upload• Weekly Reports

• ACE Transfers

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SIMMSector Information Management Module

Download

• Log into secure SIMM website• Select dataset, desired elements, order of elements and date range for data.• Desired data will download in CSV format

•Note: One query can be saved per dataset

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SIMMSector Information Management Module

Upload

• Log into secure SIMM website• Select the weekly report that you wish to upload to

NMFS.• Desired data will be uploaded and a confirmation

presented upon success.

VMS Activity Declaration

Jim St. Cyr; NERO/FSOSector Workshop IVOctober 14-15, 2009

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• Basically the same as today

— VMS declaration must be sent prior to sailing

— Beginning May 1, 2010, all multispecies vessels would be required to declare into one or more of four broad areas and would be required to declare the gear type to be used

—All stock areas where fishing may occur would be required to be declared

— If you start a trip under the wrong code you must return to port and declare the correct code.

— If you have problems declaring contact the Office for Law Enforcement

And the good news is….

Vessel Hails for Dockside Monitoring

Mark Grant & Merrie Cartwright

Sector Workshop IV 10/14/09

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Hails – Responsibilities

• Vessel Operator is responsible for initiating hails:— Trip Start: prior to departing port at the beginning of

a sector trip.

— Trip End: 6h before landing for all trips at least 6h in duration or occurring more than 6h from port. For shorter/closer trips, immediately upon completion of the last tow.

• Transmission system— Primary = electronic (e.g.,email via VMS)

— Backup (e.g., phone) if confirmation not received

• Hail goes to Dockside Monitoring Provider and Sector Manager; either must relay immediately to OLE (other option: direct email drop from vessel to OLE).

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For what types of trips must sector vessels hail for DSM?

• Any trips for which catch will count against sector Annual Catch Entitlements (ACE):—Groundfish

—Monkfish

—Skate

—Non-trap Lobster

• Trips for which groundfish catch is accounted for in a separate sub-ACL do not need to hail for DSM:—Shrimp fishery

—Small-mesh whiting fishery

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Hails – Required Information

• Hail Trip Start:— vessel permit number

— trip ID# (VTR number on the first VTR page of trip)

— estimated trip duration

— estimated landing & offloading times if trip will take less than 6h or occur within 6h of port

• Hail Trip End:— vessel permit number & trip ID#

— offloading location(s), including dock/dealer

— estimated landing & offloading times

— estimated weight of each species

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Vessel Selectionfor Dockside Monitoring

• DSM coverage overall (and for each Sector) has been set by the New England Fishery Management Council:—50% of trips for the first year—20% for subsequent years

• Since less than 100% coverage, randomized vessel selection is needed – stratified so that sector’s gear types (and/or other major categories of fishing effort) are proportionally represented.

• Sectors and/or their Dockside Monitoring Service Provider(s) are responsible for developing and implementing suitable randomization and vessel notification protocols. NMFS can provide a randomization model, if needed (see appendix).

• During each sector trip, the Provider will notify the vessel (of DSM selection or waiver) in the Trip End Hail confirmation message.

Dockside Monitoring – Reporting

Merrie Cartwright & Mark Grant

Sector Workshop IV 10/14/09

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Approval of Monitoring Providers

• Approval of monitoring providers (both dockside and at-sea) will occur through the rulemaking process that approves sector operations plans and allocates ACEs.

• The proposed rule will list the providers NMFS proposes to approve. Tentative publication date: Late December 2009 or early January 2010.

• The final rule will list providers approved to provide dockside and/or at-sea monitoring. Tentative publication date: March 2010.

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Dockside Monitoring – Vessel Responsibilities at Landing

• A vessel with DSM waiver must provide copies of VTRs and dealer receipts to Sector Manager within 24 hrs.

• A DSM-assigned vessel must wait for the monitor before beginning any offloading (unless notified that monitor has encountered an emergency).

• Offloads to more than one dealer or facility (from that one trip) must all be monitored.

• The DSM-assigned vessel must provide copies of all VTRs to the monitor.

• Any catch that is retained onboard after offloading must be coded as retained catch on the VTR(s).

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Dockside Monitoring Report – Contents

• Identifying information: monitor’s name, captain’s name, date, time, vessel permit, dealer permit, etc.

• NMFS-required information:— Dealer scale certification (yes/no)

— Ice + box weight tare estimate (if scale not tared)

— Determination of whether all fish have been offloaded

— Weight estimate of any fish being retained and the reason

— Weight of offloaded catch by species (and market category, if culled) and dealer signature verifying weights or

— Copy of the dealer receipt (in which case the monitor must sign the original).

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Weigh-out Report Form – Sample from AIS’ Pilot DSM Study

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Dockside Monitoring Report, cont.

• Format can be paper forms and/or handheld electronic device.

• Paper or electronic copies of VTRs (and dealer receipts, if used for weight tally) must accompany (or be included in) the monitor’s report. Original paper copies that are collected must be retained/archived.

• Report should reach Sector Manager within 24h.

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Dockside Monitoring Standards – Monitoring Offload to a Truck

• If the landings are weighed by a representative of the receiving dealer in front of a Roving Monitor before being loaded into a truck, the protocol is the same as previous (and the event is the final DSM event for that trip).

• Otherwise, all fish must be weighed in the presence of a DM at the receiving dealer(s) when the truck offloads – i.e., there will be an RM monitoring the vessel offloading and a DM monitoring the weighing.

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Dockside Monitoring Standards – Monitoring Offload to a Truck, cont.

• The Roving Monitor (RM) must gather the same information as a DM, except weights and scale info. In lieu of recording measured weights, s/he must:—Record the number of totes of each species and the

captain’s estimate of the weight of each species in each tote.

—Ensure that each tote is tagged with identifying information (i.e., for the DM at the receiving end):

• trip ID• RM name• tote number• species

Vessel Trip Reports

Barry CliffordSector Workshop IV 10/14/09

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Vessel Trip Report Requirements

• Vessels are required to complete a VTR prior to landing

• Signed Original of the VTR is required by

• NMFS

• A Copy Goes to either

• Dockside monitor or Sector manager

• Submissions to NMFS must be received/postmarked by midnight Tuesday for trip occurring the previous week

• Submissions to DSM must occur upon landing

• Submissions to Sector Managers must occur within 24 hours of landing

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VTR Requirements

• VTRs must be completed for each statistical area, gear type and mesh size used on a trip

• A trip is defined as when effort is put forth• A trip ends when any catch is first offloaded• All catch (including discards) associated with a single

trip must be recorded on that trip’s VTR

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VTR Data Elements - SMWR

• Sector Managers will be receiving completed VTRs• Data elements critical to compiling and reconciling a

SMWR include:• vessel permit number• date/time sail, land, offload• gear• mesh size• chart area• species• catch (kept & discards)• dealer permit number• VTR serial number

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ELECTRONIC VTR

• No eVTR program presently

• NMFS recognizes the need and desire to go electronic

• NMFS continues to work on policy and regulatory issues

• GMRI pilot program

• GMRI presentation Thursday afternoon

Information Management and Quality - Workshop IV

Dealer Reporting

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Reporting Requirements - Complete

• Report all purchases/receipts by Tuesday midnight• Using approved electronic reporting method• Information required –

—Dealer & vessel identifiers

—Port & date of offload

—Species, market category, amount purchased and units of measure

—Price per unit of measure or value

—VTR serial number

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Reporting Requirements – Sector Manager Needs

• Information required for Sector Manager’s Weekly Report —Vessel identifiers

—Date of offload

—Species, market category, amount purchased and units of measure

—VTR serial number

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NMFS Data Available to Sector Managers

• Information required for Sector Manager’s Weekly Report —Vessel identifiers

—Species, market category

—Date landed

—Live pounds

—VTR serial number

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New Requirements under Sectors

• Work with dockside monitors—Allow access

—Provide tally sheet• Species/market category/pounds

—Sign tally sheet or dockside monitor’s report

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Current Reporting Issues & Problems

• Late – after Tuesday midnight deadline• Incomplete

—Not all reports

—Not all species

• Missing or poor quality information—VTR serial number

• Cannot link to other sources of trip information

—Vessel identifier• Cannot assign to correct vessel

At-Sea MonitoringAt-Sea MonitorsNEFOP Observers

Sector Workshop IV October 14 -15, 2009

Gina ShieldFisheries Sampling Branch

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Trip Selection

• In order to meet required coverage rates…

• 48 hour pre-trip notification prior to sailing.

• NEFSC to establish a centralized system - phone, email, or website.

• Used to assign an observer/ASM or grant waiver.

• Vessel to provide: permit#, date/time/port of departure, gear, contact information.

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ASM data and NEFOP observer data

• If selected…• iPaq - ASM

• Rugged laptop – NEFOP observers

• Data collected electronically and submitted to NEFOP within 48 hrs of landing.

• Data availability:

• Preliminary within 48 hours

• NEFOP reviewed within 7 days

• NEFOP final within 90 days*

• Data to be QC’d and archived by NEFSC/NEFOP

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ASM data and NEFOP observer data

• How Used? – derive discard rates

• Data format:

• Provided Haul by Haul:• ASM or NEFOP Date Sailed

• Haul observed? Date Landed• Gear Type Species (all req)• Stat area Kept or Disc Disp• Program code (US/Can) Live Weight • NEFOP Trip Identifier Total # Hauls• VTR Serial Number Data Status

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Data Flow

• NERO

-access to NEFOP obdbs

-sector reports

• Sector Managers

-web-based system to access the data

-sector reports

• Requirements – yearly release authorization from the vessels to meet data confidentiality requirements.

Discard Rate Summary

Implementation Issues

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Discard Rate Methodology Update

- Methodology Being Devised- Details TBD on

- Discard rate calculation algorithm- Observed trip discards - Determining sufficient observer coverage- Rates for other management programs – U.S./Canada,

SAPs

- External Peer-review

- Aim to distribute/explain by March 2010

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Discard Rate Data Structure

• Two Sets of data provided to each sector:—Actual Observed Discards

—Discard Rates

• Three Types of Trips—Unobserved trips

• Discards estimated by applying the discard rate to the total kept pounds

—Observed trips (100% haul coverage)• Total observed discards for the trip

—Observed trips (Less than 100% haul coverage)• Total adjusted for unobserved hauls

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Discard Rate Data Structure

• Discard rates by stratum

- Available from portal. Sample data by March 1st.

- All data updated weekly or better

- Include updated indicator/date last updated

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Tentative Timing of Discard Rates

- Expected 48 hour NEFOP turnaround- Expected 24 hour NERO turnaround

- Latest trip is on Saturday

- NEFOP data available end of Monday

- Discard rate will be available at noon on Wednesday- Availability of dealer receipt date

Quota Monitoring Methods

Sector Workshop IV

October 14-15, 2009

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Incoming Data

• Hail Start / Hail End reports• Vessel Reports• Dockside Monitoring Reports• Dealer Reports• Discard Rates

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Timeline

5/2 5/9 5/16 5/23 5/30 6/6 6/13 6/20 6/27 7/4

Sector Startup (May 1)

No Report (May 6)

Report 1 (May 13)

Report 2 (May 20)

Report 3 (May 27) Data Review Workshop

(May Data)Tentative Dates

DSM Reports Delivered to Sector Managers

5/9/2010 5/15/2010

Sun Mon Tue Wed Thu Fri Sat

Dealer Reports,Discard Rates & Observer/ASM

Data Available to Sector Managers

Dealer Reports & VTRs Submitted

to NMFS

Sector Managers Report Submitted

to FSOStart of reporting

Week

End of reporting

Week

SMs compile report

FSO Reviews Report

Reconcile differences from previous week

(FSO & SMs)

FSO compiles report

Sector Managers Submit VTR data

to FSO

Requirements and Rules

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Submission Deadlines

• Dealers are required to submit reports to NMFS by midnight Tuesday• Groundfish vessels are required to submit VTRs to NMFS by midnight

Tuesday• Sector Managers are required to submit reports to NMFS by midnight on

Thursday— There will be late reports from dealers & vessels. NMFS & Sector

Managers will need to address the timeliness issue with seafood dealers & vessel operators.

— Sector Managers’ reports will be updated as late reports are received.

— NMFS will be recompiling internal weekly reports as new data are received. These will be cross matched with Sector Managers’ reports

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Suggestions and Reminders

• Sector Managers’ reporting schedule is aggressive

• Don’t get behind with the reports & don’t be late as you approach an ACE

• There will be no tolerance for consistently late reports or consistently inaccurate (e.g., reports always 2 to 3 weeks behind).

• Let us know if a report will be late due to unforeseen circumstances.

• Do not wait for late reports from vessels or seafood dealers.

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Referrals to Enforcement

• FSO will refer sector to OLE for: — consistent late reporting by Sector Managers— consistent incompleteness of reports wrt vessel fishing

activity— discrepancies in reported location of fishing activity— failure to achieve 50% DSM as defined in Ops Plans

• FSO will refer seafood dealers & vessel owners to OLE for:— late & incomplete reports— failure to address data quality issues identified by FSO staff

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Acceptance criteria for data

• Accurate and complete reporting of all fishing trips

• Accurate accounting of kept catch for all trips

• Collaborative workshops will be held throughout the year to reconcile differences in data

• All parties agree that the suite of data is an accurate representation of fishing activity for a sector.

• NERO is the keeper of the official record (i.e., fishing activity, catch and landings) for each Sector

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Switching to Daily Reporting

— When a sector has harvested 80% of the available ACE for one or more of the stocks for which a sector possess ACE

• or— When 25% (20%?) of the ACE is landed in each of

two consecutive weeks

• Intent: Avoid a situation where a large surge in landings increases the risk of a significant overage of the ACE.

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Other Concerns

• How will the disputed data get fixed?

• How will discrepancies be resolved? — Match trip records submitted by Sector Managers and

those submitted by vessel operators directly to FSO

Vessel Hails APPENDIX(Randomization & Stratification Models)

Merrie Cartwright

Sector Workshop IV 10/14/09

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50% Random Vessel Selection, Stratified by Gear – Example

100 vessels in a Sector

60 trawl 30 gillnet 10 hook Within each gear group, as a vessel hails trip start,

determine whether or not the trip is selected for DSM… For every other trip, generate a random binary number

(0 or 1) in Excel [“=RANDBETWEEN(0,1)” with 1: DSM, 0: waived] or flip a coin (heads: DSM, tails: waived).

Whatever that trip gets, the next trip gets the opposite. (Start over with third vessel, fifth vessel, etc.)

Track in a spreadsheet; notify vessels after hail trip end.

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MS Excel Example – 50%:

To use RANDBETWEEN to generate a random number but prevent the numbers from changing every time the worksheet is calculated, enter =RANDBETWEEN(0,1) in the formula bar, and then press F9 to change the formula to a firm number.

Trawl Gear    

vessel permit date DSM (0 = no, 1 = yes)

123456 5/2/2010 1

234567 5/2/2010 0

345678 5/2/2010 0

456789 5/3/2010 1

567891 5/3/2010 0

123456 5/3/2010 1

234567 5/3/2010 0

345678 5/3/2010 1

678912 5/3/2010 1

123456 5/4/2010 0

234567 5/4/2010 0

345678 5/4/2010 1

456789 5/4/2010 0

567891 5/4/2010 1

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20% Random Vessel Selection, Stratified by Gear – Example

100 vessels in a Sector

60 trawl 30 gillnet 10 hook Within each gear group, as five vessels hail trip start: Generate a random number between 1 and 5 in Excel

“=RANDBETWEEN(0,5)” for the first vessel, and fill in the other numbers following that (e.g. 3, 4, 5, 1, 2) with vessel “5” getting DSM or

Prepare 5 slips of paper, one saying “DSM”, and blindly choose one as each of the five vessels hails.

Track in a spreadsheet; notify vessels after hail trip end.

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MS Excel Example – 20%:Trawl Gear    

vessel permit date DSM (5 = yes)

123456 5/2/2010 3

234567 5/2/2010 4

345678 5/2/2010 5

456789 5/3/2010 1

567891 5/3/2010 2

123456 5/3/2010 2

234567 5/3/2010 3

345678 5/3/2010 4

678912 5/3/2010 5

123456 5/4/2010 1

234567 5/4/2010 5

345678 5/4/2010 1

456789 5/4/2010 2

567891 5/4/2010 3

567891 5/5/2010 4

To use RANDBETWEEN to generate a random number but prevent the numbers from changing every time the worksheet is calculated, enter =RANDBETWEEN(1,5) in the formula bar, and then press F9 to change the formula to a firm number.

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Web-based random # generator:

• http://stattrek.com/Tables/Random.aspx