Marine Policy 50 (2014) 249–260

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Marine Policy

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Addressing environmental considerations for Marine Stewardship Council certification: A case study using lobsters

Lynda M. Bellchambers a,n, Bruce F. Phillips b, Mónica Pérez-Ramírez c, Enrique Lozano-Álvarez d, Kim Ley-Cooper b,e, Armando Vega-Velazquez f a Marine Ecology and Monitoring Section (MEMs), Western Australian Fisheries and Marine Research Laboratories, Department of Fisheries, Government of Western Australia,, PO Box 20, North Beach, WA 6920, Australia b Department of Environment and Agriculture, School of Science, Curtin University, GPO Box U1987, Perth, WA 6845, Australia c Department of Hydrobiology, Universidad Autónoma Metropolitana (UAM), Av. San Rafael Atlixco 186, Col. Vicentina, Mexico City 09340, Mexico d Unidad Académica de Sistemas Arrecifales (Puerto Morelos), Instituto de Ciencias del Mar y Limnología, Universidad Nacional Autónoma de México, PO Box 190. Cancun QR 77500, Mexico e Colectividad RAZONATURA A.C. Av. Cozumel esq. Calle 28, Condominios Magic Paradise, depto. B4, Col. Centro, Playa del Carmen, Quintana Roo 77710, Mexico f Instituto Nacional de la Pesca/Centro Regional de Investigación Pesquera-La Paz, Km # 1, Carretera a Pichilingue, La Paz, B. C. S., 23020, Mexico article info abstract

Article history: This paper uses the Western Australian rock lobster, the first fishery certified by MSC, as a case study to Received 20 February 2014 discuss some of the environmental issues encountered in MSC's Principle 2 and the strategies Received in revised form implemented to address them. Experience with the certification of Western Australian rock lobster 4 July 2014 has highlighted the importance of; comprehensive documentation of current and historical information, Accepted 5 July 2014 monitoring and research, a transparent process of risk identification and the value of an independent Available online 31 July 2014 advisory group to review risks and guide research directions.A comparison of other certified lobster Keywords: fisheries worldwide revealed that third party certification consistently identified specific environmental fi Third party certi cation issues, indicating that the strategies implemented to support the ongoing certification of the Western Lobster Australian rock lobster fishery may be relevant to other fisheries. Risk assessment & 2014 Elsevier Ltd. All rights reserved. Ecosystem impacts of fishing Marine Stewardship Council

1. Introduction Ecologically Sustainable Development (ESD) Commonwealth require- ments for export fisheries have meant that many fisheries have In recent years there has been concern over the sustain- incorporated ecological risk assessments into their management ability of global fish stocks [1–3] and the impact of fishing on the strategies for some time. However, in some cases the implementation marine environment [4,5]. While many fisheries around the world are of EBFM has meant a significant increase in the information required being fished and managed sustainably the increased profile of stock [14]. In other countries, such as Mexico sustainability principals have sustainability and the potential impacts of fishing practices on the been incorporated into legislation through a decree in “Ley de Pesca environment has led to an increased awareness of environmental y Acuacultura Sustentatable” or through the consideration of differ- issues by the general public and conservation groups [6–10]. ent sustainability initiatives such as the FAO International guidelines Coupled with the rise in public awareness is the progression for securing sustainable small scale fisheries [15]. However, the towards a more holistic approach to fisheries management in the practical implementation of these principles in many cases lags form of Ecosystem Based Fisheries Management (EBFM). EBFM behind the original intention of the guidelines or legislation. Regard- considers the cumulative impacts on the environment of all less, these processes have undoubtedly led to an unprecedented need fisheries-related activities operating in an area while also taking into and pressure to examine the sustainability of fishing practices, account social, economic and external factors (i.e. climate change and particularly in relation to habitats and ecosystems. Growing aware- other non-fishing related activities) [11–13].InAustralia,theEnvir- ness of sustainable fishing practices has led to an increase in onment Protection Biodiversity and Conservation (EPBC) Act and consumer demand for sustainably-sourced seafood products [16– 18] with a number of international retailers, such as Aldi, Carrefour, Tesco, Sainsbury's and Wal-Mart, and more recently Australian n Corresponding author. Tel.: þ61 08 9203 0175. retailers (Woolworths and Coles) selling and promoting eco- E-mail address: Lynda.Bellchambers@fish.wa.gov.au (L.M. Bellchambers). labelled seafood products. http://dx.doi.org/10.1016/j.marpol.2014.07.006 0308-597X/& 2014 Elsevier Ltd. All rights reserved. 250 L.M. Bellchambers et al. / Marine Policy 50 (2014) 249–260

This increased demand has led to the prevalence of third party subsequent certifications (Table 1). Some of the key Principle certification programs worldwide [6,7,9,19]. While there are a 2 issues in the certification of the Western Australian (WA) rock number of third party certification programs (e.g. Global Environ- lobster fishery and examples to illustrate the range of initiatives mental Facility – GEF, Friends of the Sea) one popular certification implemented to address these conditions are discussed below. programme worldwide is the Marine Stewardship Council (MSC) [18]. Established by World Wildlife Fund (WWF) and Unilever in 2.1. Risk assessment 1999, the MSC is now an independent international non-profit organisation that certifies ecologically sustainable fisheries to give One condition of the initial 2000 certification was to conduct a them an economic incentive to implement and maintain sustain- comprehensive and scientifically defensible risk assessment to able fishing practices [6] and [7]. Currently, the MSC has certified better quantify the risks of fishing on all species (including 221 fisheries and a further 98 are in the assessment process [20]. endangered, threatened and protected species), habitats and biotic The MSC certification process involves independent third-party communities (Table 1). This stemmed from the fact that at the assessments of a fishery based on evaluations made against three initial assessment there were few strategies in place in the fishery broad principles; P1 – assessment of target species, P2 – ecological to identify or assess the effects of fishing on the broader ecosystem and environmental impact of the fishery and P3 – governance and [27]. Therefore, during the first certification period, ecological risk management of the fishery. For a fishery to successfully obtain assessments (ERA) were conducted by International Risk Consul- MSC certification it must pass each of three principles individually, tant Environment (IRC) in 2001 [28] and Dr. Mark Burgman from i.e. scores cannot be averaged across the principles. Therefore, the University of Melbourne in 2005 [29]. The ERA process while fisheries targeting species with sustainability issues (P1) will adopted in the western rock lobster fishery is chaired by an clearly not obtain MSC certification, equally fisheries with sub- independent third party and includes all interested stakeholders stantial ecological or environmental impacts (P2) or inadequate in the workshop discussion of issues although the allocation of risk governance and management will also not be certified, regardless ratings is generally conducted by an expert technical panel (Fig. 1). of the status of the target species stocks. For many fisheries MSC The ERA adopted in Western Australia involves the examination of certification has meant additional scrutiny and review of existing the sources of potential risk (issue identification), the potential processes. However, assessment and management of targeted consequences (impacts) associated with each issue and the like- species (P1 and P3) has been the core role of management lihood (probability) of a particular level of consequence actually agencies, and in most cases, fisheries applying for MSC certifica- occurring [30]. This results in each identified issue being allocated tion have the knowledge or capacity to deal with any P1 and P3 a risk level that is used to determine the level of management issues that may arise during the process. The principle many response required. Issues with moderate or above risks require fisheries struggle to address is Principle 2, which states fishing additional management responses, which may include additional operations should allow for the maintenance of the structure, research [30]. productivity, function and diversity of the ecosystem (including Both the 2001 and 2005 ERAs identified a number of moderate habitat and associated dependent and ecologically related species) risks in the fishery associated with: endangered, threatened and on which the fishery depends. Assessment under Principle 2 encom- protected species, habitats and ecosystem function. The majority passes five different components; retained species (including non- of the risks identified were not new issues that industry and targeted retained and bait), bycatch species, endangered threa- managers were unaware of but were indicative of the level of tened and protected species (ETPs), habitats and ecosystems [23]. uncertainty due to paucity of data or an increased awareness These areas have not, in many cases, been the traditional focus of of previously detected issues. For example, the incidental mortality management agencies [17] and [22];therefore,addressingthe of a small, but poorly quantified, number of Australian sea lion criteria and associated conditions has required considerable pups (Neophoca cinerea) in lobster pots, as the pups attempted to ongoing research and assessment for a number of fisheries [21–23]. retrieve bait or rock lobsters from the pots, was a pre-existing This paper compares Principle 2 issues in the Western Aus- issue [31]. At the initial MSC assessment of the fishery, the annual tralian (WA) rock lobster (Panulirus cygnus) fishery, with Principle mortality of N. cinerea due to interactions with the fishery was 2 issues in other MSC certified lobster fisheries. While no two reported as being negligible [31,32] and very low relative to the fisheries are identical, there are a number of key areas for high mortality of pups during parental mating related interactions consideration when preparing for Principle 2 assessment of a [32]. However, Australian sea lion colonies, within the extent of fishery. This paper suggests that by rigorously addressing these the lobster fishery, are at the edge of their distribution, which areas, fisheries should be well prepared when entering the combined with the lack of data to accurately quantify the level of certification process, which may reduce the likelihood of onerous interaction with the fishery meant the issue was assigned a conditions on the fishery, minimise the time taken to complete the moderate risk in the 2001 ERA [27] and [28]. Following the 2001 certification process and thus reduce the expense associated with ERA a sea lion scientific reference group (SL SRG) was formed to the certification process. provide advice on the research and management required to assess the impacts of fishing and eliminate the capture of juvenile sea lions in pots. A sea lion exclusion device (SLED) was developed, 2. WA rock lobster: case study consisting of a metal bar placed through the neck of the pot and secured in position [33]. Video trials indicated that the device In 2000, the WA rock lobster fishery (P. cygnus) became the stops sea lion pups from entering lobster pots and drowning [34]. world's first fishery to receive MSC certification. However, the Therefore, SLEDs were made mandatory in 2006 for both com- assessment team identified a number of deficiencies in the fishery mercial and recreational rock lobster pots in waters less than 20 m under Principle 2, which formed the basis of the five conditions around the mid-west coast sea lion breeding colonies. After the placed on the fishery (Table 1). While the conditions on the fishery mandatory introduction of SLEDs into the central west coast area have changed since the initial certification, due to a combination during the 2006/07 seasons, the risk of sea lion interactions with of addressing original issues, newly identified risks and changes in pots was reduced from moderate to low in the 2007 ERA [35]. the assessment process, such as the introduction of the Fisheries While the western rock lobster fishery was successfully Assessment Methodology (FAM), a review of the conditions re-certified in 2006, the outputs of the 2005 ERA were considered illustrates that there are some core issues that have occurred at in the re-assessment process and resulted in additional Principle L.M. Bellchambers et al. / Marine Policy 50 (2014) 249–260 251

Table 1 Conditions placed on western rock lobster (Panulirus cygnus) fishery and each certification period. Data was obtained from MSC public certification documents listed in references.

Component 2000–2006a 2006–2011b 2012–2017c

Retained Speciesd Implement consistent reporting of retained species i.e. octopus, deep sea crabs Bycatch Speciese Implement reporting of bycatch Endangered Threatened Implement reporting of interactions Implement more detailed reporting and Protected (ETP) with ETP species of interactions with ETP species Species Environmental Management Strategy must include ETP species Implement and monitor effectiveness of Sea Lion Exclusion Devices (SLEDs) Implement bait band mitigation

Habitats Implement habitat mapping across the extent Provide information on extent of key of the fishery habitats and associated fishing effort Ecosystems Conduct an Ecological Risk Conduct Ecological Risk Assessment (ERA) Assessment (ERA) Implement an Environmental Implement an Environmental Management Strategy Management Strategy Form an Scientific Advisory Group to Incorporate Environmental Management advise on effects of fishing on the Strategy into management of the fishery ecosystem Increase participation of environmental Develop a strategic research plan for groups in consultation process assessing the ecosystem impacts of fishing

a [24]. b [25]. c [26]. d refers to non-target species that are retained by the fishery (including bait). e refers to non-target species that are not retained by the fishery.

Fig. 1. Integrated framework illustrating the process that has been implemented in the WA rock lobster fishery to address P2 issues.

2 conditions being placed on the fishery (Table 1). Subsequently, identified issues. For example, ERAs conducted in 2001 and 2005 ERAs have been conducted in 2007 and 2013, both of which ranked the risk to dusky whaler sharks (Carcharhinus obscurus)of resulted in reduced risk ratings for a number of previously entanglement in bait bands (plastic bands used to hold bait boxes 252 L.M. Bellchambers et al. / Marine Policy 50 (2014) 249–260 together that were often discarded at sea) as low [28] and [29]. MSC Fishery Assessment Methodology (FAM) and is updated However, during the 2007 ERA the risk was upgraded from low to annually prior to the surveillance audit. The P2 document, along moderate [35]. The revised risk was due to new research on dusky with the outputs from the ecological risk assessments, now forms whalers indicating a higher age of maturity and lower fecundity a critical component of the MSC assessment process for western than previously reported [36] which resulted in an additional rock lobster fishery. condition on the fishery late in the recertification process (Table 1). Due to gaps in the knowledge regarding the source of 2.3. Strategies to manage or mitigate risk bait bands and the scale and intensity of the interaction with dusky whalers, the most effective way to deal with the risk was to While the MSC process identifies inadequacies or areas for eliminate bait bands. Therefore, a state-wide ban on bait bands on improvement in the fishery being certified it is not prescriptive board all commercial vessels (not just lobster vessels) operating in about how to address any conditions. Therefore, an essential WA waters was implemented on 15 November 2011. As a result, component of ongoing MSC certification is identifying and imple- the ERA conducted in 2013 [37] ranked all identified risks in the menting appropriate strategies to manage or mitigate risk. All risks fishery as low due to recent research outputs, mitigation and identified as moderate or above by the ERA process have detailed management that have been implemented since the 2007 risk individual plans that outline strategies to reduce the risk. assessment process. This resulted in the condition relating to the For example, the potential ecological impact of lobster fishing interaction between dusky whalers and bait bands being removed in deep water (440 m deep) was identified as a moderate risk at from the fishery. the 2003 ERA [39]. Following the 2003 ERA an Ecological Effects of Fishing Scientific Reference Group (EcoSRG), comprised of national 2.2. Reporting and monitoring and international experts, was established to provide advice on research to determine the effects of WA rock lobster fishing on the An important aspect of the MSC certification process is ensur- ecosystem and habitats. The EcoSRG recognised that research ing that the assessment team, which is an experienced fishery needed to occur in a structured manner and devised a strategic expert group assessing the fishery, get a comprehensive under- plan to increase the understanding of deep water ecosystems standing of all aspects of the fishery [25]. Under the MSC including habitats [40–42]. Following the research plan an initial programme it is the responsibility of the fishery client or support- research project established the relationship between lobsters and ing organisations to provide the information required for assess- habitats using existing gradients however failed to adequately ment [25] and [27]. However, as WA rock lobster was the first quantify the potential impacts of fishing on the ecosystem [43]. fishery certified, there was no template or guidance regarding the Therefore, a deep water closed area was established to examine format of information considered adequate for the evolving MSC the impacts of lobster fishing using fished and unfished areas assessment process at that time. Similarly, industry, scientists and [39,42,44]. The value of the closed area and associated research managers had no prior experience with and a limited under- projects in increasing the understanding of deep water ecosystems standing of the requirements for certification [27]. At the initial was illustrated in the 2013 ERA where the risk of ecosystem assessment of the WA rock lobster fishery, the information for impacts due to the removal of lobster biomass to deep water assessment was presented to the certification team as a series of communities was assessed as low [37]. This was due primarily to both peer-reviewed and unpublished papers and reports. This the ERA technical panel having confidence that the research approach was not comprehensive and revealed a number of gaps outputs had increased the understanding of deep water ecosys- in the data available for assessment, particularly historical data of tems and established a scientifically-rigorous monitoring frame- which the client was not aware or which may have been collected work capable of detecting any changes in the risk to the ecosystem but not analysed or available in written form. For example, at the that may be attributed to fishing. time of the first assessment octopus by product in the WA rock Similarly, the potential impacts of pots on the main benthic lobster fishery had been incidentally recorded as part of the habitats (sand, limestone and granite) over which the fishery fishery-dependent monitoring programme, but it was not ana- operates were considered low at the 2001 and 2005 ERAs, while lysed nor made available to the assessors. the sensitive coral reefs at the Abrolhos Islands were ranked as a As the MSC operates on a precautionary approach, failure to moderate risk [28] and [29]. Although pots are generally consid- present all available information, in an acceptable form for assess- ered a low impact gear [45–47] it was recognised that quantitative ment, led to a number of conditions regarding formal monitoring data was required to evaluate the physical impacts of the fishery systems in the fishery and improved arrangements for recording on all habitats [26]. The need for quantitative data on habitat types data of bycatch and interactions with mammals, seabirds, manta and corresponding fishing effort resulted in a condition on the rays, dolphins, or whales being placed on the fishery (Table 1). This fishery at the 2006 recertification which has persisted (Table 1). process illustrated the importance of collating and analysing all Increasing the understanding of benthic habitats is a key compo- available data to address Principle 2 criteria (i.e. current and nent of the EcoSRG's strategic research plan. Since 2006, consider- historical) as the assessment team does not generally have the able effort has been focused on collating existing habitat data [38] resources to conduct their own data analysis [27]. and collecting additional habitat data for areas over which the Since the 2006 re-assessment a number of formal reporting fishery operates [43,44,48,49]. In recognition of the progress that and monitoring systems have been implemented. In addition, has been made, and the strategies put in place, the potential data for MSC assessment process has been presented in a more impacts of pots to all benthic habitats were assessed as either low structured format. A key component in this improved process was or negligible at the 2013 ERA. The final component of the strategy the development of a comprehensive P2 summary document for is to overlay key habitats with associated fishing effort and the 2012 re-assessment. The document provides a synthesis of all implement a monitoring programme which is due to be completed research relevant to Principle 2, including summaries of historical at the 2014 surveillance audit of the fishery [37]. peer-reviewed and unpublished papers and reports, analysis of In addition, over the last ten years, a framework has been historical datasets (such as bycatch and bait) and updates of developed that integrates the various components that provide current and ongoing research (see [38]). In addition, information research and advice to address conditions associated with the on all risks highlighted as moderate or above in the risk assess- effects of fishing on the ecosystem, including habitats, which has ment process is presented. The document structure follows the been instrumental in ensuring the on-going MSC certification of L.M. Bellchambers et al. / Marine Policy 50 (2014) 249–260 253 the fishery (Fig. 1). The advisory group (EcoSRG), strategic research fish), and swell sharks [47,56,58]. However, the most ecologically plan, P2 document and regular ERAs have been key components of significant bycatch in the fishery are cormorants (8% of the bycatch in this process. The EcoSRG meets annually and forms a critical some areas) [47] due to their vulnerability and role as top predator in component of the framework developed to ensure the continued theecosystem.Incontrast,bycatchintheEasternCanadalobster certification of the fishery by providing guidance through the fishery is low, but it is spread across a wide variety of fish and development and regular review of the strategic research plan and invertebrate species [50]. Similarly, bycatch in the in Iles-de-la- provision of expertise for ERAs (Fig. 1). Madeleine lobster fishery is also low [52]. However, a lack of regular bycatch monitoring or recording means there is insufficient data to detect potential changes in the risk. In all three fisheries there is a 3. Comparison with other lobster fisheries condition requiring monitoring of bycatch. At the 2006 recertification of the WA rock lobster fishery there was also a condition to Since the first certification of the WA rock lobster fishery in implement monitoring and reporting of bycatch. Quantifying bycatch 2000, seven other lobster fisheries have been MSC-certified: in this fishery is collected from catch disposal records and periodic Eastern Canada offshore lobster [50], Maine Lobster trap fishery on-board monitoring on commercial vessels which is analysed and [51] and Iles-de-la-Madeleine lobster fishery [52] (Homarus reported annually in the P2 document for assessment purposes. americanus), Normandy and Jersey lobster [53] (Homarus Several fisheries have conditions that require improving report- gammarus), Tristan da Cunha rock lobster [54] (Jasus tristani), ing of interactions with ETPs (i.e. Tristan da Cunha and Eastern Mexico Sian Ka'an and Banco Chinchorro Biosphere Reserves spiny Canada). While there were no records of ETPs caught in traps in lobster [55] (Panulirus argus) and Mexico Baja California red rock the Tristan da Cunha lobster fishery there were indirect effects of lobster [56,57] (Panulirus interruptus) (see Table 2) and a number bird strikes with fishing vessels [54]. Subsequently, the fishery has of others are in the process of assessment (e.g. and Juan Fernandez implemented a code of practice for seabird handling and has lobster fishery (Jasus frontalis)). While each fishery is individually minimised the risk of bird strikes occurring by not using flood assessed according to its particular circumstances and require- lights at night [54]. In the Eastern Canada offshore lobster fishery ments in line with the MSC Fisheries Assessment Methodology the risks of interactions with ETPs were considered low however (FAM) there are a number of similarities between the fisheries that there were no formal requirements to record and report on allow comparisons between the assessments. Despite differences interactions with ETPs [50].Inbothfisheries this led to a condition in the units of certification (i.e. species, location and gear; see to collect quantitative data and report on interactions with ETPs. Table 2) across the fisheries there are common areas in of Similarly, in the western rock lobster fishery while the risk of weakness in Principle 2 as illustrated by the conditions placed interactions with ETPs was low, due to lack of quantitative data on each fishery (Table 3). and reporting a condition was placed on the fishery. This condition Of the eight certified lobster fisheries, including WA rock has subsequently been addressed by the introduction of compul- lobster, all fisheries have at least one condition in Principle 2 sory reporting of interactions with ETPs via a catch disposal record (Table 3). The majority of the conditions are requirements for which is summarised annually and reported in the P2 document at improved reporting and monitoring or strategies to detect or annual surveillance audits. reduce risk. Two of the fisheries, Eastern Canada offshore lobster Six of the seven lobster fisheries examined, fish using pots or fishery and Normandy and Jersey lobster (Table 3), have conditions traps (Table 2) which are generally considered to be a low impact on monitoring and reporting of retained species (including by gear [45–47,58]. However, three fisheries, including WA rock product). For the Eastern Canada offshore lobster fishery, the lobster, have conditions on habitats (Tables 1 and 3), while the condition refers to quantifying the discards of adult and juvenile fishery for J. tristani has a condition under P3 to develop a research lobsters and the abundance of Jonah crab (Cancer borealis). Jonah plan that explicitly incorporates habitats. The conditions placed on crabs taken in this fishery are currently discarded due to low these fisheries were not due to a high risk of the fishing method market demand although they have been retained historically; causing irreversible harm to benthic habitats but rather a reflec- their abundance has declined since the 1990s and is currently at tion of the lack of quantitative data or monitoring programs to very low levels [50]. Information on Jonah crab abundance is substantiate the perceived low risk. Meanwhile, in the WA rock collected but has not been reported in the most recent assess- lobster fishery this condition has persisted since the 2006 recerti- ments [50]. In the Normandy and Jersey lobster fishery, catch and fication of the fishery and is currently the only P2 condition on the effort information on the velvet swimming crab (Necora puber), fishery. The condition is being addressed by a combination of which are caught in lobster gear and retained for sale, was strategies which are encompassed in a strategic research plan (see available but not analysed and provided for assessment [53]. This Section 2.3 for further details of strategies). led to concerns about the possible effects on crab stocks [18]. However, the Principle 2 component that most frequently Similarly, at the second certification of the WA rock lobster fishery results in conditions is the ecosystem effects of fishing, with five in 2006, information on the catch and effort of retained species, i.e. of the seven certified lobster fisheries (including WA rock lobster) octopus and deep sea crabs were available but not analysed and having conditions pertaining to this component (Tables 1 and 3). provided for assessment resulting in a condition on the fishery. In Even in fisheries where there are no P2 conditions, there is often a the WA rock lobster fishery, this condition has subsequently been condition in P3 (Governance) regarding a need for a research plan addressed by the introduction of compulsory reporting of all or strategy that explicitly includes understanding the ecosystem retained species via a catch disposal record, completed by all impacts of fishing (i.e. Mexico Baja California red rock lobster, Iles- commercial fishing vessels. The data from the catch disposal de-la-Madeleine and Tristan da Cunha) (Table 3). While this record is summarised and reported in the P2 document at the component had the highest number of conditions across certified annual surveillance audits. fisheries, in most cases it was due to a lack of information or Bycatch was also an issue for several fisheries (Mexico Baja uncertainty rather than direct evidence of detrimental impacts. California, Eastern Canada and Iles-de-la-Madeleine). In the Mexican Previous reviews have also found that the majority of certification P. interruptus case, modifications to the lobster traps to improve conditions require improvements in the management action catches have reduced bycatch levels [56]. However, bycatch in some rather than environmental outcomes [10]. In the case of the WA parts of the fishery is substantial, approximately 12% of the catch rock lobster fishery, conditions relating to the ecosystem effects of and consists mainly of crabs, octopus, finfish (kelp bass and rock fishing persisted through two certifications (2000–2012) and 254 Table 2 Summary of MSC certified lobster (spiny and clawed) fisheries worldwide. Data was obtained from MSC public certification documents at www.msc.org and listed in references

Panulirus cygnus Panulirus Panulirus argus Banco Chinchorro Sian Jasus tristani Homarus Homarus Homarus Homarus americanus interruptus Ka'an gammarus americanus americanus

Fishery West Coast Rock Mexico Baja Mexico Sian Ka'an and Banco Tristan da Cunha Normandy and Eastern Canada Îles de la Maine lobster trap fishery Lobster Managed California red rock Chinchorro Biosphere Reserves spiny rock lobster fishery Jersey lobster offshore lobster Madeleine lobster Fishery lobster fishery lobster fishery fishery fishery trap fishery

Certification 2000–2004 [24], 2004–2010 [56] 2012–2017 [55] 2011–2016 [54] 2011–2016 [53] 2010–2015 [50] 2013–2018 [52] 2013–2018 [51] Period 2006–2011 [25] and 2011–2016 and 2012–2017 [57] [26] Endemic to Distributed from Widespread throughout the Caribbean, Distributed around Distributed around Distributed along Distributed along Distributed along the Atlantic coast Species distribution Western Australia, Southern California also found in Florida and Brazil the South Atlantic the coast of the Atlantic coast the Atlantic coast of North America, mainly from distributed from (USA) south to the islands of Tristan Western Europe of North America, of North America, Labrador to New Jersey. Hamelin Bay to Baja California da Cunha, from Norway to mainly from mainly from North West Cape. Peninsula tip in Nightingale, North Africa, Labrador to New Labrador to New Mexico. Inaccessible, although it is most Jersey. Jersey. 249 (2014) 50 Policy Marine / al. et Bellchambers L.M. Gough Island and abundant around Vema Seamount. the coasts of the North Sea, the UK and northern France The fishery operates in Atlantic Area of certified Western Rock The fishery The Sian Ka'an and Banco Chinchorro The Tristan da The lobster fishery The fishery The fishery States Marine Fisheries Commission fishery Lobster Managed operates in Baja Biosphere Reserves Spiny Lobster Cunha fishery is in operates in the operates within operates within (ASMFC) Lobster Conservation Fishery in Western California, from Fishery is part of the south central stock central South Granville Bay the Canadian EEZ, the Canadian Management Area (LCMA) 1 Australia from Cedros Island in of the Yucatan Peninsula, located Atlantic islands of treaty area and in Lobster Fishing Lobster Fishing Area (LFA) 22. LFA Cape Leeuwin Baja California between Tulum (201 12’ N) and the Tristan da Cunha, associated Basse Area (LFA) 41, 22 is divided into (34˚24'S) in the (28.6˚N 115.5˚W) Mexican-Belize border. Nightingale, Normandie and extending from the two areas the south to North through Punta Inaccessible, and Jersey territorial International Court north (from Grosse West Cape Abreojos in Baja Gough Island waters by of Justice(ICJ ) or Iles to Millerand) (21˚44'S) in the California Sur commercial “Hague” line on and south (from north (26.6˚N 113.2˚W). fishermen from Georges Bank to Old Harry to the 2011 re- Basse Normandie the Laurentian –

Havre-Aubert) 260 certification (West and North Channel off Cape includes Isla Cotentin) and Breton and outside Guadalupe Jersey. of the offshore (29.03˚N 118.27˚W) boundary line Description of Fishery is managed The fishery is There are There are The fishery Fishery is a mixed Fishery is has Fishery has 325 Fishery has 6 150 licences (2010). fishery in 3 zones with a managed in two 3 cooperatives, 3 cooperatives, operates fishery targeting H. 8 licences all held licences with a Vessels are generally between 7– total of 283 boats zones with a total with a total of with a total of differently gammarus and by one company. maximum of 279 14 m and are operated by 1–2 and a maximum of of 10 cooperatives, approximately 120 approximately 130 between the island brown crab Two vessels traps per licence people. Lobster are caught in baited 29 000 baited each with exclusive fishers operating fishers. Area is of Tristan and the (Cancer pagurus). operate in the (2012). Traps pots generally made of plastic coated wooden traps. fishing areas with 46 boats. Hand divided into outer islands All vessels are fishery ranging in generally made of wire. Maximum of 800 pots per Catch is managed 266 boats and 17 collection, free approximately 184 (Inaccessible, licensed to fish for length from 27– wood and licence by a Total 843 baited wire diving, in natural individual Nightingale and lobsters but many 40 m. Fishery is hemicyndrical in Allowable traps. habitats using a exclusive access Gough). There is a are inactive or do managed with a shape. Traps are Commercial Catch net, snare or gaff parcels or campos. TAC for each island. not target lobster TAC of 720mt. baited and set in (TACC) There are Tristan: although they may Fishery fishes in lines of up to approximately 20 9 powerboats, do so. Vessels are depths between 7 traps per line 000 casitas in the using box traps generally less than 100–320 m using with a maximum fishery.Hand and hoop nets. ten metres. Two rectangular wire of 14 m between collection, free Fishers are types of pots are coated lobster traps and 102 m diving, using a net. permitted to use 11 used: (i) inkwell traps set in strings from the first to box traps and 28 pots and (ii) of 120–150 traps. the last trap. hoop nets per boat parlour pots. Pots Vessels are Other islands: are deployed in generally less than Monster traps strings of 12–50 15 m and have 2–4 deployed in strings pots Basse crew 9week spring up to 18 longlines Normandie – 50 fishery of 20 traps each vessels with a from a mother maximum of 1000 vessel or mother pots per vessel vessel deploys Jersey: 60–75 powerboats with vessels with a 60–70 traps per maximum of 1500 boat. pots per vessel.

Landings (MT 5500 1501 (average 60 100 435 282 720 3073 43 000 Whole weight) 2004–13) Octopus (Octopus No other retained No other retained Stone Crab Octopus vulgaris Brown crab Jonah crab, Cancer No other retained Jonah crab (C. borealis) and rock crab Retained speciestetricus), very species Some species No bait (Menippe and O. magnificus (Cancer pagurus), borealis can be species The main (C. irroratus) can be retained Bait is ..Blcabr ta./Mrn oiy5 21)249 (2014) 50 Policy Marine / al. et Bellchambers L.M. (includinga small landing of finfish bycatch kept mercenaria) for and two fish spider crab (Maja retained but was bait species is herring from fisheries managed bait) deep sea crabs for use as bait, domestic species: squinado) and not at the time of predominately under the Atlantic States Marine Majority of bait quantities consumption No Acantholatris velvet swimming assessment Bait is Atlantic mackerel Fisheries Commission. Quantities of purchased from unknown Some bait monodactylis and crab (Necora herring from (Scomber bait are known. managed fisheries, bait purchased Sebastes capensis puber). Velvet managed purse scombrus) from source, quantities locally but source Bait is hake heads swimming crab is seine fisheries in New-Jersey with and species known and quantity not from South African primarily retained SW Nova Scotia. small (o5%) and recorded known for whole hake fishery (MSC in Normandy. Bait Quantities of bait amounts of Prince fishery certified) is horse mackerel are known. Edward Island Management (Trachurus yellowtail flounder status of all trachurus) and (Limanda fisheries supplying Ballan wrasse ferruginea) and bait (except (Labrus bergylta) Newfoundland sardines) is which are herring (Clupea unknown byproduct of local harengus) trawler fleet while red gurnard –

(Aspitrigla cuculus) 260 and redfish (Sebastes spp.) are imported from overseas fisheries. b Minimal bycatch, Bycatch primarily No bycatch No bycatch Bycatch is Bycatch is minimal The most common 19 species of Low levels of bycatch, primarily 10 Bycatch all bycatch shellfish and primarily small dogfish and bycatch species are bycatch have been species of finfish Most abundant is returned to the finfish. Shellfish quantities of five brittlestars cusk (Brosme identified. The Longhorn sculpin water alive. released alive. finger occasionally caught brosme), Atlantic most common (Myoxocephalusoctodecimspinosus) Some finfish (Acantholatris and returned to the rock crab (Cancer bycatch species is (0.5% of total catch) Also very low bycatch kept for monodactylis) and water. irroratus), hake rock crab (Cancer catches of several particularly use as bait. Also soldier (or false (red Urophycis irroratus) followed vulnerable species; Atlantic cod cormorants caught jacopever; Sebastes chuss and white by sculpin. Other (Gadus morhua), white hake in traps. capenis). Urophycis tenuis), bycatch is (Urophycis tenuis) and cusk (Brosme Atlantic cod (Gadus considered brosme) morhua) and spiny negligible All dogfish (Squalus bycatch is returned acanthias). All to the water bycatch is returned

to the water 255 Table 2 (continued ) 256

Panulirus cygnus Panulirus Panulirus argus Banco Chinchorro Sian Jasus tristani Homarus Homarus Homarus Homarus americanus interruptus Ka'an gammarus americanus americanus

Endangered Reported Reported No reported No reported Reported Numerous ETPs in Numerous ETPs in A number of ETPs Reported interactions with: minke Threatened interactions with: interactions with: interactions interactions interactions with: area of fishery but area of fishery but in the area. whales, North Atlantic right whales, and Protected Dusky Whalers Guadalupe fur Fur seals no reported no reported Reported humpback whales, fin and sei (ETP) (Carcharhinus seals (Arctocephalus sp) interactions interactions interactions with whales, loggerhead turtles and Interactions obscurus) (Arctocephalus Range of seabirds Atlantic leatherback turtles Australian Sea townsendi) including albatross (Anarhichas lupus) Lions (Neophoca Leatherback turtles and petrels and northern cinerea) (Dermochelys (Anarhichas Humpback Whales coriacea) Grey denticulatus) (Megaptera whale (Escrichtius wolfish, novaeangliae) gibbosus) leatherback turtles Turtles (Dermochelys coriacea) and

unidentified whale 249 (2014) 50 Policy Marine / al. et Bellchambers L.M. spp. Whales spp. in the area include blue (Balaenoptera musculus), fin (Balaenoptera physalus), North Atlantic (Eubalaena Habitat is primarily Fishers may make Casitas are placed Volcanic rocky Dominant habitat Sediments in the glacialisHabitat) in whales. main No studies on structure and function low relief sand and physical contact on many types of substratum, is rocky reefs, The fishery areas are lobster fishing of habitat. Some benthic habitat Habitats Range of habitats cobble with Eisenia with hard benthic bottom including dominated by kelp dominant benthic generally gravel, areas and number mapping in nearshore areas. Fishing (coral to temperate kelp and gorgonian structures (i.e. seagrass (Thalassia and other species in these sand or mud or of pots are known. areas are primarily rocky and muddy limestone reefs) corals. The coral) while testudinum) beds. macroalgae. areas are seaweeds mixtures of these Fishing does not bottoms. Kelp and horse mussel beds and depths (10– majority of hard searching for and The direct impact Encrusting algae, (Fucus and kelp), sediments. Some occur on sensitive are characteristic of sub tidal areas. 200 m). Habitat substrate is retrieving lobster of casitas on the sponges, soft corals with some sponges rocky areas exist in habitats such as Footprint of the fishery is not well data is available for covered by from dens however habitat structure (sea fans) and and ascidians. Soft canyons at the coral or eelgrass understood. No monitoring of some areas of the coralline red algae. impact is in and function is anemones are bottom habitat is shelf break, and (Zostrea marina) footprint of fishery or habitats fishery. Some

Studies have relatively small unknown. There is abundant in generally boulders may be beds. Given limited – concerns over 260 shown traps have a isolated areas. substantial deeper water. No comprised of mixed with gravel. season and small potential impacts minimal impact on Fishing grounds knowledge habitat evidence of coarse mobile Nature and footprint of fishery on sensitive coral associated habitats are relatively well types. There is no damage by traps. sand, seagrass beds distribution of the impact of pots habitats of the Need to determine known. There is no monitoring Good are present in habitats on the on habitat is Abrolhos Islands the most impacted monitoring programme to understanding of more sheltered fishing grounds are thought to be and potentially programme to assess changes to habitat types in the areas. Habitat in relatively well negligible There vulnerable assess changes to risk to habitat area and traps are main lobster known.The general are no studies on habitats. risk to habitat set on hard fishing areas and distribution of habitat impacts of substrata to restrict number of pots are bottom sediments this fishery or habitat damage. known There are has been well monitoring no studies on mapped, although habitat impacts of local detail may be this fishery or sparse. Many of the monitoring areas fished are high energy areas with large natural sediment movements. Areas of known coral areas are closed. Number of pots for area is low but cumulative impacts of traps has not been assessed There is no habitat monitoring in place

Ecosystems The main functions Quantitative Limited or no Limited or no Limited or no Information is Impacts on Information is Lobster does not play a key role in of the components modelling suggests impact on other impact on other impact on other sufficient to give a ecosystem impacts sufficient to give a ecosystem. Low bycatch therefore in the ecosystem predation and retained non- retained non- retained non- broad of fishery are broad impacts are considered low. No are known and competition are target, bycatch and target, bycatch and target, bycatch and understanding of considered low but understanding of comprehensive description of Gulf of understood. driving forces. ETP species. The ETP species. The ETP species. the key elements there is no explicit the key elements Maine ecosystem but descriptions of However, this is Evidence that traps main functions of main functions of Adequate of the ecosystem ecosystem plan of the ecosystem invertebrate, demersal fish and primarily for have a minimal the target species the target species information to Ecology and the interactions of the Ecology and the inshore benthic communities. fi

shallow water impact Cormorants within the within the broadly trophic shery and the trophic Impacts on ecosystem impacts of 249 (2014) 50 Policy Marine / al. et Bellchambers L.M. ecosystems. are considered a ecosystem are ecosystem are understand the key relationships are wider ecosystem relationships are fishery are considered low but there Insufficient main bycatch generally known. generally known. elements of the fairly well have not been fairly well is no explicit ecosystem plan information on species due to their There is no The impact of ecosystem. there is understood There specifically understood There interactions of the fishery and the spatial distribution role as top monitoring casitas on habitat no explicit is no explicit investigated is no explicit wider ecosystem have not been of habitats to predators in the programme to and ecosystem are ecosystem plan, ecosystem plan ecosystem plan specifically investigated determine impacts ecosystem. There is assess changes to unknown. There is and the ecosystem interactions of the interactions of the especially the no formal or risk to ecosystem no monitoring is not fully fishery and the fishery and the deeper water comprehensive programme to understood as it wider ecosystem wider ecosystem ecosystem There is strategy for assess changes to relates to the have not been have not been a strategy for protection of risk to ecosystem fishery specifically specifically examining ecosystem function investigated investigated ecosystem impacts a Refers to species non-target species that are retained by the fishery. b refers to non-target species that are not retained by the fishery. – 260 257 258 L.M. Bellchambers et al. / Marine Policy 50 (2014) 249–260

Table 3 Summary of conditions placed on lobster fisheries at each certification period. Information from public certification reports available on MSC website (www.msc.org). Note: blank cells represent criteria where there were no conditions, for fisheries assessed prior to 2011 conditions were matched to the criteria in MSC Fisheries Assessment Methodology 2.2.

Component Panulirus. Panulirus Panulirus argus Jasus tristani Homarus Homarus Homarus Homarus interruptus interruptus gammarus americanus americanus americanus

Fishery Mexico Baja Mexico Baja Sian Ka'an and Tristan da Cunha rock Normandy Eastern Canada Îles de la Maine Lobster California red California red rock Banco Chinchorro lobster and Jersey offshore lobster Madeleine trap fishery rock lobster lobster Biosphere lobster lobster trap Reserves spiny fishery lobster Certification 2004–2009 2011–16 2012–2017 2011–2016 2011–2016 2010–2015 2013–2018 2013–2018 Period Retained Regularly Quantitative data speciesb analyse and on Jonah crab review data abundance and on velvet discards of adult swimming and juvenile crab lobsters Bycatch Monitoring and Quantitative data Accurate and species c reporting of on bycatch sufficient data bycatch species on main bycatch Information on species to detect bait (species, increases in risk amount origin) Endangered Quantitative data on Processes in place Threa- interactions with ETP to record and tened and species i.e. seabirds report on Protected interactions Species (ETPs) Habitats Monitoring Strategy to programme to ensure fishery detect increases does not pose a in risk to habitat risk of serious or structure and irreversible harm function to habitat types Ecosystems Strategy for Information on the Monitoring Gap analysis and Strategies to Develop a understanding impact of the programme to Research plan for all detect and reduce research plan ecosystem fishery on detect increases aspects of fishery ecosystem for all aspects of impacts of ecosystem in risk to including target non impacts including P2a fishing components i.e. ecosystem target ETP, habitats and ETPs including Cormorant structure and ecosystema monitoringa bycatch. function

a indicates conditions in P3 (Governance) regarding research plans that explicitly incorporate P2 components (e.g. habitats, ecosystem). b refers to species non-target species that are retained by the fishery. c refers to non-target species that are not retained by the fishery. required a considerable amount of time and resources. These Firstly, it is essential that the fishery client, managers and conditions were addressed by using a combination of scientifically scientists have a sound understanding of the potential and ongoing defensible risk assessments [28,29,35,37] input from the indepen- risks in the fishery, as well as the type of data or strategies required dent advisory group, including producing a research plan [40–42] to address identified risks. The MSC certification process has high- and targeted research projects [43,44]. This approach resulted in lighted the importance of having a robust scientifically-defensible an increased understanding of the deep water ecosystem where expert based risk assessment in place early in the assessment or the commercial fishery operates, which decreased the uncertainty pre-assessment process. A risk assessment provides a transparent regarding the detrimental effects of fishing rather than answering framework for involving stakeholders in the identification of issues, the question per se (See Section 2.3 for further details). Similarly, some of which may be addressed prior to certification, thus [10] also found that the majority of conditions in P2 were resolved reducing the likelihood of onerous conditions. In addition, it allows by increasing the certainty that the effects of fishing are under- the efficient allocation of resources to future management and/or stood and management initiatives were implemented to detect monitoring according to risk [30]. The importance of regular changes in or minimise risk. reviews of identified risks, including stakeholder participation, to ensure changes in risks are identified and improved knowledge and research are accurately reflected in assessment process has been 4. Lessons learnt instrumental in addressing most of the P2 conditions initially placed on the WA rock lobster fishery. Experience with WA rock lobster assessments over the past Since 2000, the MSC assessment process has also evolved with 12þ years has highlighted a number of P2 issues. While no two the development of a fisheries assessment methodology (FAM) fisheries under assessment are the same, it appears that the issues containing performance indicators and explicit sub-criteria to experienced and strategies implemented to support the ongoing allow a comprehensive and objective review process [22]. How- certification of the WA rock lobster fishery may be more widely ever, despite attempts to make the assessment process more applicable to fisheries at various stages of certification. objective and equal across fisheries, a lack of understanding of L.M. Bellchambers et al. / Marine Policy 50 (2014) 249–260 259 the process and requirements by the fishery client, managers and team that the fishery has been considered in a broader scientists can lead to inaccurate assessments resulting in onerous context. conditions that require significant additional resources [17]. Strategic framework – Establish a framework whereby the A fishery or client is expected to provide all relevant evidence components inform each other in a transparent and struc- and documentation to the assessment team, as in general, the tured fashion. Fisheries are not static but change with tech- assessment team are not resourced to conduct their own extensive nological advances, market demands and management research or data analysis on the fishery under assessment [27]. changes. A defined framework provides a clear pathway for While the FAM contains performance indicators and explicit identifying and addressing changes in risk. criteria by which a fishery will be assessed, there are no specific guidelines regarding the format of supporting documentation to be provided by the client. However, experience with WA rock lobster assessments suggests that a single comprehensive docu- Acknowledgements ment that is closely aligned with the MSC performance indicators and criteria provides assessors with an accurate and comprehen- We thank colleagues and anonymous reviewers for their sive understanding of the fishery that reduces the likelihood of comments on the manuscript. gaps in the information available for assessment. 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