EN    EN EN 
Multi-annual plan Western Horse Mackerel 
EN    EN  COMMISSION OF THE E UROPEAN COMMUNITIES 
Brussels, 21.4.2009 
SEC(2009) 524 
COMMISSION STAFF WORKING DOCUMENT 
 
Accompanying document to the  
Commission's proposal for a 
COUNCIL REGULATION 
establishing a long-term plan for the We stern stock of Atlantic horse mackerel 
  
{COM(2009) 189} 
{SEC(2009) 525}  
 
 
IMPACT ASSESSMENT
 
 
Agenda planning : 2008/MARE/027 
EN    EN Preface: Changes to the working documen t following the IA Board's opinion....................... IV 
Executive Summary .............................................................................................................. ... IV 
1. Procedural issues and consulta tion of interested parties.............................................. 6 
1.1. Organisation and Timing ............................................................................................. 6 1.2. Consultation and expertise ........................................................................................... 6 1.3. Dissemination of scientific advice and the re sults of consultations  with stakeholders 9 
2. Problem Definition....................................................................................................... 9 2.1. Current political background........................................................................................ 9 2.2. Issue requiring action ................................................................................................... 9  
2.3. Underlying driving forces .......................................................................................... 11 
2.4. Effect on the sector..................................................................................................... 1 2 
2.4.1. Identification of the sectors affected.......................................................................... 12 2.4.2. Effect of the regulation............................................................................................... 1 4 
2.4.3. Magnitude of the effect on the sectors ....................................................................... 14 2.4.4. Legal basis for Community action ............................................................................. 18 2.4.5. Necessity and subsidiarity.......................................................................................... 18 3. Objectives.................................................................................................................. . 18 
3.1. General objectives...................................................................................................... 18  
3.2. Operational objectives................................................................................................ 19 4. Policy Options............................................................................................................ 19  
4.1. Description of the options .......................................................................................... 20 4.1.1. Option 1 - No policy change ...................................................................................... 20 4.1.2. Option 2 - Freezing or gradually reducing the directed fishery................................. 20 
4.1.3. Option 3 – Management plan..................................................................................... 21 5. Analysis of Impacts.................................................................................................... 26 5.1. Economic and social impact ...................................................................................... 26 5.2. Environmental impacts .............................................................................................. 27 5.3. Impacts on international relations .............................................................................. 29 5.4. Impact summary......................................................................................................... 29 6. Comparing the Options .............................................................................................. 30 6.1. Should a long-term plan be implemented?................................................................. 30 6.2. Alternatives concerning the biologi cal indicators to be retained............................... 32 
6.3. What provision should be made if the st ock should fall below the minimum level? 32 
6.4. What additional provisions should be in cluded concerning c ontrol measures? ........ 32 
6.5. Should a limit be imposed on variations in TACs between years?............................ 33 
EN    EN 7. Monitoring and Evaluation ........................................................................................ 35 
Annex 1: Distribution of horse macker el in the Northeast-Atlantic. ....................................... 37 
Annex 2: Draft long-term plan for the Western st ock of Atlantic horse mackerel – calculating a 
slope for years 1, 2 and 3. .......................................................................................... 38 
Annex 3: Reorganisation of TAC areas as a c ondition precedent to a long-term plan for the 
Western stock of Atlantic horse mackerel. ................................................................ 39 
Glossary....................................................................................................................... ............. 42 
EN    EN PREFACE : CHANGES TO THE WORKING DOCUMENT FOLLOWING THE IA BOARD 'S OPINION  
This final version of the Impact Assessment report takes into account the opinion given by the 
Commission's Impact Assessment Boar d on October 13, 2008. In particular: 
– the scientific background of the proposal and its repercussion on the problem definition and 
objectives has been redrafted; 
– the reasons for choosing the western horse mack erel as the subject of a management plan 
despite there being only incomplete scient ific advice have been better explained; 
– the reasons for choosing an option have been be tter explained, the options  and in particular 
sub-options of measures that can be develo ped within a management plan have been 
described in more detail; 
– clarity has been added to the discussion of imp acts, and uncertainties in  the assessment have 
been highlighted; 
– cross-references to the discards and th e control policy have been pointed out; 
– practical and administrative aspects of policy implementa tion have been addressed. 
EXECUTIVE SUMMARY  
The Impact Assessment concerns a draft pro posal that would set long-term management 
objectives and implementing methods concerning the fisheries for the Western stock of the 
Atlantic horse mackerel. The scop e of the proposal is of medium  importance, covering about 60 
million EUR per year in terms of catch value. Approximately 60 vessels, 600 at-sea jobs and some 140,000 tonnes of fish catch for human c onsumption would be affected by the proposal, 
which is intended to deliver stability and sust ainability. The fleet segments involved in this 
fishery are dominated by medium to large pela gic trawlers. The Impact Assessment focuses on 
those fleet segments which have horse mackerel among their five most important species. These 
segments cover about 83% of the overall catc h. The value of the horse mackerel catches 
comprises only a small to medium important part  of similar catching opportunities available to 
the same fishing fleets (between 1 and 20% according to the fleet concerned). 
The objective of the proposal is to: 
• contribute to implementing the Common Fisheries Policy's ove rall objective (ensuring the 
sustainable exploitation of mari ne living resources in ecological , economic and social terms) 
for one concrete stock. This will be achieved  by ensuring that th e annual decision-making on 
fishing possibilities corresponds to biological indicators on the development of the stock 
which the most renowned scientific bodies  have confirmed as being meaningful. 
• As an ancillary objective, the proposal aims  to establish, for the sector concerned, 
predictability for the annual legislative decision s on total allowable catch for the stock, and to 
provide stability to such decision-making. 
• As another ancillary objective, the proposal aims at attracting sc ientific analysis to the stock 
and increase over time the database and stock assessment quality.  
Scientific and Stakeholder Committees have b een consulted. In fact, the proposal mirrors an 
initiative taken by the stakeholde rs organised in the Pelagic Species Regiona l Advisory Council 
(PelRAC). 
The proposal is supported by DG MARE as an a dditional element in steering decision-making 
under the Common Fisheries Policy (CFP) towards a long-term framework that is compatible 
EN    EN with international obligations and with the CFP objectives themselves. Indeed, this text 
represents the second case where a long-term management approach  is proposed for stocks that 
are not outside safe biological limits, following the management plan for herring in the west of 
Scotland.1 Furthermore, it stands out by applying a bi ological indicator other than stock biomass 
and fishing mortality, and relies  on precedent work and an initiative undertaken within the 
sector. 
The operational elements and options are: 
• Option 1 : no policy change; continue fixing th e fishing possibilities as a yearly ad hoc  
exercise based on annual scientific advice and political  considerations; 
• Option 2 : freezing or gradually reduc ing fishing pressure in view of the insufficient 
knowledge about the biological  status of the stock; 
• Option 3 : management plan; sub-options relate to the different biological indicators and 
management tools available. In particular, management by technical measures or effort 
regulation is considered, and management by output-constraints. Management by output-
constraints is being preferred, and here a harv est rule based on a share of the total spawning 
stock size is being discussed, as well as a harvest rule based on the trend in the egg 
abundance. The latter is retained as the pr eferred sub-option. To th is sub-option, possible 
complementary elements relating to catch st ability, stock decline and control are being 
presented. 
The service has undertaken a basic simulation of the mid-term econo mic effects, at the 
aggregated fleet level, on the pr ofit margins of the two options retained (option 1 and 3). It 
shows that the difference is marginal, and that  option 3 might even have a slightly more 
beneficial effect in relative terms. The presented impact assessment compares the possible scenarios and comes to the conclusion that the most  suitable is the one th at consists of proposing 
a long-term management plan, which sets TACs st able for 3 years according to a harvest control 
rule based on a precautionary advice for the harves t level adjusted by a trend that reflects the tri-
annual results of egg surveys. 
 Details of the consultation processe s, options and impacts are provided. 
                                                
 
1 OJ L 344 of 20.12.2008, p. 6; proposal: COM (2008)240 final dated 6.5.2008. 
EN    EN 1. PROCEDURAL ISSUES AND CONSULTATION OF INTERESTED PARTIES  
1.1. Organisation and Timing 
This impact assessment concerns a proposal fo r a Council Regulation esta blishing a long-term 
plan for the Western stock of  Atlantic horse mackerel (trachurus trachurus).  
Its development is foreseen in Agenda Planning (MARE/2008/027) a nd in the 2008 Annual 
Management Plan of the Directorate-Genera l of Maritime Affairs and Fisheries under the 
specific objective "Conservation, Management and e xploitation of living aquatic resources". An 
adoption was originally planned for late 2008, and will now be carried over to early 2009. 
The reform of the Common Fisheries Policy se t the basis in 2002 for changing to long-term 
plans and away from annual decision-making. The stocks that were mo st problematic were 
addressed first. Long-term plans to provide for stock recovery for seve ral stocks have been 
adopted since 2003. The Commission is now starting to propose long- term plans for species that 
are less problematic, but which can benefit greatly from regulations that would seek to prevent 
stocks from falling into critical  situations. The first among this group of proposals has been the 
long-term plan for the management of Wester n Scotland herring, adopted end of 2008, and the 
plan concerning the Western stock of horse mackerel is following the suit. 
The proposal builds on a concrete  and scientifically  underpinned initiative by the sector 
concerned, channelled through the Pelagic Stoc ks Regional Advisory Council in mid 2007, an 
initiative that the European Association of Producers Organisations had already taken some 
years before2. 
At the same time, the approach presented will enter uncharted waters, as it would be the first 
time that a management plan is agreed for a st ock the status of which is only rudimentarily 
known, and therefore the Commissi on does not have at its dispos al a full stock assessment.  
DG MARE held a series of meetings  to discuss this legislative initiative with DG ENV, as the 
associated service primarily concerned. Mu ch progress has been achieved through these 
consultations, particularly duri ng the summer months of 2008. The outcome of these discussions 
has provided the essential elements for the in ter-service dialogue and steering work under the 
formal impact assessment procedure reported here. 
1.2. Consultation and expertise 
Advice has been sought from rele vant scientific organisations since 2006. The impact assessment 
is prepared by DG MARE on the basis of scien tific advice concerning long-term management 
and is complemented with economic analysis using available informa tion. Consultation with 
stakeholders has taken place with the relevant representative body. 
External expertise has been sought  from the International Council for the Exploration of the Sea 
(ICES) concerning long-term management of fish eries resources of interest to the European 
Community. This organisation collates the expertise of fisheries scientists mostly working in the national fisheries laboratories of Member Stat es and provides a system atic and standardised 
advice to the European Community and to Member States.  
The spawning-stock biomass (SSB) of the Western horse mackerel stock has been dominated by 
an outstanding 1982 year class (
 18 times the long-term average). The strong 1982 year class has 
been gradually fished down, whereas recruitment has remained low, resulting in a steady decline 
                                                 
2 See 19th report of the STECF, SEC(2005) 369, page 111, http://fishnet.jrc.it/web/stecf 
EN    EN of SSB since its peak in 1988. The ongoing decline made it difficult to provide advice on 
sustainable management, so in response to a joint EU–Norway request to ICES to "advise on 
appropriate management systems including management strategies, objectives and ecosystem 
considerations" for the stoc k, several stock assessment approaches and management based on a 
simulation study were first evaluated in 20053. 
In 2006 ICES advised for the first time that harvest control rules based on the trend in the egg survey 
data appeared promising4. Simulations were undertaken within the Study Group on Management 
Strategies in 2006 and 2007, as reques ted by the EU jointly with Norway5. Based on this work 
and assisted by a separate group of scientists , the Pelagic RAC (PelRAC) presented to the 
Commission a management plan outline in July 20076. The Commission asked ICES for a 
valuation of this plan. ICES in 2007 conclude d that the plan was consistent with the 
precautionary approach in the short term, and a dvised to follow the plan for the period 2008 to 
20107. The Scientific, Technical and Economic Co mmittee for Fisheries endorsed ICES' advice8. 
A research project concerning  the horse mackerel stock id entity was also funded by the 
European Community9. It confirmed in 2004 previous assump tions about a stock distribution of 
the Western stock larger than previously held, in particular covering al so the waters off the 
Northern coast of Spain (ICES division VIIIc). Following this evidence and preparing for a management of the stock, the Commission is wo rking for a re-definition of the management 
areas defined for the setting of TACs, a topic discussed with RACs in the context of the 
"frontloading" of the TAC&Quot a Regulation 2009. It is foreseen to achieve this rearrangement 
together with the entry into force of the management plan. 
Stakeholders were consulted by means of verb al and written communication with the PelRAC. 
This body has been established
10 for consultations with parties having an interest in the Common 
Fisheries Policy in respect of pelagic fi sh stocks. Its members come from the  catching sector . Its 
members come from the  catching sector (ship owners , small-scale fishermen, employed 
fishermen and producer organisations), from pro cessors and traders, from environmental NGOs, 
from aquaculture producers, and from the recreational activity. Given that the initiative for a 
management plan for the Western horse mackerel  came from the PelRAC itself, discussion took 
place upon the formal submission of the PelRAC's11 proposal during 2007 and 2008, in the 
PelRAC's working group II (dedicated to blue  whiting, sprat and horse mackerel) and the 
                                                 
3 Report of the ad hoc  Group on Long Term Advice (AGLTA). (2005b) 126. 12–13 April 2005 , ICES 
Headquarters. ICES  Document CM 2005/ACFM: 25.  
4 ICES, 2006. Report of the ICES Advisory Committee on Fishery Management, Advisory Committee on the 
Marine Environment and Advisory Committee on Ecosystems, 2006. ICES Advice, Book 9, p.70. 
5 ICES SGMAS Report 2007. Report of the Study Group on Management Strategies (SGMAS), p. 28. ICES 
CM 2007/ACFM:04. 
6 Based on the study "Towards a management plan for western horse mackerel", Ad hoc group of scientists 
in collaboration with members of the Pe lagic RAC, Pelagic RAC et .al., 2007. 
7 ICES, 2007. Report of the ICES Advisory Committee on Fishery Management, Advisory Committee on the 
Marine Environment and Advisory Committee on Ecosystems, 2007. ICES Advice, Book 9, p.13 and 55. 
8 Report of the Scientific, Technical and Economic Commi ttee for Fisheries. Review of scientific advice for 
2007. Consolidated advice on stocks of interest to th e European Community in th e ICES areas, endorsed at 
the 26th STECF Plenary session November 2007, http://www.ices.dk/products/icesadvice.asp   
9 HOMSIR project, A multidisciplinary approach using gene tic makers and biological tags in horse mackerel 
(trachurus trachurus ) stock structure analysis, QLK5-Ct1999-01438.  
10 2005/606/EC: Commission Decision of 5 August 2005 declaring operational  the Regional Advisory 
Council for Pelagic stocks under the Common Fisheries Policy. OJ L 206, 09.08.2005, p. 21. 
http://www.pelagic-rac.org  
11 Based on the study "Towards a management plan for western horse mackerel", Ad hoc group of scientists 
in collaboration with members of the Pe lagic RAC, Pelagic RAC et .al., 2007. 
EN    EN executive committee. The Commi ssion welcomed the sector's initiative, discussed possible 
alternatives and impacts of such a plan with the stakeholders and used its legislative right of 
initiative for putting such a plan into practice.  The key elements and recommendations retained 
to feed into the legislative process were as follows:  
1. The TAC would be stable for a period of 3 years following the year of the most recent 
survey;  
2. In the event of a survey re sult not being available, the TA C would in principle be based 
on annual scientific advice; 
3. The introduction of special fish ing permits would be considered; 
4. The plan would be scientifical ly evaluated in intervals.  
5. Criteria for the evaluatio n might be the following: 
• SSB has been maintained above SSB1982 (150,000t); 
• Knowledge about the stock increases due to cooperation with the sector; 
• The uncertainties and bias in the fishery and biological system remain within the 
bounds of those tested; and 
• The assumptions made in the simulation testing phase are still valid; 
• Catch levels have increased together with the biological indication of increased stock 
abundance, if any; 
• Discarding and misreporti ng do not increase in a period of increased stock 
abundance and could be taken into ac count in the TAC-setting process. 
6. Control measures would include special fishing permits; harvest monitoring would 
benefit from increased observer coverage as programmed in nati onal data collection 
programmes with the support fr om the harvesting sector; 
7. The TAC would be set according to the following harvest control rule:  
• One half of the total TAC consists of 75.000  tonnes, being one half of the harvest 
level that for already some time has been  considered as being precautionary with 
regard to a stock that does not produce large year classes; 
• One half of the total TAC consists of one half of the latest TAC set before the latest 
egg survey, multiplied by a factor which represents the slope in egg abundance 
confirmed by the latest three European egg surveys; 
• The total TAC will be reduced by discard or unreported landings where estimates 
exist, and  
• The total TAC will be increased by 7%, re sulting from a simulation of the harvest 
control rule that produces less than 5% ri sk for a precautionary level of biomass.  
The factor representing the slope would be calculated as shown in picture 1 which can be found 
in Annex 2. 
The Advisory Committee on Fisheries and Aquacu lture (ACFA) was not consulted as that body 
advises on cross-cutting issues whereas this plan concerns a specific regional issue. 
EN    EN 1.3. Dissemination of scientific advice and the results of cons ultations with stakeholders 
The scientific advice from ICES and from STEC F and the advice from the PelRAC are available 
on the websites of ICES, the PelRAC and the S TECF, the latter being administered from the 
Joint Research Center12. 
2. PROBLEM DEFINITION  
2.1. Current political background 
The reform of the Common Fisheries Policy se t the basis in 2002 for changing to long-term 
plans and reducing discretion of annual decision-making to ensure  sustainable exploitation of 
fisheries resources. The stocks  that were most problematic were addressed first. The 
Commission has started to propose long-term plans also for the less problematic species, with the 
objective of avoiding these stocks from falling into  critical situations, and also aiming at the 
side-effect of increased scientific coverage. The Western horse mackerel belongs to this category 
of stocks. 
It is a pelagic stock meaning it  builds schools in the wa ter column, not in pe rmanent contact with 
the seabed. The commercially most relevant wide ly distributed pelagic fi sh stocks are already 
subject to internationa l management instruments, which ar e agreed with ne ighbouring countries 
from the North, because those stocks are exploited also by those parties and agreement has been reached over the years on carrying out a joint ma nagement. This proves beneficial in bringing 
stability into the decisions on annual fishin g opportunities both at the international and the 
Community level. The stocks concerned are Northeast Atlantic Mackerel, Blue Whiting, 
Atlanto-Scandian herring, and North Sea herri ng. The Western Scotland herring was thus the 
first of the pelagic stocks fo r which a management plan only at Community level could be 
developed, and the Western horse mackerel is the second one. The reasons for choosing the 
Western horse mackerel as the next candidate  for introducing a Community management plan 
are the following: 
1) Strong sector initiative; 2) Highest commercial importance among the pe lagic stocks not jointly managed with 
neighbouring countries; 
3) Exploitation by a large number of Member States; 4) Circumstances of the fishery conducive to improved effectiveness of management 
measures, given that discrepancy between la wful harvest limitations and actual harvest 
has considerably decreased in recent years (see point 2.3 below). 
Based on the above, a new approach to managi ng the Western horse mackerel - based on long-
term sustainability and improved assessmen t of the stock – is being proposed by the 
Commission. 
2.2. Issue requiring action 
The current management system as it applies in the EU does not serve the horse mackerel 
situation very well. The TAC is set every year following negotiations with Member States during which political pressure and s hort-term economic goals often ta ke precedent over a long-term 
maximum sustainable yield (MSY) approach to fishery. 
                                                
 
12 Please refer to previous references for websites addresses 
EN    EN Moreover, the scientific advice for the stock is  based on only a poor assessment. Generally, the 
stock assessment of mackerel and horse mackerel is difficult. For those assessments, scientists need standardised fishery-indepe ndent sources of information which they can use to "tune" the 
data they have received via commercial landings . Concerning acoustic surveys, mackerel and 
horse mackerel cannot easily be detected and differentiated acous tically because they lack a 
swim-bladder. As the most important fishery-i ndependent source of information, international 
egg surveys for mackerel and horse-mackerel have  been conducted every three years since 1977. 
Using the information from the egg surveys and knowledge about how many eggs a female 
produces during spawning time, scie ntists estimate the spawning bi omass of the stock. However, 
the models so far applied for estimating the size  of the stock of Western horse mackerel cannot 
be considered robust, as the knowledge about the spawning behaviour has changed over time, 
rendering old models less reliable. The mortalit y caused by fishing is not well understood, due to 
the fact that the stock has l ong been dominated by only one "yea r-class" of recr uits, due to 
insufficient catch data sampling in Member States, and due to the fact that the relevant band of 
year-classes to be examined has changed in more  recent years, thus hampering the continuity in 
establishing longer time series. Ther efore, a target mortality rate  that would render MSY cannot 
be established at present. 
It is by no means unusua l that scientific advice for a st ock cannot be based on a full stock 
assessment. This is indeed the rule rather than  the exception, and reasons for the shortcomings of 
scientific advice are manifold, in cluding for example reduced indica tive strength of data coming 
from fisheries which are in decline. So far,  the Commission has intr oduced management plans 
only to stocks which status is relatively well understood. In the case of horse mackerel, waiting 
for science to develop a full stock assessment be fore taking regulatory action is not the right 
direction. Knowledge on the stock has improved only recently, and the wide  distribution of the 
stock, as well as the erratic re cruitment that has been observe d, make unpredictable the amount 
of time necessary to significantly impr ove the assessments. In the meantime, 
the egg survey data 
can indeed serve as biological indicator for the stock size. Therefore, basing a TAC-calculation on 
the development of the egg survey results every 3 years would be a possible solution to the problem 
of poor stock assessment. In view of the revisi on clauses built into the Commission's long-term 
plans, the plan could be adapted to more precise stock assessment once those are available. 
Taking into account scie ntific advice on an ad hoc  basis is hampered by th e fact that the stock 
areas of scientific advice do not coincide with  the areas for which total allowable catches are 
fixed. The problem of this area mismatch should be  resolved no later as a long-term management 
will be implemented13. 
The current system, with its annual approach to setting the TAC and the lack of predictive power 
in the assessment, means that the stock may not be optimally harvested. For example, in periods 
of elevated stock productivity, due  to pulse recruitment, optimal catches cannot be advised for in 
the current management system. This is cont rary to the overall objective of the Common 
Fisheries Policy, namely to provide for sustai nable exploitation in ec ological, economic and 
social terms. 
                                                 
13 For a detailed discussion see Annex 2. For the latest scientific contribution to the discussion on the stock 
boundaries see Abaunza et al., Stock identity of ho rse mackerel (Trachurus tr achurus) in the Northeast 
Atlantic and Mediterranean Sea: Integrating the resu lts from different stock identification approaches, 
Fisheries Research 89 (2008) 2, 196. 
EN    EN 2.3. Underlying driving forces 
The main long-term drivers of the fisheries syst em is the pursuit by the harvesting sector of a 
production increase, fuelled by growing demand a nd often not more than steady prices. The 
growing harvest potential of the fleet (producti on capacity) would allow for such increases, but 
the resource availability is limited by the resources' natural growth potential. Reducing the stock size to a low level (wh ile maintaining high ca tches for a short period ) lowers the productive 
potential of the stock in the l onger term. This has happened with the vast majority of commercial 
fish stocks in the Community, partly sanctio ned by the annual decisi on-making mechanism, 
partly due to illegal landings. In short-term persp ective it can often be  economic and social 
pressures which predominate in the dynamics of the system and lead to decisions on fishing 
opportunities that, cumulatively, can become unsus tainable. In consequence, less or lower-
quality fish is harvested despite an increase in effort and running costs. 
Seen from the ecological perspective, fishing is the most important driving force of changes to 
the biodiversity. In fact, the pressure exerted on a stock by fishing can have a more important 
impact on the stock than all the biological  conditions in which the stock develops. 
In administrative and political terms, this mean s that economic and social  pressure exist which 
have led to TACs being set higher than those recommended according to sustainability criteria, 
and many fish stocks being fished  outside safe biological limits
14. 
In case of the Western horse mackerel, the di screpancy between scie ntific advice and TAC 
cannot be easily iden tified, as the areas concerned are not id entical, so that three different TACs 
concern partly this stock, partly  other stocks. However, as a general assessment, TACs were 
drastically higher than the advice up and until 2004. Likewise, landings of horse mackerel well 
exceeded the TACs set for this stock from 1988 for about a decade. In 1988 the stock's mass 
peaked with the exhaustion of growth potenti al of the 1982 class. Since 2004 - TACs being 
stable and the scientific advice indicating a tr end towards possible high er catch rates - the 
discrepancies between advice, TACs and catche s have levelled out. Ind eed, the catches have 
even decreased in recent years, a fact that can be explained by the presence of better alternatives 
(in particular mackerel) for the fishing fleet s involved, horse mackerel being often a "second 
choice" compared to more valuable pelagic fish. 
Table 1: TAC horse mackerel for Western area, co mpared with landings as estimated by ICES 
Year 1999 2000 2001 2002 2003 2004 2005 2006 2007 
TAC (in 
thousand tonnes) 265 240 233 150 137 137 137 137 170 
Landings 
(in thousand tonnes) 274 175 191 172 * * 182 155 123 
Source: ICES advice 2008, Book 9, page 91. In view of the discrepancy of TAC areas and stock 
area, the table is indicative only. 
* Data for these years not comparab le as they cover a larger region. 
                                                 
14 A detailed analysis is given in Commission Communication "Fishing Opportunities for 2009: Policy 
Statement from the European Commission", COM(2008)331final. 
EN    EN This situation can be seen as a unique opportunity  that could be used for introducing a harvest 
control rules based on availabl e biological information, thereby avoiding short-term negative 
economic effects that are a common determinant of long-term plans which aim at recovering 
depleted stocks, rather than keepi ng abundant stocks at a high level. 
2.4. Effect on the sector 
2.4.1.  Identification of the sectors affected 
The Western horse mackerel is one of three widely dispersed stocks of Trachurus trachurus  in 
the Northeast Atlantic, extending from the Gulf  of Cadiz to the Norwegian Sea (see Annex 1).  
The principal sectors affected are the owners, operators and crews of pelagic fishing vessels 
operating in the distributi on area of the Western st ock of the Atlantic horse mackerel, that is the 
Northern North Sea, the Norwegian Sea, areas We st of the British Islands, the Western English 
Channel, waters West of Brittany, the Bay of Biscay and North and Northwest Spain. 
Today, several important fisheries for western horse mackerel can be distinguished: Dutch, 
German and French pelagic freezer trawlers ope rating in the Western English Channel and other 
parts of ICES sub-area VII, as  well as in the Southern North Sea; an Irish pelagic seawater 
(fresh-fish) trawler fleet operati ng in ICES sub-areas VI and V II in coastal and shelf waters 
along the Northwest and West coas t of Ireland; Danish trawlers  operating in the Channel. 
Furthermore, a sporadic, occasionally very important and unregulated15 Norwegian purse seine 
fishery operates in the Northern North Sea in late  autumn, the latter depending on the intensity of 
water influx from the Atlantic into that area1617. In addition, Spanish and Portuguese bottom 
trawlers and purse seiners operate  along the Atlantic coas t of the Iberian peni nsular, partly in a 
targeted and partly in a mixed fishery. Finall y, a part of the Lithuanian long-distance fleet 
catches horse mackerel in the regulatory area of NEAFC18. 
The vessel owners and crews which will mostly be affected by the legislative initiative can be 
summarised as shown in the tables (see Table a nd 3) below. The figures are based on Member 
States' data and are regularly chan nelled into DG MARE's economic report19. The table also 
gives account of the employment involved and the re lative importance of horse mackerel in the 
catches and revenues. Only those fleet segmen ts are shown which carry horse mackerel among 
their five most important species (by weight or  value). To be noted that the source does not 
distinguish between the different  stocks of horse mackerel a nd might therefore particularly 
include horse mackerel from the North Sea stock or third county waters. However, the data is 
still meaningful given that the Western st ock is by far the most important stock.  
Table 2 -  Basic data on fleet segmen ts most concerned (2006) 
                                                 
15 Only subject to a by-catch limitation and a discard prohibition, see 2007 Report of the ICES working group 
on the assessment of Mackerel, Horse Mackerel , Sardine and Anchovy (WGMHSA), ICES doc. CM 
2007/ACFM:31.  
16 More in particular, Ireland, Denmark, Scotland, England and Wales, France, Germany and the Netherlands 
have a directed trawl fishery and No rway a directed purse se ine fishery for horse mackerel. See footnote 2, 
page 228. Also ICES WGMHS report 2007, CM 2007/ACFM:31. 
17 Towards a management plan for western horse mackerel, Pelagic RAC without year [2007], page 2. 
Iversen/Skogen/Svendsen, Availability of horse mackerel ( trachurus trachurus ) in the north-east North 
Sea, predicted by trans port of Atlantic water, Fisheries Oceanography 11 (2004), page 245. 
18 Report 2006 of the Republic of Lithuania on the achievement of a sustainable balance between fishing 
capacity and fishing opportunities. 
19 Latest reference: Economic performance of selected  EU fishing fleets, Summary  document prepared by the 
economic unit of DG FISH, December 2007. 
EN    EN Member 
State Segment Length VesselsCapacity 
(GT) Days at sea Employment
NL PTS20 >40m 14 70150 3450 465 
IE PTS >40m 18 33460 1340 236 
IE PTS 24-40m 13 4500 1000 112 
DE PTS >40m 13 24420 1940 65 
UK PTS >40m 33 53220 3170 178 
ES PTS 12-24m 546 19580 n.a. 4997 
Sum   637 205330  6053 
Source: DG MARE based on STECF evalua tions of MS data collected under fi sheries data collection regulation. 
Table 3 - Economic importance of horse macker el for the fleet segments identified (2006; 
HOM=horse mackerel) 
Member 
State Segm. Length Total 
catch (t) HOM 
catch (t) Relative 
importance 
(%) HOM catch 
(€m) Income 
(€m) Relative 
importance 
(%) 
NL PTS >40m 356730 69970 20% 26,45 125,12 21% 
IE PTS >40m 121850 18090 15% 4,52 44,55 10% 
IE PTS 24-40m 30550 5800 19% 1,45 30,97 5% 
DE PTS >40m 153480 12120 8% 5,46 64,26 8% 
UK PTS >40m 313680 12380 4% 4,45 178,04 2% 
ES PTS 12-24m 19730 1716 9% 1,53 123,6 1% 
Sum   996020 120076  43,9 566,5  
Source: DG MARE based on STECF evalua tions of MS data collected under fi sheries data collection regulation. 
The fleets from Denmark, Portugal,  France and Lithuania which r ecorded catches are excluded 
from the analysis since they have no fleets wher e horse mackerel is one of the top five target 
species in their catch composition, when asse ssed in catch value terms. For Denmark, it is 
noteworthy that despite holding a share of 9% of the horse mack erel's western TAC, industrial 
species of herring, mackerel, sprat, sandeel and blue whiting represent 95% of the total catch 
value of the PTS >40m segment. For France, the predominant pelagic catches in terms of value 
are tuna, herring, mackerel, blue whiting (92% for PTS >40m), and anchovy, pilchard, hake, 
seabass, albacore ( 78% for PTS 24-40m). 
                                                 
20 Pelagic trawlers and seiners. 
EN    EN 2.4.2.  Effect of the regulation 
Recent catches from this stock have been around 140,000t according to scientific estimates, with 
an average first-sale valu e of some €60 Million.  
The fishing vessels in this sector are typicall y very mobile and have access to a number of 
fisheries resources, including North Sea herring, mackerel, blue whiting in the North-East 
Atlantic and also to some fish eries resources outside Community waters (e.g. sardinella off West 
Africa). Larger pelagic freezer tr awlers are reported to target 14 and more different species21. It 
can be assumed that none of the vessels within the fl eet segments concerne d is targeting horse 
mackerel, including the one from the Western st ock, exclusively. The re lative importance of 
horse mackerel varies between 9 and 20% con cerning the overall catch and between 1 and 21% 
concerning the value. The relative importance of the species for the sector is thus low or medium 
high. 
As examples, the following species can be shown per fleet segment by importance in weight in 
descending order: 
NL PTS > 40m: Herring, Horse Mackerel (not only Western stock), Mackerel, Blue Whiting. 
DE PTS > 40m: Herring, Mackerel, Hors e Mackerel (ditto), Blue Whiting. 
UK PTS > 40m: Mackerel, Herring, Blue Whiting. ES PTS 12-24m: Sardine, Horse Mackerel (ditto). The stock represents a small part of the fishing opportunities available to Member States for the 
fleet sector concerned. Furthermor e, the stock is not at an immediate risk of collapse and any 
adjustments in catches corresponding to the appl ication of the plan should be moderate. The  new 
management should maintain yields  and fishing mortality rates at  approximately the same level 
as has been taken from the stock in the recent past. Moreover, the simulations of the mid-term 
economic effects, at the aggregated  fleet level, on the profit marg ins of the two options retained 
(option 1 and 3) showed that the difference wa s marginal, and that th e preferred option might 
even have a slightly more positive ef fect in relative terms (Table 8).  
On both accounts therefore the effect of changing the current regime on the relevant fisheries 
sectors is intended to help to ensu re stability of a rather limited pa rt of the sector's catches, and 
not to create important changes. However, as a consequence of applying the management plan 
over time, larger changes might occur with radical variations in the egg abundance, as identified 
in one of the future egg surveys. It cannot be pr edicted if and when such  changes will occur, and 
applying the established rule would continue pursuing the objective of a sustainable fishing 
activity. 
2.4.3.  Magnitude of the effect on the sectors 
It was only from the 1970's that horse mackerel gradually became upgraded from feed fish to 
human consumption. Nowadays, only very small quantities of horse mackerel are caught in 
industrial fisheries by Irish and UK vessels. The sp ecies also used to have some significance for 
                                                
 
21 Norway cod, Greenland Halibut stocks, Norway haddock, Atlanto-Scandic herring, North Sea herring, 
Western Scotland herring, Western horse mackerel, No rth Sea mackerel, Northeast Atlantic mackerel, 
Norway saithe, Norway redfish, Greenland redfish stocks. See Annex to the report 2006 of the Federal Republic of Germany on the achievement of a sustainable balance between fishing capacity and fishing 
opportunities. 
EN    EN a traditional Danish feed fish fishery operating in the English Channel, which nowadays catches 
for human consumption22. 
The targeted age groups are variable, as the fisheries exploit juvenile fish for the human 
consumption market, mid-aged fish mostly for th e Japanese market, and older fish either for 
human consumption purposes (mostly for the African market) or for industrial purposes23. 
According to the Commission's trad e statistics, key export markets for horse mackerel for human 
consumption24 are Tunisia, Japan, Nigeri a, Ivory Coast and Ghana. 
All vessels involved in the fisheries at stake mu st comply with a ceiling, established each year, 
of maximum allowable landings of  horse mackerel harvested from defined areas. This may be 
achieved indirectly through the allocation of individual or collective quotas or through the 
closing of the fishery by the Member State once th e overall quota allocated to that Member State 
has been consumed. This mechanism results from the annual TAC & Quotas Regulation. A 
regulation that sets harvest rules with a view to long-term management of the stocks would affect 
the sector again indirectly in the way that the discretion by which the annual TAC for this 
particular stock can be esta blished would be restricted. 
The intervention of the harvest control rule might  entail an adjustment of the TAC for the next 
year that results in an increase or decrease of  the TAC. Either way, the consequences for any 
given vessel are not an automatic and corres ponding adjustment in individual fishing 
opportunities, since allocations to them depend on the system implemented by each Member 
State to administer its overall  quota. Business opportunities and economic choices available to 
the vessel owner are also important in respect of  the impact that TAC adjustments may have on 
individual operators. The intens ity by which, for instance, a decr ease in the TAC would have a 
restricting effect on the vessel ow ner's intention to catch Western horse mackerel would depend 
on, besides the Member States' management syst em, the level of quota exhaustion observed in 
the fishery concerned, and the eco nomic importance of the fish ing opportunity, in terms of 
absolute value and relative to alternative harv est opportunities. 
The general importance of horse mackerel from the Western Atlantic stock can be described by 
looking at the available fishing opportunities in terms of total allowable catch. The TAC as well 
as the actual catches of Western horse macker el are the most important among the TACs for 
horse mackerel. The following table, derived from the Commission's catch reporting system, 
illustrates this. It is to be noted that the statis tics are based on a TAC area for the Western stock 
which is not fully in line with the distribution of the stock, but about 10% smaller in terms of 
fishing opportunities25. The ongoing discussion of a reorgani sation of TAC-areas is explained in 
Annex 2. 
Table 4 - In 1000 tonnes rounded, TAC ex cluding share of non-EU members 
                                                 
22 European Parliament Working Paper FISH 113 EN 02-2004, The Fish Meal and Fish Oil Industry, its Role 
in the Common Fisheries Policy, page 8. 
23 ICES, 2004. Report of the ICES Advisory Committee on Fishery Management, Advisory Committee on the 
Marine Environment and Advisory Committee on Ecosystems, 2004, part 2, page 836. 
24 The Commission's trade statistics does not differentiate according to the different stocks. 
25 The existing Western TAC area is made up by ICES divisions VI, VII, VIIIab, VIIIde, Vb, XII, and XIV. 
The Commission considers a reallocatio n of division VIIIc (North and Northwest Spain) to the Western 
area, of division VIId (Eastern English Channel) to the Northern area and of divisions IIa as well as IVa to 
the Western area to be necessary. This will bring th e TAC areas into line with scientific advice. The 
resulting TAC might result in an increase of about 10% in the Western area, which might be reflected by a 
similar increase in catches a ttributable to such area. 
EN    EN Horse 
mackerel 2005 TAC 2005 EU 
catches 2006 TAC 2006 EU 
catches 2007 TAC 2007 EU 
catches 
Western TAC 133 123 135 120 136 109 
Southern 
TAC 55 46 55 48 55 44 
Northern 
TAC 41 38 41 32 41 27 
Source: DG MARE catch reporting system 
The fact of recently decreasing caches has been  mentioned already in point 2.3. Based on an 
internal survey among members of the pelagic RAC, the market could absorb double of the 2007 
catches. The industry has managed to develop over the years large markets in Africa and Asia, in 
addition to the existing traditional fresh-fish ma rkets in Portugal and Spain. The relatively low 
and stable prices should also provide a buffer in economic downturns. The reason for a TAC not 
being exhausted might therefore be found in mo re attractive alternativ e fishing opportunities. 
Important factors affecting the ca tches are: highly volatile fuel prices; opportunitie s in mackerel, 
herring and blue whiting; size of the TAC portion that is traded with Norway and Faroes in 
exchange for other fishing opportunities. 
The first-sale value of horse mackerel destin ed for human consumption has fluctuated around 
0.47 EUR per kg in recent years (for compar ison: Mackerel: 0,68 EUR, Herring: 0,24 EUR). 
Applying this to the catches registered only gives a very rough estimation, given the quality tiers 
and the fact that some parts of the catches will be utilised for industrial purposes, thus triggering 
a much lower income.  
Table 5 - First-sale price in EUR of one kg horse mackerel per Member State which fleet 
segments have been assessed 
Member 
State 2003 2004 2005 2006 
NL 0,31 0,31 0,30 0,38 
IE 0,13 0,18 0,25 0,25 
DE  0,35 0,44 0,45 
UK 0,19 0,18 0,28 0,36 
ES 0,71 0,77 0,78 0,89 
Average 0,34 0,36 0,41 0,47 
Source: DG MARE based on STECF evalua tions of MS data collected under fi sheries data collection regulation. 
Applying the first-sale value to the catches delivers the overall importance of the stock. For this 
exercise, the catches in di vision VIIIc (2004: 24.000t, 2005:  22.300t, 2006: 23.700t) have been 
added to the catches in the Western TAC area, for the reason that catches in this area belong to 
EN    EN the Western stock, as confirmed by scientific studies on the boundaries of the stock. Any long-
term plan would apply to an ar ea that comprises also area VIIIc26. 
Table 6 - Approximate first-sale value appl ying the average price to the catches 
 2005 2006 
Catch (including VIIIc)  
in Mio tonnes 145,3 143,7 
Value in Mio EUR 59,6 67,5 
Source: see tables 3 and 4. 
For those Member States holding quotas on this stock, the proportion of the fishing opportunities 
for horse mackerel in the Western TAC area to th e total of horse mackerel TACs is as follows27. 
To be noted that after TAC area reorganisa tion the Western TAC area will increase by 
approximately 10%. 
Table 7 - Horse mackerel quota in Western TAC area 
Member State Horse mackerel quota as % of all three TACs 
established for Atlantic horse mackerel Combined TAC&quotas, all three areas 
in tonnes 
NL 93 62191 
IE 95 41109 
ES 35 47700 
FR 95 8480 
PT 6 27898 
DE 87 14079 
DK 0 25208 
UK 82 20191 
BE 0 58 
Sum Not applicable 246914 
Source: DG MARE based on th e annual TAC&quota Regulation 
The table shows that dependency on  this TAC, as compared to al l horse mackerel TACs, is very 
significant among Member States, except for those which do not have a share in the Western 
                                                 
26 This calculation is made for reason of simplificati on in line with ICES practi ce. The final TAC areas will 
incorporate further changes see Annex 2. 
27 Calculated from Council Regulation (EC) No 40/2008 of 16 January 2008 fixing for 2008 the fishing 
opportunities and associated conditions for certain fish stocks, applicable in Community waters and, for 
Community vessels, in waters where catch limitations are required. OJ L 19/1, page 86. 
EN    EN TAC (Denmark, Belgium) and those which have th e majority share in the likewise important 
Southern TAC (Spain and Portugal). 
2.4.4.  Legal basis for Community action 
Council Regulation (EC) No 2371/2002 of 20 December 2002 on the Conservation and 
Sustainable Exploitation of  Fisheries Resources under the Common Fisheries Policy28 provides  
for the establishment of management plans for fi sheries exploiting stocks which are within safe  
biological limits (Article 6). In the case of the Western stock of Atlantic horse mackerel, the 
scientific advice available to the Commission qualifies the status of the stock as unknown. This 
means that fisheries scientists have not undertak en a full analytical st ock assessment However, 
the 2001 year class of this stock has been stronger  than those observed in previous years, having 
led to increased catches since 2002. The spawning stock size is es timated to be well above the 
level of 1982, which produced an extraordinarily large amount of  juveniles. In  addition, the 
positive trend of the latest egg survey suggest th at the spawning stock biomass has increased in 
recent years. The removal from the stock by fish ing relative to the total mortality (fishing 
mortality) is considered to be relatively low,  albeit not known. This suggests that the stock's 
reproduction is probably not being adversely affected  by fishing activities at present. Therefore, 
Article 6 may still be applied. However, the plan should also work once the stock size will have decreased to levels that affect  the reproductive capacity. In that  case, Article 5 would be the 
provision on which to base the management plan. In  view of this ambivalent nature of the plan, 
Article 37 of the Treaty establishing the European Community would form the general legal basis for the Community to act in this case. 
2.4.5.  Necessity and subsidiarity 
Fisheries management is an exclusive Commun ity competence; hence measures concerning 
fisheries of trans-national importance must be adopted at Community leve l and the principle of 
subsidiarity does not apply. In order to make explicit the rationale underlying this, it can be 
recalled that the initiative concerns the annual se tting of a TAC for a fish  stock that is shared 
between several Member States, currently the following ones: Denmark, Germany, Spain, 
France, Ireland, the Netherlands, Portugal and th e United Kingdom. A Member State would not 
be able to regulate the TAC on its own, as it would have to anticipate parallel  legislation by other 
Member States having an interest in the stock,  and also the share of non-EU countries that 
traditionally harvest this stock following annual agreements with the Community. Neither would 
a Member State be able to effectively regulate th e variation in TACs as a conservation measure, 
given that the stock can only be managed effec tively as a common concern, so that Member 
States exploiting the stocks have to follow th e same management rules at the same time. 
Therefore, it is necessary that the measure of  setting TACs and formalising rules according to 
which this should happen be taken at the Community level. 
3. O
BJECTIVES  
3.1. General objectives 
The general policy objective of the long-term management plan is to ensure the exploitation of 
the stock consistently with a high sustainable yield.  
Policy coherence concerning sustainabil ity objectives should be maintained . The plan should 
conform to the objectives of the Common Fisheries Policy, as set out in Article 2 of Regulation 
                                                 
28 OJ L 358, 21.12.2002, pp. 59-80. 
EN    EN (EC) No 2371/2002. In addition, such plans should c ontribute to the aims of the Implementation 
Plan agreed by the World Summit on Sustai nable Development at Johannesburg in 2002, 
especially in respect of e xploiting stocks compatibly w ith maximum sustainable yield29. This 
political objective has been the subject of a separate Commission Communication (Implementing 
sustainability in EU fisherie s through maximum sustainable yi eld (COM (2006) final) and 
accompanying working document (SEC(2006) 868)30. However, this objective is only 
operational in a small number of cases, namely wh ere the scientific knowledge about the stock 
allows drawing conclusions on what the biomass and fishing levels woul d be that ensure the 
maximum sustainable yield (MSY) in the long term . The case of the Western horse mackerel is a 
typical example of a stock where the MSY appr oach is not operationa l in the foreseeable 
future31, so that subsidiary objectives must be de fined that would contribute to the overall 
objective but for which the precise relation between attaining the subsidiary objective and attaining the overall objective is not known.  
3.2. Operational objectives 
Contributing to the general objective will be achieved by ensuring that the decision-making on 
fishing opportunities corresponds to  biological indicators on the de velopment of the stock which 
the most renowned scientific bodies ha ve confirmed as being meaningful. 
As an ancillary objective, the proposal aims to es tablish, for the sector c oncerned, predictability 
for the annual legislative decisions on total allowa ble catch for the stock, and to provide stability 
to such decision-making. This ancillary objective is linked to the general objective of economic 
and social sustainability. 
Another ancillary objective is to attract fisheries managers', the sector's, and scientists' interest 
towards better understanding of this stock, so that the data base and analysis for both 
management and scientific advice are steadily improved. 
Attaining these operational objectives will represent steps towards attaining the general 
objective.  
The operational objectives are consistent with the PelRACs initiative outlined above, and are 
considered realistic. As the sub-objectives  meet current harvesting conditions, timely 
implementation of the initiative in practice will  be feasible without the need to resort to 
transitory measures. 
4. P
OLICY OPTIONS  
The Commission has considered the following options: 
Option 1 implies that the current system of  managing the stock by setting annual Total 
Allowable Catch (TAC) according to available sc ientific information on the stock and ad hoc 
political considerations remains unchanged.  
Under current regime, the stock is managed by  means of a precautionary TAC that in recent 
years has been set at around 150,000t, according to hi storical data. This TAC is not based on 
recent analytical assessment or long-term forecast.  
                                                 
29 www.un.org/esa/sustdev/documents /WSSD_POI_PD/English/POIToc.htm 
30 www.cc.cec/home/dgserv/sg/sgvista/i/sgv 
31 See Roel/Oliveira, Harvest control ru les for the Western horse mackerel ( Trachurus trachurus ) stock given 
paucity of fishery-independent data, ICES Journal of Marine Science, 661, 667. 
EN    EN Option 2 is based on the consideration that, give n the absence of conclusive information on the 
status of the stock, freezing or gradually reducing the directed fi shery on Western horse mackerel 
might be a good way to protect th e stock against decline. This could be achieved by either a 
yearly TAC-setting following a specific unders tanding of precautiona ry approach or by 
introducing a legal instrument fo r the stock (management plan). 
Option 3 is about proposing a legal management in strument for the stock, according to available 
conservation reference points and longer-term sust ainability considerati ons. Several sub-options 
of a management plan relating to different biological indicators an d other implementation 
elements were evaluated. 
4.1. Description of the options 
4.1.1.  Option 1 - No policy change 
Under present conditions, there is no quantita tive legal basis establishing guidelines or 
restrictions on the annual setting of fishing oppor tunities concerning the st ock of Western horse 
mackerel. 
Currently, the Total Allowable Catc h (TAC) for a species is adjusted every year according to 
analytical scientific assessment based on traditi onally used conservation reference points, like 
stock spawning biomass (SSB) levels and fishi ng mortality (F). The Western horse mackerel 
stock is one of the best studied horse mackerel st ocks in the world, yet, due to the nature of the 
stock, there are large gaps in the information base. Because SSB, recruitment and F cannot be 
assessed so far, a reliable analytical assessment fo r the stock is not availa ble. Because of that, a 
precautionary approach based on hist orical data rather than recent scientific evidence has been 
applied. 
Retaining this process would mean that annu al TAC decisions are taken on the basis of 
incomplete stock information and ad-hoc  considerations of economic and social factors at the 
political level. Experience has shown that these circumstances often lead  to stock overfishing 
and ineffectual or late harvest restrictions. The case of the Atlantic horse  mackerel shows this 
pattern in rather drastic form up until the last couple of years (see chapter 2.3 on driving forces). 
In the last decision taken on this species, in December 2008, the only solution that could be 
found to the different TAC-areas of horse mackerel was a "ro ll-over" of the previous TAC-
levels, without showing due rega rd to the scientific advice. However, Member States and 
Commission declared that they were seeking to ag ree on TAC areas in line with scientific advice 
on the stock boundaries, and then develop the TA C according to the management plan that 
Commission has committed to present. 
4.1.2.  Option 2 - Freezing or gradually reducing the directed fishery 
Traditionally, a scientific assessment has been  based on the conservation reference points for 
biomass and fishing mortality rate. In the absence of a reference point for fishing mortality rate, no analytical assessment is available for the West ern horse mackerel, and scientists consider the 
state of the stock as unknown. 
Given the absence of conclusive information on the state of the stock, one option might be to 
freeze or gradually reduce the directed fishery of Wester n horse mackerel. However, 
traditionally used reference points are not the only way to evaluate the state of the stock. Regulation 2371/2002 (Article 3 (k )) describes 'conservation refe rence points' according to 
which current scientific assessment is made as "v alues of fish stock population parameters (such 
as biomass or fishing mortality rate) used in fisheries management, for example with respect to an acceptable level of biological risk or a desired level of yield." In case of the horse mackerel, 
EN    EN the egg surveys have been carried out for decades , and the results of such surveys produce useful 
and reliable information about the stock. Among other things they are useful for estimating 
spawning stock biomass and trends  over time and therefore can be used to assess  one important 
biological parameter for the stock.  
The Commission follows the policy line that where there are biological indicators available that 
hint on the stock development, a management measure should take this into account, and 
provide, if circumstances as a w hole are conducive, for adequate catch adjustments. These would 
be possible catch increases in times of positive trends and catch decreases in times of negative trends. Such a path is more closely linked to  sustainable use of resources than freezing or 
decreasing the fishing pressure while waiting for a stock assessment. In other words, the mere 
fact of data poor situations should not prev ent the Commission from presenting a management 
plan that qualifies as serving a more sustaina ble stock exploitation, based on information that 
feeds into stock assessment but was not suitable so far to provide a reliable and conclusive 
assessment based on standard reference points. 
In light of the above, freezing or gradually re ducing the directed fishery on Western horse 
mackerel as a precautionary approach in the ab sence of analytical assessment based on F and 
SSB and without taking into acco unt other available sources of information about the stock, 
would result not only in lowering the TACs without clear gain for the state of the stock but also 
in purposely limiting our knowledge about the stock. 
Due to the lack of predictive power in current assessment, it is necess ary to seek and apply 
alternative ways to effectively manage the stoc k. This is why option 2 has been rejected by DG 
MARE and will not be further pursued.  
4.1.3.  Option 3 – Management plan 
The multi-annual approach to fisheries management is one of the key pillars of the current CFP, 
as it supports sustainable exploitation
32. For the stock of Western horse mackerel, the sector 
representatives have argued for such an approac h, given that biological i ndicators are available 
and given the economic importance of  this stock. Therefore, the lack of a full stock assessment 
should not prevent the Community from taking acti on to ensure the sustainable exploitation of 
horse mackerel. 
4.1.3.1.  Sub-option 1- Effort Regulation 
One possible management tool would be effort  administration, which is  the limitation of the 
activity (production "input ") of the vessels concerned by the fishery. Effort regulation has its 
strength in mixed and seasonally stretched fisher ies, where the management by output regulation 
(TAC&Quota) cannot prevent high discards or bl ack landings. In addition, effort reduction is 
used in order to promote capacity reduction over  time, being a tool that can lead to spare 
capacity. The characteristics of the horse mackerel fishery are such that effort management is not 
the preferable instrument: The fishery is clean in  the sense that schools of the one species are 
being detected and targeted. This does not mean that there are no discards , but those are mostly 
due to highgrading rather than giving away  unwanted or undersized parts of the catch 
composition (see below). Large parts of the fisher y are controlled by very big vessels, which are 
extremely versatile during the year and during the fishing trip and do not have technical 
restrictions in their range  of operation. Trying to restrict the ac tivity of those vessels with a view 
to influence on a minor component of their landings' profile, would produce major practical 
problems, and might not be effectiv e at all. In addition,  landings' control ta rgeting the discharge 
                                                 
32 Council Regulation 2371/2002 recital 6. 
EN    EN of these large vessels is more efficient than landi ngs control in a mixed fishery characterised by a 
multitude of small vessels (see control part below) . Furthermore, the small pelagic fish sector has 
so far not been among the sectors that show pa rticularly worrying shortcomings in terms of 
coping with overcapacity. Finally, the sector itself, represented in the pelagic RAC, does not 
favour effort restrictions. 
Therefore, effort regulation is not consider ed the right tool for long term management. 
4.1.3.2.  Sub-option 2 – Regulation by technical measures 
Fishing for horse mackerel is  technically regulated by Regu lation 850/98. A minimum landing 
size is set at 15 cm. Grading equipment on bo ard is only allowed und er specific processing 
circumstances. These technical provisions have  been maintained in the Commission's proposal 
for a successor regulation.33 A specific question has arisen in recent years whether the increasing 
fishery on juvenile fish (years 1 to 3) should be restricted, e.g. by prohibited areas. Since 2005, 
however, the portion of juvenile fish from the tota l fish caught has decreased to former levels. In 
view of this stabilisation, no specific measur es seem necessary at the start of long-term 
management. Such measures might however be added to the long-term management once the 
fishing patterns change. 
4.1.3.3.  Sub-option 3 – Regulation by assigning a pr oportion of the Spawning stock to harvest 
One strategy for setting TACs could consist in earmarking a proportion of the estimated 
spawning stock size as annual fishing opportunity. Su ch an approach has been developed as one 
harvest strategy among the scientific options presented to the pelagic RAC34. The major 
shortcoming of this approach is the poor estima tion of the size of th e spawning stock. In case 
that larger variation would occur to this estim ate, due to an increased provision or improved 
analysis of data, the implicit aim of this stra tegy - having a rather co nstant development of 
fishing opportunities - would be adversely affected. 
4.1.3.4.  Sub-option 4 - Regulation by fixing the fish ing opportunities followi ng the result trend 
of egg surveys 
The main fishery-independent biological inform ation on the Western horse mackerel is the egg 
abundance according to the trienn ial international egg survey on mackerel and horse mackerel. 
Egg survey results are used by scientists for estimating the size of spawning stocks. This is 
particularly the case for macker el, but also for example for anchovy in the Bay of Biscay and for 
some stocks of cod and plaice. Like in the cas e of anchovy, there exists  for horse mackerel no 
direct calculation link between the seasonal egg production per fe male and the perceived total 
egg production. However, models ba sed on daily egg production have been developed in order to 
provide and estimate of the spaw ning size in such cases, and in any case the trend in the egg 
abundance serves as an indicator of the development of the stoc k size, assuming that a larger 
stock would on average produce more eggs than a smaller stock. Therefore, scientific advice 
suggests that the biological information from egg surveys can be used, in the absence of a full 
stock assessment, as biological indicator for the stock health and serve t hus as a reference for 
stock management. 
The surveys from the last twenty years provide d the following results (index egg production): 
1983: 513,1; 
                                                 
33 Art. 4 and 11 of the Commission proposal for a Council Regulation for the conservation of fisheries 
resources through technical m easures, COM/2008/324 final. 
34 Roel/Oliveira., op.cit., 664 
EN    EN 1989: 1762,1;  
1992: 1712,1;  1995: 1264,5;  1998: 1135,7;  2001: 820,8;  2004; 889;  2007: 1427. 
The approach is, in summary, innovative in the sense that management rules would be based on 
a biological indicator sh ort of a full stock assessment, while it would be a classi cal approach in 
the sense that it tries to  steer away decision on fi shing opportunities from ad hoc considerations 
to a science-based planning. The long-term management will be based on the grounds of a specific biological parameter, egg abundance, wh ich becomes a conservation reference point for 
the stock.  
Using this approach, attaining the objectives di scussed before can be ensured by the following 
orientations:  
(a) In the absence of positive biomass tre nds indicated by increas ed egg production, the 
overall catch limit should be kept within a lim it that used to be defined as the maximum 
in the absence ob strong recruitment to the stock. This level has been scientifically established by the scientific agencies by a yi eld per recruit analysis that excluded the 
extraordinary strong year class of the year 1982
35; 
(b) If there are positive biomass trends indi cated by increased egg production, the overall 
catch limit should be increased in  function of this indicator; 
(c) Such increase in the overall catch limit should be capped in or der to cater for the 
uncertainty of the indicator, in particular for the fact that the underlying scientific 
surveys are only undertaken every three years, and for the fact that  the relation between 
increased egg production and increas ed recruitment is not well known. 
The following themes were identified, during the sc ience/stakeholder consu ltations, as potential 
points for the effective management plan: 
• TAC to encompass the entire spatial distribution of the stock; 
• Consideration of measures to regulate fishing mortality separately for juveniles and adults; 
• Optimal harvesting of most profitable size grades or other product types; 
• Ability to adjust management to take advantage of periods of elevated productivity; 
• Stability in TAC vs. la rge increases/decreases; 
• Ability to carryover unused quota to the following year. 
Initially, three alternative strategies for managi ng the Western horse mackerel stock with a TAC 
with the objective of long-term stable yields, an d with a low risk to driving the SSB below the 
level estimated for the stock in 1982 were evaluated by STECF (2 006). Final simulations 
                                                 
35 ICES. Report of the working group on the assessmen t of mackerel, horse mackerel, sardine and anchovy, 
CM 2007/ACFM:31, p. 23. 
EN    EN included only two HCR scenarios, which were th en further evaluated with 1000 iterations over a 
range of test values. Summary statistics on size a nd variability of yield a nd risk were calculated 
for each simulation before the informed decision on the most viable option was made. ICES has 
endorsed the approach originating from  scientific advice to the PelRAC. 
4.1.3.5.  What provision should be made if the stock falls below the minimum level 
Scientific advice indicates a risk to reproductio n of the stock if the spawning stock size should 
fall below the size estimated for 1982. This si ze no longer is a formal reference point B lim used 
by ICES or STECF, due to the method used at the time being based on false assumptions on the 
spawning behaviour36, but can be considered as a proxy, a nd has lead to ICES recalculating in 
2008 the series of SSB based on more recent knowledge37. 
The long-term plan should not aspire to offer a mathematically exact solution for this risk, 
because the evolution of the bioma ss is not known with full certainty38. Three mechanisms are 
being considered appropriate to deal with this risk:  
• First, the very low risk, as shown by scient ific modelling, of this case happening during the 
first three-year term of the plan, and beyond.  
• Then, the obligation to seek a scientific evaluatio n of the plan's effectiv eness after six years of 
application39. 
• Finally, the recurrent legislative option of adap ting the biological refe rence point to improved 
scientific knowledge indicating that following the method no l onger provides for sustainable 
exploitation. 
4.1.3.6.  Additional provisions concerning control and dis card accounting 
Recurrent problems of long-term management ar e the knowledge about and significance of 
discards of fish, and the enforcemen t of the harvest rules established. 
4.1.3.6.1 Discards W1ile it has been scientifically confirmed that discards of younger fish has decreased over time 
due to the sector having developed a market for young fish, discards of horse mackerel might 
still be high from time to time, particularly in view of its low value compared to other species. 
                                                
 
36 See ICES, WGMHSA 2007, loc.cit., p. 283. 
37 See Roel/Oliveira, loc.cit., p. 664. The 1982 stock size has always been difficult to establish, but an 
approximation has been made. The stock is characterised  by infrequent, extremely large recruitments. As 
only a short time series of data are available, it is not possible to quantify stock-recruit relationships, but one may make the precautionary assumption that the likelihood of a strong y ear class appearing would 
decline if stock size were to fall lo wer than the stock size at which the only such event has been observed. 
The basis for the level of Bpa is the stock size in 1983  (as estimated by an egg survey and an assessment), 
which is used as a proxy for the stoc k size present in 1982; that which pr oduced the strong 1982 year class. 
The egg survey biomass estimate was 530,000 t, another model estimated an SSB in 1982 of 930,000t, and 
a model retained estimated 500,000t. The most recent scientific advice es timates 1,4 million tonnes as SSB 
1982. 
38 See the different estimates according to different models ranging from 1,9 to 3,4 million tonnes for 2007. 
ICES, WGMHSA 2007, loc.cit., p. 281. 
39 ICES' assessment assumes an unacceptab le risk after 40 years, based on the scientific model presented by 
an expert group that advised the pelagic RAC. 
EN    EN Scientific survey data confirms, for example, th at horse mackerel is on place three of the most 
discarded species in the Dutch pelagic freezer trawler fleet40. 
In the context of yearly agreements with Northe rn coastal states, an in ternational working group 
of control experts for internati onal pelagic fisheries has discu ssed avenues of discard reduction 
since 2005. Understanding was reached that any regulatory attempt w ould need to entail a large 
amount of observer coverage in order to be meaningful. A voluntary arrangement with the 
industry has not come to light, while some evid ence suggests that large pelagic vessels having 
observers on board fish less days and land more fish than thos e without observers. 
The Commission has proposed a general monitoring obligation concerning discards with its new 
proposal for a Control Regulation (Articles 41 and 42 of he propos al, COM(2008)721 final). 
With regard to specific fisheries, the Comm ission decided not to pursue the monitoring and 
reduction of discards with a regulatory fishery-by-f ishery approach, but rather to come up with a 
general policy on this issue. For this reason, a focussed discard-preventi on policy covering horse 
mackerel would not be an appropriate legislative measure at this stage. 
Nevertheless, the harvest rule to be applied to the Western horse mackerel should cover all 
catches from the fishery, includi ng discards. Scientists have warned that their models on 
calculating risk probabilities for stock decline ar e based on all catches being accounted for. In 
order to cater for this, as wa s the case in the recent Commission proposal for amending the cod 
recovery plan41, the TAC resulting from the method as es tablished in the long-term plan should 
be reduced by the fishing mortality estim ated to be attributable to discarding. 
4.1.3.6.2 Control Unaccounted TAC overshooting has been considered substantial during the pr esence of the very 
large year class 1982. Since its disappearance, the pr oblem is less important, but still a threat to 
the good functioning of any management plan. 
The major landings of pelagic species coming fr om international fisheries, including horse 
mackerel, are the subject of re gular controls and expert disc ussion with neighbouring states. 
Indeed, yearly agreements with the Coastal st ates (e.g. Annex XII of the Agreed Record of 
Conclusions of Fisheries Consultations between  Norway and the European Community for 2009) 
contain standards for fish wei ghing and landings' inspection, concerning any landing of more 
than 10 tonnes. Yearly progress reports give account of inspection ex perience, the number of 
infringements detected, avenue s for better regulation etc. 
Estimates of Inspection costs have been made  through a study commissioned by the European 
Commission at the occasion of assessing the im pact of a general reform of the control 
legislation. Average data from 2004 to 2006 suggest that an in spection on land in the Atlantic 
region might cost about 515 EUR, wh ile an inspection at sea 8.976 EUR
42. 
With a view to translate the ag reements found with Coastal Stat es into Community legislation, 
Regulation (EC) No. 1542/200743 establishes procedures for weighing and labelling procedures 
for herring, mackerel and horse mackerel, a nd sets inspection benchmarks for landings 
                                                 
40 See Borges  et.al., What do pelagic freezer-t rawlers discard?, ICES Journal of Marine Science (65), page 
605.  
41 COM(2008)162 final of April 4, 2008. 
42 MRAG et.al., study for the Impact Assessment of a proposal to reform and modernise the control system 
applicable to the Common Fisheries Po licy; related tender FISH/2006/09. 
43 This Commission Regulation was preceded by similar technical regulations in the annual TAC&Quota 
Regulation, see Council Regulation (EC) No 13/2005. 
EN    EN exceeding 10 tonnes, notably an obligation o cover 10% of landing and 15% of fish quantity with 
extensive inspections. 
With the envisaged management plan, the Comm ission would want to build on the tighter 
control framework achieved with this Regulation concerning the monitoring of landings. More 
rigorous control benchmarks or landing rules should not be introdu ced before results of this 
control framework have been confirmed and an alysed covering some years of experience. 
However, this specific control framework should be expanded in spatial scope so that all areas 
where Atlantic horse mackerel is caught would be covered. 
As an easily accessible complementary control in strument, special fishing permits are being 
considered in order to ensure the plan's working in practice. 
With regard to the compliance commitment, the sector has proposed to participate in observer 
schemes and wants the TAC to take account of  overshooting. An indirect incentive for good 
observer coverage would be a harvest rule that integrates the occurrence of discards even when an estimation of discards could not be made by sc ientist, e.g. due to insu fficient fleet sampling.  
4.1.3.7.  Possible limits on TAC variations 
For reasons of business planning in the context of supply and demand, the catching industry has 
a strong interest in predictabil ity and stability in the determ ination of their annual fishing 
possibilities. Accordingly, it was analysed whether a constr aint of +/-15% on annual TAC 
fluctuation should apply.  
5. A
NALYSIS OF IMPACTS  
5.1. Economic and social impact 
It is not possible to forecast economic impacts in absolute terms. Market prices for horse 
mackerel can fluctuate widely in response to va riations in demand. Howeve r, the plan should, by 
contributing to the stability of horse mackerel supplies, also c ontribute to the stability of the 
horse mackerel fishing industry and its markets. 
Most of the catches of Western horse mackerel are taken by vessels en gaging in a variety of 
fishing activities on various stoc ks and whose dependence on this  stock is limited. Therefore the 
direct impact of improved long-t erm management of this stock wi ll cover only a part of the 
economic activity of these vessels. 
One significant impact of option 3 would be the absolute stability in expectations concerning 
fishing opportunities. Predictability  of fishing opportunities is a ke y demand of the sector. With a 
TAC-setting that applies a method to the identical data for three consecutive years (period from 
one egg survey to the next), the TAC can be  expected to be stable during that period. 
A basic simulation of the economic impact of op tions 1 and 3 has been calculated by DG MARE 
as follows, based on economic data provided regularly by Member St ates. The simulation 
concerns the profit of the fleet  segments identified above.  
The assumptions for option 1 ( status quo  scenario) are built on con tinuous TACs at 167,920t, as 
is currently the case. The assumptions for optio n 3 are built on a TAC in crease in 2009 towards 
179,730t, afterwards stable, based on a simple cal culation following the management plan's 
harvest control rules and includi ng catch area VIIIc. The assumpti ons for the Spanish fleets here 
are kept steady, given that they mostly catch in  area VIIIc and would thus not experience a major 
effect from the reorganisation of TAC areas. 
The following qualifications are to be ma de concerning the use of this table: 
EN    EN – Economic impacts were assesses using a bi o-economic model approved and used by the 
STECF to assess TAC/quota propos als (annual) and long term ma nagement plans. The model 
builds on a historic baseline of  economic and catch data and makes predictions of economic 
performance based on future catch opportunities and subse quent changes in costs and 
earnings of fleet segments; 
– While the baseline for comparison is the year 2006, it should be noted that years prior to 2006 
have been taken into account in the simulation of the options, thus resulting in lower values 
for the coming years, as compared to the well-performing year 2006; 
– profits will likely have declined during the firs t half of 2008 due to the extraordinary rise in 
fuel price no built into the calculation model; 
– The profits for the German fleet appear high comp ared to figures extracted for similar fleets in 
other Member States. A verification of data correctness for the purpose of this Impact 
Assessment is not possible, because the Comm ission does not have continuous access to the 
data pool that serves as bases for running eco nomic analysis. However, while the absolute 
figures might be misleading, the calculation might still be useful in rela tive terms, that means 
comparing the outcomes of options 1 and 3. 
Table 8 - Simulation of effects on th e profit for selected fleet segments 
  Baseline OPTION 1 OPTION 3 
 € million Profit 2006 Average (2007-09) Average (2007-09)
NL >40m Profit 6.42 7.61 7.77
IRE >40m Profit 3.66 1.55 1.69
IRE 24-40m Profit 4.1 9.17 9.23
GER >40m Profit 57.76 53.59 53.72
UK >40m Profit 44.34 31.98 31.98
ESP Profit 1.5 1.10 1.10
Source: EC/STECF 
In overall terms, the options compared do not show significantly different impacts. The lower 
future performance compared to 2006 is due to  2006 being a high-performing year in the data 
series. Option 3 (management plan) shows a very modest profit increase for some fleet segments, 
compared to option 1 (baseline scenario). 
Given the data available, social effects of options 1 and 3 cannot be decoupled from their 
economic impacts and are likely to go in line with  them, showing that impacts in both cases do 
not differ significantly. 
Since the management plan would not introdu ce new procedures, no significant impact on 
administrative burden would take place either (s ee for the control special chapter below). 
Moreover, adoption of a long-term plan with clear sustainability criteria may allow the fishery to 
qualify for certification under inde pendent "eco-label" criteria. Th is could be helpful in product 
marketing terms, and in impr oving the perception of the sect or as a responsible industry. 
5.2. Environmental impacts 
It is not normally possible to predict long-term trends in fi sheries productivity. Changes in 
oceanic climate including global warming, and currently unexplained medium-term changes in recruitment can lead to signifi cant trends in productivity. Howe ver, it is known that keeping 
fisheries impacts at levels no hi gher than those needed to take high yields improves the stability 
of the stock and improves the robustness of the fish ery to adverse environmen tal effects. In fact, 
there is no possibility to achieve  good status of marine waters unless commercial stocks are in 
EN    EN good shape. The conservation of commercial stocks therefore is also an environmental concern. 
Avoiding that stocks become ove rfished is relevant for the goals of the Marine Strategy 
Framework Directive 2008/56/EC whic h entered into force in summer 2008. 
However, the current management system as it a pplies in the EU is not adequate to the horse 
mackerel stock. The lack of an analytical assessm ent or forecast precludes the implementation of 
the implicit EU management strategy, which is to set TAC one year ahead, based on forecasted 
population size in an intermediate year, from an assessment from the same year. Given that egg 
surveys for horse mackerel are carried out every third year, setting TACs should reflect that and 
also happen in 3-yearly intervals. Implementing a plan which will lead to catch limitations 
according to biological indicators on the st ock abundance based on thorough scientific 
assessment will improve the state of the stock and ensure sustainability of the fishery. 
The main arguments against the current  regime (Option 1) are as follows:  
• no full scientific assessment being available for the stock;  
• TACs set annually based on ad-hoc  considerations of economic and social factors at the 
political level rather than environmental indicators and parameters; 
• Risk of stock overfishing and even collapse.  
Moreover, retaining current management of the stock means that: 
• conditions for sustainable long term yiel d for the stock are not provided for; 
• TAC is being limited every year without any gain or long-term  sustainable benefit for the 
stock; 
• possible additional catches to those covered by the TAC are taking place; 
• target fisheries will not proceed with mini mum ecological impact (with the industry being 
against the current regime for not reflec ting the actual state of the stock).  
The main arguments in favour of multi-annual management based on egg survey results (Option 
3) are as follows:  
• tuning data are restricted to one point estimate of  SSB every third year;  
• noise (error) in the SSB data carried over to the assessments made between survey years is 
reduced; and  
• low recruitment variability (besides the infrequent occurrence of  exceptionally large year 
classes) and the absence of clear indicati on of changes in weight and/or maturity over time. 
Moreover, such long-term management of the stoc k would include the provi sions to ensure that: 
• conditions for sustainable long term yi eld for the stock are provided for; 
• acceptable year to year stability in the TAC is  achieved; unified management regime across 
all areas where the stock is  distributed is achieved; 
• there are not additional catches to those covered by the TAC, achieved by control 
programmes having to focus on l ong-term management plans; 
• target fisheries will proceed with minimum eco logical impact (with the industry agreeing to 
partake in studies to demonstrate that there are no additional catches above the level of the 
TAC as well as in studies to quantif y the levels of non-target by-catch). 
EN    EN 5.3. Impacts on international relations 
The stock is distributed almost wholly within EC waters and is not subject to unregulated 
exploitation by third-country vessels. Catches and fish stock management will not be affected by 
such third-country activities. 
The Faroese and Norway participate in the ex ploitation of this stock by exchanging fishing 
opportunities with the Union with in the yearly TAC. A better management of the TAC will 
possibly be taken up in the negotiations with Norw ay, which has an interest in the stock in its 
own waters, with a view to manage  the stock jointly according to cr iteria that support sustainable 
exploitation.  
In addition, in the recen t past, some transfers of quota have  been made from the EC-managed 
TAC to the Faroe Islands as part of the annual bi lateral exchange of fish ing possibilities. Setting 
the TAC in a multi-annual framework will allow mo re predictability in the fishing opportunities 
available for exchange with third countries. In ge neral, it can be assumed that the importance of 
this stock increases when the im portance of other stocks which ar e used to carry out exchanges 
of fishing opportunities with Northern States decr eases, like it is curren tly the case with bleu 
whiting. 
5.4. Impact summary 
 Option 1: continue current 
management Option 3: implement management 
plan 
Positive impacts No change, current rules allow 
fishing at unchanged levels. Management of stock based on 
improved scientific assessment, stock long-term sustainability achieved as objective. Possible short-term increase or decrease in TAC. 
Negative impacts Management of stock keeps being 
based on poor scientific assessment and ad hoc  decisions leading to long-
term sustainability not assured as an objective. Rules are changed leading to possible 
short-term reduction in direct Western horse mackerel fishing. 
Direct impacts Management plan based on current 
poor assessment and ad hoc  
decisions not efficient enough to achieve long-term stock sustainability. A risk of stock going back to unsafe levels. Improved assessment and well 
informed decisions likely to result in a sustainable and stable fishery in the long term. 
Indirect impacts Negative economic, social and 
environmental impacts due to the possible stock reduction to unsafe levels and greatly reduced fishing opportunities in the long-term. Positive economic, social and 
environmental impacts due to improved efficiency of management plan leading to long-term sustainability of the stock and improved fishing opportunities. 
Economic Short-term:  No change in catches Short-term : Possible small increase or 
EN    EN impacts  and profits due to lack of assessment.
Long-term:  Possible negative 
impacts due to increased risk of fishing above safe levels. This would result in loss of profitability of the 
fishing industry. decrease in catches resulting in small 
changes in sector's profitability. 
Long-term
: Positive impacts due to 
achieving long-term stock stability based on better scientific assessment. Improved profitability of the industry. 
Social  
impacts  Short-term : No change. 
Long-term : Possible stock collapse 
following TAC allocations based on inadequate stock assessment resulting in possible decline of employment in the sector. Short-term
: No negative impact on 
employment. 
Long-term : Improved scientific 
assessment of the stock leads to better management of resources, a stable stock and maintained employment in the sector. 
Environmental impacts  Short-term
: Possible negative impact 
on the conservation of species due to insufficient scientific assessment and applying ad hoc  decisions leading to 
fishing at unsafe levels.  
Long-term
: Greater risk of possible 
decrease in stock biomass to unsafe levels, thus adverse effect on biodiversity. Short-term
: Gradual improvement in 
stock management reducing risk of fishing above safe levels.  
Long-term
: Improvement in the stock 
assessment leading to better management of stocks resulting in less negative impact of fishing on the 
biodiversity. 
6. COMPARING THE OPTIONS  
6.1. Should a long-term plan be implemented? 
Various options have been considered internally by scientific agencies. The resulting scientific 
advice, previous experience with the mackerel st ocks, and stakeholder c ontributions agree that 
introducing a long-term management to the stock of Western horse mackerel, based on TAC set 
every 3 years according to results of egg surv ey is appropriate and beneficial. DG MARE 
services agree, and further consider that this is consistent with the objectives of the Common Fisheries Policy and the Johannesburg Worl d Summit on Sustainable Development. The 
proposal includes provision to revise fishing mortality rates if scien tific advice indicates that this 
is needed, and at intervals of no less than three years. 
The choice to implement such a plan can be co mpared with continuing under present conditions. 
Option 1 : Annual ad-hoc  decision making 
 Qualitative description Quantitative description 
Economic impact 
 
Short-term costs to relevant 
enterprises Unknown, not predictable. Likely 
pressure to set fishing opportunities above sustainable Ad hoc  decisions affecting entire 
catches from the stock. 
EN    EN levels.  
Long-term costs to relevant 
enterprises Unknown, not predictable. Likely 
that pressure to set fishing 
opportunities above sustainable levels can result in stock depletion 
below maximum sustainable yield 
levels.  Ad hoc  decisions affecting long-
term productivity of the whole 
stock, i.e. up to ca. 60M€/yr. 
Social impact 
 Unknown, not predictable. 
Flexibility is retained at a decision-
making level.  
Environmental impact 
 Unknown, not predictable. 
Pressures to increase catches in the 
short term tend to lead to stock 
depletions. TAC decisions under the CFP 
have been taken on average at 
about 40% above sustainable 
levels.  
 
Option 3 : Implementation of long-term plan 
 Qualitative description Quantitative description 
Economic impact 
Short-term costs to relevant 
enterprises Short-term impacts can be 
mitigated by a limit on changes to 
TACs so long as stock levels remain good.  Not quantified, but should be 
low. 
Long-term costs to relevant enterprises Long-term costs should be kept at 
a low level by maintaining stocks 
and catches at high and stable levels. By exploiting the stock at 
maximum sustainable yield, 
costs should be low and the economic resource rent kept at a 
high level, close to or higher 
than current values. 
Social impact 
 The long-term plan should 
minimise short-term disruptions 
and ensure high and stable incomes and employment for the long-term. Maintenance of employment and 
incomes at close to current levels 
(in proportion to Western stock). 
Environmental impact 
 The plan should lead to safe and 
near-optimal exploitation of the 
stock, with a small risk of stock collapse and including 
precautionary elements. Exploitation of the stock in 
conformity with the 
precautionary approach and MSY objectives in the 
Johannesburg Implementation 
Plan. 
EN    EN DG MARE considers that retaining an annu al decision-making system unconstrained by 
considerations of sustainability would be a high-risk approach fo r the sector in the longer term. 
While the stock has not yet been depleted in the absence of a long-term plan, conditions may 
change rapidly (in this fish stock, or in others nearby) and it is consistent with the precautionary 
approach to implement a sound management pr actice in advance. Mo reover, the short-tem 
economic impact of both options (1 and 3) is  marginal according to the simulation. Option 3 
(long-term plan) might even have a slightly more  positive effect on the sector. Given that the 
sector concerned is favouring a long-term appr oach, DG MARE considers the stock to be an 
ideal candidate for implementation of a management plan.  
6.2. Alternatives concerning the biologic al indicators to be retained 
Two sets of biological data ar e available for the stock: catch- at-age data supplied by some 
Member States and the results of the egg surveys carried out every three years. Taking the results 
of the egg surveys as a biological indicator th at guides on harvest rules has been considered 
useful with regard to sustainable stock management. Catch at age data alone do not easily 
translate into management rules without a stoc k assessment. The estimates of SSB are very 
unsecure and have been subject to considerable change in the last ten years. The scientific bodies 
which follow the stock should use both, catch at age data and the results of the egg survey in 
order to better understand the dynamics of the stock. Once a fu ll stock assessment will be 
available, the management plan could easily step up to this higher level of scientific assurance. 
An alternative to including th e new biological indicat or would be to perpetuate the current 
system to use just historical data as biologica l indicator for the stock. The TAC would be kept 
stable at a level that according to that data can be considered safe for the stock. This would not, 
however, be in line with the objective of estab lishing a management approach consistent with 
MSY, since the latter requires th e regime to be flexible and th e adjustments being made as the 
status or trends of the stock indicate bei ng appropriate. Retaining this option would mean 
ignoring the possibility of a substant ial increase of the stock thanks  to a particularly strong year-
class, as seen in 1982. 
DG MARE favours the idea of incorporating the e gg survey data into the stock assessment on 
the basis that this is the option most likely to help improve assessment of the stock and introduce 
management most appropriate to its optimal pr oductive levels according to MSY and therefore is 
most effective in environmental and long-term economic terms, for as long as more precise 
scientific assessments are not available.  
6.3. What provision should be made if the st ock should fall below the minimum level? 
As outlined in the descri ptive part on option 3, the long-term plan involves a very low risk of the 
stock falling below the proxy used to represent a minimum stock size. The very fact that the 
management will be based on indicators rather th an full stock knowledge brings with it the 
increased amount of uncertainty as to the reliabili ty of this method and the future developments. 
As the risk analysis is based on a large num ber of unknown or estimated factors, a timely 
revision of the impact of the plan is foreseen, already after the second adaptation of the three-
year TAC.  
6.4. What additional provisions should be included concerning control measures? 
The control environment and general direction on  control policy has been described in chapter 
4.1.3.6.2. Four elements of an enhanced control ar e being considered for legislative action in 
connection with the horse mackerel:  
• The specific control Regulation mentioned before  does not cover the stocks off the Iberian 
Peninsula. However, the management plan woul d cover the full Western stock's distribution, 
EN    EN including the area North of Spain. With a view to have the same contro l standards applying to 
all landing sites of Western horse mackerel, and to maintain a level playing field in 
competitive terms, the Commission considers extending the scope of that Regulation towards the areas around the Iberian Peninsula. The cont rol standards are alrea dy established in the 
Netherlands, Denmark, Sweden, Germany, the Un ited Kingdom, France and Ireland, and the 
benchmarks are partly being already met. For Sp ain and Portugal, the extension of the control 
provisions would probably entail additional expenses. Those cannot be estimated, as it is not 
known how big an effort would be necessary in  order to arrive at the agreed control 
benchmarks. In particular, a large amount of la ndings in these Member States will be below 
the threshold of 10 tonnes; 
• Special fishing permits, aiming at reducing area misreporting concerning the different stocks; 
• Fixing a minimum amount of fish that would be deducted from the TAC in order to account 
for discards in case were the information base is not sufficient for scientists to estimate the 
discards in the fishery. Placed within the harv est rule, such a provision would present an 
incentive for better observer c overage and catch reporting to scientific bodies, so that the 
amount of real discards can be deducted; 
• A provision that translates into the horse mackerel fishery and accentuates the existing 
Member State obligations to car ry out data cross-checks, wi thout introducing new inspection 
benchmarks, as those are covered by the spec ific control regulation mentioned before. 
Detected overshooting of the TA C and subsequent remedial ac tion would be subject to the 
general provisions applicable in this case, in cluding deductions from ne xt year's TAC as now 
proposed by the new Control Regulation (Chapt er III, document CO M(2008)721 final). The 
proposal would interlink with these provi sions of the new Control Regulation.  
6.5. Should a limit be imposed on varia tions in TACs between years? 
The Commission is committed to deliver TACs th at correspond to scientific advice but at the 
same time these TACs should aim at stability (not too large a variation  from year to year) in 
order to ensure stability in fisheries. Scientif ic advice allows for the possibility of limiting TAC 
variations between years when the stock bioma ss is above Precautionary Levels (Bpa). This 
limitation can be applied in an ad-hoc  way, but its application could be formalised if the stock 
requires it. The question th erefore arises whether a TAC limitation constraint  should be built into 
option 3 on developing a long-term management pl an. The characteristics of such a constraint 
can be summarised as follows: 
Alternative (i) : Unlimited TAC variations 
 Qualitative description Quantitative description 
Economic impact 
 
 Unforeseen variations in survey 
efficiency can lead to large 
variations in scientific assessments 
and so to large variations in TAC. This leads to market instability. In the absence of constraints, 
unnecessary variations in TAC 
of up to 40% could be expected. 
Social impact 
EN    EN  Large variations in TACs can 
cause large variations in earnings 
and hence in social instability and disruption. 
Stakeholders have strongly 
requested a constraint on TAC changes. Not quantified. 
Environmental impact 
 Large changes in TACs can be 
necessary if stocks are depleted to 
minimum levels or are at risk of 
approaching them. However, if 
stocks are in good state such changes are not necessary for 
effective stock management. Scientific assessment indicates 
that large TAC changes are not 
needed when spawning stock 
size is above Bpa. 
 
Alternative (ii) : +/- 15% limit on TA C variations at high stock levels 
 Qualitative description Quantitative description 
Economic impact 
 
 Constraining TAC changes to 
small values can help stabilise 
markets and assist in the forward planning of enterprises catching 
and marketing fish. This leads to 
lower costs. 
The extent of cost reduction cannot 
be quantified. Scientific simulation studies 
have indicated that TAC changes 
can be limited to +/-15% so long as stocks are at a healthy level. 
However, a TAC variation 
constraint of +/- 15% generally reduces the long-term yield from 
the stock, as shown in scientific 
model calculations. 
Social impact 
 Reduced variations in TACs can 
stabilise earnings and employment 
and hence avoid social instability and disruption. 
Stakeholders have strongly 
requested a constraint on TAC changes. Not quantified. 
Environmental impact 
 Reduced changes in TACs can be 
consistent with good fish stock 
management so long as the possibility to make large changes if 
the stock falls below a warning 
level is retained. In such cases the stocks can still be exploited with Scientific assessment indicates 
that large TAC changes are not 
needed when spawning stock size is above Bpa.  
EN    EN high and stable yields. 
As regards the management plan proposed by DG  MARE, firstly, the harvest rule would provide 
a TAC which is constant during a three-year-period, thus providi ng highest possible stability 
within this period. Secondly, when egg survey data  are available every three years, the variation 
in the TAC would be limited by two factors: Firstl y, half of the TAC would be established by the 
baseline TAC of 150,000 tonnes cons idered as being sustainable in  the short term by scientific 
agencies since several years. Secondly, the increase and decrease in the TAC coming from a variation of the other half of th e TAC calculation formula, being ba sed on the last recorded TAC, 
in function of the variation of the egg abundan ce would be limited as well in two ways: For the 
egg abundance indicator, the trend would be take n from the three latest egg surveys, thus 
covering a trend period of six ye ars. And, the indicator  would not fluctuate freely, but between 
the values 0 and 1.4, thus allowing the second half  of the TAC calculation formula to fluctuate 
between 0 and 140% of the last recorded TAC. Fo r instance, if the slope in the egg surveys is 
neither increasing nor decreasing, the factor to be  applied will be 1, thus resulting in the second 
half of the TAC calculation being eq ual to the latest TAC reference. 
In view of these safeguards ensuring stability , the sector has not as ked for a maximum annual 
TAC fluctuation of 15%. Neither has it been retained within option 3. 
7. M
ONITORING AND EVALUATION  
The indicators of successful operation of this plan are that: 
1. biologically 
• approximate spawning stock biomass has been maintained above its 1982 level and 
above a precautionary biomass level (about  130% of the 1982 spawning stock size). 
2. socio-economically 
• catch levels have increased together with the biological indication of increased stock 
abundance, and vice versa; 
• discarding and misreporting do not increase in a period of increased stock abundance 
and could be taken into account  in the TAC-setting process. 
3. Further evaluation criteria are that:  
• knowledge about the stock increases due  to cooperation with the sector; 
• uncertainties and bias in the fishery and biological system remain within the bounds 
of those tested; and 
• assumptions made in the simulation testing phase are still valid. 
A harvest control rule designed in such a way and applied rigorously should safeguard against 
stock depletion. However, as simulations ar e based on past stoc k dynamics, and cannot 
guarantee future developments, it is a normal c ondition of most management plans with HCRs, 
that such HCRs be re-eva luated on a regular basis. 
The plan will be reviewed and re-evaluated  on six yearly intervals to ensure that: 
1. SSB has been maintained above SSB1982 and above a precautionary biomass level 
(about 130% of the 1982 sp awning stock size);  
EN    EN 2. assumptions made in the simulation testing phase are still valid, and the impact of the 
rule will be tested again using a model that takes account of all factors known and 
relevant at the time of evaluation. 
Should advice from STECF and ICES indicate that  the plan is not reach ing its objectives, a 
review process will be initiated by DG MARE. 
Concerning specific control issues, cross-national coordination of inspection activities is to be 
established by the new CFC agency. Additionally, the inspectors of DG MARE will follow-up 
and review the implementation of fisheries control measures by Member States which obligatorily need to have a focus on th e implementation of long-term plans. 
EN    EN ANNEX 1: DISTRIBUTION OF HORSE MACKEREL IN THE NORTHEAST -ATLANTIC . 
 
Stock definitions as used by the 2004 ICES WGMHSA (Anon., 2004) . Note that the “Juvenile 
Area” is currently only defined fo r the Western Stock distribution area – juveniles do also occur 
in other areas (like in Div. VIId). Map sour ce: GEBCO, polar projection, 200 m depth contour 
drawn. 
EN    EN ANNEX 2: DRAFT LONG -TERM PLAN FOR THE WESTERN STOCK OF ATLANTIC HORSE 
MACKEREL – CALCULATING A SLOPE FOR YEARS 1, 2 AND 3. 
The proposed Regulation would govern the setting of  total allowable catche s (TAC) according to 
a harvest control rule (HCR) that would allow high and stab le catches over the long term.  
The TAC would be set accordi ng to the following rules: 
1. The TAC would be set for 3 years followi ng the year of the most recent survey; 
2. The TAC would be fixed at the se t level for a period of 3 years; 
3. In the event of the TAC bei ng overshot in any year in the fixed period, the overshoot (as 
estimated by ICES) would be subtracted from  the following years TAC (this needs to be 
tested by simulation); 
4. In the event of a survey result not being av ailable, ICES would be asked to advise on 
the state of the stock and on exploitation boundaries consistent with the Precautionary 
Approach. 
5. The TAC will be set according to the following rule: 
 
Where TAC ref=150,000 t and sl is a function of the slope of the most recen t egg abundance estimates from 
surveys  
The factor representing the slope (sl) would be calculated as shown in the following picture: 
 
EN    EN ANNEX 3: REORGANISATION OF TAC  AREAS AS A CONDITION PRECEDENT TO A LONG -TERM 
PLAN FOR THE WESTERN STOCK OF ATLANTIC HORSE MACKEREL . 
Existing management areas for TAC-setting 
Horse mackerel is being caught in coastal EU  waters under three different annual TAC-rules44 
(three further TACs concern the Span ish and Portuguese A tlantic Islands): 
– the EC-waters of the Norwegian Sea (division II a) and the North Sea (sub-area IV): Northern 
area, 
– the EC-waters West of Scotland and Ireland (VI and VIIbc), the Irish Sea (VIIa), the Celtic 
Sea (VIIf-k), the English Channe l (VIIde), the Biscay (VIIIab a nd VIIIde), and international 
waters of the North Atlantic up to Green land (Vb, XII and XIV): Western area, and 
– Atlantic waters off Portugal and Spain (d ivisions IXa and VIIIc): Southern area. 
The TACs and catches are highest in the We stern area, followed by the Southern area.  
The need for a review of the TAC-areas 
Advice areas do not coincide with  TAC-areas: ICES advice is give n for the biological stocks, 
which are the discrete sub-popul ations of the species concer ned that show a degree of 
reproductive isolation from each other in space or  time or both. The distribution of biological 
stock is being described using ICES sub-areas a nd divisions. These areas do not coincide with 
the current TAC-areas (see Table below). 
The biological basis for the new stock areas has been developed fr om various biological 
examinations undertaken in the last decades45, in particular by a large EC-funded project in 
200346. The mismatch of areas con be summarised as shown in table 1: 
                                                 
44 Total Allowable Catch in weight is being decided by  the Council on a yearly basis. See for the latest 
decisions the Council Regulation (EC) No 41/2008 of December 21, 2007. 
45 For an overview, see: ICES report 2002 of the st udy group on stock identity of mackerel and horse 
mackerel, CM/H:4; ICES WGMHSA report 2003, CM 2003/ACFM:07; ICES WGMHSA report 2004, CM 
2004/ACFM:08; ICES WGMHSA report 2007, CM 2007/ACFM:31; Zimmermann, Biologie des Stöckers 
in Nordsee und Nordostatlantik, Inf. Fischwirtsch. Fi schereiforsch. 46(4), 1999. Abaunza et al., Horse 
mackerel: Identification of stocks, Fi sheries Research 89(2008)  2, 101; idem et al, Stock identity of horse 
mackerel (Trachurus trachurus) in the Northeast Atlantic and Mediterranean Sea: Integrating the results 
from different stock identificaqtion approaches, Fisheries Research 89 (2008) 2, 196. 
46 HOMSIR project 2000-2003, A multidisciplinary approach using genetic markers and biological tags in 
horse mackerel ( trachurus trachurus ) stock structure analysis, project no° QLK5-Ct1999-01438. 
EN    EN Table 1 
ICES-division 
concerned Allocation to 
existing TAC-area Biological observation as 
reviewed by ICES and ICES working groups Allocation in the ICES-
advice 
VIIIc North and Northwest Spain Southern area 
(VIIIc, IXa)  Inhabited by the Western stock, 
exchange between stocks not specified Western stock (IIa, IVa, 
Vb, VI, VIIa-c, VIIe-k, VIIIa-e) 
VIId Eastern English Channel Western area 
(VI, VII, VIIIab, VIIIde, Vb, XII, XIV) Inhabited by the Northern stock 
for overwintering, overlap with the Western stock possible Northern stock (IIIa 
Eastern part, IVbc, VIId) 
IIa Norwegian Sea and IVa Northern North Sea Northern area 
(IIa, IV) Inhabited by the Western stock in 
autumn, in first and second quarter presence of Northern stock possible Western stock (IIa, IVa, 
Vb, VIa, VIIa-c, VIIe-k, VIIIa-e) 
IIIa Skagerrak and Kattegat none Presence of the Western stock in 
autumn; catches in winter/ spring in the Western part and catches in the Eastern part likely attributable to the Northern stock Eastern part to the 
Northern stock, Western part to the Western stock 
The problem of a mismatch between TAC-area and advice-area 
The inconvenience caused by the area mismatch has several facets: 
The TAC-setting shall be science-based . If scientific advice is given for a stock area that is 
covered by various TAC-areas, the TAC-setting as a management tool is not able to correlate 
directly with the scientific advice. 
This fact is of particular importance in the cont ext of management plans that set harvest control 
rules based on a scientific me thod. Such a management plan  is envisaged for the Western stock 
of horse mackerel, and it cannot be implement ed without an alignment of the TAC-areas.  
Proposed modifications to the TAC-areas 
The Commission considers a reallocation of divisi on VIIIc (North and Northwest Spain) to the 
Western area, of division VIId (Eastern English Channel) to the Northern area and of divisions 
IIa as well as IVa to the Western area to be necessary. This will bring the TAC areas into line 
with scientific advice and allow the implementa tion of a long-term plan for the Western Stock. 
Division IIIa would not be included in  this reallocation exercise at this stage, but will be subject 
to future work especially in the cont ext of EC-Norway b ilateral relations.  
Neither does the Commission at this stage intend to  extend this exercise to Norwegian waters in 
general. Further work will be needed before harvest rules can be established that cover the whole area of stock distribution. 
The following table illust rates the reorganisation of the TA C areas based on a method that is 
being discussion with Member States in the context of frontloading the 2009 TAC&Quota 
EN    EN Regulation. It contains averages TACs from th e last ten years and a simulation based on the 2008 
TAC figures. 
Table 2 
Modified average TACs and projected TACs  under the new system (based on 2008 TAC), 
in tons:  
In tonnes Old average New average 2008 fishing 
possibilities as currently applied 
(excluding 
countries not participating in the quota key) Simulated 2008 
fishing possibilities for new areas 
(excluding 
countries not participating in the quota key) 
Western TAC 204900 233546 167920 185247 
Northern TAC 52599 44467 36480 35271 
Southern TAC 73000 52486 57750 41632 
Sum 330499 330499 262150 262150 
EN    EN GLOSSARY  
B 
biomass – the total weight of living matter, either by species or all species combined. Also 
referred to as the standing stock. 
Blim  – see limit reference points. 
Bmsy  – the spawning stock biomass (SSB) necessary to support a fishery that would produce the 
maximum sustainable yield (MSY). 
Bottom trawling  - trawling (towing a trawl, which is  a fishing net) along the sea floor. 
Bpa – see limit reference points. 
by-catch  – the catch of non-target speci es and undersized fish of th e target species. By-catch of 
commercial species may be retained or di scarded along with non-co mmercial by-catch. 
C 
catch (C)  – the total quantity of fish that is retain ed by fishing gear and brought onto the deck or 
fishing station, ie land ings plus discards. 
CFP – the Common Fisheries Policy of the Europ ean Union (as revised in: Council Regulation 
3760/92). It provides the framework for the management of the EU fishery sector, including all 
marine fisheries within 200 miles of member states’baselines. 
collapsed stock  – the decline in spawning stock biom ass (SSB), through sustained fishing 
pressure or natural causes, to the point where it no longer generates sufficient recruits to support 
a fishery. 
D 
demersal  – species of fish that live  on, or in close proximity to, the seabed, eg flatfish, cod, 
haddock. The term also applies to fishi ng gear that is worked on the seabed. 
depleted stock  – the decline in spawning stock biomass (SSB ) to a level that is approaching, or is 
below, the lowest historic record but has not ne cessarily reached the point  of collapse. (See also 
limit reference points and sa fe biological limits.) 
discards  – any fish, or other living matter caught when fi shing, that is not reta ined but returned to 
the sea – alive or dead. 
effort (f)  – the total quantity of fishing gear in use for a specific period of time (Ricker 1975). 
Effort can be expressed in a multitude of ways : days away from port, hours trawling, length of 
drift net, number of hooks used, and so on. At its  most basic, it is th e total number of boats 
engaged in a fishery and/or the number of days they were fishing. 
environmentally sustainable fisheries  – fisheries that safeguard th e requirements of all animals 
and plants within an ecosystem or habitat and do not cause irreve rsible or other significant, long-
term change to the environment or the communities  of species that live within that environment. 
exploitation pattern  - the distribution of fishing mortality over the age composition of the fish 
population, determined by the type of fishing gear , area and seasonal dist ribution of fishing, and 
the growth and migration of the fish. The patte rn can be changed by modifications to fishing 
EN    EN gear, for example, increasing mesh or hook size,  or by changing the ratio of harvest by gears 
exploiting the fish (e.g., gill net, trawl, hook and line, etc.).  
F 
F – formally, the instantaneous rate  of fishing mortality (the natu ral logarithm of the change in 
abundance due to fishing per unit  of time), but more simply, the proportion of  the population 
killed each year by fishing. 
Figure 8 : A generalised yiel d-per-recruit (YPR) 
curve showing the point at which the fishing mortality rate (F) is e quivalent to the maximum 
sustainable yield (Fmsy) and the point at which the slope of the curve is approximately 10% the slope of F=0, ie F 0.1.  
fish stock
 – scientifically, a population of a 
species of fish that is is olated from other stocks 
of the same species and does not interbreed with 
them and can, therefore, be managed independently of other stocks (cf gene pool). 
However, in EU legislation the term ‘stock’ is us ed to mean a species of fish living in a defined 
sea area, the two are not alwa ys synonymous (Holden 1994). 
fishery conservation
 – the conservation and sustainable use of exploited fish stocks. It is the 
principal objective of UK and EU  fisheries legislation; fisher y management is the primary 
method through which the objective is pursued. 
fishing effort  – see effort. 
fishing mortality rate  – see F.  
Flim  – see limit reference points. 
FMSY – the level of fishing mortality (F) that corresponds to the peak value on a dome-shaped 
yield-per-recruit curve and the value that wi ll produce the maximum su stainable yield (MSY) 
from a fish stock (Fig. 8 & 10). 
Fpa – see limit reference points. 
I 
ICES  – the International Council for encourages res earch into commercial th e Exploration of the 
Sea, an fish stocks, their biol ogy and all factors independent sc ientific advisory body (natural 
and man made) that may founded in 1902. It is f unded by 19 affect their abundance. It does not 
member states’ governments from undertake rese arch in its own righ t but around the North 
Atlantic (including has a secretar iat (in Copenhagen) to Canada a nd the USA) and Baltic Sea. It 
facilitate and co-ordin ate collaboration, including fishery stockassessments, between member 
states. Work is carried out through numerous working groups convened under the remit of one or more standing committees: 
Advisory Committee of Fisheries Management (ACFM), Advisory Committee for the Marine 
Environment (ACME), Baltic Committee, Fisher ies Technology Committee, Living Resources 
Committee, Mariculture Committee, Marine Habitat Committee, Oceanography Committee, 
Resource Management Committee. 
J 

EN    EN juvenile – an immature fish, ie one that  has not reached sexual maturity  (but could still be larger 
than the minimum landing size – MLS). 
L 
landings  – that part of the catch wh ich is put ashore. Frequently, landings provide the only record 
of total catch; ie the landings plus discards. 
limit reference points  – are biological or fisher y management indicators th at define the point at 
which precautionary action must be taken to sa feguard a fish stock. In order for stocks and 
fisheries exploiting them to be within safe biological limits, there should be a high probability 
that: 1 – the spawning stock bi omass (SSB = B) is above the threshold where recruitment is 
impaired; 2 - the fishing mortality (F) is below that which will drive the spawning stock to the 
biomass threshold, a condition that must be a voided. Thus: Blim = minimum acceptable biomass 
Flim = maximum acceptable fishing mortality (lim stands for ‘limit’).The certainty with which 
these points can be identified varies with the qua lity of assessment data available. Therefore, 
ICES has also identified precautionary reference points that identify higher biomass thresholds 
than Blim and lower fishing mortality thresholds than Flim: 
Bpa = precautionary minimum biomass  Fpa = precautionary maximum fishing mortalit y (pa stands for precautionary approach). 
In many instances, the value for Bpa will be the same as the value previously identified 
as the minimum biologically acceptable limit – MBAL (ICES 1998a an d ICES Current). 
In circumstances where the relationship be tween the exploited st ock and the spawning 
stock is not clear, as is the case with some  of the deep-water species of fish, limit 
reference points may be expressed with  respect to the ‘unexploited stock’: 
M 
MSY  - Maximum Sustainable Yield: the largest av erage catch that can bet taken continuously 
from a stock under existing environmental conditi ons (Fig. 8). (For species with fluctuating 
recruitment, the maximum might be obtained by taking  fewer fish in some ye ars than in others). 
Also known as maximum equilibrium catch (Ricker 1975). (see also Figure 8). 
misreporting  – the inaccurate recording of catches in EU fishing log books or comparable 
reporting systems. Among the more common pract ices are under-reporting the quantity of fish 
caught or reporting the catch as being taken in a different area from the one in which it was 
actually made. The latter example is most widesp read when the quota for a species in one ICES 
Division has been taken but quota  is still available in an ad jacent Division. (See also under-
reporting and black-fish.) 
mixed fishery  – a fishery that takes multi-species catches . Pelagic fisheries tend to take relatively 
‘clean’single species catches whereas multi-species catches are more frequent in demersal fisheries.  
monitoring
 – the regular and systematic collection of  environmental and biological data by 
agreed methods and to agreed st andards. Monitoring provides information on current status, 
trends and compliance with respect to declared standards and objectives. (See also surveillance.)  
mortality  – the death of organisms through natural causes (M), eg predation, or fishing (F) etc. It 
is usually expressed as an inst antaneous rate: the natural logarithm (with sign changed) of the 
ratio of number of animals surviving to the end of the year and the number at the start of the year 
(Ricker 1975). 
EN    EN O 
over-fishing  – any fishery where the total fishing effort  is greater than is required to meet or 
match a specific management objective, eg maxi mum sustainable yield (MSY). (See also growth 
overfishing and recruitment overfishing.) 
P 
pelagic fish  - fish that live in the pela gic zone, i.e. a layer in the sea/ocean close to surface. 
Pelagic stocks can be contrasted with demersal fish, which is a fi sh that feeds on  or near the 
bottom of the ocean or a deep lake in the demersal zone. 
precautionary approach  – a decision to take avoiding action based on the possibility of 
significant environmental damage, even before th ere is conclusive evidence that damage will 
occur (DOE 1992). This approach requires fi shery managers to pa y due regard to the 
uncertainties of stock assessment and manage ment. They must implement the appropriate 
precautionary action if limit reference points are reached. 
purse seine  – a common type of seine, named such  because along the bottom are a number of 
rings. A rope passes through all the rings, and when  pulled, draws the rings close to one another, 
preventing the fish from "sounding", or swimming down to escape the net. This operation is 
similar to a traditional style purse, which has a drawstring. It is a preferred technique for 
capturing fish species which scho ol, or aggregate, close to th e surface: such as sardines, 
mackerel, anchovies, herring, certa in species of tuna (schooling); and salmon soon before they 
swim up rivers and streams to spawn (aggregation) . Boats equipped with pur se seines are called 
purse seiners. 
seine  - a large fishing net  that hangs vertically in the water by attaching weights along the bottom 
edge and floats along the top. Boats equipped for se ine fishing are called seiners. Seine nets are 
usually long flat nets like a fen ce that are used to encircle a sc hool of fish, with the boat driving 
around the fish in a circ le. There are two main types of seine nets: purse seines  and Danish 
seines . 
precautionary approach  – a decision to take avoiding action based on the possibility of 
significant environmental damage, even before th ere is conclusive evidence that damage will 
occur (DOE 1992). This approach requires fi shery managers to pa y due regard to the 
uncertainties of stock assessment and manage ment. They must implement the appropriate 
precautionary action if limit reference points are reached. 
S 
Spawning Stock Biomass  – see SSB. 
SSB– spawning stock biomass: the total weight of all sexually mature fish in a population or 
stock. It is the sexually mature part of an e xploited population upon which the future survival of 
the stock, and its fishery, depends. 
STECF  – the Scientific, Technical and Economi c Committee on Fisheries of the EC, DG 
Fisheries (Fig. 2). Unlike ICES working groups and ACFM (Fig. 3) which only consider stock 
assessments and management from a scientific pe rspective, the STEFC is expected to consider 
the socio- economic implications of modifying or varying scientific, including ICES’ advice. 
stock biomass  – the total weight of all fish of all ages in a given population or stock. 
EN    EN sustainability  – meeting the needs of the present wit hout compromising the ability of future 
generations to meet their own needs (WCED 1987 – the Brundtland Report).  
sustainable fisheries  – fisheries with an annual catch, including discards, that does not exceed the 
surplus production of the stock (ie annual grow th plus recruitment less the annual natural 
mortality – M). Fisheries can be sustainable at le vels of stock significantly below the stock that 
would support MSY or MEY but only if managers pay full regard to limit reference points. (See 
also environmentally sustainable fisheries .) 
T 
TAC  – total allowable catch, the quantity of fish that can be taken from each stock each year. 
The figure is agreed by the Fisheries Council of Ministers each December for the following year. 
EU member states are allocated  a fixed proportion of the TAC as  their national quota. (See also 
relative stability and track record.)  
target species  – the primary species of fish that a fi shing vessel aims to catch during a given 
fishing operation. In pelagic fisheries this can be  a single species, eg herring or mackerel, but it 
is usually a group of species in demersal fish eries, eg cod and whiting or plaice and sole. 
U 
under-reporting  – failure to meet the legal requirement under the CFP to report fully and 
accurately all the fish that have been caught and landed. (MLS). It is an offence for anyone to 
(See also misreporting) retain or  offer for sale undersize fish.