Transcript Document

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
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
FMSP Stock Assessment Guidelines
Two part set from project R8468:
I.
II.
How to manage a fishery – A simple guide to writing a fishery
management plan (the ‘Managers’ Guide’)
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.
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
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
Signed and ratified
2001
St Vincent and the Grenadines
Suriname
Trinidad and Tobago
UK (on behalf of overseas territories)
The ‘Managers Guide’ - Table of Contents
Preface, Introduction…
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
Phase I.
Annex 1. Glossary of terms
Annex 2. Links to useful internet sites
Annex 3. Example management plans for different goals and objectives.
Phases in the management planning process
Phase IV
Review
New
plan
How will you know
you are there?
Where do you want
to be?
Review
New
plan
Phase II
etc
Do
Plan
Do
Phase I
Where are you now?
Tim
e
Phase III
How are you going
to get there?
Phases and
stages in
developing a
management
plan
(Managers
Guide –
Table 1)
Phase
Stage
I. Preparation for
developing the
management plan
Where are you
Now?
1
Define
Define the fishery your management plan is for
2
Stakeholder analysis
Carry out a stakeholder analysis and decide how you are going to involve the stakeholders
3
Situation analysis
Carry out a situation analysis and list the problems faced by your fishery
4
Management approach
Decide on your management approach
5
Purpose
Agree the overall purpose of your plan
6
Goals
Decide on the biological, ecological, social and economic goals needed to achieve your purpose
7
Objectives
Define objectives for each goal
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
9
Management measures
Decide the management measures – in other words, the actions - you are going to take to achieve
the objectives
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
11
Resources
Decide what resources you will need to put your plan into action
12
Implementation
Make an action plan to implement your management plan
13
Monitoring
Monitor regularly how well your plan is achieving your objectives
14
Reviewing
Review your plan every few years
II. Developing the
management plan
Where do you want to
be?
III. Developing the
management plan
How are you going to
get there?
IV. Planning for
implementing,
monitoring and
reviewing the
management plan
How will you know you
are there?
14 - Reviewing
13 - Monitoring
12 - Implementation
11 - Resources
10 – Decision control rules
9 Management measures
8 – Management standards
7 - Objectives
6 - Goals
5 – Purpose
4 – Management approach
3 – Situation analysis
2 – Stakeholder analysis
1 – Define the fishery
Management
planning
as a
cyclic
process
Information that the fishery
managers need to provide
to fishery scientists
Phase
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
2
Stakeholder
Analysis
Information on the distribution of the fishers etc engaged in the
fishery
3
Situation
Analysis
Historical data on fishing effort and fish catch etc, showing fishery
trends.
4
Management
Approach
Pros and cons of alternative approaches to decision making,
allowing for uncertainty.
5
Purpose
6
Goals
7
Objectives
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
9
Management
measures
Strategic advice on the expected impact on the indicators of
alternative possible management measures, and alternative levels
of any control measures
Stakeholders to be consulted
Approach to precaution and
uncertainty
II
Objectives for each goal
Which management
Measures are seen as
socially, politically and
technically feasible for this
fishery
III
Approach to uncertainty and
degree of risk tolerance
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
11 Resources
What resources are needed for effective stock assessment
IV
12 Implement
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
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)
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
Summary of the management plan – the ‘why’ and the ‘how’
Purpose
Goals
Phase II
Phase III
Where do you want
to be?
How are you going to
get there?
Objectives
Management
Standards
Indicators
Management Measures
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
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’?
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
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.
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
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
Phase II. Developing the management plan –
Where do you want to be?
Stage 5.
Stage 6.
Stage 7.
Stage 8.
Overall purpose of your plan
What are your goals?
Developing your objectives
Setting management standards – indicators and
reference points
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’.
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
e.g.
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
Objectives
Management standards
Indicators
Reference
points
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…
e.g.
at all times above…
50% of its mean unexploited level
Prioritising the objectives
Goals
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
Objectives
Management
standards
Ma
Indicators
Ma
me
Reference
points
To maintain the ribbon fish stock
at all times above 50% of its
mean unexploited level
To maintain net income per fisher
at a level above the national
minimum desired income
To include as many of the existing
participants in the fishery as is
possible given the biological and
economic objectives above
Constraint
added here
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 ‘RP’s should be used in combination to express the
objectives in ways that can be measured in quantitative fisheries
assessments.
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
Catch
Catch
Fishing effort
Catch per
unit effort
(CPUE)
Stock size (biomass)
Long term (equilibrium)
relationships
between Catch, Effort and
Stock size Indicators
or
Stock size
(biomass)
(not directly related!)
Fishing effort
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. C=450mt)
Management advice is provided by comparing current
values of indicators with the reference points, e.g.:
e.g.
If Fnow > FMSY
If Fnow > F0.1
If Fnow < F2/3 MSY
‘Over-fishing’
Potential over-fishing
Assumed to be sustainable
Risk of alternative reference points
Maximum Catch at FMSY
Fcrash riskier
Point at which species
becomes extinct
Size of
Catch
Amount of Fishing
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
Limit RP - avoid
danger zone
below here
Indicator X
E.g. spawning stock size
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
Adding the Indicators and RPs to our example…
Goals
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
Objectives
Management standards
Man
Indicators
Reference points
Man
mea
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
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)
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
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
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
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%
e.g. 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
Decision control rules for setting level of fishing effort
– a simple ‘on-off’ example
FMSY
Fishing
mortality
rate to be
allowed
next year
If Bnow < BMSY,
no fishing
allowed next
year (danger
zone)
If Bnow > BMSY,
fishing
allowed at
rate of FMSY
next year
BMSY
Stock size this year
And a more precautionary ‘sliding scale’ example
If Blim < Bnow < Bpa, fishing
allowed next year at a rate
below Fpa, as set by the
sliding scale
Flim
Fpa
Fishing
mortality
rate to be
allowed
next year
If Bnow < Blim,
no fishing
allowed next
year (danger
zone)
If Bnow > Bpa,
fishing
allowed at
rate of Fpa
next year
Blim
Bpa
Stock size this year
Allowing for uncertainty and risk in the RPs
Low risk Bpa at ~90th
percentile of Blim distribution
Blim
Bpa
(BMSY)
(%ileBMSY)
… and for a higher risk threshold
Higher risk Bpa at ~75th
percentile of Blim distribution
Blim
Bpa
(BMSY) (%ileBMSY)
Completing our example Management Plan summary…
Goals
Biological
To maintain the ribbon
fish stock at or above
the levels necessary
to ensure its
continued productivity
Objectives
To maintain the ribbon
fish stock at all times
above 50% of its
mean unexploited
level
Management standards
Management measures
Indicators
Reference points
Management
measures
Decision
control rules
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.
If current stock
size, Bnow is
less than BMSY,
then set next
year’s catch or
effort to zero.
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 BMSY
(i.e. fMSY) and allow at
least the minimum
desired income per
fisher
In combination
with: technical
measures, e.g.
gear controls,
allowing only
low powered
fishing vessels
thereby
employing large
numbers of
fishers.
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)
Stage 11. Finding the resources for the plan
• Budget :
• Staff :
• Facilities :
• Systems :
Have you got enough money?
Have you got enough staff – in the right
places and with the right skills and
qualifications?
Have you got the right technical resources
and equipment?
Have you got the right management
structure and systems in place?
Note you would need to have thought about this before now!
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
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 Manager’s Guide
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
The fishery situation
If things around you
change, then your plan
might also need to change
Goals
Your indicators (relative
to your reference points)
Now
Your inputs
How well are you achieving
your objectives?
Are you carrying out the
plan as intended?
Are they moving you
towards your goals?
Fpa
Monitoring
fishery
indicators
against limit
and
precautionary
reference
points
Note axes reversed
X-axis: fishing
Y-axis: stock size
1990
1991
TARGET ZONE
1992
OVERFISHING
1993
2000
1994
1999
Stock size (biomass)
The precautionary
plot used by ICES
(North Atlantic)
Flim
Bpa
BUFFER ZONE
1995
Blim
1998
OVERFISHED
Fishing mortality rate
1996
1997
HIGH RISK
ZONE
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
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
Annex 2. Example management plans
Example
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)
For more details see other guidebook (FAO Fish. Tech. Paper 487)
The management context
The legal regime
• Domestic laws
• International agreements
Fishery Policy
Define management intentions
• Policy goals and operational objectives (biological,
ecological, economic, social, other sectors)
Section 2.5.1
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
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
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