Key Factors Supporting Small-Scale Coastal Fisheries Management

EVALUATION OFFICE EVALUATION THE Rockefeller Foundation Rockefeller SYNTHESIS REVIEW

September 2013

Financial support provided by THE Rockefeller Foundation EVALUATION OFFICE practice and to support innovative approaches tomonitoring,evaluationandlearning. innovativeapproaches practice andtosupport evaluation tostrengthen granteesandpartners of theRockefellerFoundationworkswithstaff, theEvaluationOffice improvements, accountabilityandperformance learning, to supporting for, Committed prepare stresses. acuteshocksand chronic from stronger withstandandemerge prosperity,shared byhelpingpeople,communitiesandinstitutions andbuildingresilience broadly formore dualgoals:advancinginclusiveeconomies thatexpandopportunities through theworld.Today,ing ofhumanitythroughout theRockefeller Foundationpursuesthismission thewell-be - than100years,theRockefellerFoundation’smissionhasbeentopromote For more About theRockefeller FoundationEvaluation Office and educationalinstitutionsnation-widebeyond. centerslocatedinpubliclibraries,communityfoundations network of450fundinginformation centersandits regional library/learning initsfive served Center’s websiteeachdayandare level.Thousandsofpeoplevisitthe atevery designed toadvanceknowledgeofphilanthropy educationandtrainingprograms global grantmakersandtheirgrants.Italsooperatesresearch, databaseonUSand,increasingly,to succeed.TheCentermaintainsthemostcomprehensive theyneed and training,itconnectspeoplewhowanttochangetheworldresources data, analysis worldwide. Through about philanthropy of information is the leading source bycloseto550foundations, theUS-basedFoundationCenter Established in1956andsupported About theFoundationCenter anddevelopment. equitableandsustainablestrategiesforgrowth to provide civil society and communities between government, IMM specializes in building partnerships fordisadvantaged,lowincomeandvulnerablecommunitiesgroups. expanded opportunities and andnaturalresources; oftheenvironment sustainable andequitableusegovernance capableandinnovatingcommunities; empowered, provision; institutionsforservice effective and inclusivepolicyandplanning;responsive bypromoting to globaldevelopmentproblems, innovativesolutions providing developmentandconsultancygroup IMM isaleadingresearch, About IMM authors includedJockCampbell, PhilipTownsley,authors EmmaWhittingham andJessicaMarsh. Center wasinvolved development inproject andIMM andtechnology authored the report. IMM For thissynthesis review, theRockefeller Foundationprovided theFoundation financialsupport, Cover ©CristinaRumbaitis photo DelRio This workislicensed underaCreative Commons Attribution-NonCommercial License. 3.0Unported KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW i 5 7 3 6 4 11 51 12 18 19 81 16 16 32 22 83 66 84 30 20 13 81 29 7 3 1 15 ) CMT vi vii nalysis and report writing and report nalysis and screening ormal knowledge search tudy design nformal knowledge search A F I S 25 86 iii actors affecting technical implementation v Ecosystem-based management Ecosystem-based Rights-based approaches Economic maximization Stage 4: Factors affecting community engagement Factors of resources Conservation Stage 3: The potential of coastal fisheries F Yield maximizing approaches Stage 2: The state of coastal fisheries Factors affecting policy and planning Factors forward Ways Customary marine tenure ( Customary marine tenure Stage 1: The importance of coastal fisheries Some frameworks of success factors 4.7 Co-management 4.6 4.5 4.4 2.4 6.4 4.3 2.3 3.3 6.3 4.2 2.2 3.2 6.2 7.3 Discussion 7.1 Conclusions 7.2 4.1 2.1 Impacts Critical factors that influence success forward Discussion, conclusions and ways Background to coastal fisheries Background and themes Fisheries management approaches Background to the synthesis Background and methods process Research 3.1 6.1

References 5. 6. 7. 3. 4. Foreword Acknowledgements summary Executive 1. 2. Acronyms

Table of contents 5 8 6 4 11 71 17 21 12 18 19 41 53 35 77 33 52 25 22 47 43 69 99 49 49 46 30 101 104 ietnam 65 V in Tanzania s) ) in the Philippines MPA ) seascape approach A CI b E 58 ambodia C 54 hilippines P nternational ( I in the ICM onservation onservation C lobal fish production by year and source in millon tonnes year and source by lobal fish production Management approaches for different situations for different Management approaches management of lobster stocks Local A sector wide approach in A sector wide approach Spatial Planning in the Coastal Zone of the East Asian Seas Region Zone Spatial Planning in the Coastal Rights in small-scale fisheries from Lessons community helps fisheryCertification in Livelihood diversification diversification Livelihood Ecosystem-based adaptation ( Ecosystem-based in inland water bodies in Bangladesh Co-management in Cambodia of impact Assessing community perceptions management – success or failure? coastal resource Community-based cooperation Post-cyclone processors in India influencing fish Factors A: Electronic database search log database search A: Electronic strategy search Principal topics and keywords B: Institutional grey literature search log search literature grey B: Institutional checklist Informal knowledge search results Summary of formal knowledge search in practice An economic approach fishery anchovy Design principles for the Peruvian of fisheries management Wicked problems in a framework for analysing of variables Examples social-ecological systems scales of management across Linkages The of fish abundance The drivers Summary of the informal knowledge search Reef destruction in St Lucia marine management area Soufrière ( areas Impact of marine protected Overfishing in Asia Overfishing G

17: 17: 18: 21: 16: 19: 20: 22: 23: 6: 7: 8: 15: 24: 25: 5: 9: 10: 11: 12: 13: 14: 2: 3: 4: 1: ANNEXES TABLES OF LIST LIST OF BOXES OF LIST Box Box Box Box Box Box Box Box Box Box Box Box Box Box Annex 1: Annex 1: Table 2: Annex 2: Table Box Box Box Box Box Box Box 3: Table Box Box Box Box 4: Table

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW ii KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW iii Asian Development Bank Bank Asian Development Abstracts and Fisheries Aquatic Sciences and Abstracts Sciences Index Applied Social Organisations Fisheries Professional of Small-Scale Confederation African organization Community-based management resource Community-based management coastal resource Community-based management resource natural Community-based management fisheries Community-based Administration of Office of the Fisheries Fisheries Development Community Cambodia International Conservation Planning and Marine Spatial Coastal Customary marine tenure Body on the Seas of East Asia Coordinating (FAO) on Fisheries Committee management resource Coastal (UK government) Department for International Development Directory of Open Access Journals to fisheries approach Ecosystem adaptation Ecosystem-based management Ecosystem-based community management Ecosystem-based economic zone Exclusive of the United Nations Organization Food and Agriculture Fisheries Administration, Cambodia of Marine Ecosystems Financial Institution for the Recovery domestic product Gross Facility Global Environment Fisheries (FAO) Guidelines for Small-Scale Index Human Development areas Indigenous and community conserved Integrated coastal management in Support Fish Workers of International Collective Individual transferrable quota of Nature International Union for the Conservation fishing and unregulated Illegal, unreported marine ecosystem Large Maximum economic yield Maximum job yield Marine management area area Marine protected ADB ASFA ASSIA CAOPA CBO CBRM CBCRM CBNRM CBFM CFDO CI CMSP CMT COBSEA COFI CRM DFID DOAJ EAF EbA EBM ECM EEZ FAO FiA FIRME GDP GEF GSSF HDI ICCAS ICM ICSF ITQ IUCN IUU LME MEY MJY MMA MPA Acronyms Marine Resources Assessment Group Assessment Marine Resources Council Marine Stewardship whinge Minimum sustainable yield Maximum sustainable organization Non-governmental and Development of Economic Cooperation Organisation Fisheries for African Partnership power parity Purchasing allowable catch Total Conservancy The Nature in fisheries use right Territorial United Kingdom fisheries management Wealth-based Society Conservation World Forum of Fisher People World Fund for Nature World-Wide MRAG MSC MSW MSY NGO OECD PAF PPP TAC TNC TURF UK WBFM WCS WFFP WWF

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW iv KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW v Fred Boltz Fred THE ROCKEFELLER FOUNDATION ROCKEFELLER THE MANAGING DIRECTOR, ECOSYSTEMS DIRECTOR, MANAGING

THE ROCKEFELLER FOUNDATION ROCKEFELLER THE MANAGING DIRECTOR, EVALUATION DIRECTOR, MANAGING This synthesis reviewThis synthesis part is of a broader- the Rockefeller Foun between collaboration and our partners the Foundation aimed at helping the Foundation Center dation and morebuild such, As effectively sector. given a in not does what and works what on this review to help identify the role aims small-scale that the Foundation could play in coastal fisheries. (IMM), a leading engaged Integrated Marine Management The Foundation Center research and development group with expertise aquaculture in fisheries, and coastal to undertakezone management, review a rapid of key sources (evalu- of knowledge ations, literature reviews informant and key interviews) and to identify key factors management. success in small-scale coastal fisheries believed to influence While there areto the problems no simple universal solutions that small-scale coastal 20 key and interconnectedfisheries face, IMM was able to identify factors. success in threeIdentifying these factors helped the Foundation First, it helped specific ways. to improve the focus of its fisheries strategy and programmatic investments. The review provided a broad overview of the different areas of knowledge in the fisheries marine conservationand to narrowallowed us which spaces, grant- of our the focus of an extremelyinto a subset making and interconnectedglobalized complex, system. Second, recognizing the contribution of many differentsuccessful outcomes factors in and our partnersfor fisheries pointed the Foundation towards interventions and approaches that seek to negotiate and resolve the various tradeoffs among success factors. For example, determining whether or not fisheries should be managed for wealth creation, sustainability or social benefit would suggest three very different interventions. This review processes helped guide the Foundation to focus on that as co-management or a fisheries improvebring in various diverse viewpoints – such - ment partnership– and work to create governance mechanisms that can resolve the differences in those viewpoints. Third,review the serves entryas an partnersand grantees our for point examine to and what doesn’t with evidence fromtheir own perspectives on what works other conservation marine in sectors pre had that grantee one example, For fisheries. and - viously focused its work more grassroots on capacity building came to see the value (and risks) inherent those capacity-building efforts in connecting to the markets for seafood, which can simultaneously create and inhibit opportunity for fishermen. are Fitz at the Foundation Center and to Jock Campbell and his grateful to Gabi We team at IMM for their diligent and creative efforts in undertaking this synthesis and to John Thomas for his capable stewardship of the synthesis process review, look forwardinternally at the Foundation. We to continuing to build on our collec- success tive knowledge in this and other fields. It should also be noted that the 20 factors can be explored through in detail an interactive data visualization tool online at fisheries.issuelab.org. Nancy MacPherson Foreword . ITAD The IMM team would like to thank the following key informants thank the following team would like to The IMM who so generously shared report: of this knowledge in the development their time and Rolf Willmann, - and Carlos Fuente Nicole Franz Susana Siar, Bianchi, Daniela Kalikoski, Gabriella Departmentvilla at the Fisheries Simon Funge-Smith at the Regional the FAO; of Office the Food and Agriculture for Asia and the Pacific of of the United Organization Marea Commission; Mekong River at the Degen Peter Hatziolos Nations (FAO); Bank; Vidhisha the Asian Development Bank Office Samarasekara at at the World Haryin India; Nigel Brett at IFAD; the Directorate Christijanto at of Fisheries, Indonesia; Jim Prestcott Terrence Fisheries Management Authority; at the Australian Steve Gaines at the Univer- Regional Fisheries Mechanism; Phillips at the Caribbean California of sity HilbornRay Barbara; Santa of University the at Anderson Chris and Natasha Stacey and at the University of British Columbia; Daniel Pauly Washington; Dirk Steenberg at Charles Darwin Conserva University; Tim McClanahan at World - at the Sustainable Use and Livelihoods tion Society (WCS), Mombasa; Rosie Cooney Specialist Group at the International for the Conservation Union of Nature (IUCN); Tundi Agardy at Forest Trends; Nicola Frostat Fauna & Flora and Helen Anthem International; Troeung Sebastien and Kathleen Flower at Conservation International; con- Independent Julie Robinson at The Nature Conservancy, Belize; Lena Westlund, Forumsultant; Naseegh Jaffer of Fisher People (WFFP); Vivienne at the World Solis of Small-Scale African Confederation at Gueye Gaoussou at CoopeSoliDar; Rivera Vivekandan, independent fisheries V. Fisheries Professional Organisations(CAOPA); specialist and activist; and Brian O’Riordan at International Collective in Support of (ICSF). Fish Workers would express appreciation for the supportWe of Cristina and encouragement MacPherson fromRumbaitis Del Rio, John Thomas and Nancy Foun- the Rockefeller fromFitz Gabriela dation, GregorowskiRobbie and Center Foundation the from Acknowledgements

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW vi KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW vii Small-scale coastal fisheries is an important It contributes very sector. significantly providingand income employment, for livelihoods security, nutrition and food to verymany resourcescoastal of people. The diversity poor creates opportunities for a fisher means that many people depend on these people, and the ease of becoming fisheries for all or part of their household livelihood strategies. as people are often able to enter the fisheryHowever, fisheries with ease, many are some are over-exploited in fishing capacity, over-capitalized with too much investment Today, and their contribution to wider economic development is being poorly used. 87.3 percent 2012a). of fisheries are or fully exploited (FAO, either over-exploited These issues are a number of other human activities that result compounded by in coastal pollution and habitat destruction, further depleting resources. Subsidies to the fisheries sector in the past have increased the excessive pressure on resources, destructiveand are methods fishing threatening many in functions ecosystem wider coastal areas. Growing global demand for fish by a variety of users and the penetra- cornersall almost to chains marketing global of tion areworld the of creatingalso incentives to over-exploit fisheries. affectto beginning also is change Climate reefscoral as such habitats, coastal which are under severe threat. These are of the richest habitats and provide some a wide diversity of opportunities for coastal people. The review process This report review was completed via a rapid of key sources of knowledge from formal published literature, institutional literature, key informants and Internet searches. in achieving a balance of social, economic and The focus was on key success factors ecological benefits from the management of small-scale coastal fisheries. Background to coastal fisheries This synthesis reviewThis synthesis of key factors supporting - fisheries man small-scale coastal undertakenagement was support with financial the Foundation Center by from the work was carried Foundation. The Rockefeller at IMM Ltd, in out by a team based UK, from 2013. July to September Exeter, provideIt was designed to success factors in small-scale an evidence base on the in turn, in developing countries and, coastal fisheries management the Rock- to assist and Fisheries Initiative. In in developing its strategy for its Oceans efeller Foundation believed to influence success and describes some 20 key factors doing so, it identifies fisheries management. in small-scale coastal presentsThe synthesis first used in the study followed by an outline of the methods a backgroundcoastal fisheries, an introduction of fisheries management themes, to reviewa and It success. influence that factors critical the of some of discussion and then offers conclusions and possible ways forward. some Executive summary

Key success factors In spite of this rather negative picture of the management process, there are indica- under and locations some in – management fisheries of elements some that tions circumstancessome thereWhile success. to contributed have – approachsingle no is system that addressesor management all the problems management facing fisheries there is a growing belief that if enough of the factors affectingglobally, success are they have the potential to reverse fisheries’ downward spiral. brought together, Impacts management areimpacts of fisheries ecological and social, economic The hard to in the big picture, that a balance of sustainability, it can be said measure. However, efficiency and equity goals have not been achieved. In fact, with the current state overall, the management that, would conclude people most world’s fisheries, the of process has largely failed. Fisheries management Much of the current situation of poorly managed fisheries results from past policies could not be depleted, the back of historic views that fisheries and practices. On national governmentsintergovernmental and organizations promoted the expansion capital, technology and skills. The momentum of fisheries and subsidized expansion in of this growth meant that fishing capacity has now expanded beyond that required for full and efficient utilization of the fisheries. Many different forms of fisheries management have evolved, depending on the perceived aims of the management process. Early forms of customary marine tenure focused on the locally controlled management of resource access and benefits. As approachesfisheries developed, yield maximization were adopted which, in turn, gave rise to concerns for the environment sustainable economic and for maximizing returns from fisheries management. Thus, approaches that confer been added have – on the people in the sector to achieve rights – individual, community and human both efficiency and equity gains. This of the wider ecological and recognition management also has stimulated an interesteconomic implications of poor fisheries in more holistic approaches that go beyond fisheries and include ecosystem-based approaches and integrated coastal management. Such approaches are increasingly through in fisheries management community involvement at again closely looking co-management arrangements, under which the community and government share roles and responsibilities. Climate change is likely to have other effects other have to likely is change Climate liveli- the and ecology the both on increasing the coast, including people who live near hoods of their exposure to natural hazards.that arenumber of factors is only one of a The climate changing. fishers are rises, changes in demand for fish faced with fuel and food price Today’s structuresand changes in market are which forcingfisheries and fisheries management to confront issues in the much broader wider ecology and local contexts of the and national economies.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW viii KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW ix

Addressing conflicting aims. Addressing Recognizing the importance of context. Recognizing the importance context. of Embracing complexity and integration. and integration. complexity Embracing Part of the complexity of fisheries is that each fishery has developed within, social patterns and political culture, economy, and responds to, the local ecology, forces that operate around it. Efforts are to seek a common solution bound to This does not mean that solutions cannot be frustrated diversity. by this local be found, but they must take the local context into account. A key part of this Fisheries encompass interactions among people, the environment,Fisheries encompass political and for a complex system. In the past, the social institutions, and markets, making in orderfocus tended to be on simplifying fisheries them, e.g. using to understand fromsingle species models of management on multi-species temperate fisheries this did not fully address the complexity of these small-scale fisheries. However, they tend to depend. These small-scale fisheries and the biodiversity upon which arefisheries very also greatly which economies, local to linked closely influences At the same time, this com- the fishery. the movement of people in and out of change and other global pressuresplexity is rapidly changing as climate affect indicates that engaging with complexity the way fisheries operate – all of which is becoming more urgent. small-scale coastal fisheries is If the management of to be successful, then a greater emphasis needs to be placed on understanding and responding to this complexity rather than externalizing it. Fisheries man- and integrate with the wider local and agement must embrace that complexity process.national economies and development The inherent by confusion over complexity of fisheries has been compounded aims of fisheries, and thereforethe aims of fisheries management. The fisheries management, are often diverse and mixed. Different have different stakeholders objectives, as is often reflected in contradictory and management plans. policies Effective means of linking the aims of the sector to the wider development aims of resolvingdifferent conflicts between objectives and prioritizing those objectives are leads to confusion as to what the management usually lacking. This process is trying contributes to the lack of success of fisheries to achieve, and management approaches. It is important to recognize and address these conflicting and contradictory and aims if fisheries management is to be successful contribute to national development aims.

2. 3. Factors affecting policy and planning and planning affecting policy Factors but also can influence to operate at the policy and planning levels, These factors tend engagement levels. policy implementation and community what happens at the 1. This report factors, grouping 20 of these key success identifies them under three broadaffecting i) factors headings: affecting planning, ii) factors policy and technical affectingfactors iii) and implementation is division This engagement. community more for ease of presentation, as there are between levels. considerable overlaps overlaps areIn many cases, these as important The key as the factors themselves. factors are below. summarized process will be the full and meaningful engagement of local communities in the management process.

4. Operating at multiple scales. Although the local context is important, there is also a need to understand the interconnectedness of different local situations. This interconnectedness operates through ecological, economic, social, cultural and political structures and processes at local, national, regional and global scales. Increasingly, it is recognized that working at multiple scales is needed to understand the wider context and to accommodate it in the fisheries management process. A variety of approaches to this are being piloted and used, including large marine ecosystems (LMEs), Seascapes, Marine Ecoregions, Regional Seas and Integrated Coastal Management (ICM). ICM has been used most extensively in the context of linking coastal fisheries to wider development processes, but all these approaches have wider and more holistic elements that attempt to integrate fisheries more realistically with other ecological and economic development areas.

5. Ensuring institutional coherence.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW Recognizing the complexity of fisheries management and the need to link fisheries much more closely to other economic, social, ecological and political processes at different scales indicates the importance of ensuring institutional coherence across these processes and at different levels. This is particularly so in terms of policy coherence, legislative coherence and the incentives provided by policy instruments. For example, where the establishment of well-defined rights to access fisheries resources is seen as an important part of fisheries management, it also needs to be recognized in policy and legislation at all levels.

6. Ensuring the viability and sustainability of ecosystem function. Fisheries cannot survive if there are no fish to catch. Ensuring the viability and sustainability of ecosystem function underpins the long-term survival of fisheries and the benefits that flow from them. Management measures such as marine protected areas have an important role to play in this process. However, it is important to understand this role in terms of the local ecological as well as socio- economic context. In particular, environmental management measures will have different effects on different groups of stakeholders in the fishery. In many situations, fishing opportunities will decline in the short to medium term for at least some people, and the fishers’ abilities to react will also differ. Thus, management interventions should pay particular attention to sequencing interventions and measures to support fishers during transition to better management.

7. Adapting to external pressure and change. Even under the best fisheries management system, change is inevitable. This is becoming more pronounced as climate change takes effect and the forces that drive markets for labor, capital and fish become more globalized. In addition, in the face of outside opportunities, local economies are rapidly changing and coastal populations are increasing. With global media reaching even the

x KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW xi Incrementally changing to allow for capacity, reflection and negotiated and negotiated reflection for capacity, allow to changing Incrementally response. Institutional fit and subsidiarity. Institutional fit and subsidiarity. Establishing legal group rights and responsibilities. rights and responsibilities. legal group Establishing Thereseems to be widespread agreement defined of clearly the allocation that if we areand limited rights in fisheries is essential to stop further over-capitalization of the fishery and provide a basis for rebuilding many fisheries into viable, theresustainable and equitable entities. Although is less agreement about the form there of those rights, is increasing recognition of the value of group-held rights in developing countries where peer pressure can be a valuable force improvedfor groupEstablishing management. and responsibilitiesrights in fisheries can createmaking man- clear incentives and a sense of commitment to of responsibilityagement work and stimulate a sense use of for the sustainable group’s a harvestto right resources.those However, group’sthe can also become balances areand right to over-exploit if adequate checks would in place. This not suggest the importance of users and the state sharing roles and responsibilities through some form structure. of co-management These rights should not just be rights to harvest resources but should also include the right to a livelihood, good health care to the and education, and other human rights so often unavailable poor. This change processThis change requiresalso rolesinstitutional allocating responsibiliand - ties at different to the levels, although decisions should ideally be made as close Changes in both policy and policy implementation will requireChanges in both policy and policy substantial changes: in the way fisheries are managed; in the skills, attitudes and knowledge for management; and in new institutional structures, processes and linkages that can facilitate that change. This will require both the courage to make significant that changes in what is often a knowledge vacuum, and the humility to accept other groupssomething important of people may have to say about fisheries management – including the young, the old, women, processors, traders and they need time for shopkeepers. Such massive changes cannot occur quickly, reflection, and acceptance. It is important experimentation, negotiation to adopt change incrementally process to assist this and provide space for change. most remote parts perceived the world, people’s of are and aspirations needs external Adapting to all of these changing. pressures must become and changes an important part process.fisheries management of the Efforts to address morechange by incorporating and processes adaptive planning into fisheries management are increasing. through This can be facilitated greater recognition inherentthe of ca- these using and communities fishing of capacities adaptive pacities to support greater community resilience in the face of change.

9. 10. Factors affecting technical implementation affecting technical Factors These are that address factors more of of the practical implementation aspects fisheries management. 8.

Getting market measures right. right. Getting market measures Sustainably and equitably addressing costs and benefits. and benefits. costs Sustainably and equitably addressing Incorporating politics and political choices. and political choices. politics Incorporating There is potential for the markets to improve the livelihoods of fishers through in- With the public’s better returns for fish caught sustainably and equitably. creasing awareness of the damage poorly managed fisheries can inflict on coastal throughtested being is damage such for pay to willingness their ecosystems, har- fish way the in changes certification However, eco-labeling. and schemes vesting is carried out generally has costs, particularly for producers, making it important to introduce these market-driven measures in support better of correct the in management fisheries having avoid that ways in and sequence adverse effects on poor and vulnerable producers. Given women’s important role in fish processing and trade, it is important that they are fully engaged in all decision-making around fisheries management decisions. this and other Even when there is a budget and political commitment for reform, it is still important management efficiently to implement and to share the costs and Ad- ways that benefits of fisheries management in be fair. are fair – and seen to dressing- man fisheries if is vital sustainably and equitably costs and benefits at However, agement is to gain support from and wider society. the community present, More the understanding of costs and benefits is poorly documented. needs to be done to improve understanding in order to allow informed decisions the roleat all levels, such as by investigating in the funding of the of fishers management process based on the improved gains and how that links into local economic growth. In the past, many of the political influences on fisheries were the political influences on fisheries In the past, many of externalized and management fisheries area,remains a contested left unresolved. Even today, often decided for political with access and benefits reasons, some for the public powerfulprivate benefit of politicians or other good, others for the In- elites. and implementation and political choices into the planning corporating politics is importantof fisheries management for achieving a balance between social, economic and environmental objectives. It is also important for gaining access to government and support funding for implementing change, and for achieving coherence sector policies. between national development policies and fishery as is possible while remaining effective. with will often link closely This processes devolution the administrative increasingly in develop- being adopted subsidiarity of level right the and fit right institutional the Getting countries. ing for different roles and responsibilities is important, as is recognizing that it is an processiterative and adaptive over time. that evolves

13. 12. 11. Factors affecting community engagement affecting community engagement Factors These factors are concerned with engagement at the community and household by, technical implementation factors levels. They will influence, and be influenced and those concerned with policy and planning.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW xii KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW xiii Addressing commitment, compliance, conflict and enforcement. commitment, compliance, conflict and enforcement. Addressing Engaging with fishers’ motives and preferences. Engaging with fishers’ and preferences. motives Balancing exclusion, livelihoods alternatives and the local economy. livelihoods and the local economy. alternatives Balancing exclusion, Building capacity. Understanding dependency. Understanding - While many assumptions have to be made about the social, economic and ecolog ical development factors surrounding fisheries management, perhaps the one of most important areas of knowledge to get right is understanding and engaging with fishers’ motives and preferences. Many fisheries management efforts have troublegotten into about the way assumptions made have managers because fishers will behave that have proved to be wrong. For example, considerable conflict arises over time preference – fishers, managers, politicians and funders all have different time horizons and meshing them is particularly difficult. Addressing of the factors above will encourage a greater many commitment there also will be a need to of fishers to the management process. However, If fishing communities are to play a greater in both decision-making and role will also need supportmanagement implementation, then many in building their capacity to take on these new roles. Good leadership skills are essential, especial- and negotiation. Bringing communities ly those which encourage inclusiveness together to work in collaboration is important, as is clearly defining what their roles and responsibilities are how far they extend geographi- under the law and poor are Ensuring that the fully included in this process is important. cally. A key factor that affectsA key factor behave in response the way people to management resource.the on dependency of level their is decisions are people Some full-time no other income source.fishers and have are Others part-time or seasonal fishers, or use the resource will safety net. For many poor people, fisheries as a be part of a portfolio activities which may involve more of household livelihood how different Understanding member. than one household stakeholder groups depend on the fishery sustainable management is essential to ensuring fair and decisions. will involve some people being fisheries management decisions Ultimately, Those excluded may be to fish and some being excluded. included in the right current There fishers or future wish to join the fishery. generations that may need to be alternative livelihood options for those who are excluded because, otherwise, they are try likely to become impoverished or will to circumvent entry regulations. Fisheries are generally closely linked to the local economy in which partwell-integrated a become they that essential it making operate, they the of local economic development process. among exclusion, Getting the right balance alternative livelihoods and local economic growth is important to the sustainable fisheries. It is also importantand equitable development of small-scale to get the sequencing of decisions around controls over entry requirements and livelihood alternatives right.

18. 17. 15. 16. 14.

Linking different knowledge management systems. systems. knowledgeLinking different management Ensuring participation and inclusion. An important part of inclusion is recognizing the value of both traditional eco- knowledge in the management process.logical knowledge and experience-based A sharing of roles and responsibilities across formal and informal systems of is likely to reduceknowledge generation, sharing and use the same costs and, at increasetime, relevancethe man- knowledge of linking The used. knowledge of providewill agement systems a veryimportant reflection of mutual trust and cooperation. Implicit in all of these factors is a greateris factors these of all in Implicit participationof level of and inclusion aroundwider communities in decision-making fishers and their fisheries man- include fish traders and processors,agement. This should money lenders, gear responsiblesuppliers and those and local economic devel- for wider community the poor and the well-off,opment. Men and women, ethnic the old and the young, and religious groups, all have different need to be involved. perspectives and This will make for more representative while also supporting decision-making a more empowering process. address compliance, conflict and enforcement in order, for example, to enforce for address and enforcement compliance, conflict in order, regulations develop conflict effectively, and to quickly and resolution processes. greaterA to likely is fishers coastal small-scale of co-management on emphasis but enforcement is likely to remainincreasegov- with group pressure to comply, ernment and must be recognized as effective.

20. 19. Discussion, conclusions and ways forwardDiscussion, conclusions and ways As this research has shown, there is no simple universal cure for the problems that many developing countries. It is likely that this small-scale coastal fisheries face in this does not mean that fisheries However, is also true for fisheries more generally. cannot achieve a much more trajectory balanced equitable and sustainable into the future. The 20 factors identified in this report this, and there could help to achieve a Already, are doubtless others that would emerge from a more comprehensive study. number of these factors are starting to combine and to have a positive effect in some fisheries. There is also increasing recognition that a greater emphasis on getting the process uniform a adopting than rather contexts, specific for right approach all for fisheries, is likely to lead to better outcomes. Efforts of these factors into principles for management began with the to distill some Code of Conduct for Responsible Fisheries. The specific needs of small-scale fisheries that go beyond the Code have been progressively recognized and the United Nations currently is Food and Agriculture Organization (FAO) producing the International Guidelines for Securing Sustainable Small-Scale Fisheries which address many of the emerging These Guidelines are issues associated with fisheries management. intended to enhance the contribution of small-scale fisheries to poverty alleviation, food security and economic growth.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW xiv KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW xv It is important to recognize management will take in fisheries that achieving success of knowledge and enhanced sharing commitment, a substantial financial a long time, political supportexperience, at all levels. to building capacity and a commitment © Roberto Faidutti KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 1 1

As part model of operation, the Rockefeller Foundation is undertaking of its new synthesis reviews to strengthen its knowledge and evidence base of what works and areaskey its in work not does what interest.of primaryThe synthesis of purpose reviews on what is is to enable Foundation initiative teams and their grantees to build add value to the areaknown, avoid the pitfalls of others and by not dupli- of endeavor cating efforts. Initiative aims to determineThe Foundation’s Oceans and Fisheries effective ways to economic and social systems. Researchintegrate natural ecosystems into their under- aretaken by the Foundation shows that oceans in large in a state of crisis due, part, to rampant overfishing that has occurred for several decades. Millions of people, par- on the productivityticularly the poor and vulnerable who depend resources of marine arefor their food security and livelihoods, seeing these eroded because of declining Effortshealth. ocean resourceto emphasize conservation manage- and sustainable ment while addressing communities the social and economic vulnerabilities of fishing benefits for ecosystems and for people. The will have high potential to deliver joint paradigms in the environmentalFoundation’s body of work aims to shift community in order to incorporate powerful new approaches ap- including innovative financing, proaches and diffusion, and more purposeful planning for scale. Founda- Rockefeller for the is a new Initiative in Development Fisheries Oceans and of Initia- tion. Consistent with the Foundation’s operating model, the dual objectives tives in Development are synthesize a wide variety of knowledge to inform to quickly internal decision-making for larger-scale investment while contributing significant public goods to the field, regardless of the Foundation’s potential future investment in this space. In its Search process (the stage prior to Development), the Foundation explored for grant making in the areas the potential of fisheries, aquaculture, poverty and food security as a means of improving the lives of poor and vulnerable populations. In addition to generating significant knowledge, the results of the Search concluded that this area potential. As a of work had significant result, the Foundation approved a 15-month Initiative in Development spanning late March 2013 until April, 2014. learnTo quickly from existing knowledge in the field, the Initiative team wished to learn from “a synthesis of knowledge and evidence of critical success factors for in- Background to the synthesis Background

1. of key formal and informal knowledge 1 synthesizes key lessons from past and on-going ecosystem-based community management efforts and programs, with a focus on fisheries and, where possible, other sectors identifies key insights in terms of factors contributing to the success and failure of (ECM) and their implications for the ecosystem-based community management Foundation’s work provides a preliminary of critical success factors for their potential to assessment impact at scale be catalytic in achieving (or inhibiting) identifies outliers of interest to the Foundation identifies key players and their areas of expertise in lessons. relation to key The study took place over a 10-week period from July to September 2013. a 10-week period from The study took place over

• • • • • sources factors influencing the success, failure and identify and potential scalability objectives, this socio-economic ecological and combine that management fisheries of report: It focuses on the lessons learned regarding key success factors from past and ongoing in developing countries to achieve a balance work on managing small-scale fisheries between social, economic and environmental equitable benefits in sustainable and ways, and presents a synthesis of the lessons emerging fromkey documents the reviewed and interviews held around this area of work. The report starts This with an outline of the methods used in the synthesis work. is followed by a backgroundan outline of key fisheries section on coastal fisheries, management approaches has had. It then and the impacts that fisheries management fisheries identifies 20 critical factors that influence success in coastal small-scale management. These factors are reviewed at three levels: i) factors affecting policy and planning, ii) factors affecting technical implementation and iii) factors affecting community engagement. These factors are then discussed, conclusions drawn and ways forward briefly outlined. 1 terventions aimed at improving natural resource- their potential scal management and a particular with of coastal/near shore on the field emphasis ability, manage- fisheries vulnerable, or marginalized (the Rockefeller populations” the links to poor, ment and internalFoundation, aresynthesis this for objectives The document). the upon built the extent of its knowledge, understanding of the field and, to Foundation team’s latest reflect insufficientlysocio- Its focus is on integrating the studied areas of inquiry. fisheries in developing the management of coastal small-scale ecological factors in effectscountries and their and impacts. Thus, in order to undertake a rapid review

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 2 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 3 2

Stage 1: Study design

Web of Knowledge: Web of Science of Knowledge: Web Web Aquatic Sciences and Fisheries Abstracts (ASFA) Applied Social Sciences Index and Abstracts (ASSIA) Directory of Open Access Journals (DOAJ) The research process was organized into four stages: study design, into four was organized process The research informal knowledge and screening, formal knowledge search The elements of each writing. and report and analysis search, below. outlined in the sections stage are • • • • • Scirus. The study design was developed from Terms Reference of the (TORs) drafted by analysis of knowledge gaps aroundRockefeller Foundation and based on an fisheries management that needed to be addressed to inform its development strategy for en- research On the basis of the TORs, IMM’s team prepared gagement with the sector. a research protocol. The study design outlined in the research protocol proposed a search strategy focusing on both formal and informal knowledge sources. Formal knowledge search This search focused on documented knowledge from two key areas: academic peer review literature grey and institutional literature. The academic literature search was based on five electronic reference databases: The institutional grey literature search was carried out using institutional website search engines and online library guide the search, an institutional databases. To map was developed of key institutions likely to be involved in the areas covered by agencies the synthesis. These included academic institutions, donors and funding (including foundations), intergovernmental agencies, regional fisheries management organizations and NGOs. 2.1 Research process and methods and process Research

2. TOPIC 3 TOPIC * Coast AND TOPIC 2 TOPIC *Manage* Community-based NEAR *manage Adaptive the study must be based on evidence from developed the study must be published in or after 1990 AND the study must pertain to management initiatives and factors of : the study must be published in English TOPIC 1 TOPIC Principal topics and keywords search strategy search keywords Principal topics and Stage 2: Formal knowledge search and screening their success/failure in relation to coastal marine fisheries, including articles that examined relevant management concepts or theories. countries YEAR OF PUBLICATION: OF YEAR LANGUAGE RELEVANCE: GEOGRAPHIC RELEVANCE: TOPIC Fish* Ecosystem Natural Resource represent Boolean search operators Boolean search * / AND / NEAR represent • • • • TABLE 1: TABLE Inclusion criteria An initial set of inclusion criteria, developed to ensure the documents compiled for the review were accessible and relevant, included: Initially searches combined Topic 1 and 2 keywords2 1 and to the strategy this applied Initially searchesand Topic combined furtherwhole document. To narrow the search (for searches yielding over 6,000 necessary,if Then applied. was 3 searchthe results),fewer was applied to Topic Once a searchdocument fields (e.g. title or abstract). less than 6,000 yielded results, it was exportedEndNote, a library to software package. The keyword search strategy was applied consistently to all five electronic reference databases. Where grey possible this strategy was also adopted for the institutional a searchable if libraryliterature search. However, database was not available, a manual search of publication lists for relevant topics (e.g. fishery management and governance, ecosystem approach co-management, to fisheries) was undertaken. In 26 institutional websites weretotal, searched.addition, the IMM office In library and referenceweremembers team of libraries searched greyadditional identify to literature that, from experience, was considered useful. All searches were recorded in a search log which indicated the number of results for each search and which searches were downloaded into EndNote (see Annex 1). Keyword search strategy search Keyword The search of formal knowledge sourcesa keywordapplied search based on strategy of relevancethe principal topics 1). Table to this synthesis (see Informal knowledgeInformal search. This search of key informants experiential knowledge focused on the the working in informants Key management. fisheries of field were important identify also asked to formal knowledge resources, which were through obtained online searches sent or directlyby the informant. to us 2.2

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 4 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 5 1,045 Excluded: Excluded: off topic Relevant 63 2,940 Excluded: Excluded: countryDeveloped IMM libraryIMM & snowball sampling search 195 Key documents Key 2 1,166 GREY LITERATURE SEARCH RESULTS SEARCH LITERATURE GREY ACADEMIC LITERATURE SEARCH RESULTS SEARCH LITERATURE ACADEMIC Included documents 150 Summary results of formal knowledge search 9,613 Stage 3: Informal knowledge search Website search results search Website Due to the export functionality of the Directory of Open Access Journals (DOAJ) and Applied Social Sciences and Applied of Open Access Journals (DOAJ) functionality of the Directory Due to the export criteria was carried for language and relevance inclusion screening databases, and Abstracts (ASSIA) Index to EndNote. This yielded 45 documents. exported out as documents were Keyword search search Keyword results

TABLE 2: 2: TABLE From the institutional grey literature search and from the research team’s experience of key informants a number were contacted to take partof the sector, in semi-struc- 2 Inclusion screening of each document. A coding was applied to the title and abstract screeningduring used was system reasonthe identify to providedThis exclusion. for an outlier library resource, containing documents which may have potential insights the geographical relevancefor the synthesis but may be outside developed (e.g. country) or topic relevance (e.g. inland fishery or forestry management). Following inclusion screening, a total of 1,166 documents were identified as accessible and relevant for the synthesis. Included academic literature documents were further screened to identify documents of particular relevance These included overviews to the synthesis. or reviews of sites. In total, 195 documents werefisheries management initiatives at multiple identi- sampling from documents, with snowball fied as key lists of key documents citation also yielding further documents. The overall formal knowledge search and screening yielded 1,379 relevant documents 2. as summarized in Table for review, For the institutional greyFor the institutional literature searches, documents were screened for inclusion were the criteria and only those meeting on their title, criteria based exported to and relevant In total, 141 accessible EndNote. documents were from identified the institutional grey literature search. Further grey literature documents were identified from team libraries. the IMM and For the academic literature searches, combined the year of publication criteria was with the initial keyword search. references In total, 16,923 academic were compiled from the five electronicwere databases. Of these, 7,304 identified as duplicates and removed, a library leaving documents to be screened of 9,619 for language and relevance criteria. inclusion 2.3 1 1 1 1 - - Email 1 - - 5 3 3 6 Telephone ------2 INTERVIEWS CONDUCTED INTERVIEWS In person 7 7 3 3 2 15 18 MADE CONTACTS CONTACTS Stage 4: Analysis and report writing INSTITUTIONS Analysis of documents initially focused on the full text of key documents identified documents key of text full the on focused initially documents of Analysis from the academic literaturesearch. As the review progressed, identi- documents fied through snowball sampling of citation lists and from the institutional grey literature search were also analyzed. This analysis revealed a number of preliminary key success factors, which were reviewed and revised to fit more available closely to the factors wereevidence as the analysis developed. These finally grouped into three areas: i) factors affecting policy and planning, ii) factors affecting technical implementation and iii) factors affecting community engagement. This analysis was cross referenced against the results of the informal knowledge search in order to triangulate the results. This provided the basis for the report’s results and discussion. searchthe complete to months two only had study the that Given only analysis, and a limited number of documents could be reviewed in the time available. Ultimately, the scope of knowledge included in the report reflects the limitations imposed by this time schedule. In total, approximately 170 documents were reviewed. As such, it recognizedis reviewcontinued a that formalthe of searchknowledge results would the level of repetition in reveal additional information that may be of benefit. However, the results represents suggests that the synthesis an acceptable level of convergence of thought. tured interviews. Interviews were email, and by telephone or in person, conducted were 2). (see Annex of topics and questions guided by a checklist 55 individuals, of whom 20 wereIn total, the team contacted interviewed and 4 replied Approximately half of those below. 3 as summarized in Table to an email checklist, contacted were unavailable, or failed to respond, which may be explained by the fact conducted during a holiday season. that the synthesis was 2.4 Summary of the informal knowledge search International development banks International development Intergovernmental/multi-lateral organizations Intergovernmental/multi-lateral Regional fisheries management organizations institutions Research Government organizations Government Non-governmental organizations Non-governmental Fisher organizations TABLE 3: TABLE

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The importance of coastal fisheries

This section provides a brief summarya brief fisheries global of the provides section This of state, the effectiveness sector: its importance, its current and the potential of the sector. fisheries management measures The coast is one of the most ecologically diverse ecosystems – a diversity that createsThe coast is one of the most ecologically diverse ecosystems – a diversity that opportunitieslivelihood many differentfor groups relativelythe of Because people. of open access nature and the low cost of entering, these opportuni of coastal fisheries - ties attract many poor people into the fishery and, in turn, the fishing supports many different forms of livelihoods for different groups of people. The main attraction of the The coastal environmentdiverse partsthe most one of is with many of the planet dynamic and changing combined with the ecosystems and species. This diversity, naturecreatescoasts, of the provisionfor conditions ecosystem of range a wide of services and societies including: food from which benefit humans as individuals fish, building materials from reefs and mangroves, storm protection for coastal communi- as well as wider regulatoryties, medicines and cultural traditions, support services. Fish are harvested from coastal countries throughout all the world. In developing countries, fisheries are particularly important for providing nutrition security, food and of species and habitats in coastal areasincome and employment. The diversity provides a range of opportunities for the livelihoods of men, women and children, and the open access nature of many resources provides opportunities poor. for the role the vital of coastal ecosystem servicesHowever, is being undermined by over-fishing, habitat destruction pollution. As a consequence, many of the world’s fisheries and are limits of harvesting. at, or beyond, their sustainable Fisheries management has been used to try to halt or reverse adverse situation, but overall it has failed to improve this If fisheries can be successfully managed, then their potential con- matters significantly. tribution to food, employment, foreign exchange generation and poverty reduction can be both large and sustainable. This is discussed in more detail below. 3.1 Background to coastal fisheries Background

11.5 19.3 2011 78.9 63.6 44.3 90.4 154.0 ), they arethey ), 2 11.2 18.1 41.7 77.4 59.9 88.6 2010 148.5 • estuaries • mangroves • deltas • lagoons 17.6 38.1 10.4 55.7 79.2 89.6 2009 145.3 36 16.9 10.2 79.5 52.9 89.7 2008 142.6 10 inshore coastal areas coral reefs sandy beaches kelp forests 16.6 33.4 49.9 90.3 80.4 2007 140.2 • • • mudflats • • 9.8 31.2 16.0 46.3 80.2 90.0 2006 137.3 open sea deep ocean floor continental slopes sea mounts mud/sand banks lobal fish production by year and source in millon tonnes year and source by lobal fish production • • • • • the most productive and biologically rich ecosystems on earth with around 25 percent areas, 2011). They occur mainly in coastal al. of all known marine species (Burke et where fisheries are particularly important. Fish production Fish production monitors the The Food and Agriculture OrganizationUnited Nations (FAO) of the world’s fisheries on a regular basis. Capture fisheries and aquaculture supplied tonnes of fish in 2011 (with a total value of the world with an estimated 154 million $217.5 billion), of which about 131 million tonnes was utilized as food for people $217.5 billion), of which about 131 million productionFish 4). growthTable a (See maintained 2012a) 3.2 percentof rate (FAO, per year in the period 1961–2009, outstripping population growth. Fisheries ecology The sea covers 71 percent of the surface of the earthand constitutes 96.5 percent diverse parts It is one of the most biologically of all water by volume. planet of the is diversity that of Much termsin diversity. species and diversity ecosystem both of fringes whereconcentrated in coast often operate (Campbell and small-scale fisheries Beardmore, Key habitats include: 2001). coastal waters is the ability to harvest is the ability to coastal waters this is only part food and to sell, but fish for of system. with the coastal of the community the engagement These different habitats are often mutually supporting with, for example, reefs providing shelter for sea grass areas and sand for beaches. The habitats also link the differentsome as nursery lifecycles of fish, areas and others as adult feeding and breeding areas. between these is important Connectivity in the wider ecological balance. Although coral reefs0.1 percentthan less cover (250,000 km ocean the of G TOTAL WORLD PRODUCTION WORLD TOTAL Total Marine CULTURE Inland TABLE 4: 4: TABLE Total Marine Source: FAO, 2012a FAO, Source: CAPTURE Inland

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 8 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 9

Fisheries livelihoods and poverty reduction There are people involved in the production some 54.8 million of fish. An estimated 660–820 million people, or 10–12 percent of the global population, depend upon in of them in Asia, 7 percent fisheries and aquaculture livelihoods: 87 percent for their 2012a). Of the people in Latin America and the Caribbean (FAO, Africa and 3.6 percent directly employed in capture fisheries (production and processing), 97 percent live in developing countries and 90 percent work in small-scale fisheries (Hall and Andrew, 2011). It is thought that, on average, 30 percent of people employed in fisheries overall are 2012a). women mainly in fish processing and trade (FAO, areMany of the people involved in small-scale fisheries in developing countries poor, marginalized or vulnerable to adverse change. According to Pomeroy (1994, 3), “[i]n many parts of the world, rights to common property are all that separate the vulnerable and margin- poor from people areof these While many destitution.” poor, importantan alized, “areis question arethey because poor they are or fishers, they are they because fishers probably is complex and is answer The 2003). (Béné, poor?” a mixture of both. Food and nutrition security per capita food fish supply increased from weight an average of 9.9 kg (live World to 18.4 kg in 2009 and is set to increaseequivalent) in the 1960s further 2012a). (FAO, In 2010, fish production provided fish consumption rate of 18.7 kg/person/ a global year with consumption rates varying across the globe from 9.1 kg/person/year in Fish makes up 16.6 percentAfrica to 24.6 kg/person/year in Oceania. of all animal protein consumed and 6.5 percent fish of all protein consumed by people. Globally, provides20 billion people with almost about 3.0 percent of their intake of animal providealso 2012a). Fish protein, 15 percentabout with people billion 4.3 and (FAO, other benefits such as micro-nutrients (MRAG et al., 2013) that are particularly important of the poor. in the diets sold mainly in live or freshIn most developing countries, fish is form (representing 56 2010). Cured percent of fish destined for human consumption in forms of fish (dried, salted, smoked or fermented) still remain important country in developing markets, although the share 2012a). of fish that is processed is declining (FAO, Fish and fishery products are among the world’s most traded food commodities. In 2010, fishery trade represented about 10 percent of total agricultural exports (excluding forest products) 1 percent and of world merchandise trade in value terms 2012a). (FAO, Table 1 shows that while wild capture 1 shows that while Table fisheries have remained relatively static in recent Aquaculture up 41 percent now makes of years, aquaculture has grown considerably. availability comparedtotal fish with 51 percent from(FAO, capture marine fisheries 2012a). of which 74 percentfleet is comprised of 4.36 million vessels, The global fishing work Asia has the largestin marine fisheries. fleet with 73 percent, has 11 percent Africa 2012a). the Caribbean has 8 percentand Latin America and (FAO, Coastal fishers live in one of the most dynamic and contested parts of the world where risk is a part of their livelihood strategies (Campbell et al., 2006). This creates opportunities for poor people that others may consider too costly or unpredictable, but it also creates threats to life, assets, income and savings, which means there is considerable movement into and out of poverty in fishing communities.

Fishers often live adjacent to areas of high biological diversity which creates a diversity of opportunities to employ different combinations of labor, skill, experience- based knowledge, capital, technical knowledge, risk-avoidance strategies, market knowledge and access, and seasonal time allocation (Campbell and Townsley, 2013). This diversity often, at least initially, reduces competition from other fishers that require the economies of scale afforded by less ecologically diverse environments. Increasingly, however, such biological diversity is attracting tourism which offers both threats (land acquisition, pollution, habitat destruction) and opportunities (markets for seafood, alternative employment opportunities). Where barriers to entry are low, such as open access fisheries, where there is low competition or where entry requires little investment in, e.g. skills or equipment, poor people can often find niches as individual fishers or as hired crew. While there is high gender differentiation in most fisheries (generally with men catching fish and women processing and trading), some habitats, such as coral reefs, provide opportunities for women to glean food for domestic consumption or trade, an activity which often provides an important social and cultural function (Whittingham et al., 2003). In addition, women in many parts of the world play an important role in owning and financing fishing operations.

However, while open access coastal fisheries attract poor people, they often remain poor, because: • they have inherent risks working in such difficult environments, where catch pre- dictability is low • they have few enforceable rights over land and fish resources • they have competition in harvesting combined with pollution, habitat destruction, increasing climate change and decreasing catches • they may be marginalized to poorer parts of the fishery or excluded at certain times • they are dealing with highly perishable products, where market access is difficult and market knowledge poor • their investment in boats, gear, fuel and labor is often dependent on loans from middle men and women who are able to charge high costs for their services • their lack of rights over land and access to fisheries resources (especially for the very poor, migrant workers, certain classes and castes of people, and ethnic mi- norities) often means that their activities fall outside of the law and the decision- making processes (Béné, 2003; Campbell et al., 2006).

For small-scale processors and traders, increasing competition for supply, changing market and quality-control demands, concentration of landings in fewer landing sites, and changes in investment levels in processing and trade are often leading to significant shifts in the structure of the post-harvest fisheries sector – changes that often marginalize small-scale operators. In some areas where women previously played key roles in post-harvest fisheries, more men may be found entering processing and trade, which is leading to reduced opportunities and increased competition for small-scale female traders and processors (IMM and ICM, 2003).

10 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 11

years, approximately one-third of the world’s mangrove forests (Alonghi, have been lost 2002), 29 of sea grasses have been percent et al., 2008) and more than lost (Waycott reefs of coral are under immediate 75 percent threat fromforces local and global (Burke et al., 2011). In addition, 60 percent of coral reefs are threatened by local pressures such as over-fishing, destructive fishing, coastal or pollution, watershed-based development, (Burke marine-based pollution and damage et al., 2011). In addition to pressures species and eco- on systems, there are economic also significant Bank-FAO World fromlosses sector. the (2009) estimated global losses of net economic excessbenefit at some US$50 billion, due to harvesting capacity and effort, linked with 2003,capital and operating-cost subsidies. In subsidies primarily to support overfishing were estimated at $16.2 billion out of a total of $27 billion globally (Sumaila et al., 2010). In addition, illegal, unreported and unregulated (IUU) fishing is now a major concern for many fisheries, with global losses estimated at Source: Stobutzki et al., 2006 Source: The state of coastal fisheries of coastal The state sia habitat loss, destruction and fragmentation as a result of agriculture, aquaculture, fishing, urban growth, port developments and tourism pollution from industry, mining, farming, aquaculture and urban development changes in water sediment loads from agriculture, forestry and mining A • • • between $9 billion and $24 billion annually, representing tonsmillion 26 and 11 between annually, billion $24 and between $9 billion of total fisheries production (MRAG, 2009). and 22 percent of fish or between 10 percent These losses impact directly on the availability of fish for small-scale fishers. Marine and, in particular, coastal habitats and resources are under increasing threat from a variety of sources (Campbell, 1996; Bryant et al., 1998; Whittingham et al., 2003) (see Box 2) including: There fisheries are that the world’s can be little doubt (see in suboptimal condition 29.9 percent In 2009, 1). Box were stocks fish global of overexploited, 57.4 percent were 12.7 percent fully exploited and of 2012a). Most were (FAO, not-fully exploited arethe fully exploited stocks thereforemaximum sustainable yield (MSY) and at their in its analysis of global (2012a, 200), full economic potential. FAO not achieving their stated that the fisheries in 2012, “areresults troubling from a resource exploitation overstressed,is that system global a suggest and perspective reducing biodiversity in of collapse.” and in imminent danger marine fisheries depend are ecosystems on which the health of In addition, many key being degraded. Mangrove forests the past 50 have been widely depleted and, over 3.2 Overfishing in Overfishing Bank (ADB)-funded, An Asian Development fisheries project regional WorldFish-implemented the in Bangladesh, India, Indonesia, Malaysia, identified the central Philippines and Sri Lanka resources issue of fisheries as drastically depleted and compounded overfishing from – resulting degradation. All fisheries had by environmental than those greater that were rates harvesting sustainable yields or maximum to achieve required maximum economic yields. to be intimately linked to was found Overfishing fishing where among fishing communities, poverty de The was seen to be the income of last resort. of the fisheryfacto open access regime allowed people to join the fishery. and more more BOX 1: BOX The potential of 3.3 coastal fisheries the In spite of these management issues, is con- potential of fisheries, if managed well, siderable. What form that potential will take arewill depend on how and why fisheries managed. fisheries. According to Bromley (2009), “the offersimperiled status of global fish stocks clear evidence of the comprehensive failure of national governments to provide coherent man- protectagement to This reflectsstocks.” those the complex nature of fisheries management As Hilborn noted, as will be discussed later. “fisheries management isn’t rocket science, it Star, is actually quite a bit harder” (Western 2009). Source: Tobey and Torell, 2006 and Torell, Tobey Source: changes in water flows as a changes in result of deforestation, for irrigation abstraction and and hydroelectrichuman consumption, dams or inappropriateexcessive exploitation of resources inappropriate in aquaculture genetic manipulation and selection introductionfromof exotic species aquaculture, ballast the aquarium trade, ships tanks climate variability resulting coastal shocks in periodic climate-related in sea level, sea temperatures changes such as changes and pred- ator-prey relations. • • • • • • The ability of depleted fisheries to recover and achieve their maximum potential will depend, to an extent, on how that potential is measured, i.e. in terms of production maximization, economic return maximization, environmental protection or employment maximization. The length of time required to return to their desired fisheries state will also vary, on the current depending state of the stocks and the species concerned. Even with management, multiple-species stocks are likely to evolve gradually towards an equilibrium which may or may not be the same as before exploitation. broad recognition the potential of fisheries to bounce back of There is, however, from the current state of mismanagement and to continue to provide benefits into the future. are What those benefits and who benefits from them are largely political decisions that countries will have to decide. The following section reviews a variety of management themes that have been used in the quest to achieve that potential. The reasons the poor state of global fisheries are for complicated (Rudd et al., 2003). They are ecological and political forces systems that combine social, economic, complex which are difficult to been a major componentreconcile. Fisheries management has of the wider sector development process to address that has been used of these some has not been very fisheries management issues. However, successful across global

BOX 2: BOX Reef destruction of food seen as an important source are reefs Coral coastal the sale of fish in many and income through also examples are there However, communities. service is the sustainability of this ecosystem where by coral mining. being threatened for and dead coral was extracted live In Tanzania, On Mafia Island, in the 1990s. lime production among income- coral mining was ranked third of the number of people in terms earning activities, was lime production commercial After involved. made illegal this fell rapidly.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 12 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 13 4

This section discusses the concept of fisheries management, its management, fisheries of concept the discusses section This It looks how and it manifests itself in modern fisheries. evolution adopted and been have themes that management broad at the briefly discusses each of these. Fisheries management has been defined as: “The integrated processFisheries management has been defined information of decision-making, allocation of resourcesgathering, analysis, planning, consultation, and formulation and implementation, with enforcement as necessary, of regulations or rules which govern order fisheries activities in to ensure the continued productivity of the resources of other fisheries objectives”(Cochrane, and the accomplishment 2002, 3). In the past, there was widespread discussion of the different merits of economic, social strategies for fisheries. Much of the focus and biological objectives and management was on the maximization of productivity and production targets, which remains the as key indicator of success used by many governments around the world. However, realizationthe grown has harvesting stock fish that continuously increased, be cannot the focus has increasingly towards shifted environmental management. The social aspects also have taken a more prominent role in strategies, due to a greater focus on reduction of global poverty and recognitionthat fish and fisheries play an important rolepeople. in the livelihoods of many poor The conflicts among the different However, management schools of thought continue. efforts are being made to bring these disparate threads together into a management process that harmonizes different aims and strategies to achieve a balance across social, economic and environmental sector objectives. a fishery en- In reality, is a complex system which links individual human endeavor, the natural world, the political terprise, risk, culture, world, technology, the physical Catter- economy and wider society’s beliefs, aspirations and values (Campbell and moul, 2009). According to Ostrom (2009a), all human-used resources are embedded

management Fisheries themes and approaches

4. ., 2012) where2012) et al., approachescollaborative

in complex, social-ecological systems composed of multiple subsystems and the of multiple subsystems systems composed social-ecological in complex, internal levels. at multiple within these subsystems variables respondedoften have Scientists theoretical simple developing by analyze to models the resourceaspects of problemsto prescribe and (Ostrom,universal solutions fisheries, scientists have to understand and interact with 2009a). In their attempts with its Thus they can work or breakoften tried to simplify down the complexity. of fisheries, such example, focusing on specific components for separate parts by, or over-simplifying as gear/vessel classification, implicit in bio-econom- relationships pressurecrisis in world fisheries deepens, the ic models. As the to find workable solutions increases. of complexity and urgency The combination has created a market solutions to management problemsfor quick and technical (Degnbol et al., 2006). But these rarely do more than explain a part situations of what is happening in localized often lead to tunnel vision. et al. explained, these “fixes” at a given time. As Dengbol The responsibilityfor many years. for the management of fisheries has been disputed has been a function of the community In many traditional communities, management to rights the instance, for Pacific, the itself. In resources are often part complex of a of social and cultural relationsweb kinship and and within communities between and particularly groups. More recently, as fisheries have come under increasing pressure, on a greater the state has taken role in their management. governments are no longer the only sourceHowever, of decision-making in fisheries environmentalother or (Armitagefields involving a number of stakeholders are becoming accepted. This is important because different groups of people want different things from the resource, at different times and collected in different ways. Armitage et al. (2012) arguedthat while “command and control” management systems have yielded success in terms of flows of ecosystem services, and environmental they have done so at social cost related cost – social to compliance, enforcement and conflict, and environmental cost due to declines in regulating and providing services. ecosystem management and gov- They noted that ernance systems are that cooperative models of not mutually exclusive and suggested governanceare more effectivelywork to likely governof system enabling an within - ment regulation. the veryHowever, concept of management is sometimes questioned and the broader approach of governance, which considers the wider processes and institutions through which society makes decisions, is often seen as more appropriate (Armitage et al., 2012). Governance of resources raises questions that go far beyond narrow management concerns and start to address more philosophical issues about wider benefit flows to society and to future generations. The form function of governance and often reflect approaches, the wider changes in society’s concerns and priorities, the market realities, of government and the cost-cutting motives to hand over responsibility for that management. While there are no clear-cut or separate models of fisheries management, there are broad approaches that reflect or themes the emphasis of a particular management process in a particular situation. Some are suited to some circumstances, others to other cir- temperatecumstances. Management methods developed for single species fisheries in unsuited to tropicalbe may waters, for example, inshore multi-species (Rudd fisheries

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 14 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 15 Customary tenure marine ) (CMT Traditional community-based resources have been document- management systems et e.g. Ruddle et al. (1992) and Kuemlangan (2004). Berkes ed across the world by, al. (2000) noted that resource monitoring has been a regular feature of traditional of differentsystems that note and act upon the abundance species. Sacred sites may have provided some protection to species much as a marine protected area does. For example, Berkes et al. (2000) recalled how some indigenous people “rested” their traditional fisheries sometimes used methods fisheries on a periodic basis, and that that are only beginning to be adopted by more formal systems. Some traditional com- their fisheries as multi-species, rather than munities have tended to conceptualize single species, and also to view the interconnectednesssystems. In of land and water their review throughout of the similarities among some 30 traditional fishing societies et al., 2000) suggested that the similari- the world, Acheson et al. (1998 cited in Berkes of knowledge. ties indicate some geographic transfer Many customary marine tenure (CMT) arrangements may have resulted sus- in the tainable and equitable use of fisheries resources, in part because there was limited fishing pressure. to operate when Many continued resources declined and effort sub- stantially increased, but with varying it needs to be degrees of success. However, remembered that these CMT systems areoften primarily mechanisms that govern relationssocial and exchange groups,and communities traditional between and within rather than explicitly protecting resources. While customary marine tenurehave been associated largely may with traditional albeit in modified systems, there is increasing recognition that it also has a role to play, form, in modern management systems. For example, Kuemlangan (2004) noted that a “[a] cursory Constitutions, fisheries examination of PIC (Pacific Island Countries) legislation and general natural resource management practice indicate that the PICs and are receptivethe necessaryhave to CMT, application of for basis legal minimum or already practise participatory approaches fisheries management including those to based on CMT.” there is renewed interest in learning fromToday, these approaches and applying them to rights-based approaches at the community level. But, it is also recognized that community-based approaches more generally are not a panacea for resource management 1994). (Pomeroy, , 2003) where ecological and fish landing data are poor, where there are formal few where2003) et al., data are landing and fish ecological poor, property rights, where compete for resources many operators with different from gear and wheremany sites, Often these people regularly the fishery. move in and out of approachesor themes are use of marine protected combined, as in the areas co- with to addressmanagement, different process. of the management aspects have identified themes can be groupedThese management in numerous We ways. seven broad reflecting themes different i) customary aims: tenure, marine yield ii) maximization, iii) conservation of resources, v) rights- iv) economic maximization, based approaches, vii) co-management. There vi) ecosystem-based management and them, and which ones areis much overlap between used depends verymuch on the arelocal context. These reviewed sections. in the following 4.1 Conservation of resources Yield approaches maximizing

Approaches to conserve resources have adopted a number of measures to limit the ability of fishers to harvest resources. While technical measures (as outlined above) As mentioned above, in the past, the focus of fisheries management and development and development management the focus of fisheries above, in the past, As mentioned production.focus on ways of maximizing tended to opening of the 1883 Speaking at the Internationalfamously the biologist Thomas Huxley Fisheries Exhibition in London, fish and fisheries stated that “The world’s (Link, 2010). It was only are inexhaustible” began to fully realizein the 1900s that people world’s fish were that the exhaustible. there have been concernsMore recently, stock size, retaining about maintaining - bio tension between those ecosystem function – with significant diversity and ensuring approaches to maximize productivity adopted for achieving biological con- and those servation. Summit on Sus- 2002 World the Plan of Implementation of the For example, targetedtainable Development the restoration stocks to maximum sustainable of fish is a useful concept in a single species stock, it yield (MSY) levels by 2015. While MSY with inter-species interaction (Leal, 2010). becomes less useful in a multi-species stock In addition, limited governmental capacity may limit the ability to assess what MSY report, Bank-FAO Justifica - Economic The Billions: Sunken The actually is. The World Fisheries Reform,for tion consideredbe should MSY that suggested targetminimum a 2009). Bank-FAO, (World The drive to maximize production from fisheries has been, in large part, behind the and the perversemassive over-capitalization of fisheries incentives that now are the norm. As a result, there have been many attempts to control fishing efforts at MSY. technical measuresThese have often involved a series of including direct gear and effortfishing vessel license), by (e.g. numbers vessel on limits including restrictions, restriction vessel length and gear used. Gear may include mesh types, engine power, size restrictions, Restrictions hook size, net length and the use of excluder devices. or age, total weight taken, weights landed (and may also be on species, fish length thus discards) and breeding state. Fishing activities may be limited by physical areas which may range from zones where no fishing occurs at any time of the year to lesser restrictions that allow certain gears by certain people at certain times. These might include inshore fishing areas for small-scale fishers. Such spatial restrictions, often In called marine management areas (MMAs), are discussed in more detail below. of differentsome fisheries, total allowable catches (TACs) species are designated and, in some cases, quotas are within that. They may be allocated directly allocated (free of cost or for a fee) or through an auction system. These different measures favor and gone out of favor in different have come into fisheries at different times. In Scott’s (2010) useful chronology of such changes, he identified a general movement from gear restrictions, through to quotas licenses, and to property rights with a move towards stronger qualities of rights including: greater divisibility greater permanence, greater transferability, greater exclusivity, and greater security. 4.3 4.2

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 16 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 17 change. Restoring habitats and stocks to change. Restoring habitats and stocks their original condition and limiting external pressure are important components. Marine conservation areas are often referred to as Marine Protected Area (MPAs), including those which are no-take zones and thus have the benefit of protecting the species and individual fish that remain inside the protected area (see Box 3). (2007) listed eight common reasons for FAO establishing MPAs: i) to protect a specific historylife controlstage, ii) to fishing iii) to handle the spillover effectmortality, of fish migrating across the boundaries of an serve so they can be fished, iv) to MPA as a source and/or sink for fish eggs and larvae to Source: Roberts et al., 2001 Roberts Source: have been adopted, marine conservationhave been areas, stock restoration, habitat and and precautionary a key part have been principles approach of this (Hilborn, 2007). The precautionary approach foresight uses or undesirable situ- to avoid unacceptable are that changes in fisheries systems ations, taking into account only slowly - revers ible, difficult to control, environment understood, and subject to change in the not well 1996). As Hilborn(FAO, and human values 387) noted “[t]he precautionary (2003, approach around is built have that managers should not wait until they the concept that fishing effortunequivocal evidence needs to be reduced before acting, and it is intended to protect fisheries from overexploitation in the face of uncertainty.” Even where are fisheries there being managed effectively, likely to be a need to is ensure that forces from do not degrade habitats and stocks. outside of the sector pollution, coastal development and climate These include land-based pollution, marine improve recruitment, vi) to v) to protect habitat, food web integrity and biodiversity, reduce by-catch, discarding and other negative impacts on harvested species, other species, endangered other species society wants to protect, species and vii) to reduce competition between user groups to enhance opportunities or for certain groups of users (by establishing rights), and viii) to serve uncer- as a potential hedge against take many forms MPAs around the world and the language used to However, tainty. describe them differs from place to place, which can lead to considerable confusion (Christie and White, 2006). The effectiveness depends in part of MPAs upon the size and ecological sufficiency While area,the enclosed of level of exclusion and its connectivity to other MPAs. its very which are enforced large MPAs no-take zones effectively eliminate fishing pressure, therepressures still may be other from climatic conditions, non-fisheries pollution or habitat destruction. A review of the experience of inter-coastal management (ICM) in the Philippines by White et al. (2006) determined as part that MPAs, of wider ICM processes, protect and enhance near-shore habitats and fisheries for ucia L t S BOX 3: BOX management marine Soufrière in area in St Marine Management Area The Soufrière had a rapid impact on the in 1995, Lucia, created important commercially combined biomass of five area. Mean total fish families in the adjacent fishing by between 46% catch per trip per fisher increased with stable fishing period a five-year and 90% over effort. the benefit of coastal communities, and they of coastal communities, the benefit contributes to tourism which attract marine include i) Key benefits economy. the local coastal of quality biophysical local enhanced habitats and improved fish catches inside and enhanced revenuesii) to MPAs, of outside governmentscommunities and local derived iii) fromMPAs, of outside and within tourism revenues from marine-based or eco-tourism communities, and iv) enterprises to local improved of planning and implementation ICM through 100 municipal and city govern- mixed, as benefits can be ments. However, shown in Box 4. In addition to conserving existing resources, there has been considerable interest in enhancing fish stocks. Bell et al. (2006) stated that the key challenges for capture fisheries are i) reducing fishing effort, ii) removing and iii) building excess fishing capacity, the institutional arrangements needed to restore to more spawning biomass produc- reverseand levels tive sup- of degradation portingoptions two suggested They habitats. from the cultured production of juveniles to Source: Tobey and Torell, 2006 and Torell, Tobey Source: Economic maximization enhance this process – restocking and stock enhancement – although they also recognized the difficulties enhance- of doing so. Examples of success include scallop stock restockingment in Hokkaido, Japan, and giant clam in the Philippines. The over-exploitation of fisheries resources is often associated with significant (2009) calculated the current Bank and FAO state economic losses. When the World FAO of fisheries fromreported economic perspective, an that “economic losses in marine fisheries resulting from poor management, inefficiencies, and overfishing add over the last threeup to a staggering US$50 billion per year ... Taken decades, these losses total over $US2 trillion, a figure roughly equivalent to the GDP of Italy.” The focus of economic approaches for the maximization of economic yield (MEY) calls and the reduction MEY – the value of the largest of these losses. positive difference between total revenues costs of fishing – generally and total requires less fishing effort required than what is (MSY). Many to achieve maximum sustainable yield fisheries managers hope that some of this economic return may be captured by wider society as a resource rent that will provide a return from giving fishers the opportu- profitto nity Economic approaches from of the some include often fishery. nation’s the technical measures and the use of rights which are discussed above outlined below. 4.4 anzania T s) in s)

MPA The impact on abundance of harvested fish around fish around of harvested The impact on abundance was perceived Tanzania, and Mafia, in Tanga MPAs as perceived but impacts were to be positive, Fishers’ sites. in other MPA negligible or negative and Mafia sites in Tanga meetings focus group the improved efforts have that MPA corroborated verified further in Mafia were The changes fisheries. who the knew experts informant marine by key and at condition of the fisheries in the early 1990s endangered Finfish, octopus, the time of the study. whales and and even species such as marine turtles, returning. dolphins were less social and economic changes were However, impact on household with only a small obvious, negligible or in decision-making, involvement and negligible effects on employment, negative impact on incomes. BOX 4: BOX areas of marine protected Impact (

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 18 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 19 Resource rents can be captured, for example, through charging to fish, either for the right directly or by selling licenses on landed catch quota access. for access or selling One approach management which to fisheries economic returnsemphasizes the potential is referred to as wealth-based fisheries manage- calls for using the al- ment (WBFM). WBFM rights to capturelocation of fishing the wealth that is currently being dissipated through practices (Cunningham poor management has occurredet al., 2009). While this in, for Source: DFID, 2012 Source: Rights-based approaches example, Norway, Iceland and New Zealand, there are few examples in developing wherecountries key A 5). Box (see operate fisheries labor-intensive small-scale, problem is that this approach depends on the capacity of resource managers to assess a particularhow much fish catch is sustainable in fishery based and establish quotas in developing countryon that amount, which can be challenging fisheries that may lack such information and the capacity to collect it. In recognition of the adverse effects open-access nature of the often of fisheries, approaches of series a developing have been authorities fisheries manage- fisheries to groupsment that confer specific rights to some but exclude others. This is of fishers an increasing trend in fisheries and other natural resources (Pearse, 1992). in its most basic form,Rights-based management of fisheries, refers to bundles of and responsibilities.entitlements that confer both privileges since the For example, Economic Zones (EEZs) through1980s, countries have established Exclusive which miles fromthey claim exclusive rights up to 200 nautical Such rights-based baselines. approaches are evolving to address more complex issues, and discussions referring approaches”to “rights-based management” or “rights-based are now expanded to 2010; Charles, 2011) to reach, for example, include human rights (Charles, 2008; FAO, adequate livelihood and poverty-reduction criteria (Willmann, 2010). Rights are is much misunderstood. A “right” can be thought of an emotive issue that as an entitlement assured by custom, law or property, and defined by legal, social or ethical principles. Some rights have been described as universal, natural, permanent and inalienable while others are thought to be more culturally specific or limited to groups.specific by international defined be Rights may and custom, or national law or Rights generally involve two parties: those may be changed or removed society. by that hold the right and those that have responsibility to uphold the right. The effective - ness of the right is in large part dependent on each party fulfilling its role (Donnelly, 2003). Rights in fisheries have tended to refer to a legally defined ability to do or to own something, e.g. to catch a quota of fish, to access an area of water or to harvest a certain species. 4.5 The Partnership for African Fisheries (PAF), Fisheries (PAF), for African The Partnership Union, of the African operated under the auspices to the economic an approach piloting is currently Africa through fisheries of rationalization of the management (WBFM). This wealth-based fisheries the continent. policy across will inform fisheries BOX 5: BOX practice in An economic approach (GSSF) currently 2012b, 7) recognizes being prepared (FAO, by FAO Ecosystem-based management

adopting participatory approaches at all levels of the planning and implementation steps ensuring that all key components of the fishery system are considered (including those related economic and governance to the ecological, social, dimensions) and also take account of external drivers such as climate change

• • Ecosystem approaches to fisheries (EAFs) represent a move away from management harvestthe sustainable on only focus that systems targetof or the manage- species that also considers the major components of ment of fishers’ behaviors, to a system benefits that can be derived fromthe ecosystem and the social and economic them 2012a). EAFs also follow the direction on established by the 1993 Convention (FAO, an attempt to reverseBiological Diversity and can be seen as the divergence of two management goals that call for i) conserving the structure, diversity and function of ecosystems and ii) satisfying societal and human needs for food and economic benefits (Zhou et al., 2010). But it also recognizes wider importance the of ecosystems services and the long-term benefits of their continuation. Committee on Fisheries (COFI) in 2003 as the most ap- adopted by FAO’s EAF, FAO’s propriate explicitly indicated as the target management framework, was framework by (2008) suggested Summit of Sustainable Development (WSSD, 2002). FAO the World that ecosystem approaches management should be implemented with the to fisheries following features: Pomeroy and rules, noted that rights (1994) and sanctions are or incentives essential for the effective to harvest system. Rights any fisheries management operation of resources a number of formshave taken transferrable licenses, individual that include quotas (ITQs), and territorial most cases, fisheries rights use rights in fisheries (TURFs). In responsibilitiesalso have associated that need to be adhered to, as reflectedCodethe in Fisheries (Charles, 2011). Informalof Conduct for Responsible rights are being recognized more and more, and are being converted into formal fisheries es- rights in developing systems. These informalpecially in co-management property which have or use rights, aroundtended to be based community ownership of resources, are becoming more formally recognized. The draft International Small- Guidelines for Securing Sustainable Fisheries Scale responsibilitiesand “[r]ights that communi- fishing small-scale on bestowed be should restore,to ties protect theywhich on ecosystems coastal and aquatic local manage and have used traditionally for their livelihoods.”depend for their wellbeing and that they For example, individual transferrable quotas (ITQs), used in a number of developed fisheries across the globe, receive much attention in the literature. They can be seen as part approach of a rights-based where the right to a certain part of a total allowable is transferrablecatch (TAC) and tradable. They are being established on a TAC based for a fisheryallocated to individuals, TAC limits being the and the quotas within vessels or groups. Key questions around the specific design of ITQs include i) method of allocation and charges for a accessing a quota, ii) length of time of ownership of the iv) divisibility of quotas, v) the ability to quota, iii) its transferability between users, and vi) enforcement.assess the TAC 4.6

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 20 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 21 et al., 2008). In orderet to understand the complexity of fisheries management, es- the complexity of fisheries management, pecially with respect to small-scale fisheries (Mahon (2004)Mainprize and Hall complexity, this suggest the need for ecosystem performance measures and reference points for a diversity of metrics to provide an overall picture of the ecosystem. which Integrated coastal management (ICM), of aims to bring together a wide diversity sectors, interests and groups a large in area, approach management one is comple- that Likewise, ments the wider approach of EAF. marine protected can play an areas (MPAs) important role in EAF. The concept of ecosystem-based approaches is now being extended to address a much wider set of issues where man- fisheries agement concerns are embedded in the local economic, social and environmental situations and designed not only to improve existing resourceto addressbut use future issues such as climate change. Conservation Internationalits approachdescribes (2011) as ecosystem-based adaptation (EbA), “which capitalizes on the ability of natural systems to encouraging the use of the best available knowledge – both scientific and tradi- – both scientific available knowledge the use of the best encouraging decision-making tional – in promoting systems adaptive management the adoption of institutions and practices. building on existing hilippines Source: Conservation International, 2011 Conservation Source: • • • FAO promotes the most recent EAF as FAO stage in a process of fisheries management EAF’s Responsible Fisheries and guidelines for Code of Conduct for which includes the recognized in 2003. EAF is implementation developed as an important guiding the most date, 2012b). To Fisheries (FAO, Guidelines for Small-Scale principle in FAO’s countries such as Norway, of the EAF have been in developed extensive applications Australia and the EU. of the EAF may seem relativelyAlthough the concept straightforward, its implementation requiremay largea of involvement the groups,stakeholder of number particularly theif implementation is across improved sectors. This implies a need to find ways of defining and sharing responsibilities. The importance of stakeholder participation in EAF has implications for the type of governance arrangements required to implement that approach 2008). As regards(FAO, existing fisheries management procedures,FAO recommends supportingcurrent orderin adapt and evolve to them enabling systems, management to the ecosystem approachbecome EAF compliant. In many ways, to address is designed P ) in the A b E BOX 6: BOX adaptation Ecosystem-based ( International (CI) is Conservation In the Philippines, marine corridor, Island Passage the Verde targeting 830,000 where specifically its coastal ecosystem and depend on its marine resources people live and aquaculture including fishing, for livelihoods tourism. such as population, pressures With increasing for aquaculture, clearing of mangroves overfishing, and in erosion and logging will result development degradation of the natural coast. The vulnerability completed in 2009, assessment for this region, Based in a series of recommendations. resulted CI is working with partners to implement on this, and to enhance coastal protection two initiatives: actions include Key resilience. fisheries strengthen training local communities reforestation, mangrove in EbA coastal management and government application of best fishing practices and techniques, strategies. and income diversification technologies, (Pomeroy, 1994; Sen and Raakjaer Nielsen, (Pomeroy, dif- 1996). Sen and Raakjaer Nielsen (1996) ferentiated this from community-based resource (CBRM) because with management co-management, governmentalso involved is in the decision-making process concerning Abdullah et the management of the fishery. al. (1998, 106) found that “co-management is a middle course between pure state property and pure communal property regimes,” while Guttiérrez et al. (2011) referred to co- management as community-based co-management where work fishers and managers together to improve the regulatory process. In many respects, and com- co-management munity-based management are separated degreethe by governmentof involvement 2006). and community centricity (Alpízar, wider context of Exclusive in the However, Economic Zones (EEZ), markets, infrastruc-

Source: Dickson, Source: www.worldfishcenter.org Co-management Co-management Co-management systems aresystems Co-management partsmany in popular becoming areand world the of (see Box 7). demonstrating considerable levels of success The greater not only involvement of fishers in the management decisions of fisheries builds on traditional systems of resource management in many parts the world, it of reflects both an increased awareness need to empower and engage fishers in of the the management process, and a recognition that it is potentially less expensive than trying 2006). Berkes (2008) discussed the oppor- to manage from the center (Alpízar, and community conservedtunities and challenges of using indigenous areas (ICCAs) for conservation they have a role practice, noting that that conven- to play in ensuring tional conservation approaches become more inclusive and pluralistic. In its simplest form, co-management can be described as fisheries management where roles and responsibilities are shared the government between and the users assist in human adaptation to climate change.” CI defines EbA as “the use of biodiver- defines EbA as “the climate change.” CI adaptation to assist in human services and ecosystem sity part as to people help to strategy of an overall adaptation adverse effectsadapt to the (see Box 6). of climate change” The interpretation of ecosystem approaches is also becoming increasingly sophisticated – with moreamong different attention given to the interlinkages ecosystems, with more recognition in terms of marine and coastal management of “from to the deep-sea with morethe ridgeline”, and recognition ways ecosystems interact with each of the “expanded” complexities of these added The eds., 2010). Kershaw, (Silvestri and other ecosystem approaches clearly has important implications for the decision-making processes, and institutional structures policies required to support them. 4.7

During a ten-year period, the Bangladesh During a ten-year in partnership with Department of Fisheries, established and 11 NGOs, Center the WorldFish 130 Over 116 water bodies. over community control organizations community-based poverty-based in the management of these involved were (CBOs) water bodies. the for the right to operate these fisheries, In return CBOs had to embrace the principles of sustainable fisheries management. BOX 7: 7: BOX in inland water Co-management bodies in Bangladesh

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 22 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 23 et al. 3 where exist for government mechanisms to consult with users where government decisions to has delegated authority to make where governmentpartners and users cooperate as equal in deci- where there is only minimal exchange of information gov- between where users advise government taken and govern of decisions to be - (1998, 106) noted that “[s]trictly speaking, pure noted that “[s]trictly et al (1998, 106) property communal ernment arrangements and users (e.g. co-management in inland fisheries in Ban- gladesh) sion-making (e.g. customary rights areas in Fiji) COOPERATIVE: ADVISORY: INFORMATIVE: INSTRUCTIVE: CONSULTATIVE: ment endorses these decisions user groups who are responsible for informing government of these decisions (e.g. the mechanized seine fisheryin Inhassoro, Mozambique). but all decisions are made by the government es- (e.g. the fisheries committees council in San in Malawi and the bay management tablished on Lake Malombe Miguel Bay in the Philippines) The examples given were from a sample of 22 case studies on fisheries co-management. a sample of 22 case studies on fisheries from were given The examples

• • • • • While co-management covers a broad spectrum of relationships between government and users, others such as environmental advocacy groups and scientists may also feel they have a role to play in the process. The level of participation by non-state actors can often reflect political preferences cultural or the of the country concerned (Sen and Raakjaer Nielsen, 1996). Co-management, in addition to being regarded as a management approach on its own, is also key to other approaches, such as integrated area management, ecosystem- based management, protected area management and adaptive management (Evans et al., 2011a). The developing focus on co-management in fisheries is, in part, a to the response et al. (2012) more top-down forms of management. But, as Wamukota failure of other, noted, there debate about whether co-management has has also been considerable provided the expected benefits. There seems to be widespread agreement that co- especially management has a growing role to play in fisheries management globally, support to evidence the tropicalsmall-scale in still this However, fisheries. coastal remainslargelyelusive, processesthe of complexity the of because the and involved requiredoften frames long-time Evans impacts. distinguishable see clearly to (2011a, 1938), carried studies in 90 sites, noting that out a meta-analysis of 29 case “overall fisheries co-management delivers benefits to end-users through improve- the dataset as a whole is con- ments in key process and outcome indicators. However, stituted primarily of data from When we exclude this body of work, the Philippines. few generalizations can be made about the impact of fisheries co-management.” 3 ture, safety and rescue, environment policy and legislative and the associated in which exists, it is difficultfisheries of any fishery to conceive which is not co-managed. Abdullah coastal resource community-based systems and (CBCRM) are management always propertyembedded in state systems and derive their strength from them.” provide(1996) Nielsen Raakjaer and Sen broader the within classification useful a as follows: scope of co-management © Roberto Faidutti

24 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 25 5 Source: CFDO and IMM, 2004 CFDO and IMM, Source: ambodia C the impact on their livelihoods and to score and to score the impact on their livelihoods generated the policy reforms them. Initially, reduced reduction, in poverty improvements food income and improved improved fishing costs, time as but these started to decline over security, people to join the fishery. encouraged more they opportunities for small-scale also created They and for small-scale farmers who were processors better able to access flooded land. The success of different fisheries management systems can be management fisheries The success of different impact. This section discusses impacts, in terms of their measured through achieved and what has been might be measured how they fisheries management. Impact has two sides. One concerns the achievement of the objectives established in the management regime, measurable the second defines the actual, objectively impacts of the management regime on the resource, environment and people’s lives, impacts identified in the literaturei.e. the intended versus the actual. The are often towardsbiased be may and selective perspectives economic or ecological social, effectiveness(Bennett, 2005b) or even biased to demonstrate selectively (Wamukota is adopted, it may have bias within it, e.g. et al., 2012). Even when one of these biases may be those of the researcherthe type of sociological indicators selected rather than those of the people who are assessing impacted. This needs to be kept in mind when CBCRM programsimpact. In the Philippines, for instance, are effective in engaging

BOX 8: BOX of impact in Assessing community perceptions In Cambodia, the decision to introduce fisheries management was a community-based had its perceptions political one. The government of improving in terms of what it wanted to achieve but it also wanted to see what livelihoods people’s the communities had. perceptions of participatoryIt adopted a process impact policy effectiveness. assessment to evaluate asked to identify stakeholders were Different Impacts

5. in the form of stewardship of productivity (the maintenance and the cost effectiveness of the arrangement (transaction costs or net this is divided into representation (of users), process(transpar- clarity (2012) complemented this by indicating that co-management et al. (2012) complemented this by indicating

ency and accountability), homogenous expectations (similarity of user expecta- ency and accountability), homogenous tions) and distributive effects (equitable distribution of benefit flows). SUSTAINABILITY: SUSTAINABILITY: EFFICIENCY: EQUITY: returns) ecological characteristics) and resilience and (the ability to withstand changes shocks)

• • • Wamukota Wamukota success can be measured through social dimensions, the condition of the resources In regard management to community-based fisheries and aspects of wider ecology. importance(CBFM), Kuemlangan (2004) noted the of balancing the livelihoods of fisheries with improving fish resource conservation Weeratunge et or management. can be measuredal. (2013) pointed out that human wellbeing of different in a number ways but, in relation to fisheries, this is not a well-developed area of research. They also noted that fishers’ perceptions time, which needs to be of wellbeing changes over accommodated in any wellbeing analysis. Assessing the delivery of impact is often confused by a lack of clarity around the aims of the intervention. Many programs have confused policy objectives that interact, are internallyal. , 2001), are inconsistent (Bellamy et unrealistic or are incapable of measurement.objective recognizeto seem Few trade-offs In prioritize. to need a or part, the ability to measure impact is time dependent, with some impacts taking many years to become apparent. situations, the theory In other of change itself may be changed over time to reflect political aims, and the focus of implementation changing may shift while the impacts being evaluated may remain unchanged (Bellamy et al., 2001). Co-management impacts seem to have been studied more than most. Sen and Nielsen rationale (1996) noted that in most of the co-management cases they studied, the for introducing that the fishery co-management was was reaching a point of over- exploitation or was already making it a form over-exploited, of crisis management. local communities but resourcelocal communities users are their liveli- about the impact on skeptical noted that different et al. (2011a) also et al., 2009). Evans hoods (Maliao tend studies to measure different include biases towards indicators and or they favorable places, projectsfocus on successful or projects that are currently supported, being is which likely to producemore favorable results. There be confusion around can often criteria used impact because of who decides the to assess it. Researchers of what should, could or has occurred or managers views may be very different and different from those of the community, stakeholder groups may also have quite differentin the community Par- perceptions from each other. ticipatory approaches to policy reform reveal impact assessment can often interesting Box 8). aspects of impact (see According to Hanna (1996), there are three main means of assessing the effectiveness of co-management:

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 26 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 27 Although it was mostly not possible to assess the outcomes in terms of sustainability, outcomes in terms to assess the it was mostly not possible Although of sustainability, in most cases efficiency, equity and representation was increased and process clarity was improved. Guttiérrez of co-management that the advantages et al. (2011) noted responsible sense of ownership which encourages include an enhanced fishing, greater restraints, to local socio-economic and ecological sensitivity improved management through by users in decision- use of local knowledge, collective ownership making, increased compliance with regulations through peer pressure, and better monitoring, control and surveillance by fishers. is the general lack of strong what is rather disappointing about evidence However, of inclusion. Evans et al. on people’s livelihoods and sense the impact of fisheries scarcity(2011a) noted the on fisheries co-management of impact assessment data Hilbornin developing countries. therefound that 272) also (2007a, “very has been success and failureslittle systematic attempt to evaluate the fisheries.” of individual deficiency of formalRoe et al (2009, x) found that a “major CBNRM projects is the qualitative data on the social, economic and absence or paucity of quantitative and/or environmentalHilbornand impacts,” therethat noted also (2007) are systematic no fisheries. evaluations of the ecological impact of In reviewing Sutinen (2010, the evidence for the success of fisheries management, there“Although that: concluded 97) are fisherymarine some for spots bright several resources (marginal improvements in stock status, growing rights-based man- use of agement, capacity reduction programs, to name a few), the evidence overall leads me to conclude that our marine resource management institutions have failed to conserve resources and improve communities.” the economic health of coastal Although there are of really few examples in developing successful management country can be learned coastal fisheries, much still from the existing operations of fisheries management that may inform a better way of doing things. These critical success factors are outlined in the next section. © Roberto Faidutti

28 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 29

This section of the report presents evidence from the literature, the literature, from evidence presents This section of the report that have as to factors informants, with key cross-referenced in making fisheries management work. been key In spite of the paucity of evidence on the impact of fisheries management systems and In spite of the paucity of evidence on the approaches, there is some evidence about which factors influence success in particular fisheries in particular locations at a particular time. This section starts with a brief introduction of some of the efforts undertaken by naturalspecialists in the fields of fisheries and resources management to encapsulate at these factors in moreframeworks of success factors. It then looks under three detail headings: i) factors affecting policy and planning, ii) factors affecting technical imple- affectingfactors iii) and mentation factors arecritical The engagement. community those which fisheries experts and practitioners perceive to have influenced the extent approach management fisheries a which to direct had has or planned over influence perceived impact. As our concern here is to achieve an understanding of the balance between social and ecological impacts, the critical success factors are reviewed in terms of both social and ecological impacts. This analysis does not give a concrete solution to management problems but indicates the trends towards in thinking and practice more- successful ways of implement ing management. As Hilborn (2007, 300) noted, “there is no single prescription for The appropriate moving currently unsustainable fisheries towards sustainability. method will depend greatly circumstances.” on local Arthur (2005, 4) concluded in government’s UK the by funded management, fisheries of study 11-year an Depart- Internationalment for circumstances Development (DFID), “[w]hile a diversity of and theresuggests needs co-management arrangement‘optimum’ or single is no for any region,situation therelocal nation or arefeaturessome common and all to common lessons that can be drawn from the study of different arrangements.”

Critical factors that influence factors that Critical

6. success Source: Arias Schreiber and Halliday, 2013 and Halliday, Arias Schreiber Source: appropriation and provision rules are collective-choice arrangements collective-choice monitoring of conditions and behavior graduated sanctions depending on the seriousness of an offense authorities of by government minimal recognition to organize rights of appropriators enforcement nested enterprises with monitoring, in multiple levels activities organized and governance systems. part of larger that are for CPRs rapid, low-cost, local arenas exist for most individuals affected by a resource 3. 4. 5. 6. conflict-resolution mechanisms 7. 8. the rights of local users to make their own rulesthe rights of local users to make their own appropriation rules are congruent with provision individuals who are accountable to or are the users clear boundaries that separate a specific common-pool separate a specific common-pool clear boundaries that sanctions for rule violations start very low but become when a common-pool resourcecommon-pool a when a to connected closely is individuals who are accountable to or are the users monitor clear and locally understood boundaries between legitimate boundaries between legitimate clear and locally understood eruvian anchovy fisheryeruvian anchovy P Some frameworks of success factors Some frameworks rules: the distribution of costs is proportional of benefits to the distribution stronger if a user repeatedly a rule violates resource from a larger system are socio-ecological present congruent with local social and environmental conditions CONFLICT-RESOLUTION MECHANISMS: CONFLICT-RESOLUTION RIGHTS: OF RECOGNITION MINIMAL ENTERPRISES: NESTED CONGRUENCE WITH LOCAL CONDITIONS: LOCAL WITH CONGRUENCE PROVISION: AND APPROPRIATION ARRANGEMENTS: COLLECTIVE-CHOICE USERS: MONITORING RESOURCE: THE MONITORING SANCTIONS: GRADUATED USER BOUNDARIES: USER BOUNDARIES: RESOURCE regime are to participate authorized in making and modifying its rules users and nonusers areusers and nonusers present the appropriation and provision of the users levels are recognized by the government monitor the condition of the resource resolving conflicts among users or with officials larger system, governancesocial-ecological areactivities organized in multiple nested layers. • • • • • • • • • • • Ostrom for the management of com- the following design principles (2009b) identified mon-pool resourcesthat were management period of time and sustained over a long absent from fsystems: In spite of these concernsIn spite of success, some the specificity of for researchershave Some are generalized criteria. design principles or developed the outlined below with discussed in morecomponents detail in later sections. 6.1

early defined boundaries defining who has rights of the and the boundaries to withdraw resources common resource time, (restricting congruence between appropriation rules (requiring etc.) and provision place, technology, and local conditions material, and money) labor, 2. BOX 9: BOX Design principes for the fisheries assessed anchovy A study of the Peruvian principles” eight “design the applicability of Ostrom’s management of long-lasting common pool resources as (1990) confirmed these could serve Ostrom regimes. and understanding of large- tool for analysis a valuable systems: scale common pool resource 1.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 30 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 31 et al. (2001) determined that success was due to a number of factors including: the resourcethe participation stakeholders’ project in ownership of sense and planning and implementation clarity of objectives supportive leadership the partnership fishers and government between enforcementspecification and legitimacy of user rights capability building tangible benefits such as redefined resource to non-destructive access, a shift improved methods, fishing enforcement, observable and economic biological, and social changes. dialogue and linkage between traditional and scientific knowledge systems mechanisms for interaction between scientists, managers and decision-makers continued human and technical capacity building of research institutions essentiality of addressing sea tenure land and and common property rights genuine involvement and empowerment of local communities and civil society including community-based organizations local non-governmental (CBOs), and organizations (NGOs) credible and equitable arrangements for benefit-sharing with communities open availability of information for overall transparency and accountability integration of socio-economic opportunities into conservation programs recognition of and respect for local and traditional institutions openness in collaboration between traditional and government institutions strengthening of relevant institutions providing entry to decision-making management agreements institutions for cross-sectoral between coordination legally backed quota rights legally backed quota sufficient common interest to make negotiations feasible clear awareness collective management will generate benefits among fishers that non-fishers for both fishers and rights should the collective arrangementan acceptable system for disposal of close an effective for deterring system violations with sanctions clear signals that such arrangements will not be overturned by higher levels of government. • • • • • • • • • • • • • • • • • • • • • • • • • Sustainable use of coastal and marine resources in Tanzania Sustainable use of coastal and marine resources Francis and Bryceson learned (2001, 76) identified general lessons and key factors, including: Refined versions of these have been tested in the field and demonstrated their value, their value, field and demonstrated been tested in the of these have Refined versions in Box 9. as shown Similar sorts of criteria that support experiences have been positive management identified by other researchers. the findings of Leal (2010), The following highlights BrycesonBerkes et al. (2001), Francis and (2001) and Bennett (2005b). management of quotas Community that, to be effective,Leal (2010) suggested require: the communities management in San Salvador Fisheries Berkes Factors affecting policy and planning long-termand broad-based visions in policy thinking processdemocratic and implementation. involvement in policy-making of public use rights compliance and enforcement biology and luck policy frameworks pro-active industry stakeholder participation multi-sectoral approaches. factors affecting policy and planning factors affecting technical implementation factors affecting community engagement.

• • • • co-management • • • • • • • • Measures which achieved their objectives which achieved Measures a number of drivers fromBennett (2005b) collated Organisation a 1997 of Economic (OECD) study on measuresCooperation and Development their which achieved These werefisheries objectives. found to be: • areBennett noted that few if any of these factors on their able to contribute to success with others. own but need to be applied in association As can be seen from these examples, the factors which support positive management experiences are likely to be numerous, and operating over several scales. For conditions et al. (2012) found that “[t]he full list of contextual example, Wamukota common-pool of the success influence to thought resource large is management (>30).” But having systematically reviewed projectsco-management 38 papers of 49 related to reefs, that few studies presented they concluded results that covered the reportingthat and criteria success social-ecological of range full likely was selectivity to have been high. Success factors appear to operate at different and here levels have reviewed we them at three levels: noted that while this helps split the number of factors into opera- we have However, levels tional levels, some operate at multiple levels – and the linkages between these are as important as the levels themselves. Factors affecting regionally policy and planning are broadly those that act globally, This includes relating fisheries management to the complexity of the and nationally. management situation and conflicting aims, recognizing the importance of context, operating at different scales and levels, ensuring institutional coherence, ensuring ecosystem viability and adapting to external change. and integration Embracing complexity process.complex above, a as mentioned Fisheries management is, Efforts simplify to there is a focus on that process tend to result in simplistic solutions. Increasingly, embracing complexity and integrating management across sectors. 6.2

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 32 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 33 complexity can often mean that problemscomplexity can often have no right or wrong as answer (see Box 10). But the potential for fisheries Link (2010) noted, so complex that it management to become by be avoided should unmanageable becomes right. getting the balance management tended In the past, fisheries to represent the issues involved in coastal form.fisheries management in a simplified fromThe use of single species models trans- temperate waters, for example, has been ferred operating in to multi-species fisheries this ecologically diverse ecosystems. While stocks, has generated much knowledge of the 2010). it also has many limitations (Link, largerModels based on fisheries with fewer vessels landing into fewer ports with good Source: Jentoft and Chuenpagdee, 2009 Jentoft and Chuenpagdee, Source: Coastal areas are, by their nature, support complex. They of species, eco- a diversity a dynamic environment stakeholders in systems and where land-water interface the The very constant change. generates nature ecological approaches of social and to resourcesnatural together bringing of complexity the with dealing means management politics and culture. This the economy, factors that relate to the environment, society, infrastructure with and monitoring facilities do not always transfer well to fisheries sites with limited monitoring. many small craft landing into dispersed differentA key factor of success is bringing these elements together in ways that Acknowledging and dealing with the holistic integrate them as a working whole. nature of the coast is an important starting point for understanding how to bring other factors into a management approach. noted, As Link (2010, 3335 of Kindle edition) “without a place, process, or some such mechanism to sort out the social, economic, biological, ecological, and cultural tradeoffs, we will remain mired in the same difficulties we have faced for centuries.” Pomeroy that the delay in developing community-based management in (1994) noted fisheries, comparednatural with other resource systems is due, in part, to the complexity of coastal and marine resource systems, the social and cultural structure of fishing communities, and the independent nature of fishers. Addressingcommons management, Berkes (2006) noted that it the issue of scale in may be more useful to think in terms of managing complexity rather than simply trying manage- to “scale up”. This involves thinking of management of the commons as the ment of complex systems, and recognizing that communities are themselves complex systems embedded within a larger and economics. Ostrom complex system of politics (2009a, 421) identified a number of variables that need to be considered in analyzing it can be socio-ecological systems. Shown in Box 11, these demonstrate how complex to understand and to monitor such systems. Understanding the processes lead to improvements that in, or deterioration of, natural resources is limited because scientific disciplines use different concepts There is increasing study of the “wicked” nature study of the “wicked” nature is increasing There that face fisheries and of some of the problems those are “Wicked” problems coastal governance. from difficult to define and delineate that are easily. tend not and to be resolved bigger problems answer that no right or wrong have Essentially they place can be scientifically determined. This can and fisheries limits to how rational and effective be. can possibly coastal governance BOX 10: BOX of fisheries Wicked problems management et al. (2012) found that there are thresholds where existing systems are

and languages to describe and explain complex social-ecological systems (Ostrom, social-ecological explain complex to describe and and languages currentThe 2009a). an has polarized to marine biodiversity fisheries and on debate extent around three areas: key ii) marine conservation rationalization, i) economic areas issues. Each of these and iii) distributional/equity emerged has from specific i.e. a sharedwhich operates within a specific discourse, disciplines, each of way of ap- prehending world which constructs the meaning and relationships, creates and uses helps to define common sense knowledge in its own way, its own language, validates and contentions that and builds assumptions, judgments and legitimate knowledge, provide for analysis and debate (Dryzek, the basis 2005). to separate, confuse and isolate partsSuch discourses tend of the debate from other parts, which then tend towards reductionism the solutions they provide in and to heightened disagreement between differentdiscourses. Bromley that (2009) noted economics, confused concepts even within fisheries result in incoherentof models fisheries management. Compartmentalization of the fisheries/biodiversity debate around the three key areas to fisheries by oversimplified solutions mentioned above has often been characterized problemstransferrableof individual the use as such marine protected quotas, areas et al., 2006). This has been compound- and community-based management (Degnbol 2000). Ostrom away fromed by the evolution of these discourses (Belsky, each other organizeto framework common a without that, noted (2009a) isolated findings, knowledge does not cumulate. Armitage wheree.g. valid, longer no have fisheries coastal of level a reached resource decline that produces profound effects This suggests that systems, on the system as a whole. whatever formthey take, should be sufficiently and adaptable to embrace flexible change and respond to it. One approach to this calls for utilizing multi-level arrange- wherements different governanceor management levels of differenthave roles and responsibilities,areand throughlinked coordinating(Ostrom,institutions 2009b). rolesof devolution The responsibilitiesand necessarythe be may action, of course in part to address government, capacity issues within but such transfers also have the effect which may be difficult of redistributing power, for government to deal with (Mahon et al., 2008). The multi-species nature especially in high biodiversity areas of fisheries, such as coral reefs, particularly can make management difficult. The potential number of interactions of different species and ecosystems in any given fisherycan be extremely high, which manifests itself in many different instance, the fisheries (Link, 2010). For multispecies naturefishery of the man- coast constrains Pradesh Andhra India’s along agement measures2005). Studies of coastal fisheries and other natural (Salagrama, resourcerulesdepends upon matching success systems suggest that the local to resource context and attributes (Ostrom, 2009a). In research on coastal resource(CRM) in the Philippines, Fabinyi et al. management (2010) demonstrated that various aspects of social complexity also have significant demonstrat- they complexity, social highlighting By outcomes. the for implications ed how the planning, implementation and impacts of CRM have different effects for

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 34 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 35 Source: Ostrom, 2009a Ostrom, Source: accountability, sustainability) accountability, bio-diversity, resilience, overharvested, (e.g., sustainability) Governance systems Governance organizations G51 Government organizations GS2 Nongovernment GS3 Network structure systmes GS4 Property-rights GS5 Operational rules* rules* GS6 Collective-choice rules GS7 Constitutional GS8 Monitoring and sanctioning processes Users (U) U1 Number of users* U2 Socioeconomic attributes of users U3 History of use U4 Location U5 Leadership/entrepreneurship* capital* U6 Norms/social models* U7 Knowledge of SES/mental * U8 Importance of resource uses U9 Technology equity, efficiency, (e.g., 01 Social performance measures 02 Ecological performance measures 03 Externalities to other SES Related ecosystems (ECO) Related ecosystems Interactions (1) outcomes (O) (1) outcomes Interactions Social, economic (S) and political settingss S1 Economic development,. S2 Demogaphic trends. S3 Political stability. Political S3 S2 Demogaphic trends. S1 Economic development,. S4 Government resource polices. S5 Market incentives. S6 Media organization. Market incentives. S5 polices. resource S4 Government ECO1 Climate patterms. ECO2 Pollution patterns. ECO3 Flows into and out of focal SES. patterns. ECO2 Pollution ECO1 Climate patterms. *Subset of variables found to be associated with self-organization. found *Subset of variables I1 Harvesting levels of diverse users of diverse levels I1 Harvesting I2 Information sharing among users I3 Deliberation processes among users I4 Conflicts activites I5 Investment activites I6 Lobbying activities I7 Self-organizing I8 Netowrking activities Resource systems (RS) systems Resource fish) pasture, forests, water, RS1 Sector (e.g., boundaries RS2 Clarity of system system* RS3 Size of resource facilities RS4 Human-constructed of system* RS5 Productivity RS6 Equilibrium properties dynamics* of system RS7 Predictabaility RS8 Storage characteristics RS9 Location units (RU) Resource unit mobility* RU1 Resource rate or replacement RU2 Growth units RU3 Interaction among resource RU4 Economic value RU5 Number of units markings RU6 Distincitve RU7 Spatial and temporal distribution BOX 11: BOX systems social-ecological analysing for in a framework variables of Examples

differentgroups make that systems socio-cultural the of complexity The people. of moving away from interact means people and ecosystems up the way - simplistic gen al, 2008; Ostrom, (Mahon et and embracing complexity about the coast eralizations and using behavior patterns 2013). Understanding Townsley, 2009a; Campbell and that emerge from measurescomplexity might suggest that management focus more developing participation,on building trust,to change, internalizcommitment gaining - and fostering common interdis enhancing communication - ing the political economy, ciplinarytechnical measures rather than focusing on specific discourses (Campbell 2013). and Townsley, Therea growing is also realization- situations, such as those that charac that complex will often generate formsterize coastal fisheries, of feedback, learning processes and non-linear relationships that are not always predictable. These are more becoming difficult predict to external due to that affect factors fishery the as climate – such hazards,natural change, becoming moreand food prices – global fuel in- and common However, 2013). Townsley, (Campbell and fluencing fisheries and coastal livelihoods attempts to break down these complex relationships at sectoral and sub-sectoral levels fail to recognize the interconnectedness of the social, economic and ecological 2013). Ferrol-Schulte et Townsley, and systems in which fisheries operate (Campbell al. (2013) called for a more holistic approach to understanding coastal livelihoods in order more to manage coastal and marine social-ecological systems effectively. Thereincreasing is realizationfisheries are, that fact, complex social-ecological in systems that are conditions capable of adaptation as management systems alter et al. (2008, 110) proposed(McConney and Charles, 2008). Mahon “an approach that emphasizes enabling self organization and adaptive capacity through empowerment, learning, response and systems and promoting positive, equitable, transparent foundation for governinginteraction among stakeholders” as a fishery systems. In Armitagereviewing a number of papers concerned et al. (2009, with this complexity, 95) determined that “[e]fforts resolve to multi-scale environment-society dilemmas require governance innovative approaches.” approachesthese innovative of Some are starting emerge,to but there still much is area.this in done be to there main, the In fisheries implement to tendency a been has processesmanagement fromisolation in fromand activities coastal wider planning the future,and management actions in other sectors (Copes and Charles, 2004). In the social and fisheries management will have to take into account a much wider set of economic variables and addressinter-generational issues (Copes and Charles, 2004). This has started to emerge as a way forward in some areas. In the Philippines, there has been some success in integrating fisheries into a wider process of integrated coastal management. In fact, integrated coastal management (ICM) is now replacing the narrow focus of fisheries management and narrowly based habitat management and moving more towards ecosystem-based management which emphasizes the need al., 2006). The potential of ICM to addressfor integration and collaboration (White et coastal complexity through breaking down institutional barriers is gaining support startingis and effectspositive show to the complexity But 2006). (Christie and White, of such approaches requires that they be developed over time through correspond - ingly complex systems of consultation and institution building.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 36 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 37 optimal and sustainable use of fish resources and their supporting ecosystems; relationin especially objectives, economic large-scaleor small- either to fisheries; employment and improvingsocial objectives, including maximizing livelihoods; including access for only small-scale fisheries; and objectives related to equity, liberalization, market access etc.) which any other objectives (for example trade may have impacts on this sub-sector.” • • • • • Fisheries management tries to addressmanagement tries Fisheries economic, environmental social, and political Deciding how to (Cochrane, 2002). with each other these often conflict aims, but trade-off between differentprocess aims is not an objective but is ultimately a political aims and discusses the im- This section looks at these conflicting one of negotiation. portance of responding to them. A fishery risk, enterprise, endeavor, system that links individual human is a complex and political economy, the natural world, the culture, the physical world, technology, aspirations and values. Differentwider society’s beliefs, people’s perceptions of reality influence the aims that areand their ideals can chosen for different interventions. For example, wilderness points on a spectrum science uses two approaching when man- wildernessagement: i) the pristine of humans, and ii) humanized landscapes devoid 2000). Differentand manipulated ecosystems (Belsky, lie within fisheries ecosystems this spectrum but different aims place different at different fisheries points along it. Even within a given fishery, the aims of different engaged in the sector are people often confusing. These aims may be numerous, often conflicting or requiring trade- offs, often are and quite In some situations, the conflicts are being under-achieved. (2005), who identified the need to balance man- clearly defined as noted by Salagama agement efforts with providing livelihoods and foreign exchange earnings as one of the constraints to effective the management in Andhra Pradesh, India. In other cases, areconflicts moredeterminedwho 49) Sugiyama et al. (2004, by noted as complex, “[a] key factor to turn around the current trends (in fisheries in Asia and the Pacific) would be for States to resolve the competing policy imperatives of: management may be maximization of At any one time, the stated aims of fisheries production, conservation of resources and ecosystems, maximization of economic foreign em- exchange generation, nutrition security, to the nation, food and benefits ployment, poverty reduction, sustainable resource use or maximization of ecosystem service provision. There may also be many unstated aims, such as rent seeking by politicians or for powerful groups that might otherwise or threaten political stability, appeasement of some parts of the electorate, or trade-offs with other non-fisheries aims in other sectors. Historically the main aim of fisheries was to increase production to satisfy growing demand from population. Many saw the sea as full of fish, a an expanding resource that could never be depleted (Roberts, 2007; Link, 2010). But technology and fishing effort have proved that to be incorrect,are and many fisheries now over-exploited, biodiversity has changed and ecosystems are damaged. The desire to harvest fish There is also recognition that must now be balanced by a need to do so sustainably. by significant a play can fisheries poor, the especially people, of livelihoods the in role Addressing conflicting aims Addressing 4 concerned production with maximizing which translates concerned with resource rent maximization through ef- concerned with the avoidance of conflict among primarily concerned issues of employment, income, with distributional

in the traditional maximum sustainable yield (MSY) in the traditional maximum sustainable maintenance of communities and food security – or maximum job yield (MJY) maintenance of communities and food POLITICAL OBJECTIVES: OBJECTIVES: POLITICAL BIOLOGICAL OBJECTIVES: OBJECTIVES: BIOLOGICAL OBJECTIVES: ECONOMIC OBJECTIVES: SOCIAL the electorate and opposition from resource-users regarding management measures – or what he refers to as “minimum sustainable whinge” (MSW). ficiency i.e. maximum economic yield (MEY) ficiency i.e. maximum economic yield large-scale fishers may want a greater focus on economic optimization or maximum production the management regime (depending on in place) small-scale fishers may prioritize stable, reliable yields fisheries managers operate within a highly politicized context politicians often react to policy by providing appeasement measures, such as subsidies, to reduce conflict government scientists tend to err the side of caution and avoid deciding where on they stand in favor of collecting more data environmental on ecosystem and species health and the NGOs tend to focus concernsfishing, of impacts negative directly conflict to tend which of those with productioninclusiveness. maximization and social

MSW is a term first used by Pope, J.G. in 1983. MSW is a term first used by

• • • • • • • • • • 4 This gives some idea of the complexity of objectives and even of the differentThis gives some idea of the complexity ways that different It also gives some indication as to groups have of looking at the fishery. why there is so little agreement on targetsmanagement objec- for the achievement of tives – if the different groups are talking at cross-purposes about radically different priorities, they are unlikely to ever achieve a consensus on what is needed. Hilborn (2007c) suggested that the current fisheries crisis can be thought of largely as a conflict between these differentpolicy objectives objectives, and linked these possible to different stakeholder groups in a way that clearly differentiates the groups from each other: providing issue of equity in the As such, the and income. food, nutrition, employment flow benefits that is also important.from fisheries there management having conflicting aims, In addition to fisheries also seems to be a aroundsignificant divide might be achieved. Hilborn how those aims (2007b) noted that ecologists strongly support protected marine as a central part areas (MPAs) of the solution whereas fisheries specialists supportto fish” through stopping the “race ap- two These building. stock and sustainability encourage to incentives of change a proaches at the world. Claudet (2011) be seen as two distinct ways of looking need not ranging from can have multiple objectives sustainable that MPAs noted, for instance, marine resourcesof and management use Likewise, development. to socio-economic Pomeroyrecognized (2003) approaches co-management how with work well can MPAs. In trying of fisheries management and to break to make sense of the complexities them down into their component parts, Hilborn and (2007c) cast light on the motives intended outcomes of differentgroups the management of stakeholders involved in process. He concluded that there are broadly four categories of fisheries objectives: each with specific concerns:biological, economic, social and political,

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 38 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 39

Recognizing the importance of context The level and form of complexity of fisheries and their management is not constant but varies between places. The importance of local context and how it affects fisheries management comes out clearly from many references. Recognizing the importance measures management adjusting and management fisheries in context local the of to accommodate that is very important. The specific context in which fisheries management operates will have considerable influence on what works and what does not. In the wider context of wilderness management, it has been argued that there are no “right solutions” to management problems and that these should be examined in the context of particular places, peoples, issues 2000). Hilborn (2007b) acknowledged that differentand ecosystems (Belsky, situations call for different and socio- solutions. The local biological, ecological, political economy economic aspects of a fishery often determine the success of management initiatives. What works in developed countries will not necessarily work in developing countries. Guttiérrez et al. (2011) noted that countries with high and very devel high human- opment indices (HDIs) were more successful at fisheries management than those In spite of the diversity of possible aims for fisheries management, Hilborn management, aims for fisheries the diversity of possible In spite of (2007b) the broad seemingly a found agreement community, management fisheries the among conservation the resource world and even the futureusers themselves that of fisheries larger fishing, lower exploitation rates, lies with much less fish stocks, reduced by-catch, increased concerns for ecosystems, less destructive more fishing methods, of fisheries and morespatial management areas protected from fishing. In reviews aroundof schools of thought management, he identified some fisheries areas of agreement, out a broad pointing need to move towards consensus of the lower ex- to removeploitation rates and subsidies that increase fishing effort. Key elements of and allocation, fishing dedicated access, as well as: “quotas the consensus included cooperatives that internally allocate, territorial groups fishing rights for communities, individual allocation of catch quotas” (Hilbornor individuals, and 2007b, 297). form as one The debate around the implementation of MPAs, of fisheries management measure, illustrates the increasing recognition of the importance of negotia- that noted 1053) White (2007, and objectives. Christie management setting in tion dynamics are“[u]nclear goals and inattention to social almost certain to resultin Gaining the support implementation.” conflict that derails MPA of communities in the measuresmanagement other and conservation and fisheries if vital is MPAs of use aims are to be achieved. Integrated coastal management, if planned properly and with a sufficientlyholistic perspective can provide framework for bringing aims a useful ICM process As Christie and White (2006, 191) noted, the to break “tries together. down the barriers erected sectoral management of natural resources by traditional as government,well as the divide that exists among local national agencies, community groups, and NGOs.” is a fact and needs to be acknowledged Diversity in the aims for fisheries management and reconciled if we are Berkes et al. (2001) discussed move forwards to successfully. objectives can be in some detail how conflicts between ultimately this resolved but requires agreement on a prioritization process. et al. (2003, 66) reported that complexity of tropical coastal fisheries “makes

Operating at multiple scales Fisheries management cannot be addressed in isolation from other factors that affect Fisheries are, by the fluid and interconnectedthe fishery. nature of the sea, part of a bigger whole which creates social and ecological context in which fisheries the management must operate. Attempts to externalize these wider influences from the and often fisheries management equation have tended to lead to rather simplistic failed management approaches. with low to medium HDIs. Andrade and Rhodes (2012) found that although there (2012) found that and Rhodes medium HDIs. Andrade with low to is correlationa positive between gross domestic product (GDP) at purchasing power with regulations, per capita and compliance parity (PPP) other may well be due to this will, corruptionfactors such as political they also found However social inequality. and was negatively correlatedthat population density compliance. with Hilborn countries without strong (2007b, 301) noted that “[i]n central management structures, and locally controlled decentralization be dedicated access appears to In sustainability.” the transition to biological and economic the best way to make relation (CBFM), Kuemlangan (2004) fisheries management to community-based “the CBFM initiative or programmenoted that above all, should be tailored in design and delivery to the individual country circumstances.” Bell et al. (2006) determined could not be replicatedstock enhancement of scallops in Japan that the success of in factors other the of not or existence the to been due have may which Zealand, New mentioned here. While in many parts of the world there is a move towards greater engagement of communities in resource management, this is not always the case. In Costa Rica, when Alpízar (2006) compared the current level of government involvement in marine pro- he concluded that, at that of the community, tection and fisheries management with that stage of development, the greater role should remain government. with Francis and Brycesonin both government (2001) noted weaknesses - and traditional institu that needed support,tions in coastal management in Tanzania while Baticados et al. the mainland on cooperatives fisheries even within the Philippines, that found (1998) had significant differences capacities compared in their on the islands. with those This pattern of dependence on specific circumstances also seems to affect specific measures.management transferrablesubject of individual the On quotas (ITQs), ITQs, is barelyRobinson (2010, 53) noted “the first best, anywhere. politically feasible Even in the best possible circumstances, where in rich, well-functioning democracies the stakes are high, ITQs are highly controversial … If ITQs are not politically feasible in Norway, or Sierra what chance have they of being adopted in Ghana Leone? Very little would be my guess.” Rudd economically efficient policy tools such as individual transferable quotas impossible of to implement …” This is likely due to a number of factors, such as the quality the institutions in place in terms of their governance arrangements and management the financial and staff the political economy, the adherence to the rule of law, capacity, resources available, the number of vessels and the number of operating sites.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 40 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 41 level are national also influenced by the wider and regionaleconomy (see Box 12). Under- to work at these differentstanding the need appropriatethe identify to and scales for level particular roles is important- to understand works. ing what works in fisheries and how it a national role,generally Legislation is trade be controlledmay internationalby an body and the development of specific site regulations may be much more local. In some cases, roles are shared may be – policy and planning evalua- jointly developed, and monitoring and tion may be participatory. pollution, fish The movements of water, and predators across large areas, between locations and across adjacent or connected can affectecosystems function. ecosystem Likewise, water circulation patterns, climate et al., 2009). This is likely to be particularly true in coastal fisheries where the Source: Fisheries Administration, 2010 Fisheries Administration, Source: These factors that influence fisheries also operate at multiple levels. In particular, at multiple fisheries also operate that influence These factors set of ecological fit inside a wider fisheries andprocesses that influence, influ- are fisheries. There the are differentenced by, fisheries need and levels at which scales 1995). 1995; Raakjaer Nielsen and Vedsmand, to be considered (Jentoft and McCay, refersIn this case, “levels” to where“scale” refers decisions should be made and to the fisheries resource tasks to be undertaken system and the management (Sen and system is large, It is clear that when the ecological Raakjaer Nielsen, 1996). some made at the national or internationaldecisions have to be that levels, such as those deal with transboundary issues or are reflect designed to development wider national to function at the local economic conditions that allow fisheries policies. Likewise, the fluid and interconnected nature of the sea invites a much wider perspective, such as a large marine ecosystem, whereas communities of resource users may be more isolated and different from other. each The value of managing at multiple levels has become increasingly apparent. Armitage of the level – closer to to lower levels of power noted that devolution (2012) al. et resource users – works best when formal policy and regulatory support from the change effects and industrial fisheries can all affect small-scale fisheries over large areas and time frames. Where fisheries cover large areas geographical and different fish stocks, there than in the may be need for higher level management functions case of the management of a small area of reef. Arthur (2005) noted the importance of fishery the of size the for scale right the at fisheries of management getting concerned. At the larger scales, there would appear to be greater room the factors for generalizing that create and economic benefits. Berkes et al. (2000) start positive social, ecological addressto However, scales. higher at co-management in issues generalizability the the most appropriatescale to manage from an ecological perspective does not necessarily correspond to the most appropriate scale from perspectives social or economic (Roe In Cambodia, the community management of that fisheries is embedded in a wider process levels, the provincial through links fisheries, a through objectives into national development 2010- Strategic Planning Framework for Fisheries for decision-making This Framework allows 2019. to incorporate levels to different to be devolved local needs and aspirations while also ensuring at national levels. of objectives coherence BOX 12: BOX scales of across Linkages management Marine Management (ICM). Large Zone Ecosystems (LMEs), Seascapes, Coastal Seas and Integrated 2006) also noted that complex scale issues are noted that complex (2006) also al. et now resulting in combina-

Marine Ecosystems that cross national boundaries address marine ecosystems at this larger scale – especially in relation to fisheries. The term is now used to define (LME) marine management areasagencies such as the Global Environment by Facility (GEF), the International Union for the Conservation Nature of (IUCN) and the World Wide Fund for Nature and The Nature (WWF) ConservancyBank. The World (TNC) use the term “Marine Ecoregions” and Conservation International (CI) is working with “Seascapes” (see Box 13) in the Coral Triangle Initiative (Indonesia, Malaysia, Papua New Guinea, Philippines, Solomon Islands, Timor-Leste). The United Nations Environment ProgrammeSeas Approach”“Regional has developed a (UNEP) which includes action plans for protecting the environment and delivering sustainable development. Some form of wider ecosystem approach is an important component of many fisheries management programs, and integrated coastal management is used in a number of countries but particularly widely in the Philippines. Bensted-Smith and Kirkman, (2010, iv) determined that “Large Marine Ecosystems, Marine Ecoregions extent Seascapes are and to some all ecosystem-based in their state are provided. However, such devolution can generate the risk of elite capture can generate the such devolution of state are provided. However, processes.decision-making Wilson at different working tions of institutions scales to form cross-scale can networks that While the more view of fisheries management traditional address greater complexity. has been a more “command and control” approach, to create these have not tended the conservation outcomes that are desired because of the complexity and multi-scale reality issues (Armitage of the management et al., 2012). In response,- multi-level gov ernance arrangements and non-state actors are involving state emerging. Multi-levels approaches are of scale on knowledge generation, often needed to confer economies and local and link national ensure coherence acrosspolicy areas, allocate rights fairly, priorities. This is particularly so where the effects of management in a fishery will affectalong the coast or further adjacent fisheries – either out to sea. Even in fisheries research, value of shared the is being functions recognized across the research 2001), which has shown traditional ecological cycle (Campbell and Salagrama, knowledge to be very when combined with more useful, especially formal knowledge. The interconnectedness of the marine environment suggests the need for taking a broaderworld. This perspective that links fisheries to the wider ecology and human reflects a similar change which is developing in terrestrial systems (Berkström et al., 2012), such as the “tropical seascape” approach in the marine sphere. This approach that providesworks with a mosaic of interlinked patches ecosystem a multitude of services and represents a level of management intervention which is receiving of the inter-linkages and connectivity the knowledge increased interest. However, within such systems is limited (Berkström et al., 2012). In comparing a number of approaches to large areasmarine management (LAMM), for addressed(2010) Kirkman Bensted-Smith and scales marine management at multiple from the larger cases, to the local scale with scale of multiple nations down, in some stated aims that covered both marine conservation and sustainable development. These approaches included Large Marine Ecoregions, Regional

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 42 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 43 Private sector engagement. Seascapes promote sector engagement. Seascapes promote Private and development between conservation convergence of major by linking the viability and profitability economic of activities with sustainable management the ecosystem. the Social and political support. Seascapes increase as social and political viability of marine conservation and they an integral part of sustainable development, stakeholders in from support at all scales, build broad to national leaders. local marine managed areas of critical habitats and Maintenance and restoration critical Seascapes maintain or restore ecosystems. so that ecological processes habitats and ecosystems sustained. services are and ecosystem Seascapes reverse species recovery. Threatened marine for threatened declining population trends species. the Seascapes improve Human well-being benefits. social, economic, and cultural well-being of human communities dependent on marine and coastal and ecosystems. resources Sustainable financing and market mechanisms. to be financially sustainable with Seascapes strive and large stable, diverse, that are funding portfolios enough to implement all priority marine conservation activities. 4. 5. 6. 7. 8. 9. ) seascape approach CI nternational ( I geography and aregeography reasonable startingunits, around to build a programme which of marine conservation or restoration they suggested use.” In addition, and sustainable of these approaches,that for all context is very important. that (2010, iv) noted They all three approaches attained important “have results, we are yet concerned that the aim of effective governance across from sectors and at all levels, local to regional, is poorly articulatedaddressed, and inadequately in the case of the Large especially Seas Programmes They also noted that “most Regional Marine Ecosystems.” are well an increasinglyestablished and have significant role in coastal and marine resource management and conservation in their respective regions.” In relation they to ICM wrote “we consider that the other approaches (2010, iv) that studied here have much to learn from process, the ICM as they strive to overcomesome of the barriers to countries, such as: ineffectiveEBM in developing governance, under- sometimes mined by corruption; over resources, local stakeholders lacking rights power in the means to develop alternativedecision-making and and livelihoods; rapid social onservation onservation C Enabling legal framework. Seascapes generate an Enabling legal framework. Seascapes generate regulations conventions, enabling framework of laws, at and policies that facilitate marine conservation scales. local, national and regional management including MPAs. Ecosystem-based management of large-scale Seascapes advance of the use and species through marine ecosystems multidisciplinary scientific information to inform implementation, monitoring and planning, effective evaluation. Seascapes Adequate institution and capacity. build adequate institutional frameworks and and infrastructure, including personnel, capacity, structures equipment, to make marine governance and civil) work effectively commercial (governmental, and efficiently. The multiple-use marine areas, large, Seascapes are in which defined scientifically and strategically, and organizations private authorities, government the diversity other stakeholders cooperate to conserve goaland abundance of marine life, with the ultimate In each seascape, CI human well-being. of promoting corporations is building coalitions with governments, to attain nine essential and civil society organizations elements. 1. 2. 3. BOX 13: BOX Source: Conservation International http://www.conservation.org/global/marine/initiatives/seascapes/pages/seascapes.aspx Conservation Source:

political change preventingpolitical change scarcity to EBM; sustained commitment of strong civil organisationssociety supportand champion to the of some review, that Since EBM.” approaches,other Conservationthe has such International 13) Box (see Seascape and The Nature Conservancy approaches reportedly have placed greater emphasis on governance approaches. issues and context-specific the different Kirkman (2010, 22) also noted that given Bensted-Smith and nature – complementaryand, in some aspects, roles five LAMM approaches, – of the “it is overlapped. In some places their application has in many cases not surprising that be fruits and sustainability achieved may the outcomes, funding not of individual programstwo or more but of complementary, approaches. interacting An additional approaches is whether the application of multiple question to ask, then, same in the area, areas, or overlapping is synergistic or merely inefficiency by institutions caused of building on what is alreadyadhering to their own methodologies instead in place.” by many as an effective,Integrated coastal management is seen comprehensive and holistic way of bringing different The Philippines has sectors and levels together. probably had the most extensive ICM experience (White et al., 2006). ICM’s effectiveness is likely to be, in part, a resultof its ability to incorporate other tools at the local (2006, 184) noted that “[t]o be effective Christie and White level, e.g. MPAs. on a wide within larger should be embedded planning frameworks such as inte- scale MPAs These (EBM).” management ecosystem-based or (ICM) management coastal grated wider frameworks are resource designed to balance economic development with management processes in cross-sectoral ways. Ecosystem approaches at different to fisheries also place an emphasis on operating “it is noted that fromscales. Charles and Saunders (2006) EAF, the perspective of important management to take into account the impacts of fishing on the for fisheries of other human uses of the impacts of the ecosystem and ecosystem, and conversely, aspects of fisheries need also be consid- that ecosystem, on fisheries.” The ecological ered in wider development approaches where development is multiple use economic occurring.important It is to adjust fisheries manage- to understand that context and ment accordingly. there is a need for fisheries managers to look outside of their normal environ- Clearly, ment and seek solutions and linkages with other sectors (Mahon et al., 2008). This need for integration of social, economic, environmental and political concerns and issues is starting to take on a new form as integrated ecosystem-based approaches, which have considerable potential to integrate sustainable resource-use management, conservation and development into a single paradigm. The value of addressing this at higher levels of spatial planning is becoming more generally recognized. The Coordi- marine nating Body on the Seas of East Asia (COBSEA) (2011) noted that coastal and spatial planning (CMSP) “is emerging around as a tool of choice the world, particularly in heavily used marine areas. CMSP offers framework countries an operational allowing to maintain the value of their marine biodiversity while at the same time sustainable use of the economic potential of their oceans. CMSP is an approach that marine and coastal of management ecosystem-based of components key make can areas a reality.”

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 44 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 45 Ensuring institutional coherence institutional coherence Ensuring Ensuring the viability and sustainability of ecosystem function Ensuring the viability and sustainability of ecosystem Marine ecosystems are important generate not just for the food and income that they servicesthe many other ecosystem for also but they provide. These ecosystem A key partservices of generate benefits for local communities and wider society. any fisheries management program must be to ensure the healthy condition of the resources and ecosystems being fished. Without this, the harvests are likely to be reduced and/or unsustainable. As discussed above, greater is being placed on the larger emphasis scales involved in fisheries management and beginning to address some of these larger ecological issues through approaches such as LMEs, Seascapes, Marine Ecoregions, Regional Seas and ICM. As discussed above, many fisheries are above, many fisheries As discussed arewith multiple aims that faced conflict- often to facilitate trade-offs mechanisms exist ing, and few This can potentially and choices. coherencelead to a lack of policy is trying confuses what fisheries management which thereto achieve. Even when it may not be possible to predict is some clarity of aim, of policies will pan out. Overfishinghow implementation can be seen as a rational response to irrational (Dengbol, 2009). policies Policy processes, legislative frameworks and governance structures often reflect and Kirkman, (2010, 4) exist. As noted by Bensted-Smith situations that no longer structuresinstitutional and laws rights, “[a]ccess arecountries some in outdated not reflectand do political social and governance so that realities, structures have inherent fishery the of evolution historic The conflicts.” forces the and within play at way political decisions arethe political economy influence the and the way made Much of the have interpreted national level fisheries managers at the national policy. productivitypast emphasis of fisheries has been on increases and many government departments are still staffed by people with skills that reflect this focus, in agencies structured around productivity using top-down approaches. Salas and Gaertner (2004, 154) recognized and tactics this, noting: “… fishers develop and implement strategies in response given to the constraints they encounter and their intended objectives their particular social, cultural and economic contexts. Managers in contrast, human, about fishers’ naturehave generally made simplistic assumptions attitudes when and defining management policies.” There is also a need to ensure that institutional structures and processes are enshrined in law to avoid failure in political coherence when political parties or indi- (2010, 4) noted that frequentviduals change. Bensted-Smith and Kirkman changes in political leadership can “make it difficult to secure the sustained policy commitment over decades that EBM requires; individual and institutional champions of EBM can problemthis counterbalance arethey but organisationssociety civil and few many in countries are weak.” Informalkey informants discussions with during the course of the current review also emphasized the importance of this aspect in terms of ensuring coherence between management efforts at the local level and the prevailing policy and legislative framework within which they are nested, and in termsof the need to evolve approaches of changing political priorities over the course of that take account long-term management initiatives. Some spill-over effects – where from MPAs protected species migrate into the unprotect- ed area – are also reported. The effect of this as will depend on a number of factors such the time taken to reach a point where density- dependent movement is achieved (Rudd et al., 2003) – which will vary among species, depending upon their behavior and natural ranges (Tupper and Rudd, 2003). This time needs to be taken into account in order to consider the extent to which excluded fishers will be affected by lost fishing opportunities before beneficial spill-over effects are seen. Rudd et al. (2003) At the time of their study, recognized unknown if that it was generally of greaterbenefits the catches from spillover were sufficient to offset lost catches from Pitcher et al. (2000) showed that the MPA. boundary porosity had a strong influence (2005) argue that no-take MPAs can also protect against over-generouset al. (2005) argue no-take MPAs that Even with smaller areasEven with there of sea, are to be that need wider ecological considerations According fisheries management. included in studies have (2005b), several to Bennett place is due to the system put in of the management much of the success found that the underlying resourcebiology of - species and ecosys managed. Some species being tems respond pressure to fishing often have toSharks, for instance, better than others. reach a greater age to breed pelagics (e.g. Peruvian than many small anchovy) and are thus more easily affected by overfishing. Coral seem to be veryreefs susceptible to sea water temperature increases where and, local fisheries are under pressure fromover- effects in habitat can enhance the negative exploitation, a decline of fishing pressure. the impact of some 230 fish stocks emphasized study of A University of Washington environmental harvest conditions on potential fish (see Box 14). Addressing require wider ecosystem needs will often the ap- combining several proaches The concept of marine protected to management. one of areas (MPAs), the main measuresliterature discussed in the to ensure and sustainabil- the viability acrossity of ecosystem function, is used widely fisheries with mixed results. Many tropicalof management ecosystem-based marine in tool central a MPAs consider inshore fisheries (Rudd et al., 2003) and there is now substantial evidence to indicate and that biomass live longer and grow species tend to bigger, that, within MPAs, increases, especially among sedentary (Roberts and benthic species et al., 2001; Gell and Roberts, more abundant fish may be benefi- Rudd et al., 2003). These larger, 2002; cial for tourism. Protected areas can also play an important role in stock enhancement and restocking programs adequate growth to allow and spawning (Bell et al., 2006). Roberts fishing quotas, which are often set based on poor information about the fisheries are stocks available or on a political reluctance part to upset fishers. MPAs of a larger group of marine management areas which might include no-take zones, buffer zones have a roleor limited access zones – all of which in fisheries management to play depending on the local context. stocks-largely-unrelated-to-abundance/ edu/news/2013/01/14/potential-harvest-of-most-fish-

Source: University of Washington http://www.washington. of Washington University Source:

It is often assumed that the potential harvest of fish It is often assumed that the potential harvest is dependent upon their abundance, but a recent some to rethink study suggests that we may have of Washington-led The University assumptions. amount was study suggested that harvestable linked to abundance in 18% of 230 only closely fish stocks assessed. For the other 82% of stocks, by was primarily controlled potential harvest conditions or was shifts in environmental irregular by either abundance or random and not controlled regimes. shifts in environmental BOX 14: BOX abundance of fish The drivers

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 46 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 47 et al., 2013). Fishers, fish farmers adjusted and changed over time. Being able Being able over time. and changed adjusted to adapt to these external pressures will be an important function of future fisheries management. and The coast is in a constant state of flux is subject to major upheavals from time to time. Coastal and marine social-ecological systems are by their high characterized degreeuncertaintyrisk and of (Ferrol- Schulte and their communities around world the tend to be vulnerable to natural disasters because of their locations, the characteristics of their livelihood activities, and their overall high levels of exposure to natural hazards, shocks and climate livelihood exposureAs impacts. change vulner- and hazardsability to these increasing is (FAO, 2012a), the ability to predict, prepare for, cope with and adapt to change will be critical to any fisheries management situation. Source: Maliao et al., 2009 Source: Adaptating to external pressure and changes pressure Adaptating to external Fisheries are always changing and often in ways that cannot be predicted (see Box effects14). Climate change is having considerable and food on fisheries, and fuel best will in the world, plans will need to be Even with the prices are changing rapidly. on the success of marine reserves.of marine the success on effectivean as to MPAs obstacle One fisheries are afforded within the MPA the fish that stay tool is that, while management pro- outside aretection, those subjected to greater harvesting pressure unless effort is reduced. of resources While the exploitation inside protected areas on a sustainable basis is reported to improve the who depend upon conditions of people the living protected resources Rhodes, 2012), there (Andrade and be negative effects. can also to conflicts over can lead resources, (2008) noted that MPAs McConney and Charles by design and gov- such issues arise tends to be influenced but the extent to which ernance arrangements. have a role systems, particularly to play in fisheries management MPAs when communities aredirectly and management. Community-based involved in their design are management and conservationdesigned to meet both small-scale fisheries MPAs run when In addition, needs. interested by and informed throughpeople collective action, they have proved an effective approach recogni (Christie and White, 2006). In - the roleof tion environmentalin of communities protection,African Heads 2003, the in on Conservationof State amended the African Convention of Nature and Natural Resources to promote the establishment of community-based protected areas (Tobey as part 2006). MPAs, and Torell, of a wider ICM approach, are having some success in some parts estab world (White et al., 2006). For example, the Philippines has- of the of which at least 20 percentlished more than 1,100 MPAs, are reportedly achieving their management targets (Lowry et al., 2009) (See Box 15). Community-based coastal resource coastal resource Community-based management – success or failure? been a number of assessments of the have There resource coastal of community-based effectiveness in the Philippines management (CBCRM) programs Approximately play a major role. MPAs where in the Philippines are 600 MPAs 91% of the over managed under the CBCRM framework. In 1997, survived 19% of the 47 completed CBCRM programs external funding was withdrawn. after well were in existence 10% of the 439 MPAs In 1999, and evaluated were In 2004, 156 MPAs enforced. found to be successful. This suggests 44.2% were time. over that success increases vary the estimates of successful MPAs Worldwide 10–30%. from BOX 15: BOX et al., 2011b). (2000) pointed out that traditional management systems have systems management traditional that out pointed (2000) et al.

Climate change is now well recognizedClimate change having potential effects as are on fisheries that widespread change is already, 2009). Climate (Cochrane et al. and significant affecting movement of fish stocks. It is also affectingthe distribution and coral reefs through sea temperature and increasing rise, Extreme coastal inundation. such as weather events, tidal surges and storms, are on the increase. also only affect These not social, the they also affect aspects of fishers’ lives directly, economic and cultural fishing com- coastal margins.munities located on Loss of life from events is more such common in Fromdeveloping countries. of deaths from 1970 to 2008, more natural 95 percent than weredisasters arepoor The 2011). (IPCC, countries developing in affectedoften most as they inhabit the higher risk environmentsin these situations, (Blaikie et al., 1994). Food and fuel prices well as the of fisheries, as costs and benefits Global food and fuel prices change the such fishers, small-scale many for market significant a be can which trade, tourism global terrorismas those in the Caribbean. In addition, and economic decline affect in turn,markets and especially tourism which, directly affect fish sales and alternative employment opportunities. and development Population Increasing effect coastal populations and coastal development have a significant on tourism brings opportunitiescoastal habitats and pollution. While coastal to coastal communities, it also increases stress on water and land use. Inland infrastructure, to affectsuch as dams and factories, is also beginning into water quality and flows coastal areas. While it is unlikely that all forecasts the fisheries will be consistently accurate in process,management importancethe noted (2008) and Charles McConney of learning rather than seeking more uncertainty, to live with sophisticated fisheries models. Box 16 provides is evolving to an example of how coastal management address uncertainty. that thereAllen and Gunderson (2011) suggested are specific circumstances where adaptive management can be effective – especially when the situation is controllable but uncertain (see Box 17). Adaptive co-management can be defined as an approach based on collaboration among agencies, researchersand local stewards where natural resourceprocessa seen as is management controlledof be to need that experiments monitored and improved upon (Moberg and Galaz, 2005). There is growing support for adaptive management processes that foster resilience and flexibility (Mahon et al., 2008; Allen and Gunderson, 2011; Evans ap- Alpízar (2006) noted that co-management and community-based management proaches have the potential to respond to change and dynamic conditions more quickly than central programs because they are closer to where are these changes being ex- Berkes perienced. certain elements in common with adaptive management strategies, such as: i) management rules are locally crafted and socially enforced by users, ii) resource use tends to be flexible and change with circumstances, iii) accumulated knowledge allows ap-

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 48 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 49 Source: COBSEA, 2011 COBSEA, Source: et al., 2000, 1260). In relation- specifi East Asian Seas Region: Integrating Emerging Issues Integrating Emerging East Asian Seas Region: Approaches and Modern Management coastal national capacities in sustainable strengthen of the the application spatial planning through into national needs adaptation of the document countries for spatial COBSEA and capacities for the risk reduction planning and disaster enhance the capacity to integrate the of countries change, consideration of new concepts such as climate based management, disaster risk reduction ecosystem existing and integrated land-sea planning into their and systems. national spatial planning procedures date change as part of that process, and that “respondingby feedbacks managing and to fromthem blocking of instead ecosystems, eco- avoid to seeks management adaptive out, logical thresholds at scales that threaten the as existence of social and economic activities, do some traditional management systems” (Berkes Christie and White (2006, 211) cally to MPAs, said that “[i]t is apparenta well-managed that requires MPA an adaptive management approach.” The external changes not only affect people, affectalso they environment.the Increas - be affectingingly climate change is seen to abundance and distribution of coastal species. in fisheries is that One argument for MPAs the levels of uncertainty associated with change require a risk buffer can that MPAs provide The for the wider marine ecosystem. • •

Build Scenario planning et al., 2003 Resilience Uncontrollable Controllability propriate responses from ecological feedback, iv) a diversity of resources is used for and v) qualitative approacheslivelihoods thus keeping options open, are used, rather than working towards quantitative yield targets. They also discussed how traditional a ‘libraryecological knowledge “can be viewed as of information’ on how to cope with et al., 2000, 1259). They also pointed out dynamic change in complex systems” (Berkes practices emphasize processthat adaptive management and traditional accommo- and

Maximum sustainable yield Controllable Adaptive Adaptive managment Uncertainty Uncertainty Peterson Allen and Gunderson 2011, adapted from Source:

develop the regional policy, resource and guidance and guidance resource policy, the regional develop of the Zone document, Spatial Planning in the Coastal

Low INTEGRATING EMERGING ISSUES AND MODERN MANAGEMENT APPROACHES MANAGEMENT MODERN AND ISSUES EMERGING INTEGRATING High BOX 17: BOX 16: BOX Management approaches for Management approaches situations different The Spatial Planning in the Coastal Zone Disaster in the Coastal Zone The Spatial Planning Project and Sustainable Development Prevention Body on the was developed by the Coordinating Seas of East Asia (COBSEA) Secretariat as a post- to goals are Its overall tsunami project during 2006. the impacts of natural disasters, and prevent reduce rise, and to promote level climate change and sea in COBSEA of the coastal areas sustainable development of spatial the application member countries through planning for integrated coastal zone management In management (EBM). and ecosystem-based (ICZM) to: are goal, the specific objectives the overall achieving • Spatial Planning in the Coastal Zone of the East Asian Seas Region East Asian Seas of the Zone Coastal Planning in the Spatial et al. (2013) noted that, in povertyet stricken areas,necessary the funds and

stakeholders are not fully engaged in the process ecosystems are very complex unforeseenare which disasters natural as such – occur events increasethe on in many areas where climate change is expected to be significant managers are too prescriptive about how they respond to change the desire to learn overtakes the desire to act learning back to policy does not feed hard decisions are avoided or biased in a particularleadership is absent, dogmatic, non-inclusive direction planning takes the place of action. a well-defined resource system small-scale resource-use contexts clear and identifiable set of social entities with shared interests reasonably clear property resources rights to of concern access to an adaptable portfolio of management measures commitment to support a long-term institution-building process provisionand resources training, capacity building for local-, regional- and national-level stakeholders key leaders or individuals prepared to champion the process participantsof openness shareto systems knowledge of a plurality upon and draw and sources national and regional policy environment explicitly supportive of collaborative management efforts.

• • • • • • • • • • • • • • • • • • • fact that MPAs may have a role may have resiliencebuilding ecological to play in fact that MPAs et al., (Rudd never been as important2003) has in many parts as now when, world, climate of the an uncertainchange is process. management can be community-based systems for commons When looking at how used to scale-up approaches, may be more Berke (2006) noted that “it illuminating to approach in many cases should by suggesting that commons management the debate systems …”, and that such management of complex adaptive be understood as the systems are affected by a multitude of outside forces which affect them. adaptive management approaches arenot without problems. Allen and However, can negatively affectidentified a number of conditions that Gunderson (2011) the management when: success of adaptive There will always be uncertainty of fisheries which are in the management complex In addition Ferrol- lead to unpredictability. social-ecological systems, and this will Schulte know-how to manage resources adaptively is often lacking. A sustainable livelihoods approach can be a useful tool to address the complexities of social-ecological systems in coastal areas and assist adaptive planning. Adaptive management takes learning as a necessary starting point in the struggle to confront and respond according to this uncertainty, to Armitage et al. (2009). They a governancenoted that adaptive management is not panacea and will not be suitable in all cases, and that tools are being developed. They also identified ten key condi- still tions for successful adaptive co-management:

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 50 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 51 Factors affecting technical implementation Establishing legal group rights and responsibilities Establishing legal group Across the range of fisheries management approaches and themes discussed above, rights are playing a more and more central role There in what is done. is a growing move towards greater and moreapproaches sophisticated that combine to rights a first step towardsfisheries and human rights. This is connecting fisheries to the (Charles, 2011). While fisheries rights can wider well-being of coastal communities take many forms,there to be growing seems supportin community-based rights for linkage between community-based systems small-scale fisheries. Recognition of this and welfare 2004) but of communities is gaining momentum (e.g. Copes and Charles, lacks supporting particularly data, on the multiplier effects across communities. The need for controls in fisheries and the recognition of the finite and exhaustible nature of fish has encouraged a stronger focus on rights around fishing. This has problemsto two key linked closely been associated with common property resources, namely that: i) exclusion or control of access is difficult and ii) each fisher’s activity subtracts from other users (Berke, 2006). There the potential gains of is now widespread form some that managers and academics fisheries among acceptance rights of in fisheries is essential to the success of fisheries management. (2012a), such approachesAccording to rationalize and do have potential to FAO improve returns in small-scale fisheries and increase resources rents at the national need to be implemented in ways that provide they for rent distribution level. However, methods that include the poor and vulnerable. Huppert (2005, 201) noted that “(t)he controversies over fishing rights take three forms: disagreements disputes over over the meaning and intent of fishing rights, the distribution of rights and associated economic gain, and concern for disruptions arewho people on imposed order’.”‘old the on dependent of allocation initial The rights can be particularly difficult and controversial (Pearse, 1992). Anderson and the lines Libecap (2010) suggested that, in the allocation of rights, the allocation along While the above factors tend to apply to a largerWhile the above factors design scale, there are others that are more concerned areissues. Although these classifications with technical not set in rights, the need to change issues can include the allocations of stone, these technical structures and processes incrementally in order the local pace of to accommodate the right things arechange, ensuring that the right institution and that done with the importancedecisions occur at the right level, acknowledging of the local political decisions, recognizingsituation and factoring it into management importance the of and addressingbalancing costs and benefits of management, the importance of local and global markets. However, as Gondo (2008) noted, adaptive co-management systems and tools aretools and systems co-management adaptive noted, (2008) Gondo as atstill However, and should be treated of development an early stage Gondo also pointed with caution. key partout that a experimenta - need for continuous is the of adaptive co-management in dealing with the associated problems.tion and experience This is not new for fisheries experimented with management measuresmanagers, who have over decades. 6.3 of first-possession, or “grandfathering” can make both economic sense (they are more knowledgeable about the resource and thus often lower cost) and institutional sense (by suggesting that historic engagement is likely to ensure rights of access). They said that in community-based fisheries where the participants are often poor but well informed about the resources, “grandfathering” is likely to generate local support for management measures.

Overall, the practical experience of using individual transferrable quotas (ITQs), one of the most commonly promoted forms of individual fishing right, is seen as encouraging as a rights-based approach. Yet, in 2008, ITQs were found in less than 2 percent of the world’s fisheries (Costello et al., 2008). According to Leal (2010), they had generated considerable benefits in the form of higher income for fishers, improved product quality for consumers, reduced fleet excesses, and largely maintained harvest with TACs. But these benefits have largely been associated with developed countries. ITQs are also beginning to be used in those developing countries where there is a transition to more reliable legal institutions with stronger governance, e.g. in the anchovy fishery of Peru and Chile (Leal, 2010).

While transferable quotas in developed countries have focused mainly on giving quotas to vessels or owners, in developing countries there is increasing interest in rights to quotas being provided to communities or specific community groups or associations For example, in the Philippines, collective action and participation would be increased if fishers cooperatives were given exclusive rights which restrict access and, in turn, provide greater incentives for improved resource management in the long-term (Baticados, 2004). The balance between small-scale and industrial fisheries needs to be examined with a view to the appropriate allocation of property rights (Stobutzki et al., 2006).

In many developing fisheries, legally-backed exclusive fishing rights granted to nearby communities or fishing cooperatives are likely to be a more practical form of rights (Leal, 2010) (see Box 18). Associations of fishers are more and more taking on the role of government in fisheries management, BOX 18: which according to Scott (2010) heralds a Local management of lobster new fishers’ culture. This is supported to an stocks extent by the fact that studies over the last 30 years have documented the capability of com- The red lobster (Panuliris interuptus) found on the munities to self-organize and self-regulate to west coast of Baja California, Mexico, is harvested resolve problems of the commons (Berke, by fishers’ cooperatives under concessions 2006). established in the 1930s. Nine cooperatives work together in a federation to manage the stock. As Territorial use rights in fisheries (TURFs), an indication of success, in 2004, after extensive in practice in many parts of the world, have scientific review, the Marine Stewardship Council been a means of traditional fisheries access (MSC) certified that the fishery satisfied the MSC’s rights and, according to Hilborn (2007a): “the criteria for sustainable fishing. most direct incentive to facilitate compliance Source: Leal, 2010 is the granting of territorial fishing rights to individuals or communities. This provides a

52 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 53 Source: Willmann, 2010 Source: and working conditions. Various factors contribute to Various and working conditions. rights to land and insecure including these conditions, inadequate or absent health and fisheryresources, vulnerability educational services and social safety nets, to natural disasters and climate change, and exclusion due to weak processes wider development from and and representation structures organizational participation in decision-making. critical identified several The 2008 Conference sustainable small-scale in securing forward ways fisheries that integrate social, cultural and economic access and use-rights resource address development, and recognize issues guided by human rights principles, also Conference The the rights of indigenous peoples. critical to achieving are that human rights reaffirmed sustainable development. Adopting new approaches those and tools for fisheries management – including that address wider social, economic, ecological and political concerns and are- inte grated vertically across scale and horizontally across sectors – requires new skills fromand knowledge, and also new attitudes and those involved, such as managers the speed of change right is verycommunity members. In addition, getting important In many situations, change has been introto the successful management of change. - members find difficultduced at a pace that managers and community to understand and respond to. The increased into wider focus on the need to integrate fisheries management economic systems is reflected in a move towards more integrated, multi-sector and Incrementally changing to allow for capacity, reflection and negotiated and negotiated reflection to allow for capacity, changing Incrementally response strong Pacific, small-scale .” In much of the non-members … incentive to exclude TURFs fromhave been based on fisheries have been neighboring communities which largely excluded. During expertpartas consultations respondentsseveral referredreview, this of the to success of introducing loco (abalone) fishery, TURFS in the Chilean through which differentrights to fisheries in areas are allocated to local cooperatives. Increasingly rights are fishing the wider framework of human rights being placed in 2010) (See Box 19). (FAO, Rights in small-scale fisheries Rights in small-scale fisheries Committee the FAO 2009, 26th session in March its At the outcome of the on Fisheries (COFI) reviewed Fisheries – Securing on Small-Scale Global Conference together sustainable small-scale fisheries: Bringing Held in fisheries and social development. responsible 13-17 October 2008, the Conference Thailand, Bangkok, 65 than 280 participants from was attended by more by a preparatory workshop It was preceded countries. fishworkers’ than 100 participants from with more re-enforced The Conference and CSOs. organizations yet to fully the claim that small-scale fisheries have their potential to significantly contribute to realize of the UN and the attaining sustainable development goals (MDGs). millennium development In spite of their economic, social and nutritional benefits small-scale fishing and societal and cultural values, and vulnerable living communities often face precarious BOX 19: BOX , 2009). In 2009). et al., , 2006). Thereet al., 2006). recognitionis also scale interventions to maximize ecological function, they were sometimes done without sufficiently careful the example, For analysis. Largeapproach(LME) Marine Ecosystem moved ahead with little empirically grounded andentailed (Christie it what understanding of White, 2006). Incentives aregov- local for needed often ernment the direction to move in change of in support of ICM. For example, when the resourcescoastal a adopted Philippines management (CRM) certification process which was often providedwith external financial support, it encouraged national-level agencies to start redefining their roles as providing technical assistance to local government rather than taking the lead on such initiatives (White in in the Philippines that networks of MPAs a wider ICM process require development of governancenetwork (Lowry and other man- some areas of the world, MPA agement networks have been established to supportlearningjoint sharing. lesson and The Philippines has social and information networks that assist in improvedmanage- Christie and White (2006) ment of MPAs. hilippines P in the ICM Source: modified from White et al., 2006 modified from Source: , 2006). The increasedal., 2006). The (White et management ecosystem-based use of integrated an approach (ICM) as coastal management systems wider ecological management to areasin coastal and organizational adapting institutional has necessitated structure to accommodate the differentroles and responsibilities. This has meant building skills acrossand qualifications different ministries and departments to ensure- a commonal and language, a difficultity of purpose, methods processnot be underesti that should - Box 20). ICM experience in the Philippines (see mated, as shown by experts for this review, During discussions the challenge of finding highlighted issues that are ideas about complex management the means of communicating ac- arecessible to those who unfamiliar with the terminology Several re and concepts. - spondents referredexperiences with foreign to experts manage- in ecosystem-based ment approaches who had attempted to explain extremely complex ideas to local or national counterparts using language that was largely rather inaccessible to them, than breaking the concepts down into more “digestible” elements and building understanding incrementally. recommended(2006) White and Christie incremental the theand development adoption of ICM and other comprehensive on past frameworks such as EBM, building Although calls have been made for largerpractice to match human and fiscal capacities.

ICM provides the framework for local the framework ICM provides to implement sustainable coastal government development. and allowing at all levels Participation interagency cooperation and cross-sectoral for ICM. integration is a prerequisite is essential. An integrated planning process that evolve information systems Comprehensive needed. are with planning processes Institutionalizing ICM into local government is important into regular for integrating plans. development Baseline information is necessary for ICM planning. management requires Community-based on-going support and mentoring from sector. civil society and the private government, Sustainability of ICM cannot be determined without time and field testing. • • • • • • • BOX 20: BOX from Lessons in coastal in management of experiences A review the following lessons. the Philippines provided •

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 54 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 55 Institutional fit and subsidiarityInstitutional fit and “fit” of a set of management/governanceEnsuring the institutional increas issues is - ingly recognized as important (Armitage include the suit- al., 2012). This might et ability of different institutional arrangements to addressspecific problems. Some researchers, such as Folke et al. (1998) have determined that resource boundaries Berkes (2006) noted “integrated systems rarely fit institutional boundaries. Similarly, of human-in-nature are more if there likely to work level and is a fit between the boundary and the institution designed to manage it.” For example, of the ecosystem in and out of EEZs and throughtuna in the Pacific migrate between nations, inshore fishing areas. Even though many communities have successfully addressed many of the issues associated with common property they are fisheries, to many still subject external pressures that require solutions that respond to scale (Berkes, 2006). partsmany In customarytraditional world, the of tenuremarine the was (CMT) norm places, particularly and, in some an important in the Pacific, CMT still plays and concerns developed has capacity fisheries as the over resourcerole. However, have increased, the management process in many places has become more central- fromized and developed. Some see this move manage- community-based fisheries controlledcentrally to systems ment government replacementto leading as systems in many of common-property 1994). However, regimes with open-access (Pomeroy, in their original form,cases, traditional community-based institutions, are no longer appropriate for the management of more mechanized fisheries which extend beyond traditional grounds, involve many more people and feed into more easily accessible and larger markets. Kuemlangan (2004), who looked at the institutional fit between community-based Pacific, fisheries management and the legal systems in a number of countries in the recognitionthat found customaryof tenuremarine providemay opportunityan for adopting more systems. This raised the important community-based question of the legal requirements needed to establish co-management in countries with less history of such approaches.a process In Cambodia, of consultation around the by-law on fisheries co-management took four years. Although customary marine tenure has worked in the past, Kuemlangan (2004) also noted that those past structures and it is better to see customaryprocesses are not necessarily ideal for the future. Rather, marine tenure as a dynamic process that can inform and influence future processes. In noting the importance operate of the legal and jurisdictional context in which MPAs to long-term management, Christie and White (2006) also identified the following principles for effective legal and jurisdictional norms experience. related to MPA identified five identified effective derived processes networking from efforts that led to good scaling-up of governance:practice and issues, ii) building on common i) consensus information of core sharing and identification groups,mecha- institutionalizing iii) adaptive management. For iv) sustainable financing and v) nisms for administration, instance, at the international Local Marine Management Area level, the Network of a learning(LMMA) is an example in place across network, and the Southeast Asia Pacific where members exchange informationexperiences. and

Embedding MPA management within larger to management systems designed Embedding MPA address larger processes sectoral and development will help address external impacts on MPAs. fairness Transparency, broadand enforcementand law the of understanding support compliance and reduce conflict. of the Clear identification role and for formalresponsibilities informal and MPA is necessary. management bodies of a management should fit the institutional capacity The jurisdictional mandate If necessary, there development of insti- should be ongoing attention to the body. tutional capacity.

• • • • Nested institutional and legal (national to local) systems, if balanced and supportiveif systems, local) to (national and legal institutional Nested supportof local initiatives, requires management MPA implementation. both MPA upward (from agency) and downward local to national (from national to local agency) coordination and accountability. implementation with adequate resourcesA consistent national mandate for MPA for implementation can provide a supportive environment (Christie and White, 2006, 197). This theme, regarding meshes the way in which the legal and institutional context with management efforts on the ground, emerged repeatedly during expert- inter views. It often took the form of constraints encountered by local-level fisheries management initiatives in situations where and manage- existing legislation on fisheries ment contradicted rules and regulations being evolved at the local level. Often, the fact that legislative functions are entirely held at the national level meant that local administrations could not be as responsive in approving as they wished and sanctioning new forms of management being generated at the ground level. The issue of responsibilitysubsidiarity and the devolution of decision-making lowest appro to the - priate level in order to support management in the field therefore adaptive seemed to be particularly important. (Abdullah et al., 1998). Christie and White Institutional fit also has cost implications monitoring can be expensive, and centralized planning and (2006) noted that MPA government agencies must compete with other more pressing MPA budget needs out that such as health, economic development and education. But they also pointed centralized controlnecessary of management is and effective as in some situations, in in Brunei.the case of MPAs In some cases, it may be appropriate to consider the private sector as the agency for engaging in management as, for example, was shown in Chumbe Island, Tanzania (Cristie and White, 2006). In such situations, it is important to balance the incentives Across a number of environmental of society’s goals with those of the private sector. concerns, there is a growing emergence of hybrid forms of governance that combine state, markets and civil society (Armitage et al., 2012). Costa Rica has split its resource management function between two government organizations, one concerned with conservation and the other with resource use. This agency interaction is not uncommon, as fisheries departments do not always agree 2006). with the policies of environment (Alpízar, agencies

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 56 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 57 The situation has shown con- 5 For example see OECD: www.oecd.org/dac/effectiveness For example

siderable progress sector in Cambodia, which now has much greater in the fisheries planning and policy policy coherence and has reduced the transaction costs of policy, implementation (see Box 21). e.g. NGO, consultancy or The engagement of any external implementer or funder, in the process of fisheries management can distortintergovernmental agency, the factors that support sustainability of positive change. The ecoregional approach adopted by The Nature Conservancy Forum and World-Wide for Nature, works with national and local partnersNGOs that areand with the kind of long-term committed to intervention(15–20 year) long-term the externalan engagement of needed. However, NGO can impede the emergence of sustainable governance (Bensted-Smith and Kirkman, 2010). Such powerful organizations can influence policy implementation in much the same way as that described for donors above, and aid effectiveness procedures need apply equally to them. 5 Also, in dealing with the effectAlso, in dealing the more on fisheries, of climate change insti- traditional tutional arrangements government within longer fit the problems no to be addressed. will encourage different to be in place that calls for incentives Instead, this and agencies and shareto collaborate ministries information in cross-sectoral and experience, e.g. change response,functions such as climate disaster risk reduction ICM. and Other external interac- such as fuel and food prices, fisheries-tourism considerations, might diversification livelihood and development coastal tions, require the in changes arrangementsinstitutional of types move the Likewise, change. implement to needed fromproductiona poverty a to fisheries many in focus focus security food or reduction may require departmentsexperience that fisheries skills and have and may do not new partnershipsnecessitate evolving the with other agencies such as NGOs. Having right institutional arrangements within government at the community level and is also crucial. In some situations, localization of governance might be seen as decentraliza- officestion of function to district-level fisheries rather than to community organizations (Rudd et al., 2003). Less traditional forms of rights, such as ITQs, faced implementation issues in develop- partcountries, in ing of appropriatelack the of because gov- and institutional legal, ernance arrangements required to achieve an appropriate institutional fit. Bennett (2005b) noted that property to be equitable in their allocation but also, the rights have must see them as fair. wider stakeholder group, i.e. society, fit is the way that externalAnother often overlooked aspect of institutional funding can distort management processes. fisheries Project support can providehothouse a effect which ensures a greater- chance of a fisheries management initiative succeed reportinging. However, of such projects on the success may during implementation a moregenerate after the case several years would be favorable assessment than the project has finished. Likewise, donor willingness to compartmentalize the policy process distort can others not but management fisheries of aspects some fund and those policies, resulting in long-term adverse effects. Aid effectiveness processes have been established to address some of these distortions. Source: FiA, internal documents Source: Cross-sectoral and donor harmonization issues are and donor harmonization are issues Cross-sectoral process a technical working group through addressed and a strategy for harmonization and alignment to harmonize with each encourages donor procedures There of government. to those other and then align of decentralization process also has been a progressive of subsidiarity. on the basis of function and resources of Cambodian Code The government-developed provides for Responsible Fisheries (CamCode) Conduct partners, development a framework for government, sector to work to a common civil society and private set of principles and guidance. ambodia C Fisheries management is, in part at least, about the distribution of rights to access resources frombenefits the of distribution the and are These rights. those largely to both the choices of political partiespolitical decisions and can be subject the and choices manifest themselves either as overtpersonal choices of politicians. These two policies or covert forces can be some of the most behind the scenes. Political decisions important fully influences on fisheries, and the political economy needs to be included in the management process for it to stand a chance of being successful. political forcesThe fisheries management influence that have been effectiveness the synthesis. In management moretouched on a number of times in this generally, 2000) or political aspect of environmental protection has been downplayed (Belsky, even externalized in the resource Economic rationalization management equation. approaches to fisheries management tend to focus on the state capture of resource rents national economic development – a political decision for the wider application to approaches tend to which prioritizes economic impacts over other impacts. Welfare focus more of resource on the distributive aspects rents fuel local development and to secure and corruption livelihoods. Politics, power often influence how wealth is redis- tributed in both cases, e.g. through the political economy of national governments and through patronage at a local level. A renewed focus on rent capture by the state is sometimes seen as a means of “introducing some logic into the policy process” (Cunningham et al., 2009). This might suggest policy However, politics. in exist not does that economics in thinking rational of level a is driven by politics, and political processes may have their own logic which may not prioritize purely Wider economic incentives. may concern political issues re-election, short-termfeeding the population now, foreign fisheries exchange generation, trading morepolitically for sustainability important and/ wealth personal enhancing gains, or or patronage through non-transparent means. These may well represent logical uses Incorporating politics and political choicesIncorporating politics and political

BOX 21: BOX in wide approach A sector is planned around sector in Cambodia The fisheries that Strategic Planning Framework (SPF) a 10-year The SPF was policy. links to national development a participatory through planning process developed to together and links those that links all subsectors plans. provincial is in place, which A “basket funding” mechanism to the SPF, allows donors to fund the sector according It projects. donor-generated rather than their own system, also has a common monitoring and evaluation which uses participatory fishers’ to gain approaches and feeds on policy implementation perspectives these back into policy.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 58 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 59 (2003), a (2003), al. et , 2006). In some situations, the governmentthe situations, some In 2006). et al., Sustainably and equitably addressing costs and benefits costs Sustainably and equitably addressing According to recent parts analyses of fisheries management, fisheries in some of the generate benefits for society or for fishers, the world cost more To than they generate. process development and management fisheries in This, surpluses. generate to needs turn,management process. means understanding the costs and benefits of the may be provided with inadequate resources management of fisheries on to implement of the community to assist (Wilsontheir own, and it may need the involvement et al., of knowledge itself is not an apolitical 2006). In fisheries management, the generation process. By its very nature, what scientists say has a political element because some 2000). of the evidence goes on to inform policy and some does not (Belsky, In discussing the political economy approach 54) noted to fisheries, Robinson (2010, approacheconomy the political that a veryto “leads different thinking about of way policy than the one current in international institutions. It suggests that too much solution to this problemattention is being paid to the first-best and not enough to the tragedy of the commons.” finding politically feasible ways of mitigating here,challenge key The recognizedwidely one and respondentsby expertthe during interviews, is that these issues relating to politics and power relations in society are too often regarded as “externalities” which cannot be influenced or addressed by interventions the critical role that these focused on fisheries management. However, factors play in influencing fisheries management outcomes is equally recognized. This is in part attributable to the nature of projects working on fisheries management, which do not necessarily have the skills, mandate, resources or time required appropriof paucity general a to due also is it - However, level. political the at engage to ate tools for analyzing and addressing the political economy surrounding fisheries the during to, adapted or influenced, be can it how understanding and management course of interventions. of fisheries of fisheries resources aims. Externalizing wider development if they achieve the to lead to unforeseen of policy is likely in discussions political economy outcomes. most fisheries (2010) found that Robinson reformoccurred has well-functioning in wheredemocracies e.g. than private goods, goods rather is for public competition to achieve larger departmental The rather than personal financial gains. budgets ruleextent to which the and governance of law and other legal institutions function effectively will play a major role in the form and who will of fisheries management benefit from it. If, for instance, government officials foreign allow fishing vessels can be easily under- fishers to operate, then sustainability or unlicensed domestic mined (Hilborn, There 2007b). are cases in the Philippines where many documented (Maliao et al., 2009). Roe have collapsed because of local politics CBCRM initiatives et al. (2009), after reviewing natural resource a number of community-based - manage ment initiatives across conflicts between local groups Africa, noted that powerful and remainelites widespread areand Accordingintensifying. often Rudd to was caused in management on Sumilon Island in the Philippines breakdown in MPA part engaging in opportunism. by local politicians interests an incentive for greatercan also be the state lesser involvement of or Vested – if conflict over resources plays out beyond local levels, then greater involvement by government(Wilsonneeded be may (1998, 108) separate transaction costs into: 1) informa1) into: costs transaction separate 108) (1998, et al. -

At present, most of the world’s fisheries are heavily subsidized (World Bank-FAO, Bank-FAO, At present, are world’s fisheries most of the subsidized (World heavily at US$50 billion of fisheries global fiscal deficit estimated the 1992, FAO 2009). In Thus, the reference 1993]. [FAO, capture to wealth man- in some fisheries involved agement approaches must seem very attractive to politicians who are faced with returnssmall budgets, low from the sector and ever increasing on financial demands resources. According to Cunningham et al. (2009), under free-- and open-access condi levels will tions, fisheries exploitation only when all reach equilibrium resource rent While the removalhas been dissipated. of the free and open access could be seen as problem,the solution to this such arrangements costs. also incur For tropical inshore up a large costs may make transaction fisheries, proportion of but theremanagement cost, the total fisheries are limited data to assess this (Rudd Abdullah 2003). et al., costs, 3) collective operational coast, 4) dis- tion costs, 2) collective decision-making tributional costs, 5) resource costs and 6) monitoring, enforcement maintenance and cost differencecompliance costs. They suggest that the between centrally run man- is that cost 1 and 2 areagement and co-management systems low under a centralized systems whereas 3, 4, 5 and 6 are high, while in a co-management system the cost structure is reversed.recognized (2004) Copes and Charles data that socio-economic are limited for different management systems, but also noted that community-based than moresystems can be less expensive to manage approaches individually focused such as ITQs, because of the self-regulation systems. aspects of community based Co-management represents a shift in the financial burden from the central govern- support,to willing or able be not may community the which community, the to ment especially where the benefits of better management may not arrive for many years. as partMPAs, a program of management, do appear to have some cost ad- of fisheries roughlyvantages. Cullis-Suzuki and Pauly (2010) of MPAs estimated the global costs But this needs to be balanced by considering of fishing subsidies. to be only 3 percent that are actually operating effectively. the number of MPAs Management Science Programme DFID-funded Fisheries done under the work The (FMSP) showed that, while participation is ben- in fisheries management by fishers Arthur cost. a at comes also it eficial, order in that, noted 13) (2005, benefits the for of co-management to outweigh these costs, “it is vital from the outset that efforts are trustdevelop to respect, and mutual including respect for differenttypes. knowledge This requires a commitment, throughout the management process, to transparency, accountability and empowerment as well as to explanation, developing skills, and areas management marine of Analyses across increasingorganisational flexibility.” Panama, Colombia and Brazil found considerable variabil- Belize, Costa Rica, Ecuador, ity in costs among locations but all sites had significant expenditure on enforcement (Samonte et al., 2010). If fishers are the not committed to rules, there is a particular danger that enforce- fishery the that society to benefits the exceed can costs ment - generat of capable is ing. There may be strong arguments for increased economic rent capture to cover at least some of the costs to society of fisheries management, but given the institutional verybe to unlikely seems this countries, developing many in weaknesses effective of of the principle implementation as the see co-management Many (Robinson, 2010).

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 60 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 61 subsidiarity, and that management is better done, at least in part, least in done, at better is that management and This at lower levels. subsidiarity, perhapssuggests that there greater is a case for resource rent to local authori- going process with that management ties to assist wider development and to facilitate the rolelocally. of fisheries these taxes are rarely but, in fisheries might be one way to do this of Taxation reality, countries. In part,applied in developing this is because governments have do not the information appropriatesuch taxes at to set political have the not do levels, or that moreto say not is 2010). This Libecap, (Anderson and or both to do so, power rational economic measuresbe beneficial. For instance, fishers in fisheries would not costs of stock depletion for the right to fish or for the ecological generally do not pay in some situations, revenue(Sutinen, 2010) and, generation from the fishery, espe- might be beneficial for wider development. cially if locally collected, country developed most In trend a fisheries, towards investment of concentration the and fishing effort larger helped the management process. vessels has into fewer, a side effectHowever, the decline of employment opportunities. has been In the UK in capturebetween 1938 and 2008, employment fisheries fell from 48,000 people to 12,761, a loss of 73 percent of the workforce (Campbell and Cattermoul, 2009), a trend also seen in Norway, which lost 90 percent of its capture fisheries employment in a developed countries,, 2010). While this may be acceptable in al. similar period (Béné et where greater employment opportunities so in developing countries. Fur- exist, it is less thermore, governments the transaction costs of collecting this rent, enforcing property rights and delivering replacement development services to rural while communities avoiding political interference are likely to be high, especially where the rule of law is poorly adhered to. Legal rules, organizations and processes are central to the success effortany of reformto existence their and 2010) (Thompson, management fisheries and rigorous Libecap application in many developing countries is limited. Anderson and (2010) also noted that rents created by rights-based approachesand transferred to government for in a potentially rent-dissipating will be competed political process. The extent to which fisheries are is in part seen to generate economic benefits aredependent on how costs and benefits measured. As Béné (2011) noted, “reducing the value of fisheries to their … misrepresentsrent the real contribution that these people in small-scale fisheries play for the livelihoods and food security of millions of perceivedAfrica.” In the case of small-scale fisheries in developing countries, what is as the dissipation of rents through a failure to accurately capture and measure them can actually represent, at least in part, the distribution of benefits from small-scale fisheries within local communities through employment and trade. This contribution is often not recorded in GDP figures, and so the economic role of small-scale fisheries 2011). In this sense, community-based fisheries is often ignored (Hall and Andrew, can play a significant social policy instrumentrole as a et al., 2006). In (Campbell many countries, coastal fishing communities represent growth hubs where income but these multiplier effectsfrom fuels a largefisheries local economy, are often poorly understood (Allison, 2011) and are all too often externalized from fisheries to economic calculations. Small-scale coastal fisheries have generated, and continue generate, employment for large 2011) on a full-time, part- numbers of people (Béné, time, seasonal and safety net basis which often forms a very significant part of their et al. (2007) determinedet that identifying “small loss-big gain” opportunities – et al. (2011) provided some useful insights into addressing cost benefit analysis

, 2003, Béné, 2011). et al., 2003, Béné, other sectors (Whittingham strategies linked into livelihood people, having a particularFor many and employment for food, income sectoral focus risk in one area,puts too much portfolio while a diversified is livelihood activities of them out of povertysafer and may keep (Allison and Ellis, 2001). the captureHowever attractive of resourcerent difficult by the state may seem, it is whereto find many examples fisheries resource rent fisheries in from small-scale has been captureddeveloping counties by the government applied and subsequently multiplier effectwith the same development to local community as the fishery itself. This role rural of generating and providing employment a safety net, which fisheries countries, is veryoften play in developing the especially when important politically, governmentto fill the gap that other approaches does not have the funds to fisheries create.management might Alban but recognized the problemsof MPAs the for example involved in doing so effectively, difficulty non-market values such as marine biodiversity and the lack of of measuring data on the effects are on wider fisheries. In addition, transaction costs likely of MPAs for tropical inshoreto be high when using MPAs fisheries (Rudd et al., 2003). After reviewing a number of protected areas approaches and associated to management, DeFries where big gains for management are achieved at low cost to human use – presents a key management challenge. While the costs and benefits of different management systems will vary there greatly, arebe rationalized throughin which these costs can doubtless ways the application benefits noted in both the literatureof good practice. One facet of costs and and interviews management fisheries in change positive that is requires financial adequate supportperiod of time to be effective. for a long be self-sustain- Ultimately this should ing. Even in conservation-related management measures where fishers are excluded, there may be problems the operations. Andrade and Rhodes (2012) in financing and maintenance of protectednoted that the successful establishment areas requires the long-term.political and financial commitment in Conservation International, in its approach,Seascapes recognizes importancethe market and financing sustainable of mechanisms (Bensted-Smith and Kirkman, 2010). The expert discussions, held as part highlighted the need for new and of the review, innovative sourcesfisheries and marine ecosystem management. The of financing for timeframes involved in establishing effective management processes and mechanisms are generally long and tend to stretch beyond the normal period of donor funding and projectand administrators mandates of politicians the exceeding generally cycles, whose support and engagement is so important in bringing about change. Clearly, over these long timeframes, the priorities of donors, supporting agencies and politi- as these cians will often change, and the destination of available funding will often shift priorities evolve. For example, donors or government prioritize setting up MPAs may interventionmanagement key a as responsein years 2–3 for agendas, political wider to but this may subsequently be replaced by a desire to focus on climate change issues or community resilience funding cycle. for the next

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 62 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 63 The Financial Institution for the Recovery of Marine Ecosystems (FIRME), currently being developed as part of the WWF Smart proposes Fishing Initiative, providecan that fund establishing a resources upfrontthe for develop- of costs on a loan basis, secureding and implementing management schemes the against value of future fish stocks based on credible sustainable fisheries management come to identified been has fund this for financing potential Initial plans. from the redirection of subsidies currently directed at the fisheries sector (which are themselves partlyresponsible issues). Funding would for existing management also come from socially responsible investment from private finance, with a potentially important rolefor more from traditional grant funds governments and philanthropic institutions to leverage more sustainable investment sources and 2012). support initiatives (WWF, higher risk seafood productsfor markets of development The producedandecologically with responsiblesocially in recentattention much attracted methods has particuyears, - a means of generat- larly in developed countries. This provides, at least potentially, ing revenue for producers and agencies through premium pricing that can be used and to cushion the social and economicto cover the additional costs of management costs associated with labeling schemes,impacts of changes in management. The which are considerable, particularly for small-scale producers, have generally been covered to date by grant funds from supporting organizations (MRAG, 2010). Trust funds for marine conservationthe last two have become popular over providingof means a as decades longer-term not dependent is that financing on funding for specific projectsprograms. or These trust funds can take several forms, including endowments, which provide a permanent capital fund which generates investment from interest and investment earnings; sinking funds, which may also invest the capital provided and therefore have a limited life span; or revolving where funds, the capital provided is maintained through user fees, fines or earmarked taxes, such as the Belize Protected Areas Trust Fund which is maintained by a $4.00 fee for park visitors. Trust often tend to operate as funds sources of small grants and can provide effectivelong-term flows of resources into either fisheries management or marine conservation although more generally, suffercan they from relatively areand costs administrative high the on dependent performance of their investments (Spergel and Moye, 2004). • • • This can make it extremelyThis can make ensure challenging to flow of the resources required to support long-term a intervention in Those involved fisheries management. to develop and supportingimplementing processes such the ground on speak of the need often “entrepreneurial”for managers to be together different in knitting sources of short- termfunding in order to create coherent a programthe ground, on molding and in presentthe way in which they their work in order to respond to changing priorities. Alternative mechanisms for ensuring a more and innovative consistent and long-term flow of resources into the sector are therefore increasing attracting interest in fisheries they aremanagement, just as already an increasingly playing important role in sup- portingconservationmarine efforts the generating for models of variety A general. in resources to support transition to more management approaches sustainable have been proposed.

Debt-for-nature attention, particularlyhave also attracted swaps from bilateral agreedonors who part to cancel of a country’s debt in return on infor guarantees vestment in nature conservation. 2002 Debt-for-Nature The Philippines swap with the United States government provided funds for small grants for conservation conservation some of which was spent on marine over a 10-year period, activities (Spergel and Moye, 2004). Earmarkedensure been widely used in fisheries to taxes, fees and levies have a Issues have been raised funding into fisheries management. sustainable flow of on occasions regarding “earmarking” the specific of funds from these sources, countries However, inclusion in the overall national budget. as opposed to their which has a Fisheries Servicessuch as New Zealand, Levy and also charges a Conservation Services fisheries that have high levels of by-catch Levy on specific have effective has a Fish Catch Levy, or ecosystem impacts, and Namibia, which ensurethat place in systems fisheries to funds of flow a research fisheries and these levies are found in many differentmanagement. Worldwide, forms, ranging fromtaxes on tourists, hotel guests and airport users, protected area entrance fees, excise taxes, lottery revenues and pollution fines (Spergel and Moye, 2004). servicesecosystem for Payments provide also (PES) sourcepotential a of better Although management. ecosystem marine and fisheries for financing developed for terrestrial where ecosystems, monitoring is initial valuation and a market for the protection of marine ecosystem serviceseasier, is developing, particularly habitats and coral reefs.coastal for valuation of the ecosystem The services is particularly involved in marine habitats challenging, and the effectiveness of these mechanisms is particularly dependent on good governance and strong capacity to ensure The most widespread compliance. applications have been in more developed nations where the rule of law is strong and monitoring mechanisms are better developed (Forest Trends et al., 2008).

• • • To date, the application of such mechanisms to fisheries is less developed, although is fisheries the application of such mechanisms to date, To the fisheries has also benefitted However, from existing tools and their application. majority of these tools have tended to be applied in more developed countries as they ecosys- values of on the example (for of data the availability depend on all almost tems), high levels of monitoring (for example to ensure compliance in the protection of ecosystem services) and the availability of the resources and capacities required to set them up and ensure their proper functioning. Getting market measures right Getting market measures Market measures to support the sustainable harvesting of fish are becoming more process.popular in developed countries as a means to enhance the management they have had limited effectsThus far, but there in developing countries, is increasing pressure for these measures. Markets have had profound effects on fisheries in many countries in recent years. Fish is now a significant source of foreign exchange for many countries, which has raised its profile There among politicians. is also a growing realization among consumers

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 64 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 65 that fisheries arefisheries that profound having effects on the environment. fisheries labels Sustainable arebecoming an increasingly important in developed especially marketing device, countrysupermarkets. which to extent The small-scale fisheries in de- this has influenced is limited, but the number veloping countries of cases is growing (see Box 22). Marine StewardshipAn analysis of the undertakenCouncil (MSC), - by Gulbrand the MSC has contrib- sen (2009), found that uted to more open management processes certifiedin environmental that but fisheries frombenefits longer may take scheme the to be seen. In a report on fish certifica- FAO tion and eco-labeling, the OECD and is (2009) highlighted that sustainability difficult It is becoming clear that to market. Source: MRAG, 2010 MRAG, Source: despite consumers’ stated interests in the environmental impacts of their purchasing especially in relation to food, is more likely to decisions, their actual buying behavior, be determined other factors. The current by global financial crisis has seen consumer confidence fall and their behavior increasingly The industry influenced by price. therefore rely cannot, at the moment, prepared being on consumers to pay a price premium for sustainable fish and seafood. Part on Eco-labeling and Certi Round Table at the 2009 OECD and FAO of the debate - on the fication in the Fisheries Sector focused has played in man- role that eco-labeling According to the meeting report,agement and fishers’ behavior. at that time, there was little concrete and certification evidence of the impact of eco-labeling on improve- It speculated that eco-labeling had ments in fisheries management and sustainability. achieved more as a marketing tool than as a conservation the report one, although did go on to say that increasing certification evidence indicated that eco-labeling and might lead to better management through the purchasing behavior of the fish retail industry rather than through the direct demands of the public. fisheries way the influence can demand market While there managed, are a need is to ensure that the poorer fishing communities are not excluded from these benefits through the cost of certification. It is also necessary to ensure that the increased revenues that certification may bring do not act as an incentive for increased movement into the fishery. The need for a better understanding of how market mechanisms such as eco-labeling and certification work across international was highlighted during market chains expert interviews.experts The premiumsexpected the that noted producersto from such schemes did not always seem to materialize or were insufficient- to cover the con siderable costs involved in compliance with such mechanisms. UK retailers’ concern a specific cited as fish feed for prawns in Thailand was of trawler by-catch in the use over ietnam V Ben Tre province in Vietnam worked with in province Ben Tre to implement management officials government fishery in its clam allocating measures through improved This cooperatives. fishing rights to local and attracted the management of the clams partial funding provided attention of WWF which paying for the full Marine Stewardship toward In 2009, (MSC) assessment of the fishery. Council full certification that it was the fisheryreceived MSC sustainable and well-managed. In total, the $120,000. certification cost BOX 22: BOX community helps Certification fishery in Factors affecting community engagement

Understanding dependency depend upon fisheries as a key partThe extent to which communities or households driver of impact within any fisheries of their livelihood strategies will be a significant on fisheries can take many formsmanagement system. Livelihood dependency and is often a complex mixture of these. fisheries Coastal ecosystems and their associated resources provide a wide array of ecosystem services Assessment, 2005), and poor coastal Ecosystem (Millennium patternspeople have quite specific and diverse of dependency on these services 2013). Whittingham et al. (2003) describe the forms that de- (Campbell and Townsley, and communities arependency can take. Some people, households dependent highly on fisheries resources may take the formor most of their needs. These needs for all of food, income, employment, a resource for reciprocal relations and to demonstrate cultural values, protection from the sea (e.g. coral reefs protection), for coastal power, building materials (e.g. reefs and mangroves), and areas recreation for and social upon the marine resourcesengagement. Some people may depend at times when land-based activities are less productive. Other people may depend upon the fishery at certain vital times of the seasonal calendar and, while they only spend a small proportion of their time involved in fisheries, this may be key to their survival.Yet other people may use fisheries as a safety net to fall back on when times are very hard. prevalentmost is This where government protectionsocial programs are verynot strong (2010) have shown that poorer (Bennett, 2005b). Cinner et al. households have a greater reliance on fishing for primary subsistence or for income. It is assumed, to an extent, that if other opportunities exist, fishers will leave the fishery and take up those opportunities. This was found to be the case in Cambodia where not have a long cultural history many of the fishers did of fishing (IMM et but not the case in Kenya whereal., 2003) fishing fishers have a longer tradition of (Cinner et al., 2010). More indirect forms when people depend upon fish for pro of dependency also occur - cessing and trade, and this can be a very significant part of household income. In A number of factors relateA number of factors and the individual fishers specifically to the community relatethemselves. These in part fisheries depend upon the to the extent to which fisheries coastal resources alternatives what and livelihoods, their for to have they about change in behavior requiresengage in. Bringing understanding where fishers are coming from – what drives them – and from that understanding, building their This requirescommitment to change. participation in all levels of decision-making, This participation but for all not just for fishers relevant groups in the community. and people’s ability to analyze and systems making use of local knowledge includes advise on change processes. example of a situation in which realistic a situation in which example of alternatives for feed producers were not always readily they were, available and, when were incur costs that they would be likely to not would be confident throughrecouped certification existing arrangements. 6.4

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 66 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 67 Balancing exclusion, livelihoods and the local economy alternatives Balancing exclusion, from management is seen as separate All too often, fisheries the economic activities that surround is one of the main drivers of over-exploitation it. But the local economy of resources a business that is more – if fisheries is seen as than other local beneficial activities, more people will try is particularly This the fishery. to enter important for or land and lack the have limited means to invest in equipment the poor who often arepeople if Thus, industries. other enter skills to fromexcluded successfully be to the fishery, they need to have access to alternative options for their labor and capital returnsthat provide than fishing. This is often seen as an area as good, or better, of de- it is crucial to it. management but, in velopment that stands outside of fisheries reality, As coastal populations increase and where fisheries’ entry barriers are porous, more fisheryjoin the will people a full-time, part-time, on A key seasonal or safety-net basis. partmanagement must ultimately be the decision to allow some people of fisheries then the differentthis is to be done equitably, to fish and others to be excluded. If use the coastal environmentways in which fishers depend on and ecosystem and its services in the management system. In describing the will need to be accommodated closer links of fisheries in the wider economy, underpinning rational for the need for Charles and Herrera of developing noted “…fisheries (1994, 1315) regions typically face a trio of key problems: a lack of over-exploited stocks, an over-extended fleet and alternative In addressing economist late these, the fishery. of the outside employment expressed(1981) Smith Ian oft-neglected reality:but fundamental a well be just, to feasible and effective, policies cannot be restricted to resolvingthese one of two of problems alone.” Charles and Herrera (1994) also discussed the points that Smith made regarding the consequences of not taking all three elements into account, political infeasibility due to community ii) fishers, impacts on the namely: i) inhumane reaction, or iii) failureto fishers’ non-compliance. due Ultimately some people will need to seek alternatives, at least reduce or their dependency through a more diversified livelihood portfolio, This for some or all of the year. requires an understanding of how fisheries and the wider economy interact. Graham in al. (2006) noted that “[m]uch has been written about economic development et countries, in regions, but little about the connection between and in communities, is a sig- community-based fisheries management and economic development.” This nificant limitation, given how dependent those in the fisheries are on the wider local This economy generates markets for capital and labour that and national economy. affect investment in fisheries. Community-based fisheries management can be greatly influenced by the economic viability of the surrounding community. Limited diversity of livelihood opportunities are both a factor driving people into fisheries and a barrier in coastal communities to their leaving. As a consequence, where there are few alternatives, more people will join the fishery or will need to many communities, the income generated through the income many communities, in the fishery fish sales and wages provides a diverse array that survive of local industries of the fishery because (IMM ecosystems and marine adopted for fisheries management system al., 2005). The et must be very aware of the dependency of different and how manage- stakeholders ment arrangements will affect each group. et al., 2013). Livelihoods approachescon- encourage a focus on the

migrate away fromaway migrate iden- instance, for (2010), Jahan and Kuperan communities. their alternatives of lack a tified coastal in management fisheries to obstacle major a as whereBangladesh, pressure population to fisheries and non-compliance regulations noting that “the is accelerating over-fishing, resource and the can be better managed be improvedcompliance level can fisherfolk if the means of generating have other their losses for the regulatoryincome to manage measures” and Jahan, (Kuperan 2010, 112). whereIn many coastal fisheries the occupation of last fishing is seen as resort, this will be very difficultTorell853) noted, (2006, regardingTobey and As to achieve. the near future, other income generating options in the poor “[w]ithout the loss of income nearshore fisheries could lead to a downward marine security, spiral of food ruraland vulnerability of households.” coastal Providing opportunities or at least permanently, for the poor to move out of fisheries is also fraught with difficulties,reduce their multiple their level of dependency, given deprivations: low income opportunities, poor access to land-based market power, weak resources,servicespublic in inclusion low and access political weak health as such fisheries, Swan and Grébovaland education. Even under rights-based (2005) noted that regulating access and dealing with displaced fishermen are particularly important problems that must be overcome. This emphasized the need to view fisheries within the wider local and national economies. will already for many people involved in fisheries, the household supportHowever, a portfolio activities reflecting, of livelihood of wealth, skill, seasonal op- e.g. levels portunities alternative and available and or additional livelihood options (Allison et al., 2010). These will et al., 2006; Cinner Ellis, 2001; IMM et al., 2005; Walmsley and fisheries manage- of the local economy, often be linked into the wider aspects be seen as part of the wider processment should, ideally, of community develop- fromment (Jentoft, 2000). Understanding fisheries can be a livelihoods perspective and the linkages to the wider community a useful way of understanding dependency (Ferrol-Schulte development, with the opportunitiestribution of fisheries to wider local economic in the wider economy providing alternatives livelihood for fishers which might lower the pressure on stocks and improve the livelihoods of those involved. Closer inte- should gration of the fisheries economy with the wider local economic development net/bufferingsafety the shifting in assist also role providefisheries that for rural labor (Béné, 2003). Co-management processes have started in the Philippines to move beyond fisheries management issues and started to address wider development, eco-tourism, alternatives to fishing and livelihood enhancement (Wilson et al., 2006). This has also been recognized by ICM programs, which cover a much wider part of the economy and need to include a diversity of livelihood opportunities (White et al., 2006). In Tanzania, there are also efforts to promote diversity (see Box 23), and in South Asia, livelihood efforts a systematic approach to develop to sustainable livelihood enhancement and diversification (SLED) have proved successful (Cattermoul et al., 2008).

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 68 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 69 et al., 2008). If restrictions on entry From on the diversifica - in Costa Rica studies opportunitiestion of livelihood for fisheries Charles and Herrerahouseholds, de- (1994) termined that the role opportu of livelihood - be enhanced may households fisher for nities by taking a more integrated approach to which addressesmanagement value addition and by addressingwithin the sector both micro-level and macro-level (community) (industry)to alternative changes livelihood options. the introductionThe sequencing of - of liveli hood alternatives very is important- (Catter moul to the fisheries are introduced as part of a fisheries management process before Source: Tobey and Torell, 2006 and Torell, Tobey Source: adequate and acceptable alternatives are then fishers are developed, likely to invest in means to circumvent management measures. It is important livelihood to develop opportunities not be the sorts these should early in the management process. Ideally, of opportunities are that only services that rely generated by solely on the income fisheries. This is likely to create a localized “resource curse” situation. The “resource reflectscurse” natural of poor potential the resource the generate to dependence 2007). 2007; Barbier, sustain growtheconomy-wide innovation needed to (Collier, This happens because a large amount of human, physical and financial capital often gets directed at the development of those resources at the expense of the rest the of effectseconomy (local or national). The spillover of natural resource exploitation tend serviceand manufacturing of those than less be to reduceswhich sectors, diversi- the This may be particularlyfication effect pronounced smaller in in the wider economy. have Small-scale fisheries economies where development resources are few anyway. the potential to be a “growth often, they pole” in many coastal communities but, all too perpetuates over-exploitation and dependency tend to generate economic activity that small-scale fisheries are a valuable resourcethat can lead to In reality, on the fishery. economic diversification if used properly. While livelihood diversification is not always a successful approach to shifting pressure Torell, 2006), therefrom and are fisheries examples whereresources a par- (Tobey ticipatory approach the selection of livelihood opportunities which facilitates by the communities themselves, rather than imposed from outside, can work (Cattermoul et Micro-finance2008). al., very is important alterna livelihood facilitate or stimulate to - 2006), as are and Torell, wider mechanisms of supporttives (Tobey such as technical training, market information and development of entrepreneurship skills (Salagrama and Koriya, 2008). Building capacity importantan communities have wider their and Fishers role man- fisheries in play to agement, but first they need the skills to understand the management process and the knowledge required of their roles and responsibilities. leadership can play an Good In Tanzania, MPAs have used the generation of have MPAs In Tanzania, reducing options as a way of livelihood diversified Some 19% of male-headed on resources. pressure householdsand 16% of female-headed surveyed in these activities. been involved have activities included: income-generating Diversified techniques and fishing improved agriculture, fish rabbit nurseries, tree apiculture, marketing, and seaweed farming, farming, oyster cage culture, . handicrafts such as weaving, BOX 23: BOX diversification Livelihood Civil society more a par- generally has 6

in Kenya communities outlines rights committees in pastoralist (HSNP) The Hunger Safety Net Programme http://www.hsnp.or.ke/index.php?option=com_content&view=article&id=142%3Arights&catid=34%3Aarticle s&Itemid=1

ticular roleticular where management fisheries in play to are communities organized poorly (Jentoft, 2000). The power of such organization seen in Box 24. can be 6 important part distort in this but can also capacity Building community the outcomes. to participate, engage, share be equally as important. and cooperate can communities and groupsGood leadership of be an important seems to ingredient of With as does good community cohesion. sound management an analysis of 130 co- acrossmanaged fisheries 44 countries, Guttiérrez et al. (2011) identified strong lead- importantership as the most followed by individual attribute contributing to success, social cohesion and protectedor community quotas, areas. White et al. (2006) noted the importanceHowever, of building durable institutions after leadership change. Processesthat will be self-sustaining such as ICM are seen as valuable governance govern can help this and can enhance the local mechanisms that - ment leadership role. on the Mekong River in Laos, BairdIn his discussion of co-management (1999) increasessolidarity when that mentioned through thereco-management, be also may other spin-offs such as community development. dominant elites who look after themselves A counter to good leadership can be and their immediate supporters and colleagues. Patronage systems can be seen as powerful where allies in management local elite is able to ensure a village chief or a particularto management by compliance group. Participation co-management in empowerment community mean always not does community the when even and, moreis empowered, empowermentsuch that mean necessarily not does it even. is Local elites may have a vested interest process in moving the co-management in certain directions or in presenting personal choices as those of the wider community. Such patronage is likely to exclude some key stakeholder groups, especially the poorest and most marginalized. This can be particularly damaging when managers a certainscientists assume or degree and that communities within of homogeneity the leader represents This is particularly different so where the effects groups fairly. are being measured, and impacts of MPAs and the exclusion of fishers is likely to have very different effects on different excluded from groups people. Women of gleaning local reefs on foot, for instance, are likely to suffer more much from a local may exclusion zone that men with boats who areWomen able to travel further afield. lose not only local access rights but the ability to fish anywhere and the opportunity for social engagement with other women in the community where gleaning is a collaborative activity. elites are local essential to providing and legitimacy the leadership But paradoxically, of co-management structures and processes (Wilson et al., 2006). NGOs can have a role in reducing the adverse effects elites through of these building rights committees and other transparency mechanisms.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 70 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 71 (2003) noted that social capital in that social capital et al. (2003) noted Rudd is verycommunities important- for influenc solidarity for building ing decision-makers, and for formingwithin communities bridges importantis This communities. among for developing learningsharing networks and ideas. According to Armitage et al. (2009), management calls for successful adaptive entities social of sets identifiable and clear with shared interests. ability to community’s extent of the The organize- itself to work within a co-manage arrangementment issue significant a is affectingpotential impact of such ar- the rangements. Abdullah et al. (1998) found that it can take 3–5 years to develop effective institutions. Source: IMM, 2001 IMM, Source: (2006) found that many co-management initiatives give the roleet al. (2006) found that many co-management of Wilson the areas.building capacity to NGOs operating in They provided examples in Philip- Bangladesh wherepines, Cambodia, Laos, Thailand and capacity was strengthened by NGOs. During expert participants discussions, issues as being also highlighted leadership as initiatives for fisheries management or important above the community, at levels conservation of marine areasspecific on be highly dependent tended to have often charisma to encourage wider supportindividuals with the commitment and for such initiatives, whether in local government, the NGO sector or at higher policy-making specific leaders as levels. They saw this dependence on representing vulnerability, arebecause such individual “champions” change or regular subject to generational work, especially given the long timeframes often transfer to other locations or fields of involved in fisheries management development. TriangleCoral the within Indonesia in morehow at looking is Initiative systemic Work incentives can be created schools, higher education and government – within depart- issues. ments – to encourage people to commit to and engage in marine management The goal is to generate a wider group of leaders of change across generations and institutions who can provide more sustainable leadership for change processes in the long-term. Engaging with fishers’ and preferences motives A key part of working in partnership with fishers in the management process is understanding their motives and preferences. Without this, management assumptions can be well off mark. differentof dependency understanding to addition In groups, importantis it un- to derstand what drives fishers to do what they do and how they will react to change. On India’s Orissa coast, many migrant fishers had coast, Orissa many On India’s coalesced but lacked cohesion into communities in 2000, the Orissa cyclone After and organization. support insisted that the the NGOs providing through form groups itself and community organize Although it had which support could be provided. in groups, of working experience little previous the benefits of mutual the community discovered Residents support and cooperation very quickly. way that this alone had transformed the reported function as a community and influenced all they aspects of their lives. BOX 24: BOX cooperation Post-cyclone

Hilbornmany of collapse the that suggested Gaertner,2004) and Salas in cited (1985, a lack of knowledge rather than fishers’ behavior is due to misunderstanding fisheries fisheries of resources.important is an fishers motivates what Understanding part of a fisherydeciding how to manage according to Hilborn (2007a), who also noted (2007a, 286) that “… fishermen respond to in ways that often surprised managers, regulation for fishermen understand the motivation and incentives and managers must to understand how they respond.” fishers convertThe context in which policy measures to a number into actions is subject actions. These include what that can change the course of those of influencing factors their priorities are, their cultural norms their perceptions and expectations, of risk, their relationship and cohesion with commu- with managers and politicians, conflict nities, and beliefs around of the resource. the sustainability In addition, these may differ from those of managers. Salas and Gaertner (2004, 154) recognized this when in tactics and strategies implement and develop said: “…fishers they the to response objectives given their particularconstraints they encounter and their intended human, in contrast, have generally made Managers cultural and economic contexts. social, naturesimplistic assumptions about fishers’ management and attitudes when defining policies.” This can be very important in a management context. As Hilborn (2007a, much better when there290) noted: “[f]isheries management works is good coopera- cooperation depends This …” fleets fishing scientists and the managers, between tion on people understanding where each is coming from. Understanding and responding is not straightforward. to the motives of fishers In effectsthe potential to counter attempt an about attitudes community in a change of governmentthe Philippine MPAs, introduced Protectedthe National Integrated Areas replaceto government national with management community-based (NIPAS) Systems direction. It did so because it feared the community might choose to turn its back on conservation for economic benefit. This has reportthe MPA objectives and exploit - edly generated much resentment within the communities and reduced effectiveness (Hind et al., 2010). of the MPA In many fishing communities, there follow in their is a tendency for boys and girls to moreIn some fishing communities, traditional parents’the sector. join footsteps and This can influence people’s in- may be seen as a right or an obligation as a career. fisheryleave the clination to is not true This situations, in all sector. not join the or especially where fishers are part-time or seasonal operators. Where viable alternatives offer many better benefits, those people will generally take them up. However, much fisheries people have few other skills and knowledge, which may make leaving more difficult for them. Fishers are apt to view resources in terms of their time preferences or the way they discount future benefits in current prices. People who have high discount rates favor current gains much more than the same gain in the future. Time preference influences implementing those and policy making people those as well as fishers, of behavior the it. For politicians the time horizons are generally short – 2 to 6 years (Sutinen, 2010) – because of the time between elections. The time preference for donor agencies can be even shorter, leading to substantial distortions of policy as their funding priori-

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 72 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 73 Addressing commitment, compliance, conflict and enforcement Addressing The enforcement of regulations represents a large part of the cost of any management process.be veryThis can high where must be forcedfishers with comply to regulations rather than where a commitment to those regulations. they have Moving from compliance to commitment can be an important step in increasing management’s effectiveness and reducing its cost. ties fluctuate in a given sector or policy area. in a given sector ties fluctuate Longer-termare considerations often less important short-term to them than a significant problem This can become gains. reform major institutional because when management change, needed for fisheries is years. After reviewingit may take many requirements the legal for community- (2004, 32) noted that “[a]ny in the Pacific, Kuemlangan based fisheries management external programmefor a longer term for assistance (for CBFM) should be duration than normal development projects.” technical assistance or only required This is not to address also to build government institution building but community-level under- of CBFM and to facilitate the necessarystanding of the benefits policy and legislative changes. focus on the short-term.Fishers also often access fisheries, where In open fishers have no secure claim over future outcomes from fishery, the they are encouraged to reap the benefits quickly before others do. There are also uncertainties about future sometimes have shorter markets and fish stocks. Poor people also fisheries policy, at higher rates suggesting a lesser com- time horizons because they discount benefits and mitment to environmental Tobey management (Holden et al., 1998). In Tanzania, (2006) found that povertyTorell may be a limiting factor to conservation efforts, in that poverty often forces people to engage in destructive practices. If the time preferences of managers and fishers are very different, then giving fishers or local communities the rights to harvest fish resources may not always generate the expected results.a commitment For example, rights do not necessarily confer As Bromley preference’ (2009, 282) noted, “if the ‘time of a private to sustainability. owner is such that income now trumps income in the future, then private owners (destroying)liquidating on intent quite will be renewablea resourcenatural orderin to spend the proceeds or invest them elsewhere.” Investing current catches in your investment even if it destroyschild’s education may seem like a good future stocks. It is also worth that the motivations and preferences noting are of fishers dynamic and constantly changing in response to their surrounding economic envi- social and ronment.a combination of people’s perceptionshow indicated India Experience in of the increasing competition for fisheries resources, exposure this to outside ideas (in reliefduring the post-tsunami case efforts improved2004), after and communications change significant a to generation, a of course the over led, had education to access in the attitudes of many fishers in South India regarding the future and of fisheries their desire children for their to enter the fishery et al., 2011). in the future (Townsley Understanding these different motives is important for ensuring that fisheries management systems accommodate them and work with them. , 2006). Where2006). et al., arecommunities more homogeneous,

Rights imply an entitlement which is generally supported in law. Withgenerally supported is entitlement which an imply Rights arerights those in law. responsibilities require which often use of the resources. the sustainable Enforcement protectinginvolves both adhere that rights holders rights and ensuring those to their responsibilities. enforcementfisheries, the In traditional rights and of responsibilities were often controlled importance by traditional authorities. The these institutions of should not be underestimated. if the community disintegrates As Jentoft (2000) noted, it becomes a threat countries to fish stocks. In many developing socially or morally, that have introduced more formal systems, the enforcement and centralized licensing of regulations has become more difficult many vessels operating from with many the government In many small-scale developing fisheries, small landing sites. lacks effectivethe funds to implement enforcement (Arthur, 2005). fisheries Non-compliance to regulations undermines the effectiveness- of manage ment measures and is a major problem in most fisheries. In their review of compli- Kuperan and Jahan (2010) ance in the coastal fisheries in Bangladesh, recommended encour- for policies and exploring causes of non-compliance and level examining the at that moment, the chances of detection aging or securing compliance because, and conviction in fisheries rule breaking in coastal Bangladesh were reported to be virtuallyJahan and Kuperan by suggested issue, compliance the to solution One nil. (2010), called for moving towards where co-management in fisheries the additional transparency of the approach would support greater compliance. Unless there measures, is commitment to the operation of management there are difficultiesbe likely to (2007) White and Christie example, For compliance. getting in were one of preferredthe found that MPAs coral reef fisheries management measures less than 0.01 percent– covering (at the time) 18.7 percent of of the world’s reef. Yet coral reefs were zones, with no poaching and at low risk. This suggested within no-take considerable lack of adherence to the rules. Rules not only need the legal framework to enforce them and the political will to implement enforcement but also legitimacy in the eyes of the fishers. Furthermore, legitimacy should also be in the eyes of wider but these forms sometimes conflict (Jentoft, 2000). of legitimacy can society, as importantThe use of graduated sanctions is seen in resource management systems (Ostrom,particularly2009b), relationin veryas well as rights, to important the to all too often, this is missing, especially success of fisheries management. However, in countries where the rule of law is not well established. According and to Christie White (2006), lack of clear tenure rules can undermine and fair and effective MPAs, and consistency between national and local law enforcement, law, knowledge of the laws and institutional goals are important effectiveness. to MPA In-migration and conflicts outside of the community often require the government to intervene to resolve(Wilsondisputes co-management seems to work better. Francis and Brycesonco-management seems to work better. (2001, 94) noted that “[c]onflicts of interest can be resolved or avoided by fair processes respecting coastal communities’ systems of land/sea tenure and common property rights.” to Andrade and Rhodes (2012) implemented a meta-analysis of 55 published studies understand the key factors that lead to community compliance with protected area

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 74 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 75 establishing cooperative relationshipestablishing stakeholders among all building relationshipson voluntary draconian enforce rather than compliance - ment promoting enforcement through participatory decision-making setting rules that are and easy to understand clear setting internal and external are boundaries that well defined and by recognized resource used and officials equipped and motivated personnel ensuring well trained, determining and enforcing penalties and applying them consistently. • • • • • • Ensuring participation and inclusion A part compliance and commitment is building support of generating manage- for the process,ment requireswhich decision- the communities in their and involving fishers making process. This means bringing in a much wider group than just the fishers local economy is closely linked to fishing because, in most communities, the whole and decisions are likely to have far reaching effects. of that participation The quality is also very important. Extractive participation is mined for – meaning the community effectiveless be to likely is – consent and knowledge its wherethan participation is more collegial (Campbell and Salagrama, 2001). Participation of fishers in management decisions and processes that affect their lives and livelihoods is important for several reasons. It generates buy-in and support for the process, it incorporates local knowledge and ex- it empowers communities, can reduceperience, and it that communities are costs. Recognizing not made up of people who all have the same needs and wants is key to effective participation (Bennett, undated). local in- Andrade and Rhodes (2012) found that compliance is driven primarily by volvement in the protected areas’ decision-making processes. This is because those decisions are the livelihoods of people in adjacent communi- likely to impact upon ties. Many protectedareas around the world have been developed using exclusion- ary top-down methods and, as such, failed to consider other important issues such as social, cultural and political concerns. consider that no-take MPAs Opponents of such measures have failed largely because they have been imposed on fishermen, and they argueof property for the assignation and co-management stocks rights to fish (PA) regulations. included: These (PA) • works best if thereFisheries management cooperation among the fishers, is good (Hilborn,managers and scientists a shift which enables the beginning of 2007a), from mere with regulation compliance to a sense of commitment to making the fisherynoted, when fishers believe a stock needs sup- work. As Bennett (2005b) porting, they will agree to limit effort. A key part of the move towards effective management must be a move from fishers’ coerced compliance to management regulation towards one where fishers are to the success of the management committed measures. Otherwise, there will be need to spend largeeffort amounts of funds and to ensure countries that compliance, which is unlikely to be achieved in developing what incentivizes fishers is central to that have financial constraints. Understanding process (Hilborn, 2007a).

(2009) pointed out that, to be successful, it must prioritize local interests,et al. (2009) pointed out that, to be successful, through the greater of fishermen involvement processes in decision-making (Jones, effectsThe 2007). effects have will fromfishers of exclusion of MPAs that impacts and aredetermined in part area by the size of the enclosed relative non-enclosed. to the that force from the same number of fishers to catch MPAs a smaller area arein danger of increasing faster rate. at a much areas over-exploitation in the outside the MPA Respect for participation is seen across and inclusion the literature. Allison (2011, deliberation amongst stake- meaningful engagement with and 11) found that “[o]nly Hall and Mainprize that will be seen as legitimate.” Similarly, holders can yield goals agreementget complete possible to it may not be (2004) said that while on the aims of fisheries management, it is importantand potential outcomes of all be that the views are (2004) noted that when local communities excluded from heard. Aswani and Weiant protected area and aspirations are management systems, and their needs ignored, it becomes very difficult to enforce conservation policies. Andrade and Rhodes (2012) also noted that while the cost of patrolling big protected areas be reduced can by involvement of local people in patrolling and management, such stewardship will only in the decision-making process.take place if local communities feel included While biodiversity conservation in the short-term, may be achieved marginalizing participa- in capacity building, not enhancing governancetion in decision-making, not engaging processes or enforcing regulationsto lead to biodiversity loss in the fairly is likely long-term. In addition there to be a growing seems recognition that stakeholder participation needs to be sought throughout the monitoring and adaptive management process, not just in initial planning, given the limited knowledge of how ecosystems function (Arkema et al., 2006). In relation to community-based natural resources management (CBNRM) in general, Roe took over stock et al. (2006) noted that in China, if the state Bell agency and capacity. programs,enhancement difficultwas it because fail to tended they should who see to by local fishermenpay for the benefits, while those operated worked much better. roleThe around decision-making in women of be not should management fisheries forgottenrolesmaller a play 2005a). While women may (Bennett, fish in men than harvesting in most countries, their role in fish processing and trade is vital. Fisheries measuresmanagement what sort landed, how much fish is influence can is of fish landed, where landed, when it is landed and the condition in which it is landed. A it is recent in Cambodia found that changes in the market for study of women fish traders dynamic fish had changed significantly over an eight-year period, demonstrating the can 2013). Such changes nature of the fish trade process (Asian Fisheries Society, be driven by the fishery itself or by outside forces, but they can radically change the interface between fisheries management and fisheries trade. All of these characteristics affect fish processors with quite and traders, but can be dealt differently those who are able to travel by men and women, the poor and the wealthy, and those who are restricted to the village for religious or family reasons (see Box 25). Alpízar (2006) noted that the quality of participation is very important. This begs the question: who will be involved, how are they selected and what role will they take?

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 76 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 77 178) noted that participatory research and “have consid- community-based management erable, yet often unrealized, potential in coastal are,They world. the of fisheries great a to the same coin. In thinking extent, two sides of about participatory research, we envision the building of a co-learning environment that is participants…”all empowering for DFID’s Science ProgrammeFisheries Management identified the that fishers can play in stock role assessment work and how feedback from that process improved- management decision-mak ing (Howard and Arthur, 2005). Jentoft (2000) recognized the relationship between community and fisheries management as fundamental. Fishers are often born in and live in communities, and are enmeshed in the social and cultural structures and processes. If Source: IMM and ICM, 2003 IMM Source: The degrees of participation fishers in fisheries of small-scale research were reviewed the important (2001) who noted and Salagrama by Campbell valuable role and that play in fishers can research (2009, Charles et al. limitation of such practice. but also the there is a danger that the fishers community, the management systems exclude the This role of the will act in their own interests only and ignore those of wider society. community will be important man- both in the design and implementation of fisheries Tuyen et al. (2010) noted that the livelihoods of coastal Van agement plans. However, people in Vietnam are often in a state of flux (as they are in most places) adding to in fisheries. They suggested that therethe complexity of planning and management is “growing recognition authorities of the value of engaging local fishers and among fish farmers participatory in process to challenges, and resolve complex livelihood formed (newly bodies management local of development the as Associations) Fishing Tuyen et al., 2010, a basis for emerging co-management of aquatic resources” (Van 327). (2000) noted, we should be careful as Belsky not to replace a more top-down However, theory of conservation with another where we assume that rural communities are “ecological noble communities” or make them central to every conservation effort. This is reiterated who pointed out that communities are by Alpízar (2006) heteroge- neous and multidimensional, so conflicts, divisions and inequalities are likely to exist, and decisions are not always going to be environmentally benign. Belsky (2000) also found that not all communities have the necessary skills, governance and social struc- that a focus on community management takes tures to enable management to occur, the focus off the role of multi-nationals, international treaties and institutions, and in controlthose that conservationof stronga not have do often policy understanding of how communities work. In relation to reef decline, Whittingham et al. (2003, 52) noted that “… participation is not a panacea to ensure that interventions succeed in preventing reef decline and assuring sustainable reef benefits for poor stakeholders.” Other key elements include: i) when participation occurs in the management process, Increased capitalization of the India coastal capitalization fisheriesIncreased effect on the fishers has had a generally positive vulnerable to more catches are although future landings into increased However, overexploitation. of the affected many fewer ports has adversely of Centralization and traders. small-scale processors processing landings has affected access to landed fish of ice) and use practices (especially the increased had knock-on have These fish market opportunities. effects on fishers’ household incomes. BOX 25: BOX processors influencing fish Factors in India et al. (2006) expressedoften poorly addressed that fisheries is in national et al. (2000) discussed the importanceet of traditional ecological knowledge and

Linking different knowledge management systems knowledge management Linking different A key element of participation and building commitment is recognizing the value experience-based knowledge of local fishers. of local ecological knowledge and the arefishers often, too All regarded as knowledge traditional and their ignorant as generated by moreinferior to that formalwhich has often proved knowledge systems, incorrect. There is a growing awareness these informal of the value of knowledge systems in fisheries management. of as being composed of threeKnowledge management can be thought components: i) and iii) using knowledge. Even though generating knowledge, ii) sharing knowledge knowledge is often considered that which is generated through formal science, fisher that is transferredsocieties have both traditional knowledge between generations with its roots in history, and experience-based knowledge which comes from working Many fishers have profoundly detailed knowledge of their environment, in the sector. the species of fish they target, the fish and its navigation, changes in the waters they and the techniques which seasons which influence their fishing preserve fish (see, for 1997 cited in Campbell and 1981; and Worsley, instance, von Brandt, 1972; Johannes, Salagrama, 2001). Customary marine tenure systems are often underpinned by the existence, value and 1982; application of traditional ecological knowledge to management (see: Christy, 1985; Cordell, 1989; and Johannes, Ruddle and Johannes, 1985; Scudder and Connelly, 1981 cited in Campbell and Salagrama, 2001). Berkes adaptive and systems knowledge-based such between similarity the acknowledged management. Francis and Bryceson (2001, 94) researching the situation in the coast noted that “[b]oth traditional and scientific knowledge systems of coastal of Tanzania ecology and ecosystem management exist, but there are many gaps and there is a need for much improved respect dialogue and mutual between these knowledge systems.” ii) how it is sustained, iii) the equitability of the participation sustained, iii) the ii) how it is process, to iv) the extent poorerwhich the marginalized and other groups are how systems of included and v) patronage are included. for change. In relation be included in understanding the need People also need to that “[p]roviding White et al. (2006, 299) noted to ICM in the Philippines, effective and socioeconomic informationfeedback on biological quantitative indicators on and as a fisheries and habitats result of effective contributes to the under- management is needed.” standing of why ICM An important omitted from element of inclusion often management discus- fisheries Wherefisheries management systems? do the poor fit into sions is that of poverty. Walmsley poverty reduction because of their often marginalized strategies. In addition, positions, the poor are often excluded from fisheries management systems.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 78 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 79 Ecosystem projects, for instance, has generated a large Marine amount of information about the biophysical, socio-economic, fisheries and gover- However GEF is reportednance aspects of marine management. to have been less funding improvedenthusiastic about actions and pro management practice, new - tection of priority sites, according and Kirkman (2010), who also to Bensted-Smith noted that “[o]verall, the LME approach is a powerful generator of information and financial resources and promotes transboundary that, in cooperation but we suggest a developing country context, GEF and LME proponents should redirect emphasis and resources from natural sciences to effective, sustainable governance” (2010, iii). and trustMutual respect in, different for, knowledge systems can take several decades to develop (Armitage et al., 2012). Without trust, the incentive to commit to management regimes based upon shared knowledge can be lost (Campbell and Cat- termoul, 2009). The incorporation of local knowledge into policy-making processes is becoming more in fisheries management, as is sharing more common formal sources of knowledge within communities in ways that can be understood and used. In all aspects of knowledge management, a more management, of knowledge aspects all In approach collaborative emerging is for sharedas a key mechanism in governance and decision-making understanding The greater in knowledge use of indigenous processesand policy more generally. is a case in point. In fisheriesfisheries management research, participatory approach - throughes to knowledge generation research all stages of the cycle are becoming more prevalent Wilson (Campbell and Salagrama, 2001). et al. (2006) expressed that very be can fishers of knowledge experience-based management. fisheries for useful In the UK, the government’s recent (2010–2013) process identification of for the marine conservation areas involved a very consultation and engagement significant with a wide array fishers, sports of stakeholders including divers, boat operators and conservation This was supported specialists. makers. by marine scientists and policy The extent and relevance to fisheries is clearly demonstrat- of indigenous knowledge the Pacific. work among island communities in ed in Johannes’ (1981) The expert- and experi local knowledge generally found consensus that discussions ence offer a crucialknowledge base required contribution to the for effective fisheries management. However there was less clarity regarding how this could be married with scientific knowledge. Some respondents, for example, were skeptical regarding the reliability of purely community-based mechanisms for monitoring and evaluat- ing the impacts of management, particularly on the ecosystem and its functioning. werescientists trained by Inputs felt Others fields. some in indispensable as seen strongly that a large proportionkey information-gathering of roles could be taken on by resource themselves, and that this could represent users an important cost-saving local commitment and engagement in while also contributing to building mechanism the whole process. even when new knowledge is shared, it often is not used to inform policy However, done throughand policy implementation. The work Environment the Global Facility (GEF) on its Large ©Michael Cowan

80 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 81

7 Discussion A largeliterature, body of reviewed both peer and institutional reports, covers the area management. This synthesis of small-scale fisheries reviews a small proportion of those to provide emphasis an understanding of the existing knowledge field. The of the study has been on “reviewing reviews” of experiences in the field, as much of the literature stands one step removed fromAs a consequence, the the field itself. synthesis represents and opinions of thought leaders in the field who the findings have assessed the evidence, cross referenced some 20 key infor- by discussion with mants across the field. There was widespread agreement sector is very that the fisheries important to global food and nutrition, to livelihoods, to foreign exchange earnings, to local community agreed It was also that fisheries are in poor. development and as a safety net for the and many over-exploited. But therea fairly poor state with most over-capitalized was turnedbe could this that optimism of sense a also around therethat and were already signs of hope that this was being achieved. in the A number of major themes in fisheries management that hold center stage discussions tend to focus on the degree of emphasis placed on different aims. Yield maximization, conservation,arepolicy maximization and social economic all entry points into fisheries management that color the focus of the management efforts. In- thererecognition is of the need to balance these different however, themes creasingly, and to look at fisheries management much more holistically. This holistic approach brings recognition of the complex nature of fisheries manage- It is that ment that is changing in the face of globalized markets and climate change. complexity which needs to be embraced through much more integrated approaches acrosswork that management to different requiresThis levels. and scales horizontal verticalintegration into the wider economy at local, national and global levels, and 7.1

Discussion, conclusions and conclusions Discussion, forward ways

integration to link the local fisheries situation to wider concerns situation to to link the local fisheries integration of migratory stocks, cross-boundary effects,global markets. IUU fishing and water pollution, There recognition is also that there for all “silver bullet”, no universal answer is no cul- economically, socially, the problemsfisheries. Each situation is ecologically, of different.turally and politically Local context is very important, particularly as more holistic approaches areobjectives of different adopted. The aims and stakeholders will differ,and the local context the definition of making fisheries differentrevitalized in different there support does appear to be considerable However, locations. the for of locations around of factors influence success in a number idea that a number the globe. Thereis also a growing need to use a combination of these consensus of the trendfactors to set a general of improvement in motion. An important in this consensus is that the process element by which fisheries man- is moreagement is developed and implemented important than the specific measures through which it is implemented. In part, this is dictated by the fact that the timeframes the way fisheries and marine ecosystems areinvolved in bringing about change in aremanaged processmeans that the which long, stakeholders, institutions which by and decision-making mechanisms are engaged over time needs careful attention. Col- laborative approaches seem to play an important role in such processes, but the exact community representatives,roles played by government, NGOs and the community, the private sector will tend to vary according and the stage of development to context processthe of process management the way The itself. verydepend also will develops and fit, institutional capacity much on the broader context of governance, subsidiarity, rights to resources, inclusiveness and scale, and it will be influ- the legal framework, enced strongly by the prevailing political economy in different locations. Ensuring the long-term viability of the resource and the wider ecosystem was generally needs to be balanced by other concernsaccepted as a key element, but one which around the ability of stakeholders, particularly to respond to change and the poor, around how benefits from protected ecosystem services might be distributed. It was larger play a to likely is change to adaptation that clear also part in fisheries man- the futurein agement introducingis – climate change uncertainty needs to be that incorporated into the planning process. There was considerable support for the use of more adaptive approaches to respond to change and to build greater resilience in com- management processthe munities. Given both the level of change in the change and in the fishery itself, it was felt that fisheries management needs to be introduced in- policy implementation and as this approach allows adaptation in policy, crementally, community structures creating the capacity at all levels – and processes. However, fashion within policy mechanisms, communities and agencies – to work in an adaptive is itself a challenge for which they require support and assistance. This suggests that introducing and establishing major shifts in the management process situations. A long-term will not occur quickly in most commitment by funders to this change process will be necessary, requiring more sustainable funding mechanisms to be identified and put in place without further adding to the subsidies to the Improved market chains have a role to play in improving the benefit flows to sector. fishers, but will require sequencing.

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 82 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 83 Conclusions It is clear from this work that there is no simple universal cure for the problems that face small-scale coastal fisheries. These fisheries are complex, confused and difficult this does not mean that fisheries to deal with, as well as locally specific. However, cannot achieve a much more equitable and sustainable trajectory balanced into the future. identified in this synthesis could help achieve this – when The 20 factors combined into a process There for change. are doubtless others that would emerge from a more comprehensive study. There was also widespread recognition that greater fishers and their inclusion of This builds on recognition the of process in the decision-making communities is key. importance rights and responsibilities of beyond the inclusion levels, and goes at all of fisher’s representatives form in the elites. It of local recognizes that fishers are a disparate group in quite different people who depend upon fisheries of ways. It also recognizes are other members of coastal communities that affected by how fisheries roles in their as fish processors are and traders Women management is conducted. greatly by management decisions. Children influenced are affected by future employment opportunities. is affected The wider society by the benefits that flow from economy. fisheries into the local will involve some people being included fisheries management decisions Ultimately, may be currentand some being excluded. Those excluded in the right to fish fishers Those who areor future excluded will generations who may wish to join the fishery. need alternative livelihood options, otherwise they are likely to become impoverished or will try to circumvent entry regulations. Fisheries are generally closely linked to and ensuring that they become a vital partthe local economy in which they operate, of Getting the balance right between exclusion, local economic development is essential. alternative and linkages with the local economy will be very livelihoods important Embedding fisheries. small-scale of development and equitable the sustainable to context of the local economy is essential if the fisheries management into the wider livelihoods of the poor are to be enhanced. It will also be important to get the sequencing of decisions around controls over entry,livelihood alternativesmarket chain development and right. Introducingim- provements in market chains before the rights to fish are will encourage established Restricting entrymovement into the fishery. to the fishery before alternative investment and labor opportunities are the poor into a state of despera- established can push tion. Thereconcernconsiderable was those with line in fishers motives of getting the about of managers and recognizing the importance of different frames for management time decisions. Given differences between people, there viola- would likely be conflicts and tions of regulation good enforcement, that would need sound leadership, community cohesion and a greatercommitment to the management process. sense of This again requires support building at the community level and building a sense for capacity trustof among the differentsharedplayers. A recognition of the value of formal and informal knowledge systems would provide a basis for starting to build that trust. 7.2 Ways forwardWays

. The specific needs of small-scale . The specific needs of small-scale Code of Conduct for Responsible Fisheries

There of different is much that can be done to bring the successful experiences fisheries together into a more coherent and consistent process – a process supported and learningby tools and mechanisms a morefacilitate that will materials incremental but more coordinated approach This would need to be to management change. whereon an iterative basis done and learning experience shared is through networks and exchanges, particularly in the face of climate change where so much remains unknown. International Guidelines for Securing Sustainable Small-Scale The evolving FAO Fisheries provides a framework for moving more equitable and sustainable fisheries forward. This is still being developed and needs to be piloted to enable the different tools and mechanisms for implementation to be developed. In addition, as this report has shown, thereare knowledge gaps in the process that should be given consideration for future work, investment or development in the how to combine these success factors into an effective such as: sector, process; to approwhat extent will they complement or conflict with one another; how can the - There the areas to be done to celebrate is much that needs have been of success that recognizeto also but far so achieved widespreadthat considerable a take will success financial support years, substantial number of capacity a commitment to building and at all levels. Lessons can be learned from fisheries, such as those outside of small-scale coastal have emergedthat from Cambodia where as Bangladesh and such fisheries, inland areco-management systems well developed. There from also have been lessons other resource as forestry, management systems such livestock and game which have An approachparallels with fisheries. examples fisheries management which seeks to fisheries is likely to generate moreand solutions beyond useful approaches. Efforts these different to distill began with factors into principles for management the been progressivelyfisheries that go beyond the Code have FAO is recognized and currently producing a draft International Small- Guidelines for Securing Sustainable Scale Fisheries to address many of the emergingissues associated with fisheries management. These Guidelines are of small-scale intended to enhance the contribution fisheries to poverty alleviation, food security and economic growth. An important in fisheries management is the greater development interest in operating levels. Regional recognitionat higher scales as well as the community and support of, good practice creates normative pressure to adopt. Learning for others for, networks around fisheries and marine ecosystem management are important in supporting the the Code of Conduct for Responsible Fisheries experience. While exchange of positive become a standardhas not been universally applied, it has against which practice is measured. The proposed Guidelines have the potential to go much further but will supportneed time, commitment and financial to achieve this potential. 7.3

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 84 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 85 priateness of differentpriateness process management elements in the fisheries for different what form and understood; assessed be locations take to would adaptive planning address environment; changing marine in a rapidly fisheries management how can we generate revenues fromfisheries that will fund local man- small-scale coastal createagement initiatives, alternative investment and livelihood opportunities, and of interventions local economy; how do we get the sequencing stimulate the wider right for different stakeholder groups; and how do we ensure long-term for funding the process? Frontiers in Ecology and Marine Protected Areas: A Multidisciplinary ApproachCambridge . , 2000, Acheson, J. M., Wilson et al., 2000, Acheson, J. et al. (1998 cited in Berkes J. A. & 13: 103-114. agement. Marine Resource Economics, in F Berkes & C. Managing chaotic fisheries. Pages 390-413 Steneck R. S. 1998) and social systems: management practices Folke, eds. Linking social and ecological Press, resilience. Cambridge University mechanisms for building Cambridge, UK. Marine protected Areas on Society’s well-being: An economic perspective. In J. ed. Claudet, University Press. mentation of adaptive management. JournalEnvironmentalof , 92: Management 1379-1384. Paper 2011-65. Penang. Working Center, scale Fisheries. Marine Policy 2001, 25: 377-88. ronmental Conservation, 29(3): 331-349. theory 30: 641-650. to practice. Marine Policy, Rents: Implications for Fishery Reform.of Economy In D. Leal, ed. Political DC: Agriculture ReformFisheries for Resource Use: Lessons Natural . Washington, Bank. and Rural Development Department, the World Inevitable Partnership toward Successful Conservation Ecology and Strategies? 17(4): 14. Society, entangling the sustainability of the Peruvian Ecology and anchovy fishery. Society, 18(2): 12 (available at http://dx.doi.org/10.5751/ES-05319-180212). management: From to implementation. characterization the Environment, 4: 525-532. Frontiers complexity. social-ecological for co-management Adaptive (2009) et al. in Ecology and Environment, 7(2): 95-102. Abdullah, N.M.R & Pomeroy, R.S. (1998) Transaction R.S. (1998) Costs and Fisheries Co-Man- Pomeroy, Abdullah, N.M.R & Acheson – Assessing the Impact of (2011) Socio-Economy & Roncin N. J. Boncoeur, F., Alban, and failureC.R. & Gunderson, L.H. (2011) Pathology Allen, and imple- the design in WorldFish Allison E. (2011) Aquaculture, Fisheries, Poverty and Food Security. (2001) The Livelihoods Approach and Management of Small- Allison, E. H. & Ellis, F. Alongi, D.M. (2002) Present state and future of the world’s mangrove forests. Envi- ParticipationM.A.Q. (2006) Costa Rica: From in and fisheries management Alpízar, G.D. (2010) The Allocation and Dissipation of Resource & Libecap Anderson T.L. Andrade, G.S.M & Rhodes, J.R. (2012) Protected Areas and Local Communities: An Dis- commons? the among Uncommon (2013). A. Halliday, M. & Schreiber, Arias Dewsbury,& S.C. Abramson, K.K., Arkema, (2006) MarineB.M. ecosystem-based Davidson-Hunt, I.J. Arthur, R.I., Charles, A.T., R., Berkes, F., Armitage, D.R., Plummer,

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Wakumota, A.W., Cinner, J.E. & McClanahan, T.R. (2012) Co-management of coral Co-management (2012) McClanahan, T.R. J.E. & Cinner, A.W., Wakumota, & Olyarnik, Duarte, M., Orth, Waycott, C.M., Caruthers, W.C. R.J., Dennison, T.J.B., C., Siriwardane,N., Bene, E.H. Allison, Johnson, D. & A., R., Charles, Weeratunge, Management in Philip- (2006) Integrated Coastal & Jautlan, W. White, A., Deguit, E. (2003) Poverty DFID-IMM- and Reefs. P. J. & Townsley, Whittingham, E., Campbell, Cross-scale & Kanagaratnam, U. (2006) linkages S.V. Wilson, D.C., Ahmed, M., Siar, Willmannm, R. (2010) Good Practices in the Governance of Small-Scale Fisheries, The economic justification for (2009) The Sunken Billions: Bank & FAO World What Different (1997) Knowledges: Profile Peoples Make of the World. P. Worsley, a new model for financing fisheries WWF (2012) Raising the Sunken Billions: Richardson,A.E., Punt, A.D.M., Smith, S., Zhou, Pascoe E.A., Fulton, M., Gibbs, A.J.,

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 98 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 99 NO. OF OF NO. RESULTS 5,189 550 447 32,823 4,267 438 1,041 15,408 1,288 622 460 Query too general Query too general 18,445 514 2,095,331 342 Query too general Query too general 9,323 72 772, 268 29,916 SEARCH FIELD SEARCH Topic Topic Topic Topic Topic Topic Topic Topic Topic Topic Topic Complete document Complete document Title Title Complete document Title Complete document Complete document Title Title Completed document Topic SEARCH TERMS SEARCH Fish* *manage* coast* Fish* community-based manage* NEAR/3 Fish* adaptive *manage* Ecosystem *manage* coast* Ecosystem community-based Ecosystem NEAR/3 manage* adaptive Ecosystem *manage* Natural resource *manage* coast* Natural resource community-based Natural resource NEAR/3 adaptive Natural resource manage* Fish* *manage* Fish* *manage* coast* Fish* *manage* Fish* *manage* coast* Fish* community-based Fish* community-based *manage* Ecosystem *manage* coast* Ecosystem *manage* Ecosystem *manage* coast* Ecosystem community-based Ecosystem Fish* *manage* SEARCH DATABASE SEARCH Web of Knowledge – Web of of Knowledge Web – Web Science of of Knowledge Web – Web Science of of KnowledgeWeb – Web Science of of KnowledgeWeb – Web Science of of KnowledgeWeb – Web Science of of KnowledgeWeb – Web Science of of KnowledgeWeb – Web Science of of KnowledgeWeb – Web Science of of KnowledgeWeb – Web Science of of KnowledgeWeb – Web Science Scirus Scirus Scirus Scirus Scirus Scirus Scirus Scirus Scirus Scirus Scirus Web of Knowledge – Web of of Knowledge – Web Web Science Web of Knowledge –Web of of Knowledge –Web Web Science SEARCH DATE OF DATE 02/07/13 02/07/13 02/07/13 02/07/13 02/07/13 02/07/13 02/07/13 02/07/13 02/07/13 02/07/13 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 02/07/13 02/07/13 ANNEX 1: 1: ANNEX A: Electronic search database log Annexes NO. OF OF NO. RESULTS 4,725,634 8,874 141 937, 105 1,858,356 360 No matches No matches 32+ 4+ No matches No matches 3+ 3+ No matches No matches 1+ 5+ 10+ 2+ 0 0 1+ 0 94, 247 21, 127 102 SEARCH FIELD SEARCH Complete Complete document Title Complete document Title Complete document Title All Fields Title All Fields All Fields All Fields Title All Fields All Fields All Fields Title All Fields All Fields All Fields All Fields All Fields All Fields All Fields All Fields All Fields All Fields Title SEARCH TERMS SEARCH Natural resource *manage* Natural resource *manage* Natural resource *manage* coast* Natural resource *manage* coast* Natural resource community-based Natural resource community-based Natural resource Fish* *manage* Fish* *manage* Fisheries management Fish* community-based *manage* Ecosystem *manage* Ecosystem management Ecosystem community-based Ecosystem *manage* Natural resource *manage* Natural resource management Natural resource community-based Natural resource Fish* *manage* Fish* community-based *manage* Ecosystem community-based Ecosystem *manage* Natural resource community-based Natural resource Fish* *manage* Fish* *manage* coast* community-based Ecosystem SEARCH DATABASE SEARCH Scirus Scirus Scirus Scirus Scirus Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Directory of Open Access Journals Applied Social Sciences Index and Abstracts Applied Social Sciences Index and Abstracts Applied Social Sciences Index and Abstracts Applied Social Sciences Index and Abstracts Applied Social Sciences Index and Abstracts Applied Social Sciences Index and Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Scirus Scirus

SEARCH DATE OF DATE 03/07/13 03/07/13 03/07/13 03/07/13 03/07/13 04/07/13 04/07/13 04/07/13 04/07/13 04/07/13 04/07/13 04/07/13 04/07/13 04/04/13 04/07/13 04/07/13 04/07/13 04/07/13 08/07/13 08/07/13 08/07/13 08/07/13 08/07/13 10/07/13 10/07/13 03/07/13 10203/07/13

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 100 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 101 NO. OF OF NO. NO. OF OF NO. RESULTS RESULTS 2 2 7 7 1 1 1 316 923 666 49, 13, 184 3,811 111 516 155 38,446 9,953 1,438 9 7, 248 7, SEARCH FIELD SEARCH Document Title All Fields All Fields All Fields Abstract Document Title All Fields All Fields All Fields All Fields Abstract Document Title Abstract SEARCH AREA SEARCH Sent by author Sent by co-author Sent by co-authors FAO Fish Ecosystem FAO Fish Ecosystem areas Marine protected FAO Fisheries Ecosystems FAO Fisheries Ecosystems & marine ecosystems Coastal SEARCH TERMS SEARCH Fish* *manage* coast* Fish* community-based *manage* Ecosystem coast* *manage* Ecosystem coast* *manage* Ecosystem *manage* coast* Ecosystem community-based Ecosystem coast* community-based Ecosystem *manage* Natural resource *manage* coast* Natural resource *manage* coast* Natural resource *manage* coast* Natural resource Fish* *manage* coast*Fish* *manage* INSTITUTION WEBSITE: INSTITUTION SEARCH DATABASE SEARCH Aquatic Sciences and Fisheries Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Aquatic Sciences and Fisheries Abstracts Aquatic Sciences and Fisheries Aquatic Sciences Abstracts http://www.coopesolidar.org/ http://www.coopesolidar.org/ http://www.wcs.org/ http://fish.washington.edu/ http://www.fao.org/fishery/topic/13261/en http://www.fao.org/fishery/mpas//en http://www.fao.org/fishery/topic/2880/en http://www.fao.org/fishery/topic/3542/en SEARCH DATE OF DATE SEARCH DATE OF DATE 14.07.2013 14.07.2013 15.07.2013 15.07.2013 15.07.2013 15.07.2013 15.07.2013 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 10/07/13 B: Institutional grey literature search log + results screened for language and relevance criteria for language and relevance screened + results NO. OF OF NO. RESULTS 1 1 2 1 - - 2 8 4 2 - - 1 1 1 1 1 7 1 1 20 2 5 2 1 4 3 2 0 1 SEARCH AREA SEARCH FAO Fisheries Ecosystems & marine ecosystems Coastal of ecosystems Types Sent by co-author Books Articles Marine Sustainable fisheries Seascapes and innovation Research Science reports and publications Marine, Resources Sustainable Oceans Solutions Un-assessed fisheries Sent by author Sent by co-author Sent by author Publications Fisheries Co-management and resources Tools Fisheries and aquaculture Bank Profish World learned Lessons reports Research management Ecosystem-based guidelines Sent by author Sent by author center Resource Publications - Co-management Publications - Fisheries management Publications – Fish INSTITUTION WEBSITE: INSTITUTION http://www.fao.org/fishery/topic/3320/en http://www.fao.org/fishery/topic/3320/en ftp://ftp.fao.org/fi/DOCUMENT/eaf/eafguidelines_278364.pdf ftp://ftp.fao.org/fi/DOCUMENT/eaf/eafguidelines_278364.pdf http://toobigtoignore.net/ http://toobigtoignore.net/ http://www.conservation.org/global/marine/Pages/ partnerlanding.aspx http://www.conservation.org/global/marine/initiatives/ fisheries/Pages/sustainable_fisheries.aspx http://www.conservation.org/global/marine/initiatives/ seascapes/pages/seascapes.aspx http://www.science2action.org/ http://www.science2action.org/files/sciencereports/ http://www.conservation.org/global/marine/publications/ http://equatorinitiative.org/ http://sfg.msi.ucsb.edu/current-projects/sustainable-ocean- solutions http://sfg.msi.ucsb.edu/current-projects/unassessed_fisheries http://sfg.msi.ucsb.edu/current-projects/unassessed_fisheries ‎ http://www.ifad.org/ http://sfg.msi.ucsb.edu/ http://www.mrcmekong.org/ http://www.mrcmekong.org/publications/topic/ fisheries?start=20 http://www.rflp.org/co_management http://www.protectplanetocean.org/ https://openknowledge.worldbank.org/ browse?order=ASC&rpp=20&sort_by=-1&etal=- 1&offset=200&type=topic http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/ contentMDK:23070469~pagePK:148956~piPK:216 EXTARD/0, 618~theSitePK:336682,00.html http://www.iucn.org/about/union/commissions/sustainable_ use_and_livelihoods_specialist_group/ http://www.afma.gov.au/resource-centre/research/reports/ http://www.afma.gov.au/search/?query=ecosystem+based+m anagement http://www.afma.gov.au/ http://www.cdu.edu.au/ http://www.lmmanetwork.org/resourcecenter http://www.idrc.ca/EN/Resources/Publications/Pages/ default.aspx

SEARCH DATE OF DATE 15.07.2013 15.07.2013 18.07.2013 18.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 19.07.2013 23.07.2013 23.07.2013 23.07.2013 25.07.2013 27.07.2013 27.07.2013 29.07.2013 30.07.2013 30.07.2013 30.07.2013 30.07.2013 01.08.2013 14/08/13 14/08/13 14/08/13

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 102 KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 103 NO. OF OF NO. RESULTS 0 0 2 26 0 0 1 0 2 23 7 2 1 3 2 1 1 2 4 1 0 0 0 0 SEARCH AREA SEARCH IDRC Books – Co-management IDRC Books – Fisheries management IDRC Books - Fish community- Co-management; to approach based; ecosystem fisheries; fishery and management fisheries; international governance; small- rights based management; fisheries scale fisheries; successful Publications Better management practices gender and social Livelihoods, issues Environment and natural resource Agriculture – Fish Fisheries management – open access Fisheries management Co-management Fishery policy and aquaculture to fisheries approach Ecosystem co-managemenet Promoting Gender in fisheries and aquaculture Participatory development approaches Collection Paper CRFM Research and Advisory CRFM Technical Documents and Sustainable Conservation white papers development Marine Resource Nearshore Conservation Marine Conservation Environment and Science; Children, Conservation and Communities Families INSTITUTION WEBSITE: INSTITUTION http://www.idrc.ca/EN/Resources/Publications/Pages/ IDRCBooksList.aspx http://www.smu.ca/webfiles/Dr.TonyCharles.pdf http://www.smu.ca/webfiles/Dr.TonyCharles.pdf http://www.southampton.ac.uk/oes/research/publications. page? http://www.enaca.org/modules/library/tag.php?label_type=1 http://www.afdb.org/en/documents/environment/12/ http://www.adb.org/publications/search/448?keyword=fish http://www.worldfishcenter.org/worldfish-publications http://r4d.dfid.gov.uk/Search/SearchResults.aspx ?search=advancedsearch&SearchType=3&Projects= false&Documents=true&DocumentsOnly=true&Any word=fisheries+management&AnywordCondition= AND&AnyWordPhrase1=1&AnyWordChooseField1=- 1&Keywords=2188&PageNo=7 http://www.apfic.org/modules/wfdownloads/ http://www.apfic.org/modules/wfdownloads/viewcat. php?cid=59 http://www.apfic.org/modules/wfdownloads/viewcat. php?cid=57 http://www.apfic.org/modules/wfdownloads/viewcat. php?cid=67 http://www.apfic.org/modules/wfdownloads/viewcat. php?cid=76 http://www.apfic.org/modules/wfdownloads/singlefile. php?cid=68&lid=274 http://caricom-fisheries.com/PublicationsandDocuments/ CRFMResearchPaperCollection/tabid/86/Default.aspx http://caricom-fisheries.com/PublicationsandDocuments/ CRFMTechnicalandAdvisoryDocuments/tabid/87/Default.aspx http://www.macfound.org/press/publications/conservation- sustainable-development-white-papers/ http://www.castlefoundation.org/grants-marine.htm http://www.waltonfamilyfoundation.org/environment/marine- conservation http://www.oakfnd.org/library http://www.packard.org/what-were-learning/program-area/ children-families-and-communities/ SEARCH DATE OF DATE 14/08/13 14/08/13 14/08/13 14/08/13 14/08/13 14/08/13 14/08/13 14/08/13 14/08/13 15/08/13 15/08/13 15/08/13 15/08/13 15/08/13 15/08/13 15/08/13 15/08/13 16/08/13 16/08/13 20/08/13 20/08/13 20/08/13 20/08/13 20/08/13 DATE LOCATION KEY KNOWLEDGE AREAS/OUTPUTS KNOWLEDGE KEY POSITION(S) PROMPTS What ECM initiatives have you been you have What ECM initiatives with? familiar you are / with involved of the features Describe the key used? approaches define a successful How would you ECM approach? of the the strengths What are/were experienced have you approaches or used? the weaknesses? What were Ecological / resource characteristics? Social setting? arrangements? Governance Characteristics of the organisations involved? Wider institutional context? Scale? Markets? Wider economy? Timing? Cost-effectiveness? What other individuals or of aware you are organisations community- working on ECM and/or based management? Guidelines Books. Reports. Papers. Articles. and manuals. ORGANIZATION(S) GENERAL QUESTIONS GENERAL NAME(S)

What do you feel are the key characteristics characteristics the key feel are What do you of an ecosystem-based or defining features community management (ECM) approach? had of these you have What experience approaches? and as the strengths regard What do you (based weaknesses of ECM approaches and what factors experience) on your contribute to them? to their What specific factors contribute/d impacts / failure? success or positive individuals initiatives, suggest key Can you who work on ECM who or organisations we should be in contact with as part of this review? as regard What documents would you useful for understanding ECM the most approaches? ANNEX 2: ANNEX The checklist below lays out some broad questions about your knowledge and experience of eco-system based community management of eco-system knowledge and experience about your questions out some broad The checklist below lays may want to consider you issues that specific the middle column contains some additional (left hand column) while more approaches wish and by all means as you these questions as freely to treat free in the right hand column. Please feel responses while writing your a distinction between might want to make you to some of the questions, responses In your their relevance. make suggestions regarding work for. that you of the organization and those personal opinions and experience, your Informal knowledge search checklist knowledgeInformal search

KEY FACTORS SUPPORTING SMALL-SCALE COASTAL FISHERIES MANAGEMENT - SYNTHESIS REVIEW 104 Financial support provided by