TROPICAL AGRICULTURAL RESEARCH and HIGHER EDUCATION CENTER Diagnosing Collective Action in Small-Scale Fisheries for the Establi
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TROPICAL AGRICULTURAL RESEARCH AND HIGHER EDUCATION CENTER DIVISION OF EDUCATION POSTGRADUATE PROGRAM Diagnosing collective action in Small-Scale Fisheries for the establishment and management of Marine Areas of Responsible Fishing (AMPR) in the Gulf of Nicoya, Costa Rica. By Isis Ivania Chávez Carrillo Thesis submitted for consideration by the Division of Education and Postgraduate Program as a requirement to qualify for the degree of: Magister Scientiae in: Economics, Development and Climate Change Turrialba, Costa Rica 2018 II DEDICATORY To my parents, Tomás Chávez and Evangelina Carrillo, for their love and unconditional support. To Carlos Palacios, for his support and for sharing special moments with me. III ACKNOWLEDGEMENTS To Stefan Partelow, for guiding and motivating me throughout the process. To Róger Madrigal and Isabel Gutiérrez for their confidence, support and motivation. To Achim Schlüter, for his attention, kindness and support. To all the people in the communities for sharing their time and knowledge, and for their valuable contribution in providing information that made this research possible; and to governmental, non-governmental institutions and research centers which provided valuable information. To Anne and Vignesh at ZMT, for supporting each other throughout the research process. To my friends and colleagues at CATIE, for learning and sharing unforgettable moments during our academic process together. To the DAAD scholarship program, for providing me this valuable opportunity to improve my knowledge and experience unforgettable moments. To my professors at CATIE, for giving me tools to address socioeconomic and environmental challenges with wisdom. IV INDEX 1. Introduction and research synthesis .................................................................................... 1 1.1 Introduction ................................................................................................................... 1 1.2 Research Objectives ...................................................................................................... 3 1.2.1 General objective.................................................................................................... 3 1.2.2 Specific objectives.................................................................................................. 4 1.3 Research questions ........................................................................................................ 4 1.4 Theoretical framework .................................................................................................. 4 1.5 Results Synthesis .......................................................................................................... 8 1.6 Conclusions and recommendations............................................................................... 9 1.7 References ................................................................................................................... 10 2. Diagnosing collective action in Small-Scale Fisheries for the establishment and management of Marine Areas of Responsible Fishing (AMPRs) in the Gulf of Nicoya, Costa Rica ............................................................................................................................. 15 2.1 Introduction ................................................................................................................. 16 2.2 Methods....................................................................................................................... 20 2.2.1 Exploratory research to guide case selection ....................................................... 20 2.2.2 Data collection...................................................................................................... 21 2.2.3 Data analysis ........................................................................................................ 22 2.3 Results ......................................................................................................................... 23 2.3.1 Influencing factors for the creation of AMPRs .................................................... 24 2.3.2 Collective action in AMPR management ............................................................. 27 2.3.3 Comparative analysis of collective action in AMPRs .......................................... 31 2.4 Discussion ................................................................................................................... 34 2.4.1 Collective action implications .............................................................................. 34 2.4.2 Co-management implications as governance strategy ......................................... 35 2.4.3 SES framework application .................................................................................. 36 2.5 Conclusion .................................................................................................................. 37 2.6 References ............................................................................................................... 38 Annex.................................................................................................................................... 46 Annex 1. Open-ended interview and observation protocol .............................................. 46 V Annex 2. Characteristics of seven AMPRs in the gulf of Nicoya, considered for case selection ............................................................................................................................ 51 Annex 3. Semi-structured interviews protocol developed with key informants ............... 53 Annex 4. Key informants approached in fieldwork .......................................................... 61 Annex 5. Adapted Social-Ecological System Framework. Source: McGinnis and Ostrom 2014................................................................................................................................... 62 Annex 6. Indicators to determine the influence of factors on collective action in AMPRs ........................................................................................................................................... 64 Annex 7. Factors influencing collective action for Isla Caballo AMPR .......................... 66 Annex 8. Factors influencing collective action for Palito-Montero AMPR management 67 Annex 9. Factors influencing collective action for Distrito Paquera-Tambor AMPR management ...................................................................................................................... 68 TABLES INDEX Table 1. Semi- structured interviews conducted during field research. .................................... 22 Table 2. Three study sites in the Gulf of Nicoya. Source: this study. ....................................... 24 Table 3. Factors influencing collective action in the three AMPRs of the study ...................... 31 Table 4. Comparison of variables affecting collective action in AMPRs ................................. 32 Table 5. Main similarities and differences of factors affecting collective action on three AMPRs ...................................................................................................................................... 32 FIGURES INDEX Figure 1. Social-ecological system framework. Source: McGinnis and Ostrom (2014). ............ 6 Figure 2. Map of AMPRs in study in the Gulf of Nicoya, Costa Rica. Source: this study. ...... 18 Figure 3. Social-Ecological System framework. Source: McGinnis and Ostrom (2014). ........ 19 Figure 4. Main common factors that promoted collective actions for the creation of the three AMPRs ............................................................................................................................. 26 Figure 5. Non-functional collection center in Montero (left). Oyster culture developed by women in Palito (right). ............................................................................................................. 28 Figure 6. Landing fish harvested using illegal artisanal surrounding nets (left). Potable water brought from Puntarenas to the island (right). ................................................................. 29 Figure 7. Meetings for decision making in a cooperative assembly (left). Cooperative project to deliver AMPR fishing products in containers (right). ............................................... 30 Figure 8. Buoys damaged in Palito-Montero AMPR (left); Fishermen from Isla Caballo harvested Cynoscion albus species (queen croaker) (right) in AMPR Distrito Paquera- Tambor....................................................................................................................................... 33 VI LIST OF ACRONYMS, ABBREVIATIONS AND UNITS AJDIP: Acuerdo Junta Directiva INCOPESCA AMPR: Área Marina de Pesca Responsable (Marine Areas of Responsible Fishing) BID: Banco Interamericano de Desarrollo (Inter-American Development Bank, IDB) CA: Collective action COLOPES: Comité Local de Pescadores (Local Fishers Committee) CoopeSoliDar R.L.: Cooperativa Autogestionaria de Servicios Profesionales para la Solidaridad Social R.L. CPR: Common-Pool Resource EEZ: Exclusive Economic Zone IAD: Institutional Analysis and Development IMAS: Instituto Mixto de Ayuda Social (Joint Institute of Social Assistance) INA: Instituto Nacional de Aprendizaje (National Learning Institute) INCOPESCA: Instituto Costarricense de Pesca y Acuicultura (Costa Rican Institute of Fisheries and Aquaculture) INDER: