Promotion of the FMSP Fishery Management and Stock Assessment Guides

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

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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.
• 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),
• and from FAO website, oneFish etc.

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The new international legal regime

• 1992 Convention on Biological Diversity
• Chapter 17 of UNCEDs 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

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Status of 1995 UN Fish Stocks Agreement (as at 16
Sep 2005)
Antigua and Barbuda
Bahamas Ratified 1997
Barbados Ratified 2000
Belize Signed and ratified 2005
Cuba
Dominica
Dominican Republic
Guyana
Haiti
Jamaica Signed
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
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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.

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Phases in the management planning process
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Phases and stages in developing a management plan
(Managers Guide Table 1)
Phase Stage Stage
I. Preparation for developing the management plan Where are you Now? 1 Define Define the fishery your management plan is for
I. Preparation for developing the management plan Where are you Now? 2 Stakeholder analysis Carry out a stakeholder analysis and decide how you are going to involve the stakeholders
I. Preparation for developing the management plan Where are you Now? 3 Situation analysis Carry out a situation analysis and list the problems faced by your fishery
I. Preparation for developing the management plan Where are you Now? 4 Management approach Decide on your management approach
II. Developing the management plan Where do you want to be? 5 Purpose Agree the overall purpose of your plan
II. Developing the management plan Where do you want to be? 6 Goals Decide on the biological, ecological, social and economic goals needed to achieve your purpose
II. Developing the management plan Where do you want to be? 7 Objectives Define objectives for each goal
II. Developing the management plan Where do you want to be? 8 Management 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? 9 Management measures Decide the management measures in other words, the actions - you are going to take to achieve the objectives
III. Developing the management plan How are you going to get there? 10 Control 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
III. Developing the management plan How are you going to get there? 11 Resources 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? 12 Implementation Make an action plan to implement your management plan
IV. Planning for implementing, monitoring and reviewing the management plan How will you know you are there? 13 Monitoring Monitor regularly how well your plan is achieving your objectives
IV. Planning for implementing, monitoring and reviewing the management plan How will you know you are there? 14 Reviewing Review your plan every few years
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Manage-ment planning as a cyclic process
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Information that the fishery managers need to provide to fishery scientists Ph-ase Stage Stage Information required by managers from fisheries scientists
Decision on what fishery the plan is for I 1 Define the fishery The unit stock for the target fishery based on the distribution of fish stocks and fishing activities
Stakeholders to be consulted I 2 Stakeholder Analysis Information on the distribution of the fishers etc engaged in the fishery
I 3 Situation Analysis Historical data on fishing effort and fish catch etc, showing fishery trends.
Approach to precaution and uncertainty I 4 Management Approach Pros and cons of alternative approaches to decision making, allowing for uncertainty.
II 5 Purpose
II 6 Goals
II 7 Objectives
Objectives for each goal II 8 Management 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 III 9 Management 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 III 10 Control Rules Estimates 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 III 11 Resources What resources are needed for effective stock assessment
IV 12 Implement
IV 13 Monitoring Tactical 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
IV 14 Reviewing Up-dated stock assessment advice allowing for the latest data from the fishery and any changes in the goals and situation.

• Required flows of information between managers
  and fishery scientists
• (Managers Guide
• Table 2)

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What is a management plan?

• In simple terms, a document that
• Analyzes the current situation in a fishery
• Sets out some principles that should be followed
  in management
• Details goals and objectives for the fishery
• Says how they are to be achieved and
• 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

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Summary of the management plan the why and
the how
Phase III How are you going to get there?
Phase II Where do you want to be?
Purpose Goals Objectives Management Standards Management Standards Management Measures Management Measures
Purpose Goals Objectives Indicators Reference Points Management Measures Decision Control Rules
Biological
Ecological
Social
Economic
How to quantify the goals and objectives
How to achieve the goals and objectives
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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?

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Stage 1. Define the fishery

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

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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.

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Stage 3. Situation analysis What is your
fishery like now?

• Consider each dimension of the fishery
• Biological
• Ecological
• Social
• Economic
• Governance and others?
• For each dimension, describe
• the current situation and how it works
• how the situation is changing the trends over
  time
• Identify current problems and key management
  questions
• E.g. using Pressure-State-Response or SWOT
  frameworks

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Stage 4. Management approach

• Two possible approaches to dealing with
  uncertainty
• The precautionary approach says lets 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

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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

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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.

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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)

Goals Objec-tives Management standards Management standards Management measures Management measures
Goals Objec-tives Indicators 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
Economic To maximise the net incomes of the participating fishers
Social To maximize employment opportunities for those dependent on the fishery for their livelihoods
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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

To maintain the ribbon fish stock at all
times above 50 of its mean unexploited
level
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Prioritising the objectives
Goals Objectives Management standards Management standards Management measures Management measures
Goals Objectives 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
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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
• Reference Points show where you would like to
  be.
• Indicators and RPs should be used in
  combination to express the objectives in ways
  that can be measured in quantitative fisheries
  assessments.

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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

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Long term (equilibrium) relationships between
Catch, Effort and Stock size Indicators(not
directly related!)
Catch
Catch
Stock size (biomass)
Fishing effort
Catch per unit effort (CPUE) or Stock size
(biomass)
Fishing effort
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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.
  FMSY, F0.1) (or set as arbitrary, but agreed
  values, e.g. C450mt)
• Management advice is provided by comparing
  current values of indicators with the reference
  points, e.g.
• If Fnow gt FMSY Over-fishing
• If Fnow gt F0.1 Potential over-fishing
• If Fnow lt F2/3 MSY Assumed to be sustainable

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Risk of alternative reference points
Maximum Catch at FMSY
Fcrash riskier Point at which species becomes
extinct
Size of
Catch
Amount of Fishing
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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
E.g. Catch rate E.g. spawning stock size
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And precautionary reference points...
Limit RP
Precautionary RP
Take action at the Precautionary RP to avoid the
risk of getting to the Limit RP
Indicator X
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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 data
• and the risk tolerance of the manager (and/or
  other stakeholders)
• (see later)

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Reference points andAnnex 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.

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Adding the Indicators and RPs to our example
Goals Objectives Management standards Management standards Management measures Management measures
Goals Objectives Indicators 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 Current stock size, Bnow, 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 BMSY) 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. US10/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 BMSY (i.e. fMSY) and allow at least the minimum desired income per fisher
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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

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Stage 9. Management measures

• Input controls (fishing effort restrictions)
• Output controls (catch limits)
• 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

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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 X5
  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

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Decision control rules for setting level of
fishing effort a simple on-off example
FMSY
If Bnow lt BMSY, no fishing allowed next year
(danger zone)
Fishing mortality rate to be allowed next year
If Bnow gt BMSY, fishing allowed at rate of FMSY
next year
BMSY
Stock size this year
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And a more precautionary sliding scale example
If Blim lt Bnow lt Bpa, fishing allowed next year
at a rate below Fpa, as set by the sliding scale
Flim
Fpa
If Bnow gt Bpa, fishing allowed at rate of Fpa
next year
If Bnow lt Blim, no fishing allowed next year
(danger zone)
Fishing mortality rate to be allowed next year
Blim
Bpa
Stock size this year
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Allowing for uncertainty and risk in the RPs
Low risk Bpa at 90th percentile of Blim
distribution
Blim (BMSY)
Bpa (ileBMSY)
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and for a higher risk threshold
Higher risk Bpa at 75th percentile of Blim
distribution
Blim (BMSY)
Bpa (ileBMSY)
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Completing our example Management Plan summary
Goals Objectives Management standards Management standards Management measures Management measures
Goals Objectives Indicators 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 Current stock size, Bnow, 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 BMSY) 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 BMSY. 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, Bnow is less than BMSY, then set next years catch or effort to zero. If Bnow is greater than BMSY, 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. US10/day) Catch controls and/or effort controls, set at levels estimated by the production model that would maintain biomass above BMSY. 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, Bnow is less than BMSY, then set next years catch or effort to zero. If Bnow is greater than BMSY, then set next years catch or effort to the level that should achieve the long term MSY. (See also alternative sliding scale options below)
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 BMSY (i.e. fMSY) and allow at least the minimum desired income per fisher Catch controls and/or effort controls, set at levels estimated by the production model that would maintain biomass above BMSY. 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, Bnow is less than BMSY, then set next years catch or effort to zero. If Bnow is greater than BMSY, then set next years catch or effort to the level that should achieve the long term MSY. (See also alternative sliding scale options below)
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Stage 11. Finding the resources for the plan

• Budget Have you got enough money?
• 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?
• Systems Have you got the right management
  structure and systems in place?
• Note you would need to have thought about this
  before now!

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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

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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 task
• When should it be done by
• Who should check it has been done, etc
• See e.g. in Table 12 of Managers Guide

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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
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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

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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

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Annex 1. Glossary of terms used

• Adaptive management
• Capacity (Management)
• Carrying Capacity
• Decision control rules
• Ecosystem Management
• FMSP
• Goals
• Indicator
• 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
• Risk
• Stakeholder
• Stock Assessment (SA)
• Stock assessment tools (SA tools)
• Strategic stock assessments
• Tactical stock assessments
• Target reference point
• Technical reference points
• Uncertainty
• Unit stock

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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) Fishers preferences Biomass dynamic (ParFish)
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For more details see other guidebook (FAO Fish.
Tech. Paper 487)

• 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?

• Fishery Policy
• Define management intentions
• Policy goals and operational objectives
  (biological, ecological, economic, social, other
  sectors)
• Section 2.5.1

• 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