Managers Guide

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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
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.    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 (, 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
Dominican Republic
Jamaica                                  Signed
St Kitts and Nevis
St Lucia                                 Signed and ratified   1996
St Vincent and the Grenadines
Trinidad and Tobago
UK (on behalf of overseas territories)   Signed and ratified   2001
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.
Phases in the management planning process

      Phase IV                                      Review
                                             New                         Phase II
  How will you know                                          etc
   you are there?                                                    Where do you want
                              Review                                      to be?
                       New             Do

      Phase I                          Tim               Phase III
 Where are you now?                                  How are you going
                                                       to get there?
Phase                   Stage                                                                                                  Phases and
I. Preparation for      1       Define                                                                                         stages in
developing the                  Define the fishery your management plan is for
management plan                                                                                                                developing a
                        2       Stakeholder analysis
Where are you
                                Carry out a stakeholder analysis and decide how you are going to involve the stakeholders      management
                        3       Situation analysis
                                Carry out a situation analysis and list the problems faced by your fishery                     (Managers
                        4       Management approach                                                                            Guide –
                                Decide on your management approach
II. Developing the      5       Purpose
                                                                                                                               Table 1)
management plan                 Agree the overall purpose of your plan
Where do you want to
be?                     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

III. Developing the     9       Management measures
management plan                 Decide the management measures – in other words, the actions - you are going to take to achieve
How are you going to            the objectives
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
                        11      Resources
                                Decide what resources you will need to put your plan into action
IV. Planning for        12      Implementation
implementing,                   Make an action plan to implement your management plan
monitoring and
reviewing the           13      Monitoring
management plan                 Monitor regularly how well your plan is achieving your objectives
How will you know you   14      Reviewing
are there?                      Review your plan every few years
                                                             14 - Reviewing

                                                       13 - Monitoring

                                                   12 - Implementation        Manage-
                                              11 - Resources                    ment
                                          10 – Decision control rules
                                      9 Management measures
                                                                                as a
                                  8 – Management standards

                             7 - Objectives
                         6 - Goals                                            process
                  5 – Purpose

              4 – Management approach

         3 – Situation analysis

    2 – Stakeholder analysis

1 – Define the fishery
Information that the fishery    Ph-   Stage              Information required by managers from fisheries scientists
managers need to provide        ase
to fishery scientists
Decision on what fishery the    I     1   Define the     The unit stock for the target fishery based on the distribution of fish
plan is for                               fishery        stocks and fishing activities                                             Required
Stakeholders to be consulted          2   Stakeholder    Information on the distribution of the fishers etc engaged in the         flows of
                                          Analysis       fishery
                                      3   Situation      Historical data on fishing effort and fish catch etc, showing fishery
                                          Analysis       trends.
Approach to precaution and            4   Management     Pros and cons of alternative approaches to decision making,               managers
uncertainty                               Approach       allowing for uncertainty.                                                 and fishery
                                II    5   Purpose                                                                                  scientists
                                      6   Goals
                                      7   Objectives
Objectives for each goal              8   Management     Suggest what indicators and reference points could be used as
                                          standards      targets or limits to measure progress towards each objective –            Guide
                                                         noting the feasibility and cost implications of any SA involved with
                                                         each                                                                      Table 2)
Which management                III   9   Management     Strategic advice on the expected impact on the indicators of
Measures are seen as                      measures       alternative possible management measures, and alternative levels
socially, politically and                                of any control measures
technically feasible for this
Approach to uncertainty and           10 Control Rules   Estimates of uncertainty in the indicators and reference points, and
degree of risk tolerance                                 suggested precautionary adjustments to reference points to allow
                                                         for risk and uncertainty
Resources available for               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
                                      14 Reviewing       Up-dated stock assessment advice allowing for the latest data from
                                                         the fishery and any changes in the goals and situation.
            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

To achieve sustainable fisheries, the plan must have a base in stock
   Summary of the management plan – the ‘why’ and the ‘how’

                           Phase II                                      Phase III
                       Where do you want                            How are you going to
                            to be?                                      get there?

Purpose   Goals          Objectives   Management                 Management Measures
                                      Indicators   Reference     Management   Decision
                                                   Points        Measures     Control




                                               How to quantify                 How to
                                               the goals and                   achieve the
                                               objectives                      goals and
 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

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 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.   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
 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                                                      Objec-   Management standards
                  e.g.                                     tives    Indicators   Reference
To maintain the ribbon fish stock at or above the levels
necessary to ensure its continued productivity
To maximise the net incomes of the participating
To maximize employment opportunities for those
dependent on the fishery for their livelihoods
       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                          Objectives                           Management           Ma
                                                                    Indic-   Reference   Ma
                                                                    ators    points      me
To maintain the ribbon fish    To maintain the ribbon fish stock
stock at or above the levels   at all times above 50% of its
necessary to ensure its        mean unexploited level
continued productivity
To maximise the net incomes    To maintain net income per fisher
of the participating fishers   at a level above the national
                               minimum desired income
To maximize employment         To include as many of the existing
opportunities for those        participants in the fishery as is      Constraint
dependent on the fishery for   possible given the biological and      added here
their livelihoods              economic objectives above
   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

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           Stock size (biomass)

Catch per                                Long term (equilibrium)
unit effort                                  relationships
(CPUE)                                  between Catch, Effort and
  or                                      Stock size Indicators

Stock size                                  (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.:

       If Fnow > FMSY        ‘Over-fishing’
e.g.   If Fnow > F0.1        Potential over-fishing
       If Fnow < F2/3 MSY    Assumed to be sustainable
   Risk of alternative reference points

                Maximum Catch at FMSY

                                        Fcrash riskier
                                        Point at which species
                                        becomes extinct
Size of

          Amount of Fishing
Using reference points as targets or limits
(defining the objectives and control rules)

  Target RP - aim here,         Limit RP - avoid
        slightly above or              danger zone
        below both OK                  below here

  Indicator X                   Indicator X
  E.g. Catch rate           E.g. spawning stock size
   And ‘precautionary’ reference points...

                           Limit   Precautionary
                           RP      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                     Objectives                     Management standards                                   Man
                                                         Indicators                Reference points             Man
To maintain the ribbon    To maintain the ribbon         Current stock size,       50% of the carrying
fish stock at or above    fish stock at all times        Bnow, as estimated by     capacity, K, as estimated
the levels necessary to   above 50% of its mean          the Schaefer              by the Schaefer
ensure its continued      unexploited level              production model          production model (i.e.
productivity                                             using X data and Y        above BMSY) using X data
                                                         fitting method            and Y fitting method

To maximise the net       To maintain net income         Net income per fisher     The national minimum
incomes of the            per fisher at a level above    measured using A          desired income (e.g.
participating fishers     the national minimum           data and economic         US$10/day)
                          desired income                 model B
To maximize               To include as many of the      Number of fishers         Number of fishers that
employment                existing participants in the   employed in the           would maintain biomass
opportunities for those   fishery as is possible         priority fishing fleets   above BMSY (i.e. fMSY) and
dependent on the          given the biological and                                 allow at least the minimum
fishery for their         economic objectives                                      desired income per fisher
livelihoods               above
 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


   Fishing         If Bnow < BMSY,          If Bnow > BMSY,
   mortality       no fishing               fishing
   rate to be      allowed next             allowed at
   allowed         year (danger             rate of FMSY
   next year       zone)                    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


Fishing      If Bnow < Blim,                           If Bnow > Bpa,
mortality    no fishing                                fishing
rate to be   allowed next                              allowed at
allowed      year (danger                              rate of Fpa
next year    zone)                                     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                    Objectives                Management standards                        Management measures
                                                   Indicators       Reference points           Management         Decision
                                                                                               measures           control rules

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

                 The fishery situation
Also                If things around you
monitoring        change, then your plan
                 might also need to change                  Goals
                                                               Your indicators (relative
may help                  Now                                   to your reference points)

to explain                            Your inputs
                                                               How well are you achieving
                                                                   your objectives?
the results                      Are you carrying out the           Are they moving you
                                    plan as intended?               towards your goals?
Monitoring                                                               Fpa     Flim
indicators                                                        1991
against limit
                                                   TARGET ZONE            1992          OVERFISHING
precautionary                                                 2000
reference                                                                                1994

points                                                                                                Bpa
                                                    1999                                  1995
                                                               BUFFER ZONE
                     Stock size (biomass)

                                                           1998                     1996

The precautionary
plot used by ICES                                  OVERFISHED                            HIGH RISK
(North Atlantic)                                                                           ZONE

Note axes reversed
X-axis: fishing
Y-axis: stock size                           Fishing mortality rate
         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       Objectives
Capacity (Management)     Precautionary approach
Carrying Capacity         Precautionary reference point
Decision control rules    Prioritisation (of objectives)
Ecosystem Management      Reference point
FMSP                      Risk
Goals                     Stakeholder
Indicator                 Stock Assessment (SA)
Input / output controls   Stock assessment tools (SA tools)
Limit reference point     Strategic stock assessments
Livelihood                Tactical stock assessments
Management measures       Target reference point
Management plan           Technical reference points
Management standards      Uncertainty
Mortality rates           Unit stock
     Annex 2. Example management plans

Exam-   Fishery          First priority goal/s         Secondary     Assessment approach (see
ple                                                    goal/s        SA Guide)
1.      Single species   Biological (overall stock     Economic      Biomass dynamic (e.g. CEDA /
                         size)                         and social    ParFish)
2.      Single species   Biological (overall stock     Economic      Analytical (e.g. LFDA and Yield)
                         size)                         and social
3.      Single species   Biological (spawning          Economic      Analytical (e.g. LFDA and Yield)
                         stock size)                   and social
4.      Multi-species    Biological (target species)   Economic      Analytical or biomass dynamic
                         and ecological (by-catch      and social    for target species.
                         species and habitat)                        No model for ecological goals

5.      Multi-species    Biological and ecological     Economic      Analytical for both target and
                                                       and social    by-catch species.
6.      Multi-species    Biological and ecological     Economic      Analytical approach including
                                                                     economic sub-model.
7.      Single species   Biological (overall stock     Fisher’s      Biomass dynamic (ParFish)
                         size)                         preferences
For more details see other guidebook (FAO Fish. Tech. Paper 487)

    The management context                                     Fishery Policy

  The legal regime                    Define management intentions
  • Domestic laws                     • Policy goals and operational objectives (biological,
  • International agreements            ecological, economic, social, other sectors)
                                                                                        Section 2.5.1
  Management approach to
  • Precautionary or adaptive
    management? Or both?

  Management scope                        Management process
  • Single or multi-species?
  • Ecosystem approach?               Fishery Management Plan                           Stock assessment process

  Property rights                     Define management standards                                Data/Inputs
  • Use rights?                       For each operational objective:
  • Control rights?                   • Conceptual reference points                       Intermediate parameters
                                        (target, limit, precautionary)
  Stakeholder roles in                • Indicators
    management                        • Technical reference points                        Indicators     Reference
  • State or community control?                                                                           points
  • Co-management?                    Set management measures
                                      • Decision control rules defined by
  Fishery scale                         reference points and harvesting strategy            Management advice
  • Industrial or artisanal?          • Management strategy, comprising                        in terms of risk,
  • Economically important?             one or more control measures                       allowing for uncertainty
                                        (inputs; outputs; technical, ecological etc)
  Management capacity                                                                               Chapters 3 and 4
  • Technical skills, staff, funds?   Monitoring Control and Surveillance                           and Parts 2 and 3

       Sections 1.1 and 2.1 – 2.4     Sections 2.5.2 – 2.5.5

Description: Managers Guide document sample