1. IMAGE Indicators for Fisheries MAnaGement in Europe Sten Sverdrup-Jensen, IFM Funding:EU 6th FP Funding:EU 6th FP Duration: Nov 2006 – October 2009 Duration: Nov 2006 – October 2009 Partners: IMARES (lead), CEFAS, IFREmer,DIFRES, COISPA, EMI, IFM Partners: IMARES (lead), CEFAS, IFREmer,DIFRES, COISPA, EMI, IFM

2. IMAGE Objectives: Develop an operational framework of candidate indicators to support EBFM Develop an operational framework of candidate indicators to support EBFM Elaborate indicators into comprehensive dashboards to support management decision making Elaborate indicators into comprehensive dashboards to support management decision making Develop methodology to integrate this information into tools suppporting the decision making process Develop methodology to integrate this information into tools suppporting the decision making process Develop a framework that can evaluate management strategies based on indicators Develop a framework that can evaluate management strategies based on indicators Test their applicability in regional case studies (in consultation with the RACs) Test their applicability in regional case studies (in consultation with the RACs)

3. IFM responsibility: IFM responsibility: Workpackage 3: Indicators for socio-economic objectives Indicators for socio-economic objectives IFM staff involved: Sten Sverdrup-Jensen, Soeren Eliasen, Alyne Delaney

4. Objectives WP3 To develop an operational framework of socio-economic indicators to support ecosystem-based fisheries management in RAC regions; To develop an operational framework of socio-economic indicators to support ecosystem-based fisheries management in RAC regions; To identify shortcomings in availability of indicator data at the required scale and recommend on measures to provide such data; To identify shortcomings in availability of indicator data at the required scale and recommend on measures to provide such data; To contribute to the development of an evaluation framework for fisheries management strategies based on indicators; To contribute to the development of an evaluation framework for fisheries management strategies based on indicators; To advise on how indicators can be implemented in the NSRAC area. To advise on how indicators can be implemented in the NSRAC area.

5. WP 3 Actions 1. Develop a detailed “fisheries system” framework that specifies economic, social and other human “drivers” and how they combine in to/determine fishing practice (pressure) in various metiers and institutional settings 2. Specify how fishing practice (pressure) translates into landings and discards and identify indicators that can inform on 1) socio-economic pressure drivers, 2) management responses, and 3) state (metier/sector performance relative to CFP socio-economic objective (viable, efficient,globally competitive fisheries and aquaculture industry. 3. Identify data needs and availability 4. Develop and test indicator framework with research partners and North Sea RAC 5. Contribute to pan-European synthesis

6. WP 3 Actions 1. Develop a detailed “fisheries system” framework that specifies economic, social and other human “drivers” and how they combine in to/determine fishing practice (pressure) in various metiers and institutional settings Primarly addressing CFP objectives 1 and 2

7. Biological component Economic component

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

9. Socio-economic system

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

11. Economic viability and efficiency DCR data (minimum programme): Income Income Production costs Production costs Fixed costs Fixed costs Financial position Financial position Investment Investment Prices per species Prices per species Employment Employment Extended programme includes regional differentiation

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

13. Classification of medium term performance

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

15. Performance indicators of the EU fishing fleet by sea area in 2004.

16. North Sea fishing fleet, short and medium term performance (number of segments and value of landings), 2004

17. Social and cultural viability Developing a socio-economic data frame Developing 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: 1) North Sea Women’s Network, Dataframe project 2) DG Fish SIA Study ”Profiles of Baltic Fishing Communities”

18. Global competitiveness Indicators: Absense of subsidies at EU/national levels (fuel and other inputs, fish price) Absense of subsidies at EU/national levels (fuel and other inputs, fish price) Absense of EU tariffs and duties on imported fish products Absense of EU tariffs and duties on imported fish products Absense of technical measures that hamper international trade in fish products Absense of technical measures that hamper international trade in fish products

19. WP 3 activities: 3. Identify data needs and availability Indicator data discussion sources: DCR-Data Collection Review (Huntington et al. 2003); DCR-Data Collection Review (Huntington et al. 2003); STECF-SGRN DCR Review, 2006 STECF-SGRN DCR Review, 2006 ESPON Action 2.1.5: Territorial Impacts of European Fisheris Policy, Final Report (2006); ESPON Action 2.1.5: Territorial Impacts of European Fisheris Policy, Final Report (2006); INDECO WP6: Recommendations and Gaps for Uses of Socio-Economic Indicators on the Environmental Impact of Fishing Activities (D18); INDECO WP6: Recommendations and Gaps for Uses of Socio-Economic Indicators on the Environmental Impact of Fishing Activities (D18); NSRAC SEFG: A Social Assessment Framework for Fisheries building on Scoping Study (2006); NSRAC SEFG: A Social Assessment Framework for Fisheries building on Scoping Study (2006); North Sea Women’s Network: Developing a Socio-Economic Dataframe (2007) North Sea Women’s Network: Developing a Socio-Economic Dataframe (2007) DG Fish, Socio-Economic Analysis Unit "Framework for analyzing social and economic impacts of management proposals“ (2007); DG Fish, Socio-Economic Analysis Unit "Framework for analyzing social and economic impacts of management proposals“ (2007); DG Fish SIA study (2007) DG Fish SIA study (2007)

20. Socio-economic dataframe Two main components: 1. Community and sectorial socio-economic profiles (underpinned by baseline studies) 2. Seven socio-economic indicators related to industry, community and institutional arrangements (underpinned by annual data gathering EU DCR)

22. WP 3 Actions 4. Develop and test indicator framework with research partners and North Sea RAC 5. Contribute to pan-European synthesis

23. 4. Develop and test indicator framework with research partners and North Sea RAC Collaboration with NSRAC Socio-Economic Focus Group: Socio- Economic Data Frame building on Scoping Study (2006) and Case Studies (2007); Collaboration with NSRAC Socio-Economic Focus Group: Socio- Economic Data Frame building on Scoping Study (2006) and Case Studies (2007); Discussion with NSRAC (ExCom members and others) on socio- economic management objectives Discussion with NSRAC (ExCom members and others) on socio- economic management objectives Draw on experiences from Socio-economic Impact Analysis projects: Draw on experiences from Socio-economic Impact Analysis projects: - NS Plaice and Sole Management Plan? - Other?

24. NSRAC Socio-Economic Protocol ( 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.

25. MEFEPO Making the European Fisheries Ecosystem Plan Operational Troels J. Hegland, Jesper Raakjær and Sten Sverdrup-Jensen Innovative Fisheries Management, Aalborg University

26. EU 7th Research Framework Programme KBBE-2007-1-4-19: Governance for an operational regional ecosystem approach to fisheries management Project runs from spring 2008 to spring 2011 Total budget around 4 million € Partners: University of Liverpool (coordinator), UK Instituto de Investigação das Pescas e do Mar, Portugal Institute for Marine Resources & Ecosystem Studies, Netherlands Université de Bretagne Occidentale, France Marine Institute, Ireland University of Tromsø, Norway Centre for Environment, Fisheries & Aquaculture Science, UK Innovative Fisheries Management, Denmark Universidade dos Açores, Portugal Instituto Español de Oceanografía, Spain

27. Background 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.

28. MEFEPO objectives 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.

29. MEFEPO plan

30. IFM involvement (total 40 mm): WP 3: Operational instruments and adaptive management WP 3: Operational instruments and adaptive management WP 4 (lead partner): Institutional frameworks in the European Union and Associated Countries WP 4 (lead partner): Institutional frameworks in the European Union and Associated Countries WP 6: Identify the operational challenges to introducing an ecosystem approach to the fisheries WP 6: Identify the operational challenges to introducing an ecosystem approach to the fisheries WP 7: Develop operational Fisheries Ecosystem Plans for the (a) NS, (b) NWW and (c) SWW regions WP 7: Develop operational Fisheries Ecosystem Plans for the (a) NS, (b) NWW and (c) SWW regions

31. Thank you

32. Manufactured Capital

33. DCR capacity indicators (minimum 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 differentiation Further specification of gear/equipment needed??? Further specification of gear/equipment needed???

34. Manufactured Capital Capacity use indicators (DCR): - time spent at sea (fishing days per year) - time spent at sea (fishing days per year) - economic performance (year) - economic performance (year) - landings and discards - landings and discards Extended DCR programme includes regional differentiation

35. Performance indicators of the EU fishing fleet by sea area in 2004.

36. Human and social capital

37. Human capital Knowledge (and competencies, education and skills) embedded in individuals in use in active fishery Knowledge (and competencies, education and skills) embedded in individuals in use in active fishery Social capital social networks, protocols, norms and values - informal institutions (Rudd) social networks, protocols, norms and values - informal institutions (Rudd) Often organised around formal or informal organisations, containing institutionalisation of cooperation and knowledge sharing Often organised around formal or informal organisations, containing institutionalisation of cooperation and knowledge sharing Analytic difference, as institutions may contain collective knowledge Analytic difference, as institutions may contain collective knowledge These “capitals” influence the use of the fishing capacity (effort) and influence in-directly the capacity by influence on technology investment decisions These “capitals” influence the use of the fishing capacity (effort) and influence in-directly the capacity by influence on technology investment decisions

38. Human and social capital Reflected on in literature Reflected on in literature Skipper effect (anthropologic discussion at individual level) Skipper effect (anthropologic discussion at individual level) Embedded factor in fish-tech analysis of effort Embedded factor in fish-tech analysis of effort Tactics and strategies of skipper (and vessel) Tactics and strategies of skipper (and vessel) Local ecological knowledge (LEK) – shared locally Local ecological knowledge (LEK) – shared locally

39. Human capital A factor behind technology creep A factor behind technology creep Knowledge and experience about catchability of targeted stock Knowledge and experience about catchability of targeted stock Higher efficiency of capacity use – higher fisheries pressure Higher efficiency of capacity use – higher fisheries pressure Basis for more sustainable practices Basis for more sustainable practices More selective fishing practices, reducing non-wanted by-catch and eventually discard. More selective fishing practices, reducing non-wanted by-catch and eventually discard. Higher quality – thus more economical viable fishery Higher quality – thus more economical viable fishery Knowledge can lead to higher or reduced fishing pressure – depending of circumstances Knowledge can lead to higher or reduced fishing pressure – depending of circumstances

40. Human capital Indicators – a first shot Indicators – a first shot Formal knowledge/skills (based on training/education) Formal knowledge/skills (based on training/education) Years of attending fisheries school or no. of formal educational certificates Years of attending fisheries school or no. of formal educational certificates Informal knowledge gained by own experiences and LEK: Informal knowledge gained by own experiences and LEK: Years as active fisher Years as active fisher Years in fishing community (personal history) Years in fishing community (personal history)

41. Social capital Consequences regarding pressure Consequences regarding pressure Generally perceived as institutions for informal regulation of the local/regional fishery to a locally perceived sustainable level, based on LEK Generally perceived as institutions for informal regulation of the local/regional fishery to a locally perceived sustainable level, based on LEK Can also institutionalise un-sustainable norms (fx “best hunter – quantity before quality” – Gezelius 2007) Can also institutionalise un-sustainable norms (fx “best hunter – quantity before quality” – Gezelius 2007)

42. Social 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 controlled/sanctioned Code of Conducts – written, but not controlled/sanctioned Implicit as socially induced norms in the group (SIA data? - qualitative data collection) Implicit as socially induced norms in the group (SIA data? - qualitative data collection) Attitude to cooperation internally Attitude 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?)

43. Social Impact Assessment (SIA) approaches and data Focus on social impacts – not social capital as pressure factor – but data might be useful to us Focus on social impacts – not social capital as pressure factor – but data might be useful to us Commission discussions not detailed to indicators. Areas tend to be quantitative Commission discussions not detailed to indicators. Areas tend to be quantitative Hatchard et. al 2007 Hatchard et. al 2007 Community and sectoral socio-economic profiles Community and sectoral socio-economic profiles full-scale baseline study and yearly quantitative, 5-yearly qualitative update full-scale baseline study and yearly quantitative, 5-yearly qualitative update Seven socio-economic indicators; industry, community and institutional, among this Seven socio-economic indicators; industry, community and institutional, among this Age, education and ethnic diversity in sectors in communities Age, education and ethnic diversity in sectors in communities “social network” – less well defined. “social network” – less well defined.

44. Human and Social capital influence on capacity and capacity use Capacity Capacity Choice of investments (individual and collective knowledge behind decisions leading to technology creep) Choice of investments (individual and collective knowledge behind decisions leading to technology creep) Capacity use Capacity use Human capital (knowledge) Human capital (knowledge) Higher efficiency of capacity use, know where and when to fish for the best catch Higher efficiency of capacity use, know where and when to fish for the best catch Better possibility to avoid by-catch by advanced use of capacity Better possibility to avoid by-catch by advanced use of capacity Social capital Social capital Informal institutions to regulate and delimit fishery to a locally perceived sustainable level, based on LEK Informal institutions to regulate and delimit fishery to a locally perceived sustainable level, based on LEK Possible institutionalisation of un-sustainable norms within regional/social community Possible institutionalisation of un-sustainable norms within regional/social community

45. Management response

46. The existence and type of system and tools to respond on state indicators - not an evaluation of efficiency of actual responses The existence and type of system and tools to respond on state indicators - not an evaluation of efficiency of actual responses Level of institutional response (Rudd 2004 Schlager and Ostrom 1992) Level of institutional response (Rudd 2004 Schlager and Ostrom 1992) Time scale of responses Time scale of responses

47. Management response - areas and indicators Organizations and regulation ready to react to the changes in states Organizations and regulation ready to react to the changes in states New organizations? New organizations? Types of response and field of action Types of response and field of action Regime changes? Regime changes? Input- or output oriented Input- or output oriented Regulatory- or incentive (rights)- oriented Regulatory- or incentive (rights)- oriented Exclusive rights and conservation incentives tend to result in lover pressure and higher economic performance – given proper management plans and enforcement Exclusive rights and conservation incentives tend to result in lover pressure and higher economic performance – given proper management plans and enforcement

48. Management response - areas and indicators Response at the operational level, focus area of response – and time scale Response at the operational level, focus area of response – and time scale Capacity adjustment Capacity adjustment Gear regulation (short) Gear regulation (short) Capacity use regulations (closed areas/seasons) (short) Capacity use regulations (closed areas/seasons) (short) Fleet capacity adjustment programs (middle to long) Fleet capacity adjustment programs (middle to long) Human capital Human capital Training programs (long) Training programs (long) Social capital Social capital Projects changing practices and norms (e.g. promoting certification/green labeling) (short/long) Projects changing practices and norms (e.g. promoting certification/green labeling) (short/long)

49. EU CFP Level 2 Objective: A viable, economically efficient and globally competitive European fisheries and aquaculture industry developed Viability: Economic viability (fishing industry units generating economic surplus) Economic viability (fishing industry units generating economic surplus) Social viability (regional/local employment and income, reliance, resilience) Social viability (regional/local employment and income, reliance, resilience) Cultural viability (providing identity to individuals and communities) Cultural viability (providing identity to individuals and communities)