Acoura Marine

Public Certification Report

US Maine haddock, pollock and redfish

MSC SUSTAINABLE FISHERIES CERTIFICATION

US Gulf of Maine and Georges Bank Haddock,

Pollock and Redfish Trawl

Public Certification Report May 2018

[Changes have been made since the Final Report in response to final technical oversight as detailed in Appendix 3]

Fisherman’s Wharf Gloucester LLC & Atlantic Trawlers Client: Fishing Inc.

Assessment Conducted By: Joseph DeAlteris PhD and Richard Allen MMA

On Behalf of Acoura

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Acoura Marine

Public Certification Report

US Maine haddock, pollock and redfish

CAB details Acoura

Address 6 Redheughs Rigg Edinburgh EH12 9DQ

Phone/Fax 0131 335 6662

Email [email protected]

Contact name(s) Billy Hynes

Client details Fisherman’s Wharf Atlantic Trawlers Gloucester LLC Fishing Inc .

Address 37 Rogers St. 2 Portland Fish Pier # Gloucester, MA 210, Portland, ME 01930 04101

Phone/Fax 978-281-7700 207-871-8050

Email [email protected] [email protected]

Contact name(s) Nicholas Giacalone James Odlin Marty Odlin

Assessment Team Leader, P1 Joseph DeAlteris PhD. Team and P2 Assessor

P3 Assessor Richard Allen MMA.

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Table of Contents Table of Figures 5 Table of Tables 8 Glossary 10 1 Executive Summary 13 2 Authorship and Peer Reviewers 14 2.1 Assessment Team ...... 14 2.1.1 Peer Reviewers ...... 15 2.2 RBF Training ...... 15 3 Description of the Fishery 16 3.1 Unit(s) of Assessment (UoA) and Scope of Certification Sought ...... 16 3.2 Final UoC(s) ...... 16 3.2.1 Total Allowable Catch (TAC) and Catch Data ...... 17 3.2.2 Scope ...... 19 3.2.3 Scope of Assessment in Relation to Introduced Species Based Fisheries (ISBF) .... 19 3.3 Overview of the fishery ...... 20 3.4 Principle One: Target species background ...... 23 3.4.1 Haddock, Gulf of Maine ...... 23 3.4.2 Haddock, Georges Bank ...... 31 3.4.3 Pollock, Gulf of Maine and Georges Bank ...... 40 3.4.4 Acadian redfish, Gulf of Maine and Georges Bank ...... 50 3.5 Principle Two: Ecosystem Background ...... 59 3.5.1 Primary and Secondary Species ...... 59 3.5.2 ETP species ...... 78 3.5.3 Habitat Impacts ...... 87 3.5.4 Ecosystem Considerations ...... 101 3.6 Principle Three: Management System Background ...... 103 3.6.1 Area of Operation and Relevant Jurisdictions ...... 103 3.6.2 National Fisheries Management ...... 103 3.6.3 Consultation, Roles & Responsibilities, and Decision Making Processes ...... 104 3.6.4 Fishery-Specific Management and Objectives ...... 106 3.6.5 History of the Fishery Management Plan ...... 109 3.6.6 Fisheries Regulations to Meet Objectives ...... 110 3.6.7 Access Rights ...... 112 3.6.8 Monitoring, Control and Surveillance ...... 112 3.6.9 Review and Audit of the Management Plan ...... 114

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4 Evaluation Procedure 118 4.1 Harmonised Fishery Assessment ...... 118 4.1.1 Harmonization Results ...... 120 4.2 Previous assessments ...... 129 4.3 Assessment Methodologies ...... 129 4.4 Evaluation Processes and Techniques ...... 129 4.4.1 Site Visits ...... 129 4.4.2 Consultations ...... 130 4.4.3 Evaluation Techniques ...... 131 5 Traceability 136 5.1 Eligibility Date ...... 136 5.2 Traceability within the Fishery ...... 136 5.3 Eligibility to Enter Further Chains of Custody ...... 139 5.4 Eligibility of Inseparable or Practicably Inseparable (IPI) stock(s) to Enter Further Chains of Custody ...... 140 6 Evaluation Results 140 6.1 Principle Level Scores ...... 140 6.2 Summary of PI Scores ...... 142 6.3 Summary of Conditions ...... 147 6.4 Determination, Formal Conclusion and Agreement ...... 147 References 148 Appendix 1 Scoring and Rationales 152 Appendix 1.1 Performance Indicator Scores and Rationale ...... 152 Evaluation Table for PI 1.1.1 – Stock status ...... 153 Evaluation Table for PI 1.2.1 – Harvest strategy ...... 162 Evaluation Table for PI 1.2.2 – Harvest control rules and tools ...... 168 Evaluation Table for PI 1.2.3 – Information and monitoring ...... 172 Evaluation Table for PI 1.2.4 – Assessment of stock status ...... 175 Evaluation Table for PI 2.1.1 – Primary species outcome ...... 181 Evaluation Table for PI 2.1.2 – Primary species management strategy ...... 195 Evaluation Table for PI 2.1.3 – Primary species information ...... 204 Evaluation Table for PI 2.2.1 – Secondary species outcome ...... 209 Evaluation Table for PI 2.2.2 – Secondary species management strategy ...... 212 Evaluation Table for PI 2.2.3 – Secondary species information ...... 217 Evaluation Table for PI 2.3.1 – ETP species outcome ...... 220 Evaluation Table for PI 2.3.2 – ETP species management strategy ...... 226 Evaluation Table for PI 2.3.3 – ETP species information ...... 231

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Evaluation Table for PI 2.4.1 – Habitats outcome...... 233 Evaluation Table for PI 2.4.2 – Habitats management strategy ...... 240 Evaluation Table for PI 2.4.3 – Habitats information ...... 243 Evaluation Table for PI 2.5.1 – Ecosystem outcome ...... 246 Evaluation Table for PI 2.5.2 – Ecosystem management strategy ...... 248 Evaluation Table for PI 2.5.3 – Ecosystem information ...... 250 Evaluation Table for PI 3.1.1 – Legal and/or customary framework ...... 253 Evaluation Table for PI 3.1.2 – Consultation, roles and responsibilities ...... 258 Evaluation Table for PI 3.1.3 – Long term objectives ...... 261 Evaluation Table for PI 3.2.1 - Fishery-specific objectives ...... 262 Evaluation Table for PI 3.2.2 – Decision-making processes ...... 267 Evaluation Table for PI 3.2.3 – Compliance and enforcement ...... 272 Evaluation Table for PI 3.2.4 – Monitoring and management performance evaluation ...... 275 Appendix 2 Peer Review Reports 277 Peer Reviewer A ...... 277 Peer Reviewer B ...... 291 Appendix 3 Stakeholder submissions 303 Responses to PCDR ...... 310 American Bird Conservancy ...... 310 MSC Technical Oversight ...... 321 Response to Final Report ...... 330 MSC Technical Oversight ...... 330 Appendix 4 Vessel List 333 Appendix 5 Surveillance Frequency 334

Table of Figures Figure 1 The haddock, Melanogrammus aeglefinus (from Goode 1884)...... 23 Figure 2 Total catch of Gulf of Maine haddock between 1977 and 2014 by fleet (commercial, recreational, or foreign) and disposition (landings and discards) ...... 26 Figure 3 Indices of biomass for the Gulf of Maine haddock between 1963 and 2015 for the Northeast Fisheries Science Center (NEFSC) spring and fall bottom trawl surveys...... 27 Figure 4 Trends in spawning stock biomass (SSB) of Gulf of Maine haddock between 1977 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold ( 1/2 SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. The approximate 90% lognormal confidence intervals are shown. The red dot indicates the rho-adjusted SSB values that would have resulted had a retrospective adjustment been made to either model...... 28

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Figure 5 Trends in the fully selected fishing mortality (F) of Gulf of Maine haddock between 1977 and 2014 from the current (solid line) and previous (dashed line) assess-ment and the corresponding FThreshold (FMSY proxy =0.468; horizontal dashed line) from the 2015 assessment model. The approximate 90% lognormal confidence intervals are shown. The red dot indicates the rho- adjusted F values that would have resulted had a retrospective adjustment been made to either model...... 29 Figure 6 Trends in Recruits (age 1) (000s) of Gulf of Maine haddock between 1977 and 2014 from the current (solid line) and previous (dashed line) assessment. The approximate 90% lognormal confidence intervals are shown...... 30 Figure 7 The haddock, Melanogrammus aeglefinus (from Goode 1884)...... 31 Figure 8 Total catch of Georges Bank haddock between 1931 and 2014 by fleet (US Commercial, Canadian, or foreign fleet) and disposition (landings and discards)...... 35 Figure 9 Indices of biomass (Mean kg/tow) for the Georges Bank haddock stock between 1963 and 2015 for the Northeast Fisheries Science Center (NEFSC) spring and fall bottom trawl surveys and the DFO winter bottom trawl survey. The approximate 90% lognormal confidence intervals are shown...... 36 Figure 10 Trends in spawning stock biomass of Georges Bank haddock between 1931 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The 90% bootstrap probability intervals are shown.37 Figure 11 Trends in the fully selected fishing mortality (FFull) of Georges Bank haddock between 1931 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding FThreshold (FMSY proxy =0.39; horizontal dashed line) based on the 2015 assessment. FFull was adjusted for a retrospective pattern and the adjustment is shown in red. The 90% bootstrap probability intervals are shown...... 38 Figure 12 Trends in Recruits (age 1) (000s) of Georges Bank haddock between 1931 and 2014 from the current (solid line) and previous (dashed line) assessment. The 90% bootstrap probability intervals are shown ...... 39 Figure 13 The pollock, Pollachius virens (from Goode 1884)...... 40 Figure 14 Total catch of pollock between 1970 and 2014 by fleet (commercial, Canadian, distant water fleet, and recreational) and disposition (landings and discards)...... 45 Figure 15 Indices of abundance for pollock from the Northeast Fisheries Science Center (NEFSC) spring (1970 to 2015) and fall (1970 to 2014) bottom trawl surveys. The approximate 90% lognormal confidence intervals are shown...... 46 Figure 16 Estimated trends in the spawning stock biomass of pollock between 1970 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (0.5 * SSBMSY proxy; horizontal dashed line) as well as SSBTarget (SSBMSY proxy; horizontal dotted line) based on the 2015 assessment models base (A) and at sel sensitivity (B). Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown...... 47

Figure 17 Estimated trends in age 5 to 7 average F (FAVG) of pollock between 1970 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding FThreshold (FMSY proxy; dashed line) based on the 2015 assessment models base (A) and at sel sensitivity (B). FAVG was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown...... 48

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Figure 18 Estimated trends in age 1 recruitment (000s) of pollock between 1970 and 2014 from the current (solid line) and previous (dashed line) assessment for the assessment models base (A) and at sel sensitivity (B). The approximate 90% lognormal confidence intervals are shown...... 49 Figure 19 The Acadian redfish, Sebastes fasciatus (from Goode 1884)...... 50 Figure 20 Total catch of Acadian redfish between 1913 and 2014 by fleet (commercial and other) and disposition (landings and discards)...... 54 Figure 21 Indices of abundance for Acadian redfish from the Northeast Fisheries Science Center (NEFSC) spring (1963 to 2015) and fall (1963 to 2014) bottom trawl surveys. The approximate 90% lognormal confidence intervals are shown...... 55 Figure 22 Trends in spawning stock biomass of Acadian redfish between 1913 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (0.5 * SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown...... 56 Figure 23 Trends in the fully selected fishing mortality (FFull) of Acadian redfish between 1913 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding FThreshold (FMSY proxy =0.038; horizontal dashed line) based on the 2015 assessment. FFull was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown...... 57 Figure 24 Trends in Recruits (age 1) (000s) of Acadian redfish between 1913 and 2014 from the current (solid line) and previous (dashed line) assessment. The approximate 90% lognormal confidence intervals are shown...... 58 Figure 25 2007-2011 total mean annual mortality of small cetaceans and pinnipeds by Category I and II Fisheries...... 83 Figure 26 Map of marine mammal bycatch in trawl gear in the New England region (excluding large whales) observed by traditional fishery observers and at sea monitors between 2007 and 2011...... 84 Figure 27 Sedimentary features of the Gulf of Maine. Data sources include US SEABED and SMAST video...... 88 Figure 28 Seven major benthic assemblages of the Gulf of Maine...... 90 Figure 29 Sedimentary features of Georges Bank ...... 93 Figure 30 SASI model estimate of seabed habitat vulnerability to adverse effects from demersal otter trawl gears (blue=low vulnerability, red=high vulnerability). Clusters of high vulnerability grids are outlined in red...... 95 Figure 31 Comparison of estimated realized adverse effects from the SASI model by gear type and calendar year. All values in km2...... 96 Figure 32 Large mesh demersal otter trawl effort 2008-2012. Yellow to brown shading shows average annual landings (live weight) by statistical area from the dealer tables. Black lines show start/end positions of hauls observed at sea...... 97 Figure 33 Large mesh multispecies separator trawl effort 2008 -2012. Yellow to brown shading shows average annual landings (live weight) by statistical area from the dealer tables. Colored circles show the locations of trips as reported on vessel trip reports, from January (blue) to December (red)...... 98

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Table of Tables Table 1 TAC and catch data for GOM haddock...... 17 Table 2 TAC and catch data for GB haddock ...... 18 Table 3. TAC and catch data for Pollock...... 18 Table 4. TAC and catch data for Acadian redfish ...... 19 Table 5 Catch and status table for Gulf of Maine haddock. All weights are in (mt) recruitment is in (000s) and FFull is the fully selected fishing mortality. Model results are from the 2014 updated ASAP assessment...... 25 Table 6 Comparison of reference points estimated in an earlier assessment and from the current operational assessment. The overfishing threshold is the FMSY proxy ( F40%). The biomass target, (SSBMSY proxy ) was based on long-term stochastic projections of fishing at the FMSY proxy . Median recruitment reflects the median estimated age-1 recruitment from 1977 - 2012. Intervals shown reflect the 5th and 95th percentiles...... 25 Table 7 Catch and status table for Georges Bank haddock. All weights are in (mt), recruitment is in (000s), and FFull is the average fishing mortality on ages 5 to 7. Model results are from the current updated VPA assessment. A rho adjustment was not applied to values in this Table...... 34 Table 8 Comparison of reference points estimated in an earlier assessment and from the 2014 assessment update. An F40% proxy was used for the over fishing threshold. The medians and 90% probability intervals are reported for MSY, SSBMSY, and RMSY, based on long-term stochastic projections with fishing mortality fixed at F40%...... 34

Table 9 Catch and status table for pollock. All weights are in (mt), recruitment is in (000s), and FAV G is the age 5 to 7 average F. Unadjusted SSB and F estimates are reported. Model results are from the current base model and at sel sensitivity model...... 44 Table 10 Comparison of biological reference points for pollock estimated in the 2014 assessment and from the base model and at sel sensitivity model. An FMSY proxy of F40% was used for the overfishing threshold, and was based on long-term stochastic projections. FMSY is reported as the age 5 to 7 average F. Recruits represent the median of the predicted recruits. Intervals shown are 5th and 95th percentiles...... 45

Table 11 Catch and status table for Acadian redfish. All weights are in (mt), and FFull is the fishing mortality on fully selected ages. Unadjusted SSB and F estimates are reported. Model results are from the current updated ASAP assessment...... 53 Table 12 Comparison of biological reference points for Acadian redfish estimated in the 2012 assessment and from the 2014 assessment update. An FMSY proxy of F50% was used for the overfishing threshold, and was based on long-term stochastic projections. Recruits represent the median of the predicted recruits from 1969 to the final assessment year. Intervals shown are 5th and 95th percentiles...... 53 Table 13 Catch composition of the observed hauls of the large mesh bottom trawl in the Gulf of Maine for years 2011-2015, including the number of hauls observed, total catch (lbs), total discards (lbs), and percent discards...... 70 Table 14 Catch composition of the large mesh bottom trawl in the Gulf of Maine for years 2011-2015, based on NMFS observer data (lbs), including identification of P1 (UoA), Primary or Secondary species, Main and Minor, and the status of the stock with regard to being overfished. The primary, main species are highlighted in yellow...... 72 Table 15 Catch composition of the observed hauls of the large mesh bottom trawl on the Georges Bank for years 2011-2015, including the number of hauls observed, total catch (lbs), total discards (lbs), and percent discards...... 74

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Table 16 Catch composition of the large mesh bottom trawl on the Georges Bank for years 2011- 2015, based on NMFS observer data, including identification of P1, Primary or Secondary species, Main and Minor species, and the status of the stock with regard to being overfished. The primary, main species are highlighted in yellow ...... 76 Table 17 Species Protected Under the Endangered Species Act and/or U.S. Marine Mammal Protection Act that May Occur in the Operation Area for the Northeast Multispecies Fishery. Note that the UoAs 1-4 are part of the Northeast Multispecies Fishery management unit, as UOAs 1-4 are managed under the NE Multispecies FMP...... 79 Table 18 Descriptions of the LOF Tier 2 Fishery Classification Categories (50 CFR 229.2) ...... 81 Table 19 Small cetacean and pinniped species observed seriously injured and/or killed by Category I, II, and III fisheries in the affected environment of the multispecies fishery. A (1) indicates those species driving the fisheries classification...... 82 Table 20 Fishing vessel boardings conducted by units from the First Coast Guard District with resulting violations and the observed compliance rate from October 2014 through December 2017. Compiled from periodic USCG briefings presented to the New England Fishery Management Council and accessed at: https://www.nefmc.org/council-meetings...... 114 Table 21 MSC fisheries considered for harmonization...... 119 Table 22 Principle 3 Alignment of Scores for Harmonization with the US Atlantic Spiny Dogfish Fishery...... 120 Table 23 Principle 3 Alignment of Scores for Harmonization with the US Atlantic Sea Scallop Fishery...... 122 Table 24 Principle 3 Alignment of Scores for Harmonization with the US Atlantic Surfclam and Ocean Quahog Fishery...... 122 Table 25 Principle 1 Alignment of Scores for Harmonization for GOM haddock between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery...... 123 Table 26 Principle 1 Alignment of Scores for Harmonization for GB haddock between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery...... 123 Table 27 Principle 1 Alignment of Scores for Harmonization for pollock between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery...... 124 Table 28 Principle 1 Alignment of Scores for Harmonization for redfish between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery...... 124 Table 29 Principles 2 and 3 scoring harmonization between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery...... 125 Table 30 Scoring elements ...... 132 Table 31 Traceability Factors within the Fishery ...... 138 Table 32 Final Principle Scores GOM Haddock ...... 140 Table 33 Final Principle Scores GB Haddock ...... 140 Table 34 Final Principle Scores Pollock ...... 140 Table 35. Final Principle Scores Acadian Redfish ...... 140 Table 36 Performance Indicator Level Scores for GOM Haddock...... 142 Table 37 Performance Indicator Level Scores for GB Haddock...... 144

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Table 38 Performance Indicator Level Scores for Pollock...... 145 Table 39 Performance Indicator Level Scores for Acadian redfish...... 146 Table 40 For reports using one of the default assessment trees: ...... 279

Glossary ABC Acceptable Biological Catch ACE Annual Catch Entitlements ACL Annual Catch Limit ALWTRP Atlantic Large Whale Take Reduction Plan AM Accountability Measure APA Administrative Procedures Act ASAP Age Structured Assessment Program ASMFC Atlantic States Marine Fisheries Commission B Biomass BMSY Biomass calculated for Maximum Sustainable Yield CAB Conformity Assessment Body CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora CAI Closed Area I CAII Closed Area II CC Cape Cod CPUE Catch per unit of effort DAM Dynamic Area Management DAS Days-at-sea DFO Department of Fisheries and Oceans (Canada) DMF Division of Marine Fisheries (Massachusetts) DMR Department of Marine Resources (Maine) DPWG Data Poor Working Group DSEIS Draft Supplemental Environmental Impact Statement EA Environmental Assessment EEZ Exclusive economic zone EFH Essential fish habitat EIS Environmental Impact Statement ESA Endangered Species Act ETP Endangered, Threatened or Protected species F Fishing mortality rate FAAS Flexible Area Action System FAO Food and Agriculture Organization of the United Nations FCM Fisheries Certification Methodology FEIS Final Environmental Impact Statement FG Fixed Gear FLIM Limit Reference Point for Fishing Mortality FMP Fishery management plan FREF Fishing Mortality reference Point FSCS Fisheries Scientific Computer System FW Framework FWG Fisherman’s Wharf Gloucester FY Fishing year GAMS General Algebraic Modelling System GARFO Greater Atlantic Regional Fisheries Office GARM Groundfish Assessment Review Meeting GB Georges Bank GIS Geographic Information System GOM Gulf of Maine GOMAC Gulf of Maine Advisory Committee GN Gillnet

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

GRT Gross registered tons/tonnage HAPC Habitat area of particular concern HL Handline HPTRP Harbor Porpoise Take Reduction Plan I/O Input/output IFMP Integrated Fisheries Management Plan IFQ individual fishing quota ITQ individual transferable quota IVR interactive voice response reporting system IWC International Whaling Commission Kg Kilogram, equivalent to approx 2.2 Lb. Lb. Pound LL Longline LMOT Large Mesh Otter Trawl LOA Letter of authorization LPUE Landings per unit of effort M Million (lbs.) MA Mid-Atlantic MAFAC Marine Fisheries Advisory Committee MAFMC Mid-Atlantic Fishery Management Council MARFIN Marine Fisheries Initiative MEY Maximum economic yield MG Mobile Gear MMC Multispecies Monitoring Committee MMPA Marine Mammal Protection Act MPA marine protected area MRFSS Marine Recreational Fishery Statistics Survey MSE Management Strategy Evaluation MSFCMA Magnuson-Stevens Fishery Conservation and Management Act MSMC Multispecies Monitoring Committee MSP Maximum Spawning Potential MSRA Magnusson-Stevens Reauthorization Act MSY maximum sustainable yield MSE management strategy evaluation NAA No Action Alternative NAFO North Atlantic Fisheries Organization NAPA National Academy of Public Administration NAS National Academy of Sciences NEMSFMP Northeast Multispecies Fisheries Management Plan NEFMC New England Fishery Management Council NEFSC Northeast Fisheries Science Center NEPA National Environmental Policy Act NERO Northeast Regional Office NFMA Northern Fishery Management Area (monkfish) NLCA Nantucket Lightship closed area nm nautical mile NMFS National Marine Fisheries Service NOAA National Oceanic and Atmospheric Administration NSTC Northern Shrimp Technical Committee NT net tonnage NWA Northwest Atlantic OBDBS Observer database system OFL Over-Fishing Level OLE Office for Law Enforcement (NMFS) OTB Otter Trawl, Bottom OY optimum yield P1, P2, P3 MSC's Guiding Principles PA Precautionary Approach PBR Potential Biological Removal

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

PDT Plan Development Team PI Performance Indicator PRA Paperwork Reduction Act PREE Preliminary Regulatory Economic Evaluation RAP Regional Advisory Process RFA Regulatory Flexibility Act RMA Regulated Mesh Area RPA Reasonable and Prudent Alternatives RV Research Vessel SA Statistical Area SAFE Stock Assessment and Fishery Evaluation SAP Special Access Program SARC Stock Assessment Review Committee SAW Stock Assessment Workshop SBNMS Stellwagen Bank National Marine Sanctuary SEIS Supplemental Environmental Impact Statement SFA Sustainable Fisheries Act SFMA Southern Fishery Management Area (monkfish) SIA Social Impact Assessment SNE southern New England SNE/MA southern New England-Mid-Atlantic SSB spawning stock biomass SSBMSY Spawning Stock Biomass for Maximum Sustainable Yield SSC Social Science Committee SSR Special Science Response t and mt metric ton TAC total allowable catch TED turtle excluder device TEWG Turtle Expert Working Group TMGC Transboundary Management Guidance Committee TMS ten minute square TRAC Transboundary Resources Assessment Committee TSB total stock biomass USCG United States Coast Guard USFWS United States Fish and Wildlife Service USR Upper Stock Reference Point VEC Valued Ecosystem Component VMS vessel monitoring system VPA virtual population analysis VTR vessel trip report WGOM Western Gulf of Maine WO weighout WWF World Wildlife Fund YPR yield per recruit

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

1 Executive Summary This report provides details of the MSC assessment process for the Gulf of Maine and Georges Bank Haddock, Pollock and Redfish fishery for Fisherman’s Wharf Gloucester LLC and Atlantic Trawlers Fishing Inc. The assessment process began on 16 May 2017 and was concluded in May 2018. A comprehensive programme of stakeholder consultations was carried out as part of this assessment, complemented by a full and thorough review of relevant literature and data sources. A rigorous assessment of the wide ranging MSC Principles and Criteria was undertaken by the assessment team and a detailed and fully referenced scoring rationale is provided in the assessment tree provided in Appendix 1 of this report. The Target Eligibility Date for this assessment is the Certification date. The assessment team for this fishery assessment comprised of Joseph DeAlteris, who acted as team leader and primary Principle 1 and 2 specialist and Richard Allen who was primarily responsible for evaluation of Principle 3. Paul MacIntyre was the traceability expert advisor. Client strengths The strengths of this fishery are the good science supporting the management of the fishery, the well- developed management system and extensive traceability measures. Client weaknesses The weakness of this fishery is the bycatch, especially with the standard large mesh trawl fishery, and potential benefits if reducing that bycatch. Determination On completion of the assessment and scoring process, the assessment team concluded that the fishery meets the requirements of certification. Rationale: There are a number of areas which reflect positively on the fishery: The U.S. fishery management system is robust and contains requirements that lead to the fulfilment of MSC principles. The science supporting management is strong and has provided the foundation for rebuilding and maintaining abundant stocks of haddock and redfish, which were previously overfished. The catch accountability and traceability system is extensive. Conditions & Recommendations No conditions are placed on the fishery. For interested readers, the report also provides background to the target species and fishery covered by the assessment, the wider impacts of the fishery and the management regime, supported by full details of the assessment team, a full list of references used and details of the stakeholder consultation process. Acoura Marine Ltd. confirm that this fishery is within scope.

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

2 Authorship and Peer Reviewers

2.1 Assessment Team All team members listed below have completed all requisite training and signed all relevant forms for assessment team membership on this fishery. Assessment team leader: Joseph DeAlteris Primarily responsible for assessment under Principles 1 & 2 Dr. DeAlteris retired from the University of Rhode Island (URI) in May of 2012, and was awarded Professor Emeritus status. In 30 years of service to URI he is taught course work, conducted research, and developed outreach programs in fisheries conservation engineering, fish population dynamics and quantitative ecology, and shellfish aquaculture. He mentored more than 40 graduate students completing MS and PhD degrees. He served on numerous government committees including the National Research Council. He authored more than 35 publications in peer-reviewed journals, and also authored and co-authored numerous books, manuals, non-referred articles, and technical reports in the fields of fisheries biology, stock assessment and fishing gear technology. Dr. DeAlteris has an international reputation as an expert in the field of stock assessment and fishing gear technology. He brings intimate knowledge of finfish and invertebrate fisheries and has considerable experience in MSC fishery evaluations. He has worked for several certifying bodies (CBs). Dr. DeAlteris has worked the full assessment of the Louisiana blue crab and Atlantic red crab fisheries, the Echebastar Indian Ocean tuna fishery, the re-assessment of British Columbia halibut fishery, and annual audits of Dungeness crab, red crab blue crab, Canadian haddock, Full Bay sea scallop and the shrimp fisheries. He has also conducted pre-assessments, and assessment peer reviews. He recently worked as a expert evaluator on the Global Seafood Sustainability Initiative (GSSI). Expert team member: Richard Allen Primarily responsible for assessment under Principle 3 Richard Allen has 45 years of experience as a commercial fisherman in a variety of fisheries, a representative of commercial fishermen, a fishery consultant, fishery conservationist, and as an active participant in the fishery management system. Allen holds an Associate in Science degree in Fisheries and Marine Technology, a Bachelor of Science degree in Natural Resource Development, a Master of Marine Affairs degree and has completed the course work for a Ph.D. in environmental sciences. Allen has provided fishery consulting services to clients in the fishing industry, government and non- governmental organizations. He was a member of the New England Fishery Management Council from 1986 through 1995 and was a commissioner on the Atlantic States Marine Fisheries Commission from 1986 through 1997. Allen is a former member of the US Department of Commerce National Sea Grant Review Panel and served one term as its chairman. He has also served as a member of the US Department of Commerce Marine Fisheries Advisory Committee. Allen has also been an active fishery journalist, writing for Commercial Fisheries News and National Fisherman. He also compiled and edited the 1983 Atlantic Fisherman’s Handbook. He was honored with a National Fisherman “Highliner Award” in 1984 and was the recipient of a Pew Fellowship in Marine Conservation in 1998. He used his fellowship to translate an obscure lobster egg-per-recruit model into a user-friendly bio-economic model. Most recently, Allen has developed bio-economic models for the primary Cape Verdean fisheries as a consultant to the West African Fisheries Development Project. Commercial Fisheries News recently published Allen’s “Searching for Tradition: a brief history of the New England groundfish fishery” as a 12-part series and as on online flip-book. Allen has served as an MSC assessment team member for the Atlantic Deep Sea Red Crab fishery, the Louisiana Blue Crab Fishery, and the US Atlantic Surfclam and Ocean Quahog fishery. He served

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish as a peer reviewer for the Australian West Coast Deep Sea Crab fishery and has served on assessment teams for multiple pre-assessments. He has completed MSC training and qualification for Principle 3 experts and for assessment team leaders. Expert advisor: Paul Macintyre Paul started working in the Aquaculture sector in 1975, managing salmon farms and processing factories for a large multi-national before transferring in 1990 to aquaculture audit and inspection. During the last 25 years Paul has carried out over 3,000 audits and inspections of aquaculture and fish processing operations across the UK salmon and trout industry and internationally in the cod, tilapia and shrimp aquaculture sectors. Paul's primary interest is salmonids however his role as Aquaculture Director with Acoura Marine has involved him in the development and trial audit of a number of new aquaculture and agricultural standards. Paul is a qualified Lead Assessor and approved to audit BRC, MSC / ASC Chain of Custody, GlobalGAP, Organic Aquaculture, Freedom Food, Label Rouge, Best Aquaculture Practices, ASC Salmon and Friend of the Sea. Paul also audits to UK and French retailer standards.

2.1.1 Peer Reviewers Peer reviewers used for this report were PR1 and PR2. A summary CV for each is available in the Assessment downloads section of the fishery’s entry on the MSC website. Justification to be added here as to why these particular peer reviewers were appointed - to be framed in terms of their specific areas of expertise relevant to this particular fishery and why they will be in a position to provide expert reviews to ensure the scores and rationales given by the assessment team have taken account of all the available information and can be scientifically justified.

2.2 RBF Training The team has been fully trained in the use of the MSC’s Risk Based Framework (RBF). RBF was not used for this fishery assessment.

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

3 Description of the Fishery

3.1 Unit(s) of Assessment (UoA) and Scope of Certification Sought Acoura Marine Ltd confirm that the fishery is within scope of the MSC certification sought following the assessment as defined below.

3.2 Final UoC(s) UoA 1

Species: HADDOCK (Melanogrammus aeglefinus) Stock NW Atlantic, Gulf of Maine Geographical area: Gulf of Maine Harvest method: Large mesh bottom otter trawl Client Group: Fisherman’s Wharf Gloucester LLC, Atlantic Trawlers Fishing Inc. Other Eligible Fishers: Other licensed fishers operating the same gear on the same stock and species UoA 2 Species: HADDOCK (Melanogrammus aeglefinus) Stock NW Atlantic, Georges Bank Geographical area: Georges Bank Harvest method: Large mesh bottom otter trawl Client Group: Fisherman’s Wharf Gloucester LLC, Atlantic Trawlers Fishing Inc . Other Eligible Fishers: Other licensed fishers operating the same gear on the same stock and species UoA 3 Species: ATLANTIC POLLOCK (Pollachius virens) Stock NW Atlantic Geographical area: Gulf of Maine and Georges Bank Harvest method: Large mesh bottom otter trawl Client Group: Fisherman’s Wharf Gloucester LLC, Atlantic Trawlers Fishing Inc. Other Eligible Fishers: Other licensed fishers operating the same gear on the same stock and species UoA 4 Species: ACADIAN REDFISH (Sebastes fasciatus) Stock NW Atlantic Geographical area: Gulf of Maine and Georges Bank Harvest method: Large mesh bottom otter trawl Client Group: Fisherman’s Wharf Gloucester LLC, Atlantic Trawlers Fishing Inc. Other Eligible Fishers: Other licensed fishers operating the same gear on the same stock and species

Note that there are two separate haddock UoAs because there are two separate stocks of haddock, one on Georges Bank, and the other in the Gulf of Maine.

This Unit of Assessment was used as it is compliant with client wishes for assessment coverage and in full conformity with MSC criteria.

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3.2.1 Total Allowable Catch (TAC) and Catch Data Gulf of Maine Haddock TACs are given as commercial sub-ACLs (Annual Catch Limits) or as Groundfish sub-ACLs if there is no Recreational sub-ACL. Shares of the TAC are not allocated specifically to the UoA but data is available on the catch by the UoA. Catch for the UoC was provided by the client. Source for Commercial Groundfish sub-ACL: http://s3.amazonaws.com/nefmc.org/150316_FW53_EA_Resubmit_FINAL.pdf (Additional data on the UoA share of the TAC (catch) should be available in September 2017 when the documents associated with the Groundfish Operational Assessment update are posted.)

Table 1 TAC and catch data for GOM haddock

TAC Year FY 2016 Amount 2,416 mt

UoA share of TAC Year FY 2016 Amount 2,390 mt

UoC share of total TAC Year FY 2016 Amount 302 mt

Total green weight Year (most FY 2016 Amount 212 mt catch by UoC recent)

Year FY 2015 Amount 55 mt (second most recent)

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Georges Bank Haddock TACs are given as commercial sub-ACLs (Annual Catch Limits) or as Groundfish sub-ACLs if there is no Recreational sub-ACL. Shares of the TAC are not allocated specifically to the UoA but data is available on the catch by the UoA. Catch for the UoC was provided by the client. Source for Commercial Groundfish sub-ACL: http://s3.amazonaws.com/nefmc.org/150316_FW53_EA_Resubmit_FINAL.pdf (Additional data on the UoA share of the TAC (catch) should be available in September 2017 when the documents associated with the Groundfish Operational Assessment update are posted.)

Table 2. TAC and catch data for GB haddock

TAC Year FY 2016 Amount 66,837 mt

UoA share of TAC Year FY 2016 Amount 66,391 mt

UoC share of total TAC Year FY 2016 Amount 10,376 mt

Total green weight catch Year (most FY 2016 Amount 2,068 mt by UoC recent)

Year FY 2015 Amount 1,580 mt (second most recent)

Pollock TACs are given as commercial sub-ACLs (Annual Catch Limits) or as Groundfish sub-ACLs if there is no Recreational sub-ACL. Shares of the TAC are not allocated specifically to the UoA but data is available on the catch by the UoA. Catch for the UoC was provided by the client. Source for Groundfish sub-ACL: http://s3.amazonaws.com/nefmc.org/150316_FW53_EA_Resubmit_FINAL.pdf (Additional data on the UoA share of the TAC (catch) should be available in September 2017 when the documents associated with the Groundfish Operational Assessment update are posted.) Table 3. TAC and catch data for Pollock.

TAC Year FY 2016 Amount 17,817 mt

UoA share of TAC Year FY 2016 Amount 17,704 mt

UoC share of total TAC Year FY 2016 Amount 1,732 mt

Total green weight catch Year (most FY 2016 Amount 620 mt by UoC recent) Year FY 2015 Amount 400 mt (second most recent)

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

Acadian Redfish TACs are given as commercial sub-ACLs (Annual Catch Limits) or as Groundfish sub-ACLs if there is no Recreational sub-ACL. Shares of the TAC are not allocated specifically to the UoA but data is available on the catch by the UoA. Catch for the UoC was provided by the client. Source for Groundfish sub-ACL: http://s3.amazonaws.com/nefmc.org/150316_FW53_EA_Resubmit_FINAL.pdf (Additional data on the UoA share of the TAC (catch) should be available in September 2017 when the documents associated with the Groundfish Operational Assessment update are posted.) Table 4. TAC and catch data for Acadian redfish

TAC Year FY 2016 Amount 9,526 mt

UoA share of TAC Year FY 2016 Amount 9,474 mt

UoC share of total TAC Year FY 2016 Amount 1,639 mt

Total green weight catch Year (most FY 2016 Amount 1,073 mt by UoC recent) Year FY 2015 Amount 1,397 mt (second most recent)

3.2.2 Scope This fishery has been found to meet scope requirements (FCR v2.0 7.4) for MSC fishery assessments as it: • Does not operate under a controversial unilateral exemption to an international agreement, use destructive fishing practices, target amphibians, birds, reptiles or mammals and is not overwhelmed by dispute; (FCR 7.4.1.1, 7.4.1.2, 7.4.1.3, 7.4.2)

• The fishery does not engage in shark finning, has mechanisms for resolving disputes (FCR 7.4.2.1), and has not previously failed assessment or had a certificate withdrawn.

• The fishery is not an enhanced or IPI fishery, is not based on an introduced species (FCR 7.4.3, 7.4.4, 7.4.13-15)

• The fishery does overlap with another MSC certified or applicant fisheries, and these have been addressed in the harmonization section of this report (7.4.16),

• The fishery does not include an entity successfully prosecuted for violating forced labor laws (7.4.1.4)

• The units of assessment, certification, and eligible fishers have been defined, traceability risks characterized, and the clients have given a clear indication of their position relative to certificate sharing: the reality of any certificate sharing remains to be determined (7.4.6-7.4.12)

3.2.3 Scope of Assessment in Relation to Introduced Species Based Fisheries (ISBF) N/A

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3.3 Overview of the fishery This text has been adapted from the NMFS, Greater Atlantic Regional Fisheries Office (GARFO 2015, Fishing Years 2015-2020 Northeast Multispecies Sector Operations Plans and Contracts: A Programmatic Environmental Assessment, pages 136-139. New England’s fishery has been identified with groundfishing both economically and culturally for over 400 years. Broadly described, the Northeast Multispecies fishery includes the landing, processing, and distribution of commercially important fish that live on the sea bottom. In the early years, the Northeast Multispecies fishery related primarily to cod and haddock. Today, the Northeast Multispecies Fisheries Management Plan (FMP) (large-mesh and small-mesh) includes a total of 13 species of groundfish (Atlantic cod (Gadus morhua), haddock (Melanogrammus aeglefinus), pollock (Pollachius virens), yellowtail flounder (Limanda ferruginea), witch flounder (Glyptocephalus cynoglossus), winter flounder (Pseudopleuronectes americanus), windowpane flounder (Scophthalmus aquosus), American plaice (Hippoglossoides platessoides), Atlantic halibut (Hippoglossus hippoglossus), redfish (Sebastes fasciatus), ocean pout (Zoarces americanus), white hake (Urophycis tenuis), and wolffish (Anarhichas lupus)) harvested from three geographic areas (Gulf of Maine, Georges Bank, and southern New England/Mid-Atlantic Bight) representing 19 distinct stocks. Prior to the industrial revolution, at the end of the 1800s, the groundfish fishery focused primarily on cod. The salt cod industry, which preserved fish by salting while still at sea, supported a hook and line fishery that included hundreds of sailing vessels and shore-side industries including salt mining, ice harvesting, and boat building. Late in the 19th century, the fleet also began to focus on Atlantic halibut with landings peaking in 1896 at around 4,900 tons (4,445 mt). From 1900 to 1930, the fleet transitioned to steam powered trawlers and increasingly targeted haddock for delivery to the fresh and frozen fillet markets. With the transition to steam powered trawling, it became possible to exploit the groundfish stocks with increasing efficiency. This increased exploitation resulted in a series of boom and bust fisheries from 1930 to 1960 as the North American fleet targeted previously unexploited stocks, depleted the resource, and then transitioned to new stocks. In the early 1960s, fishing pressure increased with the addition of foreign factory trawlers targeting haddock, hake, and herring off of Georges Bank. Early in this time period, landings of the principal groundfish (cod, haddock, pollock, hake, and redfish) peaked at about 650,000 tons (589,670 mt). However, by the 1970s, landings decreased sharply to between 200,000 and 300,000 tons (181,437 and 272,155 mt) under significantly higher fishing pressure. (NOAA 2007). The exclusion of the foreign fishermen by the US Fisheries Conservation and Management Act (FCMA) in 1976, coupled with technological advances, government loan programs, and some strong classes of cod and haddock, caused a rapid increase in the number and efficiency of U.S. vessels participating in the Northeast groundfish fishery in the late 1970s. This shift resulted in a temporary increase in domestic groundfish landings; however, overall landings (domestic plus foreign) continued to trend downward from about 200,000 tons (181,437 mt) to about 100,000 tons 90,718 mt) through the mid-1980s (NOAA 2007). In 1986, the NEFMC implemented the Northeast Multispecies FMP with the goal of rebuilding stocks. In 1994 Amendment 5 to the FMP limited access to the multispecies fishery to any vessel that could document the landing of one pound of groundfish during the previous five years. After 1994, the fishery was managed through a variety of effort control measures including days at sea (DAS), area closures, trip limits, minimum fish size limits, vessel size and power limitations, and gear restrictions. Partially in response to those regulations, landings decreased throughout the latter part of the 1980s until reaching a more or less constant level of around 40,000 tons (36,287 mt) annually since the mid- 1990s. In the 2015-2016 fishing year, based on the Standardized Bycatch Reporting Methodology (SBRM) report (Wigley and Tholke, 2017), the large mesh otter trawl fishery in the New England region

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish reported completing 5600 fishing trips with a total 17,349 days of fishing. In the Mid-Atlantic region, the large mesh otter trawl fishery completed 4005 fishing trips with a total 9,310 days of fishing. In 2004, the final rule implementing Amendment 13 to the Northeast Multispecies FMP allowed for self-selecting groups of limited access groundfish permit holders to form sectors. These sectors developed a legally binding operations plan and operated under an allocation of Georges Bank cod. While approved sectors were subject to general requirements specified in Amendment 13, sector members were exempt from DAS and some of the other effort control measures that tended to limit the flexibility of fishermen. The 2004 rule also authorized implementation of the first sector, the GB Cod Hook Sector. A second sector, the GB Cod Fixed Gear Sector, was authorized in 2006. Through Amendment 16, the New England Fisheries Management Council (NEFMC) sought to rewrite groundfish sector policies with a scheduled implementation date of May 1, 2009. When that implementation date was delayed until fishing year (FY) 2010, the NMFS Regional Administrator announced that, in addition to a previously stated 18 percent reduction in DAS, interim rules would be implemented to reduce fishing mortality during FY 2009. These interim measures generally reduced opportunity among groundfish vessels through: • differential DAS counting depending on the area fished,

• elimination of the Southern New England (SNE) / Mid-Atlantic (MA) winter flounder Special Access Program (SAP) and elimination of the state waters winter flounder exemption

• revisions to incidental catch allocations, and

• a reduction in some groundfish allocations (NOAA 2009).

In 2007, the Northeast Multispecies fishery included 2,515 permits. Of these permits about 1,400 were limited access, and 658 vessels actively fished. (Numerous lobster boats were given limited access multispecies permits based on their incidental catch of groundfish in lobster pots, but Amendment 5 prohibited the retention of any groundfish caught in lobster traps.) The active groundfish vessels included a range of gear types including hook, bottom longline, gillnet, and trawlers (NEFMC 2009a). In FY 2009, between 40 and 50 of these vessels were members of the Georges Bank Cod Sectors. The passage of Amendment 16 prior to FY 2010 issued in a new era of sector management in the New England groundfish fishery. Over 50 percent of eligible northeast groundfish multispecies permits and over 95 percent of landings history were associated with sectors in FY 2010. Approximately 56 percent of the eligible northeast groundfish multispecies permits constituting between approximately 99.4 percent and 77.5 percent of the various species ACLs were included in sectors for FY 2011. The remaining vessels were common pool groundfishing vessels.

Amendment 16 to the Northeast Multispecies FMP was finally implemented for the New England groundfish fishery starting on May the 1st 2010, the start of the 2010 fishing year. The new management program contained two substantial changes meant to adhere to the catch limit requirements and stock rebuilding deadlines of the Magnuson-Stevens Fishery

Conservation and Management Reauthorization Act of 2006 (MSFCMA). The first change developed “hard quota” annual catch limits (ACLs) for all 20 stocks in the groundfish complex. The second change expanded the use of Sectors, which are allocated subdivisions of ACLs called Annual Catch Entitlements (ACE) based on each sector’s collective catch history. Sectors are incorporated entities that must have operations plans approved by NMFS. Sectors determine their own membership rules and allocation procedures, although all sectors have distributed the overall sector allocation in proportion to the allocation of each member permit. Sector members do not necessarily share any geographical, boat size, or gear type characteristics, although some do. Sectors received ACE for nine of 13 groundfish species (14 stocks + quotas for Eastern U.S./ Canada cod and haddock; 16

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ACEs) in the FMP and became exempt from many of the effort controls previously used to manage the fishery. During the first year of sector management seventeen sectors operated, each establishing its own rules for using its allocations. Vessels with limited access permits that joined sectors were allocated 98% of the total commercial groundfish sub-ACL, based on their collective level of historical activity in the groundfish fishery. Approximately half (46%) of the limited access groundfish permits opted to remain in the common pool. Common pool vessels act independently of one another, with each vessel constrained by the number of DAS it can fish, by trip limits, and by all of the time and area closures. These restrictions help ensure that the groundfish catch of common pool vessels does not exceed the common pool’s portion of the commercial groundfish sub-ACL for all stocks (about 2% for 2010) before the end of the fishing year. In the second year of sector management 60% of limited access permits participated in one of 16 sectors or one of 2 lease-only sectors. (Lease-only sectors hold permits but have no active groundfish fishing vessels. The allocations issued to the permits are leased out to active vessels in other sectors.) From 2010 to 2011 the number of groundfish limited access eligibilities belonging to a sector increased by 66, while the number of these permits in the common pool decreased by 85. At the start of the 2011 fishing year, vessels operating within a sector were allocated about 98% of the total groundfish sub-ACL, based on historical catch levels. Those vessels that opted to remain in the common pool were given access to about 2% of the groundfish sub-ACL based on the historic catch. The same effort controls employed in 2010 were again used in 2011, to ensure the groundfish catch made by common pool vessels did not exceed the common pool’s portion of the commercial groundfish sub-ACL. Although some trends in the fishery are a result of management changes made to the fishery in the years prior to Amendment 16, many of these trends are also a reflection of the current system of sector management. The third year of the sector management regime was 2012. From 2011 to 2012 the number of groundfish limited access eligibilities for sector members increased by 22 and the number of eligibilities for the common pool decreased by 36. During FY 2012, 61% of limited access permits participated in sectors. Preliminary sector sub-ACLs for allocated groundfish species accounted for almost 99% of the total groundfish sub -ACL in 2012, with the remaining 1% being assigned to the common pool (Northeast Multispecies Fishery Framework Adjustment 47). In FY 2013, the number of groundfish limited access eligibilities for sector members stayed relatively constant (increasing by 1) while the number of eligibilities for the common pool decreased by 29. Sectors again accounted for around 60% of all limited access permits with the sector sub-ACL accounting for 98% of the total commercial groundfish allowable catch limit (ACL).

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3.4 Principle One: Target species background

3.4.1 Haddock, Gulf of Maine Biology Introduction The haddock, Melanogrammus aeglefinus, is a demersal gadoid found on both sides of the North Atlantic (Figure 1). In the northwest Atlantic, haddock are distributed from Cape May, New Jersey to the Strait of Belle Isle, Newfoundland. Six haddock stocks have been identified in the northwest Atlantic from Newfoundland to Georges Bank. There are two haddock stocks in U.S. waters: Georges Bank and Gulf of Maine. U.S. haddock fisheries are managed by the NEFMC under the Northeast Multispecies. The Georges Bank haddock stock is also a transboundary resource, which is co- managed with Canada.

Figure 1 The haddock, Melanogrammus aeglefinus (from Goode 1884).

The basic biology and life history characteristics of Georges Bank and Gulf of Maine haddock are described in detail in Essential Fish Habitat Source document by Jon K.T. Brodziak, .2005. Haddock, Melanogrammus aeglefinus, Life History and Habitat Characteristics. NMFS NEFSC Tech. Memo.196. 74p. The following text is based on that report. For more details including all figures and references, the reader is referred to the original document. Life history and distribution Haddock spawn over various substrates including rocks, gravel, smooth sand, and mud. Eggs are broadcast and fertilized near the bottom (Klein-MacPhee 2002). Larval survival and growth is influenced by hatching date and oceanographic conditions (Lapolla and Buckley 2005). Larvae hatched earlier in the spawning season appear to have a survival advantage over those hatched later in the season. On Georges Bank, stratified conditions appear to enhance larval survival and growth. Larvae may be advected long distances by ocean currents. In some years, wind-driven currents transport haddock larvae from Georges Bank to the Mid-Atlantic Bight. Larval growth appears to be positively correlated with temperatures of about 7-9 C, but may be suppressed at 4 C. In general, increased temperature has a positive effect on both larval size at age and growth rates Larvae metamorphose into juveniles in roughly 30-42 day at lengths of 2-3 cm. Small juveniles initially live and feed in the epi-pelagic zone. Juveniles remain in the upper part of the water column for 3-5 months. After reaching lengths of 3-10 cm, juveniles visit the ocean bottom in search of food. Once suitable bottom habitat is located, juveniles settle into a demersal existence (Klein-MacPhee 2002). Adult haddock are demersal benthivores ranging in size from roughly 30 cm to up to 1 meter. Haddock do not make extensive seasonal migrations. In winter, they prefer deeper waters and tend to move shoreward in summer. When summer water temperatures reach 10-11 C, haddock move to colder, deeper waters. The largest haddock reported from American waters was a 13.6 kg fish. The oldest haddock documented from Northeast Fisheries Science Center (NEFSC) surveys during 1963-2002

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish was a 17 year old fish captured in 1980. Most commercially-caught haddock weigh from 1-3 kg (Klein- MacPhee 2002). Haddock are highly fecund broadcast spawners (Klein-MacPhee 2002) . Density-dependence may explain the apparent decline in median size of maturity since haddock appear to mature at smaller sizes when population density is low. Georges Bank is the principal haddock spawning area in the northeast U.S. continental shelf ecosystem. On Georges Bank, spawning occurs from January to June, usually peaking from February to early-April, but the timing can vary by a month or more depending upon water temperature. In the Gulf of Maine, spawning occurs from early February to May, usually peaking in February to April. Haddock diet changes with life history stage. Pelagic larvae and small juvenile haddock feed on phytoplankton, copepods, and invertebrate eggs in the upper part of the water column (Kane 1984). Juvenile haddock eat small crustaceans, primarily copepods and euphausiids, as well as polychaetes and small fishes. Juveniles make a transition from pelagic to demersal habitat at ages from 3 to 5 months. During this transition, juvenile diet changes to primarily benthic prey (Mahon and Neilson 1987). Planktonic prey such as copepods and pteropods decrease in importance after juveniles become demersal, while ophiuroids and polychaetes increase in importance. When juveniles reach 8 cm in length, they feed primarily on echinoderms, small decapods, and other benthic prey (Bowman et al. 1987). Benthic juveniles above 30 cm and adults feed primarily on crustaceans, polychaetes, mollusks, echinoderms, and some fish (Klein-MacPhee 2002). Regional variation in haddock food habits also exists. Echinoderms are more common prey items in the Gulf of Maine than on Georges Bank. In contrast, polychaetes are more common prey on Georges Bank than in the Gulf of Maine. In the northwest Atlantic, haddock are distributed from Cape Charles, Virginia to Labrador, Canada. Georges Bank, the Scotian Shelf, and the southern Grand Bank have the highest densities of haddock. Haddock egg and larval stages are pelagic (Laurence and Rogers 1976). They are usually found at depths of 10-50 m below the surface, and in water temperatures of 4-10°C and salinities of 34-36 ppt. Juvenile and adult haddock are demersal (Murawski and Finn 1988). Juveniles and adults are usually found at depths between 40-150 m. Their preferred depth range is from 50-100 m, but they can sometimes be found as shallow as 10 m or as deep as 200+ m). Juveniles are commonly found at water temperatures of 4.5-10°C. Adults can be found at a wider range of 0-13°C but prefer temperatures of 2-9°C. Juvenile and adult haddock are commonly associated with salinities of 31-35 ppt, although 32 ppt is optimal. Preferred bottom types include gravel, pebbles, clay, and smooth hard sand, particularly smooth areas between rocky patches (Klein-MacPhee 2002). Juvenile and adult haddock do not frequent ledges, rocks, kelp, or soft oozy mud. The distribution of substrate sediments on Georges Bank and in the Gulf of Maine area show regional differences. Substantial areas of suitable substrate for haddock (i.e., sand, gravelly sand, and gravel) are found on Georges Bank. In contrast, fewer areas of suitable substrate exist in the Gulf of Maine. Consequently, haddock are more abundant on Georges Bank than in the Gulf of Maine. In particular, the principal haddock spawning area on the northeast peak of Georges Bank contains large areas of suitable substrate. Similarly, the two principal spawning areas in the Gulf of Maine, Stellwagen Bank and Jeffreys Ledge, also contain gravelly sand substrate.

Fishery landings, abundance, and stock status This summary of the landings, abundance, and stock status of Gulf of Maine haddock is taken from: Northeast Fisheries Science Center, dated Nov. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commerce, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/. This particular chapter was

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish authored by M. Palmer. This summary was updated with the Framework Adjustment 56 to the Northeast Multispecies FMP, dated April 2017 from the New England Fishery Management Council. The most recent assessment of the Gulf of Maine haddock (Melanogrammus aeglefinus) stock is an operational update assessment of the previous 2014 benchmark assessment (NEFSC 2014). Based on the previous assessment, the stock was not overfished, and overfishing was not occurring. This assessment updates commercial and recreational fishery catch data, research survey indices of abundance, and the analytical ASAP assessment model and reference points through 2014. Updated catch (landings and discard) data, and well as model results for spawning stock biomass, fishing mortality and age 1 recruits are presented in Table 5 and Figure 2. The fishery independent NMFS NEFSC trawl survey index for Gulf of Maine haddock is shown in Figure 3. In general, the fishery dependent data indicates that catches have declined dramatically from the 1980s into the 2000s, and have slowly increased in the last 5 years, but are still well below the 1980s levels. The fishery independent trawl survey index indicates that stock has remained at low levels since the 1980s, until just recently when there appears to be substantial recruitment to the stock. Based on this updated assessment, the Gulf of Maine haddock (Melanogrammus aeglefinus) stock is not overfished and overfishing is not occurring (Figure 4 and Figure 5). Retrospective adjustments were not made to the model results. Spawning stock biomass (SSB) in 2014 was estimated to be 10,325 (mt) which is 223% of the biomass target (SSBMSY proxy = 4,623; Figure 4). The 2014 fully selected fishing mortality was estimated to be 0.257 which is 55% of the overfishing threshold proxy (FMSY proxy = F40% = 0.468; Figure 5). Finally, there is substantial recruitment of age 1 individual to the stock in 2013 (Figure 6). Table 5 Catch and status table for Gulf of Maine haddock. All weights are in (mt) recruitment is in (000s) and FFull is the fully selected fishing mortality. Model results are from the 2014 updated ASAP assessment.

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Data

Recreational discards 36 66 46 72 24 19 11 54 250 371

Recreational landings 538 447 573 537 409 314 229 251 299 314

Commercial discards 25 32 47 10 12 3 6 18 32 22

Commercial landings 978 622 678 543 500 623 499 417 212 314

Foreign landings 0 0 0 0 0 0 0 0 0 0

Catch for Assessment 1,577 1,167 1,343 1,162 946 958 744 739 793 1,021

Model Results

Spawning Stock Biomass 8,848 8,219 7,271 6,369 5,735 4,877 4,086 4,551 6,907 10,325

FFull 0.264 0.226 0.322 0.298 0.247 0.287 0.26 0.337 0.296 0.257

Recruits age1 451 1,325 1,541 279 438 1,345 11,547 3,930 18,186 26,457

Table 6 Comparison of reference points estimated in an earlier assessment and from the current operational assessment. The overfishing threshold is the FMSY proxy ( F40%). The biomass target, (SSBMSY proxy ) was based on long-term

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish stochastic projections of fishing at the FMSY proxy . Median recruitment reflects the median estimated age-1 recruitment from 1977 - 2012. Intervals shown reflect the 5th and 95th percentiles.

2012 2014

FMSY proxy 0.46 0.468

SSBMSY (mt) 4,108 4,623

MSY (mt) 955 1,083

Median recruits (age 1) 1,121 1,335 (000s)

Overfishing No No

Overfished No No

Figure 2 Total catch of Gulf of Maine haddock between 1977 and 2014 by fleet (commercial, recreational, or foreign) and disposition (landings and discards)

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Figure 3 Indices of biomass for the Gulf of Maine haddock between 1963 and 2015 for the Northeast Fisheries Science Center (NEFSC) spring and fall bottom trawl surveys.

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Figure 4 Trends in spawning stock biomass (SSB) of Gulf of Maine haddock between 1977 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold ( 1/2 SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. The approximate 90% lognormal confidence intervals are shown. The red dot indicates the rho-adjusted SSB values that would have resulted had a retrospective adjustment been made to either model.

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Figure 5 Trends in the fully selected fishing mortality (F) of Gulf of Maine haddock between 1977 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding FThreshold (FMSY proxy =0.468; horizontal dashed line) from the 2015 assessment model. The approximate 90% lognormal confidence intervals are shown. The red dot indicates the rho-adjusted F values that would have resulted had a retrospective adjustment been made to either model.

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Figure 6 Trends in Recruits (age 1) (000s) of Gulf of Maine haddock between 1977 and 2014 from the current (solid line) and previous (dashed line) assessment. The approximate 90% lognormal confidence intervals are shown.

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish

3.4.2 Haddock, Georges Bank Biology, life history and distribution Introduction The haddock, Melanogrammus aeglefinus, is a demersal gadid found on both sides of the North Atlantic (Figure 6). In the northwest Atlantic, haddock are distributed from Cape May, New Jersey to the Strait of Belle Isle, Newfoundland. Six haddock stocks have been identified in the northwest Atlantic from Newfoundland to Georges Bank. There are two haddock stocks in U.S. waters: Georges Bank and Gulf of Maine. U.S. haddock fisheries are managed by the New England Fishery Management Council under the Northeast Multispecies Fishery Management Plan. The Georges Bank haddock stock is also a transboundary resource, which is co-managed with Canada.

Figure 7 The haddock, Melanogrammus aeglefinus (from Goode 1884).

The basic biology and life history characteristics of Georges Bank and Gulf of Maine haddock are described in detail in Essential Fish Habitat Source document by Jon K.T. Brodziak.2005. Haddock, Melanogrammus aeglefinus, Life History and Habitat Characteristics. NMFS NEFSC Tech. Memo.196. 74p. The following text is based on that report. For more details including all figures and references, the reader is referred to the original document. Biology Haddock spawn over various substrates including rocks, gravel, smooth sand, and mud. Eggs are broadcast and fertilized near the bottom (Klein-MacPhee 2002). Larval survival and growth is influenced by hatching date and oceanographic conditions (Lapolla and Buckley 2005). Larvae hatched earlier in the spawning season appear to have a survival advantage over those hatched later in the season. On Georges Bank, stratified conditions appear to enhance larval survival and growth. Larvae may be advected long distances by ocean currents. In some years, wind-driven currents transport haddock larvae from Georges Bank to the Mid-Atlantic Bight. Larval growth appears to be positively correlated with temperatures of about 7-9 C, but may be suppressed at 4 C. In general, increased temperature has a positive effect on both larval size at age and growth rates Larvae metamorphose into juveniles in roughly 30-42 day at lengths of 2-3 cm. Small juveniles initially live and feed in the epi-pelagic zone. Juveniles remain in the upper part of the water column for 3-5 months. After reaching lengths of 3-10 cm, juveniles visit the ocean bottom in search of food. Once suitable bottom habitat is located, juveniles settle into a demersal existence (Klein-MacPhee 2002). Adult haddock are demersal benthivores ranging in size from roughly 30 cm to up to 1 meter. Haddock do not make extensive seasonal migrations. In winter, they prefer deeper waters and tend to move shoreward in summer. When summer water temperatures reach 10-11 C, haddock move to colder,

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish deeper waters. The largest haddock reported from American waters was a 13.6 kg fish. The oldest haddock documented from Northeast Fisheries Science Center (NEFSC) surveys during 1963-2002 was a 17 year old fish captured in 1980. Most commercially-caught haddock weigh from 1-3 kg (Klein- MacPhee 2002). Haddock are highly fecund broadcast spawners (Klein-MacPhee 2002) . Density-dependence may explain the apparent decline in median size of maturity since haddock appear to mature at smaller sizes when population density is low. Georges Bank is the principal haddock spawning area in the northeast U.S. continental shelf ecosystem. On Georges Bank, spawning occurs from January to June, usually peaking from February to early-April, but the timing can vary by a month or more depending upon water temperature. In the Gulf of Maine, spawning occurs from early February to May, usually peaking in February to April. Haddock diet changes with life history stage. Pelagic larvae and small juvenile haddock feed on phytoplankton, copepods, and invertebrate eggs in the upper part of the water column (Kane 1984). Juvenile haddock eat small crustaceans, primarily copepods and euphausids, as well as polychaetes and small fishes. Juveniles make a transition from pelagic to demersal habitat at ages from 3 to 5 months. During this transition, juvenile diet changes to primarily benthic prey (Mahon and Neilson 1987). Planktonic prey such as copepods and pteropods decrease in importance after juveniles become demersal, while ophiuroids and polychaetes increase in importance. When juveniles reach 8 cm in length, they feed primarily on echinoderms, small decapods, and other benthic prey (Bowman et al. 1987). Benthic juveniles above 30 cm and adults feed primarily on crustaceans, polychaetes, mollusks, echinoderms, and some fish (Klein-MacPhee 2002). Regional variation in haddock food habits also exists. Echinoderms are more common prey items in the Gulf of Maine than on Georges Bank. In contrast, polychaetes are more common prey on Georges Bank than in the Gulf of Maine. In the northwest Atlantic, haddock are distributed from Cape Charles, Virginia to Labrador, Canada. Georges Bank, the Scotian Shelf, and the southern Grand Bank have the highest densities of haddock. Haddock egg and larval stages are pelagic (Laurence and Rogers 1976). They are usually found at depths of 10-50 m below the surface, and in water temperatures of 4-10°C and salinities of 34-36 ppt. Juvenile and adult haddock are demersal (Murawski and Finn 1988). Juveniles and adults are usually zfound at depths between 40-150 m. Their preferred depth range is from 50-100 m, but they can sometimes be found as shallow as 10 m or as deep as 200+ m). Juveniles are commonly found at water temperatures of 4.5-10°C. Adults can be found at a wider range of 0-13°C, but prefer temperatures of 2-9°C. Juvenile and adult haddock are commonly associated with salinities of 31-35 ppt, although 32 ppt is optimal. Preferred bottom types include gravel, pebbles, clay, and smooth hard sand, particularly smooth areas between rocky patches (Klein-MacPhee 2002). Juvenile and adult haddock do not frequent ledges, rocks, kelp, or soft oozy mud. The distribution of substrate sediments on Georges Bank and in the Gulf of Maine area show regional differences. Substantial areas of suitable substrate for haddock (i.e., sand, gravelly sand, and gravel) are found on Georges Bank. In contrast, fewer areas of suitable substrate exist in the Gulf of Maine. Consequently, haddock are more abundant on Georges Bank than in the Gulf of Maine. In particular, the principal haddock spawning area on the northeast peak of Georges Bank contains large areas of suitable substrate. Similarly, the two principal spawning areas in the Gulf of Maine, Stellwagen Bank and Jeffreys Ledge, also contain gravelly sand substrate.

Fishery landings, abundance, and stock status This summary of the landings, abundance, and stock status of Georges Bank haddock is taken from: Northeast Fisheries Science Center. dated Nov. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commerce, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA

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02543-1026, or online at http:// www.nefsc.noaa.gov/publications/. This particular chapter was authored by Liz Brooks. This summary was then updated with the Framework Adjustment 56 To the Northeast Multispecies FMP, dated April 2017 from the New England Fishery Management Council. The most recent assessment of the Georges Bank haddock (Melanogrammus aeglefinus) stock is an operational assessment of the existing 2012 update VPA assessment (Brooks et al., 2012). The last benchmark for this stock was in 2008 (Brooks et al., 2008). Based on the previous assessment in 2012, the stock was not overfished, and overfishing was not occurring. This assessment updates commercial fishery catch data, research survey indices of abundance, weights and maturity at age, and the analytical VPA assessment model and reference points through 2014. Updated catch (landings and discard) data, and well as model results for spawning stock biomass, fishing mortality and age 1 recruits are presented in Table 7 and Table 8, and Figure 8. The fishery independent NMFS NEFSC trawl survey index for GOM haddock is shown in Figure 9. In general, the fishery dependent data indicate the catch have declined dramatically form the 1960s, and that for last few decades catches have oscillated at low levels dependent on sporadic and strong recruitment events. The fishery independent trawl survey index indicates that the stock has increased substantially in the last five years, most likely related to strong recruitment. Based on this updated assessment, the Georges Bank haddock (Melanogrammus aeglefinus) stock is not overfished and overfishing is not occurring (Figure 10 and Figure 11). Retrospective adjustments were made to the model results. Spawning stock biomass (SSB) in 2014 was estimated to be 150,053 (mt) which is 139% of the biomass target (SSBMSY proxy = 108,300; Figure 10). The 2014 fully selected fishing mortality was estimated to be 0.241 which is 62% of the overfishing threshold proxy (FMSY proxy = 0.39; Figure 11). Finally, the results of the model analysis confirm the recent strong recruitment of age 1 individuals in the last two years (Figure 12).

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Table 7 Catch and status table for Georges Bank haddock. All weights are in (mt), recruitment is in (000s), and FFull is the average fishing mortality on ages 5 to 7. Model results are from the current updated VPA assessment. A rho adjustment was not applied to values in this Table.

2007 2008 2009 2010 2011 2012 2013 2014

Data

US Commercial discards 1,968 389 196 144 212 321 538 1,409

US Commercial landings 14,837 20,632 22,930 25,759 5,210 1,550 1,659 4,240

Canadian Catch 10 0 0 0 11,248 5,064 4,631 12,953

Catch for Assessment 16,815 21,021 23,126 25,903 16,670 6,935 6,828 18,601

Model Results

Spawning Stock Biomass 182,528 166,726 140,278 103,889 71,076 65,848 162,078 225,080

F 0.241 0.183 0.195 0.308 0.266 0.258 0.16 0.159

Recruits age1 5,826 6,488 3,574 7,696 399,497 70,916 29,655 3,406,466

Table 8 Comparison of reference points estimated in an earlier assessment and from the 2014 assessment update. An F40% proxy was used for the over fishing threshold. The medians and 90% probability intervals are reported for MSY, SSBMSY, and RMSY, based on long-term stochastic projections with fishing mortality fixed at F40%.

2012 2014

FMSY proxy 0.39 0.39

SSBMSY (mt) 124,900 108,300

MSY (mt) 28,000 24,900

Median recruits (age 1) (000s) 54,200 53,400

Overfishing No No

Overfished No No

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Figure 8 Total catch of Georges Bank haddock between 1931 and 2014 by fleet (US Commercial, Canadian, or foreign fleet) and disposition (landings and discards).

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Figure 9 Indices of biomass (Mean kg/tow) for the Georges Bank haddock stock between 1963 and 2015 for the Northeast Fisheries Science Center (NEFSC) spring and fall bottom trawl surveys and the DFO winter bottom trawl survey. The approximate 90% lognormal confidence intervals are shown.

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Figure 10 Trends in spawning stock biomass of Georges Bank haddock between 1931 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The 90% bootstrap probability intervals are shown.

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Figure 11 Trends in the fully selected fishing mortality (FFull) of Georges Bank haddock between 1931 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding FThreshold (FMSY proxy =0.39; horizontal dashed line) based on the 2015 assessment. FFull was adjusted for a retrospective pattern and the adjustment is shown in red. The 90% bootstrap probability intervals are shown.

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Figure 12 Trends in Recruits (age 1) (000s) of Georges Bank haddock between 1931 and 2014 from the current (solid line) and previous (dashed line) assessment. The 90% bootstrap probability intervals are shown

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3.4.3 Pollock, Gulf of Maine and Georges Bank Biology, life history and distribution Introduction The pollock, Pollachius virens (Figure 13), is a gadoid species inhabiting both sides of the North Atlantic. In the northwest Atlantic they are most common on the Scotian Shelf, Georges Bank, in the Great South Channel, and in the Gulf of Maine. There is considerable movement of the species between the Scotian Shelf, Georges Bank and the Gulf of Maine. Thus, although some differences in meristic and morphometric characters have been shown, there are no significant genetic differences among areas. Georges Bank and the Gulf of Maine pollock within the US EEZ (NAFO subareas 5, 6) are assessed as a single unit. In U.S. waters, the species is managed under the New England Fishery Management Council’s Northeast Multispecies Fishery Management Plan. A separate Canadian assessment considers the pollock within Canadian waters.

Figure 13 The pollock, Pollachius virens (from Goode 1884).

The basic biology, life history and habitat requirements of pollock inhabiting the Gulf of Maine, Georges Bank, and the Scotian Shelf are described in detail in the Essential Fish Habitat Source document by Luca M. Cargnelli, Sara J. Griesbach, David B. Packer, Peter L. Berrien, Donna L. Johnson, and Wallace W. Morse. 1999, Life History and Habitat Characteristics Pollock, Pollachius virens, NMFS NEFSC Tech. Memo.131. 38 p. The following text is based on that report. For more details including all figures and references, the reader is referred to the original document. Life history and distribution Pollock eggs are buoyant, rising into the water column after fertilization (Collette and Klein-MacPhee, 2002). The pelagic larval stage lasts for three to four months, at which time the small juveniles or “harbor pollock” migrate inshore where they inhabit rocky subtidal and intertidal zones. They undergo a series of inshore-offshore movements linked to temperature until near the end of their second year. At this point the juveniles move offshore where they remain throughout the adult stage. Adult pollock can attain maximum lengths of 120 cm but are usually less than 110 cm (Collette and Klein-MacPhee, 2002). A maximum age of 18 years has been recorded, although the main portion of the catch consists of 3-6-year-old fish. Growth rate is rapid until sexual maturity, at which time it declines. Pollock are a schooling species and are found throughout the water column. With the exception of short migrations due to temperature changes and north-south movements for spawning, pollock are fairly stationary in the Gulf of Maine and along the Nova Scotian coast (Collette and Klein- MacPhee, 2002). Male pollock reach sexual maturity at a larger size and older age than females (Collette and Klein- MacPhee, 2002). Age and size at maturity of pollock have declined in recent years, a trend which has also been reported in other marine fish species (e.g., haddock, witch flounder). During 1985-1990, male and female pollock attained sexual maturity more than a year earlier than during 1970-1984. Data from the Bay of Fundy provide further evidence of a decline: during 1960-1961, females attained

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish maturity at 62.5 cm and 5-7 years, and males attained maturity at 58 cm and 4-7 years. The decline in size and age at maturity is potentially an effect of size-selective overfishing and/or recent declines in stock abundance or density. The principal pollock spawning sites in the northwest Atlantic are in the western Gulf of Maine, Great South Channel, Georges Bank, and on the Scotian Shelf (Collette and Klein-MacPhee, 2002). In the Gulf of Maine, spawning is concentrated in Massachusetts Bay, Stellwagen Bank, and from Cape Ann to the Isle of Shoals. Spawning is believed to occur throughout the Scotian Shelf; Emerald, LaHave, and Browns banks are the principal sites (Mayo et al. 1989). Spawning occurs over hard, stony or rocky bottom. Pollock initially inhabit the water column and therefore feed on pelagic prey (Collette and Klein- MacPhee, 2002). The primary prey of small larvae (4-18 mm) are larval copepods, while larger larvae (> 18 mm) feed primarily on adult copepods. The primary prey of juvenile pollock are crustaceans. Euphausids, in particular Meganyctiphanes norvegica, are the most important crustacean prey of juveniles. Fish and mollusks make up a smaller proportion of the juvenile diet; however, in some cases fish may play a more important role in the diet. For example, the diet of subtidal juveniles in the Gulf of Maine is reported to be dominated by fish, especially young Atlantic herring (Clupea harengus). The diet of adults is comprised of, in order of decreasing importance, euphausiids, fish and mollusks (Bowman and Michaels 1984; Collette and Klein-MacPhee, 2002). M. norvegica is the single most important prey item and Atlantic herring is the most important fish species. The diet preferences of adults vary with size: crustaceans were the most important prey item among smaller adults (41-65 cm), fish were most important among medium size adults (66-95 cm), and mollusks (the squid Loligo) were the most important prey among the largest adults (> 95 cm). There is evidence that different age classes do not mix, forming large size-segregated schools throughout the water column. In the Bay of Fundy, 0+ and 1+ schools are distinct, with 1+ juveniles inhabiting slightly deeper water. Pollock in the northwest Atlantic were distributed from the Delmarva Peninsula north to the Gulf of St. Lawrence and the Grand Banks during 1975-1994. The areas of highest abundance of the species are the Scotian Shelf and the Gulf of Maine. There is a seasonal difference in juvenile occurrence with bottom temperature. Juveniles were found over a wider range of temperatures in spring than in autumn. In the spring, juveniles occurred primarily between 6-13oC, while in the fall they occurred mostly at temperatures between 8 and 11oC. There is also a seasonal difference in juvenile occurrence with depth, with slightly deeper waters inhabited in autumn. In the spring, juveniles were found from 0-75 m, but roughly 90% of juveniles were caught at depths of # 20 m. In autumn they occurred from 0-70 m with 40% caught at 45 m. In the winter, NEFSC bottom trawl surveys captured juveniles from throughout the Gulf of Maine, Browns Bank, and along the edges of Georges Bank. In summer, they were spread along the inshore areas of the Gulf of Maine, off the coast of Rhode Island and Long Island, the western edge of the Great South Channel, off Massachusetts, and the northern edge of Georges Bank. In spring, the highest densities of pollock were found along the fringes of the Gulf of Maine, as well as the western edge of the Great South Channel, the north-eastern edge of Georges Bank, Browns Bank, and southwest Nova Scotia. Densities were similar in the autumn, with highest densities in Massachusetts Bay. Juveniles were found at temperatures ranging from 1-18oC, although most were found at 4-12oC. There is a slight seasonal difference in juvenile occurrence with bottom temperatures: juveniles were found at colder temperatures in spring than in autumn. In the spring > 60% were collected at temperatures of around 4-6oC, while in autumn > 60% were collected at temperatures of 8-11oC. A similar trend was also reported for age 0+ and age 1+ juveniles. In the spring and fall, juveniles were caught at depths ranging from 5-250 m, but most were found between 25-75 m. Adults were found at temperatures of 1-12oC. There does not appear to be a significant seasonal difference in adult occurrence with bottom temperature, although in spring most adult pollock were found at 6-7oC while in autumn most were found at 8oC. These results support previous reports that adults occur from 1-14oC and that temperatures > 3.3oC are optimal. There also does not appear to

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish be a Main seasonal difference in adult occurrence with depth. Adults were caught at depths ranging from about 15-325 m, with the majority at 75-175 m. Fishery landings, abundance and stock status This summary of the landings, abundance, and stock status of pollock taken from: Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commerce, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/. This particular chapter was authored by Brian Linton. This summary was then updated with the Framework Adjustment 56 To the Northeast Multispecies FMP, dated April 2017 from the New England Fishery Management Council. The most recent assessment of the pollock stock is an operational update assessment of the existing 2014 operational assessment (Hendrickson et al. 2015). This assessment updates commercial and recreational fishery catch data, research survey indices of abundance, the ASAP analytical models, and biological reference points through 2014. Two population assessment models brought forward from the 2014 operational assessment: the base model (dome-shaped survey selectivity), which is used to provide management advice; and the at sel sensitivity model (flat-topped survey selectivity), which is included for the sole purpose of demonstrating the sensitivity of assessment results to survey selectivity assumptions. The most recent benchmark assessment of the pollock stock was in 2010 as part of the 50th Stock Assessment Review Committee (SARC 50; NEFSC 2010), which includes a full description of the model formulations. Updated catch (landings and discard) data, and well as model results for spawning stock biomass, fishing mortality and age 1 recruits are presented in

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Table 9 and and Figure 14. The fishery independent NMFS NEFSC trawl survey index for Gulf of Maine pollock is shown in Figure 15 Figure 3.5C.3. In general, the fishery dependent data indicate that catches have declined dramatically since the mid-1980s, and in the last decade have oscillated at lower levels. The fishery independent trawl survey index, especially the fall survey index, indicates that the stock has remained at low levels, until just recently when there appears to be a substantial increase in biomass. The pollock stock is not overfished and overfishing is not occurring (Figure 16 and Figure 17). Retrospective adjustments were made to the model results. Retrospective adjusted spawning stock biomass (SSB) in 2014 was estimated to be 154,919 (mt) under the base model and 32,040 (mt) under the at sel sensitivity model which is 147 and 58% (respectively) of the biomass target, an SSBMSY proxy of SSB at F40% (105,226 and 54,900 (mt); Figure 16). Retrospective adjusted 2014 age 5 to 7 average fishing mortality (F) was estimated to be 0.07 under the base model and 0.233 under the at sel sensitivity model, which is 25 and 92% (respectively) of the overfishing threshold, an FMSY proxy of F40% (0.277 and 0.252; Figure 17). Finally, the index of age 1 recruits as predicted by the assessment model (Figure 18) indicates a substantial increase in the number of age 1 recruits in the last five years.

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Table 9 Catch and status table for pollock. All weights are in (mt), recruitment is in (000s), and FAV G is the age 5 to 7 average F. Unadjusted SSB and F estimates are reported. Model results are from the current base model and at sel sensitivity model.

2007 2008 2009 2010 2011 2012 2013 2014

Data

Commercial landings 8,373 10,040 7,504 5,153 7,211 6,742 5,058 4,545

Commercial discards 157 355 280 97 174 108 168 135

Recreational landings 570 918 576 1,326 1,436 582 1,727 612

Recreational discards 181 903 395 797 917 845 1,641 779

Catch for Assessment 9,281 12,216 8,755 7,373 9,738 8,277 8,594 6,071

Model Results (base)

Spawning Stock Biomass 282294 271102 250598 228732 225714 209493 205977 198847

F AV G 0.047 0.075 0.066 0.064 0.085 0.072 0.073 0.051

Recruits age1 23331 27177 15360 26638 34890 71958 41112 59953

Model Results ( at sel sensitivity)

Spawning Stock Biomass 81862 78556 69440 63044 62441 57973 57020 57327

F AV G 0.119 0.188 0.168 0.163 0.223 0.192 0.2 0.133

Recruits age1 11029 12879 7384 12954 17235 36001 20880 31234

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Table 10 Comparison of biological reference points for pollock estimated in the 2014 assessment and from the base model and at sel sensitivity model. An FMSY proxy of F40% was used for the overfishing threshold, and was based on long-term stochastic projections. FMSY is reported as the age 5 to 7 average F. Recruits represent the median of the predicted recruits. Intervals shown are 5th and 95th percentiles.

2014 at sel 2014 base sensitivity base at sel sensitivity

FMSY 0.273 0.245 0.277 0.252

SSBMSY (mt) 76,879 51,140 105,226 54,900

MSY (mt) 14,791 10,491 19,678 10,995

Median recruits (age 1) (000s) 17,622 10,806 25,299 12,879

Overfishing No Yes No No

Overfished No No No No

Figure 14 Total catch of pollock between 1970 and 2014 by fleet (commercial, Canadian, distant water fleet, and recreational) and disposition (landings and discards).

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Figure 15 Indices of abundance for pollock from the Northeast Fisheries Science Center (NEFSC) spring (1970 to 2015) and fall (1970 to 2014) bottom trawl surveys. The approximate 90% lognormal confidence intervals are shown.

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Figure 16 Estimated trends in the spawning stock biomass of pollock between 1970 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (0.5 * SSBMSY proxy; horizontal dashed line) as well as SSBTarget (SSBMSY proxy; horizontal dotted line) based on the 2015 assessment models base (A) and at sel sensitivity (B). Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown.

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Figure 17 Estimated trends in age 5 to 7 average F (FAVG) of pollock between 1970 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding FThreshold (FMSY proxy; dashed line) based on the 2015 assessment models base (A) and at sel sensitivity (B). FAVG was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown.

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Figure 18 Estimated trends in age 1 recruitment (000s) of pollock between 1970 and 2014 from the current (solid line) and previous (dashed line) assessment for the assessment models base (A) and at sel sensitivity (B). The approximate 90% lognormal confidence intervals are shown.

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3.4.4 Acadian redfish, Gulf of Maine and Georges Bank Biology Introduction The redfish (Figure 19) is a slow growing, long-lived, ovoviviparous species. In the current nomenclature, the common name redfish refers both to the Acadian redfish (Sebastes fasciatus) and the deepwater redfish (Sebastes mentella). The two species are difficult to discriminate at all life stages and as a matter of fisheries practice are usually combined. Acadian redfish range from New Jersey to Iceland; deepwater redfish range from the Gulf of Maine to Europe. The Acadian redfish predominates to the south and west of the Grand Bank, while the deepwater redfish predominates to the north and east. Where the species overlap, S. mentella occurs in deeper water. Redfish are managed under the NEFMC Northeast Multispecies FMP, and the fishery is considered to exclusively harvest Acadian redfish, and the assessment only considers Acadian redfish. This was confirmed with NEFMC staff at the site visit on 4 May 2016.

Figure 19 The Acadian redfish, Sebastes fasciatus (from Goode 1884).

The basic biology, life history and habitat requirements of Acadian redfish inhabiting the Gulf of Maine are described in detail in the Essential Fish Habitat Source document by Robert A. Pikanowski, Wallace W. Morse, Peter L. Berrien, Donna L. Johnson, and Donald G. McMillan. 1999. Life History and Habitat Characteristics Redfish, Sebastes spp., NMFS NEFSC Tech. Memo.132. 28 p. The following text is based on that report. For more details including all figures and references, the reader is referred to the original document.

Life history and distribution The redfish is a slow-growing, long-lived, ovoviviparous species with an extremely low natural mortality rate (Mayo 1980, 1995). They are common in the deep waters of the North Atlantic Redfish eggs are fertilized internally and develop into larvae within the oviduct and are released near the end of the yolk sac phase (Klein-MacPhee and Collette 2002). Post-larvae descend below the thermocline when they are about 25 mm. Young-of-the-year are pelagic until they reach 40-50 mm at 4-5 months old when they move to the bottom by early fall of their first year. The duration of the pelagic stage would allow transport of larvae and young-of-the-year fish for hundreds of miles. However, the cyclonic gyre in the Gulf of Maine keeps the larvae within the Gulf. This mechanism may also maintain the cold pool of bottom water suitable for redfish allowing them to maintain their abundance at the southern end of their range. On the Scotian Shelf, redfish larvae are scattered widely and apparently subject to random planktonic drift. Redfish of 22 cm or greater are considered adults (O’Brien et al. 1993). As a general rule, the size of landed redfish is positively correlated with depth. The reason for this may involve differential growth rates of stocks, confused species identification (deepwater redfish are a larger species), size specific

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish migration, gender specific migration (females are larger), or a combination of these factors. The depth distribution of redfish in the Western Gulf of St. Lawrence is positively correlated with the depth distribution of their primary euphausiid prey. More redfish are captured by bottom trawl during the day than at night, so the fishery for redfish has been primarily a daytime pursuit. Redfish make diurnal vertical migrations linked to their primary euphausiid prey. By comparing catch-per-unit-effort of trawls with different vertical openings, most redfish move to about 3-7 m off the bottom at night; larger fish moved closer to the bottom in daytime and higher off the bottom at night than smaller fish. Redfish can be more readily taken at night when a lens of water of inappropriate temperature exists near to the bottom, thereby preventing the fish from rising off the bottom. Little is known about redfish breeding behavior but fertilization is internal and fecundity is relatively low. Copulation probably occurs from October to January, but fertilization is delayed until February to April. Larvae are released throughout the range of the adults, perhaps in mid-water, from April to August. Estimates of age and length at maturity vary among published studies and are functions of location, time, population size, and mensuration techniques. The median age at maturity is 5.5 years for both sexes whereas in the 1940s, the median age at maturity was 8-9 years (O’Brien et al. 1993). It may be that redfish have responded to decreases in population size by maturing at younger ages. In 1993 the median length at maturity (L50) was reported as 20.9 cm for males and 22.3 cm for females whereas in a 1984 report the L50 as 15.9 cm for males and 25.9 cm for female (Mayo 1980). Redfish larvae are released soon after the spring plankton bloom and through the summer production of zooplankton in the Gulf of Maine and the Gulf of St. Lawrence. They feed on copepods, euphausiids, and fish and invertebrate eggs. Redfish feed on the pelagic calanoid-euphausiid assemblage throughout ontogeny and prey size is proportional to fish size (Klein-MacPhee and Collette 2002). Small larvae eat larval copepods and eggs. Larger larvae and fry eat copepods and euphausiids. Planktonic redfish feed mostly during daylight and the development of gill rakers in postlarval fish enables them to access smaller prey items. Juvenile and adult redfish eat euphausiids, mysids, and bathypelagic fish (Klein-MacPhee and Collette 2002) . They feed most actively at night when they rise off the bottom following the vertical migration of their primary euphausiid prey. A positive correlation exists between the number of feeding redfish and the size of the catch, implying that redfish concentrate where their prey concentrate. The proportion of fish in the diet is positively correlated with body size. Although Acadian redfish can exceed 45 cm, historically the mean commercial size in the Gulf of Maine has been about 26 cm for males and about 30 cm for females. The Lmax for Gulf of Maine redfish as 33.45 cm for males and 39.66 cm for females. The estimated instantaneous natural mortality coefficient is between 0.05 and 0.1 respectively. Redfish of all sizes are prey to larger piscivorous fish including goosefish, cod, pollock, and wolffish; young redfish are eaten by larger redfish and halibut (Klein-MacPhee and Collette 2002). Although Acadian redfish (S. fasciatus) are found in shoal waters in the Gulf of Maine, they are most common at depths of 128-366 m and have been collected down to 592 m (Klein-MacPhee and Collette 2002). The mean seasonal depths for Acadian redfish on the northeast continental shelf of 171 m in spring, 153 m in summer, and 169 m in fall. He found no evidence for latitudinal migration and classified redfish in the “deep-water sedentary” group with white hake, witch flounder, pollock, and American plaice. Gulf of Maine redfish prefer a temperature range of 3-7oC; Scotian Shelf redfish prefer 5-9oC. Both stocks can tolerate 0-13oC. Their salinity range is reported to be 31-34 ppt. Within the preferred depth and temperature zones, redfish are most abundant over silt, mud, or hard bottom; they are rarely taken over sand. Redfish on the Scotian Shelf prefer finer grained bottom sediments and Scotian Shelf drift (a variable deposit of gravel, silts, clays, and boulders. Because redfish are bathypelagic, it is postulated that redfish are “stranded” in areas where there are current breaks (e.g., banks, ledges, depressions) and do not prefer a particular bottom type. There is evidence that redfish use boulders and anemones for cover.

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Because redfish are not particularly active, it is reasonable that they would be more exposed to predation over a featureless bottom than a structured bottom. Redfish in the northwest Atlantic are distributed from south of Cape Cod to Labrador during 1975- 1994 (Klein-MacPhee and Collette 2002). The areas of highest abundance of the species are the Gulf of St. Lawrence, the Continental Shelf northeast of Newfoundland, the southern edge of the Grand Bank and the Flemish Cap. In U.S. waters, redfish are common in the Gulf of Maine, in the deeper waters north and west of Georges Bank, and to a lesser extent on Browns Bank and the continental slope. Although Acadian redfish can be found from shoal waters to nearly 600 m in the Gulf of Maine, they are most commonly found at depths of 128-366 m. Fishery landings, abundance and stock status This summary of the landings, abundance, and stock status of Acadian redfish is taken from: Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commerce, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/. This particular chapter was authored by Brian Linton. This summary was then updated with the Framework Adjustment 56 To the Northeast Multispecies FMP, dated April 2017 from the New England Fishery Management Council. Acadian redfish is believed to be the sole representative of the genus Sebastes that is harvested in the commercial fishery in US waters. NMFS manages Acadian redfish inhabiting the U.S. waters of the Gulf of Maine and deeper portions of Georges Bank and the Great South Channel as a unit stock. The most recent assessment of the Acadian redfish (Sebastes fasciatus) stock is an operational update assessment of the existing 2012 operational assessment (NEFSC 2012). This assessment updates commercial fishery catch data, research survey indices of abundance, the ASAP analytical model, and biological reference points through 2014. The most recent benchmark assessment of the Acadian redfish stock was in 2008 as part of the 3rd Groundfish Assessment Review Meeting (GARM III; NEFSC 2008), which includes a full description of the model formulations. Updated catch (landings and discard) data, and well as model results for spawning stock biomass, fishing mortality and age 1 recruits are presented in Table 11 and Table 12 and Figure 20. The fishery independent NMFS NEFSC trawl survey index for GOM redfish is shown in Figure 21. In general, the fishery dependent data indicates that catch of redfish have steadily increased in the last decade, but these landing are only a fraction of the landing that were taken in the 1940s to the 1970s. The fishery independent index for the trawl survey indicate a steady increase in stock biomass over the last two decades. Based on this updated assessment, the Acadian redfish (Sebastes fasciatus) stock is not overfished and overfishing is not occurring (Figure 22 and Figure 23). Retrospective adjustments were made to the model results. Retrospective adjusted spawning stock biomass (SSB) in 2014 was estimated to be 330,004 (mt) which is 117% of the biomass target (SSBMSY proxy of SSB at F50% = 281,112; Figure 22 3.5D.4). The retrospective adjusted 2014 fully selected fishing mortality (F) was estimated to be 0.015 which is 39% of the overfishing threshold (FMSY proxy of F50% = 0.038; Figure 23). Finally, the results of the assessment model indicate a substantial increase in recruitment of age 1 individuals in the last 5 years (Figure 24).

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Table 11 Catch and status table for Acadian redfish. All weights are in (mt), and FFull is the fishing mortality on fully selected ages. Unadjusted SSB and F estimates are reported. Model results are from the current updated ASAP assessment.

2007 2008 2009 2010 2011 2012 2013 2014

Data

Commercial landings 787 1,193 1,461 1,646 2,011 3,844 3,550 4,573

Commercial discards 373 180 206 206 212 302 424 513

Catch for Assessment 1,160 1,373 1,667 1,852 2,223 4,146 3,974 5,086

Model Results

Spawning Stock Biomass 205,903 228,151 252,149 278,878 309,190 342,567 377,993 414,544

F Full 0.006 0.006 0.007 0.007 0.008 0.012 0.011 0.012

Recruits age1 177,255 274,310 142,068 46,308 63,366 72,633 126,756 108,697

Table 12 Comparison of biological reference points for Acadian redfish estimated in the 2012 assessment and from the 2014 assessment update. An FMSY proxy of F50% was used for the overfishing threshold, and was based on long-term stochastic projections. Recruits represent the median of the predicted recruits from 1969 to the final assessment year. Intervals shown are 5th and 95th percentiles.

2012 2014

FMSY proxy 0.038 0.038

SSBMSY (mt) 238,480 281,112

MSY (mt) 8,891 10,466

Median recruits (age 1) (000s) 22,477 31,391

Overfishing No No

Overfished No No

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Figure 20 Total catch of Acadian redfish between 1913 and 2014 by fleet (commercial and other) and disposition (landings and discards).

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Figure 21 Indices of abundance for Acadian redfish from the Northeast Fisheries Science Center (NEFSC) spring (1963 to 2015) and fall (1963 to 2014) bottom trawl surveys. The approximate 90% lognormal confidence intervals are shown.

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Figure 22 Trends in spawning stock biomass of Acadian redfish between 1913 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (0.5 * SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown.

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Figure 23 Trends in the fully selected fishing mortality (FFull) of Acadian redfish between 1913 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding FThreshold (FMSY proxy =0.038; horizontal dashed line) based on the 2015 assessment. FFull was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown.

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Figure 24 Trends in Recruits (age 1) (000s) of Acadian redfish between 1913 and 2014 from the current (solid line) and previous (dashed line) assessment. The approximate 90% lognormal confidence intervals are shown.

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3.5 Principle Two: Ecosystem Background The analysis for Principle 2 (P2) is made considering that the UoA and the UoC (to be determined) are the same and composed by the US northeast bottom trawl fleet with federal permits to haddock, pollock and redfish from the Gulf of Maine and Georges Bank.

3.5.1 Primary and Secondary Species The MSC standard v2.0 requires assessments to distinguish between Primary and Secondary species. Primary species will usually be fish and shellfish species of commercial value whose exploitation is controlled with management tools and have known reference points in place. Secondary species include fish and shellfish species that are not managed according to reference points. Secondary species are also considered to be all species that are out of scope of the standard (birds/ mammals/ reptiles/ amphibians) and that are not ETP species. Primary and Secondary species, species may be considered “Main” based on either resilience and catch volume. Species that are not “Main” are Minor. Primary and Secondary, and Main and Minor species must meet different Performance Indicators (PIs) in P2. Resilience: If the species is considered "less resilient" and it is ≥ 2% of the catch, then it is considered Main, otherwise it is considered Minor. Catch volume: If the species is not considered "less resilient" and it is ≥ 5% of the catch, then it is considered Main, otherwise, it is considered Minor. Based on the species identified in the catch composition, there are no species that are considered "less resilient' in the catch. Various species are caught incidentally by the northeast groundfish otter trawl fishery and will be impacted to some degree by the prosecution of the fishery. Non-target interactions in the northeast groundfish fishery are also relatively high compared to the other fisheries managed by the NEFMC. For non-target species that are managed under their own FMP, incidental catch/discards are also considered as part of the management of that fishery. The analysis of Primary and Secondary species for this fishery was divided in the two stock areas: Gulf of Maine (Statistical Areas 464, 465, 511, 512, 513, 514, and 515) and Georges Bank (Statistical Areas 521, 522, 525, 526, 561, and 562). The observed catch data includes the NMFS NEFSC includes all bottom trawl gear (Gear Codes 050, 052, 053, 054, 057, 058, 059), large mesh (≥ 5.5 inch), go as the best characterize the variety of large mesh (≥ 5.5 inch), otter trawls used to catch haddock, pollock and redfish in the Gulf of Maine and on Georges Bank. These gear codes include not only the standard trawl, but also any haddock separator trawl, the monkfish trawl, and other large mesh trawls, essentially all trawls that land haddock, pollock and redfish. The element approach to scoring is used in the P2.1.x and 2.2.x PI evaluation for two stock areas, and for the primary and secondary species captured in each stock area. The large differences in the species distribution and the discard rates for the trawl catches in the two stock areas warrants this approach. Because there are four different UoAs within the large mesh bottom trawl fishery, the P2 primary or secondary species captured in the fishery for one UoA may be also be UoA in the same fishery for another UoA. To accommodate this possibility, the four UoA species/stocks that comprise the P1 species are also considered as P2 species. Additionally, the element method is also used for the scoring of the various species. The data used for this analysis was provided by the NEFSC and includes observed tows for the period 2011 to 2015. Data for 2016 was not included as it was not available for the entire year at the time of the drafting of this report (May-July 2017). The number of hauls observed is listed at the top of the column for each year. The observed weights in pounds for each year (2011-2015) were summed and converted to percent catch by species for the entire year including all species. The average of the catch of the last five years is a weighted average, total observed weight for species in the catch divided by five. The percent by species in the catch is the total observed weight for the

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish species divided by the total observed catch weight. Species that represent less than 0.1% of the catch are not listed.

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Table 13, Table 14, Table 15, and Table 16 present the observed catch data, percent by species of total catch composition, and the MSC classification of Primary or Secondary and Main or Minor, for the two management areas (GOM and GB). Additionally, the overfished status (YES, NO, UNK) for each species is listed based on the most recent NMFS, NEFSC stock assessment information.

No seabirds were reported in the observer data as interacting with large mesh bottom trawl fishery either on Georges Bank or in the Gulf of Maine. However, it is noted by Powers (1983) that seabirds are found in both areas. For the standard large mesh trawl in the Gulf of Maine (Tables 3.4.1 and 3.4.2), the number of observed tows in the 2011 to 2015 period ranges from 2736 to 6747. The observer coverage during that period averaged about 20+%. About 78% of the catch is retained, and 22% is discarded. The primary main species are Acadian redfish (19.1% of the catch), pollock (16.4% of the catch). monkfish (13.5% of the catch), white hake (8.6% for the catch), Gulf of Maine Atlantic cod (8.0% of the catch), American plaice (6.1% of the catch), spiny dogfish (6.0%) of the catch), and haddock (2.3% of the catch). The following population status summaries of GOM primary main species are taken from the NEFMC, 2017, FW 56 report: Acadian redfish (Sebastes fasclatus) population status: The most recent assessment of the Acadian redfish (Sebastes fasciatus) stock is an operational update assessment of the existing 2012 operational assessment (NEFSC 2012). This assessment updates commercial fishery catch data, research survey indices of abundance, the ASAP analytical model, and biological reference points through 2014. In general, the fishery dependent data indicates that catch of redfish have steadily increased in the last decade, but these landing are only a fraction of the landing that were taken in the 1940s to the 1970s. The fishery independent index for the trawl survey indicate a steady increase in stock biomass over the last two decades. Based on this updated assessment, the Acadian redfish (Sebastes fasciatus) stock is not overfished and overfishing is not occurring.

Pollock (Pollachius virens) populations status: The most recent assessment of the pollock stock is an operational update assessment of the existing 2014 operational assessment (Hendrickson et al. 2015). This assessment updates commercial and recreational fishery catch data, research survey indices of abundance, the ASAP analytical models, and biological reference points through 2014. In general, the fishery dependent data indicate that catches have declined dramatically since the mid-1980s, and in the last decade have oscillated at lower levels. The fishery independent trawl survey index, especially the fall survey index, indicates that the stock has remained at low levels, until just recently when there appears to be a substantial increase in biomass. The pollock stock is not overfished and overfishing is not occurring. Monkfish (Lophius americanus) population status: The Monkfish FMP defines two management areas for monkfish (northern and southern), divided roughly by an east-west line bisecting Georges Bank. As of 2013 data, monkfish in both management areas are not overfished and overfishing is not occurring. An operational assessment for monkfish was conducted in 2016, but it was recommended that stock status not be updated during this data update due to a lack of biological reference points. GOM cod population status: The GOM stock appears to be relatively distinct from the offshore cod stocks on the banks of the Scotian Shelf and Georges Bank based on tagging studies. GOM cod spawning stock biomass is estimated to have been just over 22,000 mt in 1982. After a period of decline in the 1980’s, SSB returned to roughly 20,000 mt in 1990 before decreasing again in the 1990’s. The use of separate assessment models (M=0.2 and M-ramp) in the last three assessments yield two estimates for SSB in recent years, though both indicate

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a sharp decline in SSB since 2010, when SSB was estimated at 8,638 mt and 10,645 mt (respectively). The stock remains low relative to historic levels and is subject to a formal stock rebuilding plan. The 2014 SSB estimates (M=0.2 and M-ramp models) are 2,225 mt and 2,536 mt (respectively), which are 6% and 4% (respectively) of the biomass target. The 2014 fully selected fishing mortality was estimated to be 0.956 and 0.932, which is 517% and 498% of the FMSY proxy (respectively) (NEFSC 2015). Currently, the GOM cod stock is overfished and overfishing is occurring (NEFSC 2015). The NEFMC stock rebuilding program for GOM cod is in year 3 of a 10-year plan. White hake population status: Based on the 2015 NEFSC operational assessment, the white hake stock is not overfished and overfishing is not occurring. The 2014 spawning stock biomass is estimated to be 28,553 mt, which is 88% of the biomass target (NEFSC 2015). The stock has not rebuilt as the projections from the last assessment indicated, due to the retrospective pattern in recruitment. Spawning stock biomass has shown a general increasing trend since 2005. American plaice population status: In the Gulf of Maine and Georges Bank, the American plaice is not overfished and overfishing is not occurring (NEFSC 2015). The NEFMC adopted a revised rebuilding strategy through FW 51, which would rebuild the stock in 10 years with a 50 percent (median) probability of success by 2024 (NEFMC 2014). The retrospective adjusted spawning stock biomass in 2014 was estimated to be at 10,977 mt, which is 84% of the biomass target (NEFSC 2015). Dogfish population status: The NEFMC and MAFMC jointly manage spiny dogfish FMP for federal waters and the Atlantic States Marine Fisheries Commission (ASMFC) has a state waters plan. Spawning stock biomass of spiny dogfish declined rapidly in response to a directed fishery during the 1990’s. NFMS initially implemented management measures for spiny dogfish in 2001. These measures have been effective in reducing landings and fishing mortality. At the 2010 TRAC, managers agreed to determine stock status using the model from SAW 43 and NEFSC spring survey data through 2009. The stock is not presently overfished and overfishing is not occurring. NMFS declared the spiny dogfish stock rebuilt for the purposes of federal management in May 2010 (TRAC 2010). As of the 2015 update, the stock remains rebuilt, is not overfished, and overfishing is not occurring.

Haddock (GOM) (Melanogrammus anglefinus) population status: The most recent assessment of the Gulf of Maine haddock (Melanogrammus aeglefinus) stock is an operational update assessment of the previous 2014 benchmark assessment (NEFSC 2014). Based on the previous assessment, the stock was not overfished, and overfishing was not occurring. This assessment updates commercial and recreational fishery catch data, research survey indices of abundance, and the analytical ASAP assessment model and reference points through 2014.

In summary, with the exception of Atlantic cod in the GOM, none of the species are overfished. Atlantic cod in the GOM has been determined by NMFS to be overfished, however the catches of Gulf of Maine cod in the multispecies fishery are accounted for in the cod stock rebuilding plan. The following stock status reports for primary minor species are taken from the NEFMC, 2017, FW 56 report: Witch flounder population status: The witch flounder stock status is unknown due to a lack of biological reference points. Witch flounder is considered here as a Primary species because while it is species that does not have a full analytical stock assessment, there are established biological reference point proxies available to determine the PRI in place. Additionally, all the fisheries impacting that stock are managed to maintain the stock above that proxy reference

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point, and there is a stock rebuilding plan in place. The 2016 benchmark assessment (SARC 62) peer review panel did not accept the analytical assessment models for witch flounder (NEFSC 2017). The 2015 operational assessment update concluded that the stock was overfished and that was overfishing was occurring (NEFSC 2015), but this was based on results of a VPA model that the panel also rejected during the SARC 62 peer review process. The 2016 peer review concluded that the age-structured assessment models (VPA, ASAP, and SCAA) had major retrospective patterns in the estimates that prevent their use for status evaluation and determination of catch advice (NEFSC 2017). Because a stock assessment model framework is lacking, no historical estimates of biomass, fishing mortality rate, or recruitment can be calculated. Status determination relative to reference points is not possible because reference points cannot be defined. In the absence of an assessment model, an area-swept empirical approach indicates the stock is at low historical levels and stock biomass has declined since 2002. The fishery landings and survey catch by age indicate a truncation of age structure and a reduction in the number of old fish in the population (NEFSC 2017). Therefore, the stock status is considered to be unknown, but there is a stock rebuilding plan in place.

American lobster stock status: The 2009 Stock Assessment Report concluded that “the American lobster fishery resource presents a mixed picture, with stable abundance for much of the Gulf of Maine stock, increasing abundance for the Georges Bank stock, and decreased abundance and recruitment yet continued high fishing mortality for the Southern New England stock”. An updated benchmark assessment was conducted in 2015. This assessment combined the GOM and GB stocks into a single biological unit. The GOM/GB unit is not overfished and overfishing is not occurring, while the SNE stock is considered depleted but overfishing is not occurring (ASMFC 2015, NEFSC 2015). Yellowtail flounder stock status: Based on the 2015 operational assessment (NEFSC 2015), the CC/GOM yellowtail flounder stock is overfished and overfishing is occurring. The retrospective adjusted 2014 spawning stock biomass was estimated to be 857 mt, which is 16% of the biomass target. The 2014 fully selected fishing mortality was estimated to be 0.64, which is 229% of the FMSY proxy (NEFSC 2015). The stock rebuilding plan for yellowtail flounder is in year 13 of a 19 year plan. Winter, barndoor, thorny, little, and smooth skates: Due to insufficient information about the population dynamics of skates, there remains considerable uncertainty about the status of skate stocks. Based on NEFSC bottom trawl survey data through autumn 2015/spring 2016, one skate species remains overfished (thorny) and overfishing is not occurring in any of the seven skate species. Barndoor skate is considered to be rebuilt for the purposes of federal management as of August 2016. Recent skate landings have fluctuated between approximately 30 and 40 million pounds. The landings and catch limits proposed by Amendment 3 to the Northeast Skate Complex FMP (https://www.nefmc.org/management- plans/skates) have an acceptable probability of promoting biomass growth and achieving the rebuilding (biomass) targets for thorny skates. Modest reductions in landings and a stabilization of total catch below the median relative exploitation ratio should cause skate biomass and future yield to increase. The thorny skate rebuilding plan is in year 14 of a 25 year plan. Silver hake population status: As of the last assessment in 2010, silver hake is not overfished and overfishing is not occurring in the northern or southern management area of the northeast coast of the US.. Winter flounder population status: Gulf of Maine winter flounder overfished status is unknown, and overfishing is not occurring. The overfished status remains unknown because a biomass reference point or proxy cannot be determined without an assessment model, and an analytical assessment model has not been accepted since the last benchmark (NEFSC 2015).

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In the absence of an assessment model, an area-swept empirical approach is used to estimate the abundance of 30+ cm biomass based on state and federal surveys, which was estimated at 4,655 mt for 2014 biomass (NEFSC 2015). Therefore, winter flounder is considered a primary species, its stock status is unknown, but there is a stock rebuilding plan in place, that is in year 7 of a 7 year plan. Red hake population status: Based on current biological reference points in the existing FMP, the northern stock of red hake is not overfished and overfishing is not occurring. The three- year delta mean biomass index, based on NEFSC fall bottom trawl survey data for 2007-2009 (2.87 kg/tow), was above the management threshold level (1.6 kg/tow) and slightly below the target (3.1 kg/tow). The three year average exploitation index (landings divided by biomass index) for 2007-2009 (0.03) was below both the target (0.39) and the threshold (0.65). Windowpane flounder population status: Based on the 2015 operational assessment, the northern windowpane flounder stock is overfished but overfishing is not occurring (NEFSC 2015). This is a change from the 2012 assessment update when the stock was overfished and overfishing was occurring (NEFSC 2012). The stock has been experiencing stable-to- decreasing catch since 2008, and an increasing trend in the survey index since 2010 (NEFSC 2015). The stock rebuilding plan for windowpane flounder is in year 7 of a 7-year plan. Atlantic halibut population status: The stock assessment model framework for Atlantic halibut was not accepted as best scientific advice by the review panel at the 2015 operational assessments (NEFSC 2015). The 2010 benchmark assessment and 2012 assessment update concluded that the stock was overfished and that was overfishing was occurring (NEFSC 2012; NEFSC 2010). All information available in the 2015 assessment update, including the long-term exploitation history of the stock and survey trends, indicate that stock size has not increased, and that the condition of the stock is still poor. The 2015 peer review concluded that the halibut model was not acceptable as a scientific basis for catch advice, and that stock status and catch advice should be based an alternative approach. Because a stock assessment model framework is lacking, no historical estimates of biomass, fishing mortality rate, or recruitment can be calculated. Status determination relative to reference points is not possible because reference points cannot be defined. Overfishing status is considered unknown for halibut and the peer review concluded that evidence suggests that this stock should still be considered overfished (NEFSC 2015). Therefore, this stock is considered as a primary species, the stock status is unknown, and the stock rebuilding plan for Atlantic halibut is in year 13 of a 52-year plan. Sea scallop population status: The principal U.S. commercial fisheries are in the Mid-Atlantic (from Virginia to Long Island, New York) and on Georges Bank and neighbouring areas, such as the Great South Channel and Nantucket Shoals. There is also a small, primarily inshore fishery for sea scallops in the Gulf of Maine. The NEFMC established the Scallop FMP in 1982. The scallop resource was last assessed in 2014, and it was not overfished, and overfishing was not occurring (NEFSC 2014). Atlantic wolfish population status: Based on the 2015 operational assessment, Atlantic wolfish is overfished but overfishing is not occurring. The 2014 spawning stock biomass is estimated to be 638 mt, which is 38% of the biomass target (NEFSC 2015). The Atlantic wolfish stock rebuilding plan is in year 7. Atlantic herring population status: The Atlantic herring fishery is managed by the NEFMC. Presently, herring from the GOM (inshore) and GB (offshore) stock components are combined for assessment purposes into a single coastal stock complex. The fishery uses quotas by area and season. Prosecuted primarily by mid water trawls (single and paired) and purse seines, management measures include restrictions on the incidental catch of haddock and other regulated groundfish. Mid-water trawls are allowed access to the groundfish closed areas as an exempted fishery but their use of the areas is subject to numerous regulatory restrictions. As of the 2015 operational assessment report, Atlantic herring was not overfished and

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overfishing was not occurring. The retrospective adjusted spawning stock biomass in 2014 is estimated to be 622,991 mt, which is 150% of the biomass target.

In summary for the primary minor species, there are 16 species listed, and only thorny skate (1.4% of the catch), windowpane flounder (0.1% of the catch), Atlantic halibut (0.1% of the catch), and Atlantic wolffish (0.1% of the catch) are overfished. There are stock rebuilding plans in effect for all these species. There are no secondary main or minor species in the GOM fishery, that are represented at >0.1% of the catch. Other species are taken in this fishery with this gear, but their percentage of the catch is less than 0.1%, so it is believed that this fishery could not impact them. For the standard trawl on Georges Bank (Table 3.4.3 and 3.4.4), ), the number of observed tows in the 2011 to 2015 period ranges from 4425 to 9468. The observer coverage during that period averaged about 20+%. About 50% of the catch is retained, and 50% is discarded. The primary main species include winter skate (17.9% of the catch), haddock (GB) (11.7% of the catch), little skate (12.4% of the catch), monkfish (6.5% of the catch), winter flounder (5.7% of the catch, spiny dogfish (5.3% of the catch) and GB Atlantic cod (4.8% of the catch), pollock (4.0% of the catch), and Acadian redfish (3.6% of the catch). The population status, as described in the NEFMC, 2017, FW 56 report, for the primary main species taken by the standard trawl on Georges Bank are as follows: Haddock (Melanogrammus aeglefinus) GB population status: The most recent assessment of the stock is an operational assessment of the existing 2012 update VPA assessment (Brooks et al., 2012). In general, the fishery dependent data indicate the catch have declined dramatically form the 1960s, and that for last few decades catches have oscillated at low levels dependent on sporadic and strong recruitment events. The fishery independent trawl survey index indicates that the stock has increased substantially in the last five years, most likely related to strong recruitment. Based on this updated assessment, the Georges Bank haddock stock is not overfished and overfishing is not occurring. Acadian redfish (Sebastes fasclatus) population status: The most recent assessment of the Acadian redfish (Sebastes fasciatus) stock is an operational update assessment of the existing 2012 operational assessment (NEFSC 2012). This assessment updates commercial fishery catch data, research survey indices of abundance, the ASAP analytical model, and biological reference points through 2014. In general, the fishery dependent data indicates that catch of redfish have steadily increased in the last decade, but these landing are only a fraction of the landing that were taken in the 1940s to the 1970s. The fishery independent index for the trawl survey indicate a steady increase in stock biomass over the last two decades. Based on this updated assessment, the Acadian redfish (Sebastes fasciatus) stock is not overfished and overfishing is not occurring. Pollock (Pollachius virens) populations status: The most recent assessment of the pollock stock is an operational update assessment of the existing 2014 operational assessment (Hendrickson et al. 2015). This assessment updates commercial and recreational fishery catch data, research survey indices of abundance, the ASAP analytical models, and biological reference points through 2014. In general, the fishery dependent data indicate that catches have declined dramatically since the mid-1980s, and in the last decade have oscillated at lower levels. The fishery independent trawl survey index, especially the fall survey index, indicates that the stock has remained at low levels, until just recently when there appears to be a substantial increase in biomass. The pollock stock is not overfished and overfishing is not occurring.

Winter and little stake population status: Due to insufficient information about the population dynamics of skates, there remains considerable uncertainty about the status of skate stocks.

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Based on NEFSC bottom trawl survey data through autumn 2015/spring 2016, one skate species remains overfished (thorny) and overfishing is not occurring in any of the seven skate species. Recent skate landings have fluctuated between approximately 30 and 40 million pounds. The landings and catch limits proposed by Amendment 3 have an acceptable probability of promoting biomass growth and achieving the rebuilding (biomass) targets for thorny skates. Modest reductions in landings and a stabilization of total catch below the median relative exploitation ratio should cause skate biomass and future yield to increase. Monkfish population status: The Monkfish FMP defines two management areas for monkfish (northern and southern), divided roughly by an east-west line bisecting Georges Bank. As of 2013 data, monkfish in both management areas are not overfished and overfishing is not occurring. An operational assessment for monkfish was conducted in 2016, but it was recommended that stock status not be updated during this data update due to a lack of biological reference points. Winter flounder population status: Based on the 2015 operational assessment, the Georges Bank winter flounder stock is overfished and overfishing is occurring (NEFSC 2015). This was a change from the 2014 assessment in which the stock was not overfished and overfishing was not occurring, due to a worsening of the retrospective error associated with fishing mortality and SSB (NEFSC 2014). The retrospective adjusted spawning stock biomass in 2014 was estimated to be 2,883 mt, which is 43% of SSBMSY. The 2014 fully selected fishing mortality was estimated to be 0.778, which is 145% of the FMSY proxy (NEFSC 2015).The Georges Bank winter flounder stock rebuilding plan is in year 7 of a 7 year plan. Spiny dogfish population status: At the 2010 TRAC, managers agreed to determine stock status using the model from SAW 43 and NEFSC spring survey data through 2009. The stock is not presently overfished and overfishing is not occurring. NMFS declared the spiny dogfish stock rebuilt for the purposes of federal management in May 2010 (TRAC 2010). As of the 2015 update, the stock remains rebuilt, is not overfished, and overfishing is not occurring. GB Atlantic cod population status: GB cod is a transboundary stock co-managed by the U.S. and Canada. The GB cod stock underwent a benchmark assessment in 2012 (SAW55, NEFSC 2013a), which indicated that the stock is overfished and overfishing is occurring. The 2015 peer review concluded that the GB cod model was not acceptable as a scientific basis for catch advice, and that stock status and catch advice should be based an alternative approach. The update to the ASAP model was rejected, not the underlying benchmark formulation from SAW 55. Because a stock assessment model framework is lacking, no historical estimates of biomass, fishing mortality rate, or recruitment can be calculated. Status determination relative to reference points is not possible because reference points cannot be defined. Overfishing status is considered unknown and the peer review concluded that evidence suggests that this stocks should still be considered overfished (NEFSC 2015). The GB cod stock rebuilding program is in year 13 of a 23-year plan. In summary, NMFS has determined that winter flounder, and GB Atlantic cod are overfished, however there are stock rebuilding plans for each of these species, and the catches of these species in the multispecies fishery are accounted for in the stock rebuilding plans. There are 17 primary, minor species, that represent 2.7 to 0.1% of the total catch by species. The following stock status summaries are taken for the NEFMC, 2017, FW 56 report: Barndoor, smooth and thorny skate population status: Due to insufficient information about the population dynamics of skates, there remains considerable uncertainty about the status of skate stocks. Based on NEFSC bottom trawl survey data through autumn 2015/spring 2016, one skate species remains overfished (thorny) and overfishing is not occurring in any of the seven skate species. Barndoor skate is considered to be rebuilt for the purposes of federal management as of August 2016. Recent skate landings have fluctuated between approximately 30 and 40 million pounds. The landings and catch limits proposed by

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Amendment 3 have an acceptable probability of promoting biomass growth and achieving the rebuilding (biomass) targets for thorny skates. Modest reductions in landings and a stabilization of total catch below the median relative exploitation ratio should cause skate biomass and future yield to increase. American plaice population status: In the Gulf of Maine and Georges Bank, the American plaice is not overfished and overfishing is not occurring (NEFSC 2015). The NEFMC adopted a revised rebuilding strategy through FW 51, which would rebuild the stock in 10 years with a 50 percent (median) probability of success by 2024 (NEFMC 2014). The retrospective adjusted spawning stock biomass in 2014 was estimated to be at 10,977 mt, which is 84% of the biomass target (NEFSC 2015).

White hake population status: Based on the 2015 operational assessment, the white hake stock is not overfished and overfishing is not occurring. The 2014 spawning stock biomass is estimated to be 28,553 mt, which is 88% of the biomass target (NEFSC 2015). The stock has not rebuilt as the projections from the last assessment indicated, due to the retrospective pattern in recruitment. Spawning stock biomass has shown a general increasing trend since 2005 (NEFSC 2015).

American lobster population status: The most recent 2009 Stock Assessment Report concluded that “the American lobster fishery resource presents a mixed picture, with stable abundance for much of the Gulf of Maine stock, increasing abundance for the Georges Bank stock, and decreased abundance and recruitment yet continued high fishing mortality for the Southern New England stock”. An updated benchmark formulation was used in 2015. This assessment combined the GOM and GB stocks into a single biological unit. The GOM/GB unit is not overfished and overfishing is not occurring, while the SNE stock is considered depleted but overfishing is not occurring.

Yellowtail flounder population status: The Georges Bank yellowtail flounder stock is a transboundary stock co-managed by the U.S. and Canada. The GB yellowtail flounder stock status is unknown due to a lack of biological reference points. Because a stock assessment model framework is lacking, no historical estimates of biomass, fishing mortality rate, or recruitment can be calculated. Status determination relative to reference points is not possible because reference points cannot be defined. In the absence of an assessment mode, an empirical approach based on survey catches indicates stock condition is poor, given a declining trend in survey biomass despite reductions in catch to historical low levels. Total catch has declined in recent years and is at the lowest value in the time series. The stock has been experiencing below average recruitment and a truncation of age structure. Stock biomass is low and productivity is poor (TRAC 2016). NEFMC has a stock rebuilding plan for GB yellowtail flounder, that is in 11 of a 26-year plan.

Witch flounder population status: The witch flounder stock status is unknown due to a lack of biological reference points. The 2016 benchmark assessment (SARC 62) peer review panel did not accept the analytical assessment models for witch flounder (NEFSC 2017). The 2015 operational assessment update concluded that the stock was overfished and that was overfishing was occurring (NEFSC 2015), but this was based on results of a VPA model that the panel also rejected during the SARC 62 peer review process. The 2016 peer review concluded that the age-structured assessment models (VPA, ASAP, and SCAA) had major retrospective patterns in the estimates that prevent their use for status evaluation and determination of catch advice. Because a stock assessment model framework is lacking, no historical estimates of biomass, fishing mortality rate, or recruitment can be calculated. Status determination relative to reference points is not possible because reference points cannot be defined. As noted previously, the witch flounder is considered a primary species, its stock status is unknown, and there is a stock rebuilding plan in place.

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Silver hake population status: As of the last assessment in 2010, silver hake is not overfished and overfishing is not occurring in the northern or southern management area.

Loligo squid population status: Based on a new biomass reference point from a 2010 SAW- SARC assessment, the longfin squid stock was not overfished in 2009, but overfishing status was not determined because no overfishing threshold was recommended (though the assessment did describe the stock as “lightly exploited”).

Summer flounder population status: Results from the 2016 assessment update indicate that the summer flounder stock was not overfished, but overfishing was occurring in 2015 relative to the biological reference points from the SAW 57 benchmark assessment. The estimated SSB in 2015 was 36,240 mt, which is 58% of the target biomass. Fully selected fishing mortality was estimated to be 0.390 in 2015, which is 126% of the FMSY proxy.

Butterfish population status: Butterfish was previously considered overfished, until the most recent stock assessment in March 2014 concluded that the stock is above target stock size and experiencing low fishing mortality. The butterfish ABC of 33,278 mt for fishing year 2015 is a significant increase from the 2014 ABC of 9,100 mt.

Windowpane flounder population status: Based on the 2015 operational assessment, the northern windowpane flounder stock is overfished but overfishing is not occurring (NEFSC 2015). This is a change from the 2012 assessment update when the stock was overfished and overfishing was occurring (NEFSC 2012). The stock has been experiencing stable-to- decreasing catch since 2008, and an increasing trend in the survey index since 2010 (NEFSC 2015). There is a stock rebuilding plan for windowpane flounder that is in year 7 of a 7-year plan.

Red hake population status: Based on current biological reference points in the existing FMP, the northern stock of red hake is not overfished and overfishing is not occurring. The three- year delta mean biomass index, based on NEFSC fall bottom trawl survey data for 2007-2009 (2.87 kg/tow), was above the management threshold level (1.6 kg/tow) and slightly below the target (3.1 kg/tow). The three-year average exploitation index (landings divided by biomass index) for 2007-2009 (0.03) was below both the target (0.39) and the threshold (0.65).

Sea scallop population status: The NEFMC established the Scallop FMP in 1982. The scallop resource was last assessed in 2014, and it was not overfished, and overfishing was not occurring.

Atlantic halibut population status: The stock assessment model framework for Atlantic halibut was not accepted as best scientific advice by the review panel at the 2015 operational assessments (NEFSC 2015). The 2010 benchmark assessment and 2012 assessment update concluded that the stock was overfished and that was overfishing was occurring (NEFSC 2012; NEFSC 2010). All information available in the 2015 assessment update, including the long-term exploitation history of the stock and survey trends, indicate that stock size has not increased, and that the condition of the stock is still poor. The 2015 peer review concluded that the halibut model was not acceptable as a scientific basis for catch advice, and that stock status and catch advice should be based an alternative approach. Because a stock assessment model framework is lacking, no historical estimates of biomass, fishing mortality rate, or recruitment can be calculated. Status determination relative to reference points is not possible because reference points cannot be defined. Overfishing status is considered unknown for halibut and the peer review concluded that evidence suggests that this stocks should still be considered overfished (NEFSC 2015). As noted previously, the Atlantic halibut

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stock is considered here as a primary species, the stock status is unknown, but there is a stock rebuilding plan in place for Atlantic halibut that is in year 13 of a 52-year plan.

Ocean pout population status: Based on the 2015 operational assessment, ocean pout is overfished but overfishing is not occurring. The stock is not rebuilding as expected, despite low catch (NEFSC 2015).There is a stock rebuilding plan for ocean pout that is in Year 13 of a 10 year plan.

In summary, most primary minor species are not overfished, only thorny skate and windowpane flounder have been determined to be overfished. There are no secondary main species, and just four secondary minor species, including four spot flounder, Atlantic mackerel, illex squid, and deepsea red crab. The stock status of these species is taken from the NMFS GARFO website in 2017 (https://www.greateratlantic.fisheries.noaa.gov/). Four spot flounder population status: unknown. Atlantic mackerel population status: The mackerel stock was most recently assessed via a Transboundary Resource Assessment Committee in 2010 (TRAC 2010), which analyzed data through 2008. A number of different models and model formulations were evaluated. Given the uncertainty in the assessment results, the TRAC agreed that short term projections and characterization of stock status relative to estimated reference points would not be an appropriate basis for management advice at this time. Given current indications of reduced productivity and lack of older fish in the survey and catch, the TRAC recommended that annual total catches not exceed the average total landings (80,000 mt) over the last three years (2006-2008) until such time that new information suggests that a different amount is appropriate. Illex squid population status: unknown Deepsea red crab population status: unknown

Many other species are taken in this fishery with this gear, but their percentage of the overall UoA catch is less than 0.1% (negligible catch), so it is believed by the assessment team that this fishery does not impact them. In summary, the trawl gear used in the haddock, pollock and redfish fishery in the Gulf of Maine and on Georges Bank have significant bycatch and high discard rates. While these fisheries are by definition multispecies fisheries, several primary main species have been determined to be overfished, however there are in place stock rebuilding plans for these species that are part of the FMPs for these species, and fishing mortality is controlled and closely monitored in the stock rebuilding process. This will be considered further in the P2 scoring evaluation.

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Table 13 Catch composition of the observed hauls of the large mesh bottom trawl in the Gulf of Maine for years 2011- 2015, including the number of hauls observed, total catch (lbs), total discards (lbs), and percent discards.

Fishing Year

2011 2012 2013 2014 2105

# of Observed Hauls 6,747 5,219 3,620 3,765 2,736

Total Catch (lbs.) 10,924,697 7,222,776 6,003,158 6,616,087 4,652,425

Total Discards (lbs.) 2,255,775 1,621,068 1,406,909 1,433,707 961,798

Percent Discards 21 22 23 22 21

Common Name, (genus species)

Acadian redfish, (Sebastes fasciatus) 1,033,135 1,199,293 1,273,819 1,928,443 1,343,959

Pollock, (Pollachius virens) 2,022,368 1,324,528 1,021,886 968,028 470,659

Monkfish, (Lophius americanus) 1,447,624 869,862 982,056 830,447 653,550

White Hake, (Urophycis tenuis) 1,136,053 617,136 500,323 462,793 329,447

Atlantic Cod (GOM) (Gadus morhua) 1,691,702 632,715 228,637 228,855 51,920

American Plaice, (Hippoglossoides platessoides) 660,334 432,017 364,689 377,262 341,815

Spiny Dogfish, (Squalus acanthias) 710,489 493,541 395,954 343,263 183,691

Haddock (GOM) (Melanogrammus aeglefinus) 155,856 107,003 94,212 193,475 277,369

Witch Flounder, (Glyptocephalus cynoglossus) 288,440 249,765 175,288 158,907 113,369

American Lobster, (Homarus americanus) 218,290 157,812 107,051 127,835 87,102

Yellowtail Flounder, (Limanda ferruginea) 169,546 250,380 81,520 102,904 98,030

Winter Skate, (Leucoraja ocellata) 366,781 153,612 48,626 49,477 36,875

Barndoor Skate, (Dipturus laevis) 143,639 99,320 132,807 105,596 91,502

Thorny Skate, (Amblyraja radiata) 143,628 122,805 70,197 94,990 69,224

Little Skate, (Leucoraja erinacea) 119,743 119,371 44,782 48,285 18,367

Smooth Skate, (Malacoraja senta) 96,309 46,282 44,476 61,478 53,805

Silver Hake, (Merluccius bilinearis) 51,303 41,139 63,055 72,124 57,358

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Fishing Year

2011 2012 2013 2014 2105

Winter Flounder, (Pseudo. americanus) 60,094 96,581 46,768 57,276 44,032

Red Hake, (Urophycis chuss) 12,440 9,526 19,769 15,003 11,327

Windowpane Flounder, (Scophthal. aquosus) 18,979 11,826 5,689 7,090 3,011

Atlantic Halibut, (Hippoglossus hippoglossus) 9,236 10,348 7,565 7,658 5,770

Sea Scallop, (Placopecten magellanicus) 6,980 5,365 8,576 4,724 4,378

Atlantic Wolffish (Anarhichas lupus) 12,156 7,151 2,273 2,064 1,306

Atlantic Herring, (Clupea harengus) 13,379 1,187 1,900 882 3,127

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Table 14 Catch composition of the large mesh bottom trawl in the Gulf of Maine for years 2011-2015, based on NMFS observer data (lbs), including identification of P1 (UoA), Primary or Secondary species, Main and Minor, and the status of the stock with regard to being overfished. The primary, main species are highlighted in yellow.

AVERAGE PERCENT PRIMARY/ (lbs) MAIN/ 2011- SECONDA OVERFISHED Common Name, (genus species) 2011-2015 2015 RY MINOR YES/NO/UNK

P1 and Acadian redfish, (Sebastes fasciatus) 1355730 19.1 PRIMARY MAIN NO

P1 and Pollock, (Pollachius virens) 1161494 16.4 PRIMARY MAIN NO

Monkfish, (Lophius americanus) 956708 13.5 PRIMARY MAIN NO

White Hake, (Urophycis tenuis) 609150 8.6 PRIMARY MAIN NO

Atlantic Cod (GOM) (Gadus morhua) 566766 8.0 PRIMARY MAIN YES

American Plaice, (Hippoglossoides platessoides) 435224 6.1 PRIMARY MAIN NO

Spiny Dogfish, (Squalus acanthias) 425388 6.0 PRIMARY MAIN NO

Haddock (GOM) (Melanogrammus P1 and aeglefinus) 165583 2.3 PRIMARY MAIN NO

Witch Flounder, (Glyptocephalus cynoglossus) 197154 2.8 PRIMARY MINOR UNK

American Lobster, (Homarus americanus) 139618 2.0 PRIMARY MINOR NO

Yellowtail Flounder, (Limanda ferruginea) 140476 2.0 PRIMARY MINOR YES

Winter Skate, (Leucoraja ocellata) 131074 1.9 PRIMARY MINOR NO

Barndoor Skate, (Dipturus laevis) 114573 1.6 PRIMARY MINOR NO

Thorny Skate, (Amblyraja radiata) 100169 1.4 PRIMARY MINOR YES

Little Skate, (Leucoraja erinacea) 70110 1.0 PRIMARY MINOR NO

Smooth Skate, (Malacoraja senta) 60470 0.9 PRIMARY MINOR NO

Silver Hake, (Merluccius bilinearis) 56996 0.8 PRIMARY MINOR NO

Winter Flounder, (Pseudopleuronectes americanus) 60950 0.9 PRIMARY MINOR UNK

Red Hake, (Urophycis chuss) 13613 0.2 PRIMARY MINOR NO

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AVERAGE PERCENT PRIMARY/ (lbs) MAIN/ 2011- SECONDA OVERFISHED Common Name, (genus species) 2011-2015 2015 RY MINOR YES/NO/UNK

Windowpane Flounder, (Scophthalmus aquosus) 9319 0.1 PRIMARY MINOR YES

Atlantic Halibut, (Hippoglossus hippoglossus) 8115 0.1 PRIMARY MINOR UNK

Sea Scallop, (Placopecten magellanicus) 6005 0.1 PRIMARY MINOR NO

Atlantic Wolffish (Anarhichas lupus) 4990 0.1 PRIMARY MINOR YES

Atlantic Herring, (Clupea harengus) 4095 0.1 PRIMARY MINOR NO

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Table 15 Catch composition of the observed hauls of the large mesh bottom trawl on the Georges Bank for years 2011- 2015, including the number of hauls observed, total catch (lbs), total discards (lbs), and percent discards.

Fishing Year

2011 2012 2013 2014 2015

# of Observed Hauls 9,468 5,090 5,011 5,890 4,425

19,189,89 Total Catch (lbs.) 8 9,501,801 10,354,632 12,506,168 9,862,720

Total Discards (lbs.) 8,631,902 4,906,286 5,897,983 5,917,806 5,069,530

Percent Discards 45 52 57 47 51

Common Name, (Genus species)

Winter Skate, (Leucoraja ocellata) 4,169,424 1,893,354 1,334,401 1,922,641 1,702,003

Haddock (GB) (Melanogrammus aeglefinus) 2,222,280 431,104 1,061,629 1,969,874 1,527,198

Little Skate, (Leucoraja erinacea) 1,868,517 1,064,457 1,650,925 1,632,429 1,422,655

Monkfish, (Lophius americanus) 1,063,749 866,301 652,288 744,771 645,177

Winter Flounder, (Pseudopleur. americanus) 1,092,782 604,119 813,163 569,291 444,719

Spiny Dogfish, (Squalus acanthias) 876,004 619,163 779,476 593,090 360,829

Atlantic Cod (GB) (Gadus morhua) 1,172,479 452,880 431,915 513,412 384,580

Pollock, (Pollachius virens) 1,294,414 483,090 281,023 256,309 112,884

Acadian redfish, (Sebastes fasciatus) 559,289 395,531 263,337 679,184 327,719

Barndoor Skate, (Dipturus laevis) 496,612 342,276 338,436 299,775 171,227

American Plaice Flounder, (Hippo. platessoides) 512,671 368,324 260,321 301,275 192,297

White Hake, (Urophycis tenuis) 534,736 288,329 214,428 257,881 134,239

American Lobster, (Homarus americanus) 427,840 268,914 258,481 249,191 179,291

Yellowtail Flounder, (Limanda ferruginea) 654,655 123,993 45,916 52,171 43,808

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Fishing Year

2011 2012 2013 2014 2015

Witch Flounder, (Glyptocephalus cynoglossus) 353,376 181,333 139,653 130,021 80,467

Silver Hake, (Merluccius bilinearis) 202,494 52,954 54,567 193,994 197,797

Loligo Squid, (Doryteuthis pealeii) 40,580 9,493 83,497 62,865 492,087

Atlantic Mackeral, (Scomber scombrus) 385 730 593 638,937 7,833

Summer Flounder, (Paralichthys dentatus) 167,444 151,843 125,624 73,046 59,353

Butterfish, (Peprilus triacanthus) 2,852 457 1,162 133,465 312,662

Smooth Skate, (Malacoraja senta) 89,225 68,887 77,240 107,215 72,164

Thorny Skate, (Amblyraja radiata) 91,931 63,668 70,822 78,355 36,017

Windowpane Flounder, (Scoph. aquosus) 75,958 42,251 89,812 64,189 22,496

Red Hake, (Urophycis chuss) 57,291 25,153 18,931 37,888 57,742

Illex Squid, (Illex illecebrosus) 60,105 3,318 26,103 29,465 47,086

Sea Scallop, (Placopecten magellanicus) 42,705 36,552 18,112 13,467 6,649

Fourspot Flounder, (Hippoglossina oblonga) 28,351 11,588 12,178 8,576 8,130

Atlantic Halibut, (Hippoglossus hippoglossus) 10,454 10,388 10,024 8,527 6,873

Ocean Pout, (Zoarces americanus) 14,750 5,494 6,381 7,663 9,261

Deepsea Red Crab, (Chaceon quinquedens) 2,191 2,074 17,992 2,601 5,873

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Table 16 Catch composition of the large mesh bottom trawl on the Georges Bank for years 2011-2015, based on NMFS observer data, including identification of P1, Primary or Secondary species, Main and Minor species, and the status of the stock with regard to being overfished. The primary, main species are highlighted in yellow

OVER-FISHED AVERAGE (lbs) PERCENT PRIMARY/ MAIN/ YES/NO/ Common Name, (Genus species) 2011-2015 2011-2015 SECONDARY MINOR UNK

Winter Skate, (Leucoraja ocellata) 2204365 17.9 PRIMARY MAIN NO

P1 and Haddock (GB) (Melanogrammus aeglefinus) 1442417 11.7 PRIMARY MAIN NO

Little Skate, (Leucoraja erinacea) 1527796 12.4 PRIMARY MAIN NO

Monkfish, (Lophius americanus) 794457 6.5 PRIMARY MAIN NO

Winter Flounder, (Pseudopleur. americanus) 704815 5.7 PRIMARY MAIN YES

Spiny Dogfish, (Squalus acanthias) 645712 5.3 PRIMARY MAIN NO

Atlantic Cod (GB) (Gadus morhua) 591053 4.8 PRIMARY MAIN YES

P1 and Pollock, (Pollachius virens) 485544 4.0 PRIMARY MAIN NO

P1 and Acadian redfish, (Sebastes fasciatus) 445012 3.6 PRIMARY MAIN NO

Barndoor Skate, (Dipturus laevis) 329665 2.7 PRIMARY MINOR NO

American Plaice Flounder, (Hippo. platessoides) 326977 2.7 PRIMARY MINOR NO

White Hake, (Urophycis tenuis) 285923 2.3 PRIMARY MINOR NO

American Lobster, (Homarus americanus) 276743 2.3 PRIMARY MINOR NO

Yellowtail Flounder, (Limanda ferruginea) 184109 1.5 PRIMARY MINOR UNK

Witch Flounder, (Glyptocephalus cynoglossus) 176970 1.4 PRIMARY MINOR UNK

Silver Hake, (Merluccius bilinearis) 140361 1.1 PRIMARY MINOR NO

Loligo Squid, (Doryteuthis pealeii) 137704 1.1 PRIMARY MINOR NO

Atlantic Mackeral, (Scomber scombrus) 129695 1.1 SECONDARY MINOR UNK

Summer Flounder, (Paralichthys dentatus) 115462 0.9 PRIMARY MINOR NO

Butterfish, (Peprilus triacanthus) 90119 0.7 PRIMARY MINOR NO

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Smooth Skate, (Malacoraja senta) 82946 0.7 PRIMARY MINOR NO

Thorny Skate, (Amblyraja radiata) 68158 0.6 PRIMARY MINOR YES

Windowpane Flounder, (Scophthalmus aquosus) 58941 0.5 PRIMARY MINOR YES

Red Hake, (Urophycis chuss) 39401 0.3 PRIMARY MINOR NO

Illex Squid, (Illex illecebrosus) 33215 0.3 SECONDARY MINOR UNK

Sea Scallop, (Placopecten magellanicus) 23497 0.2 PRIMARY MINOR NO

Fourspot Flounder, (Hippoglossina oblonga) 13765 0.1 SECONDARY MINOR UNK

Atlantic Halibut, (Hippoglossus hippoglossus) 9253 0.1 PRIMARY MINOR UNK

Ocean Pout, (Zoarces americanus) 8710 0.1 PRIMARY MINOR YES

Deepsea Red Crab, (Chaceon quinquedens) 6146 0.1 SECONDARY MINOR UNK

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3.5.2 ETP species As part of the management review process the NMFS has recently reviewed the occurrence of endangered, threatened and protected (ETP) species in the New England waters fished by the multi- species fisheries, and has described the interactions of the various gear types with these ETP species. The complete text of this review for all gear types is available in the following reference: NMFS GARFO. 2015. Fishing Years 2015-2020 Northeast Multispecies Sector Operations Plans and Contracts, A Programmatic Environmental Assessment. The following text has been taken from that document and modified so as to only address the bottom trawl fisheries. Literature citations and figures and tables have been deleted so as to make the text more readable. Readers interested in the full text versions are referred to the original document. Introduction More than 20 different ETP species have been identified as occurring in the New England waters fished by the multi-species trawl fisheries (Table 17). These include cetaceans, sea turtles, fish and pinnipeds, of these some have had documented interactions with bottom trawl gear in the Georges Bank and Gulf of Maine Bottom trawl fisheries. Unfortunately, the interactions with this gear type are not classified by area (Georges Bank or Gulf of Maine) or by specific gear type (standard bottom trawl or separator trawl) at this time, so the evaluation in this assessment report is based on the aggregated data for both GOM and GB currently available in the above-mentioned reference. The evaluation of ETP species is considered in this assessment in five major elements or species groups: marine mammals specifically large whales, small cetaceans, and pinnipeds, sea turtles, and fish. The sea turtles include three species of hard shell sea turtles and the leatherback species. The ETP fish species that substantively interact with this large mesh bottom trawl fishery is Atlantic sturgeon. No seabirds were reported in the observer data as interacting with large mesh bottom trawl fishery either on Georges Bank or in the Gulf of Maine. However, it is noted by Powers (1983) that seabirds are found in both areas.

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Table 17 Species Protected Under the Endangered Species Act and/or U.S. Marine Mammal Protection Act that May Occur in the Operation Area for the Northeast Multispecies Fishery. Note that the UoAs 1-4 are part of the Northeast Multispecies Fishery management unit, as UOAs 1-4 are managed under the NE Multispecies FMP.

Species Status

Cetaceans

North Atlantic right whale (Eubalaena glacialis) Endangered

Humpback whale (Megaptera novaeangliae) Endangered

Fin whale (Balaenoptera physalus) Endangered

Sei whale (Balaenoptera borealis) Endangered

Blue whale (Balaenoptera musculus) Endangered

Sperm whale (Physeter macrocephalus Endangered

Minke whale (Balaenoptera acutorostrata) Protected

Pilot whale (Globicephala spp.)1 Protected

Risso's dolphin (Grampus griseus) Protected

Atlantic white-sided dolphin (Lagenorhynchus acutus) Protected

Short Beaked Common dolphin (Delphinus delphis) Protected

Spotted dolphin (Stenella frontalis) Protected

Bottlenose dolphin (Tursiops truncatu) Protected

Harbor porpoise (Phocoena phocoena) Protected

Sea Turtles

Leatherback sea turtle (Dermochelys coriacea) Endangered

Kemp's ridley sea turtle (Lepidochelys kempii) Endangered

Green sea turtle (Chelonia mydas) Endangered4

Loggerhead sea turtle (Caretta caretta), Northwest Threatened

Hawksbill sea turtle (Eretmochelys imbricate) Endangered

Fish

Shortnose sturgeon (Acipenser brevirostrum) Endangered

Atlantic salmon (Salmo salar) Endangered

Atlantic sturgeon (Acipenser oxyrinchus) Threat. / End.

Cusk (Brosme brosme) Candidate

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Pinnipeds

Harbor seal (Phoca vitulina) Protected

Gray seal (Halichoerus grypus) Protected

Harp seal (Phoca groenlandicus) Protected

Hooded seal (Cystophora cristata) Protected

Notes: There are 2 species of pilot whales: short finned (G. melas melas) and long finned (G. macrorhynchus). Due to the difficulties in identifying the species at sea, they are often just referred to as Globicephala spp. 1. Prior to 2008, this species was called “common dolphin.” 2. This includes the Western North Atlantic Offshore, Northern Migratory Coastal, and Southern Migratory Coastal Stocks of Bottlenose Dolphins.

3. Green turtles in U.S. waters are listed as threatened except for the Florida breeding population which is listed as endangered. Due to the inability to distinguish between these populations away from the nesting beach, green turtles are considered endangered wherever they occur in U.S. waters.

4. Table 3.4.2.1, please note that cusk, a NMFS "species of concern," as well as a "candidate species" under the ESA,

Interactions with trawl gear Protected species including marine mammals, sea turtles, and fin fish, as described in the previous section are all known to be vulnerable to interactions with various types of fishing gear including trawl gear.. In the following sections, available information on gear interactions with a given species (or species group) are discussed. Please note, this is not a comprehensive review of all fishing gear types known to interact with a given species; emphasis is only being placed on trawl gear types that are known to pose the risk of interaction to the species under consideration. Marine Mammals Pursuant to the Marine Mammal Protection Act (MMPA), NMFS publishes a List of Fisheries (LOF) annually, classifying U.S. commercial fisheries into one of three categories based on the relative frequency of incidental serious injuries and/or mortalities of marine mammals in each fishery. The categorization in the LOF determines whether participants in that fishery are subject to certain provisions of the MMPA such as registration, observer coverage, and take reduction plan requirements. Individuals fishing in Category I or II fisheries must comply with requirements of any applicable take reduction plan. Categorization of fisheries is based on the following two-tiered, stock-specific approach: Tier 1- considers the cumulative fishery mortality and serious injury for a particular marine mammal stock. If the total annual mortality and serious injury rates within a marine mammal stock resulting from all fisheries are less than or equal to ten percent of the stock’s potential biological removal rate (PBR), all fisheries associated with this marine mammal stock fall into Category III. -If mortality and serious injury rates are greater than ten percent of PBR, the following Tier 2, analysis occurs.

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Tier 2 -considers fishery-specific mortality and serious injury for a particular stock. Specifically, this analysis compares fishery-specific annual mortality and serious injury rates to a stock’s PBR to designate the fishery as a Category I, II, or III fishery. The bottom otter trawl fishery has been identified as a Tier 2, Category II fishery in the LOF. Table 18 Descriptions of the LOF Tier 2 Fishery Classification Categories (50 CFR 229.2)

Level of incidental mortality Annual mortality and Category or serious injury of marine serious injury of a stock in mammals a given fishery is…

Category I frequent ≥50% of the PBR level

between 1% and 50% of Category II occasional the PBR level

remote likelihood, or not Category III known ≤1% of the PBR level

The following discussion on fishery interactions with marine mammals (large cetaceans, and small cetaceans and pinnipeds) is in reference to the Tier 2 classifications of fisheries in Table 18. Large Cetaceans Atlantic large whales are at risk of becoming entangled in fishing gear because the whales feed, travel and breed in many of the same ocean areas utilized for commercial fishing. The greatest entanglement risk to large whales is posed by fixed fishing gear (e.g., sink gillnet and trap/pot gear) comprised of lines (vertical or ground) that rise into the water column. As summarized in the most recent framework adjustment to the multispecies FMP (NEFMC, 2017), with the exception of minke whales, there have been no observed interactions with large whales and bottom trawl gear. In bottom trawl gear, to date, interactions have only been observed in the northeast bottom trawl fisheries. From the period of 2008-2012, the estimated annual mortality attributed to this fishery was 7.8 minke whales for 2008, and zero minke whales from 2009-2012; no serious injuries were reported during this time. Based on this information, from 2008-2012, the estimated annual average minke whale mortality and serious injury attributed to the northeast bottom trawl fishery was 1.6 (CV=0.69) whales. From 2008- 2013, mean annual serious injuries and mortalities from the northeast bottom trawl fishery were 1.40 (CV=0.58) minke whales. Based on this information, bottom trawl gear is likely to pose a low interaction risk to any large whale species and therefore, is expected to be a low source of serious injury or mortality to any large whale. Small Cetaceans and Pinniped Small cetaceans and pinnipeds are found throughout the waters of the Northwest Atlantic. As they feed, travel and breed in many of the same ocean areas utilized for commercial fishing, they are at risk of becoming entangled or bycaught in various types of fishing gear used in the multispecies fishery (Table 19), with interactions resulting in serious injury or mortality to the animal. As noted above, pursuant to the MMPA, NMFS publishes a LOF annually, classifying U.S. commercial fisheries into one of three categories based on the relative frequency of incidental serious injurious and mortalities of marine mammals in each fishery. Table 19 provides information on the small cetacean and pinniped species that have been observed incidentally injured and/or killed by the multispecies trawl fishery. Information is also provided on the most recent mean annual mortality estimates for those species observed incidentally injured/killed in the fishery from 2007- 2011.

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Table 19 Small cetacean and pinniped species observed seriously injured and/or killed by Category I, II, and III fisheries in the affected environment of the multispecies fishery. A (1) indicates those species driving the fisheries classification.

Fishery Species Observed Observed in Mean Annual

Injured/Killed 2007-2011 Mortality1

Northeast Bottom Trawl Harp seal Y 0.4

(Category II fishery) Harbor seal Y 0.8

Gray seal Y 9.2

Y 10 Long and short-finned pilot whales

Y 19 Short-beaked common dolphin

Y 73

White-sided dolphin1

Harbor porpoise Y 4.5

Y 20 Bottlenose dolphin (offshore)

Risso’s dolphin Y 2.5

As summarized in the most recent framework 56 adjustment to the NEFMC Multispecies FMP (NEFMC 2017), short-beaked common dolphins and Atlantic white-sided dolphins are the most frequently observed bycaught marine mammal species in the bottom trawl gear, followed by gray seals, long-finned pilot whales, and risso’s dolphins. Of the Category I and II fisheries in the affected environment of the multispecies fishery the Northeast and Mid-Atlantic gillnet fisheries, followed by the bottom trawl fisheries (Category I and II fisheries, respectively) pose the greatest risks of serious injury and mortality to small cetaceans and pinnipeds. Based on the available observer data from 2007-2011, approximately 84% of the total mean annual mortality to marine mammals (small cetaceans and seals, large whales excluded) is attributed to

1 Based on observer data from 2007-2011, estimates of serious injury and estimates of mortality are provided for every year of observation in Waring et al. 2014. Estimated “combined mortality” per year of observation is also provided in Waring et. al 2014; this is equal to the “estimated serious inury” + “estimated mortality” for every year observed. The “mean annual mortality” is the average of each “estimated combined mortality” value over the 5 year period of observation (Waring et al. 2014). Sources: Waring et al. 2014; August 25, 2014, List of Fisheries (79 FR 50589).

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish gillnet fisheries, followed by bottom trawl (10.94%), pelagic longline (4.42%) and mid-water trawl (0.48%) fisheries (Figure 25).

Gillnet Fisheries (Northeast and Mid‐Atlantic) Bottom Trawl Fisheries (Northeast and Mid‐ Atlantic )

Mid‐Water Trawl Fisheries (Northeast and Mid‐Atlantic) Pelagic Longline Fishery

Figure 25 2007-2011 total mean annual mortality of small cetaceans and pinnipeds by Category I and II Fisheries.

The documented interactions of small cetaceans and pinnipeds with trawl gear in the New England region (excluding large whales) observed by traditional fishery observers and at sea monitors between 2007 and 2011 in Figure 26 Although there are multiple Category I and II fisheries that result in the serious injury and morality of small cetaceans and pinnipeds, the risk of an interaction with a specific fishery is affected by multiple factors, including where and when fishing effort is focused, the type of gear being used, and how effort overlaps in time and space with specific species in the affected area. Several species of small cetaceans and pinnipeds have experienced such great losses to their populations as a result of interactions with Category I and II fisheries that they are now considered strategic stocks under the MMPA. Harbor porpoise are considered a strategic stock under the MMPA as the level of direct human-caused mortality has exceeded the PBR level for this species. Both northern and southern migratory coastal stocks of bottlenose dolphins are considered a strategic stock under the MMPA as both stocks are designated as depleted under the Act. These species are the harbor porpoise, the Western North Atlantic Northern Migratory Coastal Stock of bottlenose dolphin and the Western North Atlantic Southern Migratory Coastal Stock of bottlenose dolphin. In conclusion with regard to small cetacean and pinniped interactions with the trawl fishery on Georges Bank and Gulf of Maine, while there are clearly interactions, none are with endangered species, and interactions between marine mammals and fishing gear are authorized under the MMPA, and as noted previously, the trawl interaction rate is substantially less than the gillnet interaction rate.

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Figure 26 Map of marine mammal bycatch in trawl gear in the New England region (excluding large whales) observed by traditional fishery observers and at sea monitors between 2007 and 20112.

Sea Turtles Sea turtles are widely distributed in the waters of the Northwest Atlantic. As a result, sea turtles often occupy many of the same ocean areas utilized for commercial fishing and therefore, interactions with fishing gear are possible. Sea turtles have been incidentally injured or killed in various gear types (e.g., gillnets, trawls, hook and line gear, dredge); however, of the gear types that could be possibly used in the multispecies fishery, trawl and gillnet pose the greatest risk to sea turtles and therefore, will be the focus of the following discussion. In addition, although sea turtle interactions with trawl and gillnet gear have been observed in waters from the Gulf of Maine to the Mid-Atlantic, most of the observed interactions have occurred in the Mid-Atlantic. As few sea turtle interactions have been observed in the Gulf Maine and Georges Bank regions of the Northwest Atlantic, there is insufficient data available to conduct a robust model-based analysis on sea turtle interactions with trawl or gillnet gear in these regions and therefore, produce a bycatch estimate for these regions. As a result, the following bycatch estimates are based on observed sea turtle interactions in trawl and gillnet gear in the Mid-Atlantic.

2 Notes: Small cetacean and pinnipeds observed taken primarily in: (1) the waters between and around CA I and CA II (Groundfish closed areas): Short-beaked common dolphin, pilot whales, white-sided dolphins, gray seals, and some risso’s dolphins and harbor porpoise; and (2) eastern side of the GOM Habitat/Groundfish closed area: White-sided dolphins, and some pilot whales and harbor seals.

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It has been estimated that from 2005-2008, the average annual loggerhead interactions in bottom trawl gear in the Mid-Atlantic (i.e., south of Cape Cod, Massachusetts, to approximately the North Carolina/South Carolina border) was 292 (CV=0.13, 95% CI=221-369), with an additional 61 loggerheads (CV=0.17, 95% CI=41-83) interacting with trawls, but being released through a Turtle Excluder Device. Of the 292 average annual observable loggerhead interactions, approximately 44 of those were adult equivalents. This estimate is a decrease from the average annual loggerhead bycatch in bottom otter trawls during 1996-2004, which was estimated to be 616 sea turtles (CV=0.23, 95% CI over the nine-year period: 367-890). This decrease is likely due to decreased fishing effort in high- interaction areas. Five loggerhead interactions (estimated observable and unobservable but quantifiable) were attributed to Northeast multispecies. In addition, green, Kemp’s ridley, and leatherback sea turtles have been documented in bottom trawl gear in areas that overlap with the Northeast groundfish fishery (NEFSC FSB database). One of these, a leatherback sea turtle, was captured on trip where the top landed species was whiting, while another sea turtle (unknown species) was captured on trip where the top landed species was pollock.

Although sea turtles have the potential to interact with multiple gear types, such as trawl or gillnet gear, the risk of an interaction is affected by multiple factors, including where and when fishing effort is focused, the type of gear being used, environmental conditions, and sea turtle occurrence and distribution. A recent investigation evaluated fishery-independent and dependent data to identify environmental conditions associated with turtle presence and the subsequent risk of a bycatch encounter if fishing effort is present; It was concluded that fishery independent encounter rates were a function of latitude, sea surface temperature (SST), depth, and salinity. When the model was fit to fishery dependent data (gillnet, bottom trawl, and scallop dredge), The study also found a decreasing trend in encounter rates as latitude increases; an increasing trend as SST increases; a bimodal relationship between encounter rates and salinity; and higher encounter rates in depths between 25 and 50 m. Similarly, another study concluded, based on 2007-2011 data obtained on loggerhead interactions in gillnet gear, that bycatch rates were associated with latitude, SST, and mesh size, with highest interaction rates in the southern mid-Atlantic in warm surface waters and in large (>7 inch mesh). Based on the above 2005-2008 data obtained on loggerhead interactions in bottom trawl gear, it was also found that latitude, depth and SST were associated with the interaction rate, with the rates being highest south of 37° N in waters < 50 meters deep and SST > 15°C.

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Fish: Atlantic Sturgeon The marine range of U.S. Atlantic sturgeon extends from Labrador, Canada, to Cape Canaveral, Florida. All five Distinct Population Segments (DPSs) of Atlantic sturgeon have the potential to be located anywhere in this marine range, although genetic analyses suggest that the distribution of each varies within that range. Three separate publications using different information sources reached the same conclusion; Atlantic sturgeon occur primarily in waters less than 50 meters (although deeper waters are also used), aggregate in certain areas, and exhibit seasonal movement patterns. These characteristics of Atlantic sturgeon occurrence and distribution result in Atlantic sturgeon occupying many of the same ocean areas utilized for commercial fishing and therefore, occupying areas in which interactions with fishing gear are possible. There are three documents, covering three time periods, that use data collected by the Northeast Fisheries Observer Program to describe bycatch of Atlantic sturgeon for the periods: 1989-2000, 2001-2006, and 2006-2010; None of these provide estimates of Atlantic sturgeon bycatch by DPS. Information provided in all three documents indicate that sturgeon bycatch occurs in gillnet and trawl gear, with the most recent document estimating, based on fishery observer data and vessel trip report (VTR) data from 2006-2010, that annual bycatch of Atlantic sturgeon was 1,342 and 1,239, respectively. Specifically, observed Atlantic sturgeon interactions in trawl gear with small (< 5.5 inches) and large (≥ 5.5 inches) mesh sizes, as well as gillnet gear with small (< 5.5 inches), large (5.5 to 8 inches), and extra-large mesh (>8 inches) sizes. Although Atlantic sturgeon were observed to interact with trawl and gillnet gear with various mesh sizes, based on observer data, it was concluded that gillnet gear, in general, posed a greater risk of mortality to Atlantic sturgeon than did trawl gear. Estimated mortality rates in gillnet gear were 20.0%, while those in otter trawl gear were 5.0%. Similar conclusions were reached in other reports, in which both studies also concluded, after review of observer data from 1989-2000 and 2001-2006, that observed mortality is much higher in gillnet gear than in trawl gear. Although Atlantic sturgeon deaths have rarely been reported in otter trawl gear, it is important to recognize that effects of an interaction may occur long after the interaction. Based on physiological data obtained from Atlantic sturgeon captured in otter trawls, it was suggested that factors such as longer tow times (i.e., > 60 minutes), prolonged handling of sturgeon (> 10 minutes on deck), and the type of trawl gear/equipment used, may increase the risk of physiological disruption or impairment (e.g., elevated cortisol levels, immune suppression, impaired osmoregulation, exhaustion) to Atlantic sturgeon captured in otter trawls and therefore, may result in an increased risk of post-release mortality. The authors also note that post-release exhaustion, even after a 60-minute trawl capture, results in behavioral disruption to Atlantic sturgeon and caution that repeated bycatch events may compound post-release behavioral effects to Atlantic sturgeon which in turn, may affect essential life functions of Atlantic sturgeon (e.g., predator avoidance, foraging, migration to foraging or spawning sites) and therefore, Atlantic sturgeon survival. Although this study provides some initial insight into the post-release effects to Atlantic sturgeon captured in trawl gear, additional studies are needed to clearly identify the “after” effects of a trawl interaction. As it is remains uncertain what the overall impacts to Atlantic sturgeon survival are from trawl interactions, trawls should not be completely discounted as a form of gear that poses a mortality risk to Atlantic sturgeon. Fish: Atlantic Salmon The marine range of the Gulf of Maine Distinct Population Segment (DPS) extends from the Gulf of Maine (primarily northern portion), to the coast of Greenland. Although the distribution of Atlantic salmon in the marine environment likely overlaps with commercial fisheries, there have been a low number of observed interactions with fisheries and various gear types. According to the Biological Opinion issued by NMFS Greater Atlantic Regional Fisheries Office on December 16, 2013, NMFS Northeast Fisheries Science Center’s (NEFSC) Northeast Fisheries Observer and At-Sea Monitoring Programs documented a total of15 individual salmon incidentally caught on over 60,000 observed commercial fishing trips from 1989 through August 2013. Specifically, Atlantic salmon were observed bycaught in gillnet (11/15) and bottom otter trawl gear (4/15), with 10 of the incidentally caught salmon

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish listed as “discarded” and five reported as mortalities. The genetic identity of these captured salmon is unknown; however, the NMFS 2013 Biological Opinion considers all 15 fish to be part of the Gulf of Maine Distinct Population Segment, although some may have originated from the Connecticut River restocking program (i.e., those caught south of Cape Cod, Massachusetts). The above information, specifically the very low number of observed Atlantic salmon interactions in gillnet and trawl gear reported in the Northeast Fisheries Observer Program’s database (which includes At-Sea Monitoring data), suggests that interactions with Atlantic salmon are rare events; however, it is important to recognize that observer program coverage is not 100 percent. As a result, it is likely that some interactions with Atlantic salmon have occurred but have not been observed or reported. Because of the very rare interactions between Atlantic salmon and bottom trawl gear, they are not considered in the P2 ETP scoring.

3.5.3 Habitat Impacts As part of the management review process, the NMFS has recently reviewed the habitat impacts of the multi-species fisheries and has described the interactions of the various gear types with habitat. The complete text of this review is available in the following reference: NMFS GARFO. 2015. Fishing Years 2015-2020 Northeast Multispecies Sector Operations Plans and Contracts, A Programmatic Environmental Assessment. Additionally, the impacts on habitats of the various fisheries in the northeast were evaluated in the Omnibus Habitat Amendment 2, referenced as follows: New England Fishery Management Council In cooperation with the National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p. The following text in this assessment report has been taken from this document and modified so as to only address the bottom trawl fisheries. Literature citations and figures and tables have been deleted so as to make the text more readable. Readers interested in the full text versions are referred to the original documents. The Northeast U.S. Shelf Ecosystem has been described as the Gulf of Maine south to Cape Hatteras, extending from the coast seaward to the edge of the continental shelf, plus the slope sea offshore to the Gulf Stream, out to a depth of 2000 m). Four distinct sub-regions comprise the ecosystem: the Gulf of Maine (Gulf of Maine), Georges Bank, the Mid-Atlantic Bight, and the continental slope. Essential Fish Habitats for New England Council-managed species are identified throughout this entire region, although spatial management alternatives focus on the continental shelf, particularly the Gulf of Maine and Georges Bank regions. This section of the document describes the oceanography, geology, and biology of these regions, with a particular focus on benthic habitats. The Gulf of Maine is an enclosed coastal sea, bounded on the east by Browns Bank, on the north by the Nova Scotian Shelf, on the west by the New England states, and on the south by Cape Cod and Georges Bank. The Gulf of Maine is glacially derived, and is characterized by a system of deep basins, moraines and rocky protrusions with limited access to the open ocean. This geomorphology influences complex oceanographic processes that in turn produce a rich biological community. The Gulf of Maine’s geologic features, when coupled with vertical variations in water properties, result in a great diversity of habitat types. There are twenty-one distinct basins separated by ridges, banks, and swells. The three largest basins are Wilkinson, Georges, and Jordan. Depths in the basins exceed 250 m, with a maximum depth of 350 m in Georges Basin, just north of Georges Bank. The Northeast Channel between Georges Bank and Browns Bank leads into Georges Basin, and is one of the primary avenues for exchange of water between the Gulf of Maine and the North Atlantic Ocean.

Sediment types High points within the Gulf of Maine include irregular ridges, such as Cashes Ledge, which peaks at 9 m below the surface, as well as deeper flat-topped banks, ridges, and gentle swells. Some of these rises are remnants of the sedimentary shelf that was left after most of it was removed by the glaciers. Others are glacial moraines and a few, like Cashes Ledge, are outcroppings of bedrock. Very fine sediment particles created and eroded by the glaciers have collected in thick deposits over much of

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish the Gulf of Maine, particularly in its deep basins. These mud deposits can blanket and obscure the irregularities of the underlying bedrock, forming topographically smooth terrains. In some areas bedrock protrudes above the sediment layer forming isolated habitats. Some shallower basins are covered with mud as well, including some in coastal waters. In the rises between the basins, other materials are usually at the surface. Unsorted glacial till covers some moraines, as on Sewell Ridge to the north of Georges Basin and on Truxton Swell to the south of Jordan Basin. Sand predominates on some high areas and gravel, sometimes with boulders, predominates on others. The dominant sediment types are shown in Figures 27. This sediment map was developed for use in the Swept Area Seabed Impact model. The muddier basins as well as hard-substrate shallower areas are shown in dark green to red coloration. Higher versus lower energy habitats are delimited by the blue line, with higher energy habitats inshore and on the tops of features including Cashes Ledge, Platts Bank, Jeffreys Ledge, and Stellwagen Bank. In the Gulf of Maine, a depth cut-off of 60 m was used to distinguish high versus low energy habitats. In general, sediment data are fairly low resolution in many parts of the Gulf of Maine. However, one feature that has been mapped in detail is Stellwagen Bank.

Figure 27 Sedimentary features of the Gulf of Maine. Data sources include US SEABED and SMAST video.

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Coastal sediments exhibit a high degree of small-scale variability. Bedrock is the predominant substrate along the western edge of the Gulf of Maine north of Cape Cod in a narrow band out to a depth of about 60 m. Rocky areas become less common with increasing depth, but some rock outcrops poke through the mud covering the deeper sea floor. On the inner continental shelf, mud is the second most common substrate, and it predominates in coastal valleys and basins that often abruptly border rocky substrates. Many of these basins extend without interruption into deeper water. Gravel, often mixed with shell, is common adjacent to bedrock outcrops and in fractures in the rock. Large expanses of gravel are not common but do occur near reworked glacial moraines and in areas where the seabed has been scoured by bottom currents. Gravel and bedrock are most abundant at depths of 20-40 m, except in eastern Maine where a gravel -covered plain exists to depths of at least 100 m (and in some areas beyond 200 m, for example in western Jordan Basin and at Schoodic Ridges). Bottom currents are stronger in eastern Maine where the mean tidal range exceeds 5 m. Sandy areas are relatively rare along the inner shelf of the western Gulf of Maine, but are more common south of Casco Bay, especially offshore of sandy beaches. The best sediment map of the northern inshore Gulf of Maine is the Maine Bottom Type map developed by Barnhardt et al (1998). These sedimentary features to roughly 100 m depth were delineated using acoustic backscatter data. Benthic invertebrates and fish

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Figure 28 Seven major benthic assemblages of the Gulf of Maine (Watling, 1998), see the text below for a full description of the characteristics of the seven assemblage types.

Based on 303 benthic grab samples collected in the Gulf of Maine during 1956-1965, Watling (1998) reported that, in terms of numbers, the most common groups of benthic invertebrates in the Gulf of Maine were annelid worms (35%), bivalve mollusks (33%), and amphipod crustaceans (14%). Biomass was dominated by bivalves (24%), sea cucumbers (22%), sand dollars (18%), annelids (12%), and sea anemones (9%). He then used numerical classification techniques to separate benthic invertebrate samples into seven bottom assemblage (Figure 28). Further, new research identified epi- and emergent-fauna from underwater video and used multivariate approaches to classify this fauna into groups based on depth and substrate, corresponding to water masses (Maine surface, intermediate and deep-water) and coarse gradations of sediments (mud, sand, gravel). This classification system considers predominant taxa, substrate types, and seawater properties. (1) Comprises all sandy offshore banks, most prominently Jeffreys Ledge, Fippennies Ledge, and Platts Bank; depth on top of banks about 70 m; substrate usually coarse sand with some gravel; fauna characteristically sand dwellers with an abundant interstitial component.

(2) Comprises the rocky offshore ledges, such as Cashes Ledge, Sigsbee Ridge and Three Dory Ridge; substrate either rock ridge outcrop or very large boulders, often with a covering of very

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fine sediment; fauna predominantly sponges, tunicates, bryozoans, hydroids, and other hard bottom dwellers; overlying water usually cold Maine Intermediate Water.

(3) Probably extends all along the coast of the Gulf of Maine in water depths less than 60 m; bottom waters warm in summer and cold in winter; fauna rich and diverse, primarily polychaetes and crustaceans, probably consists of several (sub-) assemblages due to heterogeneity of substrate and water conditions near shore and at mouths of bays.

(4) Extends over the soft bottom at depths of 60 - 140 m, well within the cold Maine Intermediate Water; bottom sediments primarily fine muds; fauna dominated by polychaetes, shrimp, and cerianthid anemones.

(5) A mixed assemblage comprising elements from the cold-water fauna as well as a few deeper water species with broader temperature tolerances; overlying water often a mixture of Intermediate Water and Bottom Water, but generally colder than 7°C most of the year; fauna sparse, diversity low, dominated by a few polychaetes, with brittle stars, sea pens, shrimp, and cerianthids also present.

(6) Comprises the fauna of the deep basins; bottom sediments generally very fine muds but may have a gravel component in the offshore morainal regions; overlying water usually 7 - 8°C, with little variation; fauna shows some bathyal affinities, but densities are not high, dominated by brittle stars and sea pens, and sporadically by a tube-making amphipod.

(7) The true upper slope fauna that extends into the Northeast Channel; water temperatures are always above 8°C and salinities are at least 35 ppt; sediments may be either fine muds or a mixture of mud and gravel.

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Georges Bank, Great South Channel and Nantucket Shoals Georges Bank is a shallow, elongate extension of the continental shelf that was formed during the Wisconsinian glacial episode. It is characterized by a steep slope on its northern edge and a broad, flat, gently sloping southern flank. The Great South Channel lies to the west. Bottom topography on eastern Georges Bank is characterized by linear ridges in the western shoal areas; a relatively smooth, gently dipping sea floor on the deeper, easternmost part; a highly energetic peak in the north with sand ridges up to 30 m high; and steeper and smoother topography incised by submarine canyons on the southeastern margin. The dominant sediment types are shown in Figure 29. Using substrate data derived from systematic video camera surveys of the bank and model estimates of maximum tidal current velocities at the bottom calculated spatially- explicit sediment stability indices for Georges Bank. On the flanks of the bank between 60 and 100 m, where the tidal currents are weaker, sediment movement is less frequent and transport is primarily associated with strong winter storms. The sediment here is somewhat finer than on the crest of the bank and the seafloor is largely featureless. In these areas, sediments are generally stable due to lower flows. On top of the bank, only the larger grain sizes are stable, in particular sand-dominated areas with cobble, and granule- pebble, cobble, and boulder-dominated sediments. Northeastern Georges Bank is composed of a series of parallel northwest-southeast trending sand waves with intervening troughs of coarser gravel (granule -pebble and cobble) substrate. There are also some areas dominated by boulders (diameter >10 inches). Strong tidal currents constantly move the sand back and forth and the shallower portions of the bank are also periodically affected by wave action, particularly during winter storms. The coarser gravel substrate is much more stable and provides a more suitable substrate for attached epifaunal organisms (e.g., sponges, bryozoans). Glacial retreat during the late Pleistocene deposited the bottom sediments currently observed on the eastern section of Georges Bank. The interaction of several environmental factors, including availability and type of sediment, current speed and direction, and bottom topography, has formed seven sedimentary provinces on eastern Georges Bank. The central region of the Bank is shallow, and the bottom is characterized by shoals and troughs, with sand dunes superimposed upon them. The two most prominent elevations on the ridge and trough area are Cultivator and Georges Shoals. This shoal and trough area is a region of strong currents, with average flood and ebb tidal currents greater than 4 km/h, and as high as 7 km/h. The dunes migrate at variable rates, and the ridges may also move. In an area that lies between the central part and Northeast Peak, high-energy areas have been identifies between 35 - 65 m deep, where sand is transported on a daily basis by tidal currents, and a low-energy area at depths > 65 m that is affected only by storm currents.

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Figure 29 Sedimentary features of Georges Bank

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Seabed vulnerability Seabed vulnerability to fishing gear impacts was evaluated using the Swept Area Seabed Impact (SASI) approach. SASI was developed by the Council’s Habitat Plan Development Team to assist them in evaluating adverse effects across FMPs, developing measures to minimize those effects, and analyzing the impacts of those measures. The SASI approach consists of a vulnerability assessment and a spatial model. The vulnerability assessment reviewed the habitat impacts literature relevant to Northeast US fishing gears and seabed types and created a framework for organizing and generating susceptibility and recovery values for seabed features based on a scale of relative differences for use in the SASI model. Although both seafloor and water column aspects of habitat are important in determining fish distributions, the focus of the vulnerability assessment is seabed features since fishing activities do not substantively alter the water column. The vulnerability assessment identified low-energy granule- pebble, cobble- and boulder-dominated habitats as being the most vulnerable to fishing impacts. This vulnerability is driven primarily by the estimated recovery times, i.e., the amount of time it takes for structural habitat features to return to their prior state. Next, seafloor substrate and energy maps were created to serve as a foundation for a modelling approach that examines the spatial distribution of vulnerable seafloor habitats. The substrate classification follows Wentworth scale). Seafloor energy was classified as either high or low energy based on model estimates of flow rate at the seabed or according to depth in locations. Various seabed features such as sand waves or sponges were inferred to occur in particular substrate-energy types. Then the seabed features were given susceptibility and recovery scores according to the nature of the fishing gear impact (i.e. the type of gear and how it interacts with the seabed). The initial effect of the gear (susceptibility) and the recovery duration were scored on a scale of zero to three. For otter trawl gear (Figure 30), areas with high potential vulnerability scores include the area between Cape Cod and the deeper waters of the Great South Channel, a small area in central Georges Bank, the northeastern flank of Georges Bank, areas along the coast in the Gulf of Maine, and various offshore banks and ledges in the Gulf of Maine, including Jeffreys Bank, Stellwagen Bank, Platts Bank, Jeffreys Bank, Fippennies Ledge, and Cashes Ledge. An additional high vulnerability area was mapped off the Rhode Island coast. These areas were highlighted by the cluster analysis, with the exception of Fippennies and Cashes Ledges, which are relatively small features. These model results relate closely to the vulnerability assessment, which identified cobble- and boulder-dominated habitats as being more vulnerable to fishing impacts. Although vulnerable seabed habitat types have been positively identified in the Gulf of Maine, due to higher data quality on Georges Bank as compared to the Gulf of Maine, the spatial distribution of vulnerability is expected to be more accurate on Georges Bank. Two types of areas in the Gulf of Maine are problematic in terms of the vulnerability estimates. First, vulnerability in the vicinity of Stellwagen Bank is probably underestimated. Substrate type in this area is sampled as relatively high rate, but mostly with gear not capable of detecting cobble or boulder. A multibeam backscatter-based sediment map of this area indicates a higher amount of gravel habitat as compared to the SASI grid. The distribution of vulnerability in the vicinity of Platts Bank and Jeffreys Bank is not very accurately mapped because of the underlying substrate grid. There are many closely spaced substrate samples on the shallow portions of these features, where the sampling gear used (video) was capable of sampling cobble and boulder, but the surrounding areas are mapped at very low resolution with gear incapable of sampling these larger grain sizes. The result is that the substrate grid has some very large cobble and boulder grid cell sizes along the edges of the features, which makes the vulnerable areas and average scores larger and higher. This is not to say that these offshore features do not contain seabed types vulnerable to impact, only that they are not mapped very accurately. Generally, large substrate grain sizes are probably relatively rare in deep mud habitats, although there are exceptions to this (e.g., rocky ‘bumps’ found scattered throughout Jordan Basin).

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Figure 30 SASI model estimate of seabed habitat vulnerability to adverse effects from demersal otter trawl gears (blue=low vulnerability, red=high vulnerability). Clusters of high vulnerability grids are outlined in red.

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A comparison of estimated realized adverse effects from the SASI model by gear type and calendar year is shown in Figure 31. While overall trawls have been shown to have the greatest realized adverse effects on habitat on the northeast shelf of the US, that impact has declined substantially on the last decade.

Figure 31 Comparison of estimated realized adverse effects from the SASI model by gear type and calendar year. All values in km2.

Summary of Impacts of the multispecies trawl fishery The footprint of two of the trawl gear types used in the trawl fishery have been documented based on sea sampling or observer coverage for the standard trawl and vessel trip reports for the haddock separator trawl, and average annual landings (live weight) by statistical area from the dealer tables (Figure 32 and Figure 33). In general, these data indicate that the trawl fishery is avoiding the areas of high habitat vulnerability as identified in Figure 30.

So, in conclusion while trawls have been demonstrated to have the potential to negatively impact the bottom habitat, in reality, that impact has been reduced in the last decade, and the trawl fishing activity in the last few years has been demonstrated to be not occurring in the most vulnerable of seabed habitats.

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Figure 32 Large mesh demersal otter trawl effort 2008-2012. Yellow to brown shading shows average annual landings (live weight) by statistical area from the dealer tables. Black lines show start/end positions of hauls observed at sea.

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Figure 33 Large mesh multispecies separator trawl effort 2008 -2012. Yellow to brown shading shows average annual landings (live weight) by statistical area from the dealer tables. Colored circles show the locations of trips as reported on vessel trip reports, from January (blue) to December (red).

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MSC Vulnerable Marine Ecosystems (VME) Considerations

The MSC FCR v.2.0 (GSA3.13.3.2 defines VMEs have one or more of the following characteristic, as defined in paragraph 42 of the FAO Guidelines: • Uniqueness or rarity – an area or ecosystem that is unique or that contains rare species whose loss could not be compensated for by similar areas or ecosystems • Functional significance of the habitat – discrete areas or habitats that are necessary for survival, function, spawning/reproduction, or recovery of fish stocks; for particular life-history stages (e.g., nursery grounds, rearing areas); or for ETP species • Fragility – an ecosystem that is highly susceptible to degradation by anthropogenic activities • Life-history traits of component species that make recovery difficult – ecosystems that are characterised by populations or assemblages of species that are slow growing, are slow maturing, have low or unpredictable recruitment, and/or are long lived • Structural complexity – an ecosystem that is characterised by complex physical structures created by significant concentrations of biotic and abiotic features

MSC guidance further states that it intends that the CAB consider VMEs and ‘potential’ VMEs as accepted, defined, or identified by relevant management authorities. Only defined VMEs are considered under 2.4.1, while ‘potential’ VME’s should be additionally recognized under 2.4.2 as a precautionary measure. In the United States, there is no explicit VME designation. NOAA’s website identifies 5 types of habitat in their Habitat Protection website (http://www.habitat.noaa.gov/protection/index.html): Coastal wetlands, corals, essential fish habitat (EFH), rivers: hydropower and fish passage, and Cape Fear River Partnership. Of these, only coral and EFH are relevant to the marine fisheries within UoA jurisdiction. Deep sea corals have been recognized as a priority for conservation, with discretionary authority for conservation action provided with the 2006 reauthorization of the MSA (16 U.S.C. 1853 § 303 (b) (2)). In 2013, the NEFMC, MAFMC, and SAFMC signed an MOU regarding the management of deep sea corals. The background to this document notes deep sea coral fragility, structural complexity, slow- growing life history, functional significance, and vulnerability to fishing impacts as the rationale for the creation of an MOU to establish a framework for coordination and cooperation to protect deep coral ecosystems. Deep sea corals found in the Greater Atlantic region are found within the Class Anthozoa, with major types including stony corals (Order Scleractinia), sea pens (Order Pennatulacea), true soft corals and gorgonians (Orders Alcyonacea), and black corals (Order Antipatharia). Types of deep sea corals observed to date in the Greater Atlantic range from small, solitary corals to larger colonies including complex structure-forming corals.

According to Packer et al (2017) most fishing is conducted on the shelf, or along the shelf break, and in the Gulf of Maine. The fisheries that have the highest likelihood of occurring near concentrations of known deep-sea coral habitats in canyon and slope areas are the bottom trawl fishery for monkfish and the bottom longline fishery for tilefish, and the pot fisheries for Atlantic deep-sea red crab and offshore lobster. Bottom trawl fisheries for squid, whiting (includes silver hake, and offshore hake, and butterfish, and pot fisheries for Jonah crab occur along the shelf break. In the Gulf of Maine, lobster fishing occurs in all known coral habitats, and gillnet and bottom trawl fisheries for groundfish such as pollock, redfish, and white hake occur offshore. The annual number of interactions between fishing gear and deep-sea corals and sponges is not known, but bycatch data indicate that a relatively small number of trips interact with deep-sea corals.

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In 2016, the Deep Sea Corals Amendment (Amendment 16) to the Atlantic Mackerel, Squid, and Butterfish (MSP) FMP was finalized, and identified two types of coral zones for protection:

• A broad coral zone, consisting of a large, deep area, the vast majority of which is beyond the depths of current fishing effort. This area is intended to limit and prevent the expansion of current commercial gear use into these deeper areas.

• A set of discrete coral zones, which are smaller areas of known or highly likely coral presence. These include specific offshore canyons and slope areas.

In both types of coral zones, the use of most types of bottom-tending gear are prohibited, including both mobile and stationary/passive gear types. This action does not impact the lobster trap fishery, nor does it apply to recreational gear types. An exemption from gear restrictions is provided for the red crab fishery indefinitely in the broad zones and for a period of at least two years in the discrete zones. The final rule includes a provision allowing for vessel transit through or across all deep sea coral zones with a requirement that the vessel’s fishing gear be stowed during transit. The action also requires the use of Vessel Monitoring Systems (VMS) for all Illex squid moratorium vessels regardless of whether fishing activity is occurring within or outside of any proposed deep sea coral zones. The Amendment is written under the MSB FMP, but the protections apply to all federally managed fisheries operating with relevant gear types in the designated coral zones.

On September 15, 2016, President Obama designated the first marine national monument in the Atlantic Ocean, the Northeast Canyons and Seamounts Marine National Monument, using his authority under the Antiquities Act of 1906. The monument consists of two units (Fig 10), representing distinct geological features that support vulnerable ecological communities, including deep-sea coral and sponge communities. The Canyons Unit covers approximately 2,437 km2 (941 square miles) on the edge of Georges Bank, including Oceanographer, Gilbert, and Lydonia submarine canyons. The Seamounts Unit encompasses 10,287 km2 (3,972 square miles) and includes the four New England Seamounts in the U.S. EEZ: Bear, Mytilus, Physalia, and Retriever. Commercial fishing in the monument is prohibited with the exception of existing red crab and lobster fisheries, which were granted a grace period for up to 7 years. The designation is undergoing review on the basis of an April 2017 executive order (Packer et al 2017).

Therefore, based on the fishing effort distribution plots shown in Figures 32 and 33, and the analysis of Parker et al. (2017) the large mesh bottom trawl fishery does not impact any deep sea coral habitats, or VME habitats as defined by MSC.

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3.5.4 Ecosystem Considerations The impacts of the various fisheries on the US northeast continental shelf ecosystems were evaluated in the Omnibus Habitat Amendment 2, referenced as follows: New England Fishery Management Council In cooperation with the National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p (NEFMC 2016). The following text in this assessment report has been taken from this document and modified so as to only address the bottom trawl fisheries. Literature citations and figures and tables have been deleted to make the text more readable. Readers interested in the full text versions are referred to the original documents. Information linking managed groundfish species of fish to the habitats they occupy and the functional value of those habitats in enhancing fishery resource productivity is crucial in order to identify habitat management measures that will minimize the adverse effects of fishing to the extent practicable. The productivity of a population is a function of recruitment, the process by which younger age groups are added to the population, and growth rates of members. Processes that increase the number of small fish that reach a size at which they enter, or recruit to, the population and/or the rate at which they reach the size at recruitment, build stock biomass. Recruitment is affected by a number of factors, including the number and sizes of spawning fish, the feeding success of young fish, predation, and environmental variables such as temperature and the availability of suitable habitats that affect the survival of eggs, larvae, and pre-recruit age groups of fish (i.e., for shelter from predators, from currents, and for access to prey). Recruitment failures and mortality of adults reduce the abundance of fish available for a sustainable harvest. Because recruitment is affected by so many factors, it is very difficult to quantify the link between recruitment and habitat protection. There are many cases in which large year classes of fish are produced and sustain exploited populations for years once they reach harvestable sizes without any clear explanation as to what processes caused such high survival of the early life history stages (e.g., the 2003-year class of haddock in the Georges Bank-Gulf of Maine region). However, because recruitment is a function of growth and survival, habitat types that are linked to higher survival and/or growth rates of juvenile fish would benefit from conservation measures designed to minimize the adverse effects of fishing (if those habitat types are vulnerable to the impacts of fishing). The underlying premise of this amendment is that there are habitats linked to higher survival and/or growth rates of juvenile fish which are vulnerable to the adverse effects of fishing. By protecting these habitats, recruitment rates will increase. By increasing recruitment rates, the productivity of managed species with life stages that rely on those vulnerable habitats will increase. There are a number of studies demonstrating the importance of complex bottom habitats in providing optimum conditions that enhance the survival of recently-settled and older juvenile fish. Complex, highly-structured benthic habitats are relatively rare in continental shelf waters and are used by many species to reduce predation risk and provide food (Caddy 2008, 2013). If suitable habitats are limited, or if the abundance of juveniles that rely on these critical habitats exceeds the amount of suitable habitat that is available, ecological “bottlenecks” to recruitment are created. Fishing gears and practices that reduce the quality and quantity of suitable habitat for these species can be expected to reduce recruitment rates and stock productivity. Cod have been the subject of a considerable amount of research in the Northwest Atlantic aimed at defining the affinity of different life stages with complex bottom habitats and the effect of habitat type on growth and survival, particularly for the younger age groups. Several studies in U.S. and Canadian waters have shown that cod move into deeper water as they grow. A number of field studies conducted in shallow water show that survival rates of juvenile cod were higher in more structured habitats (e.g., in vegetation or rocky reefs and on cobble bottoms) where they find refuge from predators. In one of these studies, growth rates were also higher in vegetated habitats. Laboratory experiments performed in habitat types of varying complexity with and without predators present have confirmed that juvenile cod, especially young-of- the -year juveniles, survive better in more structured habitats where they are less susceptible to predation. A dynamic model was used to link patterns in habitat-mediated survivorship of post-settlement juvenile cod with spatial variations in habitat

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish complexity. Model results demonstrated that patterns in the relationship between juvenile cod survivorship and density as well as movement rate were similar regardless of the density-dependent nature of predation, that juvenile cod movement rates and post-settlement density were critical for predicting the effects of marine protected-area size on survivorship, and that habitat change caused by fishing had significant negative effects on juvenile cod survivorship. In deeper water, submersible and trawl survey data was used to show that recently-settled cod and haddock were found primarily on a large pebble-gravel deposit in the north-eastern edge of Georges Bank at depths of 70-100 meters. They hypothesized that the gravel habitat (inclusive of the epifaunal invertebrates that provided cover) favors their survival through predator avoidance and may be essential to the recruitment success of the Georges Bank gadid population. Later, 1986 and 1987 estimates of pelagic juvenile abundance were used to estimate settlement mortality rates of 3 to 8% per day. Because the juveniles were much more abundant in 1987 than in 1986, but recruitment at age 1 in both years was similar, he concluded that the mortality of demersal juveniles was much higher in 1987 and that the limited gravel on the northern edge of the bank area may represent a survival bottleneck. Evidence that complex habitats enhance the survival of juvenile fish in other habitat types is provided by research done in sandy bottom habitats in the Mid-Atlantic Bight. Here, structure is provided by bedforms (sand waves) of varying heights and biogenic structure such as animal tubes, shell and shell aggregation, or pits created by various species. Similar habitat types exist on Georges Bank and in southern New England and in areas of sandy sediment in the Gulf of Maine. More fish were found associated with larger bedforms that had some biogenic structure. Proximity of complex and simple habitats was important in providing refuge from predators in more complex habitats during the day and foraging opportunities in simpler habitats at night. Such diel patterns of habitat use would be expected to enhance survival and growth. Significant species/habitat interactions implied that the impact of reduced seafloor complexity may be more severe for some species than for others. As noted previously, no seabirds were reported in the observer data as interacting with large mesh bottom trawl fishery either on Georges Bank or in the Gulf of Maine. However, it is noted by Powers (1983) that seabirds are found in both areas. so, while seabirds are noted to be an important part of the food web on Georges Bank and in the Gulf of Maine (Link et al., 2008; Powers, 1983), because there is no evidence on interactions between the large mesh otter trawl fishery and seabirds, they are not considered herein. In conclusion, while there is evidence that the multispecies groundfish trawl fishery has impacted the northeast US shelf ecosystem in the last century primarily due to overfishing and depleting selected resources, with the improvements in fisheries management in the last two decades, many of those impacts have been reduced, and with continuing shift to ecosystem-based fishery management, these impacts should be further reduced.

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3.6 Principle Three: Management System Background

3.6.1 Area of Operation and Relevant Jurisdictions The Unit of Assessments include three species and four stocks, harvested with otter trawls in two management areas (Gulf of Maine and Georges Bank) in federal waters (3-200 miles) off the northeastern coast of the United States. Haddock, pollock, and redfish fisheries in the US Exclusive Economic Zone fall under a single, US federal jurisdiction and are managed by the National Marine Fisheries Service (NMFS) and the New England Fishery Management Council (NEFMC). Legislative authority and requirements are provided by the Magnuson-Stevens Fishery Conservation and Management Act (MSFCMA), the National Environmental Policy Act (NEPA), the Administrative Procedures Act (APA), the Endangered Species Act (ESA), the Marine Mammal Protection Act (MMPA), the Regulatory Flexibility Act (RFA), the Paperwork Reduction Act (PRA), the Coastal Zone Management Act (CZMA), Executive Orders (EOs) 12866 and 13132, and the Information Quality Act (IQA, also known as the Data Quality Act, or DQA).

3.6.2 National Fisheries Management Federal fisheries in the United States are managed under the MSFCMA, which includes 10 national standards. These can be considered as explicit and clear long-term objectives that guide decision- making and are consistent with the MSC Principles and Criteria and the precautionary approach. The 10 national standards under MSFCMA state that “conservation and management measures shall: 1. Prevent overfishing while achieving optimum yield. 2. Be based upon the best scientific information available. 3. Manage individual stocks as a unit throughout their range, to the extent practicable; interrelated stocks shall be managed as a unit or in close coordination.

4. Not discriminate between residents of different states; any allocation of privileges must be fair and equitable.

5. Where practicable, promote efficiency, except that no such measure shall have economic allocation as its sole purpose.

6. Take into account and allow for variations among and contingencies in fisheries, fishery resources, and catches.

7. Minimize costs and avoid duplications, where practicable.

8. Take into account the importance of fishery resources to fishing communities to provide for the sustained participation of, and minimize adverse impacts to, such communities (consistent with conservation requirements).

9. Minimize bycatch or mortality from bycatch.

10. Promote safety of human life at sea.

The MSFCMA also created eight regional fishery management councils (councils) responsible for the fisheries that require conservation and management in their region. The councils are composed of both voting and non-voting members representing the commercial fishing, recreational fishing, environmental, academic, and government interests. Under the MSFCMA, councils are required to:

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1. Develop and amend Fishery Management Plans 2. Convene committees and advisory panels and conduct public meetings

3. Develop research priorities in conjunction with a Scientific and Statistical Committee

4. Select fishery management options

5. Set annual catch limits based on best available science

6. Develop and implement rebuilding plans

In 2007, new specific requirements to end and prevent overfishing, including annual catch limits (ACLs) and accountability measures (AMs) were included in Amendments to the MSFCMA. ACLs and AMs were required for all fisheries by fishing year 2010 if overfishing was occurring, and they were required for all other fisheries by fishing year 2011. The Council approved this action in 2010 so that measures establishing ACLs were implemented for the start of the 2011-fishing year.

3.6.3 Consultation, Roles & Responsibilities, and Decision Making Processes Under the MSFCMA, fisheries management plans contain legal requirements that are codified in the Code of Federal Regulations (USOFR 2016). NMFS has legal responsibility for implementing FMPs developed under the MSFCMA, and can be subject to lawsuits, during which the public “administrative record” (the basis for decision making—including everything in the public record on all fisheries related issues) is used to demonstrate how NMFS made its decisions. NMFS also has legal responsibility for reviewing and approving (or not) FMPs, implementing and enforcing regulations, and administering supporting programs. This legal framework requires decision-makers to consider a range of alternatives and their impacts as well as their compliance with the ten National Standards. As part of the process, NMFS publishes a "Notice of Proposed Rule-making" that invites comments from the public. When a final rule is published, NMFS routinely includes all comments received on proposed rules and the NMFS response to those comments.

The Council process is fully public and there are regular opportunities for public involvement. The roles and responsibilities of the respective Councils, their committees and staff, and the regional NMFS science centers are clear and understood by all relevant parties. Key roles and functions for groundfish management are as follows:

National Marine Fisheries Service (NMFS) (NOAA) – final approving authority for the Northeast Multispecies Fishery Management Plan (FMP) and amendments thereto; final approving authority for annual quotas; authority for issuance of administrative rules implementing management decisions.

Northeast Fisheries Science Center (NEFSC/Woods Hole) – responsible for at sea surveys of all groundfish species, estimating volume of biomass, age/length relationships, recruitment, etc.; responsible for periodic formal (peer reviewed) stock assessments, evaluating all characteristics of the biomass, based on the at sea surveys, and providing projections of future volume of biomass under varying hypothetical harvest scenarios, all for the use of regulators in setting quotas.

New England Fisheries Management Council (NEFMC) – entity with jurisdiction under the Magnuson Act for the development of management measures for the groundfish fisheries through the initiation, development, and approval of all amendments to the FMP, as well as the setting of annual quotas for

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Scientific and Statistical Committee ("SSC") of the NEFMC – a group of approximately 15 scientists and academics required by the Magnuson Act to review annual reports from the NEFMC staff and NEFSC regarding the status of the stocks, and then to set the ABC ("Acceptable Biological Catch") for each stock. The ABC is the maximum level at which the NEFMC may set the harvest quota each year. The SSC additionally recommends improvements for the assessments and notes parameters – such as biological reference points – that they believe need further study.

Groundfish Oversight Committee of the NEFMC – Oversight Committees are made up of subsets of Council members who are responsible for developing or modifying the Council’s management plan measures, or adding important new considerations to a plan. Committee meetings are often held over periods of a year or more while members debate, refine and formalize recommendations for consideration by the full Council.

Groundfish Advisory Panel –representatives of the fishing industry and the public use their knowledge and experience in the fishery to advise the Groundfish Committee and the NEFMC concerning the performance of the fishery and any proposed changes in the management system.

Recreational Advisory Panel – The NEFMC Recreational Advisory Panel provides support and input to the committee and currently consists of 15 members (http://www.nefmc.org/committees/recreational-advisory-panel).

Groundfish Plan Development Team (PDT) – The PDT consists of Council and agency staff and carries out tasks assigned by the Groundfish Committee and the Council.

Northeast Regional Coordinating Council (NRCC) -Joint Committees enhance coordination among fishery management partners concerning process-related issues, data needs, and stock assessments; or serve as mechanisms to facilitate management negotiations, such as the TMGC. (http://www.nefmc.org/committees/northeast-regional-coordinating-council-nrcc)

Transboundary Management Guidance Committee (TMGC) - Several fish stocks on Georges Bank are transboundary and to be effectively managed require coordinated action between the U.S.A. and Canada. Since the international maritime boundary line between the two countries was drawn in 1984, both nations have worked closely to sustainably manage their shared resources, collaborate on stock assessments, and coordinate their research and enforcement efforts. That coordination was formalized when the Transboundary Management Guidance Committee was established in 2000. Developed as an advisory process, the TMGC addresses how catches of transboundary stocks of Eastern Georges Bank cod, Eastern Georges Bank haddock, and Georges Bank yellowtail flounder should be allocated to each country within a defined geographic region. Council members, NOAA Fisheries representatives, and Canadian officials who serve on the TMGC negotiate the allocations annually based on the historic proportions of fishery landings caught by US and Canadian fishermen, and resource distribution. (http://www.nefmc.org/committees/transboundary-management-guidance- committee-tmgc)

Transboundary Resources Assessment Committee (TRAC) – Since 1998, the Transboundary Resources Assessment Committee (TRAC) has reviewed stock assessments and projections necessary to support management activities for shared resources across the USA Canada boundary

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Stock Assessment Review Committee (SARC) – Provides a high-level review of all stock assessments.

Vessel Monitoring System/Enforcement Committee – Oversight Committees are made up of subsets of Council members who are responsible for developing or modifying the Council’s management plan measures, or adding important new considerations to a plan. Committee meetings are often held over periods of a year or more while members debate, refine and formalize recommendations for consideration by the full Council. (http://www.nefmc.org/committees/vessel-monitoring-system- enforcement)

Enforcement Advisory Panel – Provides support and input to the Vessel Monitoring System/Enforcement Committee.

Research Steering Committee – The Research Steering Committee fosters collaborations between fishermen and scientists and advises on Council research priorities to achieve this outcome. (http://www.nefmc.org/committees/research-steering-committee)

Observer Policy Committee – The Observer Committee currently focuses on the continued development of the NMFS-led omnibus Industry-Funded Monitoring Amendment as its top priority. It is expected that development of the omnibus amendment will continue through 2014, with the final selection of measures anticipated at the end of 2014 or early 2015. (http://www.nefmc.org/committees/observer-policy-committee)

Ecosystem Based Fisheries Management Committee – Ten-member committee includes two members from the NEFMC and provides guidance to the Council on ecosystem based fisheries management.

Habitat Committee – A 12-member committee that includes representatives of the NEFMC, ASMFC, and NMFS. Advises the Council on habitat issues.

Risk Policy Working Group – Works on the development of a risk policy to serve as guidance for ABC (acceptable biological catch) control rules and annual catch limits (ACLs) for Council-managed species. Also works on a Risk Policy Statement for adoption by the Council. Provides guidance to the Council on baseline conditions related to overfishing definitions, ABC control rules, and harvest control rules in Council-managed FMPs.

Decisions about management of the groundfish fisheries are driven by two main processes:

1. annual decision-making processes that may result in measures to meet the short-term fishery objectives are driven by the control rules contained in the FMP;

2. longer-term decision-making processes, such as amendments or framework actions, that result in new measures and/or strategies to achieve the long-term fishery objectives (i.e. changes to the management system).

3.6.4 Fishery-Specific Management and Objectives The groundfish fisheries have explicit short and long-term objectives which are consistent with

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish achieving the outcomes expressed by MSC’s Principles 1 and 2. The Northeast Multispecies FMP was implemented in 1986 (NEFMC 2016) to reduce fishing mortality of heavily fished groundfish stocks and to promote rebuilding to sustainable biomass levels. Thirteen species are managed through plan amendments and framework adjustments to the original plan, while five additional stocks are managed under a separate small mesh multispecies program. The FMP was developed by the NEFMC and approved, implemented, and enforced by the National Marine Fisheries Service, an agency of the US Department of Commerce.

Since 1986 the Atlantic groundfish FMP has been amended 73 times through 18 amendments and 55 framework actions (NEFMC 2016). The initial “Management Policy and Objectives” set forth in the FMP contained two basic goals for management:

1) to allow the multi-species fishery to operate with minimum regulatory intervention, and

2) to adopt initial measures to prevent stocks from reaching minimum abundance levels, defined as those levels below which there is an unacceptably high risk of recruitment failure.

The FMP went on to state that:

The management objective is to control fishing mortality on juveniles (primarily) and on adults (secondarily) of selected finfish stocks in order to maintain sufficient spawning potential so that year classes replace themselves on a long-term average basis, to similarly reduce fishing mortality for the purpose of rebuilding those stocks which have insufficient spawning potential to maintain a viable fishery resource (currently Georges Bank haddock and redfish) and to promote the collection of information about the multi-species fishery and the effectiveness of the management program. (NEFMC 1985)

Amendment 13 established additional goals and objectives, which were incorporated into the most recent substantive amendment, Amendment 16. These six goals and ten objectives are as follows (NEFMC 2009):

Goal 1: Consistent with the National Standards and other required provisions of the Magnuson- Stevens Fishery Conservation and Management Act and other applicable law, manage the northeast multispecies complex at sustainable levels.

Goal 2: Create a management system so that fleet capacity will be commensurate with resource status so as to achieve goals of economic efficiency and biological conservation and that encourages diversity within the fishery.

Goal 3: Maintain a directed commercial and recreational fishery for northeast multispecies.

Goal 4: Minimize, to the extent practicable, adverse impacts on fishing communities and shoreside infrastructure.

Goal 5: Provide reasonable and regulated access to the groundfish species covered in this plan to all members of the public of the United States for seafood consumption and recreational purposes during the stock rebuilding period without compromising the

In 1996 Congress amended the Magnuson-Stevens Fishery Conservation and Management Act with

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish the Sustainable Fisheries Act (SFA). SFA emphasized the importance of habitat protection to healthy fisheries and strengthened the ability of the National Marine Fisheries Service (NMFS) and the Councils to protect and conserve the habitat of marine, estuarine, and anadromous finfish, mollusks, and crustaceans.

The SFA required the Council, after receiving recommendations from NMFS, to amend its fishery management plans by October 1998 to:

1. Describe and identify the essential habitat for the species managed by the Council

2. Minimize to the extent practicable adverse effects on EFH caused by fishing

3. Identify other actions to encourage the conservation and enhancement of EFH

On January 14, 2016, the NEFMC submitted Omnibus Habitat Amendment 2 (OHA2) to NMFS GARFO. Implemented in 2017, OHA2 updates EFH designations for all species managed by the Council (now 28), designates new HAPCs, and revises the current habitat and groundfish management areas. The amendment used a new Swept Area Seabed Impact (SASI) model to assess habitat vulnerability to fishing gear and develop revised habitat management areas. The Council is developing a trailing action to OHA2 that will consider whether to exempt clam dredges in part or all of two new habitat management areas. Prior to OHA2, efforts to minimize the adverse effects of Council-managed fisheries on essential fish habitat (EFH) were largely developed and implemented plan by plan, although fishery effects on EFH are cumulative across fishery management plans because fish and fishery distributions overlap across both species and plans. In 1999, NOAA Fisheries implemented the first Habitat Omnibus Amendment that addressed new Magnuson Fishery Conservation and Management Act mandates in most New England Council FMPs. The amendment also identified and described EFH for the 18 species managed by the Council, major threats to EFH from both fishing and non-fishing related activities, and proposed conservation and enhancement measures and designated Habitat Areas of Particular Concern for Atlantic salmon and Atlantic cod. EFH Omnibus Amendment 2 Although some designations, specifically skates, wolffish, and red crab, are more recent, many of the New England designations were developed for the 1998 Omnibus EFH Amendment. The new designations proposed in OHA2 include additional years of distribution data as well as information about depth and temperature preferences.

Amendment 13 objectives or timetable. If necessary, management measures could be modified in the future to ensure that the overall plan objectives are met.

Goal 6: To promote stewardship within the fishery.

Objective 1: Achieve, on a continuing basis, optimum yield (OY) for the US fishing industry.

Objective 2: Clarify the status determination criteria (biological reference points and control rules) for groundfish stocks so they are consistent with the National Standard guidelines and applicable law.

Objective 3: Adopt fishery management measures that constrain fishing mortality to levels that are compliant with the Sustainable Fisheries Act.

Objective 4: Implement rebuilding schedules for overfished stocks and prevent overfishing.

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Objective 5: Adopt measures as appropriate to support international transboundary management of resources.

Objective 6: Promote research and improve the collection of information to better understand groundfish population dynamics, biology and ecology, and to improve assessment procedures in cooperation with the industry.

Objective 7: To the extent possible, maintain a diverse groundfish fishery, including different gear types, vessel sizes, geographic locations, and levels of participation.

Objective 8: Develop biological, economic and social measures of success for the groundfish fishery and resource that insure accountability in achieving fishery management objectives.

Objective 9: Adopt measures consistent with the habitat provisions of the M-S Act, including identification of EFH and minimizing impacts on habitat to the extent practicable.

Objective 10: Identify and minimize bycatch, which include regulatory discards, to the extent practicable, and to the extent bycatch cannot be avoided, minimize the mortality of such bycatch.

3.6.5 History of the Fishery Management Plan (This history of the Northeast Multispecies FMP is adapted from NEFMC 2016)

Groundfish stocks were managed under the MSFCMA beginning with the adoption of a groundfish plan for cod, haddock, and yellowtail flounder in 1977. This plan relied on hard quotas (total allowable catches, or TACs), and proved unworkable. The quota system was terminated in 1982 with the adoption of the Interim Groundfish Plan, which used minimum fish sizes and codend mesh regulations for the Gulf of Maine and Georges Bank to control fishing mortality. The interim plan was replaced by the Northeast Multispecies FMP in 1986, which established biological targets in terms of maximum spawning potential and continued to rely on gear restrictions and minimum mesh size to control fishing mortality. A detailed discussion of the history of the FMP up to 2009 can be found in Amendment 16 (NEFMC 2009).

Amendment 16 was adopted in 2009 and had major changes to the FMP. It greatly expanded the sector program and implemented Annual Catch Limits in compliance with 2006 revisions to the MSFCMA. There were a host of mortality reduction measures for “common pool” (i.e. non-sector) vessels and the recreational component of the fishery. An appeal of the lawsuit filed by the Cities of Gloucester and New Bedford and several East Coast fishing industry members against Amendment 16 was heard by the US Court of Appeals for the First Circuit in Boston in September, 2012. The court ruled against the plaintiffs and the provisions of Amendment 16 were upheld. Framework 44 was also adopted in 2009, and it set specifications for FY 2010 – 2012 and incorporated the best available information in adjusting effort control measures adopted in Amendment 16.

There have been several approved Council actions since the adoption of Amendment 16. Framework 45 was approved by the Council in 2010 and adopts further modifications to the sector program and fishery specifications; it was implemented May 1, 2011. Framework 46 revised the allocation of haddock to be caught by the herring fishery and was implemented in August 2011. Amendment 17 authorizes NOAA-sponsored state-operated permit banks and was implemented on April 23, 2012. Framework 47, implemented on May 1, 2012, set specifications for some groundfish stocks for FY

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2012 – 2014, modified accountability measures for the groundfish fishery and the administration of the scallop fishery accountability measures, and revised common pool management measures; modification of the Ruhle trawl definition and clarification of regulations for charter/party and recreational groundfish vessels fishing in groundfish closed areas were proposed under the Regional Administrator authority. Framework 48 was partially approved for May 1, 2013 some measures are still in review. That action proposes revised status determination criteria for several stocks, modifies the sub-ACL system, adjusts monitoring measures for the groundfish fishery, and changes several accountability measures. Framework 50 was also implemented on May the 1st, 2013 and set specifications for many groundfish stocks and modified the rebuilding program for SNE/MA winter flounder. Framework 49 is a joint Northeast Multispecies/Atlantic Sea Scallop action that modified the dates for scallop vessel access to the year-round groundfish closed areas; this action was implemented on May 20, 2013. Framework 51 modified rebuilding programs for Gulf of Maine cod and American plaice, set specifications for FY2014-2016 and modified management measures in order to ensure that overfishing does not occur including, additional management measures related to US/Canada shared stocks and yellowtail flounder in the groundfish and scallop fisheries. Framework Adjustment 52 was approved on January 15, 2015. This action made two revisions to the accountability measures for the groundfish fishery for the northern (Gulf of Maine / Georges Bank) and southern (SNE/MA) windowpane flounder stocks. Framework 53 was implemented on May 1, 2015. This action updated changes to the status determination criteria, set specifications for FY2015- 2017, adopted US/ Canada Total Allowable Catches (TACs), established management measures for GOM cod that revise rolling closures and possession limits to enable Gulf of Maine cod protection while providing opportunity for the groundfish fishery to prosecute healthy stocks in other times and areas, implemented default specifications, and to revised regulations governing Sector Annual Catch Entitlement (ACE) carryover. Amendment 18 which would address fleet diversity and accumulation limits, was submitted to NMFS on October 30, 2015. Monkfish FW 9 is a joint action with the groundfish plan (FW 54) and would modify regulations for vessels in the days-at-sea program.

The final documents for all prior actions can be found on the internet at http://www.nefmc.org.

3.6.6 Fisheries Regulations to Meet Objectives Complete regulations for the northeast groundfish fishery can be found at: 50 CFR Part 648, Subpart F - Management Measures for the NE Multispecies and Monkfish Fisheries. The regulations include:

§ 648.80 — NE Multispecies regulated mesh areas and restrictions on gear and methods of fishing.

§ 648.81 — NE multispecies closed areas and measures to protect EFH.

§ 648.82 — Effort-control program for NE multispecies limited access vessels.

§ 648.83 — Multispecies minimum fish sizes.

§ 648.84 — Gear-marking requirements and gear restrictions.

§ 648.85 — Special management programs.

§ 648.86 — NE Multispecies possession restrictions.

§ 648.87 — Sector allocation. (Sectors are self-selecting, voluntary groups of permit holders. Sectors

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish are allocated annual catch entitlements (ACE) for each species in proportion to the catch history of their members. Sectors are responsible for the further allocation of ACE and for assuring that the sector members do not exceed the sector allocation.)

§ 648.88 — Multispecies open access permit restrictions.

§ 648.89 — Recreational and charter/party vessel restrictions.

§ 648.90 — NE multispecies assessment, framework procedures and specifications, and flexible area action system.

§ 648.91 — Monkfish regulated mesh areas and restrictions on gear and methods of fishing.

§ 648.92 — Effort-control program for monkfish limited access vessels.

§ 648.93 — Monkfish minimum fish sizes.

§ 648.94 — Monkfish possession and landing restrictions.

§ 648.95 — Offshore Fishery Program in the Southern Fishery Management Area (SFMA).

§ 648.96 — FMP review, specification, and framework adjustment process.

§ 648.97 — Closed areas.

In addition to regulations specific to the multispecies FMP, all vessels in the multispecies fishery must comply with regulations that apply to all fisheries in the northeastern United States and are contained in 50 CFR Part 648, Subpart A, paragraphs 648.1-648.18. These general provisions cover the following areas:

§ 648.1 — Purpose and scope.

§ 648.2 — Definitions.

§ 648.3 — Relation to other laws.

§ 648.4 — Vessel permits.

§ 648.5 — Operator permits.

§ 648.6 — Dealer/processor permits.

§ 648.7 — Recordkeeping and reporting requirements.

§ 648.8 — Vessel identification.

§ 648.9 — VMS vendor and unit requirements.

§ 648.10 — VMS and DAS requirements for vessel owners/operators.

§ 648.11 — At-sea sea sampler/observer coverage.

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§ 648.12 — Experimental fishing.

§ 648.13 — Transfers at sea.

§ 648.14 — Prohibitions.

§ 648.15 — Facilitation of enforcement.

§ 648.16 — Penalties.

§ 648.17 — Exemptions for vessels fishing in the NAFO Regulatory Area.

3.6.7 Access Rights Vessel permits to fish for northeast multispecies were limited to past participants in the fishery by Amendment 5 in 1994, with some exceptions for small-scale fishing operations. Amendment 5 also created a fishing effort control program that allocated “days-at-sea” to permitted vessels based on either their category or their individual fishing history. In 2004 Amendment 13 adopted two programs that facilitate the exchange of DAS between limited access permit holders. The DAS leasing program allows the temporary transfer of DAS from one permit to another. The vessels exchanging DAS must have similar vessel lengths and horsepower. The DAS transfer program allows for the permanent transfer of DAS between two vessels. For the transfer program, the two vessels involved must have similar length, horsepower, gross, and net tonnage.

Amendment 13 also created the ability for fishermen to organize into self-selecting, voluntary organizations called “sectors” in the FMP. Approved sectors could be allocated hard quotas proportional to their members catch history and members could be relieved of the many of the effort control measures that attempted to regulate the catch of non-sector vessels. Sectors can be viewed as harvesting cooperatives. Almost all approved sectors have further allocated their annual catch entitlements to their members in proportion to the catch history that the members bring into the sector. Sectors keep track of members’ allocations and catches and must approve the transfer of ACE to another sector (Larabee 2012). The system functions much like an individual transferable quota system, with constraints on trading created by the need for sector approval of transfers outside the sector. Amendment 16 to the Groundfish FMP was approved in 2009 and had the effect of broadening the sector program.

Transfer of permits, days-at-sea, and catch history in the groundfish fishery is rather clumsy. Permits can only be transferred with the vessel to which they are attached. Before or after the transfer, however, the vessel can be replaced. The need to transfer a vessel with the permit creates additional paperwork but does not impede transfers.

Access rights are not considered a property right and can be cancelled through an amendment to the FMP. The expectation, however, is that the access rights will be renewed from year to year.

3.6.8 Monitoring, Control and Surveillance The National Marine Fisheries Service (NMFS) and the United States Coast Guard (USCG) share responsibility for the enforcement of fishing laws and regulations by US vessels. These agencies have land-based and seagoing enforcement officers and a complete system of monitoring, control and surveillance (MCS) for the groundfish fisheries, including:

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At-sea surveillance by patrol vessels and fixed-wing aircraft;

Prescribed on-board observer coverage with protocols to monitor catch, species, etc;

Unannounced dockside monitoring of landings;

Submission of vessel fishing log books (vessel trip reports);

Catch and Effort database to track catch against allocations;

Electronic vessel monitoring systems (VMS) on each vessel;

And, potential catch seizure and significant fines and loss of fishing privileges for violations of regulations.

There is an explicit and statutory sanction framework that is applied for violations of fishery regulations. Sanctions for violations in the Northeast Region of the US are listed in 50 CFR 600.740:

“The Magnuson-Stevens Act provides four basic enforcement remedies for violations, in ascending order of severity, as follows:

(1) Issuance of a citation (a type of warning), usually at the scene of the offense (see 15 CFR part 904, subpart E).

(2) Assessment by the Administrator of a civil money penalty.

(3) For certain violations, judicial forfeiture action against the vessel and its catch.

(4) Criminal prosecution of the owner or operator for some offenses. It shall be the policy of NMFS to enforce vigorously and equitably the provisions of the Magnuson-Stevens Act by utilizing that form or combination of authorized remedies best suited in a particular case to this end.

Other than assaults on fishery officers, violations of federal fishery regulations are treated as civil cases, using a “preponderance of the evidence” rule. Cases are adjudicated by administrative law judges.”

Table 20 provides information on fishing vessel boardings conducted by units from the USCG First District together with resulting violations and the observed compliance rate. The data is not specific to the groundfish fishery and many categories of violations are common to multiple fisheries, making it impossible to determine the compliance rate for the groundfish fishery. When a violation is found, the USCG refers the matter to the NOAA Office of General Counsel.

The assessment team interviewed individuals from the NOAA Office of Law Enforcement and Office of General Counsel Enforcement Section, as described in the meeting notes under Appendix 3. OGC can deal with violations in multiple ways, depending on the severity of the violation and other circumstances. Violations may be administrative in nature, such as failure to carry a federal permit on board, or may be more serious, such as a closed area violation or possession of prohibited species. Violators may be offered a summary settlement for small violations (essentially a ticket) or are referred for investigation and prosecution if a larger issue or a repeat offender. NOAA OGC publishes a list of

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish enforcement actions on its web site on a quarterly basis but the information is not often sufficient to determine in which fishery the violation occurred. Information on settled cases illustrates that sanctions are meaningful and would be expected to be effective in bringing about compliance.

Charged cases have had a NOVA and/or NOPS and/or written warning issued and served. NOVA stands for Notice of Violation and Assessment and NOPS stands for Notice of Permit Sanction. NOVAs, NOPSs, and written warnings contain the Agency’s allegations of violations by the respondent(s). In response to receiving a NOVA, NOPS, or written warning, a respondent may challenge those allegations through means set forth in NOAA’s civil procedure regulations found at 15 C.F.R. Part 904.

NOAA OLE personnel characterized the groundfish fishery as having minimal intentional violations. The number and complexity of regulations result in unintentional violations that are often dealt with through compliance assistance or warnings. Enforcement staff does not believe that there is any systematic non-compliance in the groundfish fishery.

Table 20 Fishing vessel boardings conducted by units from the First Coast Guard District with resulting violations and the observed compliance rate from October 2014 through December 2017. Compiled from periodic USCG briefings presented to the New England Fishery Management Council and accessed at: https://www.nefmc.org/council-meetings.

First Coast Guard District Enforcement Reports to FMCs (source: https://www.nefmc.org/council- meetings) Observed FV Complaince Boardings Violations Rate Oct 1, 2014-Sep 2015 1363 43 97% Oct 1-Dec 2015 212 9 96% Dec 1, 2015-Jan 2016 179 4 98% Feb 1-Apr 2016 152 3 98% Apr 1-Jun 2016 179 7 96% Sep 1- Nov 2016 260 14 95% Nov 1, 2016-Jan 2017 227 14 94% Apr 1-Jun 2017 290 7 98% Jun 1-Sept 2017 231 25 89% Sep 1- Dec 2017 375 8 98% 39 Months 3468 134 96%

3.6.9 Review and Audit of the Management Plan The management system and its various components is regularly reviewed and amended if necessary through the NEFMC council process. The following entities have relevant roles:

New England Fishery Management Council ("NEFMC") – entity with jurisdiction under the Magnuson Act for operational management of the groundfish fishery, including review/approval of all amendments to the FMP, as well as the setting of annual quotas for all species (see website

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Acoura Marine Public Certification Report US Maine haddock, pollock and redfish www.NEFMC.org).

Scientific and Statistical Committee ("SSC") of the NEFMC – a group of approximately 15 scientists and academics required by the Magnuson Act to review annual reports from the NEFMC staff and NEFSC regarding the status of the stocks, and then to set the ABC ("Acceptable Biological Catch") for each species. The ABC is the maximum level at which the NEFMC may set the harvest quota each year. The SSC additionally recommends improvements for the assessments and notes parameters – such as biological reference points – that they believe need further study.

Groundfish Committee of the NEFMC – committee comprised of NEFMC members charged with initial responsibility for interacting with industry, and for recommending to full Council proposed changes in FMP/management regulations and proposed annual quotas.

Groundfish Advisory Panel – meets regularly in advance of Groundfish Committee meetings and makes recommendations to the NEFMC regarding management actions that may be needed or are under consideration.

Recreational Advisory Panel – The NEFMC Recreational Advisory Panel provides support and input to the committee and currently consists of 15 members (http://www.nefmc.org/committees/recreational-advisory-panel).

Groundfish Plan Development Team (PDT) – The PDT consists of Council and agency staff and carries out tasks assigned by the Groundfish Committee and the Council.

Northeast Regional Coordinating Council (NRCC) -- Joint Committees enhance coordination among fishery management partners concerning process-related issues, data needs, and stock assessments; or serve as mechanisms to facilitate management negotiations, such as the TMGC. (http://www.nefmc.org/committees/northeast-regional-coordinating-council-nrcc)

Transboundary Management Guidance Committee (TMGC) -- Several fish stocks on Georges Bank are transboundary and to be effectively managed require coordinated action between the U.S.A. and Canada. Since the international maritime boundary line between the two countries was drawn in 1984, both nations have worked closely to sustainably manage their shared resources, collaborate on stock assessments, and coordinate their research and enforcement efforts. That coordination was formalized when the Transboundary Management Guidance Committee was established in 2000. Developed as an advisory process, the TMGC addresses how catches of transboundary stocks of Eastern Georges Bank cod, Eastern Georges Bank haddock, and Georges Bank yellowtail flounder should be allocated to each country within a defined geographic region. Council members, NOAA Fisheries representatives, and Canadian officials who serve on the TMGC negotiate the allocations annually based on the historic proportions of fishery landings caught by US and Canadian fishermen, and resource distribution. (http://www.nefmc.org/committees/transboundary-management-guidance- committee-tmgc)

Transboundary Resources Assessment Committee (TRAC) – Since 1998, the Transboundary Resources Assessment Committee (TRAC) has reviewed stock assessments and projections necessary to support management activities for shared resources across the USA Canada boundary in the Gulf of Maine-Georges Bank region. (http://www.nefsc.noaa.gov/saw/trac/)

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Stock Assessment Review Committee (SARC) – Provides a high-level review of all stock assessments.

Vessel Monitoring System/Enforcement Committee – Oversight Committees are made up of subsets of Council members who are responsible for developing or modifying the Council’s management plan measures, or adding important new considerations to a plan. Committee meetings are often held over periods of a year or more while members debate, refine and formalize recommendations for consideration by the full Council. (http://www.nefmc.org/committees/vessel-monitoring-system- enforcement)

Enforcement Advisory Panel – Provides support and input to the Vessel Monitoring System/Enforcement Committee.

Research Steering Committee – The Research Steering Committee fosters collaborations between fishermen and scientists and advises on Council research priorities to achieve this outcome. (http://www.nefmc.org/committees/research-steering-committee)

Observer Policy Committee – The Observer Committee currently focuses on the continued development of the NMFS-led omnibus Industry-Funded Monitoring Amendment as its top priority. It is expected that development of the omnibus amendment will continue through 2014, with the final selection of measures anticipated at the end of 2014 or early 2015. (http://www.nefmc.org/committees/observer-policy-committee)

Ecosystem Based Fisheries Management Committee – Ten-member committee includes two members from the MAFMC and provides guidance to the Council on ecosystem based fisheries management.

Habitat Committee – A 12-member committee that includes representatives of the NEFMC, ASMFC, and NMFS. Advises the Council on habitat issues.

Risk Policy Working Group – Works on the development of a risk policy to serve as guidance for ABC (acceptable biological catch) control rules and annual catch limits (ACLs) for Council-managed species. Also works on a Risk Policy Statement for adoption by the Council. Provides guidance to the Council on baseline conditions related to overfishing definitions, ABC control rules, and harvest control rules in Council-managed FMPs.

Some parts of the management system, such as the stock assessments used to set annual TACs and quotas, are subject to external review, and the management system as a whole is part of the federal regional fisheries management system that was established under the MSFCMA. As such, NEFMC council staff and officers participate in periodic meetings of the national Council Coordination Committee (CCC). The CCC consists of the chairs, vice chairs, and executive directors from each regional fishery management council (council), or other staff, as appropriate. This committee meets twice each year to discuss issues relevant to all councils, including issues related to the implementation of the MSFCMA. NOAA Fisheries is committed to the timely implementation of all provisions of the MSFCMA. Regular face-to-face meetings or conferences between NOAA Fisheries and the leadership of the eight councils are critical to ensure administrative and MSFCMA priorities are met. (http://www.nmfs.noaa.gov/sfa/management/councils/ccc/ccc.htm)

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In addition, according to MSC guidance, external review could be by another department within an agency or by another agency or organization within the country. Considering this, the Council structure wherein NMFS and NOAA General Council (other departments or agencies) review alternatives for management changes presented for Council decision-making can likely also be considered as “external review” of the management system for these purposes (MSC 2014). A variety of agencies and interest groups outside the fishery management system regularly review the system with regards to their particular field of interest. These include ETP Take Reduction Teams, the Department of Commerce Inspector General and others. On occasion, the US Congress will direct the National Research Council to investigate some fishery management issue. The Congressional Research Service also reviews council actions pertaining to issues of interest to Members of Congress. There is, however, no regular, comprehensive external review of the management system as is required for a score of 100 on performance indicator related to internal and external review of the management system.

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4 Evaluation Procedure

4.1 Harmonised Fishery Assessment MSC directs CABs assessing overlapping fisheries to ensure consistency of outcomes so as not to undermine the integrity of MSC fishery assessments. The CR provides guidance for harmonisation where a fishery in assessment overlaps with an already certified fishery. The US Acadian Redfish, Pollock and Haddock Otter Trawl Fishery was certified on July 5, 2016 by SAI Global. This fishery is the same fishery as is currently being assessed. The PCR for the US Acadian Redfish, Pollock and Haddock Otter Trawl Fishery states that: “The unit of certification includes all US Acadian redfish, pollock and haddock landed by the US fishing fleet using trawl fishing gear.” MSC guidance states that: “Fisheries that are identical should receive identical scores…. MSC’s intent here is that a part of a UoA that simply decides for commercial or other reasons to have a separate certificate should not be allowed to have different scoring from other members of the same fleet.” The MSC wishes to discourage overlapping assessments to avoid potential financial, consistency and credibility costs, including: • fisheries managers, scientists and stakeholders receiving duplicate requests for information • duplication of costs for a fishery’s certification, including that expense incurred by fishery management agencies pre- and post-certification; MSC guidance provides that: • CABs shall ensure that conclusions are consistent between the two (or more) fisheries, with respect to evaluation, scoring and conditions.” • Where a fishery under assessment overlaps with a certified fishery, CABs shall coordinate their assessments so as to make sure that key assessment products and outcomes are harmonised. • Where an assessment overlaps with a certified fishery or fishery in assessment that a CAB has already scored, the new assessment team shall use as their baseline the rationale and scores detailed for the previously scored fishery.

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Table 21 MSC fisheries considered for harmonization.

Principles for MSC Assessment Conformity Fishery Status Harmonization Tree Version Assessment Body

Certified 2012, Suspended 1 US Atlantic February 19, P3 (3.1.1-3.1.3) CRV1.3 Intertek Moody Spiny Dogfish 2015, Re- instated May 28, 2015

2 US Atlantic Sea Certified 19 Dec P3(3.1.1-3.1.3) CRV1.3 Intertek Moody Scallop 2013

3 US Acadian Redfish, Certified July P1, P2, & P3 Haddock, and CRV1.3 SAI Global 2016 (3.1.1-3.2.4) Pollock Otter Trawl

4 US Atlantic Certified 16 Surfclam and P3 (3.1.1-3.1.3) CRV2.0 SCS Global Services December 2016 Ocean Quahog

Whereas the US Gulf of Maine and Georges Bank Haddock, Pollock and Redfish Trawl Fishery (currently being assessed by Acoura) and the US Acadian Redfish, Pollock, and Haddock Otter Trawl Fishery (assessed and certified in 2016 by SAI Global) are almost identical fisheries, and in accordance with MSC guidance, the Acoura assessment team for the US Gulf of Maine and Georges Bank Haddock, Pollock and Redfish Trawl Fishery has attempted to harmonize the rationale and scores with the US Acadian Redfish, Pollock, and Haddock Otter Trawl Fishery assessed by SAI Global. However, it must be noted that the UoA for the SAI assessment considered all trawl gears for these species, irrespective of cod end mesh size, and the ACOURA client group requested that the ACOURA assessment considered only large mesh trawl gear. Excluding all mesh sizes in the UoA description results in a fishery with less bycatch. The SAI assessment was also conducted using MSC CR v.1.3, and the ACOURA assessment is being conducted using MSC CR v.2.0. Finally, after the ACOURA assessment team reviewed the SAI assessment report and discussed the sources of data used by the SAI assessment team with the management and science agencies, it was clear that there was more complete data available on the observed catch in the fishery than was used by the SAI team in its assessment. The ACOURA team has used the most recent and comprehensive data available from the Northeast Fisheries Observer Program to describe the catch of the large mesh trawl fishery on Georges Bank and in the Gulf of Maine. As a result of these differences between the SAI and the ACOURA assessments there are differences in the scores related to primary, secondary and ETP species that cannot be harmonized. US Acadian Redfish, Pollock, and Haddock Otter Trawl Fishery SAI Global assessment team also harmonized the assessment of that fishery with the US Atlantic Spiny Dogfish Bottom Trawl fishery and found them to be consistent. The Acoura assessment team for the US Gulf of Maine and Georges Bank Haddock, Pollock and Redfish Fishery has been guided by the harmonization carried out as part of the SAI Global assessment of the US Acadian Redfish, Pollock, and Haddock Otter Trawl Fishery.

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The SAI Global assessment team for the US Acadian Redfish, Pollock and Haddock Otter Trawl Fishery carefully considered whether there was a need to harmonize the US Georges Bank Haddock Otter Trawl fishery with the 5Zjm Canadian Georges Bank fishery. They relied on the MSC Reassessment of Scotia Fundy haddock (MSC 2016) and concluded that: “Based on the evidence below there is no need for harmonization procedures for the Scotia Fundy Haddock fishery reassessment and the US Acadian Redfish/Haddock/Pollock Otter Trawl Fisheries assessment.” The US Acadian Redfish, Pollock and Haddock Otter Trawl Fishery PCR quoted extensively from the text of the Scotia Fundy MSC Reassessment, which made the case that harmonization between those two fisheries was not needed. The assessment team concurs with that reasoning.

4.1.1 Harmonization Results Table 22 Principle 3 Alignment of Scores for Harmonization with the US Atlantic Spiny Dogfish Fishery.

PI Federal Federal Federal GOM & GB Comments Gill Nets Long Line Trawl Haddock, Gear Pollock and Redfish

3.1.1 90 90 90 100 The CAB for spiny dogfish gave the management system a score of 80 for “Consistency with Laws” and for “Legal Rights.” It is not clear from the justification given in the spiny dogfish PCR why the fishery did not score 100 on “Consistency with Laws.” With regard to “Legal Rights,” the spiny dogfish PCR states that: “The National standards require FMPs to take into account the importance of fishing to local communities. However, this cannot be considered as a formal commitment although it would be expected that they would observe, rather than generally respect, the legal rights. At the same time, given the approach in the U.S. it is probable that if the management system did not take into account legal rights then this would be the subject of a legal process. The fishery scores 80 on this issue.” SG 100 for Legal Rights requires that” “The management system has a mechanism to formally commit to the legal rights created explicitly or established by custom on people dependent on fishing for food and livelihood in a manner consistent with the objectives of MSC Principles 1 and 2.” The Acoura assessment team asserts that the management system clearly has such a mechanism through provisions in fishery management plans. The only mechanism to “observe” the legal rights is a provision in a fishery management plan that would also

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constitute a formal commitment. We score the US Gulf of Maine and Georges Bank haddock, pollock and redfish trawl fishery as 100 on all the SG for PI 3.1.1.

3.1.2 100 100 100 100 Consistent

3.1.3 100 100 100 100 Consistent

3.1.4 80 80 80 NA The PI is no longer applicable

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Table 23 Principle 3 Alignment of Scores for Harmonization with the US Atlantic Sea Scallop Fishery.

PI Sea GOM & GB Comments Scallop Haddock, Pollock and Redfish

3.1.1 95 100 The CAB for sea scallops gave the management system a score of 95. The scoring justification states that: “A suitable framework exists within the NEFMC to address the legal rights that might be established by custom of people dependent on fishing for food or livelihood, meeting the third scoring issue of SG80. However there is little evidence that the management system has a mechanism to formally commit to the legal rights created explicitly or established by custom on people dependent on fishing for food. Therefore the fishery does not meet the third scoring issue at the SG100 level.” The Acoura assessment team asserts that the only mechanism to “address” the legal rights is a provision in a fishery management plan that would also constitute a formal commitment. We score the US Gulf of Maine and Georges Bank haddock, pollock and redfish trawl fishery as 100 on all the SG for PI 3.1.1.

3.1.2 100 100 Consistent

3.1.3 100 100 Consistent

3.1.4 80 NA The PI is no longer applicable

Table 24 Principle 3 Alignment of Scores for Harmonization with the US Atlantic Surfclam and Ocean Quahog Fishery.

PI Surfclam & GOM & GB Haddock, Pollock Comments Ocean and Redfish Quahog

3.1.1 100 100 Consistent

3.1.2 100 100 Consistent

3.1.3 100 100 Consistent

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Table 25 Principle 1 Alignment of Scores for Harmonization for GOM haddock between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery.

PI US GOM & GB Comments Acadian Haddock, Redfish, Pollock Haddock, and and Redfish Pollock

1.1.1 100 100

1.2.1 95 95

1.2.2 95 95

1.2.3 90 95 Improvements have been made in the information and monitoring system that allowed the Acoura assessment team to obtain more and more recent data for the assessment than was used for the SAI Global assessment.

1.2.4 100 100

Table 26 Principle 1 Alignment of Scores for Harmonization for GB haddock between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery.

PI US GOM & GB Comments Acadian Haddock, Redfish, Pollock Haddock, and and Redfish Pollock

1.1.1 100 100

1.2.1 95 95

1.2.2 95 95

1.2.3 90 95 Improvements have been made in the information and monitoring system that allowed the Acoura assessment team to obtain more and more recent data for the assessment than was used for the SAI Global assessment.

1.2.4 100 100

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Table 27 Principle 1 Alignment of Scores for Harmonization for pollock between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery.

PI US GOM & GB Comments Acadian Haddock, Redfish, Pollock Haddock, and and Redfish Pollock

1.1.1 100 100

1.2.1 95 95

1.2.2 95 95

1.2.3 90 95 Improvements have been made in the information and monitoring system that allowed the Acoura assessment team to obtain more and more recent data for the assessment than was used for the SAI Global assessment.

1.2.4 100 100

Table 28 Principle 1 Alignment of Scores for Harmonization for redfish between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery.

PI US Acadian GOM & GB Comments Redfish, Haddock, Haddock, Pollock and and Pollock Redfish

1.1.1 100 100

1.2.1 95 95

1.2.2 95 95

1.2.3 90 95 Improvements have been made in the information and monitoring system that allowed the Acoura assessment team to obtain more and more recent data for the assessment than was used for the SAI Global assessment.

1.2.4 100 100

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Table 29 Principles 2 and 3 scoring harmonization between US Acadian Redfish, Haddock, and Pollock fishery and GOM & GB Haddock, Pollock, and Redfish Trawl fishery.

PI US GOM & GB Comments Acadian Haddock, Redfish, Pollock and Haddock, Redfish and Pollock

2.1.1 70 90 The fishery was scored by SAI Global using MSC v1.3, and catch data for retained and bycatch species that was derived from generalized NMFS catch data and bycatch reports. This Acoura assessment was scored using MSC FCR v2.0, and used a fishery catch characterization derived from five years of observer data (>20% coverage). FCR v2.0 allows for scoring at the SG80 level if recruitment is impaired and other requirements are met.The Acoura assessment considered that if a P2 primary main species was overfished, but there was a rebuilding plan in place for the species, it was scored at the SG80 level, as per MSC GSA Table 3.

2.1.2 70 90 The fishery was scored by SAI Global using MSC v1.3, and based catch data for retained and bycatch species that was derived from generalized NMFS catch data and bycatch reports. This Acoura assessment was scored using MSC FCR v2.0, and used a fishery catch characterization derived from five years of observer data (>20% coverage). FCR v2.0 allows for scoring at the SG80 level if recruitment is impaired and other requirements are met.The Acoura assessment considered that if a P2 primary main species was overfished, but there was a rebuilding plan in place for the species, it was scored at the SG80 level, as per MSC GSA Table 3.

2.1.3 90 100 The fishery was scored by SAI Global using MSC v1.3, and based catch data for retained and bycatch species that was derived from generalized NMFS catch data and bycatch reports. This Acoura assessment was scored using MSC FCR v2.0, and used a fishery catch characterization derived from five years of observer data (>20% coverage). Additionally, the Acoura assessment considered that if a P2 primary main species was overfished, but there was a rebuilding plan in place for the species, it was scored at the SG80 level, as per MSC GSA Table 3.

2.2.1 95 100 The fishery was scored by SAI Global using MSC v1.3, and based catch data for retained and bycatch species that was derived from generalized NMFS catch data and bycatch reports. This Acoura

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PI US GOM & GB Comments Acadian Haddock, Redfish, Pollock and Haddock, Redfish and Pollock assessment used MSC v2.0, and was based a fishery catch characterization derived from five years of observer data (>20% coverage).

2.2.2 95 95 Consistent

2.2.3 90 100 -UoA 1 The fishery was scored by SAI Global using MSC v1.3, and based catch data for retained and bycatch 95- UoA 2,3, 4 species that was derived from generalized NMFS catch data and bycatch reports. This Acoura assessment used MSC v2.0, and used a fishery catch characterization derived from five years of observer data (>20% coverage).

2.3.1 90 85 The fishery was scored by SAI Global using MSC v1.3, and based ETP interaction data derived from generalized NMFS reports. This Acoura assessment used MSC v2.0, and used a fishery catch characterization derived from five years of observer data (>20% coverage), and the most recent ETP interaction data specific to this fishery.

2.3.2 90 90 Consistent

2.3.3 80 85 The fishery was scored by SAI Global using MSC v1.3, and based ETP interaction data derived from generalized NMFS reports. This Acoura assessment used MSC v2.0, and used a fishery catch characterization derived from five years of observer data (>20% coverage), and the most recent ETP interaction data specific to this fishery.

2.4.1 80 90 The fishery was scored by SAI Global using MSC v1.3. This Acoura assessment used MSC v2.0, and was based on a habitat impact data presented in the recent NEFMC Omnibus Habitat Amendment 2, that was not implemented prior to the previous assessment.

2.4.2 85 85 Consistent

2.4.3 95 95 Consistent

2.5.1 80 80 Consistent

2.5.2 80 80 Consistent

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PI US GOM & GB Comments Acadian Haddock, Redfish, Pollock and Haddock, Redfish and Pollock

2.5.3 80 85 The fishery was scored by SAI Global using MSC v1.3. This Acoura assessment used MSC v2.0, and was based on a habitat impact data presented in the recent NEFMC Omnibus Habitat Amendment 2, that was not implemented prior to the previous assessment. This amendment included updated ecosystem impact information.

3.1.1 95 100 SAI Global gave the management system a score of 80 for “Legal Rights.” The rationale provided in the PCR would seem to support SG 100. The only apparent difference between the SG 80 and SG 100 for the legal rights guidepost is the requirement for a “mechanism to formally commit to” as compared to “a mechanism to observe.” The Acoura assessment team asserts that the only mechanism to observe the legal rights is a provision in a fishery management plan that would also constitute a formal commitment. We score the US Gulf of Maine and Georges Bank haddock, pollock and redfish trawl fishery as 100 on all the SG for PI 3.1.1.

3.1.2 100 100 Consistent

3.1.3 100 100 Consistent

3.1.4 100 NA The PI is no longer applicable

3.2.1 100 100 Consistent

3.2.2 100 100 Consistent

3.2.3 85 85 Consistent

3.2.4 90 90 3.2.4 was 3.2.5 in V 1.3. Consistent

MSC guidance states that: “In the case of Principle 3, harmonisation could be necessary for the PIs in the Fisheries Specific Management System Component (3.2.1-3.2.4). This may be the case, for example, where two UoAs include different vessels, but both groups operate in the same fleet, under the same national management.” For fisheries that share the same management system, but operate under different fishery management plans, harmonization of PIs 3.2.1-3.2.5 is not appropriate because these PIs refer to the fishery specific management system. It is appropriate to harmonize PIs 3.1.1-3.1.5 for different fisheries governed by the same management system because these PIs consider the overall management system, not the fishery specific management system.

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Rational for different scores for PI 3.1.1 The assessment for the US Acadian Redfish, Pollock and Haddock Otter Trawl fishery answered all of the scoring issues for PI 3.1.1 with a YES, except the scoring guidepost 100 for 3.1.1 d, which states that: "The management system has a mechanism to formally commit to the legal rights created explicitly or established by custom of people dependent on fishing for food and livelihood in a manner consistent with the objectives of MSC Principles 1 and 2." Scoring Guidepost 80 states that: The management system has a mechanism to observe the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood in a manner consistent with the objectives of MSC Principles 1 and 2." The PCR for the US Acadian Redfish, Pollock and Haddock Otter Trawl fishery states that: “A suitable framework consisting of public meetings and the courts exists within the NEFMC to observe the legal rights that might be established by custom of people dependent on fishing for food or livelihood, meeting the SG80 scoring issue.” The PCR does not explain why the SG100 scoring issue is not met. The PCR for the US Atlantic Sea Scallop Fishery scored PI 3.1.1 at 95, giving the rationale that: “However there is little evidence that the management system has a mechanism to formally commit to the legal rights created explicitly or established by custom on people dependent on fishing for food. Therefore, the fishery does not meet the third scoring issue at the SG100 level.” The Acoura assessment team for the Gulf of Maine and Georges Bank Haddock, Pollock and Redfish Trawl fisheries believes that the vast array of provisions contained in multiple fishery management plans developed under the MSFCMA that formally commit to historic participants and customary uses demonstrates that the management system has a mechanism to formally commit to the legal rights created explicitly or established by custom on people dependent on fishing for food or livelihood. The PCR for the US Atlantic Spiny Dogfish Fishery scored PI 3.1.1 at 90 using the following rationale: “Consistency with Laws. The management system is established by Law and this reflects the international standards that are aimed at achieving sustainable fisheries. These are hard laws and regulations which focus on the long-term sustainability of the fisheries. National standard 6 allows for uncertainty. The legal framework extends beyond fish stocks to take account of other elements of the ecosystem. While the issue is the same for each of the scoring guidelines, it is considered relevant to score the fishery at 80.” Whereas SG 80 and SG 100 are the same for this scoring issue, it isn’t clear why the CAB chose to score this scoring issue at 80 rather than 100. With regard to legal rights, the PCR for the US Atlantic Spiny Dogfish Fishery states: “Legal Rights. The National standards require FMPs to take into account the importance of fishing to local communities. However, this cannot be considered as a formal commitment although it would be expected that they would observe, rather than generally respect, the legal rights. At the same time, given the approach in the U.S. it is probable that if the management system did not take into account legal rights then this would be the subject of a legal process. The fishery scores 80 on this issue.” The requirement for SG 100 on this scoring issue is that: “The management system has a mechanism to formally commit to the legal rights created explicitly or established by custom of people dependent on fishing for food and livelihood in a manner consistent with the objectives of MSC Principles 1 and 2." The mechanism available to observe legal rights created explicitly or established by custom would be a provision in the FMP. A provision in an FMP would also be a formal commitment. Therefore there is a mechanism to formally commit and the entire process makes it likely that legal rights and customary uses will be recognized, observed, and formally committed to by the management system. The Acoura assessment team for the Gulf of Maine and Georges Bank Haddock, Pollock and Redfish Trawl fisheries believes that the fishery meets the requirements for scoring PI 3.1.1 at SG 100.

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4.2 Previous assessments No previous assessments for this client group.

4.3 Assessment Methodologies This assessment was conducted by Acoura Marine Ltd, an accredited MSC conformity assessment body (CAB). The fishery was assessed using the MSC Certification Requirements Version 2.0, April, 1 2015 and the reporting template used in this report is also V2.0. The default assessment tree was used without adjustments.

4.4 Evaluation Processes and Techniques

4.4.1 Site Visits The two day site visit Gulf of Maine and Georges Bank Haddock, Pollock and Redfish Trawl Fishery for the was conducted according to the following plan. This document was distributed by Acoura Marine to all parties that had expressed interest in the MSC certification of this fishery prior to the site visit. The site visit was also witnessed by ASI (Sergio Cansado), and portions of the site visit were observed by an MSC outreach representative (Marin Hawke).

Monday, June 05, 2017

9:00 AM Organization: NEFSC Location: NEFSC Woods Hole, MA Invited: Russ Brown, Liz Brooks, Michael Palmer, Brian Linton 11:00 AM Travel & Lunch 3:00 PM Public Open Meeting Location: Gloucester Public Library Saunders House – 2 Dale Avenue, enter off Dale avenue but do not use the main entrance. Use the small staff door straight across from the main entrance. The Muzzey Room is the first door on the left.

Invited: Stakeholders 6:00 PM Team Dinner 8:00 PM Team meeting Cape Ann Marina Resort Tuesday, June 06, 2017 8:00 AM Travel to Newburyport 9:00 AM Organization: NEFMC Location: NEFMC Newburyport Invited: Tom Nies & staff 11:00 AM Travel to Gloucester 12:00 PM Lunch 1:00 PM Organization: GARFO Location: GARFO Gloucester Invited: Mike Pentony, Sara Heil, & staff

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2:00 PM Organization: NMFS Law Enforcement, Office of General Counsel Location: GARFO Gloucester Invited: Jeff Ray, Gene Martin & staffs 4:00 PM Organization: Client Location: Gloucester Invited: Client Group 6:00 PM Team Dinner 8:00 PM Team meeting , Location: Cape Ann Marina Resort

4.4.2 Consultations 34 stakeholders were identified and contracted about this assessment. Note that these individuals and organizations were initially contacted with the announcement of the fishery on the MSC website, and then again when the details of the site visit plan, including the invitation to attend an open meeting at 3 PM on 5 July in Gloucester, MA. There were no attendees at the meeting. Additionally, no comments were submitted to the assessment team by any stakeholders. The assessment team did prepare summaries of all stakeholder meetings conducted during the site visit, and these were sent back to the stakeholder for review and comment following the meeting. These stakeholder summaries are included in Appendix 3 to this report.

List of individuals or organizations contacted by Acoura Marine relative to this assessment. The following organisations were invited to contribute to this assessment. Details of contribution can be found in Appendix 3. SAI Global Fisheries Survival Fund Fund for Sustainable Maine Lobster Sustainable Harvest Sector Massachusetts Fishermen's Partnership Gloucester Fishermen's Wives Association Atlantic Offshore Lobstermen's Association Cape Cod Commercial Fishermen's Alliance Northeast Coastal Communities Sector Maine Lobstermen's Association Oceana Coastal Conservation Association (Maine) Natural Resources Defense Council The Nature Conservancy (Maine) Conservation Law Foundation Pew Trusts National Oceanic and Atmospheric Administration New England Fishery Management Council Greater Atlantic Regional Fisheries Office Northeast Fisheries Science Center National Marine Fisheries Service Portions of the site visit were observed by Marin Hawke, a MSC outreach representative, and the entire site visit was witnessed by Sergio Cansado from ASI.

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4.4.3 Evaluation Techniques The management of the fisheries on the northeast coast of the US is well documented. The science supporting the management is also well documented and includes fishery dependent and independent data sources. The fishery has observer coverage at a level sufficient to provide statistically robust estimates of the catch discarded species, and this data is also readily available. The team approached this assessment by first reviewing the recent assessment report of the identical fishery but with a different client group that was completed using v.1.3 of the MSC CR. The team then reviewed the most recent management and science reports available from the management and science agencies. The scoring process was one of team consensus on individual PI scores following discussion. The decision rule for reaching the final recommendation was that the aggregate level scores must all exceed 80. As noted in the introduction and scoring text, there are four UoAs / UoCs for P1 based on three fish species (haddock, pollock, and Acadian redfish) and two separate stock areas (Gulf of Maine and Georges Bank) for one species (haddock). For P2, there are two main habitat/ecosystem elements, the Gulf of Maine and Georges Bank based on the collection fishery dependent data. These two areas have distinct habitats, ocean circulation characteristics, and sometimes separate fish stocks. The National Marine Fisheries Service collects and segregates fisheries dependent data separately for the two areas. Additionally, each habitat/ecosystem area has unique catch (species) characteristics as demonstrated in the 5 years of observer data included in this report. As such, each area has distinct list of P2 species. These P2 habitat/ecosystem and P2 species are identified in the table below.

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Table 30 Scoring elements

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Component Scoring elements Main/Not Data-deficient main or not P2, species/habitat/ecosystem, all P2 Gulf of Maine Main Not data PIs deficient Georges Bank

P2, species/habitat/ecosystem, P2.1.x, GOM: Main Not data primary species Monkfish deficient White hake Atlantic cod (GOM) American plaice Spiny dogfish

GB: Winter skate Little skate Monkfish Winter flounder Spiny dogfish Atlantic cod (GB)

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P2, species/habitat/ecosystem, P2.1.x, GOM: Minor Not data primary species American lobster deficient Yellowtail flounder Winter skate Barndoor skate Thorny skate Little skate Smooth skate Silver hake Winter flounder Red hake Windowpane flounder Atlantic halibut Sea scallop Atlantic wolffish Atlantic herring

GB: Barndoor skate American plaice White hake American lobster Silver hake Loligo squid Atlantic mackerel Summer flounder Butterfish Smooth skate Thorny skate Windowpane flounder Red hake Illex squid Sea scallop Ocean pout

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P2, species/habitat/ecosystem, P2.2.x, GOM: Main Not data Secondary species None deficient

GB: None

P2, species/habitat/ecosystem, P2.2.x, GOM: Minor Not data Secondary species none deficient

GB: Illex squid Four spot flounder Atlantic mackerel deepsea red crab

P2, species/habitat/ecosystem, P2.3.x, GOM and GB Not data ETP species large whales deficient small cetaceans pinnipeds sea turtles Atlantic sturgeon

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5 Traceability

5.1 Eligibility Date The eligibility date for the fishery will be the Certification date.

5.2 Traceability within the Fishery The fishery employs multiple traceability measures, some required by law and others required by the sector organizations that assure that sector member vessels stay within the sector allocation, some of which is designated by area as well as poundage. Vessels must belong to a sector organization in order to utilize the vessel’s annual catch allocation. The sector has control over the use of the member vessel’s allocations. The sectors are required to keep track of the landings of member vessels and to assure that member vessels do not exceed the sector’s total allocation. To accomplish this, sector’s place additional reporting requirements on sector vessels and on the dealers to whom the members offload or sell their catch. Government can assess penalties on both sector organizations and member vessels. Vessels fish under a contract with their sector and the sector can impose penalties on vessels for breaking the sector rules. Sectors can lose their authorization to operate if they do not comply with federal rules and vessels can be fined and lose their authorization to fish if they break either the federal rules or the sector rules. All sector members are jointly and severally responsible for violations and fines imposed on any member. This system creates a high degree of accountability and serious peer pressure to abide by the rules. The client provided the following description of the traceability measures in the fishery: 1. VMS location tracking, VMS catch reports, VMS trip end catch report, Vessel Trip Reports (VTR’s) (paper or electronic), human Observers on variable %, annual coverage rates, assumed discard methodology applied on unobserved trips. NOTE: All VMS catch reports include input of the Trip Identifier which is the VTR serial number of the first VTR page (each chart area or gear change requires a separate VTR page). 2. At point of landing (Fisherman’s Wharf Gloucester (FWG) and the BASE auction in New Bedford) all catch is sorted and weighed, by species and market class. The VTR’s are submitted to the dealer upon starting the offload which continues the tracing of the trip. The process at FWG is as follows. a. using the VTR number of the first VTR page as the Trip Identifier (unique VTR number for each page used for the trip). b. Fisherman’s Wharf Gloucester (FWG) creates a Receiving Report to be used to record all of the catch by species, market class and official weight. The report includes the Vessel Name, Date of offload, Trip Identifier (#of first VTR page). c. Upon completion of the offload FWG provides a fax transmission of all VTR pages (full versions / not redacted) and the Receiving Report. d. Licensed Dealers must submit weekly electronic reports to the federal agency that details all landings, by Trip Identifier, vessel name, Federal permit number, species, market class and official landed weight. 3. A significant proportion of the total landings of Northeast groundfish is sold through seafood display auctions. The use of display auctions is not a regulatory requirement, but it does provide for a significantly higher accountability, transparency and traceability than can be provided by more traditional types of Dealers that typically function as the primary buyer as well as the offloader.

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4. Gillnet and Longline gear is used in the fishery. However, no vessels in the fishery are operating as Combination vessels that use both Trawl and gillnet or longline. Therefore, the permitting, recording and traceability features of the existing regulatory system eliminates the risks at the vessel / catch level. Although the risk of mis-labelling or mixing occurring shoreside by a dealer still exists, this is mitigated by the client’s accountability to the federal government and to the non-governmental sector organization to which the client vessels must belong in order to utilize their catch allocation. Both the government and the sector organization require multiple levels of VMS, VTR and Sector reports that must be signed by authorized representatives of the vessels (the master) which provide a significant barrier to such activity. 5. Gillnets and longline are used to catch the same stocks. 6. Many gillnetters are permitted to deploy gillnet or longline. However, no vessels permitted for trawl and rigged as trawlers are permitted to use both mobile and fixed gears. 7. All landings are recorded using the unique Trip Identifier which includes Vessel Name, Date of landing, species, market class and weights. Copies of the VTR’s and Receiving reports are faxed to the respective sector managers for all landings at FWG. NOTE: there is a significant but non-regulatory increase in accountability, transparency and traceability provided by seafood display auction businesses than that which is provided by traditional dealers who typically function as the primary buyer. 8. Gillnet and longline vessels are included in the UoA but not in the UoC. 9. All landings are recorded using the unique Trip Identifier which includes Vessel Name, Date of landing, species, market class and weights. Copies of the VTR’s and Receiving reports are faxed to the respective sector managers for all landings at FWG. NOTE: there is a significant but non-regulatory increase in accountability, transparency and traceability provided by seafood display auction businesses than that which is provided by traditional dealers who typically function as the primary buyer. 10. No tenders can be used to transport product between vessels and shore. 11. The regulations require all fish offloaded at a licensed dealer to have a tag placed on the tote that identifies the Vessel, Species, Market Class and Weight. 12. Vessels within the UoC cannot fish for UoC species outside of the UoC. 13. Vessels in the UoC as it is currently described (subject to any unforeseen conditions) will always be operating within the UoC. The reason is that all trawl gears permitted by NOAA for use in the NE multispecies groundfish fishery can be used by UoC vessels, both haddock stocks cover the entire US Exclusive Economic Zone (which is the UoA) and both Pollock and Redfish are “Unit Stocks” which means they can only be caught by UoC vessels within the UoA. All vessels in the UoC carry VMS and fill out VTRs. 14. Vessels that are not authorized by the Client Group to become a part of the UoC and are fishing within the UoA do and will be landing fish at FWG. 15. FWG is a licensed dealer that functions as a service / fee-based offloading, display auction and distribution facility. They record all catch using their Receiving Report which includes Vessel Name, Federal Permit #, Trip Identifier (VTR number), species, market class and official weights. This is done simultaneous and in real time during the offloading / sorting / weighing process. All lots are tagged with the vessel name, species, market class and weight before going into the display cooler. For fish that will be displayed for auction, the receiving

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report is transcribed into the Auction System where each lot receives a unique lot number. The system then produces electronic, self-adhesive labels that are then affixed to the hand- written tags that were placed on the lots during the offload. Per agreement and requirement of the sector managers whose vessels offload at FWG, the full page VTRs and receiving reports are faxed to the respective sector managers upon completion of the offloads. 16. For offloading facilities that also function as the primary buyer, there exists a risk that any fish caught in the UoA can be substituted as if from the UoC if the UoC dealer is allowed to decouple the VMS, VTR, tagging of lots from any fish once he takes ownership. FWG will maintain the integrity of the chain of custody by maintaining documentation of UoC product that links to the vessels and reconciles with UoC vessel/sector reporting which is independent from FWG. 17. No stakeholders have commented on concerns about traceability. 18. There is no aspect of the fish products that are not considered to be within the UoC. 19. There are auctions and offloaders at the point of landing which are part of the client group and will be covered by the fishery certificate (see 5.3) 20. FWG is a licensed dealer that functions as a service / fee-based offloading, display auction and distribution facility. They record all catch using their Receiving Report which includes Vessel Name, Federal Permit #, Trip Identifier (VTR number), species, market class and official weights. This is done simultaneous and in real time during the offloading / sorting / weighing process. All lots are tagged with the vessel name, species, market class and weight before going into the display cooler. For fish that will be displayed for auction, the receiving report is transcribed into the Auction System where each lot receives a unique lot number. The system then produces electronic, self-adhesive labels that are then affixed to the hand- written tags that were placed on the lots during the offload. Per agreement and requirement of the sector managers whose vessels offload at FWG, the full page VTRs and receiving reports are faxed to the respective sector managers upon completion of the offloads.

Table 31 Traceability Factors within the Fishery

Traceability Factor Description of risk factor if present. Where applicable, a description of relevant mitigation measures or traceability systems (this can include the role of existing regulatory or fishery management controls) Potential for non-certified gear/s to be There is little potential for non-certified gears to be used within the fishery used within the fishery. Otter trawl vessels do not carry or deploy other gear types. Landings from otter

trawl vessels will have been caught by the certified gear. VTRs list gear type and any change in or chart area requires a separate VTR page. Potential for vessels from the UoC to The UoC covers the range of the species in US fish outside the UoC or in different waters. VTRs record the area fished and any change geographical areas (on the same trips in chart area requires a separate VTR page. or different trips)

Potential for vessels outside of the UoC Vessels outside the UoC and client group fish the or client group fishing the same stock same stocks.

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Risks of mixing between certified and All landings are recorded using the unique Trip non-certified catch during storage, Identifier which includes Vessel Name, Date of transport, or handling activities landing, species, market class and weights. Copies of (including transport at sea and on land, the VTR’s and Receiving reports are faxed to the points of landing, and sales at auction) respective sector managers for all landings at Fishermen’s Wharf Gloucester. NOTE: there is a

significant but non-regulatory increase in accountability, transparency and traceability provided by seafood display auction businesses than that which is provided by traditional dealers who typically function as the primary buyer. a. Risks of mixing between certified and No processing is done before Chain of Custody. non-certified catch during processing activities (at-sea and/or before subsequent Chain of Custody)

Risks of mixing between certified and The regulations require all fish offloaded at a licensed non-certified catch during transhipment dealer to have a tag placed on the tote that identifies b. the Vessel, Species, Market Class and Weight.

Any other risks of substitution between None. fish from the UoC (certified catch) and fish from outside this unit (non-certified catch) before subsequent Chain of Custody is required

5.3 Eligibility to Enter Further Chains of Custody Fisherman’s Wharf Gloucester is the primary point of landing for the client. Traceability systems are in place within the fishery and through the point of landing until change of ownership. Only permitted vessels and vessel operators can participate in the fishery. Daily log sheets must be filled out before product is unloaded. There are two scenarios for change of ownership: a) A UoC Vessel offloads at FWG and FWG acts as the Primary Buyer/responsible Reporting Dealer (which is the case for display auction fish). Chain of Custody is required after distribution from FWG premises to a secondary buyer e.g. successful bidders of auction fish. b) A UoC vessel offloads at FWG and the vessel is executing a direct sale to a primary reporting dealer other than FWG (which can occur for contract or program sales set up between the vessel and a third party) and FWG is not the responsible reporting dealer. Chain of Custody is required after the point of offload at FWG and all steps after offload at FWG require. Two vessels owned by Atlantic Trawlers offload in New Bedford, MA; “the Morue” and the “Nobska”. The unloading point is the BASE seafood display auction. Chain of Custody is required after the point of offload in New Bedford. The fishery is subject to random landing inspections by state conservation officers and/or NMFS OLE where declared landings are cross-checked with actual landings; Vessel operators, dealers, and processors must submit weekly reports on transactions.

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A vessel monitoring system (VMS) ensures that fishing does not take place outside the unit of certification; and all landings must be announced via the VMS system. Based on the multiple reporting and traceability measures, the risk of non-assessed product entering the chain of custody is minimal. Any certified products from the fishery are identifiable and would be eligible to enter further certified chains of custody. The fishery certification will end, and chain of custody begin at the point of change of ownership. To continue a chain of custody, entities taking ownership of the product at downstream points must be certified against MSC’s Chain of Custody Standard.

5.4 Eligibility of Inseparable or Practicably Inseparable (IPI) stock(s) to Enter Further Chains of Custody There are no IPI stocks.

6 Evaluation Results

6.1 Principle Level Scores Table 32 Final Principle Scores GOM Haddock

Overall weighted Principle-level scores Score

Principle 1 - Target species 97.5

Principle 2 - Ecosystem 90.0

Principle 3 - Management 96.9

Table 33 Final Principle Scores GB Haddock

Overall weighted Principle-level scores Score

Principle 1 - Target species 97.5

Principle 2 - Ecosystem 89.7

Principle 3 - Management 96.9

Table 34 Final Principle Scores Pollock

Overall weighted Principle-level scores Score

Principle 1 - Target species 97.5

Principle 2 - Ecosystem 89.7

Principle 3 - Management 96.9

Table 35. Final Principle Scores Acadian Redfish

Overall weighted Principle-level scores Score

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Principle 1 - Target species 97.5

Principle 2 - Ecosystem 89.7

Principle 3 - Management 96.9

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6.2 Summary of PI Scores Table 36 Performance Indicator Level Scores for GOM Haddock.

Principle Component Wt Performance Indicator (PI) Wt Score

Outcome 0.333 1.1.1 Stock status 1.0 100

1.2.1 Harvest strategy 0.25 95

One 1.2.2 Harvest control rules & tools 0.25 95 Management 0.667 1.2.3 Information & monitoring 0.25 95

1.2.4 Assessment of stock status 0.25 100

2.1.1 Outcome 0.333 90

Primary species 0.2 2.1.2 Management strategy 0.333 90

2.1.3 Information/Monitoring 0.333 100

2.2.1 Outcome 0.333 100

Secondary species 0.2 2.2.2 Management strategy 0.333 95

2.2.3 Information/Monitoring 0.333 100

2.3.1 Outcome 0.333 85

Two ETP species 0.2 2.3.2 Management strategy 0.333 90

2.3.3 Information strategy 0.333 85

2.4.1 Outcome 0.333 90

Habitats 0.2 2.4.2 Management strategy 0.333 85

2.4.3 Information 0.333 95

2.5.1 Outcome 0.333 80

Ecosystem 0.2 2.5.2 Management 0.333 80

2.5.3 Information 0.333 85

3.1.1 Legal &/or customary framework 0.333 100

Governance and policy 0.5 3.1.2 Consultation, roles & responsibilities 0.333 100

3.1.3 Long term objectives 0.333 100 Three 3.2.1 Fishery specific objectives 0.25 100

Fishery specific management system 0.5 3.2.2 Decision making processes 0.25 100

3.2.3 Compliance & enforcement 0.25 85

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Monitoring & management performance 3.2.4 0.25 90 evaluation

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Table 37 Performance Indicator Level Scores for GB Haddock.

Principle Component Wt Performance Indicator (PI) Wt Score

Outcome 0.333 1.1.1 Stock status 1.0 100

1.2.1 Harvest strategy 0.25 95

One 1.2.2 Harvest control rules & tools 0.25 95 Management 0.667 1.2.3 Information & monitoring 0.25 95

1.2.4 Assessment of stock status 0.25 100

2.1.1 Outcome 0.333 90

Primary species 0.2 2.1.2 Management strategy 0.333 90

2.1.3 Information/Monitoring 0.333 100

2.2.1 Outcome 0.333 100

Secondary species 0.2 2.2.2 Management strategy 0.333 95

2.2.3 Information/Monitoring 0.333 95

2.3.1 Outcome 0.333 85

Two ETP species 0.2 2.3.2 Management strategy 0.333 90

2.3.3 Information strategy 0.333 85

2.4.1 Outcome 0.333 90

Habitats 0.2 2.4.2 Management strategy 0.333 85

2.4.3 Information 0.333 95

2.5.1 Outcome 0.333 80

Ecosystem 0.2 2.5.2 Management 0.333 80

2.5.3 Information 0.333 85

3.1.1 Legal &/or customary framework 0.333 100

Governance and policy 0.5 3.1.2 Consultation, roles & responsibilities 0.333 100

3.1.3 Long term objectives 0.333 100

3.2.1 Fishery specific objectives 0.25 100 Three

3.2.2 Decision making processes 0.25 100 Fishery specific management system 0.5 3.2.3 Compliance & enforcement 0.25 85

Monitoring & management performance 3.2.4 0.25 90 evaluation

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Table 38 Performance Indicator Level Scores for Pollock.

Principle Component Wt Performance Indicator (PI) Wt Score

Outcome 0.333 1.1.1 Stock status 1.0 100

1.2.1 Harvest strategy 0.25 95

One 1.2.2 Harvest control rules & tools 0.25 95 Management 0.667 1.2.3 Information & monitoring 0.25 95

1.2.4 Assessment of stock status 0.25 100

2.1.1 Outcome 0.333 90

Primary species 0.2 2.1.2 Management strategy 0.333 90

2.1.3 Information/Monitoring 0.333 100

2.2.1 Outcome 0.333 100

Secondary species 0.2 2.2.2 Management strategy 0.333 95

2.2.3 Information/Monitoring 0.333 95

2.3.1 Outcome 0.333 85

Two ETP species 0.2 2.3.2 Management strategy 0.333 90

2.3.3 Information strategy 0.333 85

2.4.1 Outcome 0.333 90

Habitats 0.2 2.4.2 Management strategy 0.333 85

2.4.3 Information 0.333 95

2.5.1 Outcome 0.333 80

Ecosystem 0.2 2.5.2 Management 0.333 80

2.5.3 Information 0.333 85

3.1.1 Legal &/or customary framework 0.333 100

Governance and policy 0.5 3.1.2 Consultation, roles & responsibilities 0.333 100

3.1.3 Long term objectives 0.333 100

3.2.1 Fishery specific objectives 0.25 100 Three

3.2.2 Decision making processes 0.25 100 Fishery specific management system 0.5 3.2.3 Compliance & enforcement 0.25 85

Monitoring & management performance 3.2.4 0.25 90 evaluation

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Table 39 Performance Indicator Level Scores for Acadian redfish.

Principle Component Wt Performance Indicator (PI) Wt Score

Outcome 0.333 1.1.1 Stock status 1.0 100

1.2.1 Harvest strategy 0.25 95

One 1.2.2 Harvest control rules & tools 0.25 95 Management 0.667 1.2.3 Information & monitoring 0.25 95

1.2.4 Assessment of stock status 0.25 100

2.1.1 Outcome 0.333 90

Primary species 0.2 2.1.2 Management strategy 0.333 90

2.1.3 Information/Monitoring 0.333 100

2.2.1 Outcome 0.333 100

Secondary species 0.2 2.2.2 Management strategy 0.333 95

2.2.3 Information/Monitoring 0.333 95

2.3.1 Outcome 0.333 85

Two ETP species 0.2 2.3.2 Management strategy 0.333 90

2.3.3 Information strategy 0.333 85

2.4.1 Outcome 0.333 90

Habitats 0.2 2.4.2 Management strategy 0.333 85

2.4.3 Information 0.333 95

2.5.1 Outcome 0.333 80

Ecosystem 0.2 2.5.2 Management 0.333 80

2.5.3 Information 0.333 85

3.1.1 Legal &/or customary framework 0.333 100

Governance and policy 0.5 3.1.2 Consultation, roles & responsibilities 0.333 100

3.1.3 Long term objectives 0.333 100

3.2.1 Fishery specific objectives 0.25 100 Three

3.2.2 Decision making processes 0.25 100 Fishery specific management system 0.5 3.2.3 Compliance & enforcement 0.25 85

Monitoring & management performance 3.2.4 0.25 90 evaluation

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6.3 Summary of Conditions No conditions have been placed on this fishery.

6.4 Determination, Formal Conclusion and Agreement The assessment team have concluded that no performance indicators score below 60 and each principle scores higher than 80. The recommendation is that the fishery should be certified.

Acoura’s decision making entity confirm that the fishery is certified.

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US Maine haddock, pollock and redfish References Administrative Procedure Act (5 U.S.C. Subchapter II) Available at: http://www.archives.gov/federal- register/laws/administrative-procedure/ (Accessed May 2017) Atlantic States Maine Fisheries Commission. 2015. Overview of 2015 Benchmark Lobster Stock Assessment, conducted by NMFS NEFSC. http://www.asmfc.org/uploads/file/56017d3cAmericanLobsterStockAssmtOverview_2015.pdf ASMFC. 2015. Ban on dogfish finning http://www.asmfc.org/uploads/file/5453e97apr44SpinyDogfishAddendumVApproval.pdf Bowman, R.E. and W.L. Michaels. 1984. Food of seventeen species of northwest Atlantic fish NOAA Tech. Mem. NMFS-F/NEC-28. 183 p. Bowman, R.E., T.R. Azarowitz, E.S. Howard, and B.P. Hayden. 1987. Food and distribution of juveniles of seventeen northwest Atlantic fish species, 1973-1976. NOAA Tech. Mem. NMFS-F/NEC- 45. 57 p. Brodziak. J.T.2005. Haddock, Melanogrammus aeglefinus, Life History and Habitat Characteristics. NMFS NEFSC Tech. Memo.196. 74p.

Brooks, E.N, M.L. Traver, S.J. Sutherland, L. Van Eeckhaute, and L. Col. 2008. In. Northeast Fisheries Science Center. 2008. Assessment of 19 Northeast Groundfish Stocks through 2007: Report of the 3rd Groundfish Assessment Review Meeting (GARM III), Northeast Fisheries Science Center, Woods Hole, Massachusetts, August 4-8, 2008. US Dept. of Commer, NOAA Fisheries, Northeast Fish Sci Cent Ref Doc. 08-15; 884 p + xvii. CRD08-15

Brooks, E.N, S.J. Sutherland, L. Van Eeckhaute, and M. Palmer. 2012. In. Northeast Fisheries Science Center. 2012. Assessment or Data Updates of 13 Northeast Groundfish Stocks through 2010. US Dept Commer, NOAA Fisheries, Northeast Fish Sci Cent Ref Doc. 12-06.; 789 p.

Cargnelil, L. M., Griesbach, S.J., Packer, D.B., Berrien, P.L., Johnson, D.L., and Morse, W.W.. 1999., Life History and Habitat Characteristics Pollock, Pollachius virens, NMFS NEFSC Tech. Memo.131. 38 p.

Collette, B.B. and G. Klein-MacPhee (eds.), 2002. Bigelow and Schroeder's fishes of the Gulf of Maine, third ed. Caldwell, N.J. : Blackburn Press, 577 p.:

EPA. 2007. A Citizen’s Guide to the NEPA. Government Printing Office, Washington, DC. (Accessed May 2017)

Federal Register. 2009. Vol. 74, No. 11, 16 Jan 2009, (50 CFR part 600) National Standards. Grabowski, J., M. Bachman, C.Demarest, S. Eayrs, B. P. Harris, V. Malkoski . 2014. Assessing the Vulnerability of Marine Benthos to Fishing Gear Impacts. Reviews in Fishery Science and Aquaculture, vol. 22, issue 2, pp.142-155 Goode, G. B. 1884. The Fisheries and Fishery Industries of the United States. United States Fish Commission, Government Printing Office, Washington, D.C.

Hendrickson L, Nitschke P, Linton B. 2015. 2014 Operational stock assessments for Georges Bank winter flounder, Gulf of Maine winter flounder, and pollock. US Dept Commer, Northeast Fisheries Science Center. 2017. Ref Doc. 15-01; 228 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD15-01

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US Maine haddock, pollock and redfish Kane, J. 1984. The feeding habits of co-occurring cod and haddock larvae from Georges Bank. Mar. Ecol. Prog. Ser. 16: 9-20. Klein-MacPhee, G. 2002. Haddock/ Melanogrammus aeglefinus Linnaeus 1758. In: Collette, B.B., Klein-MacPhee, G., editors. Bigelow and Schroeder’s fishes of the Gulf of Maine. 3rd Edition. Washington, DC: Smithsonian Institution Press. p. 235-242.

Lapolla, A. and L.J. Buckley. 2005. Hatch date distributions of young-of-year haddock Melanogrammus aeglefinus in the Gulf of Maine/Georges Bank region: implications for recruitment. Mar. Ecol. Prog. Ser. 290: 239-249.

Laurence, G.C. and C.A. Rogers. 1976. Effects of temperature and salinity on comparative embryo development and mortality of Atlantic cod (Gadus morhua L.) and haddock (Melanogrammus aeglefinus (L.)). J. Cons. Int. Explor. Mer 36: 220-228. Link, J., J. O’Reilly, M. Fogarty, D. Dow, J. Vitaliano, C. Legault, W. Overholtz, J. Green, D. Palka, v. Guida, J. Brodziak, E. Methratta, W.. Stockhausen. 2008. Energy flow on Georges Bank revisited: the Energy Modelling and Analysis eXercise (EMAX) in historical context. Northwest Atlantic Fishery Science, 39: 83–101. Magnuson-Stevens Fishery Conservation and Management Act . Accessed June 2017 at: http://www.nmfs.noaa.gov/sfa/laws_policies/national_standards/index.html Mahon, R. and J.D. Neilson. 1987. Diet changes in Scotian Shelf haddock during the pelagic and demersal phases of the first year of life. Mar. Ecol. Prog. Ser. 37: 123-130. Marine Stewardship Council (MSC). 2014. MSC Fisheries Certification –Requirements v2.0. Marine Stewardship Council. London.

Mayo, R.K. 1980. Exploitation of redfish, Sebastes marinus (L.), in the Gulf of Maine-Georges Bank region, with particular reference to the 1971 year-class. J. Northwest Atl. Fish. Sci. 1: 21-37.

Mayo, R. 1995. Redfish. In Conservation and Utilization Division, Northeast Fisheries Science Center eds. Status of the fishery resources off the northeastern United States for 1994. p. 52-53. NOAA Tech. Mem. NMFS-NE-108. Mayo, R.K., J.M. McGlade, and S.H. Clark. 1989. Patterns of exploitation and biological status of pollock (Pollachius virens L.) in the Scotian Shelf, Georges Bank, and Gulf of Maine area. J. Northwest Atl. Fish. Sci. 9: 13-36. Murawski, S.A. and J.T. Finn. 1988. Ecological bases for mixed-species fisheries: species co- distribution in relation to environmental and biotic variables. Can. J. Fish. Aquat. Sci. 45: 1720-1735. New England Fishery Management Council. 1985. Fishery Management Plan Environmental Impact Statement Regulatory Impact Review and Initial Regulatory Flexibility Analysis for the Northeast Multi-Species Fishery. NEFMC. Saugus, MA.

New England Fishery Management Council (NEFMC). 2009. Final Amendment 16 to the Northeast Multi-Species Fishery Management Plan. NEFMC. Newburyport, MA.

Murphy T, Kitts A, Demarest C, Walden J. 2015. 2013 Final report on the performance of the northeast multispecies (groundfish) fishery (May 2013 – April 2014). US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-02; 106 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. Accessed November 2017 at: https://www.nefsc.noaa.gov/read/socialsci/pdf/groundfish_report_fy2013.pdf

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US Maine haddock, pollock and redfish New England Fishery Management Council. 2015.Statement of Organization, Practices, and Procedures Revised 2015. Accessed August 2017 at: http://s3.amazonaws.com/nefmc.org/SOPP- 2015-FINAL.pdf New England Fishery Management Council. 2015b. Framework Adjustment 53 to the Northeast Multispecies Fishery Management Plan. Accessed August 2017 at: http://s3.amazonaws.com/nefmc.org/150316_FW53_EA_Resubmit_FINAL.pdf New England Fishery Management Council In cooperation with the National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p.

New England Fishery Management Council. 2016b. Framework Adjustment 55 To the Northeast Multispecies FMP. NEFMC. Newburyport, MA.

New England Fishery Management Council. 2017. Framework Adjustment 56 To the Northeast Multispecies FMP, dated May 2017. http://s3.amazonaws.com/nefmc.org/170413_Groundfish_FW56_EA.pdf New England Fishery Management Council. 2017b. Web pages: http://www.nefmc.org;http://www.nefmc.org/committees/northeast-regional-coordinating-council- nrcc; http://www.nefmc.org/committees/observer-policy-committee; http://www.nefmc.org/committees/recreational-advisory-panel; http://www.nefmc.org/committees/research-steering-committee; http://www.nefmc.org/committees/transboundary-management-guidance-committee-tmgc); http://www.nefmc.org/committees/vessel-monitoring-system-enforcement; NMFS. 2011. U.S. National Bycatch Report (W. A. Karp, L. L. Desfosse, S. G. Brooke, editors). U.S. Dep. Commer., NOAA Tech Memo NMFS-F/SPO-117E, 508 p. Available online at: http://www.nmfs.noaa.gov/by_catch/bycatch_nationalreport.htm NMFS. 2012. U.S. National Bycatch Report First Edition Update 1 [L. R. Benaka, C. Rilling, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 57 p. Available online at: http://www.st.nmfs.noaa.gov/observer- home/first-edition-update-1 NMFS GARFO. 2015. Fishing Years 2015-2020 Northeast Multispecies Sector Operations Plans and Contracts, A Programmatic Environmental Assessment. NMFS. 2016. U.S. National Bycatch Report First Edition Update 2 [L. R. Benaka, D. Bullock, J. Davis, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 90 p. Online edition: http://www.st.nmfs.noaa.gov/observer-home/first-edition-update-2. Northeast Fisheries Science Center. 2008. Assessment of 19 Northeast Groundfish Stocks through 2007: Report of the 3rd Groundfish Assessment Review Meeting (GARM III), Northeast Fisheries Science Center, Woods Hole, Massachusetts, August 4-8, 2008. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 08-15; 884 p + xvii. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD08-15

Northeast Fisheries Science Center. 2010. 50th Northeast Regional Stock Assessment Workshop (50th SAW) Assessment Report. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 10-17; 844 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD10-17

Northeast Fisheries Science Center. 2012. Assessment or Data Updates of 13 Northeast Groundfish Stocks through 2010. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 12-06; 789 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD12-06

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US Maine haddock, pollock and redfish Northeast Fishery Science Center. 2012b. Northeast Shelf Large Marine Ecosystem 2011, http://www.nefsc.noaa.gov/publications/crd/crd1207/crd1207.pdf. Northeast Fisheries Science Center. 2014. 59th Northeast Regional Stock Assessment Workshop (59th SAW) Assessment Report. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 14-09; 782 p. Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/ Northeast Fisheries Science Center. 2015. American lobster benchmark stock assessment. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at Northeast Fisheries Science Center. 2015. www.nefsc.noaa.gov/publications/ Northeast Fishery Science Center. 2016. Category I Northeast sink gillnet and Category II Northeast bottom trawl take reports. http://www.nefsc.noaa.gov/fsb/take_reports/nefop.html Northeast Fisheries Science Center. 2017. Operational Assessment of 19 Northeast Groundfish Stocks, Updated Through 2016. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 17-17; 259 p. doi: 10.7289/V5/RD-NEFSC-17-17. Accessed March 2018 at: https://www.nefsc.noaa.gov/publications/crd/crd1717/

O’Brien, L., J. Burnett, and R.K. Mayo. 1993. Maturation of nineteen species of finfish off the northeast coast of the United States, 1985-1990. NOAA Tech. Rep. NMFS 113. 66 p

Packer D.B., M. Nizinski, M. Bachman, A. Drohan, M.Poti, B. Kinlan. 2017. State of the Deep-Sea Coral and Sponge Ecosystems off the Northeast United States. In: Hourigan TF, Etnoyer PJ, Cairns SD (eds) The State of Deep-Sea Coral and Sponge Ecosystems of the United States: 2015. NOAA Technical Memorandum NMFS-OHC-X, Silver Spring, MD. pp. 9-1 – 9-65 Pikanowski, R.A., Morse, W.W., Berrien, P.L., Johnson, D.L., and McMillan. D.L. 1999. Life History and Habitat Characteristics Redfish, Sebastes spp., NMFS NEFSC Tech. Memo.132. 28 p.

Powers, K. D. 1983. Pelagic distributions of marine birds off the Northeastern United States, US Department of Commerce, NOAA Technical Memorandum, NMFS-F/ NEC-27, 201 pp

Sherman, K., N.A. Jaworski, and T.J. Smayda, 1996. The Northeast Shelf Ecosystem. 1996: Blackwell Scientific, Oxford. 564 pp

TRAC 2010. Transboundary Resource Assessment Committee. Benchmark Model Review and Assessment, NEFSC, Woods Hole, MA, January 25-29, 2010. USOFR (U.S. Office of the Federal Register). 1998. Enforcement Policy. Code of Federal Regulations, Title 50, Part 600.740. U.S. Government Printing Office, Washington, D.C. USOFR (U.S. Office of the Federal Register. 2018. National Standards. Code of Federal Regulations, Title 50, Part 600, Subpart D. U.S. Government Printing Office, Washington, D.C, Accessed March 2018 at: https://www.ecfr.gov/cgi- bin/retrieveECFR?gp=&SID=6b0acea089174af8594db02314f26914&mc=true&r=SECTION&n=se50.12.600_1 305. Wigley SE, Tholke C. 2017. 2017 discard estimation, precision, and sample size analyses for 14 federally managed species groups in the waters off the northeastern United States. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 17-07; 170 p. Available from: http://www.nefsc.noaa.gov/publications/

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US Maine haddock, pollock and redfish Appendices Appendix 1 Scoring and Rationales

Appendix 1.1 Performance Indicator Scores and Rationale For all P1 scoring, there are four UoAs evaluated, each with individual scores. For all P2 scoring, there are two major elements, one for the Gulf of Maine, and the other for Georges Bank, as they are separate areas with very different habitat and ecosystem characteristics, and the catch data for the large mesh bottom trawl is also divided by the two areas. Additionally, for the fishery catch related PIs (2.1.x and 2.2.x), the P2 scoring is further divided into sub-elements for each primary and secondary species in the catch characterization; and for the ETP species PIs (2.3.x), the sub- elements are the various species groups.

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US Maine haddock, pollock and redfish Evaluation Table for PI 1.1.1 – Stock status

The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100

a Stock status relative to recruitment impairment

Guide It is likely that the stock is It is highly likely that the There is a high degree of post above the point where stock is above the PRI. certainty that the stock is recruitment would be above the PRI. impaired (PRI).

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi GOM haddock cation The most recent assessment of the Gulf of Maine haddock (Melanogrammus aeglefinus) stock is an operational update assessment of the previous 2014 benchmark assessment (NEFSC 2014). Based on this updated assessment, the Gulf of Maine haddock (Melanogrammus aeglefinus) stock is not overfished and overfishing is not occurring. Spawning stock biomass (SSB) in 2014 was estimated to be 10,325 mt which is 223% of the biomass target (SSBMSY proxy = 4,623 mt). The SSB target is 40% of the MSP (40% of the unfished stock, or SSB maximum).

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100

Figure 4: Trends in spawning stock biomass (SSB) of Gulf of Maine haddock between 1977 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold ( 1/2 SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. The approximate 90% lognormal confidence intervals are shown. The red dot indicates the rho-adjusted SSB values that would have resulted had a retrospective adjustment been made to either model.

Therefore the SG100 scoring requirement is met for GOM haddock, that is there is a high degree of certainty that the stock is above PRI.

GB haddock

The most recent assessment of the Georges Bank haddock (Melanogrammus aeglefinus) stock is the 2015 operational assessment of the existing 2012 VPA assessment (Brooks et al., 2012). The last benchmark for this stock was in 2008 (Brooks et al., 2008). Based on the previous assessment in 2012, the stock was not overfished, and overfishing was not occurring. This assessment updates commercial fishery catch data, research survey indices of abundance, weights and maturity at age, and the analytical VPA assessment model and reference points through 2014.

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100 Based on the 2015 updated assessment, the Georges Bank haddock (Melanogrammus aeglefinus) stock is not overfished and overfishing is not occurring. Spawning stock biomass (SSB) in 2014 was estimated to be 150,053 mt which is 139% of the biomass target (SSBMSY proxy = 108,300 mt).

Figure 10: Trends in spawning stock biomass of Georges Bank haddock between 1931 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The 90% bootstrap probability intervals are shown.

Therefore, the SG100 scoring requirement is met for GB haddock, that is there is a high degree of certainty that the stock is above PRI.

US Atlantic Pollock The most recent assessment of the Atlantic pollock stock under US management is a 2015 operational update assessment of the existing 2014 operational assessment. This assessment updates commercial and recreational fishery catch data, research

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100 survey indices of abundance, the ASAP analytical models, and biological reference points through 2014. Two population assessment models brought forward from the 2014 operational assessment: the base model (dome-shaped survey selectivity), which is used to provide management advice; and the at sel sensitivity model ( flat- topped survey selectivity), which is included for the sole purpose of demonstrating the sensitivity of assessment results to survey selectivity assumptions. The most recent benchmark assessment of the pollock stock was in 2010 as part of the 50th Stock Assessment Review Committee, which includes a full description of the model formulations.

The pollock stock is not overfished and overfishing is not occurring. Retrospective adjustments were made to the model results. Retrospective adjusted spawning stock biomass (SSB) in 2014 was estimated to be 154,919 mt under the base model and 32,040 mt under the at sel sensitivity model which is 147 and 58% (respectively) of the biomass target, an SSBMSY proxy of SSB at F40% (105,226 and 54,900 mt)

Figure 16: Estimated trends in the spawning stock biomass of pollock between 1970 and 2014 from the current (solid line) and previous (dashed line) assessment and the

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100

corresponding SSBThreshold (0.5 * SSBMSY proxy; horizontal dashed line) as well as SSBTarget (SSBMSY proxy; horizontal dotted line) based on the 2015 assessment models base (A) and at sel sensitivity (B). Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown

Therefore, the SG100 scoring requirement is met for pollock, that is there is a high degree of certainty that the stock is above PRI

Acadian redfish The most recent assessment of the Acadian redfish (Sebastes fasciatus) stock is a 2015 operational update assessment of the existing 2012 operational assessment. This assessment updates commercial fishery catch data, research survey indices of abundance, the ASAP analytical model, and biological reference points through 2014. The most recent benchmark assessment of the Acadian redfish stock was in 2008 as part of the 3rd Groundfish Assessment Review Meeting, which includes a full description of the model formulations.

Based on this updated assessment, the Acadian redfish (Sebastes fasciatus) stock is not overfished and overfishing is not occurring. Retrospective adjustments were made to the model results. Retrospective adjusted spawning stock biomass (SSB) in 2014 was estimated to be 330,004 mt which is 117% of the biomass target (SSBMSY proxy of SSB at F50% = 281,112 mt).

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100

Figure 22: Trends in spawning stock biomass of Acadian redfish between 1913 and 2014 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (0.5 * SSBMSY proxy ; horizontal dashed line) as well as SSBTarget (SSBMSY proxy ; horizontal dotted line) based on the 2015 assessment. Biomass was adjusted for a retrospective pattern and the adjustment is shown in red. The approximate 90% lognormal confidence intervals are shown.

Therefore the SG100 scoring requirement is met for Acadian redfish, that is there is a high degree of certainty that the stock is above PRI

b Stock status in relation to achievement of MSY

Guide The stock is at or There is a high degree of post fluctuating around a level certainty that the stock has consistent with MSY. been fluctuating around a level consistent with MSY or has been above this level over recent years.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100

Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi GOM haddock cation As described in the justification of SIa, spawning stock biomass (SSB) of GOM haddock in 2014 was estimated to be 10,325 mt which is 223% of the biomass target (SSBMSY proxy = 4,623 mt). The SSB target is 40% of the MSP (40% of the unfished stock, or SSB maximum). Therefore, the SG100 requirements are met as there is a high degree of certainty that the GOM haddock stock has been fluctuating around a level consistent with MSY or has been above this level over recent years.

GB haddock As described in the justification of SIa, spawning stock biomass (SSB) of GB haddock in 2014 was estimated to be 150,053 mt which is 139% of the biomass target (SSBMSY proxy = 108,300 mt). Therefore, the SG100 requirements are met as there is a high degree of certainty that the GB haddock stock has been fluctuating around a level consistent with MSY or has been above this level over recent years

Pollock As described in the justification of SIa, spawning stock biomass (SSB) of pollock in 2014 was estimated to be 154,919 mt under the base model and 32,040 mt under the at sel sensitivity model which is 147 and 58% (respectively) of the biomass target, an SSBMSY proxy of SSB at F40% (105,226 and 54,900 mt).

Therefore, there SG100 requirements are met as there is a high degree of certainty that the pollock stock has been fluctuating around a level consistent with MSY or has been above this level over recent years

Acadian redfish As described in the justification of SIa, spawning stock biomass (SSB) of Acadian redfish in 2014 was estimated to be 330,004 mt which is 117% of the biomass target (SSBMSY proxy of SSB at F50% = 281,112 mt). Therefore, there SG100 requirements are met as there is a high degree of certainty that the Acadian redfish stock has been fluctuating around a level consistent with MSY or has been above this level over recent years

Brooks, E.N, M.L. Traver, S.J. Sutherland, L. Van Eeckhaute, and L. Col. 2008. In. References Northeast Fisheries Science Center. 2008. Assessment of 19 Northeast Ground sh Stocks through 2007: Report of the 3rd Groundfish Assessment Review Meeting (GARM III), Northeast Fisheries Science Center, Woods Hole, Massachusetts,

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100 August 4-8, 2008. US Dep Commer, NOAA Fisheries, Northeast Fish Sci Cent Ref Doc. 08-15; 884 p + xvii. CRD08-15 Brooks, E.N, S.J. Sutherland, L. Van Eeckhaute, and M. Palmer. 2012. In. Northeast Fisheries Science Center. 2012. Assessment or Data Updates of 13 Northeast Groundfish Stocks through 2010. US Dept Commer, NOAA Fisheries, Northeast Fish Sci Cent Ref Doc. 12-06.; 789 p.

Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-24; 251p.

Northeast Fisheries Science Center. 2014. 59th Northeast Regional Stock Assessment Workshop (59th SAW) Assessment Report. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 14-09; 782 p.

Stock Status relative to Reference Points

Type of reference Value of reference Current stock status relative

point point to reference point

Reference GOM haddock GOM haddock GOM haddock point used in Overfished<1/2 Btarget 2,312 mt 10,325 mt scoring stock relative to PRI (SIa) GB haddock GB haddock GB haddock

Overfished<1/2 Btarget 104,150 mt 225,080 mt

Pollock Pollock Pollock

Overfished<1/2 Btarget 52,613 mt 198,847 mt

Acadian redfish Acadian redfish Acadian redfish

Overfished<1/2 Btarget 140,556 mt 414,544 mt

Reference GOM haddock GOM haddock GOM haddock point used in Btarget=Bmsy=0.4Bmax 4,623 mt 10,325 mt scoring stock relative to MSY (SIb) GB haddock GB haddock GB haddock

Btarget=Bmsy=0.4Bmax 108,300 mt 225,080 mt

Pollock Pollock Pollock

Btarget=Bmsy=0.4Bmax 105,226 mt 198,847 my

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The stock is at a level which maintains high productivity and has a low PI 1.1.1 probability of recruitment overfishing

Scoring Issue SG 60 SG 80 SG 100

Acadian redfish Acadian redfish Acadian redfish

Btarget=Bmsy=0.5Bmax 281,112 mt 414,544 mt

OVERALL PERFORMANCE INDICATOR SCORE:

UOA 1, GOM haddock 100

UoA 2, GB haddock 100

UoA 3, Pollock 100

UoA 4 Acadian redfish 100

CONDITION NUMBER (if relevant):

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Evaluation Table for PI 1.2.1 – Harvest strategy

PI 1.2.1 There is a robust and precautionary harvest strategy in place

Scoring Issue SG 60 SG 80 SG 100

a Harvest strategy design

Guide The harvest strategy is The harvest strategy is The harvest strategy is post expected to achieve stock responsive to the state of responsive to the state of management objectives the stock and the elements the stock and is designed reflected in PI 1.1.1 SG80. of the harvest strategy to achieve stock work together towards management objectives achieving stock reflected in PI 1.1.1 SG80. management objectives reflected in PI 1.1.1 SG80.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi GOM haddock, GB haddock, pollock and Acadian redfish are all managed by the cation New England Fishery Management Council under a single management plan, the Northeast Multispecies Fishery Management Plan (Northeast Multispecies FMP). The Northeast multispecies FMP (large-mesh and small-mesh) includes a total of 13 species of groundfish (Atlantic cod, haddock, pollock, yellowtail flounder, witch flounder, winter flounder, windowpane flounder, American plaice, Atlantic halibut, redfish, ocean pout, white hake, and wolffish) harvested from three geographic areas: Gulf of Maine (GOM), Georges Bank (GB), and southern New England/Mid-Atlantic Bight, and represents 19 distinct stocks (NEFMC, 1986). In 1986, the NEFMC implemented the Northeast Multispecies FMP with the goal of rebuilding stocks. In 1994 Amendment 5 to the FMP limited access to the multispecies fishery to any vessel that could document the landing of one pound of groundfish during the previous five years. After 1994, the fishery was managed through a variety of effort control measures including days at sea (DAS), area closures, trip limits, minimum size limits, and gear restrictions. Partially in response to those regulations, landings decreased throughout the latter part of the 1980s until reaching a more or less constant level of around 40,000 tons (36,287 mt) annually since the mid-1990s. In 2004, the final rule implementing Amendment 13 to the Northeast Multispecies FMP allowed for self-selecting groups of limited access groundfish permit holders to form sectors. These sectors developed a legally binding operations plan and operated under an allocation of Georges Bank cod. While approved sectors were subject to general requirements specified in Amendment 13, sector members were exempt from DAS and some of the other effort control measures that tended to limit the flexibility of fishermen. The 2004 rule also authorized implementation of the first sector, the GB Cod Hook Sector. A second sector, the GB Cod Fixed Gear Sector, was authorized in 2006. Through Amendment 16, the New England Fisheries Management Council (NEFMC) sought to rewrite groundfish sector policies with a scheduled implementation date of May 1, 2009. When that implementation date was delayed until fishing year (FY) 2010, the NMFS Regional Administrator announced that, in addition to a previously stated 18 percent reduction in DAS, interim rules would be implemented to reduce

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PI 1.2.1 There is a robust and precautionary harvest strategy in place fishing mortality during FY 2009. These interim measures generally reduced opportunity among groundfish vessels through: • differential DAS counting depending on the area fished, • elimination of the Southern New England (SNE) / Mid-Atlantic (MA) winter flounder Special Access Program (SAP) and elimination of the state waters winter flounder exemption • revisions to incidental catch allocations, and • a reduction in some groundfish allocations. In 2007, the Northeast Multispecies fishery included 2,515 permits. Of these permits about 1,400 were limited access, and 658 vessels actively fished. (Numerous lobster boats were given limited access multispecies permits based on their incidental catch of groundfish in lobster pots, but Amendment 5 prohibited the retention of any groundfish caught in lobster traps.) The active groundfish vessels included a range of gear types including hook, bottom longline, gillnet, and trawlers (NEFMC 2009a). In FY 2009, between 40 and 50 of these vessels were members of the Georges Bank Cod Sectors. The passage of Amendment 16 prior to FY 2010 issued in a new era of sector management in the New England groundfish fishery. Over 50 percent of eligible northeast groundfish multispecies permits and over 95 percent of landings history were associated with sectors in FY 2010. Approximately 56 percent of the eligible northeast groundfish multispecies permits constituting between approximately 99.4 percent and 77.5 percent of the various species ACLs were included in sectors for FY 2011. The remaining vessels were common pool groundfishing vessels. Amendment 16 to the Northeast Multispecies FMP was finally implemented for the New England groundfish fishery starting on May 1st 2010, the start of the 2010 fishing year. The new management program contained two substantial changes meant to adhere to the catch limit requirements and stock rebuilding deadlines of the Magnuson-Stevens Fishery Conservation and Management Reauthorization Act of 2006 (MSFCMA). The first change developed “hard quota” annual catch limits (ACLs) for all 20 stocks in the groundfish complex. The second change expanded the use of Sectors, which are allocated subdivisions of ACLs called Annual Catch Entitlements (ACE) based on each sector’s collective catch history. Sectors are incorporated entities that must have operations plans approved by NMFS. Sectors determine their own membership rules and allocation procedures, although all sectors have distributed the overall sector allocation in proportion to the allocation of each member permit. Sector members do not necessarily share any geographical, boat size, or gear type characteristics, although some do. Sectors received ACE for nine of 13 groundfish species (14 stocks + quotas for Eastern U.S./ Canada cod and haddock; 16 ACEs) in the FMP and became exempt from many of the effort controls previously used to manage the fishery. Under the Magnuson-Stevens Act, National Standard 1 as described in the Federal Register Vol. 74, No. 11, 16 Jan 2009, (50 CFR part 600), sets Annual Catch Limits (ACL) at less than or equal to the Acceptable Biological Catch (ABC), to account for management uncertainty, which must be set less than or equal to the Overfishing Limit (OFL) to account for scientific uncertainty in the in the stock assessment. Fishing mortality targets are set for each stock independently based on achieving MSY in the long term, therefore for stocks that are overfished, the target fishing mortality is set at a level which will have a reasonable probability (>50%) of ensuring the rebuilding of the stock within the timeline set in the relevant rebuilding program. However, should a sector approach the ACE for one of the target stocks, then the area inhabited by that stock is closed to all gears capable of catching that stock, resulting in a potential ‘under-harvest’ of more abundant stocks. The sector system allows fishermen to share, trade or lease quota within a fishery, reducing the chance

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PI 1.2.1 There is a robust and precautionary harvest strategy in place of overfishing depleted stocks while targeting more abundant stocks; and if a sector is nearing its quota for a particular species, it may be possible to lease it from another sector. There have been some concerns with the management strategy in the past, particularly with respect to depleted stocks. In addition, in many cases target TACs have been set too high, due to errors in stock assessments, and there has been a need for increased precaution. The management system, however, has substantially changed under Amendment 16, which is expected to reduce the race to fish and improve conservation outcomes. For example, discarding appears to have been reduced, and the fishery now relies on hard ACLs (which include discards) rather than target TACs, all of which helps reduce the likelihood of exceeding sustainable fishing mortality rates for targeted stocks. In addition, sectors have not exceeded their ACEs, while in the past it was possible for target TACs to be exceeded, as the regulations were based on effort control (DAS) rather than output control.

The harvest strategy as described above for all four UoC stock units (GOM haddock, GB haddock, pollock, and Acadian redfish) is responsive to the state of the stock and is designed to achieve stock management objectives reflected in PI 1.1.1 SG80, specifically, that it is highly likely that the stock is above the PRI (SIa), and that the stock is at or fluctuating around a level consistent with MSY (SIb). Therefore all four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) meet the SG 100 level for SI a in PI 1.2.1.

b Harvest strategy evaluation

Guide The harvest strategy is The harvest strategy may The performance of the post likely to work based on not have been fully tested harvest strategy has been prior experience or but evidence exists that it fully evaluated and plausible argument. is achieving its objectives. evidence exists to show that it is achieving its objectives including being

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PI 1.2.1 There is a robust and precautionary harvest strategy in place clearly able to maintain stocks at target levels.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock N-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock N-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock N-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish N-UoC4, Acadian

Justifi cation All four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) are managed under a single FMP, that is supported by an operational framework with scientific research, monitoring, regular stock assessments with outside peer review, and stakeholder participation. There are biologically based reference points; there is a control rule, and demonstrated capacity to take corrective management actions to limit catch and/or effort, as necessary. The recent 2015 Operational Assessment of Northeast Groundfish Stocks, updated through 2014, demonstrates that the four UoCs are healthy, with good recruitment and high productivity, and abundance levels above levels that required to achieve MSY. The management plan is clearly achieving a stock status consistent with the management objectives. So, while there is evidence that to show that it is achieving its objectives including being clearly able to maintain stocks at target levels, the performance of the harvest strategy has not been fully evaluated using a Management Strategy Evaluation (MSE). Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all met the SG80 requirements, but do not fully meet the SG 100 level requirements.

c Harvest strategy monitoring

Guide Monitoring is in place that post is expected to determine whether the harvest strategy is working.

Met? Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC4, Acadian redfish

Justifi Appropriate to all four UoCs, the NMFS NEFSC has a program of fishery cation independent, seasonal scientific trawl surveys for fishery resources on US northeast coast. This is complemented with a program of fishery dependent surveys including an at-sea observer program, dockside sampling, log-books, vessel trip reports (VTRs), and dealer reports from shore-side buyers. There are regular stock assessments with outside peer review conducted by staff at the NEFSC. There is a sound enforcement program to ensure the regulations are being followed both at sea and on land. There is a high degree of stakeholder participation in the management process including commercial and recreational fishermen, environmental NGOs, and academic scientists. There appears to be general consensus that the fishery management plan with its operational framework as managed by the NEFMC is working well. Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all met the SG60 requirements that the monitoring that is in place will determine whether the harvest strategy is working.

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PI 1.2.1 There is a robust and precautionary harvest strategy in place

d Harvest strategy review

Guide The harvest strategy is post periodically reviewed and improved as necessary.

Met? Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC4, Acadian redfish

Justifi Appropriate to all four UoCs, the harvest strategy is based on the Magnuson Stevens cation Act as implemented by the NEFMC through the Northeast Multispecies FMP, with its period updates in amendments and frameworks that respond to changing conditions. The fishery dependent and independent monitoring provides real time information used to evaluate the effectiveness of the harvest strategy. Therefore, the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all met the SG100 requirements that the harvest strategy is periodically reviewed and improved as necessary.

e Shark finning

Guide It is likely that shark finning It is highly likely that shark There is a high degree of post is not taking place. finning is not taking place. certainty that shark finning is not taking place.

Met? Not relevant Not relevant Not relevant

Justifi Sharks are not a target species. cation

f Review of alternative measures

Guide There has been a review There is a regular review There is a biennial post of the potential of the potential review of the potential effectiveness and effectiveness and effectiveness and practicality of alternative practicality of alternative practicality of alternative measures to minimise measures to minimise measures to minimise UoA-related mortality of UoA-related mortality of UoA-related mortality of unwanted catch of the unwanted catch of the unwanted catch of the target stock. target stock and they are target stock, and they are implemented as implemented, as

appropriate. appropriate.

Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Met? Y-UoC3, pollock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

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PI 1.2.1 There is a robust and precautionary harvest strategy in place

Justifi Appropriate to all four UoCs, as part of the annual monitoring program of New cation England fisheries as conducted by the NEFSC there is the evaluation and analysis of the discards in the trawl fishery based on observer data. This discard information is used in subsequent stock assessments as losses to the stock, and the degree of discarding is evaluated in terms of trawl codend mesh size regulations. In 2011 the NMFS published the National Bycatch Report, and it is periodically updated. In 2016, update 2 was released. The next edition of this report is scheduled for 2017. Updated versions of this report are released on a biennial basis. The report specifically evaluates the new England large mesh otter trawl fishery, among many other US fisheries.

Therefore, the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all met the SG100 requirements that there is at least biennial review of the potential effectiveness and practicality of alternative measures to minimize UoA-related mortality of unwanted catch of the target stock, and they are implemented, as appropriate

Federal Register. 2009. Vol. 74, No. 11, 16 Jan 2009, (50 CFR part 600) National Standards.

New England Fishery Management Council (NEFMC). 2009. Final Amendment 16 to the Northeast Multi-Species Fishery Management Plan. NEFMC. Newburyport, MA.

NMFS. 2011. U.S. national bycatch report (W. A. Karp, L. L. Desfosse, S. G. Brooke, editors). U.S. Dep. Commer., NOAA Tech Memo NMFS-F/SPO-117E, 508 p. Available online at: http://www.nmfs.noaa.gov/by_catch/bycatch_nationalreport.htm References NMFS. 2012. U.S. National Bycatch Report First Edition Update 1 [L. R. Benaka, C. Rilling, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 57 p. Available online at: http://www.st.nmfs.noaa.gov/observer-home/first-edition- update-1

NMFS. 2016. U.S. National Bycatch Report First Edition Update 2 [L. R. Benaka, D. Bullock, J. Davis, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 90 p. Online edition: http://www.st.nmfs.noaa.gov/observer-home/first-edition-update-2.

OVERALL PERFORMANCE INDICATOR SCORE, UoA1, GOM haddock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA2, GB haddock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA3, pollock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA4, Acadian redfish: 95

CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 1.2.2 – Harvest control rules and tools

PI 1.2.2 There are well defined and effective harvest control rules (HCRs) in place

Scoring Issue SG 60 SG 80 SG 100

a HCRs design and application

Guide Generally understood Well defined HCRs are in The HCRs are expected to post HCRs are in place or place that ensure that the keep the stock fluctuating available that are exploitation rate is at or above a target level expected to reduce the reduced as the PRI is consistent with MSY, or exploitation rate as the approached, are expected another more appropriate point of recruitment to keep the stock level taking into account impairment (PRI) is fluctuating around a target the ecological role of the approached. level consistent with (or stock, most of the time. above) MSY, or for key LTL species a level consistent with ecosystem needs.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi Appropriate to all four UoCs, the current regulations, which were implemented by cation Amendment 16 in 2010, implement new requirements under the Magnuson-Stevens Reauthorization Act (MSRA) of 2006 (NEFMC, 2009). The MSRA requires the NEFMC to determine Annual Catch Limits (ACLs) and Accountability Measures (AMs) for all managed stocks. This action implements a process for calculating an ACL in addition to the Overfishing Level (OFL) and Acceptable Biological Catch (ABC) for each stock. Amendment 16 to the Groundfish FMP established a ABC control rule, as described in PI 1.1.2 SIa. The process of setting the ACL, OFL and ABC is described in the following. Recommendations for the values of the ACL, OFL and ABC are developed by the Plan Development team (PDT). The Science and Statistical Committee (SSC) recommends ABC levels, and the NEFMC approves final ACLs, but cannot exceed the SSC’s recommended levels. ACLs may be broken into subcomponents for different segments of the fishery, including state waters, commercial, recreational, sectors, and the common pool. Although the following stocks do have ACLs, possession is prohibited due to their overfished status: SNE/MA winter flounder, windowpane flounder, ocean pout, and wolffish. In addition, halibut catch is limited to one fish per trip. Northeast Multispecies permit holders are eligible to receive an allocation for the remaining 14 groundfish stocks. ABC recommendations for the Northeast Multispecies fishery, MSY targets and ACLs are now subject to adjustment by SSC evaluation according to MSRA. ABC are used for rebuilding stocks and are usually lower than currently established MSY targets or ACL. Uncertainties in management (i.e. landings) and scientific (i.e. model error) are now identified, quantified and must be accounted for in setting ACLs. Amendment 16 adopted a system of Annual Catch Limits (ACLs) and Accountability Measure (AMs) that are designed to ensure catches remain below desired targets for each stock in the management complex. The National Standard Guidelines provide advisory guidance (that does not have the effect or force of law) for the implementation of these requirements. AMs are management controls to prevent ACLs from being exceeded and to correct or mitigate overages of the ACL if they

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PI 1.2.2 There are well defined and effective harvest control rules (HCRs) in place occur. AMs should address and minimize both the frequency and magnitude of overages and correct the problems that caused the overages in as short a time as possible. AMs can be either in season AMs or AMs for when the ACL is exceeded. NMFS has acknowledged in the publication of the guidelines that there is no requirement that AMs and ACLs be implemented as hard TACs or quotas, but conservation and management measures must be implemented so that the ACL is not exceeded and AMs must apply if the ACL is exceeded. While many measures in the management program are intended to control fishing mortality and might be interpreted to be AMs since they are “management controls to prevent the ACL from being exceeded,” the term AM is usually applied to specific, automatic measures that are implemented either as an ACL is approached or after an ACL is exceeded. These regulations require a reduction in exploitation through the use of reduced ACLs that are implemented through AMs, so that as once a stock is below the target biomass level (Bmsy), exploitation is reduced as the stock approaches PRI (1/2 Bmsy). Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG60 requirements, that is generally understood HCRs are in place or available that are expected to reduce the exploitation rate as the point of recruitment impairment (PRI) is approached, the SG80 requirements, that is well defined HCRs are in place that ensure that the exploitation rate is reduced as the PRI is approached, are expected to keep the stock fluctuating around a target level consistent with (or above) MSY, and the SG100 requirements, that is the HCRs are expected to keep the stock fluctuating at or above a target level consistent with MSY..

b HCRs robustness to uncertainty

Guide The HCRs are likely to be The HCRs take account of post robust to the main a wide range of uncertainties. uncertainties including the ecological role of the stock, and there is evidence that the HCRs are robust to the main uncertainties.

Met? Y-UoC1, GOM haddock N-UoC1, GOM haddock Y-UoC2, GB haddock N-UoC2, GB haddock Y-UoC3, pollock N-UoC3, pollock Y-UoC4, Acadian redfish N-UoC4, Acadian redfish

Justifi Appropriate to all four UoCs, the HCRs are considered to be robust to the main cation uncertainties. As described in the justification of PI1.2.2 SIa, the uncertainties in management (i.e. landings) and scientific (i.e. model error) are now identified, quantified and must be accounted for in setting ACLs. As noted in prior justifications related to the HCR, the management current regulations were implemented under the MSRA of 2006. This legislation requires the NEFMC to determine ACLs and AMs for all managed stocks. This action also initiates the process of estimating the OFL and ABC for each stock. Recommendations for these values are developed by the PDT, and the SSC recommends the ABC levels, while the NEFMC approves the final ACL, but that value cannot exceed the SSC's recommended value. ACLs may be divided into subcomponents for different segments of the fishery, including state waters, commercial, recreational, sectors, and the common pool. Although the following stocks do have ACLs, possession is prohibited due to their overfished status: SNE/MA winter flounder, windowpane flounder, ocean pout, and wolffish. In

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PI 1.2.2 There are well defined and effective harvest control rules (HCRs) in place addition, halibut catch is limited to one fish per trip. Northeast Multispecies permit holders are eligible to receive an allocation for the remaining 14 groundfish stocks. ABC recommendations for the Northeast Multispecies fishery, MSY targets and ACLs are now subject to adjustment by SSC evaluation according to MSRA. ABC are used for rebuilding stocks and are usually lower than currently established MSY targets or ACL. Uncertainties in management (i.e. landings) and scientific (i.e. model error) are now identified, quantified and must be accounted for in setting ACLs. Given all the checks and balances in the management process, the HCR is likely to be robust the main uncertainties. However, MSE has not been used to date to evaluate harvest strategies. The HCR while likely to account for the main uncertainties, does not take account for a wide range of uncertainties including the ecological role of the stock, and there is no evidence that the HCRs are robust to the main uncertainties, other than performance to date. Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all met the SG80 requirements, but not the SG 100 requirements.

c HCRs evaluation

Guide There is some evidence Available evidence Evidence clearly shows post that tools used or available indicates that the tools in that the tools in use are to implement HCRs are use are appropriate and effective in achieving the appropriate and effective effective in achieving the exploitation levels in controlling exploitation. exploitation levels required required under the HCRs. under the HCRs.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi Appropriate to all four UoCs, the evidence (stock status and fishing mortality rates cation relative to targets) clearly demonstrate that the tools in use are effective in achieving the exploitation levels required under the HCRs. The most recent information of the stock status and exploitation level for the four UoCs is the Northeast Fisheries Science Center, Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014, dated Nov. 2015. For GOM haddock, there has been reduction on the fishing mortality which resulted in an increased biomass. The GOM haddock stock is not overfished and overfishing is not occurring. Spawning stock biomass (SSB) in 2014 was estimated to be 10,325 mt which is 223% of the biomass target (SSBMSY proxy = 4,623 mt). The 2014 fully selected fishing mortality was estimated to be 0.257 which is 55% of the overfishing threshold proxy (FMSY proxy = F40% = 0.468). Finally, there is substantial recruitment of age 1 individual to the stock in 2013.. For GB haddock, there has been reduction on the fishing mortality which resulted in an increased biomass. The GB haddock stock is not overfished and overfishing is not occurring. Spawning stock biomass (SSBj) in 2014 was estimated to be 150,053 mt which is 139% of the biomass target (SSBMSY proxy = 108,300 mt). The 2014 fully selected fishing mortality was estimated to be 0.241 which is 62% of the overfishing threshold proxy (FMSY proxy = 0.39). Finally, the results of the model analysis confirm the recent strong recruitment of age 1 individuals in the last two years.

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PI 1.2.2 There are well defined and effective harvest control rules (HCRs) in place The pollock stock is not overfished and overfishing is not occurring. Spawning stock biomass (SSB) in 2014 was estimated to be 154,919 (mt) under the base model and 32,040 (mt) under the at sel sensitivity model which is 147 and 58% (respectively) of the biomass target, an SSBMSY proxy of SSB at F40% (105,226 and 54,900 mt). Retrospective adjusted 2014 age 5 to 7 average fishing mortality (F) was estimated to be 0.07 under the base model and 0.233 under the at sel sensitivity model, which is 25 and 92% (respectively) of the overfishing threshold, an FMSY proxy of F40% (0.277 and 0.252). Finally, the index of age 1 recruits as predicted by the assessment model indicates a substantial increase in the number of age 1 recruits in the last five years. The Acadian redfish stock is not overfished and overfishing is not occurring. Retrospective adjusted spawning stock biomass (SSB) in 2014 was estimated to be 330,004 mt which is 117% of the biomass target (SSBMSY proxy of SSB at F50% = 281,112 mt). The retrospective adjusted 2014 fully selected fishing mortality (F) was estimated to be 0.015 which is 39% of the overfishing threshold (FMSY proxy of F50% = 0.038). Finally, the results of the assessment model indicate a substantial increase in recruitment of age 1 individuals in the last 5 years. Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 60, 80, and 100 requirements.

New England Fishery Management Council (NEFMC). 2009. Final Amendment 16 to the Northeast Multi-Species Fishery Management Plan. NEFMC. Newburyport, MA. Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast References Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/

OVERALL PERFORMANCE INDICATOR SCORE, UoA 1, GOM haddock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA 2, GB haddock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA 3, pollock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA 4, Acadian redfish: 95

CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 1.2.3 – Information and monitoring

PI 1.2.3 Relevant information is collected to support the harvest strategy

Scoring Issue SG 60 SG 80 SG 100

a Range of information

Guide Some relevant information Sufficient relevant A comprehensive range of post related to stock structure, information related to information (on stock stock productivity and fleet stock structure, stock structure, stock composition is available to productivity, fleet productivity, fleet support the harvest composition and other composition, stock strategy. data is available to support abundance, UoA removals the harvest strategy. and other information such

as environmental information), including some that may not be directly related to the current harvest strategy, is available.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi Appropriate to all four UoCs, there is a comprehensive range of information available cation information (on stock structure, stock productivity, fleet composition, stock abundance, UoA removals and other information such as environmental information), including some that may not be directly related to the current harvest strategy. This information is used in stock assessments (NEFSC, 2015). As noted in previous PI justifications, the NMFS NEFSC has had a program of research studies over the last 50 years directed to understanding the life history characteristics, the population biology, habitat requirements, and ecosystem interactions, as well as providing stock productivity and abundance assessments based on fishery dependent and independent information. The scientific studies and surveys also include the collection of extensive data on environmental conditions, and it is this long term data that is now being used to study the impacts of climate change on northeast fisheries. Fishery information including the number and types of vessels in the fishery fleet. The temporal and spatial patterns of the fishery by gear type are well documented. Most vessels involved in this fishery are required to have an operational Vessel Monitoring System (VMS) on board. The VMS unit transmits positional information to the communication service provider, that then makes the information available to the government management agency. The NEFSC observer program provides about 20% coverage of the bottom trawl fishery in the Gulf of Maine and Georges Bank areas. Dockside monitoring includes weighout information on landings and biological sampling. This data is corroborated with dealer reports and vessel trip reports (VTRs). Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 60, 80, and 100 requirements.

b Monitoring

Guide Stock abundance and UoA Stock abundance and UoA All information required by post removals are monitored removals are regularly the harvest control rule is and at least one indicator monitored at a level of monitored with high

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PI 1.2.3 Relevant information is collected to support the harvest strategy is available and monitored accuracy and coverage frequency and a high with sufficient frequency to consistent with the harvest degree of certainty, and support the harvest control control rule, and one or there is a good rule. more indicators are understanding of inherent available and monitored uncertainties in the with sufficient frequency to information [data] and the support the harvest control robustness of assessment rule. and management to this uncertainty.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock N-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock N-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock N-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish N-UoC4, Acadian redfish

Justifi Appropriate to all four UoCs, stock abundance and UoA removals are regularly cation monitored at a level of accuracy and coverage consistent with the harvest control rule, and one or more indicators are available and monitored with sufficient frequency to support the harvest control rule. As noted in the previous SIa justification, the NMFS NEFSC has had a program of research studies over the last 50 years directed to understanding the life history characteristics, the population biology, habitat requirements, and ecosystem interactions, as well as providing stock productivity and abundance assessments based on fishery dependent and independent information. The scientific studies and surveys also include the collection of extensive data on environmental conditions, and it is this long term data that is now being used to study the impacts of climate change on northeast fisheries. Fishery information including the number and types of vessels in the fishery fleet. The temporal and spatial patterns of the fishery by gear type are well documented. Most vessels involved in this fishery are required to have an operational Vessel Monitoring System (VMS) on board. The VMS unit transmits positional information to the communication service provider, that then makes the information available to the government management agency. The NEFSC observer program provides about 20% coverage of the bottom trawl fishery in the Gulf of Maine and Georges Bank areas. Dockside monitoring includes weighout information on landings and biological sampling. This data is corroborated with dealer reports and vessel trip reports (VTRs). Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 60 and 80 level requirements, however the SG100 level requirements are not met, as there is not a good understanding of inherent uncertainties in the information [data] and the robustness of assessment and management to this uncertainty.

c Comprehensiveness of information

Guide There is good information post on all other fishery removals from the stock.

Met? Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC4, Acadian redfish

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PI 1.2.3 Relevant information is collected to support the harvest strategy

Justifi Appropriate to all four UoCs, the gears used to prosecute other fisheries for the four cation UoC species tend to capture a variety of groundfish species, whether they are the target of the fishery or not. Federal management agencies are responsible for accounting for all fishing mortality quota. All fishery landings are monitored at the dockside point of offloading. Monitors verify the weight and the species of fish offloaded. A variety of information must also be reported to the NMFS in fishery monitoring documents completed by the captain for each trip (VTRs). The catch inputs included landings and discards from both the commercial and recreational fleets. The other fisheries (gillnet and hook and line) that also remove the UoC species are required to have observer coverage, so the levels of discarding are also well documented in these fisheries. All this information is used regularly in NMFS stock assessments for the four UoAs (NEFSC, 2015). Therefore the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 80 requirements.

Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci References Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/

OVERALL PERFORMANCE INDICATOR SCORE, UoA 1, GOM haddock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA 2, GB haddock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA 3, pollock: 95

OVERALL PERFORMANCE INDICATOR SCORE, UoA 4, Acadian redfish: 95

CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 1.2.4 – Assessment of stock status

PI 1.2.4 There is an adequate assessment of the stock status

Scoring Issue SG 60 SG 80 SG 100

a Appropriateness of assessment to stock under consideration

Guide The assessment is The assessment takes into post appropriate for the stock account the major features and for the harvest control relevant to the biology of rule. the species and the nature of the UoA.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi All four UOA stocks are assessed using age structured models that are most cation appropriate for relatively long lived species, that are easily aged so as to be able to identify specific year classes. As a result, age specific survey abundance and landings data are available that are used in the assessment models. These assessment models provide age specific biomass estimates, fishing mortality estimates, and allow for the understanding of recruitment processes. These models best account for the selective age specific mortality of the fishery, are appropriate for the stock and the harvest control rule, and the biology and nature of the species. As implemented these models provide estimates of the uncertainty in the estimated values, and are used to develop reference points. For GOM haddock, the most recent assessment is the 2015 operational update assessment of the previous 2014 benchmark assessment (NEFSC 2014). This assessment updates commercial and recreational fishery catch data, research survey indices of abundance, and the analytical ASAP assessment model and reference points through 2014. Retrospective adjustments were not made to the model result. The benchmark ASAP model is an age-structured and uses forward computations assuming separability of fishing mortality into year and age components to estimate population sizes given observed catches, catch-at-age, and indices of abundance. Recruitment of Gulf of Maine haddock is highly episodic and not well described by traditional stock recruitment relationships. Given this, an MSY proxy was used for reference points. F40% is the proxy used for the overfishing threshold (FMSY). This is consistent with the choice of proxy in the previous assessment. The ASAP model is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall and DFO winter. Robustness testing includes model fit diagnostics and retrospective analyses are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass and recruitment relative to the terminal year estimates. For GB haddock, the most recent assessment is the 2015 operational assessment of the existing 2012 update VPA assessment (Brooks et al., 2012). The last benchmark for this stock was in 2008 (Brooks et al., 2008). This assessment updates commercial fishery catch data, research survey indices of abundance, weights and maturity at age, and the analytical VPA assessment model and reference points through 2014. The benchmark assessment is based on results from an age structured analytical assessment (VPA) that uses fishery catch statistics and sampling for size and age composition of the catch (including discards). The VPA is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall and DFO winter. Robustness testing includes model fit diagnostics and retrospective analyses

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PI 1.2.4 There is an adequate assessment of the stock status are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass and recruitment relative to the terminal year estimates. For pollock, the most recent assessment of the pollock stock is the 2015 operational update assessment of the existing 2014 operational assessment (Hendrickson et al. 2015). This assessment updates commercial and recreational fishery catch data, research survey indices of abundance, the ASAP analytical models, and biological reference points through 2014. Two population assessment models brought forward from the 2014 operational assessment: the base model (dome-shaped survey selectivity), which is used to provide management advice; and the at sel sensitivity model (flat-topped survey selectivity), which is included for the sole purpose of demonstrating the sensitivity of assessment results to survey selectivity assumptions. The most recent benchmark assessment of the pollock stock was in 2010 as part of the 50th Stock Assessment Review Committee (SARC 50; NEFSC 2010), which includes a full description of the model formulation. The benchmark assessment is based on results from an age structured analytical assessment (ASAP) that uses fishery catch statistics and sampling for size and age composition of the catch (including discards). The ASAP model is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall and DFO winter. Robustness testing includes model fit diagnostics and retrospective analyses are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass and recruitment relative to the terminal year estimates. For Acadian redfish, the most recent assessment is a 2015 operational update assessment of the existing 2012 operational assessment (NEFSC 2012). This assessment updates commercial fishery catch data, research survey indices of abundance, the ASAP analytical model, and biological reference points through 2014. The most recent benchmark assessment of the Acadian redfish stock was in 2008 as part of the 3rd Groundfish Assessment Review Meeting (GARM III; NEFSC 2008), which includes a full description of the model formulations. The benchmark ASAP model uses fishery catch statistics and sampling for size and age composition of the catch (including discards). The ASAP is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall and DFO winter. Robustness testing includes model fit diagnostics and retrospective analyses are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass and recruitment relative to the terminal year estimates. Therefore, the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 80 and 100 level requirements

b Assessment approach

Guide The assessment The assessment post estimates stock status estimates stock status relative to generic relative to reference points reference points that are appropriate to the appropriate to the species stock and can be category. estimated.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi Relative to all four UoCs, the stock assessments estimate stock status relative to both cation generic reference points appropriate to the species category, and reference points that are appropriate to the stock and can be estimated. In particular, as was described

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PI 1.2.4 There is an adequate assessment of the stock status in the responses and justifications for PI 1.1.1, the following reference points are estimated in the models and used in the HCR (NEFSC, 2015).

For GOM haddock, Blim or Bthreshold =1/2 Btarget, and Btarget=Bmsy=0.4Bmax. In 2014 the spawning stock biomass (SSB) was estimated to be 10,325 mt which is 223% of the biomass target (SSBMSY proxy = 4,623 mt).

For GB haddock, Blim or Bthreshold =1/2 Btarget, and Btarget=Bmsy=0.4Bmax. In 2014, the spawning stock biomass (SSB) was estimated to be 150,053 mt which is 139% of the biomass target (SSBMSY proxy = 108,300 mt.

For pollock, , Blim or Bthreshold =1/2 Btarget, and Btarget=Bmsy=0.4Bmax, In 2014 the retrospective adjusted spawning stock biomass (SSB) was estimated to be 154,919 mt under the base model and 32,040 mt under the at sel sensitivity model which is 147 and 58% (respectively) of the biomass target, an SSBMSY proxy of SSB at F40% (105,226 and 54,900 mt).

For Acadian redfish, , Blim or Bthreshold =1/2 Btarget, and Btarget=Bmsy=0.5Bmax. In 2014 the retrospective adjusted spawning stock biomass (SSB) was estimated to be 330,004 mt which is 117% of the biomass target (SSBMSY proxy of SSB at F50% = 281,112 mt). Therefore, the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 60 and 80 level requirements

c Uncertainty in the assessment

Guide The assessment identifies The assessment takes The assessment takes into post major sources of uncertainty into account. account uncertainty and is uncertainty. evaluating stock status relative to reference points in a probabilistic way.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi For all four UoCs, the assessment takes into account uncertainty and is evaluating cation stock status relative to reference points in a probabilistic way. For GOM haddock, the evaluation of stock status is based on results from an age structured analytical assessment (Virtual Population Analysis, VPA) that uses fishery catch statistics and sampling for size and age composition of the catch (including discards). The VPA is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall and DFO winter. Robustness testing includes model fit diagnostics and retrospective analyses are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass and recruitment relative to the terminal year estimates. Model projections provide a basis for determining probability of exceeding Fref for a range of catch options. For GB haddock, the evaluation of stock status is based on results from an age structured analytical assessment (Virtual Population Analysis, VPA) that uses fishery catch statistics and sampling for size and age composition of the catch (including discards). The VPA is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall and DFO winter. Robustness testing includes model fit diagnostics and retrospective analyses are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass

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PI 1.2.4 There is an adequate assessment of the stock status and recruitment relative to the terminal year estimates. Model projections provide a basis for determining probability of exceeding Fref for a range of catch options. For pollock, the evaluation of stock status is based on results from a statistical catch- at-age model, ASAP (Age Structured Assessment Program v2.0.20). ASAP is an age-structured model that uses forward computations assuming separability of fishing mortality into year and age components to estimate population sizes given observed catches, catch-at-age, and indices of abundance. The ASAP model is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall. Robustness testing includes model fit diagnostics and retrospective analyses are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass and recruitment relative to the terminal year estimates. Model projections provide a basis for determining probability of exceeding Fref for a range of catch options. For Acadian Redfish, the evaluation of stock status is based on results from a statistical catch-at-age model, ASAP (Age Structured Assessment Program v2.0.20). ASAP is an age-structured model that uses forward computations assuming separability of fishing mortality into year and age components to estimate population sizes given observed catches, catch-at-age, and indices of abundance. The ASAP is calibrated to trends in abundance from three bottom trawl survey series: NMFS spring, NMFS fall. Robustness testing includes model fit diagnostics and retrospective analyses are conducted to detect any tendency to consistently overestimate or underestimate fishing mortality, biomass and recruitment relative to the terminal year estimates. Model projections provide a basis for determining probability of exceeding Fref for a range of catch options. Therefore, the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 60, 80 and 100 level requirements.

d Evaluation of assessment

Guide The assessment has been post tested and shown to be robust. Alternative hypotheses and assessment approaches have been rigorously explored.

Met? Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC4, Acadian redfish

Justifi For all four UoCs, the assessment model used in subject to ongoing rigorous review cation and evaluation. Alternative models are considered, and the most appropriate models is selected for the assessment. Adjustments are made as necessary and appropriate to correct any bias, retrospective trends, or any other uncertainty that is detected. The characteristics of individual models used to assess stock status are described in the previous PI SI justifications and in the introduction section of this report. Therefore, the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 100 level requirements.

Peer review of assessment

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PI 1.2.4 There is an adequate assessment of the stock status

e Guide The assessment of stock The assessment has been post status is subject to peer internally and externally review. peer reviewed.

Met? Y-UoC1, GOM haddock Y-UoC1, GOM haddock Y-UoC2, GB haddock Y-UoC2, GB haddock Y-UoC3, pollock Y-UoC3, pollock Y-UoC4, Acadian redfish Y-UoC4, Acadian redfish

Justifi Relative to all four UoCs, the NMFS NEFSC conducts internal reviews of all stock cation assessment updates, and external peer review by a panel of experts of all benchmark assessments. . Therefore, the four UoCs (GOM haddock, GB haddock, pollock and Acadian redfish) all meet the SG 80 and 100 level requirements that is that the assessments are internally and externally peer reviewed.

Brooks, E.N, M.L. Traver, S.J. Sutherland, L. Van Eeckhaute, and L. Col. 2008. In. Northeast Fisheries Science Center. 2008. Assessment of 19 Northeast Ground sh Stocks through 2007: Report of the 3rd Ground sh Assessment Review Meeting (GARM III), Northeast Fisheries Science Center, Woods Hole, Massachusetts, August 4-8, 2008. US Dep Commer, NOAA Fisheries, Northeast Fish Sci Cent Ref Doc. 08-15; 884 p + xvii. CRD08-15

Brooks, E.N, S.J. Sutherland, L. Van Eeckhaute, and M. Palmer. 2012. In. Northeast Fisheries Science Center. 2012. Assessment or Data Updates of 13 Northeast Groundfish Stocks through 2010. US Dept Commer, NOAA Fisheries, Northeast Fish Sci Cent Ref Doc. 12-06.; 789 p Hendrickson L, Nitschke P, Linton B. 2015. 2014 Operational stock assessments for Georges Bank winter flounder, Gulf of Maine winter flounder, and pollock. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-01; 228 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD15-01 References Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-24; 251p.

Northeast Fisheries Science Center. 2014. 59th Northeast Regional Stock Assessment Workshop (59th SAW) Assessment Report. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 14-09; 782 p.

Northeast Fisheries Science Center. 2012. Assessment or Data Updates of 13 Northeast Groundfish Stocks through 2010. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 12-06; 789 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD12-06

Northeast Fisheries Science Center. 2010. 50th Northeast Regional Stock Assessment Workshop (50th SAW) Assessment Report. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 10-17; 844 p. Available from: National Marine

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PI 1.2.4 There is an adequate assessment of the stock status Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD10-17

Northeast Fisheries Science Center. 2008. Assessment of 19 Northeast Groundfish Stocks through 2007: Report of the 3rd Groundfish Assessment Review Meeting (GARM III), Northeast Fisheries Science Center, Woods Hole, Massachusetts, August 4-8, 2008. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 08-15; 884 p + xvii. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026. CRD08-15

OVERALL PERFORMANCE INDICATOR SCORE, UoA 1, GOM haddock: 100

OVERALL PERFORMANCE INDICATOR SCORE, UoA 2, GB haddock: 100

OVERALL PERFORMANCE INDICATOR SCORE, UoA 3, pollock: 100

OVERALL PERFORMANCE INDICATOR SCORE, UoA 4, Acadian redfish: 100

CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.1.1 – Primary species outcome The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. Scoring Issue SG 60 SG 80 SG 100 a Main primary species stock status Guide Main primary species are Main primary species are There is a high degree of post likely to be above the PRI highly likely to be above certainty that main primary the PRI species are above the PRI

and are fluctuating around

OR a level consistent with OR MSY.

If the species is below the PRI, the UoA has If the species is below the measures in place that are PRI, there is either expected to ensure that evidence of recovery or a the UoA does not hinder demonstrably effective recovery and rebuilding. strategy in place between all MSC UoAs which categorize this species as main, to ensure that they collectively do not hinder recovery and rebuilding. Met? GOM: GOM: GOM: Acadian redfish-Y Acadian redfish-Y Acadian redfish-Y Pollock-Y Pollock-Y Pollock-Y Haddock (GOM) -Y Haddock (GOM) -Y Haddock (GOM) -Y Monkfish-Y Monkfish-Y Monkfish-N White hake-Y White hake-Y White hake-N Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-N American plaice-Y American plaice-Y American plaice-N Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-N

GB: GB: GB: Haddock-Y Haddock-Y Haddock-Y Pollock-Y Pollock-Y Pollock-Y Acadian redfish-Y Acadian redfish-Y Acadian redfish-Y Winter skate-Y Winter skate-Y Winter skate-N Little skate-Y Little skate-Y Little skate-N Monkfish-Y Monkfish-Y Monkfish-N Winter flounder-Y Winter flounder-Y Winter flounder-N Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y Atlantic cod (GB)-N

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. Justifi The observed catch distribution tables for the large mesh trawl in GOM and on GB cation are provided in Table 13, Table 14, Table 15, and Table 16.

No seabirds were reported in the observer data as interacting with large mesh bottom trawl fishery either on Georges Bank or in the Gulf of Maine. However, it is noted by Powers (1983) that seabirds are found in both areas.

Gulf of Maine (GOM):

Acadian redfish, Pollock, and Haddock (GOM) are all P1 species, and the stock status of these species is described in the P1 scoring. All are highly likely to be above PRI, and therefore meets the SG80 level requirements. Monkfish- The Monkfish FMP defines two management areas for monkfish (northern and southern), divided roughly by an east-west line bisecting Georges Bank. As of 2013 data, monkfish in both management areas are not overfished and overfishing is not occurring (NEFSC 2013c). An operational assessment for monkfish was conducted in 2016, but it was recommended that stock status not be updated during this data update due to a lack of biological reference points (NEFSC 2015). Therefore monkfish is highly likely to be above PRI, and therefore meet the SG80 level requirements. White hake-Based on the 2015 operational assessment, the white hake stock is not overfished and overfishing is not occurring. The 2014 spawning stock biomass is estimated to be 28,553 mt, which is 88% of the biomass target (NEFSC 2015). The stock has not rebuilt as the projections from the last assessment indicated, due to the retrospective pattern in recruitment. Spawning stock biomass has shown a general increasing trend since 2005 (NEFSC 2015). Therefore the white hake stock is highly likely to be above PRI, and therefore meets the SG 80 requirements.

GOM cod- The GOM stock appears to be relatively distinct from the offshore cod stocks on the banks of the Scotian Shelf and Georges Bank based on tagging studies. GOM cod spawning stock biomass is estimated to have been just over 22,000 mt in 1982. After a period of decline in the 1980’s, SSB returned to roughly 20,000 mt in 1990 before decreasing again in the 1990’s. The use of separate assessment models (M=0.2 and M-ramp) in the last four assessments yield two estimates for SSB in recent years, though both indicate a sharp decline in SSB since 2010, when SSB was estimated at 8,638 mt and 10,645 mt (respectively). The stock remains low relative to historic levels and is subject to a formal stock rebuilding plan.

According to the NEFSC ecosystem scientists (https://www.nefsc.noaa.gov/groundfish/operational-assessments- 2017/docs/2017_Ecosystem_Considerations.pdf), both GOM and GB cod stocks are being impacted by ecosystem changes. Mean fall bottom temperatures have increased in the Gulf of Maine and on Georges Bank. This temperature increase is expected to have highly negative impacts on GB cod and GB haddock. Negative impacts are also expected for GOM cod, GOM haddock, and other species. Although fishing remains the dominant driver of population abundance for most stocks, there is increasing evidence that climate change and decadal variability affect fish and the impact of GB and GOM cod is estimated to be at the moderate level. Sea surface temperature (SST) has increased over the Northeast US Shelf. This increase is expected to have highly negative impacts on the stocks which have a high overall

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. climate vulnerability, and this includes negative impacts on GB and GOM cod. In recent years, warm thermal habitats have increased and cool thermal habitats have decreased. These changes are expected to have highly negative impacts on GB & GM cod, GB & GM haddock, pollock and Acadian redfish. Recent distribution changes show a general movement of species to the northeast and into deeper waters. This may have negative effects on GB & GM cod, GB & GM haddock, pollock and Acadian redfish. Experimental habitat modelling work indicates positive population trends for GB & GM haddock, American plaice, and Acadian redfish. Recent productivity analyses expressed as a ratio of small fish abundance to large fish biomass are highly positive for two stocks (GB haddock and GM winter flounder) and highly negative for eight stocks (GB & GM cod, all three yellowtail stocks, GB winter flounder, pollock and Acadian redfish).

The 2014 SSB estimates (M=0.2 and M-ramp models) are 2,225 mt and 2,536 mt (respectively), which are 6% and 4% (respectively) of the biomass target. The 2014 fully selected fishing mortality was estimated to be 0.956 and 0.932, which is 517% and 498% of the FMSY proxy (respectively) (NEFSC 2015). The 2016 SSB estimates (M=0.2 and M-ramp models) are 3,046 mt and 3262 mt (respectively), which are 8% and 5% (respectively) of the biomass target. The increase in the GOM cod stock abundance is demonstrated in the two figures presented below taken from the 2017 operational stock assessment update. The first figure is the estimated trends in the spawning stock biomass (SSB) of Gulf of Maine Atlantic cod between 1982 and 2016 from the current (solid line) and previous (dashed line) assessment and the corresponding SSBThreshold (1/2SSBMSY ; horizontal dashed line) as well as SSBTarget (SSBMSY ; horizontal dotted line) based on the 2017 M=0.2 (A) and M- ramp (B) assessment models. The 90% lognormal confidence intervals are shown. The red dot indicates the rho-adjusted SSB values that would have resulted had a retrospective adjustment been made to either model.

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI.

The second figure shows the indices of biomass for the Gulf of Maine Atlantic cod between 1963 and 2017 for the Northeast Fisheries Science Center (NEFSC) spring and fall bottom trawl surveys and Massachusetts Division of Marine Fisheries (MADMF) spring bottom trawl survey. The 90% lognormal confidence intervals are shown. These figures demonstrate that the GOM cod stock has increased in abundance in the last few years, and therefore shows evidence that the rebuilding plan is demonstrably effective.

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI.

The 2014 fully selected fishing mortality was estimated to be 0.228 and 0.237, which is 131% and 134% of the FMSY proxy (respectively) (NEFSC 2017). Based on the 2015 operational stock assessment the GOM cod stock was overfished and overfishing is occurring (NEFSC 2015). More recently, the 2017 operational stock assessment also concluded that the GOM cod stock remains overfished, and that overfishing in occurring. However this most recent assessment note increases in the SSB for the last three years, and substantial decreases in the fishing mortality were noted. The GOM cod stock is not above PRI, but there are measures (rebuilding plan) in place that in the FMP are expected to ensure that the UoA and other MSC UoAs does not hinder recovery and rebuilding. In fact all catch of GOM cod are include in the Total ACL for the species, and are accounted for in the stock rebuilding plan. The measures include seasonal (rolling) and permanent closed areas, prohibition on

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. recreational landings, mesh size regulations for commercial gear, and annual Total ACL accounting for all catches. As noted above the rebuilding plan is demonstrably effective as the stock abundance indices have been increasing for the last few years. According to the NEFMC FW Adjustment report (2017), the 2015 catch of GOM cod by the groundfish fishery (which includes the UoAs being evaluated here, the UoAs associated with the SAIG haddock, pollock and redfish MSC assessment, and all other participants in the groundfish fishery with any authorized gear is only 82.6% of the fishery ACL, and the total catch of GOM cod by all commercial and recreational fisheries was only 88.8% of the ACL. Therefore, the catches are consistent with the rebuilding plan. This rebuilding strategy and these measures were demonstrated to be effective and allow for the stock recovery of GOM haddock which was also collapsed or nearly collapsed in the late 1980s and 1990s, and is now 2.25 times greater than its Bmsy. Total fish biomass in the GOM is relatively unchanged (personal communication, R. Brown, NMFS, NEFSC) The MSC guidance states in Table GSA3 that "does not hinder" is to be interpreted as "not materially or significantly impeding recovery or rebuilding and relates to the potential impact of the UoA rather than an observed change in the absolute status of the component". The MSC guidance continues that" if there is a formally planned recovery, then the management of the UoA should be consistent with that plan, and should not prevent the planned recovery from being achieved in the intended timeframe. The guidance further states that "sometimes a species is depleted or otherwise experiencing very low productivity for reasons that are unrelated to the impacts of the UoA. Due to such factors, there is never a guarantee that a species will recover promptly, even in the absence of fishing. The key concern is thus whether or not the UoA would prevent a potential recovery. Hence it is appropriate to evaluate this component relative to the impact of the UoA on the species (or all MSC UoAs), but not necessarily require evidence that the status of the species is improving". In this case the total catches of the stock by all fisheries are below the level required in the rebuilding plan, and the stock abundance is improving, therefore the fisheries are not hindering the recovery. Therefore the GOM cod meets the SG 80 requirements, because there is a stock rebuilding plan, there is evidence that the plan is demonstrably effective as stock abundance is increasing, and all GOM cod catches by the MSC UoAs and others are accounted for in the plan. American plaice- In the Gulf of Maine and Georges Bank, the American plaice is not overfished and overfishing is not occurring (NEFSC 2015). The NEFMC adopted a revised rebuilding strategy through FW 51, which would rebuild the stock in 10 years with a 50 percent (median) probability of success by 2024 (NEFMC 2014). The retrospective adjusted spawning stock biomass in 2014 was estimated to be at 10,977 mt, which is 84% of the biomass target (NEFSC 2015). The American plaice stock is highly likely to be above PRI, meeting the SG 80 level requirements. Spiny dogfish- Spawning stock biomass of spiny dogfish declined rapidly in response to a directed fishery during the 1990’s. NFMS initially implemented management measures for spiny dogfish in 2001. These measures have been effective in reducing landings and fishing mortality. At the 2010 TRAC, managers agreed to determine stock status using the model from SAW 43 (2006) and NEFSC spring survey data through 2009. The stock is not presently overfished and overfishing is not occurring. NMFS declared the spiny dogfish stock rebuilt for the purposes of federal management in May 2010 (TRAC 2010). As of the 2015 update, the stock remains rebuilt, is not overfished, and overfishing is not occurring (NEFSC, 2015). The spiny dogfish stock is highly likely to be above PRI and therefore meet the SG80 level requirements.

Georges Bank (GB):

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI.

Haddock (GB), Pollock and Acadian redfish are all P1 species, and the stock status of these species is described in the P1 scoring. All are highly likely to be above PRI, and therefore meets the SG80 level requirements. Winter skate and little skate- NMFS implemented the Northeast Skate Complex Fishery Management Plan (Skate FMP) in September 2003. The FMP required both dealers and vessels to report skate landings by species. Framework Adjustment 2 modified the VTR and dealer reporting codes to further improve species specific landing reports. Possession prohibitions of barndoor, thorny, and smooth skates in the Gulf of Maine were also provisions of the FMP. The FMP implemented a trip limit of 10,000 lbs (4,536 kg) for winter skate, and required fishermen to obtain a Letter of Authorization to exceed trip limits for the little skate bait fishery. In 2010, Amendment 3 to the Skate FMP implemented a rebuilding plan for smooth skate and established an ACL and annual catch target for the skate complex, total allowable landings for the skate wing and bait fisheries, and seasonal quotas for the bait fishery. Possession limits were reduced, in-season possession limit triggers were implemented, as well as other measures to improve management of the skate fisheries. Due to insufficient information about the population dynamics of skates, there remains considerable uncertainty about the status of skate stocks. Based on NEFSC bottom trawl survey data through autumn 2015/spring 2016, one skate species remains overfished (thorny) and overfishing is not occurring in any of the seven skate species. Barndoor skate is considered to be rebuilt for the purposes of federal management as of August 2016. Recent skate landings have fluctuated between approximately 30 and 40 million pounds. The landings and catch limits proposed by Amendment 3 have an acceptable probability of promoting biomass growth and achieving the rebuilding (biomass) targets for thorny skates. According to the FW 56 report, modest reductions in landings and a stabilization of total catch below the median relative exploitation ratio should cause skate biomass and future yield to increase. The winter skate and little skate stocks are highly likely to be above PRI and therefore meet the SG80 level requirements. (NEFMC, 2017). Monkfish-The Monkfish FMP defines two management areas for monkfish (northern and southern), divided roughly by an east-west line bisecting Georges Bank. As of 2013 data, monkfish in both management areas are not overfished and overfishing is not occurring (NEFSC 2013c). An operational assessment for monkfish was conducted in 2016, but it was recommended that stock status not be updated during this data update due to a lack of biological reference points (NEFSC 2015). Therefore monkfish is highly likely to be above PRI and therefore meet the SG80 level requirements. Winter flounder- Based on the 2015 operational assessment, the Georges Bank winter flounder stock is overfished and overfishing is occurring (NEFSC 2015). This was a change from the 2014 assessment in which the stock was not overfished and overfishing was not occurring, due to a worsening of the retrospective error associated with fishing mortality and SSB (NEFSC 2014). The retrospective adjusted spawning stock biomass in 2014 was estimated to be 2,883 mt, which is 43% of SSBMSY. The 2014 fully selected fishing mortality was estimated to be 0.778, which is 145% of the FMSY proxy (NEFSC 2015). The Georges Bank winter flounder stock rebuilding plan is in year 7 of a 7-year plan. The GB winter flounder stock is not above PRI, but there are measures in place that in the FMP are expected to ensure that the UoA and other MSC UoAs do not hinder recovery and rebuilding. In fact all catch of GB winter flounder are include in the Total ACL for the species, and are accounted for in the stock rebuilding plan. The measures include seasonal (rolling) and permanent closed areas, prohibition on recreational landings, mesh size regulations for commercial gear, and annual Total ACL accounting for all catches. According to the NEFMC FW Adjustment report (2017), the 2015 catch of GB winter flounder by the groundfish fishery including the UoA being evaluated here, the SAIG MSC certified haddock, pollock and redfish fishery UoAs, and any other participants in the

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. groundfish fishery with any authorized gear is only 45.9% of the fishery ACL, and the total catch of GB winter flounder in all fisheries both commercial and recreational was only 45.4% of the ACL. Therefore, the catches are consistent with the rebuilding plan. This rebuilding strategy and these measures were demonstrated to be effective and allow for the stock recovery of GB haddock which was also collapsed or nearly collapsed in the late 1980s and 1990s (personal communication, R. Brown, NMFS, NEFSC) The MSC guidance states in Table GSA3 that "does not hinder" is to be interpreted as "not materially or significantly impeding recovery or rebuilding and relates to the potential impact of the UoA rather than an observed change in the absolute status of the component". The guidance continues that" if there is a formally planned recovery, then the management of the UoA should be consistent with that plan, and should not prevent the planned recovery from being achieved in the intended timeframe. The guidance further states that "sometimes a species is depleted or otherwise experiencing very low productivity for reasons that are unrelated to the impacts of the UoA. Due to such factors, there is never a guarantee that a species will recover promptly, even in the absence of fishing. The key concern is thus whether or not the UoA would prevent a potential recovery. Hence it is appropriate to evaluate this component relative to the impact of the UoA on the species (or all MSC UoAs), but not necessarily require evidence that the status of the species is improving". In this case the total catches of the stock by all fisheries are below the level required in the rebuilding plan, the fisheries are not hindering the recovery. Therefore the GB winter flounder meets the SG 80 requirements, because there is a stock rebuilding plan, and all GB winter flounder catches by the MSC UoAs and others are accounted for in the plan. Spiny dogfish- Spawning stock biomass of spiny dogfish declined rapidly in response to a directed fishery during the 1990’s. NFMS initially implemented management measures for spiny dogfish in 2001. These measures have been effective in reducing landings and fishing mortality. At the 2010 TRAC, managers agreed to determine stock status using the model from SAW 43 (2006) and NEFSC spring survey data through 2009. The stock is not presently overfished and overfishing is not occurring. NMFS declared the spiny dogfish stock rebuilt for the purposes of federal management in May 2010 (TRAC 2010). As of the 2015 update, the stock remains rebuilt, is not overfished, and overfishing is not occurring (NEFSC, 2015). The spiny dogfish stock is highly likely to be above PRI and therefore meet the SG80 level requirements.

GB cod is a transboundary stock co-managed by the U.S. and Canada. According to the NEFSC ecosystem scientists (https://www.nefsc.noaa.gov/groundfish/operational-assessments- 2017/docs/2017_Ecosystem_Considerations.pdf), both GOM and GB cod stocks are being impacted by ecosystem changes. Mean fall bottom temperatures have increased in the Gulf of Maine and on Georges Bank. This temperature increase is expected to have highly negative impacts on GB cod and GB haddock. Negative impacts are also expected for GOM cod, GOM haddock, and other species. Although fishing remains the dominant driver of population abundance for most stocks, there is increasing evidence that climate change and decadal variability affect fish and the impact of GB and GOM cod is estimated to be at the moderate level. Sea surface temperature (SST) has increased over the Northeast US Shelf. This increase is expected to have highly negative impacts on the stocks which have a high overall climate vulnerability, and this includes negative impacts on GB and GOM cod. In recent years, warm thermal habitats have increased and cool thermal habitats have decreased. These changes are expected to have highly negative impacts on GB & GM cod, GB & GM haddock, pollock and Acadian redfish. Recent distribution changes show a general movement of species to the northeast and into deeper waters. This may have negative effects on GB & GM cod, GB & GM haddock, pollock and Acadian redfish. Experimental habitat modeling work indicates positive

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. population trends for GB & GM haddock, American plaice, and Acadian redfish. Recent productivity analyses expressed as a ratio of small fish abundance to large fish biomass are highly positive for two stocks (GB haddock and GM winter flounder) and highly negative for eight stocks (GB & GM cod, all three yellowtail stocks, GB winter flounder, pollock and Acadian redfish). The GB cod stock underwent a benchmark assessment in 2012, which indicated that the stock is overfished and overfishing is occurring. The 2015 peer review concluded that the GB cod model was not acceptable as a scientific basis for catch advice, and that stock status and catch advice should be based an alternative approach. The update to the ASAP model was rejected, not the underlying benchmark formulation from SAW 55. Because a stock assessment model framework is lacking, no historical estimates of biomass, fishing mortality rate, or recruitment can be calculated. Status determination relative to reference points is not possible because reference points cannot be defined. Overfishing status is considered unknown and the peer review concluded that evidence suggests that this stock should still be considered overfished (NEFSC 2015). More recently in 2017, the NEFSC released a operation stock assessment update (NEFSC 2017) of all ground species. For GB cod, stock status cannot be quantitatively determined due to a lack of biological reference points associated with the PlanB smooth approach but was recommended to be overfished due to poor stock condition, while recommended overfishing status is unknown. Retrospective adjustments were not made to the model results. The survey biomass in 2017 (the arithmetic average of the 2017 NEFSC spring and 2016 NEFSC fall surveys smoothed using a loess) was estimated to be 7.237 (kg/tow). The increase in the GB cod stock abundance is demonstrated in the two figures shown below taken from the 2017 operational stock assessment update.. The first figure is the trend in smoothed survey biomass (kg/tow) of Georges Bank Atlantic cod between 1985 and 2017 from the current (solid line) and previous (dashed line) assessment based on the 2017 assessment. The approximate 90% lognormal confidence intervals are also shown.

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI.

The second figure shows the indices of biomass for the Georges Bank Atlantic cod between 1963 and 2017 for the Northeast Fisheries Science Center (NEFSC) spring and fall trawl surveys.

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI.

The 2016 relative exploitation rate (2016 catch divided by 2016 smoothed survey biomass) was estimated to be 0.174. However, it must be noted that the biomass estimate for GB cod has increased in the last three years, and in 2016 was double the value in 2014. Additionally the relative exploitation rate has decreased in the last three years, and is now less than half the value in 2014. The GB cod stock is not above PRI, but there are measures in place that in the FMP are expected to ensure that the UoA and other MSC UoAs do not hinder recovery and rebuilding. In fact, all catch of GB cod are include in the Total ACL for the species, and are accounted for in the stock rebuilding plan. The measures include seasonal (rolling) and permanent closed areas, prohibition on recreational landings, mesh size regulations for commercial gear, and annual Total ACL accounting for all catches. As noted above there is evidence that the rebuilding plan is demonstrably effective as the stock abundance indices have been increasing for the last few years. According to the NEFMC FW Adjustment report (2017), the 2015 catch of GB cod by the groundfish fishery including the four UoAs being evaluated in this assessment,

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. the SAIG MSC certified haddock, pollock and redfish trawl fishery, and any other groundfish fishery participants with authorized gears is only 91.6% of the fishery ACL, and the total catch of GB cod including all commercial and recreational fisheries was only 97.3% of the ACL. Therefore, the catches are consistent with the rebuilding plan. This rebuilding strategy and these measures were demonstrated to be effective and allow for the stock recovery of GB haddock which was also collapsed or nearly collapsed in the late 1970s, 1980s and 1990s, and now SSB is 1.4 times Bmsy. The total fish biomass on GB is relatively unchanged in the last three decades (personal communication, R. Brown, NMFS, NEFSC). The MSC guidance states in Table GSA3 that "does not hinder" is to be interpreted as "not materially or significantly impeding recovery or rebuilding and relates to the potential impact of the UoA rather than an observed change in the absolute status of the component". The guidance continues that" if there is a formally planned recovery, then the management of the UoA should be consistent with that plan, and should not prevent the planned recovery from being achieved in the intended timeframe. The guidance further states that "sometimes a species is depleted or otherwise experiencing very low productivity for reasons that are unrelated to the impacts of the UoA. Due to such factors, there is never a guarantee that a species will recover promptly, even in the absence of fishing. The key concern is thus whether or not the UoA would prevent a potential recovery. Hence it is appropriate to evaluate this component relative to the impact of the UoA on the species (or all MSC UoAs), but not necessarily require evidence that the status of the species is improving". In this case the total catches of the stock by all fisheries are below the level required in the rebuilding plan, and the stock abundance is improving, therefore the fisheries are not hindering the recovery. Therefore the GB cod meets the SG 80 requirements, because there is a stock rebuilding plan, there is evidence that the plan is demonstrably effective as the stock has been increasing in the last few years, and all GB cod catches by the MSC UoAs and others are accounted for in the plan. The SG80 requirements are met for all main, primary species in the GOM and GB as they are either highly likely to be above the PRI, or if the species is below the PRI, there is either evidence of recovery or a demonstrably effective strategy in place between all MSC UoAs which categorize this species as main, to ensure that they collectively do not hinder recovery and rebuilding. The SG 100 requirements are only met for any primary main species that are also P1 species, all other primary main species do not meet the SG100 level requirement as there is no evidence with a high degree of certainty that these species are both above the PRI and are fluctuating around a level consistent with MSY. b Minor primary species stock status Guide Minor primary species are post highly likely to be above the PRI

OR

If below the PRI, there is evidence that the UoA does not hinder the recovery and rebuilding of minor primary species Met? GOM:

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI.

American lobster-Y Yellowtail flounder-Y Winter skate-Y Barndoor skate-Y Thorny skate-Y Little skate-Y Smooth skate-Y Silver hake-Y Winter flounder-Y Red hake-Y Windowpane flounder-Y Atlantic halibut-Y Sea scallop-Y Atlantic wolffish-Y Atlantic herring-Y

GB: Barndoor skate-Y American plaice-Y White hake-Y American lobster-Y Silver hake-Y Loligo squid-Y Atlantic mackerel-Y Summer flounder-Y Butterfish-Y Smooth skate-Y Thorny skate-Y Windowpane flounder-Y Red hake-Y Illex squid-Y Sea scallop-Y Ocean pout-Y

Justifi The observed catch distribution tables for the large mesh trawl in GOM and on GB cation are provided in Tables 3.4.1, 3.4.2, 3.4.3 and 3.4.4. Minor species are indicated as those species in the catch at less than 5.0%, but greater than 0.1%. The lower level

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US Maine haddock, pollock and redfish The UoA aims to maintain primary species above the PRI and does not hinder PI 2.1.1 recovery of primary species if they are below the PRI. of percent in the catch has been selected to maintain the list of minor species at a manageable level.

There are 15 and 16 primary minor species identified for the GOM and GB stock and gear areas, respectively. The stock status for these species are described in section 3.4 of this report. In the Gulf of Maine, only thorny skate is not highly likely to be above PRI, however for this fish stock there is evidence that the UoA does not hinder the recovery and rebuilding of the species, as there are measures in place that prohibit the landing of these species, and the catches of the these species are accounted in the TACs for the species, and are used in the assessments for these species. On Georges Bank, only thorny skate and windowpane flounder are not highly likely to be above PRI, however for these fish stocks there is evidence that the UoA does not hinder the recovery and rebuilding of these minor primary species, as there are measures in place that prohibit the landing of some of these species, and the catches of the these species are accounted in the TACs for the species, and are used in the assessments for these species.

The SG 100 requirements are met as the primary, minor primary species are either highly likely to be above the PRI, or if below the PRI, there is evidence that the UoA does not hinder the recovery and rebuilding of these minor primary species.

Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-24; 251p.

Northeast Fisheries Science Center. 2017. Operational Assessment of 19 Northeast Groundfish Stocks, Updated Through 2016. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 17-17; 259 p. Available from: National References Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http://www.nefsc.noaa.gov/publications/

New England Fishery Management Council. 2017. Framework Adjustment 56 to the Northeast multispecies FMP. 308p.

GOM ELEMENT PERFORMANCE INDICATOR SCORE: 90 GB ELEMENT PERFORMANCE INDICATOR SCORE: 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 90 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.1.2 – Primary species management strategy There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch. Scoring Issue SG 60 SG 80 SG 100 a Management strategy in place Guide There are measures in There is a partial strategy There is a strategy in place post place for the UoA, if in place for the UoA, if for the UoA for managing necessary, that are necessary, that is main and minor primary expected to maintain or to expected to maintain or to species. not hinder rebuilding of the not hinder rebuilding of the main primary species at/to main primary species at/to levels which are likely to levels which are highly above the point where likely to be above the point recruitment would be where recruitment would impaired. be impaired. Met? GOM: GOM: Main GOM: Monkfish-Y Monkfish-Y Monkfish-Y White hake-Y White hake-Y White hake-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y American plaice-Y American plaice-Y American plaice-Y Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-Y

GB: GB: Main GB: Haddock-Y Haddock-Y Haddock-Y Pollock-Y Pollock-Y Pollock-Y Acadian redfish-Y Acadian redfish-Y Acadian redfish-Y Winter skate-Y Winter skate-Y Winter skate-Y Little skate-Y Little skate-Y Little skate-Y Monkfish-Y Monkfish-Y Monkfish-Y Winter flounder-Y Winter flounder-Y Winter flounder-Y Spiny dogfish-Y Spiny dogfish-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y Minor GOM: American lobster-Y Yellowtail flounder-Y Winter skate-Y Barndoor skate-Y Thorny skate-Y Little skate-Y Smooth skate-Y Silver hake-Y

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch.

Winter flounder-Y Red hake-Y Windowpane flounder-Y Atlantic halibut-Y Sea scallop-Y Atlantic wolffish-Y Atlantic herring-Y

Minor GB: Barndoor skate-Y American plaice-Y White hake-Y American lobster-Y Silver hake-Y Loligo squid-Y Atlantic mackerel-Y Summer flounder-Y Butterfish-Y Smooth skate-Y Thorny skate-Y Windowpane flounder-Y Red hake-Y Illex squid-Y Sea scallop-Y Ocean pout-Y Justifi MSC defines a “strategy” represents a cohesive and strategic arrangement which cation may comprise one or more measures, an understanding of how it/they work to achieve an outcome and which should be designed to manage impact on that component specifically. A strategy needs to be appropriate to the scale, intensity and cultural context of the fishery and should contain mechanisms for the modification fishing practices in the light of the identification of unacceptable impacts. The National Marine Fisheries Service (NMFS) and the New England Fishery Management Council (NEFMC) have in place Fishery Management Plans (FMPs) for all the above listed main and minor primary species. The FMPs include a system of Annual Catch Limits (ACL) and Accountability measures (AMs) consistent with the requirements for the Magnusson-Stevens Act, and these are designed to ensure that catches remain below specified targets for each stock. The National Standard Guidelines provide advisory guidance for the implementation of these requirements. AMs are management controls to prevent the ACLs form being exceeded, and to correct or mitigate overages of the ACL if they occur. AMs should address and

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch. minimize the both the frequency and magnitude of overages and correct the problems that caused the overages. Additionally, there is the requirement to develop stock rebuilding plans for any stock that is determined to be overfished, and there are annual reviews of the status of stock rebuilding. Therefore, there exists a strategy for managing all main and minor primary species, that is expected to maintain or to not hinder rebuilding of the main and minor primary species at/to levels which are highly likely to be above the point where recruitment would be impaired. This meets the requirements of the SG 80 and 100 levels for this SI. b Management strategy evaluation Guide The measures are There is some objective Testing supports high post considered likely to work, basis for confidence that confidence that the partial based on plausible the measures/partial strategy/strategy will work, argument (e.g., general strategy will work, based based on information experience, theory or on some information directly about the fishery comparison with similar directly about the fishery and/or species involved. fisheries/species). and/or species involved. Met? GOM: GOM: GOM: Acadian redfish-Y Acadian redfish-Y Acadian redfish-N Pollock-Y Pollock-Y Pollock-N Haddock (GOM) -Y Haddock (GOM) -Y Haddock (GOM) -N Monkfish-Y Monkfish-Y Monkfish-N White hake-Y White hake-Y White hake-N Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-N American plaice-Y American plaice-Y American plaice-N Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-N

GB: GB: GB: Haddock-Y Haddock-Y Haddock-N Pollock-Y Pollock-Y Pollock-N Acadian redfish-Y Acadian redfish-Y Acadian redfish-N Winter skate-Y Winter skate-Y Winter skate-N Little skate-Y Little skate-Y Little skate-N Monkfish-Y Monkfish-Y Monkfish-N Winter flounder-Y Winter flounder-Y Winter flounder-N Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y Atlantic cod (GB)-N

Justifi Management strategy evaluation. For the main primary species in the GOM and on cation GB, based on the information presented in the justifications for PI 2.1.1, SI a, and PI 2.1.2 SI a, there is some objective basis for confidence that the measures/strategy

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch. are working or will work, based on some information (stock assessments, stock rebuilding plans, amendments f=to FMPs) directly about the fishery and/or species involved, therefore there fishery meets the SG80 requirements. However, with regard to the SG100 requirements, for the main primary species in the GOM and on GB, there is not adequate testing that supports high confidence that the strategy will work for the main primary species, based on information directly about the fishery and/or species involved, therefore the fishery does not meet the SG100 level requirements. c Management strategy implementation Guide There is some evidence There is clear evidence post that the measures/partial that the partial strategy is being strategy/strategy is being implemented successfully. implemented successfully and is achieving its overall objective as set out in scoring issue (a). Met? GOM: GOM: Acadian redfish-Y Acadian redfish-Y Pollock-Y Pollock-Y Haddock (GOM) -Y Haddock (GOM) -Y Monkfish-Y Monkfish-Y White hake-Y White hake-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-N American plaice-Y American plaice-Y Spiny dogfish-Y Spiny dogfish-Y

GB: GB: Haddock-Y Haddock-Y Pollock-Y Pollock-Y Acadian redfish-Y Acadian redfish-Y Winter skate-Y Winter skate-Y Little skate-Y Little skate-Y Monkfish-Y Monkfish-Y Winter flounder-Y Winter flounder-Y Spiny dogfish-Y Spiny dogfish-Y Atlantic cod (GB)-Y Atlantic cod (GB)-N

Justifi As described in the justification to SIs a and b, there is some evidence that the cation strategy is being implemented successfully for the primary main species, as all these species are either above PRI, or it is demonstrated that the fishery is not hindering the recovery or stock rebuilding of a particular stock. There is also clear evidence (stock status as summarized in operational assessments, NEFSC 2015) that the strategy is being implemented successfully and is achieving its overall objective as

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch. set out in SI a for all primary main species with the exception of GOM and GB cod. The stock rebuilding program for those stocks while in effect, is not demonstrating success as yet.

Therefore, the fishery meets the SG80 and 100 level requirements for all primary main species, with the exception of GOM and GB cod that only meet the SG 80 level requirements. d Shark finning Guide It is likely that shark finning It is highly likely that shark There is a high degree of post is not taking place. finning is not taking place. certainty that shark finning is not taking place. Met? GOM Spiny dogfish- Y GOM Spiny dogfish- Y GOM Spiny dogfish- Y GB Spiny dogfish-Y GB Spiny dogfish-Y GB Spiny dogfish-Y Justifi Spiny dogfish is a shark species that is a main primary species in both the GOM and cation on GB. There is a high degree of certainty that shark finning does not take place in the large mesh bottom trawl fishery in the GOM and on GB, as the finning and landing of dogfish fins was prohibited by the Atlantic States Marine Fisheries commission (ASMFC) in May of 2015. The requirements of the SG, 60, 80 and 100 levels are met.

e Review of alternative measures Guide There is a review of the There is a regular review There is a biennial review post potential effectiveness and of the potential of the potential practicality of alternative effectiveness and effectiveness and measures to minimize practicality of alternative practicality of alternative UoA-related mortality of measures to minimize measures to minimize unwanted catch of main UoA-related mortality of UoA-related mortality of primary species. unwanted catch of main unwanted catch of all primary species and they primary species, and they are implemented as are implemented, as appropriate. appropriate. Met? GOM: GOM: GOM: Acadian redfish-Y Acadian redfish-Y Acadian redfish-Y Pollock-Y Pollock-Y Pollock-Y Haddock (GOM) -Y Haddock (GOM) -Y Haddock (GOM) -Y Monkfish-Y Monkfish-Y Monkfish-Y White hake-Y White hake-Y White hake-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y American plaice-Y American plaice-Y American plaice-Y Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-Y

GB: GB: GB:

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch.

Haddock-Y Haddock-Y Haddock-Y Pollock-Y Pollock-Y Pollock-Y Acadian redfish-Y Acadian redfish-Y Acadian redfish-Y Winter skate-Y Winter skate-Y Winter skate-Y Little skate-Y Little skate-Y Little skate-Y Monkfish-Y Monkfish-Y Monkfish-Y Winter flounder-Y Winter flounder-Y Winter flounder-Y Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y

Minor GOM: American lobster-Y Yellowtail flounder-Y Winter skate-Y Barndoor skate-Y Thorny skate-Y Little skate-Y Smooth skate-Y Silver hake-Y Winter flounder-Y Red hake-Y Windowpane flounder-Y Atlantic halibut-Y Sea scallop-Y Atlantic wolffish-Y Atlantic herring-Y

Minor GB: Barndoor skate-Y American plaice-Y White hake-Y American lobster-Y Silver hake-Y Loligo squid-Y Atlantic mackerel-Y Summer flounder-Y

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch.

Butterfish-Y Smooth skate-Y Thorny skate-Y Windowpane flounder-Y Red hake-Y Illex squid-Y Sea scallop-Y Ocean pout-Y Justifi The GOM large mesh bottom trawl fishery has an average 22% discard rate and the cation GB fishery has an average 55% discard rate. Clearly, there is unwanted catch of primary and secondary species, and both the NMFS and the fishery participants (UoA) are actively working to reduce discarding, by developing more selective fishing practices including minimum mesh size and shape regulations, separator trawls and voluntary avoidance of areas with unwanted species. The US fishery management system has been described in detail in the justification of PI1.2.1 SIa of this assessment report. It is a participatory approach between government and stakeholders, and that includes commercial fishermen, in this case we are referring to the UoA, participants in the "large mesh otter trawl fishery on Georges Bank and in the Gulf of Maine". This participatory management process was mandated in initial authorization of the Magnuson-Stevens Fishery Conservation and Management (MSFCMA) in 1976, the reauthorization of the act of 2006 that allowed for sectors, and in subsequent regulations in 2009 regarding the national standards. On the regional level, this includes the regional fishery management council, in this case the New England Fishery Management Council (NEFMC) which is made up for representatives of stakeholder groups including commercial fishermen, and it is supported the National Marine Fisheries Service, Northeast Fisheries Science Center (NMFS NEFSC) and the Science and Statistics Committee (SSC) made of scientists and representatives of the fishing industry, and numerous Advisory Panels (APs) that are usually made up of individuals with experience in the mandate of the panel (usually related for specific fisheries, or management plans, or technical issues, and commercial fishermen actively participant in these panels). The use of Sectors, which are allocated subdivisions of ACLs called Annual Catch Entitlements (ACE) based on each sector’s collective catch history. Sectors are incorporated entities that must have operations plans approved by NMFS. Sectors determine their own membership rules and allocation procedures, although all sectors have distributed the overall sector allocation in proportion to the allocation of each member permit. Should a sector approach the ACE for a target or bycatch stocks, then the area inhabited by that stock is closed to all gears capable of catching that stock, resulting in a potential ‘under-harvest’ of more abundant stocks. The sector system allows fishermen to share, trade or lease quota within a fishery, reducing the chance of overfishing depleted stocks while targeting more abundant stocks; and if a sector is nearing its quota for a particular species, it may be possible to lease it from another sector. This is a particularly useful management regime in the rebuilding of depleted stocks. According to the fishery management regulations, the SSC must annually review the most recent science with regard to status of managed species, then consider recent landings and observer data from specific managed fisheries, and based on all this makes recommendations for the next year's Total Allowable Catch (TAC) and Total Allowable Landings (TAL). These recommendation are then provided to the council for implementation. The SSC also develops research priorities for the NEFMC based

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch. on input from the APs . These research priorities address improving stock assessments, reducing habitat impact, and reducing mortality of unwanted catch including non-target and protected species. These research priorities are the basis for annual funding solicitations of cooperative research by the NMFS SK program and the BREP, bycatch reduction programs. These priorities are also considered in ranking proposals to address current issues in fisheries science and management, by managed stock unit and by fishery. Cooperative research in the US by definition includes the fishing industry, and cooperative research related to the large mesh trawl fishery (UoA) in the Gulf of Maine and on Georges Bank includes the fishery (UoA). Past cooperative research projects have included selection by mesh size and shape for various species, separator trawls to sort species in the trawl mouth, and ahead of the cod end, and the use of time and space closures to reduce bycatch of selected species. Some projects are successful and are adopted into management, others are not successful to are not practical or are too costly to implement. The NEFSC has sponsored much of this research, and NMFS has implemented the most effective measures into "on the water" regulations, and the effectiveness of these measures are monitored by "at sea observers" and enforced by the US Coast Guard. Additionally, the NMFS regularly publishes a Bycatch Report, and in updated at least bi-annually, based on analysis is observer coverage of all US fisheries (NMFS 2011, 2012, and 2016). In scoring this SI, the assessment team considered the process of reviewing mortality of unwanted catch to be an annual event, in which the fishery (UoA) is an integral part as part of the participatory management process. The team was provided examples of recent cooperative research using modified trawls to reduce bycatch, and of other activities in which the fishery participated in the development of and which have been implemented into regulation. While these modified trawls do reduce bycatch, thy only work successfully during particular seasons and in particular fishing areas. Therefore they cannot be implemented universally due to the financial impact they would have on this mixed species fishery. The fishery continues to work to minimize bycatch, especially of cod through the sector management regime, but at this time there is nothing particular they can do other than following current NMFS regulations that allows limited catches of cod in accordance with the rebuilding plan. This was noted in PI2.1.1 SIa that fishing industry catches of cod are less than the current TAC/TAL, and that the stocks are showing signs of slowing increasing in abundance. Therefore the fishery meets the requirements of the SG 60, 80 and 100 levels for all primary species.

ASMFC. 2015. Ban on dogfish finning http://www.asmfc.org/uploads/file/5453e97apr44SpinyDogfishAddendumVApproval. pdf Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// References www.nefsc.noaa.gov/publications/ NMFS. 2011. U.S. national bycatch report (W. A. Karp, L. L. Desfosse, S. G. Brooke, editors). U.S. Dep. Commer., NOAA Tech Memo NMFS-F/SPO-117E, 508 p. Available online at: http://www.nmfs.noaa.gov/by_catch/bycatch_nationalreport.htm

NMFS. 2012. U.S. National Bycatch Report First Edition Update 1 [L. R. Benaka, C. Rilling, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 57 p.

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to maintain or to not hinder PI 2.1.2 rebuilding of primary species, and the UoA regularly reviews and implements measures, as appropriate, to minimize the mortality of unwanted catch.

Available online at: http://www.st.nmfs.noaa.gov/observer-home/first-edition- update-1

NMFS. 2016. U.S. National Bycatch Report First Edition Update 2 [L. R. Benaka, D. Bullock, J. Davis, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 90 p. Online edition: http://www.st.nmfs.noaa.gov/observer-home/first-edition-update-2. GOM ELEMENT PERFORMANCE INDICATOR SCORE: 95 GB ELEMENT PERFORMANCE INDICATOR SCORE: 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 95 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.1.3 – Primary species information Information on the nature and extent of primary species is adequate to PI 2.1.3 determine the risk posed by the UoA and the effectiveness of the strategy to manage primary species Scoring Issue SG 60 SG 80 SG 100 a Information adequacy for assessment of impact on main primary species Guide Qualitative information is Some quantitative Quantitative information is post adequate to estimate the information is available available and is adequate impact of the UoA on the and is adequate to assess to assess with a high main primary species with the impact of the UoA on degree of certainty the respect to status. the main primary species impact of the UoA on main with respect to status. primary species with

respect to status.

OR OR

If RBF is used to score PI 2.1.1 for the UoA: If RBF is used to score PI 2.1.1 for the UoA: Qualitative information is adequate to estimate Some quantitative productivity and information is adequate to susceptibility attributes for assess productivity and main primary species. susceptibility attributes for main primary species. Met? GOM: GOM: GOM: Acadian redfish-Y Acadian redfish-Y Acadian redfish-Y Pollock-Y Pollock-Y Pollock-Y Haddock (GOM) -Y Haddock (GOM) -Y Haddock (GOM) -Y Monkfish-Y Monkfish-Y Monkfish-Y White hake-Y White hake-Y White hake-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y American plaice-Y American plaice-Y American plaice-Y Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-Y

GB: GB: GB: Haddock-Y Haddock-Y Haddock-Y Pollock-Y Pollock-Y Pollock-Y Acadian redfish-Y Acadian redfish-Y Acadian redfish-Y Winter skate-Y Winter skate-Y Winter skate-Y Little skate-Y Little skate-Y Little skate-Y Monkfish-Y Monkfish-Y Monkfish-Y Winter flounder-Y Winter flounder-Y Winter flounder-Y Spiny dogfish-Y Spiny dogfish-Y Spiny dogfish-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y

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US Maine haddock, pollock and redfish Information on the nature and extent of primary species is adequate to PI 2.1.3 determine the risk posed by the UoA and the effectiveness of the strategy to manage primary species

Justifi The NMFS NEFSC observer program collects at-sea catch data for the large mesh cation trawl fishery in the GOM and on GB, and the coverage rate is greater than 20%. The landings data for the fishery and for all fisheries that take the primary main species, is collected by the NMFS, and includes Vessel Trip Reports (VTR) and dockside dealer reports. These data are compared and evaluated by NMFS to accurately characterize the total landings of all commercial fisheries, and are used in the stock assessments. Given the multiple sources of data collection and internal verification, quantitative information is available and is adequate to assess with a high degree of certainty the impact of the UoA on main primary species with respect to status. These data are used in NEFSC stock assessments (NEFSC. 2015). Therefore, the fishery meets the SG 60, 80 and 100 level requirements for all primary main species. b Information adequacy for assessment of impact on minor primary species Guide Some quantitative post information is adequate to estimate the impact of the UoA on minor primary species with respect to status. Met? Minor GOM: American lobster-Y Yellowtail flounder-Y Winter skate-Y Barndoor skate-Y Thorny skate-Y Little skate-Y Smooth skate-Y Silver hake-Y Winter flounder-Y Red hake-Y Windowpane flounder-Y Atlantic halibut-Y Sea scallop-Y Atlantic wolffish-Y Atlantic herring-Y

Minor GB: Barndoor skate-Y American plaice-Y White hake-Y

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US Maine haddock, pollock and redfish Information on the nature and extent of primary species is adequate to PI 2.1.3 determine the risk posed by the UoA and the effectiveness of the strategy to manage primary species

American lobster-Y Silver hake-Y Loligo squid-Y Atlantic mackerel-Y Summer flounder-Y Butterfish-Y Smooth skate-Y Thorny skate-Y Windowpane flounder-Y Red hake-Y Illex squid-Y Sea scallop-Y Ocean pout-Y Justifi As noted for SI a, the NMFS NEFSC observer program collects at-sea catch data for cation the large mesh trawl fishery in the GOM and on GB, and the coverage rate is greater than 20%. The landings data for the fishery and for all fisheries that take the primary main species, is collected by the NMFS, and includes Vessel Trip Reports (VTR) and dockside dealer reports. These data are compared and evaluated by NMFS to accurately characterize the total landings of all commercial fisheries, and are used in the stock assessments. Given the multiple sources of data collection and internal verification, some quantitative information is available and is adequate to assess the impact of the UoA on minor primary species with respect to status. Therefore the fishery meets the SG 100 level requirements for all primary minor species. c Information adequacy for management strategy Guide Information is adequate to Information is adequate to Information is adequate to post support measures to support a partial strategy support a strategy to manage main primary to manage main Primary manage all primary species. species. species, and evaluate with a high degree of certainty whether the strategy is achieving its objective. Met? GOM: GOM: Minor GOM: Acadian redfish-Y Acadian redfish-Y American lobster-Y Pollock-Y Pollock-Y Yellowtail flounder-Y Haddock (GOM) -Y Haddock (GOM) -Y Winter skate-Y Monkfish-Y Monkfish-Y Barndoor skate-Y White hake-Y White hake-Y Thorny skate-Y Atlantic cod (GOM)-Y Atlantic cod (GOM)-Y Little skate-Y American plaice-Y American plaice-Y Smooth skate-Y Spiny dogfish-Y Spiny dogfish-Y Silver hake-Y

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US Maine haddock, pollock and redfish Information on the nature and extent of primary species is adequate to PI 2.1.3 determine the risk posed by the UoA and the effectiveness of the strategy to manage primary species

Winter flounder-Y GB: GB: Red hake-Y Haddock-Y Haddock-Y Windowpane flounder-Y Pollock-Y Pollock-Y Atlantic halibut-Y Acadian redfish-Y Acadian redfish-Y Sea scallop-Y Winter skate-Y Winter skate-Y Atlantic wolffish-Y Little skate-Y Little skate-Y Atlantic herring-Y Monkfish-Y Monkfish-Y Winter flounder-Y Winter flounder-Y Minor GB: Spiny dogfish-Y Spiny dogfish-Y Barndoor skate-Y Atlantic cod (GB)-Y Atlantic cod (GB)-Y American plaice-Y White hake-Y American lobster-Y Silver hake-Y Loligo squid-Y Atlantic mackerel-Y Summer flounder-Y Butterfish-Y Smooth skate-Y Thorny skate-Y Windowpane flounder-Y Red hake-Y Illex squid-Y Sea scallop-Y Ocean pout-Y

Justifi As described in the justifications to SIs a and b for this PI, there is clearly adequate cation information to support a strategy to manage all primary species, and evaluate with a high degree of certainty whether the strategy is achieving its objective. In addition to the fishery dependent data described in previous justifications, there is also the fishery independent data collect program conducted by the NMFSA NEFSC that includes multiple long term scientific trawl surveys that track species relative abundance, and provide biological samples for analysis of growth and maturity, stock structure, patterns of recruitment, etc. These data when used in stock assessment models along with the fishery dependent catch data provide information on stock status that can be compared to reference points and used in management to regulate catch as required, so as to maintain fish stocks at BMSY levels. Therefore, the fishery meets the SG 60, 80 and 100 levels for all primary main and minor species.

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US Maine haddock, pollock and redfish Information on the nature and extent of primary species is adequate to PI 2.1.3 determine the risk posed by the UoA and the effectiveness of the strategy to manage primary species

Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci References Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/ GOM ELEMENT PERFORMANCE INDICATOR SCORE: 100 GB ELEMENT PERFORMANCE INDICATOR SCORE: 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 100 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.2.1 – Secondary species outcome The UoA aims to maintain secondary species above a biologically based limit PI 2.2.1 and does not hinder recovery of secondary species if they are below a biological based limit. Scoring Issue SG 60 SG 80 SG 100 a Main secondary species stock status Guide Main Secondary species Main secondary species There is a high degree of post are likely to be within are highly likely to be certainty that main biologically based limits. above biologically based secondary species are limits within biologically based

limits.

OR OR

If below biologically based limits, there are measures If below biologically based in place expected to limits, there is either ensure that the UoA does evidence of recovery or a not hinder recovery and demonstrably effective rebuilding. partial strategy in place such that the UoA does not hinder recovery and rebuilding. AND Where catches of a main secondary species outside of biological limits are considerable, there is either evidence of recovery or a, demonstrably effective strategy in place between those MSC UoAs that also have considerable catches of the species, to ensure that they collectively do not hinder recovery and rebuilding. Met? GOM: GOM: GOM: No main secondary No main secondary No main secondary species species species

GB: GB: GB: No main secondary No main secondary No main secondary species species species Justifi In the GOM There are no secondary main species. cation On GB, there are no secondary main species. Additionally, no seabirds were reported in the observer data as interacting with large mesh bottom trawl fishery either on GB or in the GOM. However, it is noted by Powers (1983) that seabirds are found in both areas.

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US Maine haddock, pollock and redfish The UoA aims to maintain secondary species above a biologically based limit PI 2.2.1 and does not hinder recovery of secondary species if they are below a biological based limit.

The GOM and GB fisheries meet the SG 100 level requirements b Minor secondary species stock status Guide Minor secondary species

post are highly likely to be above biologically based limits.

OR

If below biologically based limits’, there is evidence that the UoA does not hinder the recovery and rebuilding of secondary species Met? GOM: No minor secondary species

GB: Illex squid- Y Atlantic mackerel-Y Fourspot flounder-Y Deepsea red crab-Y

Justifi In the GOM There are no secondary minor species. cation On GB, there are four secondary minor species: illex squid, Atlantic mackerel, fourspot flounder, and deepsea red crab. The large mesh bottom trawl fishery harvest insignificant amounts of these species relative to the directed fisheries for the illex squid, Atlantic mackerel and deepsea red crab, therefore, the fishery would not hinder the rebuilding or recovery of these species if it was required. The status of fourspot flounder is unknown. It represents about 0.1% of the total catch of the GB large mesh trawl fishery. It is a bycatch in many bottom fisheries, so the assessment team considers that that large mesh trawl fishery would not hinder the rebuilding or recovery of these species if it was required. Therefore the GOM and GB fisheries meet the SG 100 level requirements.

References NEFSC 2016. Various catch data summaries and stock assessment reports. GOM ELEMENT PERFORMANCE INDICATOR SCORE: 100 GB ELEMENT PERFORMANCE INDICATOR SCORE: 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 100

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US Maine haddock, pollock and redfish The UoA aims to maintain secondary species above a biologically based limit PI 2.2.1 and does not hinder recovery of secondary species if they are below a biological based limit. CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.2.2 – Secondary species management strategy There is a strategy in place for managing secondary species that is designed to maintain or to not hinder rebuilding of secondary species and the UoA PI 2.2.2 regularly reviews and implements measures, as appropriate, to minimise the mortality of unwanted catch. Scoring Issue SG 60 SG 80 SG 100 a Management strategy in place Guide There is a strategy in There are measures in There is a partial strategy post place for the UoA for place, if necessary, which in place, if necessary, for managing main and minor are expected to maintain the UoA that is expected to secondary species. or not hinder rebuilding of maintain or not hinder main secondary species rebuilding of main at/to levels which are secondary species at/to highly likely to be within levels which are highly biologically based limits or likely to be within to ensure that the UoA biologically based limits or does not hinder their to ensure that the UoA recovery. does not hinder their recovery. Met? GOM- Yes GOM- Yes GOM- Yes

GB-Yes GB-Yes GB-Yes

Justifi In the GOM there are no secondary main or minor species. On GB, there are no cation secondary main species, and there are four secondary minor species. As there are no secondary main species, no measures or partial strategy is necessary (MSC FCR v.2 GSA 3.5.1). However, as was described in the justification to PI 2.1.2, there is an overall strategy in place to manage all stocks or species taken in the large mesh bottom trawl fishery in the GOM and on GB. MSC defines a “strategy” represents a cohesive and strategic arrangement which may comprise one or more measures, an understanding of how it/they work to achieve an outcome and which should be designed to manage impact on that component specifically. A strategy needs to be appropriate to the scale, intensity and cultural context of the fishery and should contain mechanisms for the modification fishing practices in the light of the identification of unacceptable impacts. The National Marine Fisheries Service (NMFS) and the New England Fishery Management Council (NEFMC) have in place Fishery Management Plans (FMPs) for all the above listed main and minor primary species. The FMPs include a system of Annual Catch Limits (ACL) and Accountability measures (AMs) consistent with the requirements for the Magnusson-Stevens Act, and these are designed to ensure that catches remain below specified targets for each stock. The National Standard Guidelines provide advisory guidance for the implementation of these requirements. AMs are management controls to prevent the ACLs form being exceeded, and to correct or mitigate overages of the ACL if they occur. AMs should address and minimize the both the frequency and magnitude of overages and correct the problems that caused the overages. Additionally, there is the requirement to develop stock rebuilding plans for any stock that is determined to be overfished, and there are annual reviews of the status of stock rebuilding. Therefore, there exists a strategy for managing all main and minor secondary species, that is expected to maintain or to not hinder rebuilding of the main and minor

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US Maine haddock, pollock and redfish There is a strategy in place for managing secondary species that is designed to maintain or to not hinder rebuilding of secondary species and the UoA PI 2.2.2 regularly reviews and implements measures, as appropriate, to minimise the mortality of unwanted catch. secondary species at/to levels which are highly likely to be above the point where recruitment would be impaired. This meets the requirements of the SG 80 and 100 levels. b Management strategy evaluation Guide The measures are There is some objective Testing supports high post considered likely to work, basis for confidence that confidence that the partial based on plausible the measures/partial strategy/strategy will work, argument (e.g. general strategy will work, based based on information experience, theory or on some information directly about the UoA comparison with similar directly about the UoA and/or species involved. UoAs/species). and/or species involved. Met? GOM- Yes GOM- Yes GOM- No

GB-Yes GB-Yes GB-No

Justifi As there are no secondary main species, no measures or partial strategy is cation necessary (MSC FCR v.2 GSA 3.5.1). For the minor secondary species in the GOM and on GB, based on the information presented in the justifications for PI 2.2.1, SI a, and PI 2.2.2 SI a, there is some objective basis for confidence that the measures/strategy are working or will work, based on some information directly about the fishery and/or species involved, therefore the fishery meets the SG80 requirements. However, with regard to the SG100 requirements, for the minor primary species in the GOM and on GB, there is not adequate testing that supports high confidence that the strategy will work for the main primary species, based on information directly about the fishery and/or species involved, therefore the fishery does not meet the SG100 level requirements. c Management strategy implementation Guide There is some evidence There is clear evidence post that the measures/partial that the partial strategy is being strategy/strategy is being implemented successfully. implemented successfully and is achieving its objective as set out in scoring issue (a). Met? GOM- Yes GOM- Yes

GB-Yes GB-Yes

Justifi As noted in the justification to SI a, there are no secondary main species, no cation measures or partial strategy is necessary (MSC FCR v.2 GSA 3.5.1). Further, as described in the justifications to SIs a and b, there is some evidence that the strategy is being implemented successfully for the secondary minor species, and all these species are either above PRI, or it is demonstrated that the fishery is not hindering the recovery or stock rebuilding of a particular stock. There is also clear

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US Maine haddock, pollock and redfish There is a strategy in place for managing secondary species that is designed to maintain or to not hinder rebuilding of secondary species and the UoA PI 2.2.2 regularly reviews and implements measures, as appropriate, to minimise the mortality of unwanted catch. evidence that the strategy is being implemented successfully and is achieving its overall objective as set out in scoring issue (a) for all secondary minor species. Therefore, the fishery meets the SG80 and 100 level requirements for all secondary species. d Shark finning Guide It is likely that shark finning It is highly likely that shark There is a high degree of post is not taking place. finning is not taking place. certainty that shark finning is not taking place. Met? Not relevant Not relevant Not relevant Justifi There are no sharks as secondary species. cation

e Review of alternative measures to minimise mortality of unwanted catch Justifi There is a review of the There is a regular review There is a biennial review cation potential effectiveness of the potential of the potential and practicality of effectiveness and effectiveness and alternative measures to practicality of alternative practicality of alternative minimise UoA-related measures to minimise measures to minimise mortality of unwanted UoA-related mortality of UoA-related mortality of catch of main secondary unwanted catch of main unwanted catch of all species. secondary species and secondary species, and they are implemented as they are implemented, as

appropriate. appropriate. Met? GOM- Yes GOM- Yes GOM- Yes

GB-Yes GB-Yes GB-Yes

Guide As noted in the justification to PI 2.1.2, SI e, the GOM large mesh bottom trawl fishery post has an average 22% discard rate and the GB fishery has an average 55% discard rate. Clearly, there is unwanted catch of primary and secondary species, and both the NMFS and the fishery participants (UoA) are actively working to reduce discarding, by developing more selective fishing practices including minimum mesh size and shape regulations, separator trawls and voluntary avoidance of areas with unwanted species. The US fishery management system has been described in detail in the justification of PI1.2.1 SIa of this assessment report. It is a participatory and collaborative approach between government and stakeholders, and that includes commercial fishermen, in this case we are referring to the UoA, participants in the "large mesh otter trawl fishery on Georges Bank and in the Gulf of Maine". This participatory management process was mandated in initial authorization of the Magnuson- Stevens Fishery Conservation and Management (MSFCMA) in 1976, the reauthorization of the act of 2006 that allowed for sectors, and in subsequent regulations in 2009 regarding the national standards. On the regional level, this includes the regional fishery management council, in this case the New England Fishery Management Council (NEFMC) which is made up for representatives of stakeholder groups including commercial fishermen, and it is supported the National

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US Maine haddock, pollock and redfish There is a strategy in place for managing secondary species that is designed to maintain or to not hinder rebuilding of secondary species and the UoA PI 2.2.2 regularly reviews and implements measures, as appropriate, to minimise the mortality of unwanted catch. Marine Fisheries Service, Northeast Fisheries Science Center (NMFS NEFSC) and the Science and Statistics Committee (SSC) made of scientists and representatives of the fishing industry, and numerous Advisory Panels (APs) that are usually made up of individuals with experience in the mandate of the panel (usually related for specific fisheries, or management plans, or technical issues, and commercial fishermen actively participant in these panels). The use of Sectors, which are allocated subdivisions of ACLs called Annual Catch Entitlements (ACE) based on each sector’s collective catch history. Sectors are incorporated entities that must have operations plans approved by NMFS. Sectors determine their own membership rules and allocation procedures, although all sectors have distributed the overall sector allocation in proportion to the allocation of each member permit. Should a sector approach the ACE for a target or bycatch stocks, then the area inhabited by that stock is closed to all gears capable of catching that stock, resulting in a potential ‘under-harvest’ of more abundant stocks. The sector system allows fishermen to share, trade or lease quota within a fishery, reducing the chance of overfishing depleted stocks while targeting more abundant stocks; and if a sector is nearing its quota for a particular species, it may be possible to lease it from another sector. This is a particularly useful management regime in the rebuilding of depleted stocks. According to the fishery management regulations, the SSC must annually review the most recent science with regard to status of managed species, then consider recent landings and observer data from specific managed fisheries, and based on all this makes recommendations for the next year's Total Allowable Catch (TAC) and Total Allowable Landings (TAL). These recommendation are then provided to the council for implementation. The SSC also develops research priorities for the NEFMC based on input from the APs . These research priorities address improving stock assessments, reducing habitat impact, and reducing mortality of unwanted catch including non-target and protected species. These research priorities are the basis for annual funding solicitations of cooperative research by the NMFS SK program and the BREP, bycatch reduction programs. These priorities are also considered in ranking proposals to address current issues in fisheries science and management, by managed stock unit and by fishery. Cooperative research in the US by definition includes the fishing industry, and cooperative research related to the large mesh trawl fishery (UoA) in the Gulf of Maine and on Georges Bank includes the fishery (UoA). Past cooperative research projects have included selection by mesh size and shape for various species, separator trawls to sort species in the trawl mouth, and ahead of the cod end, and the use of time and space closures to reduce bycatch of selected species. Some projects are successful and are adopted into management, others are not successful to are not practical or are too costly to implement. The NEFSC has sponsored much of this research, and NMFS has implemented the most effective measures into "on the water" regulations, and the effectiveness of these measures are monitored by "at sea observers" and enforced by the US Coast Guard. Additionally, the NMFS regularly publishes a Bycatch Report, and in updated at least bi-annually, based on analysis is observer coverage of all US fisheries (NMFS 2011, 2012, and 2016). In scoring this SI, the assessment team considered the process of reviewing mortality of unwanted catch to be an annual event, in which the fishery (UoA) is an integral part as part of the participatory management process. The team was provided examples of recent cooperative research using modified trawls to reduce bycatch, and of other activities in which the fishery participated in the development of and which have been implemented into regulation. While these modified trawls do reduce bycatch, thy only work successfully during particular seasons and in particular fishing areas. Therefore they cannot be implemented universally due to the financial

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US Maine haddock, pollock and redfish There is a strategy in place for managing secondary species that is designed to maintain or to not hinder rebuilding of secondary species and the UoA PI 2.2.2 regularly reviews and implements measures, as appropriate, to minimise the mortality of unwanted catch. impact they would have on this mixed species fishery. The fishery continues to work to minimize all bycatch. Therefore the fishery meets the requirements of the SG 60, 80 and 100 levels for all secondary species.

Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/ NMFS. 2011. U.S. national bycatch report (W. A. Karp, L. L. Desfosse, S. G. Brooke, editors). U.S. Dep. Commer., NOAA Tech Memo NMFS-F/SPO-117E, 508 p. References Available online at: http://www.nmfs.noaa.gov/by_catch/bycatch_nationalreport.htm NMFS. 2012. U.S. National Bycatch Report First Edition Update 1 [L. R. Benaka, C. Rilling, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 57 p. Available online at: http://www.st.nmfs.noaa.gov/observer-home/first-edition- update-1 NMFS. 2016. U.S. National Bycatch Report First Edition Update 2 [L. R. Benaka, D. Bullock, J. Davis, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. Commer., 90 p. Online edition: http://www.st.nmfs.noaa.gov/observer-home/first-edition-update-2 GOM ELEMENT PERFORMANCE INDICATOR SCORE: 95 GB ELEMENT PERFORMANCE INDICATOR SCORE: 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 95 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.2.3 – Secondary species information Information on the nature and amount of secondary species taken is PI 2.2.3 adequate to determine the risk posed by the UoA and the effectiveness of the strategy to manage secondary species. Scoring Issue SG 60 SG 80 SG 100 a Information adequacy for assessment of impacts on main secondary species Guide Qualitative information is Some quantitative Quantitative information is post adequate to estimate the information is available available and adequate to impact of the UoA on the and adequate to assess assess with a high degree main secondary species the impact of the UoA on of certainty the impact of with respect to status. main secondary species the UoA on main with respect to status. secondary species with OR respect to status. OR If RBF is used to score PI 2.2.1 for the UoA: If RBF is used to score PI 2.2.1 for the UoA: Qualitative information is Some quantitative adequate to estimate information is adequate to productivity and assess productivity and susceptibility attributes for susceptibility attributes for main secondary species. main secondary species. Met? GOM- Yes GOM- Yes GOM-Yes

GB-Yes GB-Yes GB-Yes

Justifi There are no secondary main species in either the GOM or GB fisheries. The NEFSC cation observer program provides more than 20% coverage of the large mesh bottom trawl fishery in the GOM and on GB. The NMFS NEFSC scientific survey trawl program provides relative indices of abundance for all species in the GOM and on GB. Additionally, there are stock assessments for most species, and these are identified as the primary species. Therefore, quantitative information is available and adequate to assess with a high degree of certainty the impact of the UoA on main secondary species with respect to status, and this meets the SG 100 level requirements. b Information adequacy for assessment of impacts on minor secondary species Guide Some quantitative

post information is adequate to estimate the impact of the UoA on minor secondary species with respect to status.

Met? GOM- Yes

GB-Yes (3 or 4 elements) Justifi There are no secondary minor species identified in the GOM, and only four species cation are identified on GB. As noted above in the justification for SI a, the NMFS NEFSC

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US Maine haddock, pollock and redfish Information on the nature and amount of secondary species taken is PI 2.2.3 adequate to determine the risk posed by the UoA and the effectiveness of the strategy to manage secondary species. observer program provides more than 20% coverage of the UoA (large mesh bottom trawl fishery in the GOM and on GB). The NMFS NEFSC scientific survey trawl program provides relative indices of abundance for all species in the GOM and on GB. Additionally, there are stock assessments for most species, and these are identified as the primary species (NEFSC 2015). Therefore, there is some quantitative information that is adequate to estimate the impact of the UoA on minor secondary species with respect to status for all but one of the secondary minor species on GB, four spot flounder, so on GB the composite SI score is 95 as most of the elements meet the SG100 requirements.

The fishery meets the requirements of the SG 100 level for GOM and the SG 95 level for three of the four species on GB.

c Information adequacy for management strategy Guide Information is adequate to Information is adequate to Information is adequate to post support measures to support a partial strategy support a strategy to manage main secondary to manage main manage all secondary species. secondary species. species, and evaluate with a high degree of certainty whether the strategy is achieving its objective. Met? GOM- Yes GOM- Yes GOM- Yes

GB-Yes GB-Yes GB-Yes (3 of 4 elements)

Justifi As described in the justifications to SIs a and b for this PI, there is clearly adequate cation information to support a strategy to manage almost all secondary species (with the exception of four spot flounder), and evaluate with a high degree of certainty whether the strategy is achieving its objective. In addition to the fishery dependent data described in previous justifications, there is also the fishery independent data collect program conducted by the NMFS NEFSC that includes multiple long term scientific trawl surveys that track species relative abundance, and provide biological samples for analysis of growth and maturity, stock structure, patterns of recruitment, etc. These data when used in stock assessment models along with the fishery dependent catch data provide information on stock status that can be compared to reference points and used in management to regulate catch as required, so as to maintain fish stocks at BMSY levels. The fishery meets the SG 60, 80 and 100 levels for all secondary main and minor species for the GOM, and the SG 60, 80 and 95 levels for all secondary main and minor species for on GB.

Northeast Fisheries Science Center. 2015. Operational Assessment of 20 Northeast Groundfish Stocks, Updated Through 2014. US Dept Commer, Northeast Fish Sci References Cent Ref Doc. 15-24; 251 p. Available from: National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543-1026, or online at http:// www.nefsc.noaa.gov/publications/ GOM ELEMENT PERFORMANCE INDICATOR SCORE: 100 GB ELEMENT PERFORMANCE INDICATOR SCORE: 95

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US Maine haddock, pollock and redfish Information on the nature and amount of secondary species taken is PI 2.2.3 adequate to determine the risk posed by the UoA and the effectiveness of the strategy to manage secondary species. OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 100 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 95 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.3.1 – ETP species outcome

The UoA meets national and international requirements for the protection of PI 2.3.1 ETP species The UoA does not hinder recovery of ETP species

Scoring Issue SG 60 SG 80 SG 100

a Effects of the UoA on population/stock within national or international limits, where applicable

Guide Where national and/or Where national and/or Where national and/or post international requirements international requirements international requirements set limits for ETP species, set limits for ETP species, set limits for ETP species, the effects of the UoA on the combined effects of the there is a high degree of the population/stock are MSC UoAs on the certainty that the known and likely to be population/stock are combined effects of the within these limits. known and highly likely to MSC UoAs are within be within these limits. these limits.

Met? GOM and GB GOM and GB GOM and GB Y- large whales Y- large whales Y- large whales Y- small cetaceans Y- small cetaceans Y- small cetaceans Y- pinnipeds Y- pinnipeds Y- pinnipeds Y- sea turtles Y- sea turtles Y- sea turtles Y- Atlantic sturgeon Y- Atlantic sturgeon Y- Atlantic sturgeon

Justifi For the large mesh bottom trawl fishery on Georges Bank and in the Gulf of Maine, cation where national and/or international requirements set limits for ETP species, there is a high degree of certainty that the combined effects of the MSC UoAs are within these limits. The evaluation of ETP species is considered in this assessment in five major elements or species groups: marine mammals (large whales, small cetaceans, pinnipeds), sea turtles, and fish. The sea turtles include three species of hard shell sea turtles and the leatherback species. The only ETP fish species to interact with this large mesh bottom trawl fishery is Atlantic sturgeon. The governing ETP legislation in the US is the MMPA and the ESA, and these laws set limits on ETP mortality related to fisheries. These limits are species stock specific, and the fisheries are monitored with an at sea observer program so as to ensure that these limits are not exceeded. No seabirds were reported in the observer data as interacting with large mesh bottom trawl fishery either on GB or in the GOM. However, it is noted by Powers (1983) that seabirds are found in both areas. Large Whales For large whales, five species occur in the GOM and GB that potentially might interact with the large mesh bottom trawl fishery (NEFMC, 2017). These species include: North Atlantic right whale (Eubalaena glacialis), humpback whale (Megaptera novaeangliae), fin whale (Balaenoptera physalus), and sei whale (Balaenoptera borealis) all of which are also listed as Endangered under the ESA (NEFMC, 2017). None of these have been recorded interacting with the GOM/GB large mesh otter trawl fishery. The fifth species is the minke whale (Balaenoptera acutorostrata acutorostrata), not listed under the ESA but listed in Appendix 1 of the CITES and protected under the MMPA. According the NEFMC (2017), with the exception of minke whales, there have been no recent observed interactions with large whales and bottom trawl gear. From the period of 2008-2012, the estimated annual mortality

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The UoA meets national and international requirements for the protection of PI 2.3.1 ETP species The UoA does not hinder recovery of ETP species attributed to this fishery was 7.8 minke whales for 2008, and zero minke whales from 2009-2012; no serious injuries were reported during this time. Based on this information, from 2008-2012, the estimated annual average minke whale mortality and serious injury attributed to the northeast bottom trawl fishery was 1.6 (CV=0.69) whales. From 2008-2013, mean annual serious injuries and mortalities from the northeast bottom trawl fishery were 1.40 (CV=0.58) minke whales. Based on this information, bottom trawl gear including all MSC UoA trawl gear is likely to pose a low interaction risk to any large whale species and therefore, is expected to be a low source of serious injury or mortality to any large whale. Small Cetaceans Seven species have recorded interactions with the large mesh bottom trawl fishery. The two species of pilot whales have been treated together as Globicephala spp. because they are virtually impossible to distinguish in the water (NEFMC 2017). Small cetaceans which interact with the fishery are: Pilot Whale (Globicephala ssp), Short-beaked Common Dolphin (Delphinus delphis), Harbor Porpoise (Phocoena phocena), Bottlenose Dolphin (Tursiops truncates), Risso’s Dolphin (Grampus griseus), and White-sided Dolphin (Lageorhynchus acutus). Only the white sided dolphin had a mean annual mortality (73) greater than 1% and less than 50% of the stock’s PBR, thus leading the fishery to be classified under Category II In terms of bottom trawl gear, short-beaked common dolphins and Atlantic white-sided dolphins are the most frequently observed bycaught marine mammal species in the GOM/GB, followed by gray seals, long-finned pilot whales, and risso’s dolphins. Small cetacean and pinnipeds observed taken primarily in: (1) the waters between and around CA I and CA II (Groundfish closed areas): Short-beaked common dolphin, pilot whales, white-sided dolphins, gray seals, and some risso’s dolphins and harbor porpoise; and (2) eastern side of the GOM Habitat/Groundfish closed area: White-sided dolphins, and some pilot whales and harbor seals. Based on this information, bottom trawl gear including all MSC UoA trawl gear is likely to pose a low interaction risk to any small cetacean species and therefore, is expected to be a low source of serious injury or mortality to any small cetacean. Pinnipeds Three species of pinnipeds have documented interactions with the large mesh bottom trawl fishery: Harbor seal (Phoca vitulina), Gray Seal (Halichoerus grypus), and Harp Seal (Phoca groenlandicus). The estimated mean annual mortality of these species in the northeast bottom trawl is 0.8, 9.2 and 0.4 animals, respectively. Interactions between pinnipeds and bottom trawl gear including all MSC UoA trawl gear are minimal, and therefore are likely to pose a low interaction risk to any pinniped species and therefore, is expected to be a low source of serious injury or mortality to any pinniped.

Sea Turtles Four species of sea turtles, Green (Chelonia mydas), Loggerhead (Caretta carreta), Kemp’s ridley (Lepidochelys kempi), and the Leatherback (Dermochelys coriacia) may occur in the GOM and GB (NEFMC 2017). All are migratory and occur in New England mostly during the warmer months of the year. As few sea turtle interactions have been observed in the GOM and GB regions of the Northwest Atlantic, there is insufficient data available to conduct a robust model-based analysis on sea turtle interactions with trawl or gillnet gear in these regions. Therefore, there is no bycatch estimate for these regions, and there are no specific limits on sea turtle interactions. However, based on this information, bottom trawl gear including all MSC UoA trawl

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The UoA meets national and international requirements for the protection of PI 2.3.1 ETP species The UoA does not hinder recovery of ETP species gear is likely to pose a low interaction risk to any sea turtle species and therefore, is expected to be a low source of serious injury or mortality to any sea turtle.

Fish Atlantic sturgeon is the only ESA listed fish likely to be encountered by the large mesh bottom trawl in the GOM/GB (NEFMC 2017). The most recent document estimating sturgeon bycatch, based on fishery observer data and vessel trip report (VTR) data from 2006-2010, that annual bycatch of Atlantic sturgeon was 1,342 and 1,239, respectively. Specifically, observed Atlantic sturgeon interactions in trawl gear with small (< 5.5 inches) and large (≥ 5.5 inches) mesh sizes, as well as gillnet gear with small (< 5.5 inches), large (5.5 to 8 inches), and extra-large mesh (>8 inches) sizes. Although Atlantic sturgeon were observed to interact with trawl and gillnet gear with various mesh sizes, based on observer data, it was concluded by NEFMC (2017) that gillnet gear, in general, posed a greater risk of mortality to Atlantic sturgeon than did trawl gear. Estimated mortality rates in gillnet gear were 20.0%, while those in otter trawl gear were 5.0%. Based on this information, bottom trawl gear including all MSC UoA trawl gear is likely to pose a low interaction risk to the Atlantic sturgeon species and therefore, is expected to be a low source of serious injury or mortality to Atlantic sturgeon.

All of the above species are protected under NMFS jurisdiction and are afforded protection under the Endangered Species Act of 1973 (ESA) and/or the Marine Mammal Protection Act of 1972 (MMPA).Both of these Acts meet or exceed the limits of national and international requirements for ETP species, and have stood as models for international conservation standards. Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 60, 80 and 100 level requirements.

b Direct effects

Guide Known direct effects of the Known direct effects of the There is a high degree of post UoA are likely to not hinder UoA are highly likely to not confidence that there are recovery of ETP species. hinder recovery of ETP no significant detrimental species. direct effects of the UoA on ETP species.

Met? GOM and GB GOM and GB GOM and GB Y- large whales Y- large whales Y- large whales Y- small cetaceans Y- small cetaceans N- small cetaceans Y- pinnipeds Y- pinnipeds N- pinnipeds Y- sea turtles Y- sea turtles N- sea turtles Y- Atlantic sturgeon Y- Atlantic sturgeon N- Atlantic sturgeon

Justifi For the large mesh bottom trawl fishery on Georges Bank and in the Gulf of Maine, cation there is a high degree of confidence that there are no significant detrimental direct effects of the UoA on ETP species. As noted previously, the National Marine Fisheries Service has implemented an "at sea" observer program that monitors all fisheries. Observer coverage in the large mesh otter trawl fishery on GB and GOM

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The UoA meets national and international requirements for the protection of PI 2.3.1 ETP species The UoA does not hinder recovery of ETP species is about 20%. The data collected in this program is analyzed to produce fishery wide interaction estimates annually, and these estimates are compared to national limits based on populations estimates where available, to determine if a fishery is hindering the status or recovery of a protected species. The relevant legislation applicable to the species groups is the MMPA and the ESA, and under this legislation the NMFS is required to take action if the interaction rates or mortalities threaten the population status or recovery of a species. Large Whales As noted in the SIa justification, five species occur in the GOM and GB that potentially might interact with the large mesh bottom trawl fishery. These species include: North Atlantic right whale, humpback whale, fin whale, and sei whale, all of which are also listed as Endangered under the ESA. None of these have been recorded interacting with the GOM/GB large mesh otter trawl fishery. The fifth species is the minke whale, not listed under the ESA but listed in Appendix 1 of the CITES and protected under the MMA. According the NEFMC (2017), with the exception of minke whales, there have been no observed interactions with large whales and bottom trawl gear. From the period of 2008-2012, the estimated annual mortality attributed to this fishery was 7.8 minke whales for 2008, and zero minke whales from 2009-2012; no serious injuries were reported during this time. Based on this information, from 2008-2012, the estimated annual average minke whale mortality and serious injury attributed to the northeast bottom trawl fishery was 1.6 (CV=0.69) whales. From 2008-2013, mean annual serious injuries and mortalities from the northeast bottom trawl fishery were 1.40 (CV=0.58) minke whales. Based on this information, large mesh bottom trawl gear is likely to pose a low interaction risk to any large whale species and therefore, is expected to be a low source of serious injury or mortality to any large whale. Therefore there is a high degree of confidence that there are no significant detrimental direct effects of the UoA on these large whale species, and therefore it is highly likely that the UoAs are not hindering the recovery of these large whale species.

Small Cetaceans As noted in the SIa justification, seven species have recorded interactions with the large mesh bottom trawl fishery. The two species of pilot whales have been treated together as Globicephala spp. because they are virtually impossible to distinguish in the water (NEFMC 2017). Small cetaceans which interact with the fishery are: Pilot Whale., Short-beaked Common Dolphin, Harbor Porpoise, Bottlenose Dolphin, Risso’s Dolphin, and White-sided Dolphin . Only the white sided dolphin had a mean annual mortality (73) greater than 1% and less than 50% of the stock’s PBR, thus leading the fishery to be classified under Category II In terms of bottom trawl gear, short-beaked common dolphins and Atlantic white-sided dolphins are the most frequently observed bycaught marine mammal species in the GAR, followed by gray seals, long-finned pilot whales, and Risso’s dolphins. There is not a high degree of confidence that there are no significant detrimental direct effects of the UoA on small cetacean species, and therefore it is highly likely that the UoAs are not hindering the recovery of these small cetacean species. Pinnipeds Three species of pinnipeds have documented interactions with the large mesh bottom trawl fishery: harbor seal, gray seal, and harp seal. The estimated mean annual mortality of these species in the northeast bottom trawl is 0.8, 9.2 and 0.4 animals, respectively. There is not a high degree of confidence that there are no significant detrimental direct effects of the UoA on pinneped species and therefore it

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The UoA meets national and international requirements for the protection of PI 2.3.1 ETP species The UoA does not hinder recovery of ETP species is highly likely that the UoAs are not hindering the recovery of these pinniped species., . Sea turtles Four species of sea turtles, Green, Loggerhead, Kemp’s ridley, and the Leatherback may occur in the GOM and GB (NEFMC 2017). All are migratory and occur in New England mostly during the warmer months of the year. As few sea turtle interactions have been observed in the GOM and GB regions of the Northwest Atlantic, there is insufficient data available to conduct a robust model-based analysis on sea turtle interactions with trawl or gillnet gear in these regions. Therefore there is no bycatch estimate for these regions. There is not a high degree of confidence that there are no significant detrimental direct effects of the UoA on these sea turtle species, but it is highly likely that the UoAs are not hindering the recovery of these sea turtle species due to the very low interaction rates. Fish Atlantic sturgeon is the only ESA listed fish likely to be encountered by the large mesh bottom trawl in the GOM/GB (NEFMC 2017). The most recent document estimating sturgeon bycatch, based on fishery observer data and vessel trip report (VTR) data from 2006-2010, that annual bycatch of Atlantic sturgeon was 1,342 and 1,239, respectively. Specifically, observed Atlantic sturgeon interactions in trawl gear with small (< 5.5 inches) and large (≥ 5.5 inches) mesh sizes, as well as gillnet gear with small (< 5.5 inches), large (5.5 to 8 inches), and extra-large mesh (>8 inches) sizes. Although Atlantic sturgeon were observed to interact with trawl and gillnet gear with various mesh sizes, based on observer data, it was concluded that gillnet gear, in general, posed a greater risk of mortality to Atlantic sturgeon than did trawl gear. Estimated mortality rates in gillnet gear were 20.0%, while those in otter trawl gear were 5.0%. There is not a high degree of confidence that there are no significant detrimental direct effects of the UoA on this species, but it is highly likely that the UoAs are not hindering the recovery of this Atlantic sturgeon species.

Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 60, 80 level requirements, but SG 100 level requirements were only met for 1 element, and not met for 4 elements

c Indirect effects

Guide Indirect effects have been There is a high degree of post considered and are confidence that there are thought to be highly likely no significant detrimental to not create unacceptable indirect effects of the impacts. fishery on ETP species.

Met? GOM and GB GOM and GB Y- large whales N- large whales Y- small cetaceans N- small cetaceans Y- pinnipeds N- pinnipeds Y- sea turtles N- sea turtles Y-Atlantic sturgeon N- Atlantic sturgeon

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The UoA meets national and international requirements for the protection of PI 2.3.1 ETP species The UoA does not hinder recovery of ETP species

Justifi All species groups cation

Possible indirect effects of the large mesh trawl fishery on the ETP species include the harvest or removal of potential prey species or food resources of the ETP species, disturbance of the seabed by the trawling that causes reduced light penetration or increased suspended solids in the water column. Indirect effects have been considered and are thought to be highly unlikely to create unacceptable impacts for the following species groups: large whales, small cetaceans, pinnipeds, sea turtles and Atlantic sturgeon. As noted previously, only one species of large whale has been recorded to interact with this fishery, and at very low numbers (< 2/yr). However, there is not a high degree of confidence that there are no significant detrimental indirect effects of the fishery on large whales, as some indirect effects cannot be ruled out. Indirect effects have been considered and are thought to be unlikely to create unacceptable impacts in small cetaceans, pinnipeds, sea turtles and Atlantic sturgeon. Interactions have been low in these groups, but indirect effects cannot be ruled out. Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 80 level requirements for all five species group elements, but not SG 100 level requirements for any of the five species group elements.

NEFMC, 2017. Framework Adjustment 56 to the Northeast Multispecies FMP. 308 p. http://s3.amazonaws.com/nefmc.org/170413_Groundfish_FW56_EA.pdf References NEFSC 2016. Category I Northeast sink gillnet and Category II Northeast bottom trawl take reports. http://www.nefsc.noaa.gov/fsb/take_reports/nefop.html.

GOM ELEMENT PERFORMANCE INDICATOR SCORE: 85

GB ELEMENT PERFORMANCE INDICATOR SCORE: 85

OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 85

OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 85

OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 85

OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 85

CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.3.2 – ETP species management strategy The UoA has in place precautionary management strategies designed to: • meet national and international requirements; PI 2.3.2 • ensure the UoA does not hinder recovery of ETP species.

Also, the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of ETP species. Scoring Issue SG 60 SG 80 SG 100 a Management strategy in place (national and international requirements) Guide There are measures in There is a strategy in place There is a comprehensive post place that minimise the for managing the UoA’s strategy in place for UoA-related mortality of impact on ETP species, managing the UoA’s ETP species, and are including measures to impact on ETP species, expected to be highly likely minimise mortality, which including measures to to achieve national and is designed to be highly minimise mortality, which international requirements likely to achieve national is designed to achieve for the protection of ETP and international above national and species. requirements for the international requirements protection of ETP species. for the protection of ETP species. Met? GOM and GB GOM and GB GOM and GB Y- large whales Y- large whales N- large whales Y- small cetaceans Y- small cetaceans N- small cetaceans Y- pinnipeds Y- pinnipeds N- pinnipeds Y-sea turtles Y-sea turtles N-sea turtles Y- Atlantic sturgeon Y- Atlantic sturgeon N- Atlantic sturgeon Justifi As noted in the justification for PI 2.3.1 SIa, the large whales, small cetaceans, sea cation turtles, pinnipeds and Atlantic sturgeon that interact with large mesh bottom trawl gear on Georges Bank and in the Gulf of Maine are afforded protection under the Endangered Species Act (ESA) of 1973 and/or the Marine Mammal Protection Act (MMPA) of 1972. The measures and strategy for protecting these species include regulations that are associated with the implementation of the MMPA and the ESA. These measures and strategy are designed to minimize mortality and to protect critical habitat, as required. The regulatory measures include universal gear requirements, modifications, and requirements; area-and season- specific gear modification requirements and restrictions; time/area closures) and non-regulatory measures (e.g., gear research and development, disentanglement, education and outreach). They are highly likely to achieve the national and international requirements for the protection of ETP species. MSC defines a comprehensive strategy for ETP species as a complete and tested strategy made up of linked monitoring, analyses, and management measures and responses. The US strategy for addressing all ETP species is not a comprehensive strategy in place for managing the UoA’s impact on ETP species, including measures to minimize mortality, which is designed to achieve above national and international requirements for the protection of all ETP species. For example, while considerable effort has been devoted to marine mammal stock assessments, the estimation to PBR, the annual estimation of total takes, etc, the same level of effort has not been applied to other ETP species, such as sea turtles.

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US Maine haddock, pollock and redfish The UoA has in place precautionary management strategies designed to: • meet national and international requirements; PI 2.3.2 • ensure the UoA does not hinder recovery of ETP species.

Also, the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of ETP species. Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 60 and 80 level requirements for the five elements (large whales, small cetaceans, pinnipeds, sea turtles, and Atlantic sturgeon, but not SG 100 level requirements for the five elements b Management strategy in place (alternative) Guide There are measures in There is a strategy in place There is a comprehensive post place that are expected to that is expected to ensure strategy in place for ensure the UoA does not the UoA does not hinder managing ETP species, to hinder the recovery of ETP the recovery of ETP ensure the UoA does not species. species. hinder the recovery of ETP species Met? N/A N/A N/A Justifi N/A cation c Management strategy evaluation Guide The measures are There is an objective basis The post considered likely to work, for confidence that the strategy/comprehensive based on plausible measures/strategy will strategy is mainly based argument (e.g., general work, based on on information directly experience, theory or information directly about about the fishery and/or comparison with similar the fishery and/or the species involved, and a fisheries/species). species involved. quantitative analysis supports high confidence that the strategy will work. Met? GOM and GB GOM and GB GOM and GB Y- large whales Y- large whales N- large whales Y- small cetaceans Y- small cetaceans N- small cetaceans Y- pinnipeds Y- pinnipeds N- pinnipeds Y-sea turtles Y-sea turtles N-sea turtles Y- Atlantic sturgeon Y- Atlantic sturgeon N- Atlantic sturgeon Justifi ETP species interactions are monitored at-sea by the NEFSC Observer Program. cation The level of observer coverage in the large mesh bottom trawl fishery varies by year and season, but averages 20%, and the coverage is considered adequate to estimate the annual interaction rate for all ETP species. This information is used to annually update the List of Fisheries, which is then used to re-assess the need for a Take Reduction Team, and is used to re-allocate observer coverage in the following year, so as to better monitor ETP interactions. There has not been the formation of any new Take reduction Teams in the last decade, and NMFS has not taken any new regulatory action relative to the large mesh otter trawl to protect ETP species in the same period. Therefore, there is an objective basis for confidence that the existing measures/strategy are working, based on information directly about the fishery and/or the species involved.

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US Maine haddock, pollock and redfish The UoA has in place precautionary management strategies designed to: • meet national and international requirements; PI 2.3.2 • ensure the UoA does not hinder recovery of ETP species.

Also, the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of ETP species. Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 60 and 80 level requirements for the five elements (large whales, small cetaceans, pinnipeds, sea turtles, and Atlantic sturgeon, but not SG 100 level requirements for the five elements. d Management strategy implementation Guide There is some evidence There is clear evidence post that the measures/strategy that the is being implemented strategy/comprehensive successfully. strategy is being implemented successfully and is achieving its objective as set out in scoring issue (a) or (b). Met? GOM and GB GOM and GB Y- large whales Y- large whales Y- small cetaceans Y- small cetaceans Y-sea turtles Y-sea turtles Y- pinnipeds Y- pinnipeds Y- Atlantic sturgeon Y- Atlantic sturgeon Justifi There is some evidence that the measures/strategy is being implemented cation successfully. As notes in the justification to SI c, there has not been any additional regulatory measures placed on the large mesh otter trawl fishery in the last decade related to ETP protection. Additionally, the population abundances of most marine mammals are stable or increasing, in particular, sea turtle population abundances are stable or increasing, and Atlantic sturgeon population abundance is increasing (NMFS 2017).

Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 80 and 100 level requirements for the five elements (large whales, small cetaceans, sea turtles, pinnipeds, and Atlantic sturgeon,

e Review of alternative measures to minimize mortality of ETP species Guide There is a review of the There is a regular review There is a biennial review post potential effectiveness and of the potential of the potential practicality of alternative effectiveness and effectiveness and measures to minimise practicality of alternative practicality of alternative UoA-related mortality of measures to minimise measures to minimise ETP species. UoA-related mortality of UoA-related mortality ETP ETP species and they are species, and they are implemented as implemented, as appropriate. appropriate. Met? GOM and GB GOM and GB GOM and GB

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US Maine haddock, pollock and redfish The UoA has in place precautionary management strategies designed to: • meet national and international requirements; PI 2.3.2 • ensure the UoA does not hinder recovery of ETP species.

Also, the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of ETP species. Y- large whales Y- large whales Y- large whales Y- small cetaceans Y- small cetaceans Y- small cetaceans Y-sea turtles Y-sea turtles Y-sea turtles Y- pinnipeds Y- pinnipeds Y- pinnipeds Y- Atlantic sturgeon Y- Atlantic sturgeon Y- Atlantic sturgeon Justifi As noted in the justifications of PIs2.1.2 and 2.2.2 SIe, the US fishery management cation system is participatory, that is there is a good working relationship between the government fishery management agency and the fishery participants to ensure that the fisheries are sustainable and have minimal impacts on non-target species, protected species, and habitat. In this case the UoA, the large mesh otter trawl fishery works directly with the NMFS in the collection of at sea observer data that would detect protected species interactions, and later in the evaluation of that data to better understand the nature of interactions should they occur.

The NMFS conducts annual reviews of effectiveness of its programs to minimize mortality of ETP species, and to ensure that ETP species populations are stable or in recovery if required. These reviews include ETP species protected under the MMPA and the ESA. As noted previously, there have been minimal interactions between the UoAs and protected species, so there have been no specific 'on the water" measures implemented to specifically minimize ETP mortality. However, the "at sea observer" program regularly monitors all catches of the UoAs including ETP species, and if an interaction problem developed, there is a system in place to immediately respond and address the problem. As an example, if the takes (interactions) of marine mammals in the large mesh otter trawl fishery exceeded PBR for a particular species, NMFS would form a Take Reduction Team (TRT) that would include NMFS regulators, scientists, fishery participants, and environmental activists. This team would be charged to reach consensus on a plan to reduce the takes of the protected species involved in 6 months to less than PBR. Based on past experience most of the proposed changes in technology or practice are suggested by the fishery participants. The plan developed by this team is evaluated by NMFS, and when implemented are tested by the fishery participants.

In scoring this SI, the assessment team considered the active participation of the UoA in the collection and review of fishery data on an annual basis, and in the development, testing, and evaluation of alternatives to minimize mortality of ETP species, should there be a need. Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 80 and 100 level requirements for the five elements (large whales, small cetaceans, sea turtles, pinnipeds, and Atlantic sturgeon.

References NEFMC, 2017. Framework Adjustment 56 to the Northeast Multispecies FMP. 308 p. http://s3.amazonaws.com/nefmc.org/170413_Groundfish_FW56_EA.pdf GOM ELEMENT PERFORMANCE INDICATOR SCORE: 90 GB ELEMENT PERFORMANCE INDICATOR SCORE: 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 90

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US Maine haddock, pollock and redfish The UoA has in place precautionary management strategies designed to: • meet national and international requirements; PI 2.3.2 • ensure the UoA does not hinder recovery of ETP species.

Also, the UoA regularly reviews and implements measures, as appropriate, to minimise the mortality of ETP species. OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 90 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.3.3 – ETP species information Relevant information is collected to support the management of UoA impacts on ETP species, including: PI 2.3.3 • Information for the development of the management strategy; • Information to assess the effectiveness of the management strategy; and • Information to determine the outcome status of ETP species. Scoring Issue SG 60 SG 80 SG 100 a Information adequacy for assessment of impacts Guide Qualitative information is Some quantitative Quantitative information is post adequate to estimate the information is adequate to available to assess with a UoA related mortality on assess the UoA related high degree of certainty ETP species. mortality and impact and to the magnitude of UoA- determine whether the related impacts,

UoA may be a threat to mortalities and injuries and OR protection and recovery of the consequences for the the ETP species. status of ETP species.

If RBF is used to score PI 2.3.1 for the UoA: OR

Qualitative information is If RBF is used to score PI adequate to estimate 2.3.1 for the UoA: productivity and Some quantitative susceptibility attributes for information is adequate to ETP species. assess productivity and susceptibility attributes for ETP species. Met? GOM and GB GOM and GB GOM and GB Y- large whales Y- large whales N- large whales Y- small cetaceans Y- small cetaceans N- small cetaceans Y- pinnipeds Y- pinnipeds N- pinnipeds Y-sea turtles Y-sea turtles N-sea turtles Y- Atlantic sturgeon Y- Atlantic sturgeon N- Atlantic sturgeon Justifi Some quantitative information is adequate to assess the UoA related mortality and cation impact and to determine whether the large mesh otter trawl fishery may be a threat to protection and recovery of the ETP species (NEFMC, 2017). The NEFSC Observer Program averages about 20% coverage of all fishing activity in this fishery. The US Coast Guard also provides at sea enforcement of all NMFS regulations. The estimated annual interactions rates for the large mesh otter trawl fishery with the five species groups and impact of those interactions have been presented in the justifications for PI2.3.1 SIs a and b, Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 60 and 80 level requirements for the five elements (large whales, small cetaceans, sea turtles, pinnipeds, and Atlantic sturgeon), but not the SG 100 level requirements, as there is not quantitative information is available to assess with a high degree of certainty the magnitude of UoA-related impacts, mortalities and injuries and the consequences for the status of ETP species. b Information adequacy for management strategy

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US Maine haddock, pollock and redfish Relevant information is collected to support the management of UoA impacts on ETP species, including: PI 2.3.3 • Information for the development of the management strategy; • Information to assess the effectiveness of the management strategy; and • Information to determine the outcome status of ETP species. Guide Information is adequate to Information is adequate to Information is adequate to post support measures to measure trends and support a comprehensive manage the impacts on support a strategy to strategy to manage ETP species. manage impacts on ETP impacts, minimize species. mortality and injury of ETP species, and evaluate with a high degree of certainty whether a strategy is achieving its objectives. Met? GOM and GB GOM and GB GOM and GB Y- large whales Y- large whales Y- large whales Y- small cetaceans Y- small cetaceans Y- small cetaceans Y- pinnipeds Y- pinnipeds Y- pinnipeds Y-sea turtles Y-sea turtles Y-sea turtles Y- Atlantic sturgeon Y- Atlantic sturgeon Y- Atlantic sturgeon Justifi As noted for SI a, some quantitative information is adequate to assess the UoA cation related mortality and impact and to determine whether the large mesh otter trawl fishery may be a threat to protection and recovery of the ETP species (NEFMC, 2017). The NEFSC Observer Program averages about 20% coverage of all fishing activity in this fishery. The US coast Guard also provides at sea enforcement of all NMFS regulations. This information is considered more than adequate to support a comprehensive strategy to manage impacts, minimize mortality and injury of ETP species, and evaluate with a high degree of certainty whether a strategy is achieving its objectives. Therefore, the large mesh bottom trawl as used in the Gulf of Maine and on Georges Bank meets the SG 60, 80 and 100 level requirements for the five elements (large whales, small cetaceans, sea turtles, pinnipeds, and Atlantic sturgeon)

NEFMC, 2017. Framework Adjustment 56 to the Northeast Multispecies FMP. 308 p. References http://s3.amazonaws.com/nefmc.org/170413_Groundfish_FW56_EA.pdf

GOM ELEMENT PERFORMANCE INDICATOR SCORE: 90 GB ELEMENT PERFORMANCE INDICATOR SCORE: 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 90 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.4.1 – Habitats outcome The UoA does not cause serious or irreversible harm to habitat structure and function, considered on the basis of the area covered by the governance PI 2.4.1 body(s) responsible for fisheries management in the area(s) where the UoA operates. Scoring Issue SG 60 SG 80 SG 100 a Commonly encountered habitat status Guide The UoA is unlikely to The UoA is highly unlikely There is evidence that the post reduce structure and to reduce structure and UoA is highly unlikely to function of the commonly function of the commonly reduce structure and encountered habitats to a encountered habitats to a function of the commonly point where there would be point where there would be encountered habitats to a serious or irreversible serious or irreversible point where there would be harm. harm. serious or irreversible harm. Met? GOM and GB -Yes GOM and GB-Yes GOM and GB-No Justifi The large mesh otter trawl fishery is primarily prosecuted on the gravel, sand and cation mud sediments on Georges Bank and in the Gulf of Maine (Figures 27 and 29). These substrate types provide both the proper habitat for the target species and are appropriate for the trawl gear used in this fishery. These substrate types are the "commonly encountered habitats". The "footprint" of the large mesh otter trawl fishery based on observer coverage of specific tows, VTR reports of trips, and dealer reports of landings are shown in Figures 32 and 33. As part of the management review process the NMFS has recently reviewed the habitat impacts of the multi-species fisheries, and has described the interactions of the various gear types with habitat (NMFS GARFO. 2015). Additionally, the impacts on habitat of the various fishery in the northeast were evaluated in the Omnibus Habitat Amendment 2,(NEFMC, 2016). Seabed vulnerability to fishing gear impacts was evaluated using the Swept Area Seabed Impact (SASI) approach. SASI was developed by the Council’s Habitat Plan Development Team to assist them in evaluating adverse effects across FMPs, developing measures to minimize those effects, and analyzing the impacts of those measures. The SASI approach consists of a vulnerability assessment and a spatial model. The vulnerability assessment reviewed the habitat impacts literature relevant to Northeast US fishing gears and seabed types, and created a framework for organizing and generating susceptibility and recovery values for seabed features based on a scale of relative differences for use in the SASI model. Although both seafloor and water column aspects of habitat are important in determining fish distributions, the focus of the vulnerability assessment is seabed features since fishing activities do not substantively alter the water column. The vulnerability assessment identified low-energy granule- pebble, cobble- and boulder-dominated habitats as being the most vulnerable to fishing impacts. This vulnerability is driven primarily by the estimated recovery times, i.e., the amount of time it takes for structural habitat features to return to their prior state. Next, seafloor substrate and energy maps were created to serve as a foundation for a modelling approach that examines the spatial distribution of vulnerable seafloor habitats. The substrate classification follows Wentworth scale). Seafloor energy was classified as either high or low energy based on model estimates of flow rate at the seabed or according to depth in locations. Various seabed features such as sand waves or sponges were inferred to occur in particular substrate-energy types. Then the seabed features were given susceptibility and recovery scores according to the nature of the fishing gear impact (i.e. the type of gear and how it interacts with the seabed). The initial effect of the gear (susceptibility) and the recovery duration were scored on a scale of zero to

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US Maine haddock, pollock and redfish The UoA does not cause serious or irreversible harm to habitat structure and function, considered on the basis of the area covered by the governance PI 2.4.1 body(s) responsible for fisheries management in the area(s) where the UoA operates. three. The recovery times for the various substrate types were estimated based on literature review and are described in NEFMC (2016), and Grabowski et al. (2014). Tthe scale ranged from 0 to 3, with recovery times of less than 1 year for 0 to greater then 5 years for 3. For otter trawl gear, areas with high potential vulnerability scores include the area between Cape Cod and the deeper waters of the Great South Channel, a small area in central Georges Bank, the north-eastern flank of Georges Bank, areas along the coast in the Gulf of Maine, and various offshore banks and ledges in the Gulf of Maine, including Jeffreys Bank, Stellwagen Bank, Platts Bank, Jeffreys Bank, Fippennies Ledge, and Cashes Ledge. An additional high vulnerability area was mapped off the Rhode Island coast (see Figure 30 below). The mean estimated recovery time for the five substrates impacted by otter trawls on Georges Bank and in the Gulf of Maine was about 3 years with a +/- SE range of 0.5 years (NEFMC 2016 and Grabowski et al. 2014).

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US Maine haddock, pollock and redfish The UoA does not cause serious or irreversible harm to habitat structure and function, considered on the basis of the area covered by the governance PI 2.4.1 body(s) responsible for fisheries management in the area(s) where the UoA operates.

Figure 30. SASI model estimate of seabed habitat vulnerability A comparison of estimated realized adverse effects from the SASI model by gear type and calendar year is shown in the Figure 31 below. While overall trawls have been shown to have the greatest realized adverse effects on habitat on the northeast shelf of the US, that impact has declined substantially on the last decade.

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US Maine haddock, pollock and redfish The UoA does not cause serious or irreversible harm to habitat structure and function, considered on the basis of the area covered by the governance PI 2.4.1 body(s) responsible for fisheries management in the area(s) where the UoA operates.

Figure 31. Comparison of estimated realized adverse effects from the SASI model The footprint of the large mesh otter trawl gear type used in the trawl fishery has been documented based on sea sampling or observer coverage for the standard trawl, and average annual landings (live weight) by statistical area from the dealer tables (Figure 32 shown below). In general these data indicate that the trawl fishery is avoiding the areas of high habitat vulnerability as identified in the previous Figure 30.

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US Maine haddock, pollock and redfish The UoA does not cause serious or irreversible harm to habitat structure and function, considered on the basis of the area covered by the governance PI 2.4.1 body(s) responsible for fisheries management in the area(s) where the UoA operates.

Figure 32.Large mesh demersal otter trawl effort 2008-2012. Yellow to brown shading shows average annual landings (live weight) by statistical area from the dealer tables. Black lines show start/end positions of hauls observed at sea.

So, in conclusion while trawls have been demonstrated to have the potential to negatively impact the bottom habitat specifically the "commonly encountered habitat" of gravel, sand and mud on Georges Bank and in the Gulf of Maine, in reality, that impact has been reduced in the last decade, and the trawl fishing activity in the last few years has been demonstrated to be not occurring in the most vulnerable of seabed habitats. MSC defines “serious or irreversible harm” as reductions in habitat structure and function such that the habitat would be unable to recover at least 80% of its structure and function within 5-20 years if fishing on the habitat were to cease entirely. At the SG80 level, highly unlikely is defined to be '=< than the 30th percentile. As described above, the NMFS-NEFMC SASI model considers the vulnerability of the seabed, and vulnerability is driven primarily by the estimated recovery times, i.e., the amount of time it takes for structural habitat features to return to their prior state. Comparing Figure 30, a map of the substrate vulnerabilities to Figure 32, a map of the footprint

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US Maine haddock, pollock and redfish The UoA does not cause serious or irreversible harm to habitat structure and function, considered on the basis of the area covered by the governance PI 2.4.1 body(s) responsible for fisheries management in the area(s) where the UoA operates. of the trawl fishery, demonstrates that with the exception of the northern edge of Georges Bank the trawl fishery impacts habitat with relatively low vulnerability. Additionally, the mean estimated recovery time for the five substrates impacted by otter trawls on Georges Bank and in the Gulf of Maine were about 3 years with a +/- SE range of 0.5 years (Grabowski et al. 2014). This exceeds the requirements of the SG80 score for PI2.4.1 SIa. Therefore, the fishery meets the SG 60 and 80 requirements, that the UoA is highly unlikely to reduce structure and function of the commonly encountered habitats to a point where there would be serious or irreversible harm, as the mean recovery times for all impacted substrates are estimated to be less than 5 years. However, the fisherydoes not meet the SG 100 requirements as there is not real evidence that demonstrates this, only modelling that suggests it. b VME habitat status Guide The UoA is unlikely to The UoA is highly unlikely There is evidence that the post reduce structure and to reduce structure and UoA is highly unlikely to function of the VME function of the VME reduce structure and habitats to a point where habitats to a point where function of the VME there would be serious or there would be serious or habitats to a point where irreversible harm. irreversible harm. there would be serious or irreversible harm. Met? Not relevant Not relevant Not relevant Justifi As described in section 3.6.3 of this report are no VME habitats impacted by the large cation mesh trawl fishery. The deep sea corals habitats in the canyons are beyond the demonstrated footprint of this fishery. c Minor habitat status Guide There is evidence that

post the UoA is highly unlikely to reduce structure and function of the minor habitats to a point where there would be serious or irreversible harm. Met? GOM and GB-Yes Justifi There are no minor habitats, as the fishery footprint and the analysis presented in SI cation a, includes all common encountered habitats or the main habitats. Therefore the fishery meets the SG 100 level requirements, as there is evidence that the UoA is highly unlikely to reduce structure and function of the minor habitats to a point where there would be serious or irreversible harm.

Grabowski, J., M. Bachman, C.Demarest, S. Eayrs, B. P. Harris, V. Malkoski . 2014. Assessing the Vulnerability of Marine Benthos to Fishing Gear Impacts. Reviews in Fishery Science and Aquaculture, vol. 22, issue 2, pp.142-155 References New England Fishery Management Council (NEFMC) In cooperation with the National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p.

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US Maine haddock, pollock and redfish The UoA does not cause serious or irreversible harm to habitat structure and function, considered on the basis of the area covered by the governance PI 2.4.1 body(s) responsible for fisheries management in the area(s) where the UoA operates. NMFS GARFO. 2015. Fishing Years 2015-2020 Northeast Multispecies Sector Operations Plans and Contracts, A Programmatic Environmental Assessment.

GOM ELEMENT PERFORMANCE INDICATOR SCORE: 90 GB ELEMENT PERFORMANCE INDICATOR SCORE: 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 90 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 90 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.4.2 – Habitats management strategy There is a strategy in place that is designed to ensure the UoA does not pose PI 2.4.2 a risk of serious or irreversible harm to the habitats. Scoring Issue SG 60 SG 80 SG 100 a Management strategy in place Guide There are measures in There is a partial strategy There is a strategy in place post place, if necessary, that in place, if necessary, that for managing the impact of are expected to achieve is expected to achieve the all MSC UoAs/non-MSC the Habitat Outcome 80 Habitat Outcome 80 level fisheries on habitats. level of performance. of performance or above. Met? GOM and GB-Yes GOM and GB-Yes GOM and GB-Yes Justifi As described in the justification of PI 2.1.1, SI a, the NEFMC 2016, Omnibus cation Essential Fish Habitat Amendment has considered both the vulnerability of all benthic habitats on the northeast US shelf, and compares that to the footprints of the various fisheries that could potentially impact the habitat. It also evaluates existing habitat management areas and develops new habitat management areas. Included in the Habitat Amendment are several types of habitat management areas: Essential Fish Habitat and Habitat Area of Particular Concern (HAPC) designations are based on species-specific distributions and life-history information, and are used primarily for analytical approaches in impact analyses and agency consultations. Spatial management areas (HMAs) contain habitats of importance to multiple species, are vulnerable to impacts from fishing, and as such, could be subject to gear restrictions for conservation purposes on the basis of gear type. Three types of spatial management areas are included in the Habitat Amendment, year-round habitat management areas and dedicated habitat research areas; and groundfish seasonal spawning areas. These form the basis of the NEFMC strategy for managing the impacts of all MSC UoAs and non MSC fisheries on the northeast shelf habitat. Therefore the fishery meets the SG 60 80 and 100 level requirements, as there is a strategy in place for managing the impact of all MSC UoAs/non-MSC fisheries on habitats. b Management strategy evaluation Guide The measures are There is some objective Testing supports high post considered likely to work, basis for confidence that confidence that the partial based on plausible the measures/partial strategy/strategy will work, argument (e.g. general strategy will work, based based on information experience, theory or on information directly directly about the UoA comparison with similar about the UoA and/or and/or habitats involved. UoAs/habitats). habitats involved. Met? GOM and GB-Yes GOM and GB-Yes GOM and GB-No Justifi The NEFMC has recently implemented the Omnibus Habitat Amendment and it cation includes: • EFH designations were specified for all managed species and life stages • HAPC designations were approved for six nearshore/continental shelf areas, two seamounts, and eleven submarine canyons or groups of canyons. Closed areas, or gear restrictions were approved for several HMAs in the Eastern and Central GOM. Thus some objective basis for confidence that the strategy will work, based on information directly about the fishery and/or habitats involved, however while there has been considerable modelling of habitat impacts, there is not testing that supports

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to ensure the UoA does not pose PI 2.4.2 a risk of serious or irreversible harm to the habitats. high confidence that the partial strategy/strategy will work, based on information directly about the UoA and/or habitats involved. Therefore, the fishery meets the SG 60 and 80 level requirements, but not the SG 100 level requirements. c Management strategy implementation Guide There is some quantitative There is clear quantitative post evidence that the evidence that the partial measures/partial strategy strategy/strategy is being is being implemented implemented successfully successfully. and is achieving its objective, as outlined in scoring issue (a). Met? GOM and GB-Yes GOM and GB-No Justifi As noted in the justification of SI b for this PI, the NEFMC Omnibus Habitat cation Amendment 2, has recently been implemented. Habitat conservation measures already in place include two types of year-round closures: the habitat closure areas and groundfish closures. The habitat closure areas restrict mobile bottom-tending gears. The groundfish closures restrict all gears capable of catching groundfish. In addition seasonal area closures are used to protect spawning fish, but concurrently may reduce overall impact on bottom habitats. This provides some quantitative evidence that the partial strategy/strategy is being implemented successfully. There is not yet sufficient evidence to determine if it is achieving its objective as outlined in SI a. Therefore, the fishery meets the SG 80 requirements, but not the SG 100 requirements. d Compliance with management requirements and other MSC UoAs’/non-MSC fisheries’ measures to protect VMEs Guide There is some There is clear There is qualitative post quantitative evidence quantitative evidence evidence that the UoA that the UoA complies that the UoA complies complies with its with both its management with both its management management requirements and with requirements and with requirements to protect protection measures protection measures VMEs. afforded to VMEs by other afforded to VMEs by other MSC UoAs/non-MSC MSC UoAs/non-MSC fisheries, where relevant. fisheries, where relevant. Met? Not relevant Not relevant Not relevant Justifi As described in section 3.6.3 of the report, VME Considerations, the UoA does not cation impact any VME habitats, because the footprint of the fishery does not overlap the protected deepwater coral habitats.

New England Fishery Management Council (NEFMC) In cooperation with the References National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p.

GOM ELEMENT PERFORMANCE INDICATOR SCORE: 85 GB ELEMENT PERFORMANCE INDICATOR SCORE: 85 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 85

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US Maine haddock, pollock and redfish There is a strategy in place that is designed to ensure the UoA does not pose PI 2.4.2 a risk of serious or irreversible harm to the habitats. OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 85 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 85 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 85 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.4.3 – Habitats information Information is adequate to determine the risk posed to the habitat by the UoA PI 2.4.3 and the effectiveness of the strategy to manage impacts on the habitat. Scoring Issue SG 60 SG 80 SG 100 a Information quality Guide The types and distribution The nature, distribution The distribution of all post of the main habitats are and vulnerability of the habitats is known over broadly understood. main habitats in the UoA their range, with particular area are known at a level attention to the occurrence

of detail relevant to the of vulnerable habitats. OR scale and intensity of the UoA.

If CSA is used to score PI 2.4.1 for the UoA: OR

Qualitative information is If CSA is used to score PI adequate to estimate the 2.4.1 for the UoA: types and distribution of

the main habitats. Some quantitative information is available and is adequate to estimate the types and distribution of the main habitats. Met? GOM and GB-Yes GOM and GB-Yes GOM and GB-Yes Justifi As described in the justification of PI 2.4.1, SI a the NEFMC Omnibus Habitat cation Amendment II provides a detailed analysis the distribution of all habitats is known over their range, and their vulnerability to the impacts of fishing with particular attention to the occurrence of vulnerable habitats. The sedimentary features of the Gulf of Maine and Georges Bank are shown in Figures 27 and 29 in section 3.6.3 of the report. The vulnerability of the sedimentary habitats to the impacts of fishing was evaluated in the SASI model as described and shown with figures in PI 2.4.1, SA a. Additionally the protected vulnerable deepwater coral habitats on the continental slope and in the deep canyons are described in the VME considerations portion of section 3.6.3 of the report. The footprint of the fishery is shown is Figures 32 and 33 and it is demonstrated that there is no overlap between the protected VME habitats and the UoA. Therefore, the fishery meets the SG 60, 80 and 100 level requirements, where the distribution of all habitats is known over their range, with particular attention to the occurrence of vulnerable habitats. b Information adequacy for assessment of impacts Guide Information is adequate to Information is adequate to The physical impacts of post broadly understand the allow for identification of the gear on all habitats nature of the main the main impacts of the have been quantified fully. impacts of gear use on UoA on the main habitats, the main habitats, and there is reliable including spatial overlap information on the spatial

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US Maine haddock, pollock and redfish Information is adequate to determine the risk posed to the habitat by the UoA PI 2.4.3 and the effectiveness of the strategy to manage impacts on the habitat. of habitat with fishing extent of interaction and gear. on the timing and location of use of the fishing gear. OR OR If CSA is used to score PI 2.4.1 for the UoA: If CSA is used to score PI 2.4.1 for the UoA:

Qualitative information is adequate to estimate the Some quantitative consequence and spatial information is available attributes of the main and is adequate to habitats. estimate the consequence and spatial attributes of the main habitats. Met? GOM and GB-Yes GOM and GB-Yes GOM and GB-No Justifi The Swept Area Seabed Impact (SASI) approach, includes a quantitative, spatially- cation referenced model that overlays fishing activities on habitat through time to estimate both potential and realized adverse effects to EFH (NEFMC 2016) (http://www.nefmc.org/habitat/sasi_info/110121_SASI_Document.pdf). The spatial domain of the SASI model is US Federal waters (between 3-200 nm offshore) from Cape Hatteras to the US-Canada border Within this region, habitats were defined based on natural disturbance regime and dominant substrate. The dominant substrate map was composed of thousands of visual and grab sample observations , with grid size based on the spacing of the observations. One of the outputs of the model is habitat vulnerability, which is related in part to the characteristics of the habitat itself, and part to the quality of the impact. Because of a general need for attachment sites, epifauna that provided a sheltering function for managed species tend to be more diverse and abundant in habitats containing larger grain sized substrates. Structurally complex and/or long-lived epifaunal species are more susceptible to gear damage and slower to recover. Recovery rates were assumed to be retarded in low energy areas, such that overall vulnerability (susceptibility + recovery) of low energy areas is greater than high energy areas, other factors being equal. When combined with the underlying substrate and energy distribution, the susceptibility and recovery scores assigned to the inferred mix of epifaunal and geological features generated a highly patchy vulnerability map. Locations where high proportions by area map out as cobble-dominated or cobble- and boulder-dominated tended to show higher vulnerability scores. Thus, the information is adequate to allow for identification of the main impacts of the UoA on the main habitats, and there is reliable information on the spatial extent of interaction and on the timing and location of use of the fishing gear Therefore the fishery meets the SG 60 and 80 level requirements, but not the SG 100 level as physical impacts of the gear on all habitats have been quantified fully. c Monitoring Guide Adequate information Changes in habitat post continues to be collected distributions over time are to detect any increase in measured. risk to the main habitats. Met? GOM and GB-Yes GOM and GB-Yes Justifi Sufficient data continue to be collected to detect any increase in risk to habitat (e.g. cation due to changes in the outcome indicator scores or the operation of the fishery or the

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US Maine haddock, pollock and redfish Information is adequate to determine the risk posed to the habitat by the UoA PI 2.4.3 and the effectiveness of the strategy to manage impacts on the habitat. effectiveness of the measures). Changes in habitat distributions over time are measured. The NEFSC research priorities and ongoing programs include conducting ongoing integrated habitat assessments within the Northeast LME to meet emerging management needs and mandates, and maintaining data and sample collection and processing, and analytical capabilities to support habitat assessments for fish, invertebrates, marine mammals, and sea turtles. Therefore the fishery meets the SG 80 and 100 level requirements.

New England Fishery Management Council (NEFMC) In cooperation with the References National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p.

GOM ELEMENT PERFORMANCE INDICATOR SCORE: 95 GB ELEMENT PERFORMANCE INDICATOR SCORE: 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 95 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 95 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.5.1 – Ecosystem outcome The UoA does not cause serious or irreversible harm to the key elements of PI 2.5.1 ecosystem structure and function. Scoring Issue SG 60 SG 80 SG 100 a Ecosystem status Guide The UoA is unlikely to The UoA is highly unlikely There is evidence that the post disrupt the key elements to disrupt the key elements UoA is highly unlikely to underlying ecosystem underlying ecosystem disrupt the key elements structure and function to a structure and function to a underlying ecosystem point where there would be point where there would be structure and function to a a serious or irreversible a serious or irreversible point where there would be harm. harm. a serious or irreversible harm. Met? GOM and GB-Yes GOM and GB-Yes GOM and GB-No Justifi The fishery is at least highly unlikely (less than 30% probability) to disrupt the key cation elements underlying ecosystem structure and function to a point where there would be serious or irreversible harm (defined by MSC “in relation to the capacity of the ecosystem to deliver ecosystem services”). Neither haddock, pollock nor Acadian redfish are key participants in the transfer of energy through the trophic web as described by the MSC low-trophic-level species requirements. Because of the nature of the large mesh bottom trawl, the impact of the fishery is focused on the seabed, and there are no known impacts on the pelagic environment. Information linking managed groundfish species of fish to the habitats they occupy and the functional value of those habitats in enhancing fishery resource productivity is crucial in order to identify habitat management measures that will minimize the adverse effects of fishing to the extent practicable. The productivity of a population is a function of recruitment, the process by which younger age groups are added to the population, and growth rates of members. Processes that increase the number of small fish that reach a size at which they enter, or recruit to, the population and/or the rate at which they reach the size at recruitment, build stock biomass. Recruitment is affected by a number of factors, including the number and sizes of spawning fish, the feeding success of young fish, predation, and environmental variables such as temperature and the availability of suitable habitats that affect the survival of eggs, larvae, and pre-recruit age groups of fish (i.e., for shelter from predators, from currents, and for access to prey). Recruitment failures and mortality of adults reduce the abundance of fish available for a sustainable harvest. Because recruitment is affected by so many factors, it is very difficult to quantify the link between recruitment and habitat protection. There are many cases in which large year classes of fish are produced and sustain exploited populations for years once they reach harvestable sizes without any clear explanation as to what processes caused such high survival of the early life history stages (e.g., the 2003 year class of haddock in the Georges Bank-Gulf of Maine region). However, because recruitment is a function of growth and survival, habitat types that are linked to higher survival and/or growth rates of juvenile fish would benefit from conservation measures designed to minimize the adverse effects of fishing (if those habitat types are vulnerable to the impacts of fishing). The underlying premise of this amendment is that there are habitats linked to higher survival and/or growth rates of juvenile fish which are vulnerable to the adverse effects of fishing. By protecting these habitats, recruitment rates will increase. By increasing recruitment rates, the productivity of managed species with life stages that rely on those vulnerable habitats will increase. There are a number of studies demonstrating the importance of complex bottom habitats in providing optimum conditions that enhance the survival of recently-settled and older juvenile fish. Complex, highly-structured benthic habitats are relatively rare

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US Maine haddock, pollock and redfish The UoA does not cause serious or irreversible harm to the key elements of PI 2.5.1 ecosystem structure and function. in continental shelf waters and are used by many species to reduce predation risk and provide food. If suitable habitats are limited, or if the abundance of juveniles that rely on these critical habitats exceeds the amount of suitable habitat that is available, ecological “bottlenecks” to recruitment are created. Fishing gears and practices that reduce the quality and quantity of suitable habitat for these species can be expected to reduce recruitment rates and stock productivity. As described in the justification to PI 2.4.1, SI a, the NEFMC Omnibus Habitat Amendment II (NEFMC, 2016) has documented the reduction in the benthic habitat impact of the bottom trawl fishery on the US northeast continental shelf in the last two decades. The report also outlines the management measures in place that will further limit this impact, and therefore the ecosystem impacts of the fishery in the future. Other impacts to be considered are include unintended consequences of fishery such as lost gear, fuel and oil pollution, waste and litter. The US is a signatory of the International Convention for the Prevention of Pollution from Ships (MARPOL) convention and is thus responsible for dealing with any marine pollution issues. However, there is no evidence to suggest that the large mesh bottom trawl fishery has any violations of MARPOL regulations, therefore the fishery is again considered to be least highly unlikely (less than 30% probability) to disrupt the key elements underlying ecosystem structure and function to a point where there would be serious or irreversible harm (defined by MSC “in relation to the capacity of the ecosystem to deliver ecosystem services”). Therefore the fishery meets the requirements of the SG 60 and 80 levels, but not the SG 100 level, as there is not clear evidence that the large mesh bottom trawl fisheries are highly unlikely to disrupt the key elements underlying ecosystem structure and function to a point where there would be a serious or irreversible harm.

New England Fishery Management Council (NEFMC) In cooperation with the References National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p. GOM ELEMENT PERFORMANCE INDICATOR SCORE: 80 GB ELEMENT PERFORMANCE INDICATOR SCORE: 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 80 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.5.2 – Ecosystem management strategy There are measures in place to ensure the UoA does not pose a risk of PI 2.5.2 serious or irreversible harm to ecosystem structure and function. Scoring Issue SG 60 SG 80 SG 100 a Management strategy in place Guide There are measures in There is a partial strategy There is a strategy that post place, if necessary which in place, if necessary, consists of a plan, in place take into account the which takes into account which contains measures potential impacts of the available information and to address all main fishery on key elements of is expected to restrain impacts of the UoA on the the ecosystem. impacts of the UoA on the ecosystem, and at least ecosystem so as to some of these measures achieve the Ecosystem are in place. Outcome 80 level of performance. Met? GOM and GB-Yes GOM and GB -Yes GOM and GB-No Justifi Because of the nature of the fishery (species prosecuted, gear used, two cation decades of effort reductions, etc.), ecosystem impacts are expected to be minimal. As such, while there is a fishery specific component to the habitat impacts of the fishery in the new Omnibus EFH amendment 2 (NEFMC, 2016), there is no fishery-specific management strategy pertaining to ecosystem impacts. However, because these fisheries are primarily managed according to a federal FMP (NE Groundfish Management Plan) in compliance with the MSA, there is a broad management framework available that addresses ecosystem impacts of fishing as a whole, when the ten National Standards are taken together as management objectives. Therefore the fishery meets the SG 60 and 80 level requirements, that is there is a partial strategy in place, if necessary, which takes into account available information and is expected to restrain impacts of the UoA on the ecosystem so as to achieve the Ecosystem Outcome 80 level of performance. It is clear that there is no specific strategy that consists of a plan, in place which contains measures to address all main impacts of the large mesh bottom trawl fishery on the ecosystem, and at least some of these measures are in place, so the fishery does not meet the requirements of the SG 100 level. b Management strategy evaluation Guide The measures are There is some objective Testing supports high post considered likely to work, basis for confidence that confidence that the partial based on plausible the measures/partial strategy/strategy will work, argument (e.g., general strategy will work, based based on information experience, theory or on some information directly about the UoA comparison with similar directly about the UoA and/or ecosystem involved fisheries/ ecosystems). and/or the ecosystem involved Met? GOM and GB-Yes GOM and GB-Yes GOM and GB-No Justifi As noted in SI a for this PI, because of the nature of the fishery (species prosecuted, cation gear deployed, areas fished, reductions in effort over the last two decades; see above under PI 2.5.1), ecosystem impacts are expected to be minimal and managed. The NEFMC Omnibus Habitat Amendment II demonstrates a commitment by the fishery management agency to develop and implement a management strategy to limit and monitor the ecosystem impacts of the fishery. Thus, there is some objective basis for

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US Maine haddock, pollock and redfish There are measures in place to ensure the UoA does not pose a risk of PI 2.5.2 serious or irreversible harm to ecosystem structure and function. confidence that the measures/partial strategy will work, based on information directly about the large mesh bottom trawl fisheries and/or the ecosystem involved. Therefore the SG 60 and 80 level requirements are met, as there is some objective basis for confidence that the measures/partial strategy will work, based on some information directly about the UoA and/or the ecosystem involved. However the fishery does not meet the requirements of the SG 100 level where testing supports high confidence that the partial strategy/strategy will work. c Management strategy implementation Guide There is some evidence There is clear evidence post that the measures/partial that the partial strategy is being strategy/strategy is being implemented successfully. implemented successfully and is achieving its objective as set out in scoring issue (a). Met? GOM and GB-Yes GOB and GB-No Justifi As noted in SI a for this PI, because of the nature of the fishery (species prosecuted, cation gear deployed, areas fished, reductions in effort over the last two decades; see above under PI 2.5.1), ecosystem impacts are expected to be minimal and managed. The NEFMC Omnibus Habitat Amendment II demonstrates a commitment by the fishery management agency to develop and implement a management strategy to limit and monitor the ecosystem impacts of the fishery. Thus, there is some objective basis for confidence that the measures/partial strategy will work, based on information directly about the large mesh bottom trawl fisheries and/or the ecosystem involved. Therefore, the SG 80 requirement are met as there is some evidence that the measures/partial strategy is being implemented successfully, but there is no as yet evidence that it is achieving its objective, so the SG 100 requirements are not met.

New England Fishery Management Council (NEFMC) In cooperation with the References National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p. GOM ELEMENT PERFORMANCE INDICATOR SCORE: 80 GB ELEMENT PERFORMANCE INDICATOR SCORE: 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 80 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 80 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 2.5.3 – Ecosystem information PI 2.5.3 There is adequate knowledge of the impacts of the UoA on the ecosystem. Scoring Issue SG 60 SG 80 SG 100 a Information quality Guide Information is adequate to Information is adequate to post identify the key elements broadly understand the of the ecosystem. key elements of the ecosystem. Met? GOM and GB-Yes GOM and GB-Yes Justifi Information is available to broadly understand the key elements of the ecosystem (PI cation 2.5.1, SI (a)) and the main functions of the components in the ecosystem are known (PI 2.5.1 SI (c)). The Northeast U.S. Continental Shelf Large Marine Ecosystem (NESLME) (Sherman et al. 1996) is one of the most studied marine ecosystems in the world. In addition bottom trawl fishery interactions with this ecosystem have been documented at several and continue to be monitored at the NEFSC. The NEFSC produces an Ecosystem Status report for the Northeast Shelf Large Marine Ecosystem, and this is updated regularly (see http://www.nefsc.noaa.gov/publications/crd/crd1207/crd1207.pdf). This report summarizes the key ecosystem elements, both abiotic and biotic, which are monitored regularly. Therefore the fishery meets the requirements of the SG 60 and 80 levels for SIa. b Investigation of UoA impacts Guide Main impacts of the UoA Main impacts of the UoA Main interactions between post on these key ecosystem on these key ecosystem the UoA and these elements can be inferred elements can be inferred ecosystem elements can from existing information, from existing information, be inferred from existing but have not been and some have been information, and have investigated in detail. investigated in detail. been investigated in detail. Met? GOM and GB-Yes GOM and GB-Yes GOM and GB-No Justifi Main impacts of the fishery on these key ecosystem elements can be inferred from cation existing information, and some have been investigated in detail. As mentioned in previous performance indicators, the large mesh bottom trawl fishery is a large fishery including two major ecosystems, the Gulf of Maine and Georges Bank. While this assessment only considers three species of fish, many species are taken in this fishery, and discarding is significant. Biomass trends for almost all species taken, are monitored, and although they are decreasing in some areas, they are increasing in others. Fisheries interactions with this ecosystem have been documented at several levels and are well known and continue to be monitored at the NEFSC (NEFMC, 2016). However because of changing species composition and abundance associated with fisheries, and significant climate change effects on species distributions and recruitment, the ecosystem is ever-changing and dynamic (NEFMC, 2016), Therefore the fishery meets the SG 60 and 80 level requirements, the main impacts of the UoA on these key ecosystem elements can be inferred from existing information, and some have been investigated in detail, but not the SG 100 level requirements. c Understanding of component functions

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US Maine haddock, pollock and redfish PI 2.5.3 There is adequate knowledge of the impacts of the UoA on the ecosystem. Guide The main functions of the The impacts of the UoA on post components (i.e., P1 P1 target species, primary, target species, primary, secondary and ETP secondary and ETP species and Habitats are species and Habitats) in identified and the main the ecosystem are known. functions of these components in the ecosystem are understood. Met? GOM and GB-Yes GOM and GB-No Justifi Information is available to broadly understand the key elements of the ecosystem (PI cation 2.5.1, SI a) and the main functions of the components in the ecosystem are known (PI 2.5.1,SI c). These elements must be addressed in FMPs under and ecosystem functions have been documented in NEFSC (2016). The NEFSC produces an Ecosystem Status report for the Northeast Shelf Large Marine Ecosystem, and this is updated regularly (see http://www.nefsc.noaa.gov/publications/crd/crd1207/crd1207.pdf). This report summarizes the key ecosystem elements, both abiotic and biotic, which are monitored regularly. Therefore the fishery meets the requirements of the SG 80 level for SI c, but not the SG 100 level. d Information relevance Guide Adequate information is Adequate information is post available on the impacts of available on the impacts of the UoA on these the UoA on the components to allow some components and elements of the main consequences to allow the main for the ecosystem to be consequences for the inferred. ecosystem to be inferred. Met? GOM and GB-Yes GOM and GB-No Justifi Main impacts of the fishery on these key ecosystem elements and some of the cation consequences for the ecosystem can be inferred from existing information, and some have been investigated in detail. The Northeast U.S. Continental Shelf Large Marine Ecosystem (NESLME) (Sherman et al. 1996) is one of the most studied marine ecosystems in the world. In addition trawl fishery interactions with this ecosystem have been documented at several levels (NEFMC, 2016) and continue to be monitored at the NEFSC. The fishery does not score 100 because the ecosystem is not static, but dynamic because of climate change and changing trophic interactions because of overfishing (NEFMC, 2016). Therefore the fishery meets the requirements of the SG 80 level for SIc, but not the SG 100 level. e Monitoring Guide Adequate data continue to Information is adequate to post be collected to detect any support the development increase in risk level. of strategies to manage ecosystem impacts. Met? Yes Yes

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US Maine haddock, pollock and redfish PI 2.5.3 There is adequate knowledge of the impacts of the UoA on the ecosystem. Justifi Information is available to broadly understand the key elements of the ecosystem (PI cation 2.5.1, SI a) and the main functions of the components in the ecosystem are known (PI 2.5.1, SI c). The NEFSC produces an Ecosystem Status report for the Northeast Shelf Large Marine Ecosystem, and this is updated regularly (see http://www.nefsc.noaa.gov/publications/crd/crd1207/crd1207.pdf). This report summarizes the key ecosystem elements, both abiotic and biotic, which are monitored regularly. Sufficient data continue to be collected to detect any increase in risk level (e.g., due to changes in the outcome indicator scores or the operation of the fishery or the effectiveness of the measures). Ecosystem information for this fishery is collected by and resides in the NEFSC which continues to conduct integrated ecosystem assessments and supporting ecosystem–based management within the Northeast LME to meet emerging management needs and mandates including assessing ecosystem impacts by this fishery (NEFMC 2016). The fishery meets the requirements of the SG 80 and 100 levels as the information monitoring Information is adequate to detect any increase in risk level and to support the development of strategies to manage ecosystem impacts.

New England Fishery Management Council (NEFMC) In cooperation with the National Marine Fisheries Service. 2016. Omnibus Essential Fish Habitat Amendment 2. Volume 1, 465p. References NEFSC, Northeast Shelf Large Marine Ecosystem, http://www.nefsc.noaa.gov/publications/crd/crd1207/crd1207.pdf). Sherman, K., N.A. Jaworski, and T.J. Smayda, 1996. The Northeast Shelf Ecosystem. 1996: Blackwell Scientific, Oxford. 564 pp. GOM ELEMENT PERFORMANCE INDICATOR SCORE: 85 GB ELEMENT PERFORMANCE INDICATOR SCORE: 85 OVERALL PERFORMANCE INDICATOR SCORE, UoA 1 (GOM): 85 OVERALL PERFORMANCE INDICATOR SCORE, UoA 2 (GB): 85 OVERALL PERFORMANCE INDICATOR SCORE, UoA 3 (GOM and GB): 85 OVERALL PERFORMANCE INDICATOR SCORE, UoA 4 (GOM and GB): 85 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 3.1.1 – Legal and/or customary framework The management system exists within an appropriate legal and/or customary framework which ensures that it: PI 3.1.1 • Is capable of delivering sustainability in the UoA(s); and • Observes the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood; and • Incorporates an appropriate dispute resolution framework. Scoring Issue SG 60 SG 80 SG 100 a Compatibility of laws or standards with effective management Guide There is an effective There is an effective There is an effective post national legal system and national legal system and national legal system and a framework for organized and effective binding procedures cooperation with other cooperation with other governing cooperation parties, where necessary, parties, where necessary, with other parties which to deliver management to deliver management delivers management outcomes consistent with outcomes consistent with outcomes consistent with MSC Principles 1 and 2 MSC Principles 1 and 2 MSC Principles 1 and 2. Met? Y Y Y Justifi MSC Principle 1 states that: “A fishery must be conducted in a manner that does not cation lead to over-fishing or depletion of the exploited populations and, for those populations that are depleted, the fishery must be conducted in a manner that demonstrably leads to their recovery. MSC Principle 2 states that: “Fishing operations should allow for the maintenance of the structure, productivity, function, and diversity of the ecosystem (including habitat and associated dependent and ecologically related species) on which the fishery depends. The U.S. federal fishery management system operates under the authority of the Magnuson-Stevens Fishery Conservation and Management Act (MSFCMA), the National Environmental Protection Act, the Administrative Procedures Act, and various executive orders. Each of these governing statutes create binding requirements and procedures that must be followed to prevent overfishing, to rebuild depleted stocks, and to protect the ecosystem and ecologically related species for all fisheries. The MSFCMA contains ten national standards for fishery conservation and management. The national standards of particular relevance to MSC Principles 1 and 2 are as follows: (1) Conservation and management measures shall prevent overfishing while achieving, on a continuing basis, the optimum yield from each fishery for the United States fishing industry. (2) Conservation and management measures shall be based upon the best scientific information available. (3) To the extent practicable, an individual stock of fish shall be managed as a unit throughout its range, and interrelated stocks of fish shall be managed as a unit or in close coordination. (9) Conservation and management measures shall, to the extent practicable, (A) minimize bycatch and (B) to the extent bycatch cannot be avoided, minimize the mortality of such bycatch. Regarding cooperating between the branches and levels of government, stakeholders, and the public. The National Standard Guidelines for National Standard 3 in the MSFCMA speaks directly to cooperation with other parties where necessary

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US Maine haddock, pollock and redfish The management system exists within an appropriate legal and/or customary framework which ensures that it: PI 3.1.1 • Is capable of delivering sustainability in the UoA(s); and • Observes the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood; and • Incorporates an appropriate dispute resolution framework. to deliver appropriate management outcomes: “Cooperation and understanding among entities concerned with the fishery (e.g., Councils, states, Federal Government, international commissions, foreign nations) are vital to effective management. Where management of a fishery involves multiple jurisdictions, coordination among the several entities should be sought in the development of an FMP. Where a range overlaps Council areas, one FMP to cover the entire range is preferred. The Secretary designates which Council(s) will prepare the FMP, under section 304(f) of the Magnuson-Stevens Act.” (USOFR 2018) This system has proven to be effective at maintaining and re-establishing healthy populations of targeted species and maintaining the integrity of ecosystems. Haddock and redfish are examples of fish stocks that were severely depleted during the latter half of the 20th Century and were fully restored by measures developed and implemented through the management system in the mid-1990s. In 2016 the SSB for GB haddock was estimated to be 290,324 mt, which is 278% of the biomass target (NEFSC 2017). For GOM haddock, spawning stock biomass (SSB) in 2016 was estimated to be 47,821 (mt) which is 706% of the biomass target (NEFSC 2017). For Acadian redfish, retrospective adjusted spawning stock biomass (SSB) in 2016 was estimated to be 359,970 (mt) which is 145% of the biomass target (NEFSC 2017). The MFCMA requires Councils to designate essential fish habitat (EFH) and take steps to minimize the impacts of fishing gear on EFH to the extent practicable. The NEFMC’s 1999 habitat amendment designated EFH for the 18 species managed by the Council at the time, documented major threats to EFH from both fishing and non- fishing related activities, and designated Habitat Areas of Particular Concern (HAPC) for Atlantic salmon and Atlantic cod (https://www.nefmc.org/management- plans/habitat). In 2004, the NEFMC initiated Omnibus EFH Amendment 2 (OHA2). Once implemented, OHA2 will update EFH designations for all species managed by the Council (now 28), designate new HAPCs, and revise the current habitat and groundfish management areas. The amendment used a new Swept Area Seabed Impact (SASI) model to assess habitat vulnerability to fishing gear and develop revised habitat management areas (https://www.nefmc.org/management- plans/habitat). The NEFMC is also developing a deep-sea coral amendment that considers coral conservation measures: (1) in canyons and on seamounts south of Georges Bank, some of which overlap with the recently designated Northeast Canyons and Seamounts Marine National Monument; and (2) in the Gulf of Maine, both inshore off the eastern Maine coast and offshore in Jordan and Georges Basins. The Council is coordinating with the Mid-Atlantic Fishery Management Council on deep-sea coral management efforts, pursuant to a 2013 memorandum of understanding (https://www.nefmc.org/management-plans/habitat). The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish fishery meets the requirements for SG 100.

b Resolution of disputes Guide The management system The management system The management system post incorporates or is subject incorporates or is subject incorporates or is subject by law to a mechanism for by law to a transparent by law to a transparent the resolution of legal mechanism for the mechanism for the

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US Maine haddock, pollock and redfish The management system exists within an appropriate legal and/or customary framework which ensures that it: PI 3.1.1 • Is capable of delivering sustainability in the UoA(s); and • Observes the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood; and • Incorporates an appropriate dispute resolution framework. disputes arising within the resolution of legal disputes resolution of legal disputes system. which is considered to be that is appropriate to the effective in dealing with context of the fishery and most issues and that is has been tested and appropriate to the context proven to be effective. of the UoA. Met? Y Y Y Justifi U.S. law, including the MSFMCA, provides a transparent mechanism for the cation resolution of legal disputes. NMFS has legal responsibility for implementing MSA, and can be subject to lawsuits, during which the public “administrative record” (the basis for decision making—including everything in the public record on all fisheries related issues) is used to demonstrate how NMFS made its decisions. NMFS also has legal responsibility for reviewing and approving (or not) FMPs, implementing and enforcing regulations, and administering supporting programs. This system has been tested and proven to be effective in multiple instances, including legal challenges to the Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery management plan. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish fishery meets the requirements for SG 100. c Respect for rights Guide The management system The management system The management system post has a mechanism to has a mechanism to has a mechanism to generally respect the legal observe the legal rights formally commit to the rights created explicitly or created explicitly or legal rights created established by custom of established by custom of explicitly or established by people dependent on people dependent on custom of people fishing for food or fishing for food or dependent on fishing for livelihood in a manner livelihood in a manner food and livelihood in a consistent with the consistent with the manner consistent with the objectives of MSC objectives of MSC objectives of MSC Principles 1 and 2. Principles 1 and 2. Principles 1 and 2. Met? Y Y Y Justifi The MSFCMA contains ten national standards that guide the development of fishery cation management plans in the U.S. The Act also requires NMFS to develop National Standard Guidelines that further interpret the National Standards and give guidance to the regional fishery management councils on how to comply with the National Standards. National standard Number 8 states that: “Conservation and management measures shall, consistent with the conservation requirements of this Act (including the prevention of overfishing and rebuilding of overfished stocks), take into account the importance of fishery resources to fishing communities by utilizing economic and social data that meet the requirements of paragraph (2), in order to (A) provide for the sustained participation of such communities, and (B) to the extent practicable, minimize adverse economic impacts on such communities.” The National Standard Guidelines state that: “All other things being equal, where two alternatives achieve similar conservation goals, the alternative that provides the greater potential for sustained participation of such communities and minimizes the adverse economic impacts on such communities would be the preferred alternative.”

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US Maine haddock, pollock and redfish The management system exists within an appropriate legal and/or customary framework which ensures that it: PI 3.1.1 • Is capable of delivering sustainability in the UoA(s); and • Observes the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood; and • Incorporates an appropriate dispute resolution framework. The guidelines also say that “The term ‘‘sustained participation’’ means continued access to the fishery within the constraints of the condition of the resource.” The MSFCMA requires a provision in all fishery management plans to: “… assess, specify, and analyze the likely effects, if any, including the cumulative conservation, economic, and social impacts, of the conservation and management measures on, and possible mitigation measures for— (A) participants in the fisheries and fishing communities affected by the plan or amendment; (B) participants in the fisheries conducted in adjacent areas under the authority of another Council, after consultation with such Council and representatives of those participants;…” Fishery management plans that establish a limited access system for the fishery in order to achieve optimum yield require the Council and the Secretary of Commerce to take into account— (A) present participation in the fishery; (B) historical fishing practices in, and dependence on, the fishery; (C) the economics of the fishery; (D) the capability of fishing vessels used in the fishery to engage in other fisheries; (E) the cultural and social framework relevant to the fishery and any affected fishing communities; (F) the fair and equitable distribution of access privileges in the fishery; and (G) any other relevant considerations. The make-up of the regional fishery management councils and their advisory panels, together with public meetings in the region, assure that existing arrangements will be taken into account in the development of fishery management plans. These provisions of the law do not guarantee that existing legal or customary rights will be incorporated into a management plan but fishery management plans can formally commit to the legal rights created explicitly or established by custom of people dependent on fishing for food and livelihood in a manner consistent with the objectives of MSC Principles 1 and 2. Any failure to recognize existing legal rights would be subject to challenge in the courts and the law is written so as to encourage consideration of customary rights. The nature of the consultative process of FMP development insures that customary rights will be given consideration. The mechanism available to observe legal rights created explicitly or established by custom would be a provision in the FMP. A provision in an FMP would also be a formal commitment. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery therefore has the formal commitment mechanism necessary to meet the requirement of SG 100.

Administrative Procedure Act (5 U.S.C. Subchapter II) Available at: http://www.archives.gov/federal-register/laws/administrative-procedure/ (May 2017) References MSFCMA https://www.fisheries.noaa.gov/national/laws-and-policies/national-standard- guidelines

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US Maine haddock, pollock and redfish The management system exists within an appropriate legal and/or customary framework which ensures that it: PI 3.1.1 • Is capable of delivering sustainability in the UoA(s); and • Observes the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood; and • Incorporates an appropriate dispute resolution framework.

USOFR 2018 OVERALL PERFORMANCE INDICATOR SCORE (UoAs 1-4): 100 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 3.1.2 – Consultation, roles and responsibilities The management system has effective consultation processes that are open to interested and affected parties. PI 3.1.2 The roles and responsibilities of organisations and individuals who are involved in the management process are clear and understood by all relevant parties Scoring Issue SG 60 SG 80 SG 100 a Roles and responsibilities Guide Organisations and Organisations and Organisations and post individuals involved in the individuals involved in the individuals involved in the management process management process management process have been identified. have been identified. have been identified. Functions, roles and Functions, roles and Functions, roles and responsibilities are responsibilities are responsibilities are generally understood. explicitly defined and well explicitly defined and well understood for key areas understood for all areas of of responsibility and responsibility and interaction. interaction. Met? Y Y Y Justifi The Magnuson-Stevens Fishery Conservation and Management Act (MSA) created cation eight regional fishery management councils (councils) responsible for the fisheries that require conservation and management in their region. The councils are composed of both voting and non-voting members representing the commercial and recreational fishing sectors in addition to environmental, academic, and government interests. The roles and responsibilities of the respective Councils, their committees and staff, and the regional NMFS science centers are clear and understood by all relevant parties. Key roles and functions for Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl are as follows: • National Marine Fisheries Service ("NMFS") (NOAA) – final approving authority for the Northeast Groundfish Fishery Management Plan ("FMP") and amendments thereto; final approving authority for annual quotas; authority for issuance of administrative rules implementing management decisions. • Northeast Fisheries Science Center (NEFSC/Woods Hole) – responsible for at sea surveys of all groundfish species, estimating volume of biomass, age/length relationships, recruitment, etc.; responsible for periodic formal (peer reviewed) stock assessments, evaluating all characteristics of the biomass, based on the at sea surveys, and providing projections of future volume of biomass under varying hypothetical harvest scenarios, all for the use of regulators in setting quotas. • New England Fishery Management Council (“NEFMC") – entity with jurisdiction under the Magnuson Act for the development of management measures for the groundfish fishery through the initiation, development, and approval of all amendments to the FMP, as well as the setting of annual quotas (see website www.nefmc.org). • Scientific and Statistical Committee ("SSC") of the NEFMC – a group of approximately 15 scientists and academics required by the Magnuson Act to review annual reports from the NEFMC staff and NEFSC regarding the status of the stocks, and then to set the ABC ("Acceptable Biological Catch") for each species. The ABC is the maximum level at which the NEFMC may set the harvest quota each year. The SSC additionally recommends improvements for the assessments and notes parameters – such as biological reference points – that they believe need further study.

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US Maine haddock, pollock and redfish The management system has effective consultation processes that are open to interested and affected parties. PI 3.1.2 The roles and responsibilities of organisations and individuals who are involved in the management process are clear and understood by all relevant parties

• Groundfish Committee of the NEFMC – committee comprised of NEFMC members charged with initial responsibility for interacting with industry, and for recommending to the full Council proposed changes in FMP/management regs and proposed annual quotas. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements for SG 100 for explicitly defined and well understood roles and responsibilities for all areas of action. b Consultation processes Guide The management system The management system The management system post includes consultation includes consultation includes consultation processes that obtain processes that regularly processes that regularly relevant information from seek and accept relevant seek and accept relevant the main affected parties, information, including local information, including local including local knowledge, knowledge. The knowledge. The to inform the management management system management system system. demonstrates demonstrates consideration of the consideration of the information obtained. information and explains how it is used or not used. Met? Y Y Y Justifi The Council process is fully public and there are regular opportunities for public cation involvement. Public notification procedures are specified by law and all meetings must be open to the public. The consultation process includes a formal advisory panel that meets regularly and provides an opportunity for relevant information, including local knowledge, to be brought forth and considered in the development and adjustment of fishery management plans. Council committee meetings and council meetings provide opportunities for input of relevant information. Open council discussions inform the public how their input is being used. Additionally, before adopting any fishery management plan or regulation, NMFS notifies the public through the Federal Register op proposed actions and provides an opportunity for public comment. Final rules include responses to public comments, explaining how input was used. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery therefore meets the requirements of SG 100. c Participation Guide The consultation process The consultation process post provides opportunity for all provides opportunity and interested and affected encouragement for all parties to be involved. interested and affected parties to be involved, and facilitates their effective engagement. Met? Y Y Y Justifi The fishery management councils maintain web sites that provide information to the cation public on all council activities and meetings. In addition, the councils maintain contact

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US Maine haddock, pollock and redfish The management system has effective consultation processes that are open to interested and affected parties. PI 3.1.2 The roles and responsibilities of organisations and individuals who are involved in the management process are clear and understood by all relevant parties lists of interested parties to whom they send notices of meetings and information relevant to upcoming actions. Interested and affected parties can attend council meetings in person or by way of conference calls and webinars. Members of council advisory panels have their meeting expenses paid by the councils. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 100.

References MSFCMA NEFMC Statement of Organization, Practices, and Procedures Revised OVERALL PERFORMANCE INDICATOR SCORE (UoAs 1-4): 100 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 3.1.3 – Long term objectives The management policy has clear long-term objectives to guide decision- PI 3.1.3 making that are consistent with MSC fisheries standard, and incorporates the precautionary approach. Scoring Issue SG 60 SG 80 SG 100 a Objectives Guide Long-term objectives to Clear long-term objectives Clear long-term objectives post guide decision-making, that guide decision- that guide decision- consistent with the MSC making, consistent with making, consistent with fisheries standard and the MSC fisheries standard MSC fisheries standard precautionary approach, and the precautionary and the precautionary are implicit within approach are explicit approach, are explicit management policy. within management policy. within and required by management policy. Met? Y Y Y Justifi The MSFCMA established clear long-term objectives to guide the development of cation fishery management plans by the regional fishery management councils. The National Standards for fishery management and the National Standard Guidelines require that: “The fishing mortality rate does not jeopardize the capacity of a stock or stock complex to produce MSY.” The national standards are further interpreted through the National Standard Guidelines, required by the MSFCMA and developed and published by NMFS. The National Standard Guidelines for National Standard 1 require that: “when specifying limits and accountability measures intended to avoid overfishing and achieve sustainable fisheries, Councils must take an approach that considers uncertainty in scientific information and management control of the fishery. These guidelines describe how to address uncertainty such that there is a low risk that limits are exceeded.” Since 2007, the MSFCMA has required that all FMPs include catch limits and accountability measures that are intended to ensure that overfishing can’t reduce a stock below the level that will produce MSY on a continuing basis. These provisions of law and policy are consistent with the MSC fisheries standard and the precautionary approach. They are explicit and required by management policy. Therefore, the Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 100.

References MSFCMA http://www.nmfs.noaa.gov/sfa/laws_policies/national_standards/index.html OVERALL PERFORMANCE INDICATOR SCORE (UoAs 1-4): 100 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 3.2.1 - Fishery-specific objectives The fishery-specific management system has clear, specific objectives PI 3.2.1 designed to achieve the outcomes expressed by MSC’s Principles 1 and 2. Scoring Issue SG 60 SG 80 SG 100 a Objectives Guide Objectives, which are Short and long-term Well defined and post broadly consistent with objectives, which are measurable short and achieving the outcomes consistent with achieving long-term objectives, expressed by MSC’s the outcomes expressed which are demonstrably Principles 1 and 2, are by MSC’s Principles 1 and consistent with achieving implicit within the fishery- 2, are explicit within the the outcomes expressed specific management fishery-specific by MSC’s Principles 1 and system. management system. 2, are explicit within the fishery-specific management system. Met? Y Y Y Justifi MSC Principle 1 states that: “A fishery must be conducted in a manner that does not cation lead to over-fishing or depletion of the exploited populations and, for those populations that are depleted, the fishery must be conducted in a manner that demonstrably leads to their recovery. MSC Principle 2 states that: “Fishing operations should allow for the maintenance of the structure, productivity, function, and diversity of the ecosystem (including habitat and associated dependent and ecologically related species) on which the fishery depends. Long-term objectives consistent with achieving the outcomes expressed by MSC’s Principles 1 and 2 for all federally-managed fisheries in the US are set forth in the ten National Standards for Fishery Management contained in the MSFCMA, as follows: 1. Prevent overfishing while achieving optimum yield. 2. Be based upon the best scientific information available. 3. Manage individual stocks as a unit throughout their range, to the extent practicable; interrelated stocks shall be managed as a unit or in close coordination. 4. Not discriminate between residents of different states; any allocation of privileges must be fair and equitable. 5. Where practicable, promote efficiency, except that no such measure shall have economic allocation as its sole purpose. 6. Take into account and allow for variations among and contingencies in fisheries, fishery resources, and catches. 7. Minimize costs and avoid duplications, where practicable. 8. Take into account the importance of fishery resources to fishing communities to provide for the sustained participation of, and minimize adverse impacts to, such communities (consistent with conservation requirements). 9. Minimize bycatch or mortality from bycatch. 10. Promote safety of human life at sea. Additional explicit objectives that align with MSC Principles 1 and 2 are found in the EFH Requirements, MMPA, and ESA, among other laws and regulations. NEPA requires that all fishery management actions be analysed for their impact on multiple Valued Ecosystem Components.

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US Maine haddock, pollock and redfish The fishery-specific management system has clear, specific objectives PI 3.2.1 designed to achieve the outcomes expressed by MSC’s Principles 1 and 2.

Actions taken to achieve the long- and short-term objectives can be found within FMP Amendments, and importantly, fishery specification documents that set important measures such as catch limits. Fishery management councils are required by law to “Review on a continuing basis, and revise as appropriate, the assessments and specifications contained in each fishery management plan for each fishery within its geographical area with regard to: (1) The present and probable future condition of the fishery; (2) The maximum sustainable yield from the fishery; (3) The optimum yield from the fishery…” Current FMPs contain harvest control rules that establish automatic responses to changes in the status of fish stocks. The status of fish stocks is determined through a peer-reviewed stock assessment process. The results of stock assessments are further reviewed by the councils’ Scientific and Statistical Committees, which set the maximum catch that may be taken from a stock. Councils then develop annual catch limits for each managed fishery. Annual catch limits may not exceed the fishing level recommendations established by the Scientific and Statistical Committee. Annual catch limits may be set each year or for a multi-year period. Section 3.6.4 describes the objectives of the Northeast Demersal Finfish Fishery Management Plan from its origination in 1986 through subsequent amendments. The initial “Management Policy and Objectives” set forth in the FMP contained two basic goals for management: 1) to allow the multi-species fishery to operate with minimum regulatory intervention, and 2) to adopt initial measures to prevent stocks from reaching minimum abundance levels, defined as those levels below which there is an unacceptably high risk of recruitment failure. The FMP went on to state that: The management objective is to control fishing mortality on juveniles (primarily) and on adults (secondarily) of selected finfish stocks in order to maintain sufficient spawning potential so that year classes replace themselves on a long-term average basis, to similarly reduce fishing mortality for the purpose of rebuilding those stocks which have insufficient spawning potential to maintain a viable fishery resource (currently Georges Bank haddock and redfish) and to promote the collection of information about the multi-species fishery and the effectiveness of the management program. (NEFMC 1985) In 1996 Congress amended the Magnuson-Stevens Fishery Conservation and Management Act with the Sustainable Fisheries Act (SFA). SFA emphasized the importance of habitat protection to healthy fisheries and strengthened the ability of the National Marine Fisheries Service (NMFS) and the Councils to protect and conserve the habitat of marine, estuarine, and anadromous finfish, mollusks, and crustaceans. The SFA required the Council, after receiving recommendations from NMFS, to amend its fishery management plans by October 1998 to: 1. Describe and identify the essential habitat for the species managed by the Council 2. Minimize to the extent practicable adverse effects on EFH caused by fishing 3. Identify other actions to encourage the conservation and enhancement of EFH Amendment 13 established additional goals and objectives, which were incorporated into the most recent substantive amendment, Amendment 16. These six goals and ten objectives are as follows (NEFMC 2009):

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US Maine haddock, pollock and redfish The fishery-specific management system has clear, specific objectives PI 3.2.1 designed to achieve the outcomes expressed by MSC’s Principles 1 and 2.

Goal 1: Consistent with the National Standards and other required provisions of the Magnuson-Stevens Fishery Conservation and Management Act and other applicable law, manage the northeast multispecies complex at sustainable levels. Goal 2: Create a management system so that fleet capacity will be commensurate with resource status so as to achieve goals of economic efficiency and biological conservation and that encourages diversity within the fishery. Goal 3: Maintain a directed commercial and recreational fishery for northeast multispecies. Goal 4: Minimize, to the extent practicable, adverse impacts on fishing communities and shoreside infrastructure. Goal 5: Provide reasonable and regulated access to the groundfish species covered in this plan to all members of the public of the United States for seafood consumption and recreational purposes during the stock rebuilding period without compromising the Amendment 13 objectives. If necessary, management measures could be modified in the future to insure that the overall plan objectives are met. Goal 6: To promote stewardship within the fishery. Objective 1: Achieve, on a continuing basis, optimum yield (OY) for the US fishing industry. Objective 2: Clarify the status determination criteria (biological reference points and control rules) for groundfish stocks so they are consistent with the National Standard guidelines and applicable law. Objective 3: Adopt fishery management measures that constrain fishing mortality to levels that are compliant with the Sustainable Fisheries Act. Objective 4: Implement rebuilding schedules for overfished stocks, and prevent overfishing. Objective 5: Adopt measures as appropriate to support international transboundary management of resources. Objective 6: Promote research and improve the collection of information to better understand groundfish population dynamics, biology and ecology, and to improve assessment procedures in cooperation with the industry. Objective 7: To the extent possible, maintain a diverse groundfish fishery, including different gear types, vessel sizes, geographic locations, and levels of participation. Objective 8: Develop biological, economic and social measures of success for the groundfish fishery and resource that insure accountability in achieving fishery management objectives. Objective 9: Adopt measures consistent with the habitat provisions of the M-S Act, including identification of EFH and minimizing impacts on habitat to the extent practicable. Objective 10: Identify and minimize bycatch, which include regulatory discards, to the extent practicable, and to the extent bycatch cannot be avoided, minimize the mortality of such bycatch. Amendment 13 also included material to satisfy the requirements of the NMFS guidelines at 50 CFR part 600, Subpart J for mandatory requirements of an FMP to: (1) Identify any fishing activities that are not managed under the MSA that may adversely affect EFH. (2) Identify activities other than fishing that may adversely affect EFH. For each activity, the FMP should describe known and potential adverse effects to EFH.

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US Maine haddock, pollock and redfish The fishery-specific management system has clear, specific objectives PI 3.2.1 designed to achieve the outcomes expressed by MSC’s Principles 1 and 2.

(3) Identify actions to encourage the conservation and enhancement of EFH, including recommended options to avoid, minimize, or compensate for the adverse effects, especially in HAPCs. (4) List the major prey species for the species in the fishery management unit and discuss the location of prey species’ habitat. Consider adverse effects on prey species and their habitats that may result from actions that reduce their availability, either through direct harm or capture, or through adverse effects to prey species’ habitats. (5) Recommendations, in priority order, for research effects necessary to improve upon the description and identification of EFH, the identification of threats to EFH from fishing and other activities and the development of conservation and enhancement measures for EFH. (6) Conduct a cumulative impact analysis that describes impacts on an ecosystem or watershed scale (Cumulative effects of multiple gear types in included in the Gear Effects Evaluation Section). On January 14, 2016, the NEFMC submitted Omnibus Habitat Amendment 2 (OHA2) to NMFS GARFO. Implemented in 2017, OHA2 updates EFH designations for all species managed by the Council (now 28), designates new HAPCs, and revises the current habitat and groundfish management areas. The amendment used a new Swept Area Seabed Impact (SASI) model to assess habitat vulnerability to fishing gear and develop revised habitat management areas. The Council is developing a trailing action to OHA2 that will consider whether to exempt clam dredges in part or all of two new habitat management areas. Prior to OHA2, efforts to minimize the adverse effects of Council-managed fisheries on essential fish habitat (EFH) were largely developed and implemented plan by plan, although fishery effects on EFH are cumulative across fishery management plans because fish and fishery distributions overlap across both species and plans. In 1999, NOAA Fisheries implemented the first Habitat Omnibus Amendment that addressed new Magnuson Fishery Conservation and Management Act mandates in most New England Council FMPs. The amendment also identified and described EFH for the 18 species managed by the Council, major threats to EFH from both fishing and non-fishing related activities, and proposed conservation and enhancement measures and designated Habitat Areas of Particular Concern for Atlantic salmon and Atlantic cod. EFH Omnibus Amendment 2 Although some designations, specifically skates, wolffish, and red crab, are more recent, many of the New England designations were developed for the 1998 Omnibus EFH Amendment. The new designations proposed in OHA2 include additional years of distribution data as well as information about depth and temperature preferences. Regular periodic stock assessments provide measurable outcomes for the management of the Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fisheries. Continuing analysis of by-catch and stock assessments for key by-catch and protected species provide measurable outcomes for ecosystem components other than the target species. Ongoing research on the structure and function of the ecosystem and the impacts of fishing on habitat provide measurable outcomes for the maintenance of ecosystem function. The fishery has “well defined and measurable short and long-term objectives, which are demonstrably consistent with achieving the outcomes expressed by MSC’s Principles 1 and 2, are explicit within the fishery-specific management system,” thereby meeting the requirements for SG 100..

References http://s3.amazonaws.com/nefmc.org/Final-Amendment-13-SEISVol.-I-II.pdf

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US Maine haddock, pollock and redfish The fishery-specific management system has clear, specific objectives PI 3.2.1 designed to achieve the outcomes expressed by MSC’s Principles 1 and 2. https://www.nefmc.org/management-plans/northeast-multispecies

MSFCMA

NEPA

New England Fishery Management Council. 1985. Fishery Management Plan Environmental Impact Statement Regulatory Impact Review and Initial Regulatory Flexibility Analysis for the Northeast Multi-Species Fishery. NEFMC. Saugus, MA.

New England Fishery Management Council. 2009. Final Amendment 16 to the Northeast Multi-Species Fishery Management Plan. NEFMC. Newburyport, MA.

New England Fishery Management Council. 2016. Framework Adjustment 55 To the Northeast Multispecies FMP. NEFMC. Newburyport, MA.

OVERALL PERFORMANCE INDICATOR SCORE (UoAs 1-4): 100 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 3.2.2 – Decision-making processes

The fishery-specific management system includes effective decision-making PI 3.2.2 processes that result in measures and strategies to achieve the objectives, and has an appropriate approach to actual disputes in the fishery. Scoring Issue SG 60 SG 80 SG 100 a Decision-making processes Guide There are some decision- There are established post making processes in place decision-making that result in measures processes that result in and strategies to achieve measures and strategies the fishery-specific to achieve the fishery- objectives. specific objectives. Met? Y Y Justifi Federal fisheries in the U.S. are managed under the MSFCMA, which sets out the cation decision-making process to be used by regional fishery management councils in the development of fishery management plans. FMPs contain measures and strategies to achieve the fishery-specific objectives. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 80. b Responsiveness of decision-making processes Guide Decision-making Decision-making Decision-making post processes respond to processes respond to processes respond to all serious issues identified in serious and other issues identified in relevant research, important issues identified relevant research, monitoring, evaluation and in relevant research, monitoring, evaluation and consultation, in a monitoring, evaluation and consultation, in a transparent, timely and consultation, in a transparent, timely and adaptive manner and take transparent, timely and adaptive manner and take some account of the wider adaptive manner and take account of the wider implications of decisions. account of the wider implications of decisions. implications of decisions. Met? Y Y Y Justifi One purpose of the MSFCMA is “to establish Regional Fishery Management Councils cation to exercise sound judgment in the stewardship of fishery resources through the preparation, monitoring, and revision of such plans under circumstances (A) which will enable the States, the fishing industry, consumer and environmental organizations, and other interested persons to participate in, and advise on, the establishment and administration of such plans, and (B) which take into account the social and economic needs of the States.” The US Congress lists one policy of Congress in the Act “to assure that the national fishery conservation and management program utilizes, and is based upon, the best scientific information available; involves, and is responsive to the needs of, interested and affected States and citizens; considers efficiency; draws upon Federal, State, and academic capabilities in carrying out research, administration, management, and enforcement; considers the effects of fishing on immature fish and encourages development of practical measures that minimize bycatch and avoid unnecessary waste of fish; and is workable and effective…”

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US Maine haddock, pollock and redfish The fishery-specific management system includes effective decision-making PI 3.2.2 processes that result in measures and strategies to achieve the objectives, and has an appropriate approach to actual disputes in the fishery.

The nature of the US fishery management council system is such that any and all issues identified in relevant research, monitoring, evaluation and consultation can be brought to the NEFMC for consideration through multiple channels. The Regional Administrator of NMFS is a member of the council and is assisted by agency staff from all agency programs, including the Office of Sustainable Fisheries, the Office of Law Enforcement, Office of NOAA General Counsel, Office of Protected Resources, the Office of Analysis and Program Support, Office of Habitat Conservation and Restoration, the NOAA Office of Highly Migratory Species, the Stakeholder Engagement Division, Office of Seafood Inspection, Vessel Monitoring System, NOAA Grants Office, the NOAA Freedom of Information Act Program, the Environmental Analyses and NEPA Program. The NMFS Northeast Fisheries Science Center plays an integral role in the management of northeast fisheries by providing research on all aspects of the regions marine resources. Representatives of the NEFSC give regular reports on Center activities and directed reports on issues under consideration by the NEFMC. NEFSC research includes biology, stock assessment, ecosystem assessment, protected species studies, and social and economic research and analysis.The NEFSC manages a cooperative research program that involves fishery participants and researchers at academic institutions. NEFSC also manages an observer program that deploys onboard observers, maintains data, and prepares reports for the councils and the public. The NEFMC maintains numerous Committees composed of Council members and others who monitor their area of responsibility and bring action items to the Council when an issue needed attention arises. These Committees include: Ecosystem-Based Fishery Management Committee Enforcement Committee/Vessel Monitoring System Research Steering Committee Observer Policy Committee (Industry-Funded Monitoring) Scientific and Statistical Committee Council Coordination Committee Northeast Regional Coordinating Council Transboundary Management Guidance Committee Risk Policy Working Group Fishery-specific Oversight Committees Fishery-specific Advisory Panels In addition to the formal structure that is designed to bring relevant issues to the attention of the councils, at every Council meeting the NEFMC provides an opportunity for public input on issues not on the Council agenda. The US fishery management system is adaptive by nature. Scientists, managers, fishery participants, NGOs, and policy-makers are continuously monitoring all aspects of fisheries and bringing issues to the attention of the fishery management councils. Issues are deliberated through an open and transparent process that assures that the wider impacts of decisions are taken into account. The adaptive nature of the management system for northeast multispecies is demonstrated by the fact that the fishery management plan has been amended 20 times since it was first implemented in 1986 and has been subject to 56 Framework Actions, which were intended to be an expedited amendment process but follow

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US Maine haddock, pollock and redfish The fishery-specific management system includes effective decision-making PI 3.2.2 processes that result in measures and strategies to achieve the objectives, and has an appropriate approach to actual disputes in the fishery. essentially the same process as a plan amendment. The 1986 plan itself was developed as an adaptive response to earlier FMPs covering some species in the multispecies group. The wider implications of decisions are also taken into account through the NEPA process, a Regulatory Flexibility Act Assessment, and a Regulatory Impact Review. Environmental impact statements required by NEPA focus on Valued Ecosystem Components that include both human and non-human components of the ecosystem. Amendment 17 to the FMP was implemented on June 15, 2016 for the purpose of allowing the incorporation of advancements in the best scientific information as it becomes available. The NEFMC and the NMFS have in place processes to respond to all issues identified in relevant research, monitoring, evaluation and consultation. The process is transparent and is timely to the extent that taking into account the wider implications of decisions allows.This meets the SG100 requirements. c Use of precautionary approach Guide Decision-making post processes use the precautionary approach and are based on best available information. Met? Y Justifi The regional fishery management councils and NMFS operate under the MSFCMA cation and the National Standard Guidelines. National Standard 2 requires that: “conservation and management measures shall be based upon the best scientific information available.” The National Standard Guidelines specify that: “Scientific information that is used to inform decision making should include an evaluation of its uncertainty and identify gaps in the information. Management decisions should recognize the biological (e.g., overfishing), ecological, sociological, and economic (e.g., loss of fishery benefits) risks associated with the sources of uncertainty and gaps in the scientific information.” The councils’ Statistical and Scientific Committees (SSCs) are responsible for developing acceptable biological catch (ABC) recommendations for the councils. The National Standard Guidelines for National Standard 2 state that: “The SSC is expected to take scientific uncertainty into account when making its ABC recommendation (§600.310(f)(4)).” The NEFMC formally incorporated the precautionary approach into the Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl FMP through Amendment 16, adopted in July 2011. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 80. d Accountability and transparency of management system and decision-making process Guide Some information on the Information on the Formal reporting to all post fishery’s performance and fishery’s performance and interested stakeholders management action is management action is provides comprehensive generally available on available on request, and information on the request to stakeholders. explanations are provided fishery’s performance and for any actions or lack of management actions and action associated with describes how the findings and relevant management system

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US Maine haddock, pollock and redfish The fishery-specific management system includes effective decision-making PI 3.2.2 processes that result in measures and strategies to achieve the objectives, and has an appropriate approach to actual disputes in the fishery. recommendations responded to findings and emerging from research, relevant recommendations monitoring, evaluation and emerging from research, review activity. monitoring, evaluation and review activity. Met? Y Y Y Justifi Accountability and transparency of the management system is required by multiple cation laws and Executive Orders. The National Standard Guidelines for National Standard 2 specifically require transparency in the provision of scientific information for fishery management. Under the heading “Transparency and openness,” the NS Guidelines state that: “The Magnuson-Stevens Act provides broad public and stakeholder access to the fishery conservation and management process, including access to the scientific information upon which the process and management measures are based. Public comment should be solicited at appropriate times during the review of scientific information. Communication with the public should be structured to foster understanding of the scientific process.” They further require that: “Scientific information products should describe data collection methods, report sources of uncertainty or statistical error, and acknowledge other data limitations. Such products should explain any decisions to exclude data from analysis. Scientific products should identify major assumptions and uncertainties of analytical models. Finally, such products should openly acknowledge gaps in scientific information.” The management system provides comprehensive information on the fishery’s performance and management actions through open meetings, mailed and emailed notices, written copies of relevant documents, and a comprehensive web site through which interested parties can obtain almost every document associated with the management of the fishery. Where research, monitoring, evaluation and review activity result in management actions, interested parties are informed of proposed rules and provided an opportunity to comment. Final rules include explanations of how the agency responded to comments. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 100. e Approach to disputes Guide Although the management The management system The management system post authority or fishery may be or fishery is attempting to or fishery acts proactively subject to continuing court comply in a timely fashion to avoid legal disputes or challenges, it is not with judicial decisions rapidly implements judicial indicating a disrespect or arising from any legal decisions arising from defiance of the law by challenges. legal challenges. repeatedly violating the same law or regulation necessary for the sustainability for the fishery. Met? Y Y Y Justifi The management system for northeast groundfish has been subject to continuing cation court challenges. The sector system was challenged when the system was first implemented but the decision favored the fishery management system. The fishery management system is legally obliged to comply with judicial decisions and does so. The fishery management system receives continuing legal advice and acts

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US Maine haddock, pollock and redfish The fishery-specific management system includes effective decision-making PI 3.2.2 processes that result in measures and strategies to achieve the objectives, and has an appropriate approach to actual disputes in the fishery. proactively to avoid legal disputes and rapidly implements judicial decisions arising from legal challenges. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements for SG 100.

New England Fishery Management Council. 2009. Final Amendment 16 to the References Northeast Multi-Species Fishery Management Plan. NEFMC. Newburyport, MA.

OVERALL PERFORMANCE INDICATOR SCORE (UoAs 1-4): 100 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 3.2.3 – Compliance and enforcement Monitoring, control and surveillance mechanisms ensure the management PI 3.2.3 measures in the fishery are enforced and complied with. Scoring Issue SG 60 SG 80 SG 100 a MCS implementation Guide Monitoring, control and A monitoring, control and A comprehensive post surveillance mechanisms surveillance system has monitoring, control and exist, and are been implemented in the surveillance system has implemented in the fishery fishery and has been implemented in the and there is a reasonable demonstrated an ability to fishery and has expectation that they are enforce relevant demonstrated a consistent effective. management measures, ability to enforce relevant strategies and/or rules. management measures, strategies and/or rules. Met? Y Y Y Justifi The National Marine Fisheries Service (NMFS) and the United States Coast Guard cation (USCG) share responsibility for the enforcement of fishing laws and regulations by U.S. vessels. NMFS also has agreements with state partners for the enforcement of federal fishery laws. These agencies have land-based and seagoing enforcement officers and a complete system of monitoring, control and surveillance (MCS) for the Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fisheries, including: At-sea surveillance by patrol vessels and fixed-wing aircraft; Prescribed on-board observer coverage with protocols to monitor catch, species, etc; Unannounced dockside monitoring of landings; Submission of vessel fishing log books; Catch and Effort database to track catch against allocations; Electronic vessel monitoring systems (VMS) on each vessel; And, potential catch seizure and significant fines and loss of fishing privileges for violations of regulations. This monitoring, control and surveillance system operates continuously, 24 hours per day, 365 days per year. Table 20 provides data on US Coast Guard fishery boardings, violations, and the resulting violation rate. The Coast Guard has demonstrated a consistent ability to conduct boardings of fishing vessels at sea and to detect violations when present. The frequency of boardings remains relatively steady over time, as does the compliance rate, generally above 95%. NMFS operates a vessel monitoring system that can determine the location and speed of vessels on a regular basis. VMS technicians monitor the system continually and receive automatic alerts if a vessel is operating outside expected parameters. Consistency is defined as being reliable, steady, dependable and constant. NMFS and the US Coast Guard enforcement resources meet all of those criteria. They are bolstered by state enforcement resources. The fishery meets the SG 100. b Sanctions Guide Sanctions to deal with non- Sanctions to deal with non- Sanctions to deal with non- post compliance exist and there compliance exist, are compliance exist, are consistently applied and consistently applied and

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US Maine haddock, pollock and redfish Monitoring, control and surveillance mechanisms ensure the management PI 3.2.3 measures in the fishery are enforced and complied with. is some evidence that they thought to provide demonstrably provide are applied. effective deterrence. effective deterrence. Met? Y Y N Justifi There is an explicit and statutory sanction framework that is applied for violations of cation fishery regulations. Sanctions to deal with non-compliance are listed in the Code of Federal Regulations and can be severe, consisting of: Significant monetary penalties; Confiscation of catch; Permit cancellations or suspensions; Permanent prohibitions on participation in the fishery. Other than assaults on fishery officers, violations of federal fishery regulations are treated as civil cases, using a “preponderance of the evidence” rule. Cases are adjudicated by a limited number of administrative law judges who have expertise in fishery laws, providing consistency in approach. Regulations are enforced by the US Coast Guard and by NOAA Office of Law Enforcement officers. As explained in 3.6.8, the records normally made available to the public do not differentiate among fisheries and many of the categories of violations apply to multiple fisheries. It is therefore not possible to compile enforcement statistics by specific fishery. Table 20 Error! Reference source not found. in 3.6.8 provides data on USCG First District fishing vessel boardings for all federal fisheries in the First District and the resulting violations. For the 39-month period from October 2014 through December 2017, 3,468 boardings resulted in 134 violations for an observed compliance rate of 96% for all federal fishery regulations, including administrative requirements such as carrying a permit onboard and having an up-to-date operator’s permit on board. The NOAA OGC publishes periodic summaries of enforcement actions such as Notices of Violation, Notices of Permit Sanctions, and written warnings, generally without any indication of the specific fishery. OGC also publishes a list of “cases settled,” which occurs some months or years after the violation. A review of these reports indicates that sanctions appear to be consistently applied in accordance with enforcement policy. Vessels in the northeast US groundfish fishery have the option of fishing under effort controls in a “common pool,” or fishing under an annual catch entitlement (ACE) that is administered by a “sector.” Amendment 13 to the Northeast Multispecies FMP introduced the “Sector Allocation” program, which gave fishermen the opportunity to voluntarily form sectors that would be constrained by quotas rather than DAS. Sectors could request exemption from many of the traditional input controls such as trip limits. This set the stage for Amendment 16 to the Northeast Multispecies FMP, which implemented a catch share program on 1 May 2010. Sectors administer the catch share program for sector members. Sectors also enforce the rules with their own sanctions, providing additional incentives for compliance. Sanctions are consistently applied and thought to provide effective deterrence but the fishery does not meet the SG 100 level of providing demonstrably effective deterrence. c Compliance Guide Fishers are generally Some evidence exists to There is a high degree of post thought to comply with the demonstrate fishers confidence that fishers management system for comply with the comply with the the fishery under management system management system

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US Maine haddock, pollock and redfish Monitoring, control and surveillance mechanisms ensure the management PI 3.2.3 measures in the fishery are enforced and complied with. assessment, including, under assessment, under assessment, when required, providing including, when required, including, providing information of importance providing information of information of importance to the effective importance to the effective to the effective management of the management of the management of the fishery. fishery. fishery. Met? Y Y N Justifi The assessment team met with representatives of the NEFMC, GARFO Sustainable cation Fisheries Division, and the NOAA Offices of Law Enforcement and General Counsel Enforcement Section. NEFMC staff noted that Groundfish Sectors have their own rules in addition to federal regulations and the Sectors enforce those rules. The representative of NOAA OLE stated that there are minimal intentional violations of the regulations. He noted, however, that the number and complexity of the rules leads to unintentional violations, which are usually dealt with through compliance assistance and outreach. Additional anecdotal information indicates that fishers generally comply with the management system under assessment and provide information of importance to the effective management of the fishery. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 80. However, information is not available to establish a “high degree of confidence that fishers comply with the management system,” which is a requirement for SG 100. d Systematic non-compliance Guide There is no evidence of post systematic non- compliance. Met? Y Justifi Representatives of the NOAA OLE specifically stated that there is no evidence of cation systematic non-compliance in the groundfish fishery. Others interviewed did not provide any evidence of systematic non-compliance. On the basis of information available for the assessment, there is no evidence of systematic non-compliance. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 80.

References USOFR. 1998. Murphy et. al. 2015 OVERALL PERFORMANCE INDICATOR SCORE (UoAs 1-4): 85 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Evaluation Table for PI 3.2.4 – Monitoring and management performance evaluation

There is a system of monitoring and evaluating the performance of the fishery-specific management system against its objectives. PI 3.2.4 There is effective and timely review of the fishery-specific management system.

Scoring Issue SG 60 SG 80 SG 100

a Evaluation coverage

Guide There are mechanisms in There are mechanisms in There are mechanisms in post place to evaluate some place to evaluate key place to evaluate all parts parts of the fishery- parts of the fishery- of the fishery-specific specific management specific management management system. system. system

Met? Y Y Y

Justifi The management system is regularly reviewed and amended if necessary through cation the NEFMC council process. The following entities continually evaluate all parts of the fishery-specific management system and initiate changes when required: New England Fishery Management Council (NEFMC) – entity with jurisdiction under the Magnuson Act for operational management of the longfin squid/quahog fishery, including review/approval of all amendments to the FMP, as well as the setting of annual quotas (see website www.mafmc.org). Scientific and Statistical Committee ("SSC") of the NEFMC – a group of approximately 15 scientists and academics required by the Magnuson Act to review annual reports from the NEFMC staff and NEFSC regarding the status of the stocks, and then to set the ABC ("Acceptable Biological Catch") for each species. The ABC is the maximum level at which the NEFMC may set the harvest quota each year. The SSC additionally recommends improvements for the assessments and notes parameters – such as biological reference points – that they believe need further study. Groundfish Committee of the NEFMC – committee comprised of NEFMC members charged with initial responsibility for interacting with industry, and for recommending to the full Council proposed changes in FMP/management regs and proposed annual quotas. Groundfish Advisory Panel (AP)– composed of members of the public representing interested parties. Northeast Fishery Science Center – performs periodic stock assessments. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 100.

b Internal and/or external review

Guide The fishery-specific The fishery-specific The fishery-specific post management system is management system is management system is subject to occasional subject to regular internal subject to regular internal internal review. and occasional external and external review. review.

Met? Y Y N

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There is a system of monitoring and evaluating the performance of the fishery-specific management system against its objectives. PI 3.2.4 There is effective and timely review of the fishery-specific management system.

Justifi The management system is designed and organized to provide regular internal and cation external review. Many of the participants in the system do not work for the government and represent a wide range of interests and competencies. Stock assessments are always peer-reviewed by outside experts. NEFMC council staff and officers participate in periodic meetings of the Council Coordination Committee (CCC). The CCC consists of the chairs, vice chairs, and executive directors from each regional fishery management council, or other staff, as appropriate. This committee meets twice each year to discuss issues relevant to all councils, including issues related to the implementation of the MSA. NOAA Fisheries is committed to the timely implementation of all provisions of the MSA. Regular face-to-face meetings or conferences between NOAA Fisheries and the leadership of the eight councils are critical to ensure administrative and MSA priorities are met. In addition, according to MSC guidance, external review for SG80 and SG100 could be by another department within an agency or by another agency or organization within the country (GSA4.10.1). Considering this, the Council structure wherein NMFS and NOAA GC (other departments or agencies) review alternatives for management changes presented for Council decision-making might also be considered as “external review” of the management system for these purposes. A variety of agencies and interest groups outside the fishery management system regularly review the system with regards to their particular field of interest. These include ETP Take Reduction Teams, the Department of Commerce Inspector General and others. On occasion, the U.S. Congress will direct the National Research Council to investigate some fishery management issue. The Congressional Research Service also reviews council actions pertaining to issues of interest to Members of Congress. The management system is clearly subject to a high degree of oversight, but there is no regular, formal external review of the overall management system. The Gulf of Maine and Georges Bank Haddock, Pollock, and Redfish Trawl fishery meets the requirements of SG 80, but does not quite meet the requirements for SG 100 because there is no regular external review.

Marine Stewardship Council (MSC). 2014. MSC Fisheries Certification – References Requirements v2.0. Marine Stewardship Council. London

OVERALL PERFORMANCE INDICATOR SCORE (UoAs 1-4): 90 CONDITION NUMBER (if relevant):

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US Maine haddock, pollock and redfish Appendix 2 Peer Review Reports

Peer Reviewer A Summary of Peer Reviewer Opinion

Has the assessment team arrived at an Yes CAB Response appropriate conclusion based on the evidence presented in the assessment report?

Justification: No response This comprehensive evaluation of three species and four stocks is justified by what is provided in the background information. The scores given for each PI are mostly warranted in themselves and well-evidenced, even though they had to be harmonized against the scores for three associated certified species/stocks (for P3) and against a comprehensive evaluation of the same stocks and species certified in the same areas across the whole spectrum of PIs. The slight adjustments upwards of some of those PI scores from those of the harmonized fisheries is also fair given the extra and more recent (observer) data now available from a better monitoring and information system and also comparatively given that the other main certification was based on MSC FAM v1.3 rather than the current v2. Notwithstanding the positive comments just made, I do have a slight reservation regarding the outdatedness of some of the assessments provided as evidence, even when they are stated to have been updated, and specifically relating to certain of the plots of stock health (SSB, F, R) that graphically display extremely positive trends up to 2014, but then nothing thereafter. I address this issue further in my final comments at the end of this review.

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Do you think the condition(s) raised are N/A CAB Response appropriately written to achieve the SG80 outcome within the specified timeframe? [Reference: FCR 7.11.1 and sub-clauses]

Justification: No response No conditions are raised, nor given the evaluation results and the justifications behind them are any warranted.

If included:

Do you think the client action plan is sufficient N/A CAB Response to close the conditions raised? [Reference FCR 7.11.2-7.11.3 and sub-clauses]

Justification: No response As above, no Client Action Plan is required given the absence of any Conditions against the certification.

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US Maine haddock, pollock and redfish Table 40 For reports using one of the default assessment trees:

Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

1.1.1 Yes Yes N/A No response, other than the Everything in the assessment data assessments used are the most recent provided (though note my reservation available. about some of the assessments’ outdatedness) points to all four stocks being at levels that maintain high productivity and with a low probability of recruitment overfishing.

1.1.2

1.2.1 Yes Yes N/A The evidence provided is compelling and No response drawn appropriately from the extensive background information.

1.2.2 Yes Yes N/A Appropriateness of the HCRs is well- No response evidenced, so the only hurdle between this PI scoring 100 and the lesser score (in this case 95) is the need for a formal MSE, or a similar process, of whether all uncertainties as well as the main ones assumed to be covered by the HCR, are indeed addressed.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

1.2.3 Yes Not completely N/A The SG100 scoring requirement for SIb Given the impressive >20% observer of this PI states that all information coverage of the fishery, the score is required by the harvest control rule is likely fair for information acquisition. monitored with high frequency and a However, although the report authors high degree of certainty, and there is a conclude that there is not a full good understanding of inherent understanding of the inherent uncertainties in the information [data] uncertainties in the information/data and the robustness of assessment and being collected in support of the harvest management to this uncertainty. The strategy and the robustness of the assessment teams has scored this SI at assessment and management to that the SG80 level, being conservative and uncertainty, I do not see adequate proof pre-cautionary. The team does not of that assertion in either the scoring believe that all the information meets the text or the background information. SG100 requirements with regard to a good understanding on inherent uncertainties.

1.2.4 Yes Yes N/A Fisheries science being what it is, new No response assessment methodology will likely arise over time. However, for now, I am convinced from the evidence given by the report drafters that stock status is adequately determined by current assessment methodology. Internal and external review mechanisms are as good as anywhere in the world.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

2.1.1 Yes Not completely N/A While I am willing to take on board most The assessment team notes the of the evidence regarding main primary reviewer's comment, but reiterates that species, I am not that convinced the GOM cod meets the SG 80 regarding cod on both GB and GoM. The requirements, because there is a stock word that worries me in the guidance to rebuilding plan, and all GOM cod catches the score is “demonstrably”. I am not as by the MSC UoAs and others are convinced as the report authors that accounted for in the plan. Additionally, invoking what happened to GoM the assessment team reiterates the haddock when it was collapsed (a pers. rationale provided in the harmonization comm. reference) applies equally to cod. section, that the differences in P2 scores The authors use an MSC definition to between the other assessment of the explain adequately the words “does not same fishery is related to differences in hinder” in the guidance, but more the MSC CR versions 1.3 versus 2.0, convincing evidence preferably for the and the additional and updated observer same species (i.e. cod) is in my opinion data used in this assessment. Therefore required for there to be a demonstrable the justification and scoring remains proof of not hindering stock recovery unchanged with the measures cited. I note too the different interpretations in the harmonised evaluations of this PI.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

2.1.2 Yes Yes N/A The evidence provided regarding the No response strategy being invoked is fair and matches what is stated in the substantive part of the report. Atlantic cod is clearly an issue, though, as noted in 2.1.1 above, but it can still score 80 because it stays under review and all processes are designed to bring it in line with the other minor species. Again, I note the different interpretations in the harmonised evaluations of this PI.

2.1.3 Yes Yes N/A With a proven, well-documented and No response rigorous data collection system plus an impressive >20% observer coverage of the fishery and good fishery- independent survey data, the information base for minor species is excellent and the score supported.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

2.2.1 Yes Yes N/A I concur with the report authors that there No response are no main secondary species being taken in the two areas and that there are just four minor secondary species being taken only on Georges Bank, but at such low levels of harvest (and percentage) that the large-mesh trawl fishery would not hinder their recovery if their status was known accurately.

2.2.2 Yes Yes N/A No response Good proof is given in the report that there are no secondary main or minor species taken in the Gulf of Maine, and the evidence provided is compelling for there being a proven and effective overall strategy in place to manage all stocks/species taken in the large mesh bottom trawl fishery, including the four minor secondary species on Georges Bank. There is no MSE, however, so the scoring as given is supported.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

2.2.3 Yes Yes N/A I concur with the findings and The scoring statement has been revised statements, including that the adequacy to indicate that 95 is a composite score. of information for four-spot flounder on Georges Bank is not proven. Note that there is no SG 95 “level” in the MSC system, only 60, 80 and 100 – please adapt the wording to reflect 95 being a composite score for this PI.

2.3.1 Yes Yes N/A A well-evidenced and fair evaluation, No response showing that other than most large cetaceans, there could be indirect effects, though new observer data from >20% observer coverage of the fishery and a strong legal basis mitigate against ETP impact in any manner.

2.3.2 Yes Yes N/A The US system of protecting ETP No response species is comprehensive and works to a large degree. The scoring in terms of the strategy in place and its evaluation is justified.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

2.3.3 Yes Yes N/A Although the information base is No response adequate, it is not possible to assess quantitatively with a high degree of certainty the impact of the UoA fishery on ETP species.

2.4.1 Yes Yes N/A That there are vulnerable habitats in the No response potential trawl area footprint is a given. The evidence provided in the scoring table and the background information is compelling, but one cannot go further than saying that modelling suggests trawling is having no serious impact, for reasons related to inaccessibility of some particularly vulnerable systems, and the fact that legislation is increasingly (e.g. the recent Omnibus Habitat Amendment) affording the potentially vulnerable habitats greater protection. Real proof will always be difficult to obtain.

2.4.2 Yes Yes N/A The scoring is fair – only the testing, No response through MSE, for example, is missing.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

2.4.3 Yes Yes N/A The habitats in the areas of operation are No response well studied and known, with by international standards excellent graphic depiction, but what is currently missing (and the report stresses this) is quantitative information on the effect of the trawl gear on the various habitats where it encounters them. The scoring is supported.

2.5.1 Yes Yes N/A No response Potentially affecting only the seabed and immediately above it, but not the pelagic or epipelagic environments, I agree that there is no clear evidence that the large-mesh bottom trawl fisheries in the GOM and on GB are highly unlikely to disrupt the key elements underlying ecosystem structure and function to a point where there would be serious or irreversible harm. The scoring is therefore agreed on the basis of the evidence provided.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

2.5.2 Yes Yes N/A No response There is no plan in place to ensure that the UoA does not pose a risk of serious or irreversible harm to ecosystem structure and function, and there is no effective testing of the strategy behind such a plan. Given the evidence presented, 80 is the maximum score possible.

2.5.3 Yes Yes N/A There is knowledge of the UoA’s impact, No response but the interaction of the fishery with other ecosystem components is not that well understood. Investigation is continuing, but is as yet incomplete, and the score is justified.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

3.1.1 Yes Yes N/A No response I agree with the evidence-based justification given for this PI. I also concur with the team’s belief that the management system de facto observes the legal rights created explicitly or established by custom of people dependent on fishing for food or livelihood by operating within a clearly defined plan. In other words, the report has enough evidence to deviate from the slightly lower scores suggested by previously certified fisheries on the basis of this issue.

3.1.2 Yes Yes N/A Roles and responsibilities within the No response management system are clear and fully understood, consultation is as extensive as anywhere in the world, and participation in the various processes is encouraged wityh even some financial incentives. A fully warranted score of 100.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

3.1.3 Yes Yes N/A The whole US standard in terms of policy No response is a long-term one, with suitable precaution built in. Therefore the score given is justified, and the evidence well stated.

3.2.1 Yes Yes N/A Short- and long-term objectives are No response explicit within the management system and are well-defined. The annual stock assessments provide the necessary evidence of outcomes.

3.2.2 Yes Yes N/A The US fishery-specific management No response system is effective not only in good decision-making but also in its transparency, proactivity and immediacy of response. The score is justified by the evidence provided.

3.2.3 Yes Yes N/A The MCS system in operation is good, No response but as the report says, there is anecdotal information that makes one question whether compliance is total, or therefore whether the sanctions that can be applied are as effective as they could be. The score is supported.

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and relevant and/or rationale raised any relevant documentation where information used to score improve the possible. Please attach additional been used to this Indicator fishery’s pages if necessary. score this support the performance Indicator? given score? to the SG80 Note: Justification to support your answers is only required where answers (Yes/No) (Yes/No) level? given are ‘No’. (Yes/No/NA)

3.2.4 Yes Yes N/A Although the science (the assessments) No response are regularly subject to external review, the management system itself is not so privileged, rendering the scoring correct. Internal review is excellent.

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US Maine haddock, pollock and redfish Peer Reviewer B Summary of Peer Reviewer Opinion

Has the assessment team arrived at an Yes CAB Response appropriate conclusion based on the evidence presented in the assessment report?

Justification: No response

Do you think the condition(s) raised are N/R CAB Response appropriately written to achieve the SG80 outcome within the specified timeframe? [Reference: FCR 7.11.1 and sub-clauses]

Justification: No response

If included:

Do you think the client action plan is sufficient N/R CAB Response to close the conditions raised? [Reference FCR 7.11.2-7.11.3 and sub-clauses]

Justification: No response

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and any relevant relevant and/or rationale raised documentation where possible. Please attach information used to score improve the additional pages if necessary.

been used to this Indicator fishery’s Note: Justification to support your score this support the performance answers is only required where answers Indicator? given score? to the SG80 given are ‘No’. (Yes/No) (Yes/No) level? (Yes/No/NA)

1.1.1 Yes Yes N/A No response

1.1.2 Yes Yes N/A No response

1.2.1 Yes Yes N/A No response

1.2.2 Yes Yes N/A No response

1.2.3 Yes Yes N/A No response

1.2.4 Yes Yes N/A No response

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and any relevant relevant and/or rationale raised documentation where possible. Please attach information used to score improve the additional pages if necessary.

been used to this Indicator fishery’s Note: Justification to support your score this support the performance answers is only required where answers Indicator? given score? to the SG80 given are ‘No’. (Yes/No) (Yes/No) level? (Yes/No/NA)

2.1.1 Yes Yes N/A The separation into Primary and Primary and secondary species were Secondary species is not quite clear to classified based on the following criteria. me, some of the species designated as Primary species will usually be fish and minor Primary could arguably be shellfish species of commercial value Secondary species as one of the whose exploitation is controlled with definitions of Secondary is ‘not managed management tools and have known according to reference points’. This reference points in place. Secondary would therefore mean that witch species include fish and shellfish flounder, skates, halibut etc could be species that are not managed according scored under Secondary. to reference points. In this assessment There are stock rebuilding plans in place species were considered as primary, if for some of these species, so maybe there were management plans with that could be a criteria for allocating them proxy reference points. to Primary. However, since Primary species scoring is more exacting, compared to Secondary species, the allocation has little bearing on the scores.

2.1.2 Yes Yes N/A No response

2.1.3 Yes Yes N/A No response

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and any relevant relevant and/or rationale raised documentation where possible. Please attach information used to score improve the additional pages if necessary.

been used to this Indicator fishery’s Note: Justification to support your score this support the performance answers is only required where answers Indicator? given score? to the SG80 given are ‘No’. (Yes/No) (Yes/No) level? (Yes/No/NA)

2.2.1 Yes Yes N/A Because there are no main secondary No response species, scoring issue (a) is not scored see also MSC interpretation ID 2845: ‘If the fishery has no main species, scoring issue (a) is not applicable. In scoring issue (b) each species will score either 80 or 100 depending on whether the SG100 is met or not.’.) The GB minor Secondary all score 100, so overall score is 100

2.2.2 Yes Yes N/A No response

2.2.3 Yes Yes N/A No response

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and any relevant relevant and/or rationale raised documentation where possible. Please attach information used to score improve the additional pages if necessary.

been used to this Indicator fishery’s Note: Justification to support your score this support the performance answers is only required where answers Indicator? given score? to the SG80 given are ‘No’. (Yes/No) (Yes/No) level? (Yes/No/NA)

2.3.1 Yes Yes N/A I suggest that somewhere in the The text of the introductory section of the justification/ or main body of the report report, and the PI2.3.1 scoring (under ETP section) each broad justification has been revised to identify grouping (large whales, small the various ETP species elements in cetaceans, etc) is labelled an element broad groups as suggested. category. To least each species of each category as a separate element would The justification of SIc has revised to confuse the issue and not add to the better address indirect effects. justification or scoring. c) Indirect effects: what are these – would be helpful to list them in he justification. For example - Indirect effects, other than direct capture, could be caused by competition for food resources, environmental degradation, ghost fishing or impacts from pollution or litter….. any thoughts?

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and any relevant relevant and/or rationale raised documentation where possible. Please attach information used to score improve the additional pages if necessary.

been used to this Indicator fishery’s Note: Justification to support your score this support the performance answers is only required where answers Indicator? given score? to the SG80 given are ‘No’. (Yes/No) (Yes/No) level? (Yes/No/NA)

2.3.2 Yes Yes N/A There have been no new TRT team c) it is stated in the justification that: formed, as there has been no new stocks ‘There has not been the formation of designated as strategic, and therefore any new Take reduction Teams in the requiring a TRT for be formed. last decade’…. Is this because the administrative budget has been cut, or it is deemed that the observer programme and resource allocation don’t need updating. Just wondering – out of interest

2.3.3 Yes Yes N/A No response

2.4.1 No No N/A Section 3.6.3 of the report has been b) No VMEs are described in the text of revised so as to better define the MSC Section 3.6.3. Deep sea corals are VME guidelines, and the status of VME mentioned in the justification, 2.4.1b, habitats in the US northeast coast.. The and location map of these corals in justification for the determination of "not relation to fisheries’ footprint would relevant" has been revised to reference demonstrate this. Any other VMEs – the revised section 3.6.3. such as sponge beds/ gorgonids etc?

The score given in b) would remain the same, just the relevant information is needed to back up the ‘not relevant’

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and any relevant relevant and/or rationale raised documentation where possible. Please attach information used to score improve the additional pages if necessary.

been used to this Indicator fishery’s Note: Justification to support your score this support the performance answers is only required where answers Indicator? given score? to the SG80 given are ‘No’. (Yes/No) (Yes/No) level? (Yes/No/NA)

2.4.2 Yes/ No in d) Yes/ No in d) N/A d) refer to evidence- such as a map in The justification of SId has been revised main text for eg, in order to make this tpo strengthen the argument for the justification. score.

2.4.3 Yes/ No in a) Yes/ No in a) N/A a)At SG100, give distribution map of The text of the justification of SIa has VMEs over the area, to demonstrate been revised as suggested to support they are ‘known’, or clearly state that the SG100 score. The PI has not been there has been no evidence that these rescored. VMEs are present. Figs 27/29 provide sedimentary features only, in a subsection of Section 3.6.3

Agree with b) and c) scores; if a) reduced to 80, then overall score still >80

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Performance Has all Does the Will the Justification CAB Response Indicator available information condition(s) Please support your answers by referring to specific scoring issues and any relevant relevant and/or rationale raised documentation where possible. Please attach information used to score improve the additional pages if necessary.

been used to this Indicator fishery’s Note: Justification to support your score this support the performance answers is only required where answers Indicator? given score? to the SG80 given are ‘No’. (Yes/No) (Yes/No) level? (Yes/No/NA)

2.5.1 No Yes N/A The text of the jusitifcation of SIa has a)Other ecosystem impacts also have to been revised as suggested. The score be considered – these include remain unchanged. unintended consequences of operation such as lost gear, fuel and oil pollution, waste and litter. The US is a signatory of the International Convention for the Prevention of Pollution from Ships (MARPOL) convention and is thus responsible for dealing with any marine pollution issues.

2.5.2 Yes Yes N/A No response

2.5.3 Yes Yes N/A No response

3.1.1 Yes Yes N/A No response

3.1.2 Yes Yes N/A No response

3.1.3 Yes Yes N/A No response

3.2.1 Yes Yes N/A No response

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3.2.2 No Possibly – see b) In b) provide fishery specific evidence of The reviewer is apparently referring to compliance; any sanctions? Any PI 3.2.3, rather than 3.2.2. The violations, and if so what kind? What complete system of monitoring, control, enforcements were used, and did it and surveillance is described in Section work? Please provide a table to show 3.7.8. Fishery-specific information on this; enforcement, violations, and sanctions In c) there ought to be more than is not readily available from the federal anecdotal evidence; for example: the fishery management system. The number of recorded compliance USCG provides periodic reports to the violations over a time period could be an fishery management councils on the indicator too – and that is officially total number of fishery boardings recorded data conducted by the CG and the resulting In d) this needs to be stronger, ‘no- number of violations. Violations are evidence’ could be backed up with stats identified by category, but not by on a spreadsheet showing few violations fishery. Most of the violation categories over a time period; also was the relevant apply to multiple fisheries, making it agency interviewed and what did they impossible to determine whether the say about this fishery? If they have no violations occurred in the groundfish issues, then this is a valid statement for fishery. A table of CG boardings and the scoring d) resulting violations has been added to section 3.7.8 with accompanying analysis. The relevant enforcement agency was interviewed and further information from that interview has been incorporated into section 3.7.8. The scoring remains the same as supported by the additional information.

3.2.3 Yes Yes N/A No response

3.2.4 Yes Yes N/A No response

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Optional: General Comments on the Peer Review Draft Report (including comments on the adequacy of the background information if necessary) can be added below and on additional pages (CAB reponse in italics following each point)

1. The rationale behind separating out UoA 1 and 2 into separate geographical areas (Georges Bank/ Gulf of Maine) for Haddock, but not for Pollock (UoA 3), is because there are two separate haddock stocks, as can be read in Section 2.5.2. It might be helpful to state this up front in a footnote to the UoA designations. The text of the report has been revised as per the suggestion. 2. It would be helpful to have a table in, say Section 3.4, which states the number of fishing vessels involved, and their size. Is there a vessel list on the MSC website I checked and couldn’t find it? If so please provide a link. This kind of information helps visualize the extent of the fishery in terms of ecological impact. The text of the report has been revised with a statement as to provide the estimated number days fishing in the 2015 2016 fishing year in the large mesh trawl fishery based on the 2017 SBRM report (Wigley and Tholke, 2017). A vessel list will be 3. Table 6 / Table 12 – instead of ‘current’ give an actual year or date when that assessment was published, as at the moment ‘current’ means 2018. Tables 4 to12 were revised to include the actual date of the most recent data in the assessment. 4. The biological description of Gulf of Maine Haddock is very similar to the Georges Bank Haddock. This could be streamlined by stating the difference between the two stocks in Section 3.5.2, rather than repeating paragraphs on the biology of haddock. What is the difference between the two stocks? The assessment team acknowledges that there is some repetition in the text in these sections, but believes this is necessary to provide complete stand alone sections for each UoA. 5. It would be good to give a source references to all tables and figures where possible (in the Table / Figure header). All of the figures and tables used in the introductory text are referenced in the text, and the text includes the reference or citation to the source document. All references in the text are fully described in the References section 7. 6. Catch composition data in P2.1 and P2.2 (Table 13) is presented in lbs. Although I don’t think this is an explicit MSC requirement, it would be helpful to present the catch data in ISO units of either kg or metric tonnes, to make them easier to compare with other fisheries.

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US Maine haddock, pollock and redfish The catch data in Table 13-16 is presented in the units made available from the National Marine Fisheries Service, Northeast fisheries Science Center, observer program. The units are in lbs, are were kept in that format to allow for comparison with NMFS published information. 7. Throughout the text there are still some typos and edits needed, for example Section 3.6.3 Habitat, 1st paragraph refers to ‘this pre- assessment report’. The report has been edited for typos. 8. Section 3.6.3 would greatly benefit from a map showing the key geomorphologic features and basins. The assessment team believes that the sediment or substrate distributions maps in Figures 27 and 29 for Georges Bank and the Gulf of Maine are more than adequate to describe the habitat types in the region. 9. Fig. 28, bit confusing, as only numbers are given in the figure for the benthic assemblages, which are then described further on. As this is read on the screen, might be easier for reader to have a descriptor in the Figure label to indicate that description of assemblages below …. No source reference. The description of the assemblages is too long to include in the figure caption, so figure caption has been revised to point the reader to the appropriate text below that provides the description of the assemblages. The source of the information was provided in the first sentence of the paragraph (Watling 1998). The figure has been revised to provide a clear reference for source of the information. 10. Figure 32 refers to Habitat closed areas, what are these? Why are they closed? This is not mentioned in the text. Figures 32 and 33 provides maps of the distribution of fishing effort in the large mesh bottom trawl fishery. They also indicate several habitat based closed areas that were established as part of the NMFS habitat protection efforts. They are not described in the text as they are not relevant to any particular issues addressed in the assessment. 11. No VMEs are described in the text of Section 3.6.3. Deep sea corals are mentioned in the justification, 2.4.1b, and location map of these corals in relation to fisheries’ footprint would demonstrate this. Any other VMEs – such as sponge beds? A section has been added to the report addressing MSC defined VMEs, noting the recent management action to protect deep water corals on the continental slope in the deep water canyons in the US northeast region fisheries. The section concludes that the footprint of the fishery does not overlap the protected deepwater coral habitats, and therefore demonstrates that the fishery (4 UoAs) does not interact with VMEs. 12. Would the annual landings in statistical areas, Fig 32/33 be equivalent to VMS locations of the fleet? Annual landings by statistical area are data reported from dealer reports. Figures 32 and 33 provide effort information related the possible habitat impact at a far higher resolution than NMFS statistical areas. Before the availability of VTR and observer data, landings by statistical area were the best available information on the distribution of fishing effort.

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US Maine haddock, pollock and redfish 13. Are the ‘Essential Fish Habitat and Habitat Area of Particular Concern (HAPC)’ in justification of 2.4.2a) related to the Habitat closed area (Blue blocks) and Groundfish closed areas (purple blocks) in Figure 32? ….. actually justification in c) just explained this. Maybe this could also be clarified in the main report under section 3.6.3, by maybe introducing a subsection of ‘closed areas’. The report has been revised slightly to clarify this issue, and section has been added addressing MSC VMEs. 14. Section 3.7.1 – should be units of assessment, there are four units based on stock and species The text has been revised. 15. 3.7.2 Edit that paragraph so that the first bullet starts with: 1. Prevent overfishing while….. ; The text has been revised accordingly. 16. Section 3.7.3 Observer Policy Committee – - any update on this, the paragraph was written before the end of 2014. There are no updates on the progress of this committee provided in the NEMFC website. 17. Section 3.7.4 On January 14, 2016, the NEFMC submitted Omnibus Habitat Amendment 2 (OHA2) to NMFS GARFO and it is currently undergoing review. Any update on this review? It is now 2018. The OHA2 was approved in 2017, the text has been revised accordingly. 18. Section 3.7.6 seems to relate to monkfish fisheries (as well as multispecies) – is this relevant here? 50 CFR Part 648, Subpart F - Management Measures for the NE Multispecies and Monkfish Fisheries. Anything specific to redfish, which after all is vulnerable to overfishing because of its life history and biology. The section 3.7.6 addresses both groundfish and monkfish in the regulations, so groundfish were not separated out specifically. There is nothing specific with regard to redfish in the regulations. 19. Section 6.2; Table 35 could be made clearer by removing the ‘wt’ column. The wt column is part of the MSC table format.

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US Maine haddock, pollock and redfish Appendix 3 Stakeholder submissions

No written submissions were received. On the 5th of July during the site visit, the assessment team meet with staff from the NMFS, NEFSC to discuss the stock assessment process and to confirm the status of the P1 stocks as well as the P2 primary stocks. A summary of that meeting follows:

Meeting Record –Haddock, pollock and redfish in GOM and GB, large mesh otter trawl

Date 5 June 2017

Location Start Time/ Finish Time NMFS NEFSC, Woods hole, 0900 to 1030

Attendees

Name Organisation Role Signature

Joe DeAlteris Acoura Assessment Team P1 and P2 expert & TL

Dick Allen Acoura Assessment Team P3 expert

Russell Brown NMFS NEFSC Branch Chief

Brian Linton NMFS NEFSC Stock assessment analyst,

Mike Palmer NMFS NEFSC Stock assessment analyst

Liz Brooks NMFS NEFSC Stock assessment analyst

Subjects discussed:

DeAlteris made the standard introduction, explaining the MSC system, and the three principles. Reviewed the stock status of the P1 species, GOM haddock, GB haddock, pollock, redfish. Learned that new assessments will be complete and published in September 2017. Confirmed that redfish is not overfished, nor overfishing occurring. No anticipated status change. Indices in decline. 2007 was a strong year class. Confirmed that pollock is not overfished, nor overfishing occurring. The indices are variable, Some discussion of use of dome-shaped or flat-topped selection curve for survey trawl data, and how that effects the assessment model. The assessment includes a sensitivity analysis on dome-shaped selectivity compared to flat-topped selectivity.

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US Maine haddock, pollock and redfish Confirmed that GOM haddock is not overfished, nor overfishing occurring. Strong year classes in 2010, 2012, and 2013. There is no evidence for density-dependent growth in the GOM stock. Confirmed that GB haddock is not overfished, nor overfishing occurring. Several very strong year classes in the stock resulting in density dependent (slow) growth, some discussion from fishery about reducing the minimum fish size and the minimum mesh size, so as to be able to capture the strong year classes of fish, before they die? Discussed the effectiveness of existing measures in place to allow for the rebuilding of GB and GOM cod. Russ Brown points out that these are essentially the same measures that were in place for haddock, and they worked for that species. He noted that cod and haddock were collapsed or nearly collapsed in the 1990s, and certainly haddock has recovered. So, the measures have demonstrated the capacity to allow for rebuilding, if nature cooperates.

On the 5th of July in the afternoon, the assessment organized an open meeting to take stakeholder input, but there were no attendees. A summary of that meeting follows:

Meeting Record –Haddock, pollock and redfish in GOM and GB, large mesh otter trawl

Date 5 June 2017

Location Start Time/ Finish Time PUBLIC LIBRARY, GLOUCESTER, MA 1500-1600

Attendees

Name Organisation Role Signature

Joe DeAlteris Acoura Assessment Team P1 and P2 expert & TL

Dick Allen Acoura Assessment Team P3 expert

Sergio Cansado ASI witness

No participants, no input submitted.

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US Maine haddock, pollock and redfish On the 6 of July, the assessment team met with the staff of the NEFMC to discuss management issues related to the fishery. A summary of that meeting follows:

Meeting Record –Haddock, pollock and redfish in GOM and GB, large mesh otter trawl

Date 6-Jun-17

Location Start Time/ Finish Time NEFMC, Newburyport, MA, 0900-1030

Attendees

Name Organisation Role Signature

P1 and P2 expert Joe DeAlteris Acoura Assessment Team & TL

Dick Allen Acoura Assessment Team P3 expert

Sergio Cansado ASI witness

Marin Hawk MSC outreach

Tom Nies NEFMC Exec. Director

Groundfish Plan Jamie Cournane NEFMC coordinator

Robin Frede NEFMC staff

Chris Kellogg NEFMC Deputy director

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US Maine haddock, pollock and redfish Subjects discussed:

DeAlteris made the standard introduction, explaining the MSC system, and the three principles. Discussed the stock status of the P1 species, GOM haddock, GB haddock, pollock, and Acadian redfish. None are overfished, nor is overfishing occurring. Confirmed that the most recent information on stock status of most groundfish and related species can be found in the Framework 56 document, recently released by the NEFMC. We discussed the Conditions that were included in the previous SAI assessment of this fishery, and asked about the NMFS and NEFMC assistance with the completion of the conditions, in particular the effectiveness of measures to protect and rebuild GOM and GB cod, yellowtail and winter flounder. The Council staff is not aware of any specific cooperation or projects between the Sustainable Groundfish Association, Inc. and NEFMC. Discussed the best observer data to characterize the fishery. Concluded the large mesh means any mesh greater than or equal to 5.5 inches, and that all bottom trawls should be included. That is all standard large mesh trawls, any large mesh separator trawl, monkfish trawls, etc. Tom Nies noted that there is some feeling that smaller mesh should be used for redfish and haddock and that experimental fishing will be done to gather data. The Council’s Research Steering Committee will be looking at the “Red Net” Project. Discussed the effectiveness of measures in place to rebuild GOM and GB cod, and Tom Nies referred us to the recent Wiedenmann and Jensen paper entitled "Uncertainty in stock assessments for New England groundfish and its impact on achieving target harvest rates". Tom Nies later forward the abstract of that paper. The Council staff noted that Framework 53 implemented a cod closure in the winter in the GOM and that the recreational fishery for cod in the GOM has been closed because discards while fishing for other species cause the recreational catch to reach the ACL. The Council staff noted that Groundfish Sectors have their own by-catch avoidance measures in their operations plans, which are binding on sector members. The Council staff noted that an update of all groundfish stock assessments will be done in September 2017.

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US Maine haddock, pollock and redfish On the 6th of July the assessment team met with the staff of the NMFS regional fishery management office (GARFO) to discuss management issues in the fishery. A summary of that meeting follows:

Meeting Record –Haddock, pollock and redfish in GOM and GB, large mesh otter trawl

Date 6 June 2017

Location Start Time/ Finish Time NMFS GARFO, Gloucester, MA, 1300-1430

Attendees

Name Organisation Role Signature

Joe DeAlteris Acoura Assessment Team P1 and P2 expert & TL

Dick Allen Acoura Assessment Team P3 expert

Sergio Cansado ASI witness

Marin Hawk MSC outreach

Sarah Heil GARFO staff

Mark Grant GARFO staff

Emilyu Keily GARFO staff

Claire Fitz-Gerald GARFO staff

Subjects discussed:

Dick Allen made the standard introduction explaining P1, P2, and P3 issues. We discussed the Conditions that were included in the previous SAI assessment of this fishery, and asked about the NMFS and NEFMC assistance with the completion of the conditions, in particular the effectiveness of measures to protect and rebuild GOM and GB cod, yellowtail and winter flounder. No specific cooperation or projects with GARFO were mentioned. Discussed our decision to define a large mesh trawl as greater than or equal to 5.5 inch mesh in the codend, and to use all large mesh bottom trawls in the in the observer database to characterize the catch of the fishery. GARFO expressed some concern about smaller fish in the catch since FW 48, suggesting changes in selectivity. Not sure if it is a problem or not. Fishermen want to target smaller fish, in particular haddock that are not growing as expected due to density dependent processes.

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US Maine haddock, pollock and redfish Scoping at present for next amendment to the Groundfish Fishery Management Plan . This will be a 'monitoring' amendment. Observer coverage down to 16% this year, concerns for illegal discarding, and the potential for increased monitoring including dockside monitoring in the future.

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US Maine haddock, pollock and redfish On the 6th of July the assessment team met with the NMFS Office of Law Enforcement and a field enforcement agent to discuss enforcement issues in the fishery. A summary of that meeting follows:

Meeting Record –Haddock, pollock and redfish in GOM and GB, large mesh otter trawl

Date 6 June 2017

Location Start Time/ Finish Time NMFS OLE and GCES, Gloucester, MA, 1300-1430

Attendees

Name Organisation Role Signature

Joe DeAlteris Acoura Assessment Team P1 and P2 expert & TL

Dick Allen Acoura Assessment Team P3 expert

Sergio Cansado ASI witness

Marin Hawk MSC outreach

Jason Berthiaume NMFS OLE Field enforcement officer

Mark Capone NMFS GCES attorney

Subjects discussed: Dick Allen made the standard introduction explaining P1, P2, and P3 issues, and that we need to understand the level of enforcement and the degree of compliance. Mark Capone discussed the approach to enforcement: field officers on shore, USCG at sea, and state partners in state waters and dockside in states. Violations depend on the situation, either a summary settlement for small violations (essentially a ticket), or are referred for investigation and prosecution if a larger issue, or repeat offender. Jason Berthiaume discussed compliance at the dock, noting that it is a challenge due to the great number of forms to be completed. There are minimal intentional violations, but many unintentional violations, resulting in an outreach compliance effort (warnings). Compliance with fish size is a problem, so many fish minimum sizes. In the future, a move to full retention, no discarding, will help, then undersize fish will not be a problem. E-VTR not in wide use. Again there is mention of "compliance assistance" with unintentional, or negligent non-reporting. No evidence of systematic non-compliance. The GC website has quarterly summaries of enforcement actions, but no annual summaries.

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US Maine haddock, pollock and redfish Responses to PCDR

American Bird Conservancy

Contact Information Make sure you submit your full contact details at the first phase you participate in within a specific assessment process. Subsequent participation will only require your name unless these details change.

Contact Name First David Last Wiedenfeld

Title Senior Conservation Scientist

On behalf of (organisation, company, government agency, etc.) – if applicable

Organisation Please enter the legal or registered name of your organisation or company.

American Bird Conservancy

Department [Not applicable]

Position Please indicate your position or function within your organisation or company.

Biologist

Description Please provide a short description of your organisation.

American Bird Conservancy (ABC) is a non-profit organization whose mission is to conserve native birds and their habitats throughout the Americas.

Mailing Address, Country PO Box 249, The Plains, Virginia 20198 USA

Phone Tel + 540-253-5780 Mob + 540-260-5596

Email [email protected] Web http://abcbirds.org

Assessment Details

Fishery US Gulf of Maine and Georges Bank Haddock, Pollock and Redfish Trawl

CAB Acoura Marine

Assessment Stage* Clicking on the section numbers will bring you to the appropriate section for providing input to the respective assessment stage. It is only necessary to complete those sections corresponding to stages where you wish to comment.

Fishery announcement and stakeholder identification—go to section 1 Opportunity to indicate that you are a stakeholder and identify other stakeholders.

Defining the assessment tree—go to section 2 Opportunity to review and comment on the assessment tree in relation to the fishery if a modified tree is used.

Information gathering and stakeholder meetings—go to section 3 Opportunity to engage with and provide information to the CAB about the specific details and impacts of the fishery.

Public review of the draft assessment report—go to section 4 Opportunity to review and comment on the draft report, including the CABs draft scoring of the fishery.

Annual surveillance—go to section 5 Opportunity to provide information to the CAB about any changes in the fishery since certification and/or the achievements made towards conditions.

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* Note, to register an objection following the publication of the Final Report and Determination, please see www.msc.org/get- certified/fisheries/assessment/objections.

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• SECTION 1 • Return to Page 4

Assessment Stage Fishery Date Name of Individual/Organisation Providing Comments

Fishery announcement and stakeholder identification3 Opportunity to indicate that you are a stakeholder and identify other stakeholders.

Nature of Comment Additional Information/Detail (select all that apply) Please attach additional pages if necessary.

e.g. I wish to indicate that I am a Example: My company has been operating five charter boats for recreational fishing on this fish stock for 20 years, and I would like to be stakeholder in this fishery. informed and involved as this MSC assessment progresses. In addition, we have kept detailed logs over the years of our client's’ catches, Please keep me informed about including sizes, weights and fish caught per trip and would be happy to share these with the assessment team. each stage of the assessment process.

I wish to suggest information or documents important for the assessment of this fishery (you may either attach documents or provide references).

3 MSC Fisheries Certification Requirements, v2.0 section 7.8

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I wish to suggest other individuals or organisations who should be considered stakeholders in the MSC assessment of this fishery (please provide contact information).

Other (please specify)

• SECTION 2 • Return to Page 4

Assessment Stage Fishery Date Name of Individual/Organisation Providing Comments

4 Defining the assessment tree Opportunity to review and comment on the assessment tree in relation to the fishery if a modified tree is used.

Nature of Comment Additional Information/Detail (select all that apply) Please attach additional pages if necessary.

e.g. I DO NOT believe the proposed modifications to the default Example: This is an unusual fishery in that there is significant habitat modification to the area from the growing assessment tree (FCR Annex SA) are appropriate to structures in place. I think the default set of performance indicators in the standard MSC assessment tree do assess this fishery (please provide details and rationale). not evaluate this type of impact well. Therefore I think the assessment team should consider adding some additional performance indicators against which to evaluate the impacts of the habitat modification that doesn’t exist in normal capture fisheries.

4 MSC Fisheries Certification Requirements, v2.0 section 7.7

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I DO NOT think the RBF should be used to assess the Performance Indicator(s) ticked below because there is sufficient information available to follow the conventional process5 (please provide details and rationale).

1.1.1 2.1.1 2.2.1 2.3.1 2.4.1 2.5.1

I DO think the RBF should be used to assess the Performance Indicator(s) ticked below because there is NOT sufficient information available to follow the conventional process (please provide details and rationale).

1.1.1 2.1.1 2.2.1 2.3.1 2.4.1 2.5.1

Other (please specify)

• SECTION 3 • Return to Page 4

Assessment Stage Fishery Date Name of Individual/Organisation Providing Comments

Information gathering and stakeholder meetings6 Opportunity to engage with and provide information to the CAB about the specific details and

5 MSC Fisheries Certification Requirements, v2.0 section 7.7.6 6 MSC Fisheries Certification Requirements, v2.0, section 7.8.4

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impacts of the fishery.

Nature of Comment Additional Information/Detail (select all that apply) Please attach additional pages if necessary.

I wish to request an in-person Example: I am unable to attend the scheduled on-site meetings with the assessment team about this fishery but would like to ensure the meeting with the site team during following documents are considered when the team reviews the available information: their assessment visit (meetings 1. Doc A; 2. Doc B; 3. Doc C. without the fishery client present All of these are available for download at the following web address… may be requested at this phase of the process if desired).

e.g. I wish to submit written information about the fishery and its performance against the default tree and/or RBF to the assessment team (please provide documents or references).

Other (please specify)

• SECTION 4 • Return to Page 4

Assessment Stage Fishery Date Name of Individual/Organisation Providing Comments

Public review of the draft US Gulf of Maine and Georges 24 February 2018 David A. Wiedenfeld, Hannah Nevins, Brad assessment report7 Bank Haddock, Pollock and Keitt (American Bird Conservancy) Opportunity to review and Redfish Trawl comment on the draft report,

7 MSC Fisheries Certification Requirements, v2.0 section 7.15

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including the draft scoring of the fishery.

I wish to comment on the evaluation of the fishery against specific Performance Indicators. A table with these indicators and the scores and rationales provided by CABs can be found in Appendix 1 of the draft assessment report.

Nature of comment (Please insert one or more of these codes in the second column of the table below for each PI.) 1. I do not believe all the relevant information8 available has been used to score this performance indicator (please provide details and rationale). 2. I do not believe the information and/or rationale used to score this performance indicator is adequate to support the given score9 (please provide details and rationale). 3. I do not believe the condition set for this performance indicator is adequate to improve the fishery’s performance to the SG80 level10 (please provide details and rationale). 4. Other (please specify)

Performance Nature of Justification Cab Response Indicator Comment Please support your comment by referring to specific Indicate scoring issues and any relevant documentation where possible. Please attach additional pages if relevant code(s) from necessary. list above.

PIs 2.2.1, 1 This report does not mention seabird The report has been modified to clearly state in the introductory section 2.2.2, 2.2.3, bycatch, either positively or negatively. and in the scoring where appropriate that there is no evidence of seabird 2.3.1, 2.3.2, There is simply no information about interactions with the UoAs in the observer data specific to the fishery and 2.3.3 seabird bycatch or mortality that might be (Tables 13-16 of this report), nor in the national bycatch report (NMFS caused by this fishery. We ask that 2011, 2012, and 2016) that summarizes bycatch in US fisheries including information and discussion of scoring about

8 MSC Fisheries Certification Requirements, v2.0 section 7.10 9 MSC Fisheries Certification Requirements, v2.0 section 7.10 10 MSC Fisheries Certification Requirements, v2.0 section 7.11

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Performance Nature of Justification Cab Response Indicator Comment Please support your comment by referring to specific scoring issues and any relevant documentation Indicate relevant where possible. Please attach additional pages if code(s) from necessary. list above.

seabird bycatch be included as part of this seabirds where appropriate . The assessment team acknowledges that it report. should have included this in the report. There are a number of species of seabirds

that could be impacted by this fishery and its gear. A rapid assessment of the area With regard to the details of the comments above, the assessment team where fishing occurs using the Seabird notes that the Hedd et al (2015) report does not specifically address Maps and Information for Fisheries map seabird bycatch on Georges Bank, as indicated. The study areas for the tool (accessible through Hedd et al (2015) study extended from Newfoundland/Labrador to the http://fisheryandseabird.info) and in Scotian Shelf. The Hedd et al report did note that most observed seabird Powers (1983) indicates that more than 50 bycatch was in overall study area was in the gillnet and longline fisheries. species of seabirds could potentially occur Additionally based on data from more than observed 275,000 hauls of in the area of the fishery, including species trawl net within the large study area over the period 1998-2011 for the of conservation concern (Black-capped large range of bottom trawl fisheries in the Maritimes in summer, the Petrel Pterodroma hasitata, US authors report only 15 birds were observed taken in trawl net, including Endangered Species Act-listed and IUCN 10 shearwaters, three northern gannets, one gull and one bird was Endangered; Long-tailed Duck Clangula unidentified. Georges Bank is not specifically identified. The references hyemalis, and Trinidade Petrel Pterodroma to interactions with trawls (ACAP, 2015) are related to possible trawl arminjoniana, both IUCN Vulnerable; and interactions with seabirds in the Polar south Atlantic and Pacific, and are Black Scoter Melanitta americana and also not related to the UoAs. The assessment team recognizes that Sooty Shearwater Ardenna grisea, both seabirds do interact with the gillnet and longline fisheries in the US on IUCN Near Threatened). Although trawl Georges Bank and the Gulf of Maine, but these fisheries are not part of gear may not be as risky to seabirds as the UoA. longlines and gillnets (American Bird Conservancy 2011; Chuenpagdee et al. 2003; Pott and Wiedenfeld 2017), trawl References: gear can still cause significant mortality to diving birds which may get caught in the NMFS. 2011. U.S. National Bycatch Report (W. A. Karp, L. L. Desfosse, S. net, or though warp strikes, third wire/ G. Brooke, editors). U.S. Dep. Commer., NOAA Tech Memo NMFS- sonde cable strikes or through other F/SPO-117E, 508 p. Available online at: interactions with vessels and gear during http://www.nmfs.noaa.gov/by_catch/bycatch_nationalreport.htm net shooting or hauling (ACAP 2015). Hedd NMFS. 2012. U.S. National Bycatch Report First Edition Update 1 [L. R. et al. (2015) identified seabird mortality in Benaka, C. Rilling, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep.

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Performance Nature of Justification Cab Response Indicator Comment Please support your comment by referring to specific scoring issues and any relevant documentation Indicate relevant where possible. Please attach additional pages if code(s) from necessary. list above.

trawl fisheries in the Georges Bank area. Commer., 57 p. Available online at: http://www.st.nmfs.noaa.gov/observer- Therefore, it cannot be assumed that this home/first-edition-update-1 trawl fishery poses no risk to seabirds. NMFS. 2016. U.S. National Bycatch Report First Edition Update 2 [L. R. If it is in fact the case that seabird bycatch Benaka, D. Bullock, J. Davis, E. E. Seney, and H. Winarsoo, Editors]. U.S. and mortality was evaluated for this fishery, Dep. Commer., 90 p. Online edition: regardless of whether there turned out to http://www.st.nmfs.noaa.gov/observer-home/first-edition-update-2. be any issue of seabird bycatch or not, please clearly state this. If there was seabird bycatch, that bycatch needs to be evaluated in the context of the fishery certification.

References: ACAP. 2015. Fact Sheet 13 Trawl fisheries: warp strike, and Fact Sheet 14 Trawl fisheries: net entanglement. Agreement on Conservation of Albatrosses and Petrels, https://acap.aq/en/bycatch- mitigation/bycatch-mitigation-fact-sheets. American Bird Conservancy. 2011. Methodology to assess fisheries for risk to seabirds. American Bird Conservancy, The Plains, Virginia, USA. Chuenpagdee, R., et al. 2003. Shifting gears: assessing collateral impacts of fishing methods in US waters. Frontiers in Ecology and Environment 1: 517–524, Hedd, A., et al., 2015. Characterization of seabird bycatch in eastern Canadian waters, 1998–2011, assessed from onboard fisheries observer data Aquatic Conservation: Marine and Freshwater

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Performance Nature of Justification Cab Response Indicator Comment Please support your comment by referring to specific scoring issues and any relevant documentation Indicate relevant where possible. Please attach additional pages if code(s) from necessary. list above.

Ecosystems 26: 530–548. doi: 10.1002/aqc.2551.

Pott, C., and D. A. Wiedenfeld. 2017. Information gaps limit our understanding of seabird bycatch in global fisheries. Biological Conservation 210: 192–204. Powers, K. D. 1983. Pelagic distributions of marine birds off the Northeastern United States, US Department of Commerce, NOAA Technical Memorandum, NMFS-F/ NEC-27, 201 pp.

PIs 2.5.1, 1 As with PIs 2.2 and 2.3, there is simply no The report has been modified in the introductory sections and scoring 2.5.2, and mention of any seabirds with regard to where appropriate to note that there is no evidence of seabird 2.5.3 ecosystem impacts, either positively or interactions with the UoAs in the observer data specific to the fishery negatively. We ask that information and (Tables 13-16) or in the national bycatch report (NMFS 2011, 2012, discussion of scoring about potential 2016). The assessment team acknowledges that it should have included ecosystem impacts on seabirds be this in the report. The assessment team recognizes the role of seabirds included as part of this report. in marine food webs as pointed out by Jason Link and others, but

because there was no evidence of seabird interactions in the observer Seabirds are integral upper trophic level data for this fishery or in other bycatch reports, the team did not address components of marine food webs. Georges seabird in the assessment report. Bank is a highly productive continental shelf system and supports a great diversity and abundance of marine birds (Powers 1983). The George’s Bank ecosystem has References: been well studied: “Although the biomass NMFS. 2011. U.S. National Bycatch Report (W. A. Karp, L. L. Desfosse, S. and production levels of these groups are G. Brooke, editors). U.S. Dep. Commer., NOAA Tech Memo NMFS- low [compared with other trophic groups], F/SPO-117E, 508 p. Available online at: concerns over fishery-related impacts on http://www.nmfs.noaa.gov/by_catch/bycatch_nationalreport.htm their populations warrants special

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Performance Nature of Justification Cab Response Indicator Comment Please support your comment by referring to specific scoring issues and any relevant documentation Indicate relevant where possible. Please attach additional pages if code(s) from necessary. list above.

consideration in defining the structure of NMFS. 2012. U.S. National Bycatch Report First Edition Update 1 [L. R. the Georges Bank ecosystem.” (Link et al. Benaka, C. Rilling, E. E. Seney, and H. Winarsoo, Editors]. U.S. Dep. 2008). Commer., 57 p. Available online at: http://www.st.nmfs.noaa.gov/observer- home/first-edition-update-1 If it is in fact the case that ecosystem impacts by this fishery on seabirds was NMFS. 2016. U.S. National Bycatch Report First Edition Update 2 [L. R. evaluated, regardless of whether there Benaka, D. Bullock, J. Davis, E. E. Seney, and H. Winarsoo, Editors]. U.S. turned out to be any issue of impacts on Dep. Commer., 90 p. Online edition: seabirds or not, please clearly state this. If http://www.st.nmfs.noaa.gov/observer-home/first-edition-update-2. ecosystem impacts on seabirds were identified, those impacts need to be evaluated in the context of the fishery certification.

References: Powers, K. D. 1983. Pelagic distributions of marine birds off the Northeastern United States, US Department of Commerce, NOAA Technical Memorandum, NMFS-F/ NEC-27, 201 pp. Link, J., et al. 2008. Energy flow on Georges Bank revisited: the Energy Modelling and Analysis eXercise (EMAX) in historical context. Northwest Atlantic Fishery Science, 39: 83–101.

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Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version

27498 170 Major FCR-7.10.6 v2.0 PI 1.2.2 SI a. It is not clear 1.2.2, The text of the justification of PI1.2.2 SIa has been revised to fully how SG 60 and SG 80 have explain the HCR, specifically how the exploitation is reduced as PRI been met with regards to is approached. how the exploitation rate would be reduced when PRI is approached.

27501 170 Guidance FCR-7.10.6.1 PI 1.2.2 SI a. The rationale 1.2.2, The last sentence of the justification has been revised accordingly v2.0 mentions taking into account the ecological role of the stock. In the SG80 guidepost it notes that this is for species that are key LTL.

27502 242 Guidance FCR-7.10.6.1 PI 3.1.1 SI a. The rationale 3.1.1, The rationale for PI 3.1.1 SI a has been expanded to provide v2.0 does not provide clear additional evidence that the management system is effective in evidence that the delivering outcomes consistent with MSC Principles 1 and 2. management system is effective in delivering outcomes consistent with MSC Principles 1 and 2.

27503 250 Major FCR-7.10.6.1 PI 3.2.2 SI b. The rationale 3.2.2, The rationale for PI 3.2.2 SI b has been expanded to more fully v2.0 does not present clear describe the legal and structural components of the decision- evidence that the decision- making process that assures that the system responds to all issues making processes respond identified in relevant research, monitoring, evaluation and to all issues identified in

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version relevant research, consultation and how the system responds in an adaptive manner monitoring, evaluation and taking into account the wider implications of decisions. consultation. There is also no evidence provided on how decision-making processes respond to all issues in an adaptive manner, nor how they take account of the wider implications of decisions.

27504 254 Guidance FCR-7.10.6.1 PI 3.2.3 SI b. The rationale 3.2.3, The links have been repaired as of 3/20/18. v2.0 text contains several broken reference links.

27505 249 Major FCR-7.10.6.1 PI 3.2.1 SI a. The rationale 3.2.1, Additional justification has been provided to demonstrate how v2.0 does not support the score measurable short and long-term objectives are consistent with of SG100 as it is not clearly achieving outcomes expressed by MSC’s Principles 1 and 2. demonstrated how measurable short and long term objectives are consistent with achieving outcomes expressed by MSC's Principles 1 and 2.

27506 253 Major FCR-7.10.6.1 PI 3.2.3 SI a. The rationale The reviewer questions whether the fishery has demonstrated a v2.0 does not support the SG consistent ability to enforce compared to an ability to enforce. The 100 score as it is unclear justification has been expanded to provide evidence that the how the fishery has fishery management system has demonstrated a consistent ability demonstrated a consistent to enforce relevant management measures, strategies and/or ability to enforce relevant rules. Consistency is defined as being reliable, steady, dependable

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version management measures, and constant. NMFS and the US Coast Guard enforcement strategies and/or rules resources meet all of those criteria. They are bolstered by state compared to an ability (SG enforcement resources. 80).

27507 171 Minor FCR-7.10.6.1 PI 1.2.2 SI b. The team 1.2.2, The justification of PI 1.2.2 SIb has been revised to include a short v2.0 presents a rationale to description of the general uncertainties that are accounted for in support an SG80 score, the setting of the ACL. however, it is not clear in the given rationale what the main uncertainties are.

27508 177 Minor FCR-7.10.6.2 PI 1.2.4 SI a. The provided 1.2.4, The justification of PI1.2.4 SIa has been revised to better describe v2.0 rationales for the different why the assessments of the four UOAs are appropriate to the stock species are similar to those and HCR, and the biology of the species. provided in PI 1.1.1. While it is understood what assessments are occurring, how these assessments are appropriate for the stock and HCR (SG80) and how they are relevant to the major features of the biology of the species and nature of UoA (SG 100) is not fully addressed.

27509 138 Guidance FCR_7.6.1.2 The eligibility date should This has been corrected to the date of certification (which would v2.0 either be the date of be the date of the Public Certification Report) but has been certification or the corrected for conformity. publication date of the

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version Public Comment Draft Report (not the publication of Public Certification Report). As per the Full Assessment Reporting Template, please provide a rationale for selecting the eligibility date, including consideration of whether the traceability and segregation systems in the fishery will be implemented by this date.

27510 138 Guidance FCR_7.12.1.5.b On p138 under point 2 it It has now been made explicit that Fisherman’s Wharf Gloucester v2.0 described what happens at is one of two landing sites for the client. Chain of Custody the point of landing. It is requirements are detailed depending on three scenarios. not clear how many landing sites there are and whether Fisherman’s Wharf Gloucester (FWG) is the only landing site?

27511 138, 140 Minor FCR-7.4.11.2b In Section 5.2 on p138 Point 4 has been modified to emphasise the low risk due to federal v2.0 under points 4 and 19, and accountability. Point 19 has been clarified as it was ambiguous. in Table 31 on p140 (row Table 31 already emphasises the low risk of mixing. The systems to 5) it is stated that prevent mixing are in various points of the report including points "Although the risk of mis- 2, 4, 20 and table 31. labelling occurring shoreside by a dealer still exists, the multiple levels

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version of VMS, VTR and Sector reports that must be signed by authorized representatives of the vessels (the master) provide a significant barrier to such activity." However, it appears from the report (point 14 p139) that both of certified and non-certified are landed and sold at the same point, and therefore that there is risk of mislabelling and substitution occurring at shoreside, at auction and by offloaders. Please describe the systems in place to prevent mixing.

27512 n/a Guidance FCR_7.12.1.5.a There is no mention of a Added in Appecndix 4 v2.0 vessel list of vessel included in the UoC or where to access it.

27513 141 Minor FCR-7.12.1.5b P141 Section 5.3 explains More detail has been added to 5.3 Eligibility to Enter Further v2.0 that CoC is needed by Chains of Custody "..entities taking ownership of the product downstream…" however,

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version in earlier sections reference is made to FWG and also the use of display auctions for selling catch. While it is understood that FWG is part of the client group, it is not clear how the auctions and landing site relates to this, and where change of ownership occurs. If the landing sites receive both certified and non-certified, are the systems described enough to ensure segregating and prevent potential mixing, without requiring CoC at the point of landing?

Please confirm the point of intended change of ownership, is this at auction and/or offloading facility? It needs to be clear whether CoC is required at FWG and other offloading stations.

27514 185 Major FCR-7.10.6.1 PI 2.1.1 SIa. Atlantic Cod 2.1.1, Additional evidence has been added to the justifications for GB v2.0 (GOM and GB). SG 80 and GOM cod that the fisheries are not hindering recovery, that is

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version achieved however it’s the catches are less than the ACLs, and therefore are consistent unclear from the rationale with the rebuilding plan. presented how or whether the recovery strategy is “demonstrably effective” in collectively “not hindering recovery and rebuilding” in the context of cumulative impact of MSC fisheries. See SA 3.4.6 and related guidance.

27515 186 Minor FCR-7.10.6.1 PI 2.1.1 SI a. Winter 2.1.1, The justification has been revised to reflect that GB winter v2.0 flounder (GB). SG80 flounder is below PRI as noted in the introductory section, but that achieved however it’s there is a rebuilding plan in place, and that recent catches are less unclear from the rationale than the ACL, and therefore are consistent with the rebuilding how the status relative to plan. PRI has been considered.

27516 n/a Major FCR-7.10.6.1 PI 2.1.2, 2.2.2, 2.3.2. SI e. 2.1.2, The justifications for PIs 2.1.2, 2.2.2, and 2.3.2 SIe have been v2.0 All elements. SG80 and 2.2.2, revised to better describe the "on the water" measures that have SG100 achieved however 2.3.2, been implemented by the UoAs to reduce unwanted catch, where it’s unclear what appropriate. The assessment team has reviewed the FCR SA3.5.3.3 alternative measures have and GSA3.5.3.3 to better understand the "on the water" been implemented in the interpretation. However, the assessment team also believes that context of this UoA the evidence presented in PI2.1.2 SIe truly described "on the specifically (e.g. which water" measures that have been experimented with and measures are applied “on implemented to reduce unwanted mortality of primary and the water” in the context secondary species in the large mesh otter trawl fishery. With of the UoA). See critical regard to ETP species, there are minimal interactions between this guidance GSA 3.5.3.3. fishery and ETP species, so there has been no need to "on the

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version water measures. There continues to be "on the water" monitoring of the fishery with the "at sea observer" program.

27517 212 - 223 Major FCR-7.10.6.1 PI 2.3.1.SI a. All elements. 2.3.1, The PI 2.3.1 SIa justification has been revised to better describe v2.0 SG100 achieved however the UoA impact relative to the national limits, and to note that the it’s unclear from the data presented includes all trawl fisheries and therefore includes rationale what UoA impact other MSC UoA trawl fisheries. is relative to National/International limits set. E.g. it may be clearer if relative UoA related mortality was presented for species referenced. Additionally it's unclear from the rationale presented how the assessment considers the cumulative impact of other MSC fisheries in the context of this scoring issue.

27518 217-223 Major FCR-7.10.6.1 PI 2.3.1.SI b. Large Whales, 2.3.1, The PI 2.3.1 SIb justification has been revised to better describe v2.0 Small cetaceans, Turtles the direct relative impact of the UoA specific impact is in the and Atlantic Sturgeon. context of the recovery of species are. E.g. numbers of interactions SG80 achieved however recorded and related estimates of mortality made but unclear how it's unclear from the these estimates relate to recovery of those species rationale presented what the direct relative impact of the UoA specific impact is in the context of the

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version recovery of species are. E.g. numbers of interactions recorded and related estimates of mortality made but unclear how these estimates relate to recovery of those species.

27520 217-223 Minor FCR-7.10.6.1 PI 2.3.3 SI a. Sea Turtles. The PI2.3.3 SIa justification has been reviewed, and it is unclear to v2.0 SG80 achieved, however, the assessment team what MSC TO is referring to specific to sea it's unclear from the turtles? The justification has been revised slightly in an attempt to rationale what quantitative better address what quantitative evidence/information was used evidence/information was to determine the UoA’s relative “threat to protection and recovery used to determine the of ETP species" for all the species groups. UoA’s relative “threat to protection and recovery of ETP species”.

27521 227 Major FCR-7.10.6.1 PI 2.4.1.SI a. SG80 2.4.1, The justification of PI2.4.1 SIa has been revised to first identify the v2.0 achieved, however it's "commonly encountered habitats" of the large mesh otter trawl unclear from the rationale fishery, as per SA3.13.3. The justification then proceeds to the presented i) what evaluation of impacts of the fishery on the commonly encountered commonly encountered habitats, and now provides the specific evidence to support the habitats have been defined SG80 scoring. (as per SA 3.13.3) and (ii) how/what specific UoA related impact on these habitats has been considered as per SA3.13.4. E.g. it would be

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version clearer if rationale defined which habitat types were being encountered by the UoA and whether those encountered were being subject to "serious or irreversible harm" by the UoA as per our requirements. See relevant guidance for more details.

Response to Final Report

MSC Technical Oversight Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version

The justification to PI2.1.1 SIa has been further revised to explicitly PI 2.1.1. SI a. GM and GB demonstrate how the strategy in place is "demonstrably effective" Cod. The rationale as per the specific requirements defined in SA3.4.6. In particular, provided in response to based on direct evidence from time series estimates of stock MSC raised technical status, and indirect evidence from time series of indicators or oversight is insufficient in FCR-7.10.6.1 proxies of stock status indicative of the state of the whole stock, 28691 184-189 Major that it does not effectively 2.1.1, v2.0 for both GOM and GB cod. Plots of survey indices and biomass describe how the strategy estimates from the 2017 stock assessment updates have been in place is "demonstrably added to the justifications for GOM and GB cod. These effective" as per the demonstrate that in the last several years the stocks have been specific requirements slowly increasing, thereby demonstrating that the rebuilding plan defined in SA3.4.6. is "demonstrably effective".

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version

PI 2.1.2/PI2.2.2/PI2.3.2. SI The justifications of PIs 2.1.2, 2.2.2, and 2.3.2, SIe have been e. The assessment team revised to specifically highlight the role of the UoA in the active have supplemented the review and implementation if necessary of measures to reduce relevant rationales in unwanted catch and/or the mortality of that catch. response to our technical oversight. However, the context of the response still lacks detail on how/whether the participants of the UoA actively review and implement alternative measures as per SA3.5.3. 2.1.2, FCR-7.10.6.1 The intent here is that the 28692 n/a Major 2.2.2, v2.0 UoA itself (e.g. fleets, vessels, fishers etc.) should 2.3.2, be attempting to reduce unwanted catch through review and implementation of practical and alternative measures. Whilst the rationales include efforts of relevant management authorities in this context it does not include how the UoA actors themselves undertake relevant reviews and implement

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US Maine haddock, pollock and redfish Sub Page Grade Requirement Oversight Description Pi CAB Comment ID Reference Version measures where practical (See SA 3.5.3 and relevant guidance).

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Appendix 4 Vessel List The vessels which are part of the client group are as below: VESSEL FED Doc # Fed Permit Length Tonnage Teresa Marie III 677998 410355 77' 198 Teresa Marie IV 1089264 410537 80' 168 Harmony 930191 410457 90' 168

Any changes to the vessel list will be documented in the certificates and traceability section of the MSC website for this fishery here: https://fisheries.msc.org/en/fisheries/northern-ireland-pelagic-sustainability-group-nipsg-irish-sea- herring/@@certificates

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Appendix 5 Surveillance Frequency

Table 4.1 : Surveillance level rationale

The fishery is eligible for a level 1 surveillance interval, as there are no conditions, and all information is readily available from the science and management agencies, and is easily verifiable, as it is all available on line. The number of auditors required to part5icipate in each surveillance audit is 2, and one audit is required to review P1 and P2, and another auditor is required to review P3.

Table 4.2: Timing of surveillance audit

Year Anniversary Proposed date Rationale date of of surveillance certificate audit 1 4/May/2019 Anniversary of N/A certification 2 4/May/2020 Anniversary of N/A certification 3 4/May/2021 Anniversary of N/A certification 4 4/May/2022 Anniversary of N/A certification

Table 4.3: Fishery Surveillance Program

Surveillance Year 1 Year 2 Year 3 Year 4 Level Level 1 Off-site Review of Review of On-site surveillance information information surveillance audit audit & re- certification site visit

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