The Community Development Quota Program in Alaska

Committee to Review the Community Development Quota Program

Ocean Studies Board

Commission on Geosciences, Environment, and Resources

National Research Council

NATIONAL ACADEMY PRESS
Washington, DC
1999



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--> The Community Development Quota Program in Alaska Committee to Review the Community Development Quota Program Ocean Studies Board Commission on Geosciences, Environment, and Resources National Research Council NATIONAL ACADEMY PRESS Washington, DC 1999

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--> 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 competencies and with regard for appropriate balance. This report and the committee were supported by the National Oceanic and Atmospheric Administration. The views expressed herein are those of the authors and do not necessarily reflect the views of the sponsor. This study was supported by Contract No. 50-DKNA-6-90040, Task No. 7-95103 between the National Academy of Sciences and the National Oceanic and Atmospheric Administration. Any opinions, findings, conclusions, and recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for the project. Cover: Double hoop halibut spirit mask (approximately 24 inches tall) made of driftwood by Yupik artist Lola Ferguson, Nunivak Island, Alaska. Used with permission of the artist; photo provided by the Department of the Interior, Indian Craft Shop, Washington, D.C. Library of Congress Catalog Card Number 98-86773 International Standard Book Number 0-309-06082-6 Additional copies of this report are available from: National Academy Press 2101 Constitution Avenue, NW Box 285 Washington, DC 20055 (800) 624-6242 (202) 334-3313 (in the Washington Metropolitan Area) http://www.nap.edu Copyright 1999 by the National Academy of Sciences. All rights reserved. Printed in the United States of America.

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--> COMMITTEE TO REVIEW THE COMMUNITY DEVELOPMENT QUOTA PROGRAM JOHN HOBBIE, Chair, Marine Biological Laboratory, Woods Hole, Massachusetts DANIEL BROMLEY, University of Wisconsin, Madison PAUL DAYTON, Scripps Institution of Oceanography, California DANIEL HUPPERT, University of Washington STEPHEN LANGDON, University of Alaska, Anchorage SETH MACINKO, Alaska Department of Fish And Game MARSHALL SAHLINS, University of Chicago, Illinois CRAIG SEVERANCE, University of Hawaii, Hilo RONALD TROSPER, Northern Arizona University MIRANDA WRIGHT, Doyon Foundation, Alaska Staff CHRIS ELFRING, Study Director (from 1/98) M. ELIZABETH CLARKE, Study Director (until 12/97) GLENN MERRILL, Research Associate JENNIFER WRIGHT, Senior Project Assistant ANN CARLISLE, Project Assistant

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--> OCEAN STUDIES BOARD KENNETH BRINK (Chairman), 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 GAGOSIAN, Woods Hole Oceanographic Institution, Massachusetts JOHN HOBBIE, Marine Biological Laboratory, Woods Hole, Massachusetts EILEEN HOFMANN, Old Dominion University, Norfolk, Virginia EDWARD HOUDE, University of Maryland, Chesapeake Biological Laboratory, Solomons JOHN KNAUSS, University of Rhode Island, Narragansett ROBERT KNOX, University of California, San Diego RAY KRONE, University of California, Davis LOUIS 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 ORBACH, Duke University Marine Laboratory, Beaufort, North Carolina TERRANCE QUINN, University of Alaska, Juneau JAMES RAY, Shell Oil Company, Houston, Texas GEORGE SOMERO, Stanford University, Pacific Grove, California PAUL STOFFA, University of Texas, Austin KARL TUREKIAN, Yale University, Kline Geology Laboratory, New Haven Staff MORGAN GOPNIK, Director EDWARD R. URBAN, JR., Senior Program Officer DAN WALKER, Senior Program Officer SUSAN ROBERTS, Program Officer ROBIN MORRIS, Financial Associate LORA TAYLOR, Senior Project Assistant SHARI MAGUIRE, 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 THOMAS E. GRAEDEL, Yale University, New Haven, Connecticut DEBRA KNOPMAN, Progressive Policy Institute, 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, U.S. Geological Survey, Menlo Park, California Staff ROBERT M. HAMILTON, Executive Director GREGORY H. SYMMES, Assistant Executive Director JEANETTE SPOON, Administrative and 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 of 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 M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

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--> Preface The Community Development Quota (CDQ) program was designed to improve social and economic conditions in rural western Alaska by helping communities build their capacity to engage in commercial fishing. Like all new efforts, the program has had some start-up difficulties. But as indicated in this review conducted by the Committee to Review the Community Development Quota Program, there has been significant progress and the program offers a great deal of promise for this particular region. Whether a similar program might be effective in other parts of Alaska or in the western Pacific, where there has been interest in the approach, is less clear because of differences in the environments, fishery management strategies, and the nature of the communities. As chair of this committee, and as a member of the Ocean Studies Board, I would like to thank my fellow committee members for their hard work, patience, and cooperation. They were drawn from diverse fields, yet quickly and efficiently dealt with the complexities of the CDQ program. Moreover, they made a special effort to visit many communities involved with the CDQ program and, as a result, they obtained a variety of perspectives and experiences. The many people who contributed are thanked in Appendix F and the sites visited are listed in Chapter 1. We offer special thanks to the following people for their diligence in providing information for the committee's use: Clarence Pautzke and the rest of the staff at the North Pacific Fishery Management Council in Anchorage, Alaska; Kitty Simonds and the staff at the Western Pacific Fishery Management Council in Honolulu, Hawaii; the many NOAA staff who helped (including William Fox, Amy Gautam, Jay Ginter, Sally Bibb, Sam Pooley, and Ray Clarke); Glenn

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--> Haight, Department of Community and Regional Affairs in Juneau, Alaska; and Julie Anderson, formerly with the Department of Community and Regional Affairs in Juneau, Alaska. Our sincere appreciation goes to Elizabeth Clarke, who served as the study's director until she returned to her home institution, the University of Miami; and Chris Elfring, Director of the Polar Research Board, who saw the study through to completion. Each provided important leadership. We would also like to thank research associate Glenn Merrill and project assistant Ann Carlisle for their hard work on this project. This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC's Report Review Committee. This independent review provided candid and critical comments that assisted the authors and the NRC in making the published report as sound as possible and ensured that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The content of 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: Dr. Matt Berman, University of Alaska, Anchorage; Dr. Paul Callaghan, University of Guam, Mangilao; Dr. Nicholas Flanders, Institute of Arctic Studies, Hanover, New Hampshire; Mr. Zeke Grader, Pacific Coast Federation Fishermen's Associations, San Francisco, California; Dr. Patrick V. Kirch, University of California, Berkeley; Dr. Bonnie McCay, Rutgers University, Cook College, New Brunswick, New Jersey; Dr. H. Ronald Pulliam, University of Georgia, Athens; and Dr. Terrance Quinn, University of Alaska, Juneau. While the individuals listed above provided many constructive comments and suggestions, responsibility for the final content of this report rests solely with the authoring committee and the NRC. This study was requested by Congress as part of the Magnuson-Stevens Act of 1996. The request had two parts, this effort to review Community Development Quotas and another focused on Individual Fishing Quotas. Both reports are part of the Ocean Studies Board's continued effort to provide advice to Congress and the National Marine Fisheries Service on important fisheries issues. JOHN E. HOBBIE CHAIRMAN

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--> Contents     Executive Summary   1 1   Introduction   5     The Bering Sea Fishery   6     The Community Development Quota Program   7     The Community Development Quota Program in the Context of Fisheries Management   10     The Committee's Task   10     The Committee's Approach   11     Broad Policy Context   12 2   Description of the Region and Fishery   15     Biology   15     Cultural Aspects of Bering Sea Fisheries   18     Industry Structure and History   27 3   Overview of the Community Development Program   47     Origin   47     CDQ Management Structure   50     Eligible CDQ Communities   52     Description of the Community Development Groups   52     Allocation of Quota   60     Phases of CDQ Development   60

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--> 4   Evaluation of the Performance of Community Development Quota Program   72     This Committee's Evaluation   73     Community Development Strategies   74     Participation and Benefits   77     Governance and Decision-making   83     Development of Human Resources   86     Program Duration   97     Economic Sustainability and Environmental Stewardship   99 5   Broader Issues and Considerations   103     Some Influential Characteristics   104     Rules of Inclusion and Exclusion   108     CDQ/IFQ Relationships   112     Co-Management/Community Management   115     Summary   117 6   Communities and Fisheries of the Western Pacific   118     Background   120     Findings   133     Final Thoughts   134 7   Conclusions and Recommendations   136     Conclusions and Recommendations   137     Final Thoughts   143     References   144     Appendixes         AAuthorizing Legislation   153     BBiographical Sketches of the Committee's Members   155     CAcknowledgments   157     DState of Alaska CDQ Regulations   160     EFederal CDQ Regulations   172     FInvestments Pursued By CDQ Groups   189     GGlossary   208

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