Fishery Governance

1
Fishery Governance
Factors of success and failure

• Garcia, S.M.
• FAO Fisheries Department

The Bellaggio Blueprint for Sustaining Fisheries,
Bellaggio, Italy, 21-24 February2004 Source the
presentation is mainly drawn from Garcia S.M.
(In preparation) . Fisheries governance and
management. Chapter 1 in Cochrane K. and Garcia
S.M. A handbook on fisheries management.
Blackwell Pubishers.
2
Outline

• The governance concept
• Good governance principles
• Systemic aspects of governance
• Trends in governance
• Challenges
• Critical factors
• Prescriptions
• Conclusions

3
Outline

• The governance concept

4
Definition
1. The governance concept

• Governance is a systemic concept relating to the
  exercise of economic, political and
  administrative authority. It covers
• guiding principles and goals
• organization and coordination
• Infrastructure and instruments
• Processes and actors
• policies, plans, measures and
• outcomes.

Draws inter alia from Béné, C. and Neiland, A.E.
2006. From participation to governance. WorldFish
Center 72 p and Bavinck et al. 2005. Interactive
fisheries governance a guide to better practice.
Centre for Maritime research 72 p.
5
Responsibilities
1. The governance concept

• Establishes overriding principles and objectives
• Develops policy and regulatory frameworks
• Connects government with civil society
• Harmonizes individual, sectoral and societal
  perspectives
• Maintains productive systems and social order
• Legitimates and balances stakeholders
  interaction
• Enforces decisions and regulations
• Maintains coherence across jurisdictional, space
  and time scales
• Conditions the allocation of power, resources and
  benefits
• Maintains the capacity to learn and change

Draws from (1) Béné and Neiland 2006. From
participation to governance. WorldFish Center 72
p (2) Bavinck et al. 2005. Interactive fisheries
governance a guide to better practice. Centre
for Maritime research 72 p. (3) Sporong, Coffey
Brown and Reytjens (eds) 2005. Sustainable
fisheries facing the environmental challenges.
European Parliament, Brussels 8-9/11/2004 90 p.
6
Outline

• The governance concept
• Good governance principles

7
Substantial principles
2. Good governance principles

• Committed political will mobilization of
  resources
• Legitimate lawful, democratic, representative
• Credible deterrent, enforced
• Transparent objectives, processes, performance
• Oversight including through public scrutiny
• Accountable to the sector and the public
• Aware of expectations and motivations
• Nested in national governance and policy
• Precautionary uncertainty, burden of proof
• Responsible a duty of care (ecosystems and
  people)
• Equitable in relation rights, duties, wealth
• Informed inter-disciplinary science informal
  knowledge
• Value-based traditional emerging ethics

8
Procedural principles
2. Good governance principles

• Systemic multiscale, multi-dimensional,
  evolutive
• Coordinated at national, regional and global
  levels
• Targeted consensual objectives and priorities
• Adaptive flexible, reactive, feed-back
  mechanisms
• Resolving conflict reduction mechanisms
• Effective performance-driven, indicators
• Inclusive main stakeholders
• Participative from analysis to implementation
• Affordable cost-benefit context sensitive

9
Governance is bipolar
GLOBAL LARGE SCALE
Strategic
Long term
Multidisciplinary
Planning
Top down
Ecosystems
Foresight
Systemic
Complex
Reflection and Action
Reflection and Action
Societal demand
Reductionist
Simple
Prediction
Management
Bottom up
Stocks
Operational
Short term
Disciplinary
LOCAL SMALL SCALE
10
Outline

• The governance concept
• Good governance principles
• Systemic aspects

11
Components and connections
3. Systemic aspects
Normative Principles Ethics Conventions
Government
UN
Cognitive Rationale, Knowledge, advice
Academia
Civil Society
Modified from Minta and Settle. UNFAO 2003)
Operational Resources, Institutions, processes
Agencies
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Components and connections (2)
3. Systemic aspects
Government
Constitution
Legislature
Fisheries Agency Executive branch
Legislature
Fisheries Agency Executive branch
Fisheries Management Authority
Fisheries Management Authority
Stakeholders, Fishers Environmentalists
Media
Public Citizens
Source Modified from Sutinen and Soboil, 2003
13
A system of systems
3. Systemic aspects
Layered institutions

• Global UNGA, ICP, WTO, UN Agencies, Conventions
• Regional RFMOs, ROEIs, Conventions and treaties
• National (central)
• Nesting policy rights, rents, conservation
• Enabling legislative frameworks,
• Cross-sectoral (inter-ministerial) coordination
• Area-based coordination/planning
• Economic policy and budgets
• Effective conflict resolution (incl. courts)
• Deterrent enforcement system
• National (local)
• Local associations, cooperatives, NGOs
• Participatory research
• Decentralized administration
• Participatory decision-making

14
A system of systems
3. Systemic aspects
The public sphere

• Multilateral organizations e.g. UN, FAO, IMF,
  WTO, ITLOS, WB, IMF
• International associations e.g. G8, OECD, NATO,
  Commonwealth
• Inter-regional groups e.g. APEC
• Regional institutions
• Fishery bodies, RFMOs
• Environmental bodies
• Organizations of economic integration (e.g.
  CARICOM, EC, ASEAN, MERCOSUR, ECOWAS, ASEAN,
  NAFTA
• National governments ministers, agencies, donors
• Sub-national governments states, landers,
  regional governments, municipalities, ethnic
  regions

15
The private sphere
3. Systemic aspects
A system of systems

• NGOs environmental and sectoral
• Global companies e.g. Pescanova, UNILEVER,
  Walmart
• Regulatory organizations e.g. ISO, MSC
• Pressure groups WWF, Greenpeace, PEW Foundation
• Associations Trade unions, cooperatives
• Banks
• Donors, Foundations
• Citizen

There are interactions and overlaps between them
and they all can act at various geographical
levels
16
Public/Private interaction
3. Systemic aspects
Entreprises
State
Households
Fishery Associations
Statistics
Administration
Regional Councils
Fishery Chambers
Research
Mgt. agency
Trad. regulations Taboos
Regulation
Fishery Committees
Fishing operations
Public
Private
17
Processes and feed-back
3. Systemic aspects
-
Source FAO Technical Guidelines
18
Cross-sectoral connections
3. Systemic aspects
Fishery policy
19
Cross-scale connections (2)
3. Systemic aspects
Fisheries
20
Time scales
3. Systemic aspects
Daily Seasonal Annual medium term
long term
Multi-scale governance
21
Outline

• The governance concept
• Good governance principles
• Systemic aspects of governance
• Trends in governance

22
Factors of change
4. Trends in governance

• Management failure
• Globalization
• Demography
• Civil society
• Stakeholders
• International agreements
• Tougher trade rules

• Conservation policy
• Poverty reduction
• Aquaculture
• New knowledge
• Uncertainty
• New global ethics
• Emblematic species
• Ecosystem awareness

23
Institutional evolution
4. Trends in governance
Source inspired by Gunderson and Holling
24
Recent trends
4. Trends in governance
Conventional approach
Ecosystem approach

• Few objectives
• Sectoral
• Target / non target species
• Stock / fishery scale
• Predictive
• Scientific knowledge
• Prescriptions
• Top-down
• Corporate

• Multiple objectives
• Integrated
• Biodiversity environment
• Multiple (nested) scales
• Adaptive
• Extended knowledge
• Incentives
• Interactive /Participatory
• Public / Transparent

25
Evolution of approaches
4. Trends in governance
Realism Risk aversion
Evolutionary Probabilistic
Stationary Deterministic
Time Space horizon
1950
1975
2000
Long term Strategic
Short term Operational
26
Historical trends
4. Trends in governance
1945 1965 1985
2005
Fordist dev. model uncertainty
/ Flexibility SD globalization
Exploration / exploitation
consolidation
integration
Context .......
Determinism equilibrium
Complexity Variability
Prediction

Foresight
Centralized
Decentralized
Liberalized

Bureaucratic
Contractual
Systemic Participative
Public policy
National development Structural
adjustment Privatization


.....Infrastructures
Tariff Barriers
Equity/Poverty .....Industrialization
rights
Dev. policy
Discovery
Management Governance
Development / expansion Optimization
Sustainability
Fishery policy
Slightly modified from Rey-Valette Cunningham.
Interactions between industrial and artisanal
fisheries in the histiry of West Africa. IRD/CE
2005
27
Outline

• The governance concept
• Good governance principles
• Systemic aspects of governance
• Trends in governance
• Selected challenges

28
Modern challenges?
5. Challenges

• Overfishing
• Inadequate research
• Ecosystems
• Central role of States
• Planning management
• Allocation of benefits
• Participation
• Clear objectives
• Communication
• Coordination
• Responsibility
• Accountability
• Incentives and rights
• Pollution

• Shared stocks
• International collaboration
• MCS inadequate, costly
• Fishing agreements
• Fishery information
• Conditions of access
• Flag State responsibility
• Port State responsibility
• Fishing capacity
• Subsidies
• Uncertainty, risk, Precaution
• Acceptable impact
• Consultation overload
• Reconciling conventions

Drawn from the 1984 FAO Strategy for Development
and Management. Modern challenges
29
Hard choices
5. Challenges

• National versus international agendas
• Short-term gains versus long-term societal values
• Innovation versus precaution
• Adaptability versus consistency
• Domestic versus foreign markets
• Foreign exchange versus national nutritional
  goals
• Aquaculture versus capture fisheries
• Small scale versus large scale fisheries
• Market opportunities versus consumer protection
• Dichotomies are dangerous simplifications
• Solutions are, usually, a matter of degree, and
  timing.

30
Information challenge
5. Challenges
Post-normal
Information deficit
UNCERTAINTY
Information available
Ecosystem (1990s)
Multispecies (1970s...)
Normal
Stocks (1940s )
Information required
Looking for reliable simplicity
31
Precaution challenge
5. Challenges
32
Communication challenge
5. Challenges
Strong
Weak
New
33
Participation challenge
5. Challenges
State of crisis
Action
Effects
Reality
Society
Problem identification
Advice
Uncertainties
PARTICIPATION Test of realism and acceptability
Components
Potential Consequences
Model
Model
Science
Relations
Results
An essential interface
Inspiré de Checkland, P. (1981). Systems
Thinking, Systems Practice, Wiley, Chichester
34
Outline

• The governance concept
• Good governance principles
• Systemic aspects of governance
• Trends in governance
• Challenges
• Critical factors

35
Causes of governance failure
6. Critical factors

• Piecemeal development planning failure
• Overinvestment market failure
• Risk-prone decisions risk management failure
• Lack of coordination process failure
• Weak administration institutional investment
  failure
• Lack of participation process failure
• Lack of transparency accountability failure
• Poor compliance (IUU) enforcement failure
  loopholes
• Unresponsiveness dynamics failure, inertia
• Poverty, lack of alternatives equity failure
• Imperfect information knowledge failure,
  reality
• Unexpected outcomes systemic failure, bad luck

36
Political factors
6. Critical factors

• Nesting EAF in nation-wide policies and
  strategies
• Commitment and support of political leaders
• Supported by citizens and stakeholders concerned
• Emphasis on long- and short-term outcomes and
  benefits
• Effective ranking of objectives (scorecard)
• Foresight, precaution and reactivity
• Early production of positive outcomes (success
  stories)

Source Garcia 2006
37
Economic factors
6. Critical factors

• Incentives and disincentives subsidies and taxes
• Identification of benefits and costs
• Enabling environment for sustainable investments
• Self-financing mechanisms (fees, taxes)

Source Garcia 2006
38
Social factors
6. Critical factors

• Availability of alternative livelihoods to
  fishing
• Conflict resolution in place (allocation,
  transboundary issues)
• Awareness-raising, communication and education
  programs
• Participation to decision-making and enforcement
• Accounting for cultural factors
• Equitable distribution of resources, costs and
  benefits
• Poverty-reduction and education programmes (rural
  sector)

Source Garcia 2006
39
Governance requirements
6. Critical factors

• Clear agreed objectives
• Adequate administrative capacity
• Early identification of obstacles
• Overcoming bureaucratic inertia
• Improved coordination
• Clear legal framework, jurisdictions and
  responsibilities
• Agreed strategy and action plans
• Participative and transparent planning process
• Deterrent penalties and credible enforcement
• Adaptive Management
• Minimum environmental norms
• Defendable use rights
• Appropriate level of decentralization
• Responsibility and accountability

Source Garcia 2006
40
Systems research capacity
6. Critical factors

• Meaningful bounding of the ecosystem
• Improved data collection
• Integration of the human system
• Uncertainty and implications
• Participatory research
• Improved modeling of complex systems
• Extended time horizon
• Systematic analysis of policies, risk and
  performance
• Integrated indicator systems of representation
• Integrated (inter-disciplinary)
  assessment-decision processes

Source Garcia 2006
41
Integrated advisory process
6. Critical factors
Models Scenarios
Mental models Perceptions
Options
Expectations
Values, Knowledge
Facts, Data
Analytical process
Participatory process
Validation
Integrated model Assessment
Experts
Stakeholders
Communication
Science community
Public / Stakeholders
Advice
Issues Goals
Regulations
Policy makers
Source Garcia and Charles 2007
42
Outline

• The governance concept
• Good governance principles
• Systemic aspects of governance
• Trends in governance
• Challenges
• Critical factors
• Prescriptions

43
Objective of the prescription
7. Prescriptions

• Long term maximization of sectors contribution
  to economic and social growth. Optimum use of the
  resources
• (FAO 1984 Conference, para. 68, 82)
• Improving productivity
• Ensuring environmental sustainability
• Developing market access and trade
• Ensuring food security and nutrition
• (NEPAD Action Plan for the Development of African
  Fisheries and Aquaculture. 2005)

44
Application areas
7. Prescriptions

• Jurisdictions
• Exclusive jurisdiction community local area
  coastal zone local ecosystem EEZ LME lakes
  rivers watersheds
• Shared jurisdiction transboundary straddling
  highly migratory high seas (global commons)
• Time, space and industry scales small and large
  scale fisheries sectoral cross-sectoral local
  national regional global short and long term
• Sub-sectors capture culture processing
  distribution and trade vertical and horizontal
  integration
• Spheres public, private

45
Relevant conventions
7. Prescriptions

• Environmental e.g. Regional Seas Conventions,
  since early 1970s
• CITES endangered species and trade(1973)
• CBD biodiversity (1992)
• CMS Bonn Convention on the conservation of
  migratory species (1982)
• International Convention for the protection of
  birds (1950)
• Various specific conventions (albatros, turtles)
• MARPOL and London Conventions (1973, 1978)
• UNCLOS (1982), UNFSA (1995)
• World Cultural Heritage Convention (1972)
• RAMSAR wetlands (1971)
• UNFCCC Climate change (1992)
• Regional and global fishery bodies
• Basel Convention on the control of Transboundary
  Movements of hazardous wastes and their disposal
  (1989)
• Arhus Convention on access to information, public
  participation and access to justice in
  environmental matters (1998)

46
Selected ongoing initiatives
7. Prescriptions

• Completing CCRF guidance Compliance agreement
  Guidelines on MPAs Guidelines on Deep seas
  fisheries management
• Improving implementation of the UNFSA (IUU)
  Database of all vessels fishing in the high seas,
  black lists white lists Flag States measures
  (genuine link) Port States measures (FAO Minimum
  measures)
• MCS international network regional networks
• International collaboration FAO collaboration
  with CITES, CBD, RAMSAR FAO collaboration with
  IMO, UNEP, UN-DOALOS, WTO Strengthening and
  performance of RFMOs Connections with ROEIs
• Approaches Specification and implementation of
  EAF MPAs fishing rights co-management ICAM
  LMEs sustainable livelihoods
• Information FIGIS, FIRMS, oneFish, FIMNet,
  FishFolk UN Atlas. Database of vulnerable
  environments deficient national systems deficit
  in socio-economic data
• Research Integrated assessment of SSFs siting
  of MPAs RFMOs performance integration of social
  sciences climate change

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What next (at all levels)
7. Prescriptions

• Improve the Principles reinforce the shared
  ethics? In what direction? How?
• infrastructure New organizations? New
  instruments? New formal connections between
  organizations? Between Ministries?
  New/stronger/differentiated ecolabelling systems?
  
• Strengthen roles RFMOs? The UNGA? industry
  representation and participation? Role of ENGOs?
  Role of the Media? Role of the Market (WTO,
  CITES) improve research capacity Improve donor
  support
• Improve processes participation, transparency,
  reactivity, foresight, Integrated assessment,
  performance assessment, link top-down and bottom
  up processes improved education (of the sector
  and the public)
• Focus areas EEZs (high productivity), Island
  States (high vulnerability, low capacity)
  Transboundary resources High seas (uncertainty,
  weak governance) Deep sea (high risk,
  institutional vacuum?) Land-based pollution
  Production and trade information (indicators
  status and trends) Use rights Subsidies
  Working conditions safety on board pollution by
  vessels ecolabeling poverty alleviation
  climate change

48
Outline

• The governance concept
• Good governance principles
• Systemic aspects of governance
• Trends in governance
• Challenges
• Critical factors
• Prescriptions
• Conclusions

49
Conclusions

• There are advantages in taking an inclusive
  definition
• Principles of good governance are available
• Governance is a complex systemic issue
• Governance is dynamic and keeps changing
• New requirements represent a new set of
  challenges
• Sets of critical factors have been identified
• Numerous prescriptions are already available
• Priority is in implementation
• The blueprint should be implementation-oriented
• The main challenge is in identifying typical
  implementation pathways

50
Fishery Governance
Considerations for a blueprint

• Thank you

The Bellaggio Blueprint for Sustaining Fisheries,
Bellaggio, Italy, 21-24 February2004