1. Promotion of the FMSP Fishery Management and Stock Assessment Guides Part 1. The ‘Managers Guide’ Presented at: CRFM 2 nd Annual Science Conference Trinidad and Tobago, March 2006 By Dan Hoggarth, Scales Consulting Ltd

2. Background Funding from Fisheries Management Science Programme (FMSP) of the UK Department for International Development (DFID) New guides developed by FMSP Project R8468 to develop capacity for the use of existing FMSP stock assessment tools and management guidelines – especially CEDA, LFDA, Yield and ParFish Developed as a collaboration between fisheries scientists (MRAG, Scales etc), educators (UK Field Studies Council, Indian Centre for Environmental Education), and with input from potential users in India and CRFM Guides build on discussions at 2005 CRFM Ad Hoc Methods ‘Communications’ WG, re ‘unpacking’ of management objectives Objective to develop a simple, clear process, promoting the adoption of a science-based framework for objectives-based management

3. FMSP Stock Assessment Guidelines Two part set from project R8468: I. How to manage a fishery – A simple guide to writing a fishery management plan (the ‘Managers’ Guide’) II. A guide to fisheries stock assessment using the FMSP tools More detailed technical guide from project R8360: FAO Fisheries Technical Paper 487.FAO Fisheries Technical Paper 487. Stock assessment for Fishery Management. A framework guide to the use of the FMSP stock assessment tools. Free downloads available as PDF files from FMSP website (www.fmsp.org.uk, on project R8468 page),from FMSP website (www.fmsp.org.uk, on project R8468 page),www.fmsp.org.uk and from FAO website, oneFish etc.and from FAO website, oneFish etc.

4. The new international legal regime 1992 Convention on Biological Diversity Chapter 17 of UNCED’s Agenda 21 1995 UN ‘Fish Stocks Agreement’ 1995 FAO Code of Conduct for Responsible Fisheries 2002 Johannesburg World Summit on Sustainable Development (WSSD) Require management planning, precautionary approach etc

5. Status of 1995 UN Fish Stocks Agreement (as at 16 Sep 2005) Antigua and Barbuda BahamasRatified1997 BarbadosRatified2000 Belize Signed and ratified 2005 Cuba Dominica Dominican Republic Guyana Haiti JamaicaSigned St Kitts and Nevis St Lucia Signed and ratified 1996 St Vincent and the Grenadines Suriname Trinidad and Tobago UK (on behalf of overseas territories) Signed and ratified 2001

6. The ‘Managers Guide’ - Table of Contents Preface, Introduction… Phase I.Preparing to write your management plan – Where are you now? Stages 1 – 4 Phase II. Developing the management plan – Where do you want to be? Stages 5 – 8 Phase III.Developing the management plan – How are you going to get there? Stages 9 – 11 Phase IV.Planning to implement, evaluate and review the management plan - How will you know you are there?Stage 12 – 14 Annex 1.Glossary of terms Annex 2. Links to useful internet sites Annex 3. Example management plans for different goals and objectives.

7. Phases in the management planning process

8. PhaseStage I. Preparation for developing the management plan Where are you Now? 1Define Define the fishery your management plan is for 2Stakeholder analysis Carry out a stakeholder analysis and decide how you are going to involve the stakeholders 3Situation analysis Carry out a situation analysis and list the problems faced by your fishery 4Management approach Decide on your management approach II. Developing the management plan Where do you want to be? 5Purpose Agree the overall purpose of your plan 6Goals Decide on the biological, ecological, social and economic goals needed to achieve your purpose 7Objectives Define objectives for each goal 8Management standards Agree the management standards – the reference points and indicators for each objective. In other words – what and how you are going to measure to show that you are achieving your objectives III. Developing the management plan How are you going to get there? 9Management measures Decide the management measures – in other words, the actions - you are going to take to achieve the objectives 10Control rules Agree a set of decision control rules stating which measures and which levels of measures will be applied depending on the status of the fishery 11Resources Decide what resources you will need to put your plan into action IV. Planning for implementing, monitoring and reviewing the management plan How will you know you are there? 12Implementation Make an action plan to implement your management plan 13Monitoring Monitor regularly how well your plan is achieving your objectives 14Reviewing Review your plan every few years Phases and stages in developing a management plan (Managers Guide – Table 1)

9. Manage- ment planning as a cyclic process

10. Required flows of information between managers and fishery scientists (Managers Guide Table 2) Information that the fishery managers need to provide to fishery scientists Ph- ase StageInformation required by managers from fisheries scientists Decision on what fishery the plan is for I1Define the fishery The unit stock for the target fishery based on the distribution of fish stocks and fishing activities Stakeholders to be consulted2Stakeholder Analysis Information on the distribution of the fishers etc engaged in the fishery 3Situation Analysis Historical data on fishing effort and fish catch etc, showing fishery trends. Approach to precaution and uncertainty 4Management Approach Pros and cons of alternative approaches to decision making, allowing for uncertainty. II5Purpose 6Goals 7Objectives Objectives for each goal8Management standards Suggest what indicators and reference points could be used as targets or limits to measure progress towards each objective – noting the feasibility and cost implications of any SA involved with each Which management Measures are seen as socially, politically and technically feasible for this fishery III9Management measures Strategic advice on the expected impact on the indicators of alternative possible management measures, and alternative levels of any control measures Approach to uncertainty and degree of risk tolerance 10Control RulesEstimates of uncertainty in the indicators and reference points, and suggested precautionary adjustments to reference points to allow for risk and uncertainty Resources available for monitoring 11ResourcesWhat resources are needed for effective stock assessment IV12Implement 13MonitoringTactical advice updating the estimate of the selected indicators – this is usually done each year – for comparison with the reference points and guiding management actions as agreed in the control rules 14ReviewingUp-dated stock assessment advice allowing for the latest data from the fishery and any changes in the goals and situation.

11. What is a management plan? In simple terms, a document that: Analyzes the current situation in a fishery;Analyzes the current situation in a fishery; Sets out some principles that should be followed in management;Sets out some principles that should be followed in management; Details goals and objectives for the fishery;Details goals and objectives for the fishery; Says how they are to be achieved; andSays how they are to be achieved; and Says how they are to be monitored.Says how they are to be monitored. To monitor progress, objectives must be expressed in quantitative terms To achieve sustainable fisheries, the plan must have a base in stock assessment

12. Summary of the management plan – the ‘why’ and the ‘how’ PurposeGoalsObjectivesManagement Standards Management Measures IndicatorsReference Points Management Measures Decision Control Rules Biological Ecological Social Economic How to quantify the goals and objectives How to achieve the goals and objectives Phase II Where do you want to be? Phase III How are you going to get there?

13. Phase I. Preparing to write your management plan – Where are you now? Stage 1. Define the fishery. What is the fishery you are writing the management plan for? Stage 2. Stakeholder analysis. How are you going to involve the stakeholders? Stage 3. What is your fishery like now? Situation analysis. Stage 4. What is your ‘management approach’?

14. Stage 1. Define the fishery Decide on: the species or type of fish;the species or type of fish; the area of water or seabed;the area of water or seabed; the seasonality of fishing;the seasonality of fishing; the method of fishing and class of boats; andthe method of fishing and class of boats; and the people involved in the fishery.the people involved in the fishery. And the level of ecological complexity: (a)Single species management (b)Multi species management (c)Ecosystem management

15. Stage 2. Stakeholder analysis Describe stakeholder numbers, and their importance and influence Decide approach for involving stakeholders in plan development (co-management). Effective participation is critically important. For guidance on stakeholder analyses, see Adaptive Learning Guidelines produced by FMSP Project R8292 (see www.adaptivelearning.info) and also in Tool 5 of the ParFish Guidelines. www.adaptivelearning.info

16. Stage 3. Situation analysis – What is your fishery like now? Consider each ‘dimension’ of the fishery: BiologicalBiological EcologicalEcological SocialSocial EconomicEconomic Governance and others?Governance and others? For each dimension, describe: the current situation and ‘how it works’;the current situation and ‘how it works’; how the situation is changing – the trends over timehow the situation is changing – the trends over time Identify current problems and key management questions E.g. using ‘Pressure-State-Response’ or SWOT frameworksE.g. using ‘Pressure-State-Response’ or SWOT frameworks

17. Stage 4. Management ‘approach’ Two possible approaches to dealing with uncertainty: The precautionary approach says ‘let’s be careful’. Now required by UN Fish Stocks Agreement. The adaptive approach uses planned experiments to reduce uncertainty by ‘learning from experience’. Both approaches can be used together Management plan should be proactive more than reactive

18. Phase II. Developing the management plan – Where do you want to be? Stage 5. Overall purpose of your plan Stage 6. What are your goals? Stage 7. Developing your objectives Stage 8. Setting management standards – indicators and reference points

19. Stage 5. Define the Purpose of the Plan A statement that summarises and combines all of the goals of the fishery into one single sentence. May be proactive, simply based on the stakeholder desires for the fishery, or also reactive if responding to some key perceived problems. Will usually emphasise ‘sustainable development’.

20. Stage 6. Setting the goals Define one or more goals for each dimension of the fishery – biological, ecological, social, economic etc In an ideal world, we would like to maximise each of these goals (or minimise in some cases, such as bycatch) GoalsObjec- tives Management standardsManagement measures IndicatorsReference points Management measures Decision control rules Biological To maintain the ribbon fish stock at or above the levels necessary to ensure its continued productivity Economic To maximise the net incomes of the participating fishers Social To maximize employment opportunities for those dependent on the fishery for their livelihoods e.g.

21. Stage 7. Setting the Objectives Objectives are used to clarify the goals in quantitative terms, and to define the priorities between them Should be ‘SMART’ and may follow the format: a verb – an indicator – a relation – and a reference point e.g. To maintain… the ribbon fish stock… at all times above… 50% of its mean unexploited level

22. Prioritising the objectives GoalsObjectivesManagement standards Management measures Indic- ators Reference points Management measures Decision control rules Biological To maintain the ribbon fish stock at or above the levels necessary to ensure its continued productivity To maintain the ribbon fish stock at all times above 50% of its mean unexploited level Economic To maximise the net incomes of the participating fishers To maintain net income per fisher at a level above the national minimum desired income Social To maximize employment opportunities for those dependent on the fishery for their livelihoods To include as many of the existing participants in the fishery as is possible given the biological and economic objectives above Constraint added here

23. Stage 8. Setting Management Standards – Indicators and Reference Points Use indicators and reference points to help define the objectives ‘Indicators’ show where you are at the moment, or where you might be in future‘Indicators’ show where you are at the moment, or where you might be in future ‘Reference Points’ show where you would like to be.‘Reference Points’ show where you would like to be. Indicators and ‘RP’s should be used in combination to express the objectives in ways that can be measured in quantitative fisheries assessments.

24. Indicators Key biological indicators fall into three categories: The catch of fish (C) The size of the fish stock (the ‘biomass’, B) The amount of fishing (the ‘pressure’ on the stock, F) In the short term, these are directly related to each other as ….. C = F x B

25. Catch Fishing effort Stock size (biomass) Catch Fishing effort Catch per unit effort (CPUE) or Stock size (biomass) Long term (equilibrium) relationships between Catch, Effort and Stock size Indicators (not directly related!)

26. Reference points Give the point to aim at (target) or to avoid (limit) for each indicator and objective Can estimate using stock assessment tools (e.g. F MSY, F 0.1 ) (or set as arbitrary, but agreed values, e.g. C=450mt) Management advice is provided by comparing current values of indicators with the reference points, e.g.: If F now > F MSY ‘Over-fishing’ If F now > F 0.1 Potential over-fishing If F now < F 2/3 MSY Assumed to be sustainable e.g.

27. Risk of alternative reference points Size of Catch Amount of Fishing Maximum Catch at F MSY F crash riskier Point at which species becomes extinct

28. Using reference points as targets or limits (defining the objectives and control rules) Target RP - aim here, slightly above or below both OK Indicator X Limit RP - avoid danger zone below here Indicator X E.g. Catch rate E.g. spawning stock size

29. And ‘precautionary’ reference points... LimitRP Indicator X Take action at the Precautionary RP to avoid the risk of getting to the Limit RP PrecautionaryRP

30. Precautionary reference points Such points were adopted in response to the UN Fish Stocks Agreement (see point 5 of Annex II), to help make sure that the Limit RPs are avoided. The distance by which the precautionary point is removed from the LRP is usually set according to: the uncertainty in the datathe uncertainty in the data and the risk tolerance of the manager (and/or other stakeholders)and the risk tolerance of the manager (and/or other stakeholders) (see later)

31. Reference points and Annex II of the UN Fish Stocks Agreement 1.Management strategies shall seek to maintain or restore populations of harvested stocks, and where necessary associated or dependent species, at levels consistent with previously agreed precautionary reference points. Such reference points shall be used to trigger pre- agreed conservation and management action. Management strategies shall include measures which can be implemented when precautionary reference points are approached. 2.Fishery management strategies shall ensure that the risk of exceeding limit reference points is very low. If a stock falls below a limit reference point or is at risk of falling below such a reference point, conservation and management action should be initiated to facilitate stock recovery. Fishery management strategies shall ensure that target reference points are not exceeded on average.

32. Adding the Indicators and RPs to our example… GoalsObjectivesManagement standardsManagement measures IndicatorsReference pointsManagement measures Decision control rules Biological To maintain the ribbon fish stock at or above the levels necessary to ensure its continued productivity To maintain the ribbon fish stock at all times above 50% of its mean unexploited level Current stock size, B now, as estimated by the Schaefer production model using X data and Y fitting method 50% of the carrying capacity, K, as estimated by the Schaefer production model (i.e. above B MSY ) using X data and Y fitting method Economic To maximise the net incomes of the participating fishers To maintain net income per fisher at a level above the national minimum desired income Net income per fisher measured using A data and economic model B The national minimum desired income (e.g. US$10/day) Social To maximize employment opportunities for those dependent on the fishery for their livelihoods To include as many of the existing participants in the fishery as is possible given the biological and economic objectives above Number of fishers employed in the priority fishing fleets Number of fishers that would maintain biomass above B MSY (i.e. f MSY ) and allow at least the minimum desired income per fisher

33. Phase III. Developing the management plan – How are you going to get there? Stage 9. Action – Management measures Stage 10. Decision control rules Stage 11. Finding the resources for your management plan

34. Stage 9. Management measures Input controls (fishing effort restrictions)Input controls (fishing effort restrictions) Output controls (catch limits)Output controls (catch limits) Technical measures (size limits, closed seasons, closed areas etc)Technical measures (size limits, closed seasons, closed areas etc) Input and output controls often vary between years, depending on the harvesting strategy and the state of the stock (as measured by the indicators) Technical measures control where, when and how fish are caught, and are usually fixed, or only updated every few years based on long-term assessments

35. Stage 10. Decision control rules Decision control rules define which measures or levels of controls will be used depending on the state of the fishery (as measured by the position of the indicators relative to the reference points). % of immature Management measures fish in the catch ------------------------------------------------------------------------------------------ 20% or less Management measure is working Up to 30% Introduce a mesh size limit of X cm 30 - 40% Increase the mesh size limit to X+5 cm More than 40% Introduce a closed area or closed season to protect the nursery grounds or the seasons in which juvenile fish are caught e.g.

36. B MSY Stock size this year F MSY If B now < B MSY, no fishing allowed next year (danger zone) Fishing mortality rate to be allowed next year If B now > B MSY, fishing allowed at rate of F MSY next year Decision control rules for setting level of fishing effort – a simple ‘on-off’ example

37. B lim B pa Stock size this year F lim F pa Fishing mortality rate to be allowed next year If B now > B pa, fishing allowed at rate of F pa next year If B now < B lim, no fishing allowed next year (danger zone) If B lim < B now < B pa, fishing allowed next year at a rate below F pa, as set by the sliding scale And a more precautionary ‘sliding scale’ example

38. Allowing for uncertainty and risk in the RPs B lim (B MSY ) B pa (%ileB MSY ) Low risk B pa at ~90 th percentile of B lim distribution

39. B lim (B MSY ) B pa (%ileB MSY ) Higher risk B pa at ~75 th percentile of B lim distribution … and for a higher risk threshold

40. Completing our example Management Plan summary… GoalsObjectivesManagement standardsManagement measures IndicatorsReference pointsManagement measures Decision control rules Biological To maintain the ribbon fish stock at or above the levels necessary to ensure its continued productivity To maintain the ribbon fish stock at all times above 50% of its mean unexploited level Current stock size, B now, as estimated by the Schaefer production model using X data and Y fitting method 50% of the carrying capacity, K, as estimated by the Schaefer production model (i.e. above B MSY ) using X data and Y fitting method Catch controls and/or effort controls, set at levels estimated by the production model that would maintain biomass above B MSY. In combination with: technical measures, e.g. gear controls, allowing only low powered fishing vessels thereby employing large numbers of fishers. If current stock size, B now is less than B MSY, then set next year’s catch or effort to zero. If B now is greater than B MSY, then set next years catch or effort to the level that should achieve the long term MSY. (See also alternative ‘sliding scale’ options below) Economic To maximise the net incomes of the participating fishers To maintain net income per fisher at a level above the national minimum desired income Net income per fisher measured using A data and economic model B The national minimum desired income (e.g. US$10/day) Social To maximize employment opportunities for those dependent on the fishery for their livelihoods To include as many of the existing participants in the fishery as is possible given the biological and economic objectives above Number of fishers employed in the priority fishing fleets Number of fishers that would maintain biomass above B MSY (i.e. f MSY ) and allow at least the minimum desired income per fisher

41. Stage 11. Finding the resources for the plan Budget : Have you got enough money? Budget : Have you got enough money? Staff : Have you got enough staff – in the right places and with the right skills and qualifications? Staff : Have you got enough staff – in the right places and with the right skills and qualifications? Facilities : Have you got the right technical resources and equipment? Facilities : Have you got the right technical resources and equipment? Systems : Have you got the right management structure and systems in place? Systems : Have you got the right management structure and systems in place? Note you would need to have thought about this before now!

42. Phase IV. Planning to implement, evaluate and review the management plan – How will you know you are there? Stage 12. Planning for implementation Stage 13. Planning to monitor your plan! Stage 14. Planning the review process

43. Stage 12. Implementation of the plan Publish the plan and consult with stakeholders (again) Develop detailed action plans with specific tasks: Who should do each taskWho should do each task When should it be done byWhen should it be done by Who should check it has been done, etcWho should check it has been done, etc See e.g. in Table 12 of Manager’s GuideSee e.g. in Table 12 of Manager’s Guide

44. Stage 13. Planning to monitor the plan! Monitoring the indicators provides feedback on the state of the fishery for management by ‘decision control rules’ (see next slide) Also monitoring other factors may help to explain the results observed

45. Monitoring fishery indicators against limit and precautionary reference points The precautionary plot used by ICES (North Atlantic) Note axes reversed X-axis: fishing Y-axis: stock size F pa F lim B pa B lim TARGET ZONE BUFFER ZONE OVERFISHED OVERFISHING HIGH RISK ZONE Fishing mortality rate Stock size (biomass) 1990 1991 1992 1993 1994 1998 1996 1997 1995 1999 2000

46. Stage 14. Reviewing the plan Monitor the fishery and adjust input/output controls or other management measures as required say every 1-2 years Review and update the plan say every 3-5 years, or when circumstances or policy priorities change

47. Annex 1. Glossary of terms used Adaptive management Capacity (Management) Carrying Capacity Decision control rules Ecosystem Management FMSPGoalsIndicator Input / output controls Limit reference point Livelihood Management measures Management plan Management standards Mortality rates Objectives Precautionary approach Precautionary reference point Prioritisation (of objectives) Reference point RiskStakeholder Stock Assessment (SA) Stock assessment tools (SA tools) Strategic stock assessments Tactical stock assessments Target reference point Technical reference points Uncertainty Unit stock

48. Annex 2. Example management plans Exam- ple Fishery First priority goal/s Secondary goal/s Assessment approach (see SA Guide) 1. Single species Biological (overall stock size) Economic and social Biomass dynamic (e.g. CEDA / ParFish) 2. Single species Biological (overall stock size) Economic and social Analytical (e.g. LFDA and Yield) 3. Single species Biological (spawning stock size) Economic and social Analytical (e.g. LFDA and Yield) 4.Multi-species Biological (target species) and ecological (by-catch species and habitat) Economic and social Analytical or biomass dynamic for target species. No model for ecological goals 5.Multi-species Biological and ecological Economic and social Analytical for both target and by-catch species. 6.Multi-species Biological and ecological Economic Analytical approach including economic sub-model. 7. Single species Biological (overall stock size) Fisher’s preferences Biomass dynamic (ParFish)

49. Management process Fishery Management Plan Define management standards For each operational objective: Conceptual reference points (target, limit, precautionary) Indicators Technical reference points Set management measures Decision control rules defined by reference points and harvesting strategy Management strategy, comprising one or more control measures (inputs; outputs; technical, ecological etc) Monitoring Control and Surveillance Sections 2.5.2 – 2.5.5 The management context The legal regime Domestic laws International agreements Management approach to uncertainty Precautionary or adaptive management? Or both? Management scope Single or multi-species? Ecosystem approach? Property rights Use rights? Control rights? Stakeholder roles in management State or community control? Co-management? Fishery scale Industrial or artisanal? Economically important? Management capacity Technical skills, staff, funds? Sections 1.1 and 2.1 – 2.4 Fishery Policy Define management intentions Policy goals and operational objectives (biological, ecological, economic, social, other sectors) Section 2.5.1 Stock assessment process Data/Inputs Intermediate parameters Indicators Reference points Management advice in terms of risk, allowing for uncertainty Chapters 3 and 4 and Parts 2 and 3 For more details see other guidebook (FAO Fish. Tech. Paper 487)