UNDERSTANDING FISHERIES MANAGEMENT: A Manual for understanding the Federal Fisheries Management Process, Including Analysis of the 1996 Sustainable Fisheries Act Second Edition Richard K. Wallace Kristen M. Fletcher Auburn University Mississippi-Alabama Marine Extension Sea Grant & Research Center Legal Program 4170 Commanders Drive 518 Law Center Mobile, AL 36615 University, MS 38677 [email protected] [email protected] A publication of Auburn University and the University of Mississippi, the Auburn University Marine Extension and Research Center, the Mississippi- Alabama Sea Grant Legal Program, and the Mississippi Law Research Institute pursuant to National Oceanic and Atmospheric Administration Award No. NA86RG0039. This is publication 00-005 of the Mississippi- Alabama Sea Grant Consortium. Design and layout by Waurene Roberson. Acknowledgments FIRST EDITION This work was funded by the National Oceanographic and Atmospheric Administration, Saltonstall-Kennedy Grant (NA37FD0079-01) and is partly a result of research sponsored by the Mississippi-Alabama Sea Grant Consortium and NOAA, Office of Sea Grant, Department of Commerce under Grant No. NA016R015-04. The views expressed herein are those of the authors and do not necessarily reflect the views of NOAA or any of its sub-agencies. This is journal paper 8-944861 of the Alabama Agriculture Experiment Station and publication of the Mississippi Alabama Sea Grant Consortium. We thank our reading committee (listed below) for their assistance and review of the manual and acknowl- edge the contributions of Karen Antrim Raine (NOAA) and Ken Roberts (Louisiana Sea Grant College Program). However, any errors or omissions are solely the responsibility of the authors. We also thank Karen Belcolore and Tracy Parker for their tireless efforts on the word processor. Mr. Jerald Horst Louisiana Cooperative Extension Service Mr. Ron Schmied NMFS Southeast Regional Office Mr. Bob Jones Southeastern Fisheries Association Mr. Doug Gregory Florida Sea Grant Extension Mr. Phillips Horn Clark Seafood Dr. Phil Goodyear, Fishery Biologist National Marine Fisheries Service Mr. James Morris Ms. Susan Shipman Georgia Department of Natural Resources Mr. Chris Nelson Bon Secour Fisheries, Inc. Mr. Robert K. Mahood, Executive Director South Atlantic Fishery Management Council Dr. Robert L. Shipp University of South Alabama i Acknowledgments SECOND EDITION This work was originally funded by the National Oceanographic and Atmospheric Administration, Saltonstall-Kennedy Grant (NA37FD0079-01) and is partly a result of research sponsored by the Mississippi-Alabama Sea Grant Consortium and NOAA, Office of Sea Grant, Department of Commerce under Grant No. NA016R015-04 and NA86RG0039, and the Mississippi Law Research Institute and University of Mississippi Law Center. The views expressed herein are those of the authors and do not necessarily reflect the views of NOAA or any of its subagencies. This is publication 00-005 of the Mississippi Alabama Sea Grant Consortium. We thank our reading committee (listed below) for the review of this manu- al. Many thanks are also due to Waurene Roberson for the design and layout. Dr. Richard McLaughlin University of Mississippi School of Law Mr. Jerald Horst Louisiana Cooperative Extension Service Mr. Rick Leard Gulf of Mexico Fishery Management Council Mr. Larry Simpson Gulf States Marine Fishery Commission ii Preface The first edition of Fisheries Management for Fishermen, published in 1994, was an effort to unlock the mysteries of fisheries management in light of the numerous changes in the late 1980s and early 1990s. In 1996, fisheries manage- ment underwent another significant change with the passage of the Sustainable Fisheries Act, a statute that amended the national fisheries statute, the Magnuson Fishery Conservation and Management Act. The 1996 Sustainable Fisheries Act added three new National Standards, amended bycatch provisions, and shifted attention from fisheries harvest to fisheries habitat with the inclusion of essential fish habitat provisions. Keeping in step with the 1996 amendments, the regulations and methods of managing fisheries has evolved, as well. These changes led to an update of the first edition with the current statutory and regulatory information while maintaining two fundamental purposes of the manual: to inform users of the scientific basis of regulation as well as the regulatory process and to encourage members of the fishing community to become an integral part of the regulatory process rather than an object of regulation. Like the first edition of Fisheries Management for Fishermen, the second edition, entitled Understanding Fisheries Management, focuses on federal marine fisheries management as mandated by the Magnuson Fishery Conservation and Management Act, commonly known as the Magnuson Act. Fishery biology principles and the need for public involvement, however, apply to fishery management at the state level as well. Many fisheries management documents are now available via the Internet. Internet sites are designated with a chain link . Because Internet site addresses change often, the addresses included in this issue may be incorrect years after the publication date. For updated web addresses, please visit the Fisheries Management page located on the Mississippi- Alabama Sea Grant Legal Program web page at http://www.olemiss.edu/orgs/masglp/ . The first edition used the term fisherman. This practice has fallen from favor in academic and some agency writings. The authors have dif- fering views on this practice and so fisherman was retained where it was used in the original edition and fisher was used in the new materi- al for this edition. iii Table of Contents Introduction . 1 WHOSE FISH ARE THEY, ANYHOW? . 1 Common Property Resources Government Management Part 1: Fisheries Management and Biology . 2 WHAT MAKES FISH AND SHELLFISH A RENEWABLE RESOURCE? . 2 Survival Surplus Production How Many Fish Can We Catch? More on Surplus Production Carrying Capacity Habitat Loss Ever-Changing Carrying Capacity Summary TIME OUT FOR A FEW DEFINITIONS . 4 Fish Stocks More Definitions Summary STOCK ASSESSMENT . 4 Some Basics A Stock Assessment Based on the Fishery (Catch and Effort) Summary of Catch and Effort Assessment Based on a Little Biology (Age at First Spawning) Summary of Age at First Spawning Information for a More Complete Assessment Best Available Data AGE, GROWTH, AND DEATH . 7 Aging Fish More Information From Age Structure Summary of Age Structure Mortality and Spawning Potential Ratio (SPR) Determining Mortality From Age Structure Spawning Potential Ratio Summary of Mortality and SPR iv VIRTUAL POPULATION ANALYSIS (VPA) . 12 OTHER KINDS OF OVERFISHING . 13 Summary of Other Kinds of Overfishing INDICES . 14 BYCATCH . 14 Bycatch and the Food Chain ALLOCATION . 15 Summary of Allocation ENDANGERED SPECIES AND FISHERIES MANAGEMENT . 16 SUMMARY OF PART ONE . 16 Part 2: The Regulatory Process . 16 INTRODUCTION . .16 THE MAGNUSON ACT . 16 The Regional Fishery Management Councils Council Members Committees and Panels Creation of a Fishery Management Plan Modifying a Plan Opportunities for Participation THE TEN NATIONAL STANDARDS . 22 Precautionary Approach Bycatch and Gear Restrictions Information ENFORCEMENT . .24 v CONGRESS AND FISHERIES MANAGEMENT . 25 Interstate Fishery Commissions Atlantic Coastal Fisheries Cooperative Management Act Summary of Congress and Fisheries Management LIMITED ENTRY (CONTROLLED ACCESS) . 26 License Limitations ITQ’s Fishermen and Limited Entry ESSENTIAL FISH HABITAT (EFH) . 28 The Regional Fishery Management Councils & EFH Including EFH in the FMPs Consultation and Recommendations for EFH EFH in State Waters Goals for EFH Management MARINE RESERVES . 30 SUMMARY OF PART 2 . 31 Appendices Appendix 1: Surplus Production . 32 Appendix 2: Definitions . 33 Appendix 3: Comparison of Annual Mortality Rates and Instantaneous Mortality Rates . 47 Appendix 4: Regional Fishery Management Councils . 48 Appendix 5: National Marine Fisheries Service Regional Offices . 49 Appendix 6: Interstate Fishery Commissions . 49 Index . 50 vi Introduction WHOSE FISH ARE THEY, ANYHOW? Many members of the fishing community, frustrated by unwanted regulation, wonder why gov- ernment officials have the right (or the nerve) to tell them how much fish they can catch, where and when they can catch it, and how they can catch it. The answer is found in something called “the tragedy of the commons.” Tragedy Common Property Resources of the Hundreds of years ago, community leaders observed that when a resource was owned by the commons people, no one took responsibility for maintaining the resource. Human nature being what it is, each person tended to use the resource to the maximum extent. There was little incentive to conserve or invest in the resource because others would then benefit without contributing to the welfare of the resource. In the case of common (public) grazing areas in England, grass soon disappeared as cit- izens put more and more sheep on the land held in common. Everyone lost as “the commons” became overgrazed and this became known as “the tragedy of the commons.” Fish are To prevent “the tragedy of the commons” most common property resources are held in trust common and managed for the people by state or federal government agencies. Fish living in public waters are property a common property resource. The government has the responsibility of managing the fish for the resource benefit of all citizens, even those