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--> Share the Fish Toward a National Policy on Individual Fishing Quotas Committee to Review Individual Fishing Quotas Ocean Studies Board Commission on Geosciences, Environment, and Resources National Research Council NATIONAL ACADEMY PRESS Washington, D.C. 1999
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--> NATIONAL ACADEMY PRESS 2101 Constitution Avenue, N.W. Washington, DC 20418 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This report was supported by contracts from the National Oceanic and Atmospheric Administration (NOAA). The views expressed herein are those of the authors and do not necessarily reflect the views of the NOAA or any of its sub-agencies. Library of Congress Cataloging-in-Publication Data Sharing the fish: toward a national policy on individual fishing quotas / Committee to Review Individual Fishing Quotas, Ocean Studies Board, Commission on Geosciences, Environment, and Resources, National Research Council. p. cm. Includes bibliographical references and index. ISBN 0-309-06330-2 (casebound) 1. Fishery management—United States. 2. Fishery policy—United States. 3. Fishery management. 4. Fishery policy. I. National Research Council (U.S.). Committee to Review Individual Fishing Quotas. SH221.S47 S87 1999 98-58059 333.95'617—dc21 Sharing the Fish: Toward a National Policy on Individual Fishing Quotas is available from the National Academy Press, 2101 Constitution Ave., N.W., Box 285, Washington, DC 20055; 1-800-624-6242 or 202-334-3313 (in the Washington metropolitan area); http://www.nap.edu. Copyright 1999 by the National Academy of Sciences. Printed in the United States of America
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--> COMMITTEE TO REVIEW INDIVIDUAL FISHING QUOTAS JAN S. STEVENS (Chair), California Department of Justice (retired), Sacramento JOHN H. ANNALA, Ministry of Fisheries, Wellington, New Zealand JAMES H. COWAN, JR., University of South Alabama, Mobile KEITH R. CRIDDLE, Utah State University, Logan WARD H. GOODENOUGH, The University of Pennsylvania, Philadelphia SUSAN S. HANNA, Oregon State University, Corvallis ROGNVALDUR HANNESSON, The Norwegian School of Economics and Business, Bergen, Norway BONNIE J. MCCAY, Rutgers University, New Brunswick, New Jersey MICHAEL K. ORBACH, Duke University, Beaufort, North Carolina GISLI PALSSON, University of Iceland, Reykjavik ALISON RIESER, University of Maine School of Law, Portland DAVID B. SAMPSON, Oregon State University, Newport EDELLA C. SCHLAGER, University of Arizona, Tucson RICHARD E. STROBLE, Merrill & Ring Corp., Seattle, Washington THOMAS H. TIETENBERG, Colby College, Waterville, Maine Staff EDWARD R. URBAN, JR., Study Director GLENN G. MERRILL, Research Associate JENNIFER WRIGHT, Senior Project Assistant
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--> OCEAN STUDIES BOARD KENNETH BRINK (Chair), Woods Hole Oceanographic Institution, Massachusetts ALICE ALLDREDGE, University of California, Santa Barbara DAVID BRADLEY, Pennsylvania State University, State College DANIEL BROMLEY, University of Wisconsin, Madison OTIS BROWN, University of Miami, Florida WILLIAM CURRY, Woods Hole Oceanographic Institution, Massachusetts RANA FINE, University of Miami, Florida CARL FRIEHE, University of California, Irvine ROBERT B. GAGOSIAN, Woods Hole Oceanographic Institution, Massachusetts JOHN E. HOBBIE, Marine Biological Laboratory, Woods Hole, Massachusetts EILEEN E. HOFMANN, Old Dominion University, Norfolk, Virginia EDWARD HOUDE, University of Maryland, Solomons JOHN KNAUSS, University of California, San Diego ROBERT A. KNOX, University of California, San Diego RAY KRONE, University of California, Davis LOUIS J. LANZEROTTI, Bell Laboratories, Lucent Technologies, Murray Hill, New Jersey NANCY MARCUS, Florida State University, Tallahassee B. GREGORY MITCHELL, University of California, San Diego NEIL OPDYKE, University of Florida, Gainesville MICHAEL K. ORBACH, Duke University, Beaufort, North Carolina TERRANCE J. QUINN, University of Alaska at Fairbanks, Juneau JAMES P. RAY, Equilon Enterprises, LLC, Houston, Texas GEORGE SOMERO, Stanford University, Pacific Grove, California PAUL STOFFA, University of Texas, Austin KARL K. TUREKIAN, Yale University, New Haven, Connecticut Staff MORGAN GOPNIK, Director EDWARD R. URBAN, JR., Senior Program Officer DAN WALKER, Senior Program Officer SUSAN ROBERTS, Program Officer ROBIN MORRIS, Administrative Associate GLENN G. MERRILL, Research Associate SHARI MAGUIRE, Senior Project Assistant LORA TAYLOR, Senior Project Assistant JENNIFER WRIGHT, Senior Project Assistant ANN CARLISLE, Project Assistant
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--> COMMISSION ON GEOSCIENCES, ENVIRONMENT, AND RESOURCES GEORGE M. HORNBERGER, (Chair), University of Virginia, Charlottesville PATRICK R. ATKINS, Aluminum Company of America, Pittsburgh, Pennsylvania JERRY F. FRANKLIN, University of Washington, Seattle B. JOHN GARRICK, PLG, Inc., Newport Beach, California THOMAS E. GRAEDEL, Yale University, New Haven, Connecticut DEBRA KNOPMAN, Progressive Foundation, Washington, D.C. KAI N. LEE, Williams College, Williamstown, Massachusetts JUDITH E. MCDOWELL, Woods Hole Oceanographic Institution, Massachusetts RICHARD A. MESERVE, Covington & Burling, Washington, D.C. HUGH C. MORRIS, Canadian Global Change Program, Delta, British Columbia RAYMOND A. PRICE, Queen's University at Kingston, Ontario H. RONALD PULLIAM, University of Georgia, Athens THOMAS C. SCHELLING, University of Maryland, College Park VICTORIA J. TSCHINKEL, Landers and Parsons, Tallahassee, Florida E-AN ZEN, University of Maryland, College Park MARY LOU ZOBACK, United States Geological Survey, Menlo Park, California Staff ROBERT M. HAMILTON, Executive Director GREGORY H. SYMMES, Assistant Executive Director JEANETTE SPOON, Administrative & Financial Officer SANDI FITZPATRICK, Administrative Associate MARQUITA SMITH, Administrative Assistant/Technology Analyst
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--> The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce Alberts and Dr. William A. Wulf are chairman and vice-chairman, respectively, of the National Research Council.
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--> Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the NRC in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their participation in the review of this report: Robin Allen, Inter-American Tropical Tuna Commission, San Diego, California Paul Durrenberger, Pennsylvania State University, State College Lewis Haldorsen, University of Alaska, Fairbanks Kai N. Lee, Williams College, Williamstown, Massachusetts Elinor Ostrom, Indiana University, Bloomington R. Bruce Rettig, Oregon State University, Corvallis Joseph Sax, University of California, Berkeley James Wilen, University of California, Davis While the individuals listed above have provided many constructive comments and suggestions, it must be emphasized that responsibility for the final content of this report rests entirely with the authoring committee and the NRC.
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--> Preface The Ocean Studies Board (OSB) has provided advice to Congress and the National Marine Fisheries Service (NMFS) on a variety of fishery issues in the past 6 years. In the area of stock assessments, committees of the OSB reviewed Atlantic bluefin tuna data and models (NRC, 1994) and more recently reviewed the NMFS assessments of groundfish stocks off New England (NRC, 1998b) and performed a broad review of fish stock assessment methods (NRC, 1998a). The OSB recently issued a report about how ecosystem principles can be used to sustain marine fisheries (NRC, 1999b) and is about to embark on a study of fisheries data (particularly for summer flounder stocks) at the request of Congress. OSB committees have reported not only on fisheries science issues, but also on matters of fishery management. Many of the features of the 1996 amendments to the Magnuson-Stevens Fishery Conservation and Management Act were recommended in an OSB report (NRC, 1994). Finally, in the 1996 amendments to the Magnuson-Stevens Act, Congress asked the National Academy of Sciences to examine two types of quota programs used in U.S. fisheries management: community development quotas (NRC, 1999a) and the subject of this report, individual fishing quotas. The committee wishes to thank the following individuals who provided comments to the committee at its meetings (many traveling at their own expense) or by mail and electronic mail: Tom Able, Robert Allen, Tom Alspach, Bob Alverson, Phil Anderson, Wilma Anderson, Alan Austerman, Greg Baker, Chris Berns, David Berry, Will Bland, Bernie Bohn, Jay Brevik, Donald Brown, John Bruce, Jean Bumpus, Chuck Bundrant, John Bundy, Barry Callaghan, Dana Carros, Tom Casey, Freddie Christiansen, Gordon Colvin, George Conway, Scott Coughlin, Felix Cox, Will
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--> Daspit, Laura Deach, Christopher Dewees, Alex Diaz, Al Didier, Niaz Dorey, Joe Easley, Michelle Eder, Sherry Egle, Penn Esterbrook, Dan Falvey, Lance Farr, John Finley, Jean Flemma, Barney Frank, James Franzel, Kaitilin Gaffney, Steve Ganney, Graciela Garcia-Moliner, John Gauvin, James Gilmore, Mike Gonzales, Carmine Gorga, Shari Gross, Richard Gutting, Peter Halmay, Dyan Hartill, Marcus Hartley, Lee Hilde, David Hillstrand, Ken Hinman, Paul Howard, Jake Jacobson, Ted Jenks, David Keifer, Andrew Kemmerer, Charlie King, Martha King, John Kingeter, George Kirk, Gunnar Knapp, Dave Krusa, Gerry Leape, Justin LeBlanc, Larry LeDoux, Fred Lentz, Jennifer Lincoln, Mike Lopez, Joe Macinko, Jerry Mackie, Roy Madsen, Gary Matlock, Thomas McCloy, Gerry Merrigan, Frank Miles, Joe Mills, Karl Moore, Rod Moore, Jere Murray, Chris Nelson, Jeanette Ness, Mike Nussman, Tom Oakey, Virginia Olney, James O'Malley, Brent Paine, Donna Parker, Clarence Pautzke, Patricia Phillips, Joseph Plesha, Sam Pooley, Gretchen Pullar, Mark Raphael, Jerry Ray, Steve Rebuck, Robin Reichers, Bill Robinson, Eddie Rose, Andrew Rosenberg, John Sanchez, Angela Sanfilippo, Jerry Sansom, Cynthia Sarthou, Jerry Schill, Peter Schonberg, Peter Shelley, Susan Shipman, Robert Shipp, Tamara Shrader, Kitty Simonds, Larry Six, Glen Spain, Kristin Stahl-Johnson, Barbara Stevenson, Patrick Sullivan, Toby Sullivan, Tom Suryan, Wayne Swingle, Robin Taylor, Mike Theirry, Arni Thompson, Peter Thompson, Daniel Tucker, Bruce Turris, Hector Vega, George Veneroso, David Walker, Robert Ward, John Warner, Donald Waters, Greg Waugh, John Webb, Rick Weber, Wayne Werner, Suzanne West, David Whaley, David Whitmire, and Kay Williams. The committee could not have conducted this study without the diligence and interest of these individuals. The staff of the NMFS Restricted Access Management Division (Phil Smith, Jessica Gharrett), NMFS Alaska Region (Jay Ginter), the Alaska Commercial Fisheries Entry Commission (Elaine Dinneford, Ben Muse, Kurt Schelle), and the U.S. Coast Guard (LCDR Busch) were invaluable in providing data for the committee's analyses. The staffs of each regional council provided important documents for the committee's review, and most of the council executive directors made presentations at the committee's meetings. Special thanks are deserved by the National Oceanic and Atmospheric Administration (NOAA) Advisory Panels set up by Congress to "assist in the preparation of the report." Lee Anderson and Beth Stewart were able chairs of the East and West Coast Panels, respectively. Amy Buss-Gautam was extremely helpful and creative as the NOAA coordinator for the panels. Members of the panels included Dick Allen, Ted Ames, Linda Behnken, Francis Christy, Harriett Didricksen, Dave Fraser, Rod Fujita, Walter Gordon, Tom Hill, Ralph Hoard, Doug Hopkins, John Iani, Jan Jacobs, Pete Jensen, Jim Kendall, Linda Kozak, Mark Lundsten, Miles Mackeness, Scott Matulich, Tom Morrison, Ben Muse, Howard Nickerson, Jim Ponts, Ken Roberts, Paul Seaton, David Wallace, Roy Williams, and Bob Zales II. The committee sincerely appreciated the panels'
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--> willingness to meet with us twice. The panels' inputs were very helpful to the committee as it probed the difficult issues related to individual fishing quotas and alternative management methods. Committee members deserve special thanks for the many weeks of time they volunteered to this task over the past year. Their product is remarkable for its breadth and perception. Special thanks are due to our able project assistant, Jennifer Wright, and to Glenn Merrill, whose work as research associate was insightful and diligent. Finally, the study director, Ed Urban, deserves plaudits for his diligence, patience, and diplomacy. Without his efforts and expertise, this report could never have been completed. JAN S. STEVENS CHAIR
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--> Contents Executive Summary 1 1 Introduction 13 Magnuson-Stevens Fishery Conservation and Management Act 15 Definitions 18 History of Individual Fishing Quotas 26 General Rationales and Issues for Implementing Individual Fishing Quotas 33 Outline of the Report 37 2 Fisheries Compared with Other Natural Resources 38 The Public Trust Doctrine and Fisheries 39 Lessons from Other Common-Pool Resources 45 3 U.S. and Foreign Experience: Lessons Learned 59 Surf Clam/Ocean Quahog Fishery 60 South Atlantic Wreckfish Fishery 66 Alaskan Halibut and Sablefish Fisheries 70 Iceland's Individual Transferable Quota Program 77 New Zealand's Individual Transferable Quota Program 87 General Summary 94
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--> 4 Alternative Conservation and Management Measures 112 Effectiveness of Fishery Management Measures 112 Input Controls 115 Output Controls 119 Fees and Taxes 129 Technical Measures 131 Alternative Management Processes 135 5 Considerations for a National Policy on Individual Fishing Quotas 139 First Principles of Fisheries Management as a Policy Framework 139 Applying the Framework to Questions About Individual Fishing Quotas 141 6 Findings and Recommendations 192 General Considerations About Individual Fishing Quotas 192 Political Structure and Jurisdictional Issues 194 Designing an IFQ Program to Meet Social and Economic Objectives 197 Public and Private Costs and Benefits 213 Research, Monitoring, Evaluation, and Evolution 217 References 225 Appendixes 241 A Relevant Sections of the Magnuson-Stevens Fishery Conservation and Management Act 243 B Committee Biographies 254 C Relevant Section from the Shipping Act of 1916 257 D National Standards in the Magnuson-Stevens Fishery Conservation and Management Act 258 E History of Changes to the Magnuson-Stevens Fishery Conservation and Management Act 260 F Acronyms and Glossary 265 G Individual Fishing Quota Case Studies 280 H Potential Economic Costs and Benefits of Individual Fishing Quotas to the Nation 366 Index 409