Enhancing the Governance of Tropical Fisheries at A
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ENHANCING THE GOVERNANCE OF TROPICAL FISHERIES AT A LARGE SPATIAL SCALE: CONCEPTUAL APPROACHES, CASE STUDIES AND FINANCING CONSIDERATIONS IN WEST AFRICA AND THE WESTERN AND CENTRAL PACIFIC OCEAN by John Virdin A dissertation submitted to the Faculty of the University of Delaware in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Marine Studies Spring 2016 © 2016 John Virdin All Rights Reserved ProQuest Number: 10156554 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion. ProQuest 10156554 Published by ProQuest LLC ( 2016 ). Copyright of the Dissertation is held by the Author. All rights reserved. This work is protected against unauthorized copying under Title 17, United States Code Microform Edition © ProQuest LLC. ProQuest LLC. 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, MI 48106 - 1346 ENHANCING THE GOVERNANCE OF TROPICAL FISHERIES AT A LARGE SPATIAL SCALE: CONCEPTUAL APPROACHES, CASE STUDIES AND FINANCING CONSIDERATIONS IN WEST AFRICA AND THE WESTERN AND CENTRAL PACIFIC OCEAN By John Virdin Approved: __________________________________________________________ Mark A. Moline, Ph.D. Director of the School of Marine Science and Policy Approved: __________________________________________________________ Mohsen Badiey, Ph.D. Acting Dean of the College of Earth, Ocean, and Environment Approved: __________________________________________________________ Ann L. Ardis, Ph.D. Senior Vice Provost for Graduate and Professional Education I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy. Signed: __________________________________________________________ Biliana Cicin-Sain, Ph.D. Professor in charge of dissertation I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy. Signed: __________________________________________________________ Ishac Diwan, Ph.D. Member of dissertation committee I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy. Signed: __________________________________________________________ Sunny Jardine, Ph.D. Member of dissertation committee I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy. Signed: __________________________________________________________ George Parsons, Ph.D. Member of dissertation committee I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy. Signed: __________________________________________________________ Linwood Pendleton, Ph.D. Member of dissertation committee ACKNOWLEDGEMENTS I would like to take this opportunity to sincerely and deeply thank my Advisor, Dr. Biliana Cicin-Sain, for her constant guidance and support throughout this research, it has been a wonderful learning experience. I would also like to thank the members of my committee for their generous support during this effort: Dr. Ishac Diwan, Affiliate at Harvard University’s Belfer Center and Chaire d’Excellence Monde Arabe at Paris Sciences et Lettres Research University; Dr. Sunny Jardine, Assistant Professor in the School of Marine Science and Policy, University of Delaware; Dr. George Parsons, Professor in the School of Marine Science and Policy, University of Delaware and Dr. Linwood Pendleton, International Chair of Excellence at the European Institute for Marine Studies, University of Brest. I would also like to thank Mary Barton-Dock, Special Envoy to Haiti, Idah Pswarayi- Riddihough, Director and Sari Soderstrom, retired, from the World Bank, for their support and encouragement to pursue this research while working under their direction. Finally, I would like to take this opportunity to thank my wife Hilary, without whom my research would never have been possible. v TABLE OF CONTENTS LIST OF TABLES ...................................................................................................... viii LIST OF FIGURES ....................................................................................................... xi ABSTRACT ................................................................................................................ xiv Chapter 1 INTRODUCTION .............................................................................................. 1 1.1 Context for the Research ........................................................................... 1 1.2 Research Question ..................................................................................... 6 1.3 Methodology and Format of the Dissertation ............................................ 7 2 STATEMENT OF THE PROBLEM ................................................................ 18 2.1 The Context: the Ocean Environment and the Fish Stocks it Supports .. 18 2.2 Major Actors: the Diversity of Fisheries Systems that have Developed throughout the Ocean .............................................................................. 32 2.3 Description of the Problem: the Current Status of many Ocean Fisheries Systems as Overfished ............................................................. 40 2.4 Historical Development of the Problem: the Increase in Overfishing in the Ocean since the 1950s ....................................................................... 53 2.5 The Rationale for Solutions: Reducing Overfishing often leads to a Recovery of Fish Stock ........................................................................... 59 3 A CONCEPTUAL FRAMEWORK FOR ASSESSING OCEAN FISHERIES GOVERNANCE REFORM ........................................................ 62 3.1 Historical Development of the Governance Concept as a Response to the Overfishing Problem ......................................................................... 66 3.2 Description of the Concept of Ocean Fisheries Governance ................... 98 3.3 Introducing Dynamism to the Ocean Fisheries Governance Concept: Reform ................................................................................................... 190 4 EMPIRICAL REVIEW OF CASE STUDIES IN LARGE-SCALE TROPICALFISHERIES GOVERNANCE REFORM ................................... 229 vi 4.1 A General Empirical Review of the World Bank’s Portfolio of Investments in Tropical Fisheries Governance Reform ........................ 229 4.2 Empirical Review of Governance Reforms Financed by the First Phase of the West Africa Regional Fisheries Program ......................... 264 4.3 Empirical Review of Governance Reforms Undertaken in the Western and Central Pacific Islands .................................................................... 342 4.4 Comparison of Indicators for Ocean Fisheries Governance Reforms Supported in 5 World Bank Projects ..................................................... 377 5 DISCUSSION AND CONCLUSIONS .......................................................... 393 5.1 Discussion of Results ............................................................................ 395 5.2 Conclusions ........................................................................................... 400 REFERENCES ........................................................................................................... 412 vii LIST OF TABLES Table 1. Top species and species groups recorded by FAO as caught commercially in 2012 (44% of total) ...................................................... 35 Table 2. Net producers and consumers of fish products in 2012* ........................ 37 Table 3. Summary of historical development of the concept of governance as part of the solution to the overfishing problem ....................................... 95 Table 4. Selected international policy statements of principles relevant to ocean fishery systems ...................................................................................... 108 Table 5. Summary of fisheries objectives and targets in Agenda 21 and the Johannesburg Plan of Implementation .................................................. 116 Table 6. Summary matrix of common horizontal characteristics of policies for governance of ocean fishery systems .................................................... 153 Table 7. Summary of Ostrom's classification of rules based on the 'intention or aim' ........................................................................................................ 168 Table 8. Summary matrix of the common characteristics of rules for tenure in ocean fishery systems ............................................................................ 181 Table 9. Summary matrix of the common characteristics of governance organizations in ocean fishery systems ................................................. 187 Table 10. Summary of the common vertical and horizontal characteristics frequently used