IMAGEIMAGEIndicators for Fisheries Indicators for Fisheries MAnaGement in EuropeMAnaGement in Europe

Sten Sverdrup-Jensen, IFMSten Sverdrup-Jensen, IFM

Funding:EU 6th FPFunding:EU 6th FP Duration: Nov 2006 – October 2009Duration: Nov 2006 – October 2009 Partners: IMARES (lead), CEFAS, Partners: IMARES (lead), CEFAS,

IFREmer,DIFRES, COISPA, EMI, IFMIFREmer,DIFRES, COISPA, EMI, IFM

IMAGE Objectives:IMAGE Objectives:

Develop an operational framework of candidate Develop an operational framework of candidate indicators to support EBFMindicators to support EBFM

Elaborate indicators into comprehensive Elaborate indicators into comprehensive dashboards to support management decision dashboards to support management decision makingmaking

Develop methodology to integrate this information Develop methodology to integrate this information into tools suppporting the decision making processinto tools suppporting the decision making process

Develop a framework that can evaluate Develop a framework that can evaluate management strategies based on indicatorsmanagement strategies based on indicators

Test their applicability in regional case studies (in Test their applicability in regional case studies (in consultation with the RACs)consultation with the RACs)

IFM responsibility:IFM responsibility:

Workpackage 3:Workpackage 3:

Indicators for socio-economic Indicators for socio-economic objectivesobjectives

IFM staff involved:IFM staff involved:Sten Sverdrup-Jensen, Soeren Eliasen, Alyne Sten Sverdrup-Jensen, Soeren Eliasen, Alyne

DelaneyDelaney

Objectives WP3Objectives WP3

To develop an operational framework of socio-To develop an operational framework of socio-economic indicators to support ecosystem-based economic indicators to support ecosystem-based fisheries management in RAC regions;fisheries management in RAC regions;

To identify shortcomings in availability of indicator To identify shortcomings in availability of indicator data at the required scale and recommend on data at the required scale and recommend on measures to provide such data;measures to provide such data;

To contribute to the development of an evaluation To contribute to the development of an evaluation framework for fisheries management strategies framework for fisheries management strategies based on indicators;based on indicators;

To advise on how indicators can be implemented in To advise on how indicators can be implemented in the NSRAC area.the NSRAC area.

WP 3 ActionsWP 3 Actions

1. 1. Develop a detailed “fisheries system” framework that specifies Develop a detailed “fisheries system” framework that specifies economic, social and other human “drivers” and how they combine in economic, social and other human “drivers” and how they combine in to/determine fishing practice (pressure) in various metiers and to/determine fishing practice (pressure) in various metiers and institutional settings institutional settings

2. Specify how fishing practice (pressure) translates into landings and 2. Specify how fishing practice (pressure) translates into landings and discards and identify indicators that can inform on 1) socio-economic discards and identify indicators that can inform on 1) socio-economic pressure drivers, 2) management responses, and 3) state (metier/sector pressure drivers, 2) management responses, and 3) state (metier/sector performance relative to CFP socio-economic objective (viable, performance relative to CFP socio-economic objective (viable, efficient,globally competitive fisheries and aquaculture industry. efficient,globally competitive fisheries and aquaculture industry.

3. Identify data needs and availability3. Identify data needs and availability

4. Develop and test indicator framework with research partners and 4. Develop and test indicator framework with research partners and North Sea RACNorth Sea RAC

5. Contribute to pan-European synthesis5. Contribute to pan-European synthesis

WP 3 ActionsWP 3 Actions

1. 1. Develop a detailed “fisheries system” Develop a detailed “fisheries system” framework that specifies economic, social and framework that specifies economic, social and other human “drivers” and how they combine other human “drivers” and how they combine in to/determine fishing practice (pressure) in in to/determine fishing practice (pressure) in various metiers and institutional settingsvarious metiers and institutional settings

Primarly addressing CFP objectives 1 Primarly addressing CFP objectives 1 and 2and 2

Biologicalcomponent

Economiccomponent

Exploitable stockbiomass

Yield

Fishing mortalityrate

Fishing effort

Variable costs Price

RevenueMarket

catch of other speciesseasonal factorsprice of other foodsincomes

Fleet sizeand structure

Costs

Fixed costs

Rent

Environmentalvariables

Environmentalvariables

Environmentalvariables

Recruits

Recruitment rate reproductionegg survivalpre-recruit survival

Natural motalityrate

Predators

Growth rate

Competition

for food

Institutional Analysis and Development Institutional Analysis and Development FrameworkFrameworkMurray Rudd (Fisheries and Oceans Canada): An institutional framework for Murray Rudd (Fisheries and Oceans Canada): An institutional framework for designing and monitoring ecosystem-based fisheries policy experiments (Ecol. designing and monitoring ecosystem-based fisheries policy experiments (Ecol. Econ.cs 2003)Econ.cs 2003)

Socio-economic systemSocio-economic system

WP 3 ActionsWP 3 Actions

2. Specify how fishing practice (pressure) 2. Specify how fishing practice (pressure) translates into landings and discards and translates into landings and discards and identify indicators that can inform on 1) socio-identify indicators that can inform on 1) socio-economic pressure drivers, 2) management economic pressure drivers, 2) management responses, and 3) state (metier performance responses, and 3) state (metier performance relative to CFP socio-economic objective: relative to CFP socio-economic objective: A A viable, economically efficient and globally viable, economically efficient and globally competitive European fisheries and aquaculture competitive European fisheries and aquaculture

industry developedindustry developed ))

Economic viability and Economic viability and efficiencyefficiencyDCR data (minimum programme):DCR data (minimum programme): IncomeIncome Production costsProduction costs Fixed costsFixed costs Financial positionFinancial position InvestmentInvestment Prices per speciesPrices per species EmploymentEmploymentExtended programme includes regional Extended programme includes regional

differentiationdifferentiation

Classification of short term fleet performanceClassification of short term fleet performance ((““Economic Performance of Selected European Economic Performance of Selected European Fishing Fleets, Annual Report 2005”.Fishing Fleets, Annual Report 2005”.

Range Classification Symbol Comments Stp >= 105% Improvement + Gross cash flow of actual year

exceeds the previous years by more than 5%.

95%<=stp<105% Stability +/- Gross cash flow of actual yearis within +/- 5% of previous years

Stp < 95% Deterioration - Gross cash flow of actual year is more than 5% below previous years

Classification of medium term Classification of medium term performance performance Range Classification Symbol Comments Mti >=105% Strong ++ Enterprises have no problems

in meeting all their financial obligations

95% <= mti <105% Reasonable + All costs are more or less covered at low level of profits or losses

85% <= mti < 95% Weak - Minor losses lead to deterioration of solvability

Mti < 85% Very weak -- Losses, probably also in fiscal terms, have been incurred in previous years. The commitment of financial institutions to support the enterprise may be gradually eroded

Medium and short term performance of 89 EU Medium and short term performance of 89 EU fishing fleet segments in 2004 (number of fishing fleet segments in 2004 (number of

segments)segments) Medium term * Short term

Deterioration (-) Stable (+/-)

Improvement (+) Not available Total

Very weak (--) 19 2 21

Weak (-) 5 1 1 7 Reasonable (+) 7 1 3 11

Strong (++) 21 5 8 34

Not available 1 15 16

Total 52 8 14 15 89 * average 2001-2003

Performance indicators of the EU fishing Performance indicators of the EU fishing

fleet by sea area in 2004.fleet by sea area in 2004.

North Sea fishing fleet, short and medium term North Sea fishing fleet, short and medium term performanceperformance

(number of segments and value of landings), 2004(number of segments and value of landings), 2004

Social and cultural viabilitySocial and cultural viability

Developing a socio-economic data frameDeveloping a socio-economic data frame Fishing community profiles (baseline)Fishing community profiles (baseline) Data collection (amendment of DCR)Data collection (amendment of DCR)

Recent work:Recent work:1) North Sea Women’s Network, 1) North Sea Women’s Network, Dataframe projectDataframe project2) DG Fish SIA Study ”Profiles of Baltic 2) DG Fish SIA Study ”Profiles of Baltic Fishing Communities” Fishing Communities”

Global competitiveness Global competitiveness

Indicators:Indicators: Absense of subsidies at EU/national Absense of subsidies at EU/national

levels (fuel and other inputs, fish price)levels (fuel and other inputs, fish price) Absense of EU tariffs and duties on Absense of EU tariffs and duties on

imported fish productsimported fish products Absense of technical measures that Absense of technical measures that

hamper international trade in fish hamper international trade in fish productsproducts

WP 3 activities:WP 3 activities:3. Identify data needs and availability3. Identify data needs and availability

Indicator data discussion sources:Indicator data discussion sources:

DCR-Data Collection Review (Huntington et al. 2003); DCR-Data Collection Review (Huntington et al. 2003); STECF-SGRN DCR Review, 2006STECF-SGRN DCR Review, 2006 ESPON Action 2.1.5: Territorial Impacts of European Fisheris ESPON Action 2.1.5: Territorial Impacts of European Fisheris

Policy, Final Report (2006);Policy, Final Report (2006); INDECO WP6: INDECO WP6: Recommendations and Gaps for Uses of Socio-Recommendations and Gaps for Uses of Socio-

Economic Indicators on the Environmental Impact of Fishing Economic Indicators on the Environmental Impact of Fishing Activities (D18);Activities (D18);

NSRAC SEFG: A Social Assessment Framework for Fisheries NSRAC SEFG: A Social Assessment Framework for Fisheries building on Scoping Study (2006);building on Scoping Study (2006);

North Sea Women’s Network: Developing a Socio-Economic North Sea Women’s Network: Developing a Socio-Economic Dataframe (2007)Dataframe (2007)

DG Fish, Socio-Economic Analysis Unit "Framework for analyzing DG Fish, Socio-Economic Analysis Unit "Framework for analyzing social and economic impacts of management proposals“ (2007);social and economic impacts of management proposals“ (2007);

DG Fish SIA study (2007)DG Fish SIA study (2007)

Socio-economic dataframeSocio-economic dataframe

Two main components:Two main components:1.1. Community and sectorial socio-Community and sectorial socio-

economic profiles (underpinned by economic profiles (underpinned by baseline studies)baseline studies)

2.2. Seven socio-economic indicators Seven socio-economic indicators related to industry, community and related to industry, community and institutional arrangements institutional arrangements (underpinned by annual data (underpinned by annual data gathering EU DCR)gathering EU DCR)

WP 3 ActionsWP 3 Actions

4. Develop and test indicator framework with 4. Develop and test indicator framework with research partners and North Sea RACresearch partners and North Sea RAC

5. Contribute to pan-European synthesis5. Contribute to pan-European synthesis

4. Develop and test indicator framework with 4. Develop and test indicator framework with research partners and North Sea RACresearch partners and North Sea RAC

Collaboration with NSRAC Socio-Economic Focus Group: Collaboration with NSRAC Socio-Economic Focus Group: Socio-Economic Data Frame building on Scoping Study Socio-Economic Data Frame building on Scoping Study (2006) and Case Studies (2007);(2006) and Case Studies (2007);

Discussion with NSRAC (ExCom members and others) on Discussion with NSRAC (ExCom members and others) on socio-economic management objectivessocio-economic management objectives

Draw on experiences from Socio-economic Impact Analysis Draw on experiences from Socio-economic Impact Analysis

projects:projects:

- NS Plaice and Sole Management Plan?- NS Plaice and Sole Management Plan?

- Other?- Other?

NSRAC Socio-Economic ProtocolNSRAC Socio-Economic Protocol

((adopted in June 2006)adopted in June 2006) 1. What positive and/or negative socio-economic implications does

NSRAC’s policy proposal/advice have for any sector of the fisheries industry or for associated fishing communities?

2. Are these positive and negative implications acceptable and how can they best be managed? For example, by the introduction of social or economic fisheries management instruments, such as short-term compensatory schemes, infrastructural subsidies and incentive schemes relating to sustainable fisheries practices.

3. Where appropriate, how do the likely socio-economic impacts of NSRAC's recommendation differ from those of the Commission's proposal?

A necessary part of this Protocol is that NSRAC commits to communicating to the Commission, the resultant discussions about the socio-economic implications of policy proposals/advice and any agreed recommendations.

MEFEPOMEFEPOMaking the European Fisheries

Ecosystem Plan Operational

Troels J. Hegland, Jesper Raakjær and Sten Sverdrup-JensenInnovative Fisheries Management, Aalborg University

EU 7th Research Framework ProgrammeKBBE-2007-1-4-19: Governance for an operationalregional ecosystem approach to fisheries

management

Project runs from spring 2008 to spring 2011Total budget around 4 million €

Partners:University of Liverpool (coordinator), UK Instituto de Investigação das Pescas e do Mar, PortugalInstitute for Marine Resources & Ecosystem Studies, NetherlandsUniversité de Bretagne Occidentale, FranceMarine Institute, IrelandUniversity of Tromsø, NorwayCentre for Environment, Fisheries & Aquaculture Science, UKInnovative Fisheries Management, DenmarkUniversidade dos Açores, PortugalInstituto Español de Oceanografía, Spain

BackgroundBackground The FP5-funded European Fisheries Ecosystem Plan

(EFEP) project developed a Fisheries Ecosystem Plan (FEP) for European waters, using the North Sea as a case study.

EFEP incorporated social and political sciences, marine ecology, fisheries science and mathematical modelling to identify the effects of fisheries management scenarios (including changes in effort, changes in gear types and spatial closures) on the ecosystem, and their acceptability to a broad range of marine stakeholders including fishers, fish processors, managers, policy makers, scientists and environmentalists.

EFEP also developed a step-wise framework for the transition of management from the current regime to an ecosystem approach, and an outline of how the FEP could be made operational within existing legislation.

MEFEPOMEFEPO objectivesobjectives To show how an ecosystem approach to fisheries can be made

operational within three major European regions (North Sea, North Western Waters and the South Western Waters RAC regions) by identifying the management objectives, and the operational strategies required to achieve those objectives, using economic, social and ecological approaches.

To evaluate the different modes of fisheries governance, and their combinations, and their implications on the development of the institutional frameworks used to manage the fisheries to provide a transitional framework towards a mature ecosystem approach to fisheries management.

To develop operational FEPs for the three marine regions targeted at an audience of non-scientists with managerial, policy and RAC roles, and which provides a vision of an mature ecosystem approach and a description of how it can be delivered.

MEFEPOMEFEPO planplan

IFMIFM involvement (total 40 involvement (total 40 mm):mm):

WP 3: WP 3: Operational instruments and adaptive Operational instruments and adaptive management management

WP 4 (leadWP 4 (lead partner):partner): Institutional Institutional frameworks in the European Union and frameworks in the European Union and Associated CountriesAssociated Countries

WP 6: WP 6: Identify the operational challenges to Identify the operational challenges to introducing an ecosystem approach to the introducing an ecosystem approach to the fisheriesfisheries

WP 7: WP 7: Develop operational Fisheries Develop operational Fisheries Ecosystem Plans for the (a) NS, (b) NWW Ecosystem Plans for the (a) NS, (b) NWW and (c) SWW regionsand (c) SWW regions

Thank youThank you

Manufactured CapitalManufactured Capital

Manufactured CapitalManufactured Capital

DCR capacity indicators (minimum DCR capacity indicators (minimum programme):programme):

- number of vessels- number of vessels - gross tonnage (GT)- gross tonnage (GT) - engine power (kW)- engine power (kW) - age of vessels- age of vessels - gear type (metier)- gear type (metier)Extended programme includes regional Extended programme includes regional

differentiationdifferentiation Further specification of gear/equipment Further specification of gear/equipment

needed???needed???

Manufactured CapitalManufactured Capital

Capacity use indicators (DCR):Capacity use indicators (DCR): - time spent at sea (fishing days per - time spent at sea (fishing days per

year)year) - economic performance (year)- economic performance (year) - landings and discards- landings and discards

Extended DCR programme includes Extended DCR programme includes regional differentiationregional differentiation

Performance indicators of the EU fishing Performance indicators of the EU fishing

fleet by sea area in 2004.fleet by sea area in 2004.

Human and social capitalHuman and social capital

Human and social capitalHuman and social capital

Human capital Human capital Knowledge (and competencies, education and skills) Knowledge (and competencies, education and skills)

embedded in individuals in use in active fisheryembedded in individuals in use in active fishery

Social capitalSocial capital social networks, protocols, norms and values - social networks, protocols, norms and values - informal institutions informal institutions

(Rudd)(Rudd) Often organised around formal or informal organisations, Often organised around formal or informal organisations,

containing institutionalisation of cooperation and knowledge containing institutionalisation of cooperation and knowledge sharingsharing

Analytic difference, as institutions may contain collective knowledgeAnalytic difference, as institutions may contain collective knowledge

These “capitals” influence the These “capitals” influence the useuse of the fishing capacity (effort) of the fishing capacity (effort) and influence in-directly the capacity by influence on technology and influence in-directly the capacity by influence on technology investment decisions investment decisions

Human and social capitalHuman and social capital

Reflected on in literatureReflected on in literature Skipper effect (anthropologic discussion Skipper effect (anthropologic discussion

at individual level)at individual level) Embedded factor in fish-tech analysis of Embedded factor in fish-tech analysis of

efforteffort Tactics and strategies of skipper (and Tactics and strategies of skipper (and

vessel) vessel) Local ecological knowledge (LEK) – Local ecological knowledge (LEK) –

shared locallyshared locally

Human capitalHuman capital

A factor behind technology creep A factor behind technology creep Knowledge and experience about catchability Knowledge and experience about catchability

of targeted stock of targeted stock Higher efficiency of capacity use – higher fisheries Higher efficiency of capacity use – higher fisheries

pressurepressure

Basis for more sustainable practicesBasis for more sustainable practices More selective fishing practices, reducing non-wanted by-More selective fishing practices, reducing non-wanted by-

catch and eventually discard. catch and eventually discard. Higher quality – thus more economical viable fisheryHigher quality – thus more economical viable fishery

Knowledge can lead to higher or reduced fishing Knowledge can lead to higher or reduced fishing pressure – depending of circumstancespressure – depending of circumstances

Human capitalHuman capital

Indicators – a first shot Indicators – a first shot Formal knowledge/skills (based on Formal knowledge/skills (based on

training/education)training/education) Years of attending fisheries school or no. of formal Years of attending fisheries school or no. of formal

educational certificateseducational certificates

Informal knowledge gained by own Informal knowledge gained by own experiences and LEK: experiences and LEK:

Years as active fisherYears as active fisher Years in fishing community (personal history)Years in fishing community (personal history)

Social capitalSocial capital

Consequences regarding pressure Consequences regarding pressure Generally perceived as institutions for Generally perceived as institutions for

informal regulation of the local/regional informal regulation of the local/regional fishery to a locally perceived sustainable fishery to a locally perceived sustainable level, based on LEKlevel, based on LEK

Can also institutionalise un-sustainable Can also institutionalise un-sustainable norms (fx “best hunter – quantity before norms (fx “best hunter – quantity before quality” – Gezelius 2007) quality” – Gezelius 2007)

Social capitalSocial capital

Indicators – a first shot Indicators – a first shot Commitment to sustainability practices Commitment to sustainability practices

Formal certifications of the fisheries (as the MSC)Formal certifications of the fisheries (as the MSC) Code of Conducts – written, but not Code of Conducts – written, but not

controlled/sanctioned controlled/sanctioned Implicit as socially induced norms in the group (SIA Implicit as socially induced norms in the group (SIA

data? - qualitative data collection)data? - qualitative data collection) Attitude to cooperation internallyAttitude to cooperation internally

Membership of local fisheries organization(s)Membership of local fisheries organization(s) Group coherence Group coherence

Ethnic group/Fishing community (SIA data?)Ethnic group/Fishing community (SIA data?)

Social Impact Assessment (SIA) Social Impact Assessment (SIA) approaches and dataapproaches and data Focus on social impacts – not social capital as Focus on social impacts – not social capital as

pressure factor – but data might be useful to uspressure factor – but data might be useful to us Commission discussions not detailed to Commission discussions not detailed to

indicators. Areas tend to be quantitative indicators. Areas tend to be quantitative Hatchard et. al 2007Hatchard et. al 2007

Community and sectoral socio-economic profilesCommunity and sectoral socio-economic profiles full-scale baseline study and yearly quantitative, 5-yearly full-scale baseline study and yearly quantitative, 5-yearly

qualitative updatequalitative update Seven socio-economic indicators; industry, community Seven socio-economic indicators; industry, community

and institutional, among this and institutional, among this Age, education and ethnic diversity in sectors in Age, education and ethnic diversity in sectors in

communitiescommunities ““social network” – less well defined. social network” – less well defined.

Human and Social capital Human and Social capital influence on capacity and influence on capacity and capacity usecapacity use Capacity Capacity

Choice of investments (individual and collective Choice of investments (individual and collective knowledge behind decisions leading to technology creep) knowledge behind decisions leading to technology creep)

Capacity useCapacity use Human capital (knowledge) Human capital (knowledge)

Higher efficiency of capacity use, know where and when to Higher efficiency of capacity use, know where and when to fish for the best catchfish for the best catch

Better possibility to avoid by-catch by advanced use of Better possibility to avoid by-catch by advanced use of capacitycapacity

Social capitalSocial capital Informal institutions to regulate and delimit fishery to a Informal institutions to regulate and delimit fishery to a

locally perceived sustainable level, based on LEKlocally perceived sustainable level, based on LEK Possible institutionalisation of un-sustainable norms within Possible institutionalisation of un-sustainable norms within

regional/social communityregional/social community

Management responseManagement response

Management responseManagement response

The existence and type of system The existence and type of system and tools to respond on state and tools to respond on state indicators - not an evaluation of indicators - not an evaluation of efficiency of actual responsesefficiency of actual responses Level of institutional response (Rudd Level of institutional response (Rudd

2004 Schlager and Ostrom 1992)2004 Schlager and Ostrom 1992) Time scale of responses Time scale of responses

Management responseManagement response- areas and indicators- areas and indicators

Organizations and regulation ready Organizations and regulation ready to react to the changes in statesto react to the changes in states

New organizations?New organizations?

Types of response and field of actionTypes of response and field of action Regime changes? Regime changes?

Input- or output oriented Input- or output oriented Regulatory- or incentive (rights)- orientedRegulatory- or incentive (rights)- oriented

Exclusive rights and conservation incentives Exclusive rights and conservation incentives tend to result in lover pressure and higher tend to result in lover pressure and higher economic performance – given proper economic performance – given proper management plans and enforcement management plans and enforcement

Management responseManagement response- areas and indicators- areas and indicators

Response at the operational level, focus Response at the operational level, focus area of response – and time scalearea of response – and time scale

Capacity adjustment Capacity adjustment Gear regulation (short)Gear regulation (short) Capacity use regulations (closed areas/seasons) Capacity use regulations (closed areas/seasons)

(short)(short) Fleet capacity adjustment programs (middle to long) Fleet capacity adjustment programs (middle to long)

Human capitalHuman capital Training programs (long) Training programs (long)

Social capitalSocial capital Projects changing practices and norms (e.g. Projects changing practices and norms (e.g.

promoting certification/green labeling) (short/long)promoting certification/green labeling) (short/long)

EU CFP Level 2 Objective: A viable, economically EU CFP Level 2 Objective: A viable, economically efficient and globally competitive European fisheries efficient and globally competitive European fisheries and aquaculture industry developedand aquaculture industry developed

Viability:Viability:

Economic viability (fishing industry units Economic viability (fishing industry units generating economic surplus)generating economic surplus)

Social viability (regional/local employment Social viability (regional/local employment and income, reliance, resilience)and income, reliance, resilience)

Cultural viability (providing identity to Cultural viability (providing identity to

individuals and communities)individuals and communities)