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IMPLEMENTINGIMPROVEDTENUREGOVERNANCEINFISHERIES
PRELIMINARY VERSION
SEPTEMBER 2013
ATECHNICALGUIDETOSUPPORTTHEIMPLEMENTATIONOFTHEVOLUNTARYGUIDELINESONTHERESPONSIBLEGOVERNANCEOFTENUREOFLAND,FISHERIESANDFORESTSINTHECONTEXTOF
NATIONALFOODSECURITY
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Coverphotograph:
CourtesyofNicoleFranz.
http://www.fao.org/contact%E2%80%90us/licencerequestmailto:[email protected]://www.fao.org/publicationshttp://www.fao.org/publicationsmailto:[email protected]
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PREFACE
This document has been developed to support the implementation
of the Voluntary Guidelines on theResponsibleGovernanceofTenureof
Land, Fisheries and Forests in theContextofNational Food
Security(VGGT)infisheries,focusingonthesmallscalesector.
The endorsementof theVGGTby theCommitteeonWorld Food Security
(CFS) inMay2012was
amajorachievement.Therecognitionoftheimportanceofsecureandequitableaccesstonaturalresourcesforfoodandnutritionsecurityandsustainable
livelihoods that theVGGT represent isof fundamentalsignificance
tofishingcommunities,inparticularvulnerableandmarginalizedgroups.TheVGGThavebeenthrougharigorousconsultationandnegotiationprocess,involvinggovernmentofficials,civilsocietyorganizations,privatesectorrepresentatives,internationalorganizationsandacademia.TheinclusionintheprocessofthepeoplethattheVGGT
intendtosupportsmallscalefarmers,fishingcommunitiesandpastoralistsensuredthatthe
issuesandproposalsdealtwithwereanchoredinreallifeandaddressinggenuineconcerns.TheVGGTarebasedonkey
international human rights standards and constitute a powerful
instrument for improving the lives ofmillionsofpeople.
InorderfortheVGGTtohavethepositiveimpacttheyaresetouttoachieve,supporttotheirimplementationisofutmost
importance.Concertedeffortsare required toensure that
theprinciplesand standardsof theVGGTare integrated
intopoliciesandplans,andutilizedto
improvegovernanceoftenureforthebenefitofthevulnerableandmarginalizedandfortheachievementofpovertyeradicationandfoodsecurityforall.Thisguide
to implementing improved tenure governance in fisheries supports
this process and endeavours toprovide advice anddirection for the
fisheries sector. It shouldbe read as a complement to theVGGT
andconsideredinthecontextofotherinternationalinstrumentsaddressingsustainabledevelopment,e.g.theFAOCodeofConduct
forResponsibleFisheries
(1995),theFAOVoluntaryGuidelinestotheRighttoFood
(2005)andtheforthcomingVoluntaryGuidelinesforSecuringSustainableSmallscaleFisheriesintheContextofFoodSecurityandPovertyEradication.1
1TheTwentyninthSessionoftheFAOCommitteeonFisheries(COFI)heldinFebruary2011recommendedthataninternationalinstrumentonsmallscalefisheriesbedeveloped(SSFGuidelines).Atthetimeofpreparingthisguide,theSSFGuidelineswereunderdevelopmentseewww.fao.org/fishery/ssf/guidelines/en.
http://www.fao.org/fishery/ssf/guidelines/en
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PREPARATION OF THISDOCUMENT
AspartoftheconsultationprocessfortheVoluntaryGuidelinesontheResponsibleGovernanceofTenureofLand,
Fisheriesand Forests in theContextofNationalFood Security
(theVGGT), several case
studieswerecarriedoutongovernanceoftenureinfisheries.Thecasestudiescoveredavarietyofcountriesandfisheriesenvironmentsandexploredthemeaningofgovernanceoftenureinfisheries.Severalofthesecasestudiesarebeingpublished
ina thematic issueon fisheriesof the FAO LandTenure Journal in2013.
FAOorganizedaworkshop
inJuly2011todiscussthegovernanceoftenureforresponsiblecapturefisheries,drawingontheresultsofthecasestudiesandtheVoicesoffishersinitiativeaprojectcarriedoutincollaborationwiththeInternationalCollectiveinSupportofFishworkersandprovidingtestimoniesontenuregovernanceissuesfromfishers.ThisdocumentImplementingimprovedgovernanceoftenureinfisheries:atechnicalguidetosupportthe
implementationof theVoluntaryGuidelineson
theResponsibleGovernanceofTenureofLand,FisheriesandForestsintheContextofNationalFoodSecurity(theGuide)isbasedontheseoutcomes.Italsotakesintoaccount
the results and information generatedbyother relevantprocesses,
inparticular the
consultationscarriedoutinthecontextofthedevelopmentoftheVoluntaryGuidelinesforSecuringSustainableSmallscaleFisheriesintheContextofFoodSecurityandPovertyEradication.
ThisdocumentwaspreparedbytheFAOFisheriesandAquacultureDepartment.Thetextwasinitiallydraftedby
LenaWestlund (FAO consultant) with important inputs from FAO staff
including Nicole Franz, CarlosFuentevilla, RebeccaMetzner,
Francesca Romano,Margret Vidar and RolfWillmann. The contributions
byseveralexternalpeerreviewers
includingSveinJentoft,JohnKurien,PatrickMcConneyandJackieSundearegratefully
acknowledged. The final version of this document will be become
available after a period
ofadditionaldiscussionsandreviewsin2014.
Thepublicationof thisdocumentwasmadepossible thanks to funding
from theFederalMinistryof Food,Agriculture and Consumer Protection
of Germany and from Sweden through the FAO
MultiPartnerProgrammeSupportMechanism(FMM).
Forfurtherinformationortoprovidecomments,pleasecontact:
RebeccaMetznerFisheriesandAquacultureDepartmentFAORebecca.Metzner@fao.org
NicoleFranzFisheriesandAquacultureDepartmentFAONicole.Franz@fao.org
FrancescaRomanoTenure,[email protected]
FAO.2013.ImplementingimprovedtenuregovernanceinfisheriesAtechnicalguidetosupporttheimplementationofthevoluntaryguidelinesontheresponsiblegovernanceoftenureofland,fisheriesandforestsinthecontextofnationalfoodsecurity.Preliminaryversion,September2013.Rome.71pp.
mailto:[email protected]:[email protected]:[email protected]
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CONTENTS
PREFACE............................................................................................................................iii
PREPARATIONOFTHISDOCUMENT...................................................................................iv
CONTENTS..........................................................................................................................v
LISTOFTABLES..................................................................................................................vi
LISTOFFIGURES................................................................................................................vi
LISTOFBOXES..................................................................................................................vii
ABBREVIATIONSANDACRONYMS...................................................................................viii
INTRODUCTION..................................................................................................................1
Background..............................................................................................................................................1
Objectiveandscopeofthisguide.............................................................................................................2
PART1:CHARACTERISTICSOFRESPONSIBLETENUREGOVERNANCEINFISHERIES.............3
Whatdotenurerightsandgovernanceoftenuremeaninthecontextoffisheries?..................................3
Whyisresponsiblegovernanceoftenureneededinfisheries?.................................................................4
Livelihoodsecurityandsocialwellbeing.......................................................................................................5
Biologicallysustainableandeconomicallyefficientresourceutilization.......................................................6
Whohasrightstofisheryresources,andwhataretherelatedresponsibilities?........................................7
Canfisheriesresourcesbesustainablymanagedascommonproperty?..................................................10
Whyshouldahumanrightsapproachbeusedinsmallscalefisheriesgovernanceanddevelopment?....11
Whatarethedifferenttypesofformaltenurerightsinfisheries?...........................................................13
Whatarecustomaryandinformaltenurerights?...................................................................................16
Whathappenswithsharedfisheryresourcesandthoseininternationalwaters?...................................18
Isthereaninternationallegalandpolicyframeworkrelevanttogovernanceoftenureinfisheries?.......19
Howcantenurerightsbevalued?..........................................................................................................20
Whataretheemergingissuesthatneedtobeconsideredinthefuture?................................................22
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PART2:IMPLEMENTINGRESPONSIBLETENUREINFISHERIES...........................................24
Implementationcontext........................................................................................................................24
Generalprinciples..................................................................................................................................26
Settingobjectives..................................................................................................................................27
Improvingknowledge............................................................................................................................29
Stakeholdersandexistingtenurerights......................................................................................................29
Assessingthevalueoftenurerights............................................................................................................32
Investments.................................................................................................................................................33
Allocatingrights.....................................................................................................................................35
Allocationprocess........................................................................................................................................35
Reallocationoftenurerightsandcompetitionamongusers......................................................................39
Administeringtenurerights...................................................................................................................42
Administrativeandrelatedservicesprovidedbygovernments..................................................................42
Capacityandinstitutionalstructures...........................................................................................................43
Rightsregistry,recordsandinformation.....................................................................................................45
Conflictresolutionmechanisms...................................................................................................................47
Specialconsiderations:climatechangeandnaturaldisasters.................................................................49
Monitoringandevaluation(M&E)andcompliance.................................................................................51
REFERENCES.....................................................................................................................53
APPENDIX1:GLOSSARY....................................................................................................59
APPENDIX2:APPROACHESANDTOOLS............................................................................61
LIST OF TABLES
Table1:TypologyofrightsbasedmanagementsystemsexamplesfoundinOECDcountries.........................15
LIST OF FIGURES
Figure1:Contextandprocessofimplementingresponsibletenure...................................................................25
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LIST OF BOXES
Box1:Whatisgovernanceoftenureandwhyisitimportant?.............................................................................1
Box2:Smallscalefisheries.....................................................................................................................................2
Box3:Whatisgovernance?...................................................................................................................................4
Box4:Whatisfisheriesmanagement?..................................................................................................................8
Box5:Menandwomeninthefisheriessector....................................................................................................12
Box6:Whatisintegratedspatialplanning?.........................................................................................................14
Box7:ComanagementstructuresinBurkinaFaso..............................................................................................14
Box8:Migratingfishersandfishworkersandinformalrights..............................................................................16
Box9:AccommodationofcustomaryrightsinSouthAfrica................................................................................17
Box10:Selectedinternationalinstruments.........................................................................................................19
Box11:Implicationsofbufferzonepolicyafterthe2004tsunami......................................................................23
Box12:LocalfisheriesgovernanceandmanagementarrangementsinthePhilippines.....................................27
Box13:Integratingtraditionalrights....................................................................................................................31
Box14:Thecaseofmarineprotectedareas(MPAs)............................................................................................32
Box15:TheparcelasystemsofChileanalgalharvesters..................................................................................36
Box16:ICCATcriteriafortheallocationoffishingpossibilities...........................................................................37
Box17:TransferabilityofGalapagosIslandscommercialfishingrights...............................................................38
Box18:FishingcommunitiesinthePatosLagoonsysteminBrazil.....................................................................50
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ABBREVIATIONS AND ACRONYMS
ABNJ areasbeyondnationaljurisdiction
ADR alternativedisputeresolution
CBA costbenefitanalysis
CBD ConventiononBiologicalDiversity
CBM communitybasedecologicalmonitoring
CBO communitybasedorganization
CCA climatechangeadaptation
CEDAW
ConventionontheEliminationofAllFormsofDiscriminationagainstWomen
CFS CommitteeonWorldFoodSecurity
COFI CommitteeonFisheries(FAO)
CSO civilsocietyorganization
CVM contingentvaluationmethod
DRM disasterriskmanagement
EAF ecosystemapproachtofisheries
EEZ exclusiveeconomiczone
ESCR InternationalCovenantonEconomic,SocialandCulturalRights
FARMC
FisheriesandAquaticResourcesManagementCouncil(Philippines)
GEF GlobalEnvironmentFacility
HIPC heavilyindebtedpoorcountry
ICCAT
InternationalCommissionfortheConservationofAtlanticTunas
ICT informationandcommunicationtechnologies
ICZM integratedcoastalzonemanagement
IMF InternationalMonetaryFund
ITQ individualtransferablequota
IUU illegal,unreportedandunregulated(fishing)
LGAF LandGovernanceAssessmentFramework
LGU LocalGovernmentUnit(Philippines)
LMMA locallymanagedmarinearea
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M&E monitoringandevaluation
MCS monitoring,controlandsurveillance
MPA marineprotectedarea
MSP marinespatialplanning
NGO nongovernmentalorganization
NOAA
NationalOceanicandAtmosphericAdministration(UnitedStates)
OECD OrganisationforEconomicCooperationandDevelopment
PM&E participatorymonitoringandevaluation
PRA participatoryruralappraisal
PRSP povertyreductionstrategyplan
RFB regionalfisherybody
RFMO/A regionalfisheriesmanagementorganization/arrangement
RUM randomutilitymodelling
SFLP SustainableFisheriesLivelihoodsProgramme
SIA socialimpactassessment
SIDS SmallIslandDevelopingStates
SWOT strengths,weaknesses,opportunitiesandthreats
TCM travelcostmethod
TURF territorialuserightsinfisheries
UNEP UnitedNationsEnvironmentProgramme
VGGT VoluntaryGuidelineson theResponsibleGovernanceofTenureof
Land,Fisheries andForestsintheContextofNationalFoodSecurity
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INTRODUCTION
BACKGROUND
The Voluntary Guidelines on the Responsible Governance of Tenure
of Land, Fisheries and Forests in theContext ofNational Food
Security (the VGGT)were officially endorsed by the Committee
onWorld FoodSecurity (CFS) on 11May 2012. This endorsement
represented the successful conclusion of an extensiveconsultation
and negotiation process, and there is now an internationally agreed
framework,
includingprinciplesandacceptedstandards,forresponsiblegovernanceoftenureofland,fisheriesandforests(seeBox1).TheVGGTwillbeusedbyactorsandstakeholdersgovernmentauthorities,theprivatesector,civilsocietyand
citizens when developing strategies, policies, legislation and
programmes, and they constitute animportanttoolfor
judgingwhetherproposedactionsconstituteacceptablepractices.The
implementationoftheVGGTwillcontribute topovertyalleviation,
foodandnutrition
securityandequitableeconomicgrowthand,hence,promoteaneconomically,sociallyandenvironmentallysustainable
future fortheplanetand itspeople in linewith theoutcomesof
theUnitedNationsConferenceon SustainableDevelopment
inRiodeJaneiroin2012(Rio+20).
Box1:Whatisgovernanceoftenureandwhyisitimportant?
Tenureishowpeoplegainaccesstoland,fisheries,forestsandothernaturalresources.Governanceoftenureaffectswhether,andhow,peopleareabletoacquirerightsandtoprotectalreadyexistingrightstouseandtocontrol
these resources. Many tenure problems arise because of weak
governance, and the quality ofgovernance affects the attempts to
fix these problems. Inadequate and insecure tenure rights to
naturalresourcesoftenresultinextremepovertyandhunger.Theeradicationofhungerandpovertyaswellasthesustainable
use of the environment and the continued provision of ecosystem
services depends in largemeasure on how people, communities and
others gain access to land and other natural resources.
Thelivelihoodsofmany,particularlytheruralpoor,arebasedonsecureandequitableaccesstoandcontrolovertheseresources.Theyare:thesourceoffoodandshelter;thebasisforsocial,culturalandreligiouspractices;andacentralfactorinequitableeconomicgrowth.
Source:FAO(2012a).
In the fisheries sector, ineffective governance of tenure
constitutes amajor obstacle to a sustainable
andefficientuseofnaturalresourcesand,hence,livelihoodsandfoodandnutritionsecurityarejeopardized.Manysmallscalefishingcommunitiessufferfrominsecureaccesstotheresourcestheydependon.Whileaccesstofisheryresourcesisakeyconsideration,itisimportanttounderstandthatfishingcommunitiesalsodependonaccesstootherresourcesandservices:land,housing,markets,financialresources,information,legalsystemsandsocialservices(e.g.education,healthcare,sanitation).Infact,landandfisheriestenurerightsneedtobecombined.
Smallscale fishing communities need secure use rights to fishery
resources and to land in thecoastal, lakeshore or waterfront area
for ensuring and facilitating access to the fishery, for
accessoryactivities(includingprocessingandmarketing),andforhousingandotherlivelihoodsupport.
Many of the worlds fishery resources both in marine and inland
waters are in a precarious state.Overfishing and economic
inefficiencybecauseofovercapacity characterizenumerous fisheries
around theworld.Thismeansthat
fisheriesdonotcontributetoeconomically,sociallyandenvironmentallysustainabledevelopment
inthewaythesectorcoulddo.Thissituation is
furtheraggravatedbyuncertaintiesrelatedtoclimatechangeimpactsandotherdevelopmentsduetoglobalchange.Improvinggovernanceoftenure,takingtheseaspectsandunderlyingcausesintoconsideration,ishenceamatterofurgency.
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OBJECTIVE AND SCOPEOF THIS GUIDE
ThisGuidehasbeendevelopedtoassistintheimplementationoftheVGGTwithregardtofisheriesinmarineand
inlandwaters. Itexplains thecharacteristicsof the fisheries
sectorandprovides technicalguidance. Itspurpose is to contribute to
the achievement of the VGGT objectives in respect of the
improvement ofgovernanceof tenure in fisheries.Specialattention
isgiven tosmallscale fisheries,considering thesectorsparticular
importance to food security and nutrition, poverty eradication,
equitable development andsustainable resource utilization (see Box
2). Many smallscale fishing communities are vulnerable
andmarginalizedand,hence,representthepeoplewhoareatthecoreoftheVGGTremit.
TheGuide isdirectedtothose
ingovernmentsandotherorganizationswhoare involved in
issuesrelatedtogovernanceoftenureinfisheriesandinareaswherefishingcommunitiesaresettledorwheretheycarryoutactivitiessupportingtheirlivelihoods.Thetargetaudiencethusincludesinparticularrelevantstaffoffisheriesand
other government agencies and regional organizations but also the
private sector and civil societyorganizations (CSOs). Part1of the
Guide provides explanations with regard to important concepts
forunderstanding tenure in fisheries.Thispart
isofparticularrelevance to thosewhoarenot familiarwiththefisheries
sector. Part2discusses approaches for how to implement responsible
tenure in fisheries and isdirectedtothosewhoaretaskedwith
implementingtheVGGT inthe fisheriessectorand
forthebenefitofsmallscalefishingcommunities.
Governance in fisherieswith respect to rights to fishery
resources (access to fishing) is a
subjectonwhichthereisalreadyconsiderableliteratureandguidanceavailable.Whileattemptingtogiveanaccurateoverviewof
the subject matter, this Guide focuses on issues of concern with
regard to tenure in the context
oflivelihoodsofvulnerableandmarginalizedgroups.References tomore
indepth
informationandspecializedliteraturethatreadersareinvitedtoconsultalongwiththisdocumentareprovided,asapplicable.
Itshouldbenotedthatthetermfisheryresources inthisdocument
includesotheraquaticanimalsorplantsthatarefishedorharvested.However,whileitisrecognizedthatthereareoftenimportantlinkagesbetweenaquacultureandfisheries,theGuidefocusesonthecapturefisheriessector.
Box2:Smallscalefisheries
Smallscale fisheries generate income,provide food for
local,nationaland internationalmarkets
andmakeimportantcontributions tonutrition.Theyemploymore
than90percentof theworldscapture
fishersandfishworkers,abouthalfofwhoarewomen.Inadditiontofullandparttimefishersandfishworkers,seasonaloroccasional
fishing and related activitiesoftenprovide vital supplements
toother livelihood activities,
intimesofdifficultiesorasarecurrentsidelineactivity.Smallscalefisheriesareestimatedtocontributealmosthalfofglobal
fishcatchesand,whenconsideringcatchesdestined
fordirecthumanconsumption,thesharecontributedby the sector
increases to twothirds. Inland fisheriesareparticularly important
in this
respect,withsmallscalefisheriesfoodfishproductiondominatingthesubsector.
Sources:FAO(2012b);WorldBank,FAOandWorldFishCenter(2012).
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PART 1:CHARACTERISTICS OF RESPONSIBLETENURE GOVERNANCEIN
FISHERIES
Part1of thisdocument intends toenhance
theunderstandingofhowresponsible tenureappliesto
fisheriesfocusingonsmallscale fishingcommunities. It
intendstoprovide informationforthosewhoarenot familiarwith the
fisheriessectorandonhow to lookat tenure
inthiscontext.Questionswithregard towhat
tenurerightsareandwhytheyare
importanttosmallscalefishingcommunities,aswellasthemeaningofrights
inthefisheriessector,arediscussed.Tenurerightscomeinmanydifferentforms,andanoverviewofthedifferentrightsandsystemsavailableisprovided.Adescriptionoftherelevantinternationalpolicyandlegalframeworksisgiven,and
theneed tounderstand customaryand informal tenure systems
isemphasized.Moreover, thecomplex conceptof tenure right values
isaddressed,and issues related toglobal change, including
climatechange,areraised.
WHAT DO TENURE RIGHTS ANDGOVERNANCEOF TENURE MEAN IN THE CONTEXT
OF FISHERIES?
Withregardtothedefinitionoftenure,theVGGTexplainthat:
Tenuresystemsdeterminewhocanusewhichresources,forhowlong,andunderwhatconditions.Thesystemsmaybebasedonwrittenpoliciesandlaws,aswellasonunwrittencustomsandpractices.
(Preface)
Tenure in fisheriesas inothernatural resource sectors refers to
themanner inwhich the
relationshipsbetweenpeoplearedefinedandnegotiatedinthecontextoftheutilizationoffisheryandrelatedresources,i.e.tenuredefineswho
isauserand,therefore,whohasa
legitimaterighttoaresourceandwhodoesnot.Governanceoftenurethendealswithhowtenurerightsareallocated,changed
(legalized,transferred,etc.)andadministered(seeBox3).
While formal tenure rights are generally still a developing
concept in fisheries, there is a long history
ofcustomaryandtraditionaltenuresystems
infishingcommunities(Cordell,1989).Thesehavetendedtobe
intheformofrights(tofish)incertainareasi.e.spatialaccessoruserights(seesectionWhatarethedifferenttypesofformaltenurerightsinfisheries?below)andhaveoftenbeenfoundinconjunctionwithlandtenure.Inmanyplaces,
forexample in small islandStates inOceania,natural resourcesand the
space
theyoccupyhavetraditionallynotbeendividedintotwodifferentcomponentsoflandandwater(Aswani,2005).Instead,natureincludinghumansandsocietyhasbeenseenholistically,withcommunitieshavingamultifunctionalresourcespaceasthebasisfortheir
livelihoods (Ruddle,1988).Hence,fisheriestenurecannotbeviewed
inisolationbutneedstobeconsideredinconnectionwithabroaderlandandlivelihoodscontext(FAO,2011a).
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Box3:Whatisgovernance?
Governance can be construed as the formal and informal
arrangements, institutions, and mores
thatdeterminehowresourcesoranenvironmentareutilized;howproblemsandopportunitiesareevaluatedandanalysed,whatbehaviour
isdeemedacceptableor forbidden,andwhat rulesand sanctionsareapplied
toaffectthepatternofresourceandenvironmentaluse.
Source:Juda(1999).
However,governancecanalsotakeamoreholisticmeaning:
Governance isthewholeofpublicaswellasprivate
interactionstakentosolvesocietalproblemsandcreatesocietalopportunities.Itincludestheformulationandapplicationofprinciplesguidingthoseinteractionsandcareforinstitutionsthatenablethem.
Source:Kooimanetal.(2005).
However, the development of formal tenure arrangements in
fisheries has tended to focus on access tofisheries and use of
fishery resources. In this context, the terminology of rights (as
in rightsbasedmanagement,discussedbelow)
isperhapsmorecommonlyusedthantenure.2Still,tenure
isausefultermbecause it indicates the broader system of rights
formal and informal and includes social and
societalnotionsofrightsthatindividuals,groupsofpeopleorcommunitiesmayhavetoafisheryresource.Thetermtenurerightscoverstheconceptsofuseandmanagementrightsbut
it isdifferent fromownershipand it isbroaderthan
fisheriesmanagement (seeBox4).Accordingly,tenurealso
includestraditionalandcustomaryrightsthatarenotformallylegalized.
WHY ISRESPONSIBLE GOVERNANCE OF TENURE NEEDED IN FISHERIES?
TheVGGTemphasizetheimportanceofgovernanceoftenureandthat:
Statesshouldstrivetoensureresponsiblegovernanceoftenurebecauseland,fisheriesandforestsarecentralfortherealizationofhumanrights,foodsecurity,povertyeradication,sustainable
livelihoods,socialstability,housingsecurity,ruraldevelopment,andsocialandeconomicgrowth.
(4.1inRightsandresponsibilitiesrelatedtotenure)
Responsible governance of tenure ensures that tenure rights are
recognized, defined, allocated andadministered ina
fairandequitableway,respectinghuman rightsand
reflectingsocietalobjectivesand
theneedtosupportthesmallscalefisheriessectorspotentialtocontributetofoodsecurityandnutrition,povertyeradication,
equitable development and sustainable resource utilization.
Recognizing existing rights orallocating rights to, aswell as
responsibilities for, fishery and other natural resources to
legitimate rightsholders fulfils two key functions. First, users
need secure access defined in relation to other potential
2Thetermpropertyisalsoused,asincommonpropertyandprivateproperty(seethesectionsCanfisheriesresourcesbesustainablymanagedascommonproperty?andWhatarethedifferenttypesofformaltenurerightsinfisheries?below).
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users3 to the resources theydependon for their livelihoods.
Second, recognizing and allocating rights
tofisheryresourcesisatoolforfisheriesmanagementforpromotingsocially,economicallyandenvironmentallysustainableresourceutilization.
LIVELIHOOD SECURITYAND SOCIAL WELLBEING
Secureaccesstoresourcesisaprerequisiteforlivelihoodsecurityanddevelopment.Notbeingabletocountoncertainbasicresourcescreatesvulnerability.Moreover,peoplearemorelikelytoinvestintheirownfuturewhen
they are confident that theywill continue to be able to draw on the
resources they need for theirlivelihoods. Fishers and fishworkers
first and foremost need access to fishery resources to pursue
theirlivelihoodstrategiesbut,asmentionedabove,fishingcommunitiesalsoneedotherresourcessuchas
landforthephysicalaccesstothewater,storageofboatsandgear,housing,etc.Fishprocessorsandtradersalsoneed
land togetherwith access towater to setup theirbusinesses.Moreover,
inmany smallscale fishingcommunities, livelihoods are diverse and
households may be involved in other economic activities
(e.g.farming or tourism) inparallelwith fisheries activities
requiring access to the relevant resources for
theseactivities.Inaccordancewithinternationalhumanrightslegislation,allpersonshavetherighttoanadequatestandardof
living,
includingadequatefood4andtherighttojustandfavourableconditionsofwork,whichensureadecentlivingforthemselvesandtheirfamilies5andthereishenceastronglinkbetweenrightstoresources
and human rights (see also below).Moreover, smallscale fishing
communities, indigenous andothers, often see fishing (and related
activities) asmore than a source of income. It is away of life,
andsecuringrightstotheirtraditionalwayoflivingisaquestionofsocialjustice(Jentoft,2011).
Withregardtosecureaccessto land, inmanycountries, land
incoastalareascannotbeprivatelyowned. Insome Caribbean and
IndianOcean islands, the land adjacent to the coastline is owned
exclusively by
thegovernmentandcanonlybeleased,notsold,toprivateindividuals.Ontheotherhand,inmanyislandsinthePacific
and the IndianOcean,e.g.Maldives, there is apatternof
customaryownership,with
communities,villagesandclansowningcoastallands.Still,beachesinsmallislandStatesintheCaribbean,IndianOceanandPacific
regions tend to be considered public property for the use and
enjoyment of all. Where coastaldevelopments,suchas tourism,
interferewith thisconcept,conflictsmayarise
(Cambers,MuehligHofmannandTroost,2003).Inthiscontext,fishingcommunitiesareinaparticularsituationwithregardtotenureandaccess
to the shorearea. Ifother sectorsandeconomicactivities,whichmayhave
strongpolitical
support,makeclaimstothearea,theymaybethreatenedbyevictioniftheydonothaveformaltenureofthelandtheyoccupyaswellastotheirfishinggrounds.Hence,fishingcommunitiesneedabundleofrightscoveringbothlandandfisheries.
3Securetenureforsomeinevitablymeansexclusionofothers.Theimportanceofclearobjectives,commensuratewithhumanrightsandoverarchingsocietalgoals,andpolicycoherenceisfurtherdiscussedinthesectionSettingobjectivesinPart2.4Article11.1,InternationalCovenantonEconomic,SocialandCulturalRights.5Article7(ii)InternationalCovenantonEconomic,SocialandCulturalRights.
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BIOLOGICALLY SUSTAINABLE ANDECONOMICALLYEFFICIENT RESOURCE
UTILIZATION
Overcapitalizationandoverexploitation is thesad realityofmany
fisheries in
theworldwhereconventionalfisheriesmanagementhasbeenunsuccessfulorinadequate(seealsothefollowingsectionWhohasrightstofishery
resources,andwhatare the related responsibilities?).Thishas led to
adissipationof theeconomicbenefits, referred to as rent, that can
be created by the fishery. This rentor rather loss of
rentwasestimatedatthegloballevelbythejointWorldBank/FAOreportTheSunkenBillions(WorldBank,2009).Thestudyarguesthat,becauseoftheinefficiencyoffisheries,theworldscapturefisheryresourcesarecostingtheworldeconomyanestimatedUSD50billionperyearinforgoneresourcerent.Thecauseofthispooreconomicperformanceoffisheries
isthattherearetoomanyboats,gearandfishers
(fishingcapacity)comparedwiththeamountoffishthatcanbecaughtsustainably.6
By giving users a stake in the future of the resource, amore
responsible behaviour is expected and
theincentivesbehindtheraceforthefisharedismantled.Forthisapproachtowork,therightgiventoauseroragroupofusershastobesecureiftheriskishighthattherightwillbetakenaway,theincentivetomanagethe
fishery sustainably is diminished. The VGGT state that (4.3) ... no
tenure right, including
privateownership,isabsolute.AlltenurerightsarelimitedbytherightsofothersandbythemeasurestakenbyStatesnecessaryforpublicpurposes.Whilethisisanecessarypremiseoftenureofnaturalresourcesingeneral,itshouldbenoted
that longterm secure tenure is an important elementof successful
rightsbased fisheriesmanagement.7Still, it should be pointed out
that a rightsbased fisheries management system does
notautomaticallyremedyoverfishingandinducegoodmanagement.Theappropriatetypeofrightsregimeneedstobe
inplaceandavarietyofotherconditionsapply,e.g.there
isaneedforenforcementmechanismsand(scientific)information(WHAT,2000).
Thetwoaspects
livelihoodsecurityandsustainableandefficientresourceutilizationareofcourse
linked.Economically healthy fisheries are a prerequisite for
achieving goals and benefits including sustainablelivelihoods,
foodsecurityandproductive fishstocks (WorldBank,2009).Thesmallscale
fisheriessectorcanplay an important role in development and
economic growth if providedwith the right incentives and
anenablingenvironment.Vestinguseandmanagementrightsinsmallscalefishingcommunitiesislikelytobringeconomic,socialandenvironmentalgains(UNEPetal.,2012).
6Thistheoryandtheraceforthefishisexplainedanddiscussedintheliterature(see,forexample,WHAT,2000).7Seep.16andalsothediscussioninthechapterAllocatingrightsinPart2.
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7
WHO HAS RIGHTS TO FISHERY RESOURCES, AND WHAT ARE THE RELATED
RESPONSIBILITIES?
TheVGGTpointoutthat
Stateshave thepower toallocate tenure rights invarious forms,
from limiteduse to
fullownership.Policiesshouldrecognizetherangeoftenurerightsandrightholders.
(8.8inPublicland,fisheriesandforests)
States should provide appropriate recognition and protection of
the legitimate tenure rights of indigenouspeoples and other
communitieswith customary tenure systems, consistentwith existing
obligations
undernationalandinternationallaw,andwithdueregardtovoluntarycommitmentsunderapplicableregionalandinternationalinstruments.
(9.4inIndigenouspeoplesandothercommunitieswithcustomarytenuresystems)
Becauseof the characteristicsof fishery resources living in
thewaterwhere theyaredifficult to
seeandrarelykeepingwithinsetboundariesitisoftenmoredifficulttodeterminewhoownsthemorhasrightstothemthanitisforterrestrialresources.Theownershipoffisheryresourceshencetendstobedifferentfromownershipof
land,especiallywhendefinedasprivateor
individualownership.Infact,whilefish ina
lakeonsomeoneslandcouldbeseenasprivatelyowned,inthemarinesectorindividualownershipinthefisheryisrare(p.4,Scott,2000).InmostEuropeancountries,ownershipoffishbeforeitiscaughtisnotconceivablehistorically,wildfishhasbeenconsideredasresnulliusorunownedproperty(MRAGetal.,2009).Still,inmanyplaces
in theworld, fishery resourcesareconsidered tobecollectivelyownedby
thecommunities thatusethem, and the concept of common property is
important to many indigenous and smallscale
fishingcommunities(seefurtherbelowandthediscussioninthesectionbelowCanfisheriesresourcesbesustainablymanagedascommonproperty?).
Inthemarineexclusiveeconomiczones(EEZs)ofcountries,Stateshavejurisdictionoverlivingresources,andgovernmentsarethusresponsibleformanagingthesenationalassets.Avarietyofmeasurestocontrolfishing(e.g.
licensing, catchquotas, gear regulations) canbeused, and
governments can alsodelegate rights
andresponsibilitiestoindividualsorcommunities.Fisheryresourceshavethecharacterofcommonpoolresources,i.e.
resources inwhich (i) exclusion of beneficiaries through physical
and institutionalmeans is
especiallycostly,and(ii)exploitationbyoneuserreducesresourceavailabilityforothers(p.278,Ostrometal.,1999).Theneedforfisheriesmanagementisbasedonthisconceptoffishstocksascommonpoolresourcesandthatindividual
fishers are unable to control the activities of other fishers in
exploiting this common
pool.Individualsattemptstomoderatetheirownuseoftheresourcewillonlyresult
inbenefits flowingtootherusers and, as a result, there is every
reason to overuse, rather than conserve, the resource (FAO,
20052013a). Fisheries that do not have regulationswith regard to
access are commonly referred to as openaccess fisheries, i.e.
allowing anyonewhowishes to fish to do so, and are hence likely to
be subject
toeconomicinefficiencyduetoovercapitalizationaswellasoverexploitation(seealsoBox4).
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8
Box4:Whatisfisheriesmanagement?
Fisheriesmanagementaimstoachievesustainableutilizationoffisheryresources,optimizingthebenefitsforsocietyatthesametimeassafeguardingbiodiversity.ThetermconventionalfisheriesmanagementtendstobeusedforfisheriesmanagementcarriedoutbyaStatethroughcentralizedcommandandcontrolmeasures.ThisisthesystemthatoftenreplacedlocalcustomaryandtraditionalsystemsasnationStateswithcentralizedadministrationsdevelopedandexclusiveeconomiczones(EEZs)wereextendedinthe1970s.Asthesesystemshavenotalwaysbeeneffective,participatorymanagement
involvingvariousdegreesofdecentralizationanddevolutionof state
functions and the introductionof rightbasedmanagement systemshave
started tobeadvocated.
The scope of fisheries management has also widened in recent
years to take broader ecosystemconsiderationsmore explicitly into
account. The ecosystem approach to fisheries (EAF) strives to
balancediverse societalobjectives,by taking accountof the knowledge
anduncertainties aboutbiotic, abiotic andhuman components of
ecosystems and their interactions and applying an integrated
approach to
fisherieswithinecologicallymeaningfulboundaries(p.14,FAO,2003).1Itsprinciplesarenotnewbutfirmlyanchoredin
a number of policy instruments and international agreements on
sustainable development. Manygovernmentsandorganizationsaremoving
towards implementingecosystembasedapproaches to
fisheriesandnaturalresourcemanagement.
1 See also FAO. 2009. Fisheries management. 2. The ecosystem
approach to fisheries. 2.2The
humandimensionsoftheecosystemapproachtofisheries.FAOTechnicalGuidelinesforResponsibleFisheriesNo.4,Suppl.2,Add.2.Rome.88pp.
Sources:FAO(1997,2003,20052013a).
Traditionally, de facto use rights and management
responsibilities for coastal and inland water fisheryresources
tended to be assumed by local fishing communities. As explained
above, these rights andmanagement systemswere often spatially
based. However, because of centralized
fisheriesmanagementsystems,technologydevelopmentanddemographicchanges,customarypracticesforallocationandsharingofresourcebenefitsinsmallscalefisherieshaveoftenbeeneroded.Sometimes,traditionalorcustomaryclaimsto
resources stillexistbut theyarenotalways legally
recognized,andmanagement responsibilitiesmaybeambiguousand/or
ineffective.Legalpluralism isa termused todescribe situationswhere
thereare
severaldifferentlegalideas,principlesandsystemsappliedatthesametime,andthisisfoundinthefisheriessector(Jentoftetal,2009).
In 1968, Hardin (1968) introduced the concept of the tragedy of
the commons, arguing that unless
acommonpoolresourcewereprivatizedandsomesortofpropertyrightsattachedto
it,usersofacommonswouldbecaughtinaprocessofoverusethatwouldleadtothedestructionoftheresource.Therecentmovetowardsrightsbasedfisheriesmanagementisbasedonthenotionthatfisherieswillgeneratemorebenefitsifusers
have stronger rights to themmore in linewith property rights to,
for example, land. Rightsbasedfisheriesmanagement
ishenceaconceptthatfocusesontheprivilegesandrightsandresponsibilities
inthe form of common or private property rights of individuals
(fishers), fishing vessels, communities
orcompaniesrelatingtofishing.Theserightsareoftenreferredtoasuserightsandexistinmanydifferentforms,consistingofbundlesofentitlementsthatconferbothprivilegesandresponsibilities(seealsothesectionWhatarethedifferenttypesofformaltenurerightsinfisheries?).
Generally,asetoffourattributescanbeusedtodescribethecharacteristicsofthedifferenttypesoftenurerightsinfisheries.Thesecharacteristicsapplytoalltypesoftenurerights,includingbothcommonandprivatepropertyrights.Thegreateristheextentoftheseattributes,thestrongeristheright(Scott,2000):
Securityreferstotheabilityoftheholderoftherighttoholdontothisrightandnottohaveitchallengedorrevokedbyotherindividuals,institutionsorthegovernment.
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9
Durabilityreferstothetimespanoftheentitlementandcanrangefromvirtuallynothingoroneseasonoryeartoperpetuity.
Transferabilityreferstotheabilityoftherightholdertoreassign(transferorsell)his/herentitlementtoothers.
Exclusivity refers to the extent to which the rights holder is
allowed to use and manage his/herentitlement such as a share of a
fish stock without interference from fisheries
managementregulations(withregardtomethodsofharvesting,seasons,etc.).
Whendesigningand implementingatenuresystem
infisheries,thereareseveraldecisionstobemadewithregardtotheseattributes.ThisisfurtherdiscussedinPart2(seethechapterAllocatingrights).Differenttypesofrightsarediscussedbelowandexamplesgiven(seeTable1).
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10
CAN FISHERIES RESOURCES BE SUSTAINABLY MANAGED AS COMMON
PROPERTY?
TheVGGTrecognizetheimportanceofresourcesthatarecollectivelyusedandthat:
Noting that therearepubliclyowned land, fisheriesand forests
thatare collectivelyusedandmanaged
(insomenationalcontextsreferredtoascommons),Statesshould,whereapplicable,recognizeandprotectsuchpublicly
owned land, fisheries and forests and their related systems of
collective use and
management,includinginprocessesofallocationbytheState.
(8.3inPublicland,fisheriesandforests)
It is important to understand that a rightsbased
fisheriesmanagement regime does not necessarily implyprivatization
of resources through individual tenure rights but that it also
includes options for
commonpropertyandcommunitybasedarrangements.8Thereisevidencethatcommonpoolresourcescanbeutilizedsustainably,e.g.byselfmanagementby
localcommunities.Certainconditionsshouldbe
fulfilled,e.g.usersneedtoperceivethatcommonbenefitsarehigherthancostsandtheyshouldhavesomeautonomytomaketheirownuseandharvestingrules.Theabilityofuserstoselforganizeisdependentonthesocialsettingandusersneedtoshareanimageofhowtheresourcesystemoperatesandhowtheiractionsaffecteachotherandtheresource(p.281,Ostrometal.,1999).Infact,mostcoastalresourcesarelikelytohavesomeformsof(collective)managementsystemsattachedtothem,eithercustomaryarrangementsthatarestillbeingappliedtosomeextentbylocalfishingcommunitiesorsystemsthathavebeenreplacedbycentralmanagement.
Whileanopenaccess fishery implies risks for
resourceexploitationandeconomic inefficiency, the
roleofaccesstofishingforpovertypreventionneedstobeconsideredwhenlookingtointroduceorimprovefisheriestenurerightsregimes(JentoftandEide,2011).Relativelyeasyandfreeaccesstofishinggroundsallowspoorpeopletorelymoreheavilyonlocalriparianresourcestoobtainthegoodsandservicestheyneedtosustaintheir
livelihoods or to gain access to paid employment. Inland fisheries
are particularly important in
thiscontext.Thissafetynetdimensionoffisheriesisofgreaterimportanceandrelevancetopoorandmarginalizedhouseholdsgenerallythosewithlimitedaccesstolandandotherresources.(p.409,KurienandWillmann,2009).
It gives an opportunity to supplement other activities in
situations of disruptions
(unemployment,naturaldisasters,etc.).Smallscalefisheriesarealsoimportantforpovertyalleviationbecauseoftheircapacitytoabsorbsurpluslabour(Bn,2011).Ifandwhenconsideringconvertingcommonpoolfisheryresourcesintootherformsoftenure,thesetypesoffunctionsneedtobetakenintoaccount.
IntheBangkokStatement,9preparedbysmallscale
fisheriescivilsocietyorganizations (CSOs)
fortheGlobalConferenceonSmallScaleFisheries,privatizationoffisheryresourcesaswellaswatersandlandsthatfishingcommunitiesdependon
for their livelihoodswere stronglyopposed to (SAMUDRA,2008).
Importancewasgiven to the protection of customary and traditional
access to fishery resources by smallscale
fishingcommunities.Stateswereurgedtoguaranteeaccessrightsofsmallscaleandindigenousfishingcommunities
8Sometimes,rightsbasedfisheriesmanagementisinterpretedtoimplyprivatizationthroughallocationofindividualrights.Here,theapproachincludesalsocommonpropertyrightsheldbyagroupofusersoracommunity.
9Textavailableatwww.foodsovereignty.org/Portals/0/documenti%20sito/Core%20issues/Fisheries/bangkokstatement.pdf
http://www.foodsovereignty.org/Portals/0/documenti%20sito/Core%20issues/Fisheries/bangkokstatement.pdf
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11
toterritories,
landsandwatersonwhichtheyhavetraditionallydependedfortheir lifeand
livelihoodsandprotect accessofwomenof fishing communities to fish
resources.These statements indicate aneed
forreplacingopenaccessregimeswithsystemsthatensuresecureaccesstoresourcesbycertaingroups(smallscalefishers)through,forexample,communitybasedorcommonpropertyrights(FAO,2009a).10
WHY SHOULD A HUMAN RIGHTS APPROACH BE USED IN SMALLSCALE
FISHERIES GOVERNANCEAND DEVELOPMENT?
TheVGGTrefertohumanrightsandstressthe
importanceofgovernanceoftenurebeingconsistentwithStatesobligationsunderinternationallawandthat:
Given that all human rights are universal, indivisible,
interdependent and interrelated, the governance oftenureof
land,fisheriesandforestsshouldnotonlytake
intoaccountrightsthataredirectly
linkedtoaccessanduseofland,fisheriesandforests,butalsoallcivil,political,economic,socialandculturalrights.Indoingso,States
should respect and protect the civil and political rights of
defenders of human rights, including
thehumanrightsofpeasants,indigenouspeoples,fishers,pastoralistsandruralworkers,andshouldobservetheirhumanrightsobligationswhendealingwithindividualsandassociationsactingindefenceofland,fisheriesandforests.
(4.8inRightsandresponsibilitiesrelatedtotenure)
As indicated above, theuseof theword rights in a fisheries
contexthas tended to refer to
rightsbasedfisheriesmanagement(fishingrights).However,especiallyinthecontextofsmallscalefisheries,morerecentdiscussionshaveevolved
to includeahumanrightsperspectiveand theright tosecureand just
livelihoods,includingsocialandeconomicrightsaswellasrightstorelatedresources(suchasland).Linkingfishingrightsandhumanrightsreflectsamovetowardsanapproachmoreinlinewiththerealityofthediverselivelihoodsofsmallscalefishingcommunitiesandthecomplexityofpoverty.Toapplyabroaderbasedapproachtotheallocation
of rights in a fisheries and fishing community contextmeans giving
fishers rights to adequatelivelihoods and equitable benefits. Good
(fair and secure) tenure rights should balance social,
cultural,economicandenvironmentalgoals,assistinreducingconflict,enhancefoodsecurityandlivelihoodsforsmallscalefishersandfishingcommunities,andfacilitatetheconservationoflocalecosystems.Thisisnotalwaysaneasybalancebutbychangingtheperspectivetoafocusonpeoplethe
livelihoodsoffishingcommunitiesinsteadofon fisheries, theway tenure
rights areperceived anddefinedwill change. This requires a
goodunderstandingof the issuesathandandof theprioritiesof
fishingcommunities.Forexample, theneed
forsecureaccesstoandmanagementresponsibilitiesforfisheryresourcesmaynotbeperceivedasafirstpriority.Duetopovertyandvulnerability,otherpressingproblemshealth,schooling,etc.couldbeconsideredmoreimportant.
Smallscale fishing communitiesmay lack the capacity and incentives
to participate in fisheries
10Foradiscussiononhowtodecidewhattypeoftenurerightssystemthatshouldbeintroducedindifferentsituations,seethechapterAllocatingrightsinPart2.
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12
management,andotheraspectsofpovertyneedtobeaddressedfirst,orsimultaneously,astenurerightsaredealtwith(Allisonetal.,2012;FAO,2009a).
Amongtheprinciplesofimplementation,theVGGTmention:
Nondiscrimination:nooneshouldbesubjecttodiscriminationunderlawandpoliciesaswellasinpractice.
Equity and justice: recognizing that equality between
individuals may require acknowledging
differencesbetweenindividuals,andtakingpositiveaction,includingempowerment,inordertopromoteequitabletenurerightsandaccesstoland,fisheriesandforests,forall,womenandmen,youthandvulnerableandtraditionallymarginalizedpeople,withinthenationalcontext.
Gender equality: Ensure the equal right ofwomen andmen to the
enjoyment of all human
rights,whileacknowledgingdifferencesbetweenwomenandmenand
takingspecificmeasuresaimedatacceleratingdefactoequalitywhennecessary.Statesshouldensurethatwomenandgirlshaveequaltenurerightsandaccesstoland,fisheriesandforestsindependentoftheircivilandmaritalstatus.
(3BinGuidingprinciplesofresponsibletenuregovernance)
Acentralpremiseofhumanrightsisnondiscrimination,andequityandjusticeaswellasgenderequalityareamong
theprinciples that theVGGT arebased on.11Gender considerations in
fisheries are important and,while
theconceptofgender,bydefinition,dealswithbothmenandwomenandboysandgirlsand
thesocially,culturallyandeconomicallyestablishedrolesandrelationshipsbetweenthem,womenareoftenmoredisadvantagedthanmen.Genderequalityeffortshenceoftenmeansupportingandempoweringwomenwhileworkingwithbothmenandwomen
(seeBox5).Whenaddressing tenure rights,carehas tobe taken
thatarrangementsbenefitbothmenandwomen.12
Box5:Menandwomeninthefisheriessector
Thefisheriessector
isoftenperceivedasmaledominatedbecausemostfishersthosewhogoout
inboatsandfisharemen.However,womenplayanequallyimportantrole,anditisestimatedthatabouthalfofallpeople
around the world working in fisheries are women.Women are generally
key in the
postharvesthandlingoffishandotheraquaticproductsfromtheirpointoflandingtoreachingtheconsumer.Womenalsoparticipateasentrepreneursandasfishbuyers;
it
isnotunusualthattheyadvancemoneytofinancefishingtripsorgiveloanstofishersagainstaguaranteedsupplyoffishwhenthecatchislanded.Insomecountries,itiscommonthatwomenfishorcollectseafood,forexamplemusselsandclams,incoastalorinlandwaters.
Source:FAO(2010).
11SeealsothechapterGeneralprinciplesinPart2.
12SeealsothedocumentGoverninglandforwomenandmenAtechnicalguidetosupporttheachievementofresponsiblegenderequitablegovernanceoflandtenure(FAO,2013a).ThisimplementationguidehasalsobeenpreparedtosupporttheGuidelinesbutitdoesnotdealwithgenderinfisheries.
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13
WHAT ARE THE DIFFERENT TYPES OF FORMALTENURE RIGHTS IN
FISHERIES?
Asakeyprinciple,theVGGTestablishthat:
States should recognize and respect all legitimate tenure right
holders and their rights. They should takereasonablemeasuresto
identify,recordandrespect
legitimatetenurerightholdersandtheirrights,whetherformally recorded
or not; to refrain from infringement of tenure rights of others;
and tomeet the dutiesassociatedwithtenurerights.
(3AinGuidingprinciplesofresponsibletenuregovernance)
There are many different forms of tenure rights in fisheries in
the context of rightsbased fisheriesmanagement. It is a fairly
complex arena and thereno globally agreed setof terms.
Thedesignations
anddefinitionsusedvarybetweencountries,locationsandorganizations.Inthisdocument,thetermuserightisutilizedbypreferencewhenreferringtoformalrightstofisheryresources,i.e.whendefiningwhoisinvolvedinafisheryandhow.Whenrightsalsoincludemanagementresponsibilities,i.e.arightorobligationtobepartoffisheriesmanagement,thetermmanagementrightissometimesused.13
Fisheries tenure rightswould typicallybe seenaspartofabroader
fisheriesgovernanceandmanagementframework. Some tenure rights
arrangements resemble measures applied in conventional
fisheriesmanagement (seeBox4),e.g. access rights to a fishery
(licences)orwithdrawalorharvest rights (quotas).These are similar
to fisheriesmanagement input (effort) and output controls but are,
from a rightsbasedfisheriesmanagementperspective,seenas
rightsorprivilegesgiven to fishers insteadofas
restrictionsandregulations.
There are a number of different areabasedmanagement regimes that
refer to the fishing location, e.g.territorialuserights in
fisheries (TURFs).TURFsassignrights to individualsorgroups to
fishwithinacertainlocation,commonlybasedonacustomaryright(seebelow).
Marineprotectedareas (MPAs)havegenerallybeenpromoted
fromabiodiversityconservationperspectivebutdependingontheexactdefinitionoftheconceptintheparticularsituationtheyarealsoconsideredafisheries
management measure. Different types of spatialtemporal gear
closures are historically a
verycommonfisheriesmanagementtool.However,MPAshavetendedtobesetupasindependentmanagementunits,sometimeinfringingonexistingtenurerightsinfisheries,whiletheyshouldpreferablybeconsideredinbroadermanagementframeworks.Theyrangefromnotake(nofishingallowed)toplannedmultipleuseareasandareincreasinglyservingbothbiodiversityconservationandfisheriesmanagementpurposes.14
13Commonterminologyusedincludespropertyrights(commonpropertyandprivateproperty),accessrightsandfishingrights.Forfurtherclarifications,see,forexample,themanyarticlesinShotton(2000).ThissectiondrawsonthisworkaswellasonMRAGetal.,(2009);FAO(20052013b);andCharles(2011).
14TherearemanydifferenttermsusedforMPAtypeofarrangements,e.g.reserves,oceansanctuaries,marineparks,fisheriesrefugia,locallymanagedmarineareas(LMMAs),andthereisnogloballyagreeddefinitionoftheconcept.SeeFAO(2011b)formoreinformationonMPAsandfisheries.
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14
Zoning isa typeofareabasedmanagement
toolapproach.Countriessometimesgivepreferentialaccess tosmallscale
fishing, in general in inshore waters, e.g. by prohibiting larger
vessels to fish close to shore.However,such
regimesaresometimesweaklyenforcedand tendnot to resolve the
inability to
limitaccessandfishingeffort.Theremayalsobecompetingnonfisheriesusesintheinshorearea,andincreasedattentionneeds
tobe given to broader spatial planning systems, combining and
coordinating plans and activities ofdifferentsectors(seeBox6).
Box6:Whatisintegratedspatialplanning?
Integratedmanagement (whether of oceans, coasts, watersheds,
etc.) is an approach, ormechanism, tomanagemultiple
(competing)usesofacertaindesignatedarea.Theseuses
includedifferentsectorssuchasfisheries,aquaculture,forestry,oilandgas,mining,agriculture,shippingandtourism.
It
involvesmanagingarangeofstakeholders(e.g.localcommunitiesandindustries)aswellasinteractionsamongpeopleandothercomponentsofecosystems,andamongdifferent
levelsofgovernment.Theneed for integratedand crosssectoral
approaches is increasingly being recognized and the intensified
attention given to the
ecosystemapproachtofisheries(EAF)isoneaspectofthis(seeBox4).
Thereareseveraltypesofspatialplanningandmanagementframeworkswithrelevancetofisheriesandthathavethepotentialtointegratethedualneedforfisheryresourcesandlandoffishingcommunities,includingmarine
spatial planning (MSP) and integrated coastal zonemanagement
(ICZM). The Code of Conduct
forResponsibleFisheries(FAO,1995)specificallyreferstotheneedtotakefisheriesintoaccountinthemultipleuses
of the coastal zone and are integrated into coastal areamanagement,
planning and development(Art.6.9).
Sources:FAO(1995,2011b).
Communitybasedmanagementsystemsvestmanagementrightsincommunitiesorcommunitygroups.Whencommunities
and governments share management responsibilities, comanagement
arrangements arereferred to. A comanagement arrangement can also
include other partners, e.g.
nongovernmentalorganizations(NGOs),researchinstitutionsandtraditionalleaders(seeexampleinBox7).Comanagementisby
and large considered the recommended best practice for smallscale
fisheries management.
Comanagementarrangementsareoftencombinedwithadelegationofmanagement
responsibilities from thecentrallevel government to local
governments in addition to giving management responsibilities also
toresourceusers. In fisheries andwith regard tomanagement
responsibilitiesof coastal and inshorewaters,several countries have
given local governments increased responsibilities (e.g. in the
Philippines and
inIndonesia)(PomeroyandRiveraGuieb,2006;Pomeroy,2001).
Box7:ComanagementstructuresinBurkinaFaso
ApilotprojectundertheSustainableFisheriesLivelihoodProgramme(SFLP)supportedtheintroductionofcomanagement
arrangements on the large dams (artificial lakes) in Burkina Faso,
and two managementcommitteesweresetuponeonLakeBagrandone
forLakeKompienga.Thesecommittees included thelocal administration,
the decentralized technical administrations, consular chambers,
nongovernmentalorganizations (NGOs),microfinance institutions,
representativesof traditional rulers,and
representativesofsocioprofessionalassociations.Thecommitteesweregivenlegalandlegitimatestatustoapproveandvalidatecomanagement
plans and rules of procedure. Specialized commissions were created
to address
specificmanagementissuessuchassurveillanceinfishingcamps,establishmentoflocalfisheriesmanagementfunds,trainingofcommitteemembers,andprotectionoffishhabitatsbydesignatingfishreproductionzones.
Moreover,withinthecomanagementframeworkofthepilotproject,anewcommitteewasestablishedinthevillage
of Kompienbiga/Tounga, themain fishing villageof Lake
Kompienga,with a view to addressing thevarious conflicts arising
among the large migrant community and the local population. This
committeeconsistedoftheheadsofallthedifferentcommunityandethnicgroups,anditwasgiventhetasktoruleonmatters
regarding, among other things, theft,wandering cattle in the
village, disputes between villagers,
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15
tensions within households, application of fishery management
measures, repayment of loans betweenvillagers,andparticipation
incommunityservices.Withtheestablishmentof thecommittee,
thenumberofserious conflictsdecreased,and italso
createdanewopennessbetween themigrantand localpopulationgroups.
Ingeneral,allthreecommitteeshaveplayedakeyrole in
increasingtheawarenessamongnationalauthoritiesoftheneedtotaketheinterestsoffishingcommunitiesintoaccountinfisherymanagement.
Sources:Njock,AllisonandKonan(2008);Konan(2007).
Table1givesexamplesofdifferenttypesofrights,togetherwithabriefdescriptionofhowtheyworkandtheirattributes.
Table1:TypologyofrightsbasedmanagementsystemsexamplesfoundinOECDcountries
Typeofright KeyfeaturesTerritorialuserightsinfisheries
Allocationofacertainareaoftheoceantoasingleuser,usuallyagroup,whichthenundertakesfishingbyallocatingrightstouserswithinthegroup.Usuallyoflongdurationandwithahighdegreeofformalandinformaltransferabilitywithinthegroup.
Communitybasedcatchquotas
Catchquotasareattributedtoafishingcommunitywithdecisionsonallocationofrightswithin
thecommunity takenonacooperativebasis.Theyareoftenused in
formalizingtraditionalaccessrightsinsmallscalefisheries.Theyprovideahighdegreeofexclusivity,divisibilityandflexibility.
Vesselcatchlimits
Restricttheamountofcatchthateachvesselcanlandforagivenperiod(week,monthoryear)orpertrip.Theseinstrumentsarecharacterizedbyrelativelylowormoderatelevelsformost
rightscharacteristics.Theyprovide limitedexclusivityandmaynot
reduce
theraceforthefish,whileprovidingsomedegreeofflexibilityandqualityoftitle.
Individualnontransferablequotas
Providearighttocatchagivenquantityoffishfromaparticularstock,or,moreusually,apercentageofa
totalallowablecatch
(TAC).Relativelyhighcharacteristicsofexclusivityandflexibilityallowrightsholderstousetheirrightsinaleastcostwaytosecureagivenquantity
of fish. The race for the fish that exists under a competitive TAC
is
largelyeliminated,butthelackoftransferabilityrestrictstheefficiencyofharvesting.
Individualtransferablequotas
Provide a right to catch a given percentage of a TAC,which is
then transferable. Thisinstrument rateshighlyonallcriteria.The
featuresof thesystemallow forappropriatelongterm incentives for
investment decisions aswell as optimizing shortterm use
offishingcapacities.
Limitednontransferablelicences
These licences can be attached to a vessel, to theowner, or to
both, and have tobelimited
innumberandappliedtoaspecificstockorfisherytobeconsideredasmarketlike.Byrestrictingaccesstoastock,thisinstrumenthelpstoreducetheraceforthefishandpreventrentdissipation.However,thelackoftransferabilityanddivisibilitylimitstheoptimaluseoffishingcapacity.
Limitedtransferablelicences
Bymaking limited licencestransferable,fishersareprovidedwithan
increased incentiveto adjust capacity and effort over the short to
long term in response to natural andeconomic conditions. They are
generally given for a very long duration, but are notdivisible.
Individualnontransferableeffortquotas
Rights are attached to thequantityof effortunit that a fisher
can employ for a givenperiod.Theytendtobeused
infisheriesforsedentaryspeciesandarecharacterizedbymoderateorrelativelyhighlevelsofexclusivity,durationandqualityoftitle.
Individualtransferableeffortquotas
Transferabilitymakesshort
andlongtermadjustmenteasierandallowsforabetteruseoffishingcapacities.
Sources:Adaptedfrompp.1314,MRAGetal.(20090.
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16
WHAT ARE CUSTOMARY AND INFORMAL TENURE RIGHTS?
TheVGGTstatethat:
Stateandnonstateactorsshouldacknowledgethat
land,fisheriesandforestshavesocial,cultural,spiritual,economic,
environmental and political value to indigenous peoples and other
communitieswith customarytenuresystems.
(9.1inIndigenouspeoplesandothercommunitieswithcustomarytenuresystems)
Indigenouspeoplesandother communitieswith customary tenure
systems that exercise selfgovernanceofland, fisheries and forests
should promote and provide equitable, secure and sustainable rights
to
thoseresources,withspecialattentiontotheprovisionofequitableaccessforwomen.
(9.2inIndigenouspeoplesandothercommunitieswithcustomarytenuresystems)
Whereindigenouspeoplesandothercommunitieswithcustomarytenuresystemshavelegitimatetenurerightstotheancestrallandsonwhichtheylive,Statesshouldrecognizeandprotecttheserights.Indigenouspeoplesandothercommunitieswithcustomarytenuresystemsshouldnotbeforciblyevictedfromsuchancestrallands.
(9.5inIndigenouspeoplesandothercommunitieswithcustomarytenuresystems)
Fisheriestenurerightscanbeformalandlegallyrecognizedasthosedescribedaboveinthecontextofrightsbased
fisheries management or informal and customary (or traditional).
Customary tenure rights of acommunity include the collective
rightsof communitymembers to thenatural
commonsaswellasprivaterightsofcommunitymemberstospecificlandparcelsornaturalresources.Informaltenurerightsaretenurerightsthatlackformal,officialprotectionbytheState.Theyoftenarisespontaneously,e.g.theemergenceofinformaltenurerightsinareasarisingfrommigrations(Box8).Theserightscanstillbelegitimatebecausetheyarebeing
coveredby, for example, international laws and conventions,
treatiesorother legal
instrumentsalthoughnotexplicitlyincludedinnationaltenurelegislation.
Box8:Migratingfishersandfishworkersandinformalrights
Throughouthistory,migrationhasbeenacommonlivelihoodstrategyamongfishingcommunitiesinAfricaaswell
as elsewhere. In theWest and Central Africa region, coastal
countries allow entry tomigrant fishingcommunities fromneighbouring
countrieswithout any restrictions, and itwould appear that this
relativelyopenaccesstoresourcesfavours
increasedmigrationforfishing.Migrationhasdeveloped
informalrightstofishing grounds. These rights are often part of
customarymanagement systems. In Benin, Cameroon andGabon,a study
carriedoutby the Sustainable Fisheries LivelihoodsProgramme (SFLP)
foundevidence thatnewlyarrivedmigrantswouldbe
introducedtothetraditionalchieforvillageheadagainstthepaymentofasymbolictithe.Ifthemigrantfailedtorespecttheprocedure,aconflictcouldensue.
Migrants often have greater problems to obtain tenure of land
for agricultural production, a commoncomponentoftheoftencomplex
livelihoodstrategiesoffishingcommunityhouseholds.Moreover,theyaswellas
localfishingcommunitieswithoutformallyrecognizedtenurerightsmayfeelthreatenedbycoastaldevelopmentinitiativesandbeatriskofeviction.
Source:NjockandWestlund(2010).
Informal and customary rights generally play an extremely
important role, particularly in the
smallscalefisheriessectorandindevelopingcountries.Moreover,manyformaltenuresystemsarebasedonrightsthatwere
initially customary. In some countries, customary tenure rights
have been granted formal legalrecognitionequivalent toother
statutory tenure rights. Inother countries, they lack legal
recognition.This
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17
meanstherearecaseswherelegitimatecustomaryrightsexistbut,becausethesearenotformallyrecognized,rightsholderscannoteasilydefendthemintheeventofcompetitionfromotherresourceusers.Expansionoftourism,portorharbourinfrastructureprojectsandindustrialprogresshaveincreasinglyledtoclaimsbyotherinterestgroupsandresourceuserson
land
incoastalareastraditionallyheldbyfishingcommunities.Forcedeviction
of coastal communities for the purposes of such developments is on
the rise (Monsalve
Surez,MarquesOsorioandLangford,2009).Therearealsoexamplesofformaltenurearrangementsthathavebeensetupwithout
respecting alreadyexisting customary and traditional rights, and
thishas then given rise
toconflictsandhardshipforcoastalcommunities.AnexampleisthepostapartheidlegalreforminSouthAfrica,whichfailedtoaccommodatethecustomaryrightsoftraditionalfishingcommunities(seeBox9).
Box9:AccommodationofcustomaryrightsinSouthAfrica
InSouthAfrica,avarietyofcommunitybasedcustomarytenuresystemsexistthatdatebackseveralcenturies.Thesesystemsdifferfromoneregiontoanotheraccordingtohistoricaldevelopmentsandthewaysinwhichtheircustomary
legalsystems
interfacedwithcolonialandapartheidgovernance.Followingtheelectionofademocratic
government in1994, therewerehopes that the legal reformsof thenew
Statewould lead togovernanceofmarine resources thatwasbetter suited
to smallscale fishing communities. Thenew
SouthAfricanConstitutionrecognizescustomarylawinsofarasitisconsistentwiththeBillofRights.
However, themarine resource legislation introduced in 1998
failed to recognize the smallscale, artisanalsectorand
itscustomaryfishingsystemsandrights. Instead,an
individualpermittingsystemwas
introducedforanewlyrecognizedsubsistencesectorthatfocusedmainlyonlowvaluesedentaryspecies.Inthewesternandnortherncoastalregionswherethelarge,commercialindustryislocated,theStateallocatedcommercialrightsforfouryearstoselected
individualsandregisteredassociationswithinthe
inshore,smallscalesector.Theserightswerecalledlimitedcommercialandcomprisedverysmallallocationsthatwerenotconsideredviableforasmallscaleenterprise.Therightsapplicationprocesswasverycomplexanddiscriminatedagainstfisherswith
low levels of literacy.Moreover, the verification processwas not
regarded by the fishers
aslegitimateandtheappealprocesseswerecomplexandcostly.Manytraditionalsmallscalefisherswerethusexcludedfromgainingaccesstoresourcesortowhattheyconsideredtobetheirtraditionalfishinggrounds.In2006,
the Department of Environmental Affairs and Tourism again allocated
individual commercial rightsdecoupled from any communitybased
context for decisionmaking. In response to the failure of the
newpolicy toaccommodate their rights, the fishersof
theWesternandNorthernCapeembarkedonaseriesofadvocacyactionstoraiseawarenessabouttheirmarginalizationandtoadvocateforamoreequitablepolicy.Eventually,
in2012,anewsmallscale fisheriespolicywasadopted that formally
recognizesartisanal
fishingcommunities.ItaimstoprovideredressandrecognitionoftherightsofthesmallscalefishercommunitiesinSouthAfrica...inordertofulfilltheconstitutionalpromiseofsubstantiveequality(DAFF,2012).Itrecognizescustomaryrightsandallowsforamovetocollectivefishingrights(andawayfromtheindividualquotasystemthat
has excluded themajority) and improvedmarine resource comanagement.
It also lays the basis
fordemarcatingexclusivefishingzonesforsmallscalefishers,whichwillbeoutofboundsfor
largecommercialfishingcompanies.
Sources:DAFF(2012);Masifundise(2012);Sundeetal.(forthcoming).
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18
WHAT HAPPENS WITH SHARED FISHERY RESOURCES AND THOSE IN
INTERNATIONAL WATERS?
Withrespecttoregionalandinternationalcommitments,theVGGTaffirmthat:
Statesshouldensurethatallactionsregardingthelegalrecognitionandallocationoftenurerightsanddutiesare
consistentwith their existing obligations under national and
international law, andwithdue regard
tovoluntarycommitmentsunderapplicableregionalandinternationalinstruments.
(7.2inSafeguards)
Ininternationalwaters,i.e.inareasbeyondnationaljurisdiction(ABNJ),rightstoresourcesandmanagementresponsibilitiestendtobeunclear.Thesewatersareatsomedistancefromthecoastandgenerallyexploitedbylargescalefisheries,sometimeswithvesselsfromfaraway.Inmanyareas,countrieswithaninterestinthefisheries
of the area have come together to form a regional fishery body
(RFB) or a regional fisheriesmanagement organization/arrangement
(RFMO/A).15This development has been greatly supported by
theUnitedNationsAgreementfortheImplementationoftheProvisionsoftheUnitedNationsConventionontheLawoftheSeaof10December1982RelatingtotheConservationandManagementofStraddlingFishStocksand
Highly Migratory Fish Stocks (1995 UN Fish Stocks Agreement). The
RFBs have varying degrees ofmanagement mandate but, generally,
there is still a need for increased regional and
internationalcollaborationifsustainableresourceutilizationistobeachieved.
Therearewatersandresources thataresharedby twoormorecountries.
It isnotuncommon tohave
fishstocksstraddlingbordersbetweenEEZsaswellasinternationalwaters.Somefishstocksarehighlymigratoryand
fish ingeneraldo,of course,not respectborders. In some
cases,RFMOsareestablishedalso in
thesesituations(e.g.theInternationalBalticFisheriesCommission)butotherformsofcooperationformanagementpurposes
also exist, e.g. regular consultations between countries, joint
programmes dealing with
specificaspectsoffisheriesmanagement(e.g.surveillance)orgeneralcooperationagreements.Someofthelargelakeand
river basins in Africa are covered by basin commissions (e.g. the
Lake Chad Basin Commission,
LakeVictoriaBasinCommissionandNigerRiverCommission).Thesecommissionsusuallyhavebroadermandatesthan
only fisheries, but in some locations there are also organizational
structures especially for regionalcollaboration on fisheries (e.g.
Lake Victoria Fisheries Organization). The management of
transboundaryresourcesincoastalandinlandwatersareofdirectconcerntosmallscalefisheries,inparticularasmigrationisacommonlivelihoodstrategyofmanyfishingcommunities.
OtherinitiativesaimingatimprovedcollaborationacrossbordersandtakingaregionalapproachtomanagingnaturalresourcesincludetheLargeMarineEcosysteminitiatives,16spearheadedbytheUnitedStatesNationalOceanicandAtmosphericAdministration(NOAA),andsupportedprojectsfundedbytheGlobalEnvironmentFacility
(GEF) and the Regional Seas Programme of the United Nations
Environment Programme
(UNEP).AnotherintersectoralapproachisthelandscapeapproachappliedbytheWWFin,forexample,intheCongoRiverBasin.17
15Seewww.fao.org/fishery/rfb/search/en16Seewww.lme.noaa.gov17wwf.panda.org/what_we_do/where_we_work/congo_basin_forests/wwf_solutions
http://www.fao.org/fishery/rfb/search/enhttp://www.lme.noaa.gov
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19
IS THERE AN INTERNATIONAL LEGAL AND POLICY FRAMEWORK RELEVANT
TOGOVERNANCEOF TENURE IN FISHERIES?
TheVGGTrefertootherlegalframeworksandstatethat:
These VGGT should be interpreted and applied consistent with
existing obligations under national
andinternationallaw,andwithdueregardtovoluntarycommitmentsunderapplicableregionalandinternationalinstruments.
They are complementary to, and support, national, regional and
international initiatives thataddresshuman rightsandprovide secure
tenure rights to land, fisheriesand forests,andalso initiatives
toimprovegovernance.NothingintheseVGGTshouldbereadaslimitingorundermininganylegalobligationstowhichaStatemaybesubjectunderinternationallaw.
(2.2inNatureandscope)
In addition to the VGGT, States have committed to ensuring
equitable and sustainable
development,encompassingsecurelivelihoods,responsibleuseofnaturalresourcesandsafeguardingoftheenvironmentaswellasrespecting,protectingandfulfillinghumanrightsthroughanumberof
international
instrumentsandagreements(seeBox10).Theseinstrumentsarehighlyrelevantinthecontextofgovernanceoftenureinthefisheriessector.
Box10:Selectedinternationalinstruments
UniversalDeclarationofHumanRights Voluntary Guidelines on the
Progressive Realization of the Right to Adequate Food in the
Context of
NationalFoodSecurity(RighttoFoodGuidelines)
InternationalCovenantonEconomic,SocialandCulturalRights(ESCRCovenant)
UnitedNationsDeclarationontheRightsofIndigenousPeoples(IndigenousPeoplesDeclaration)
ConventionontheEliminationofAllFormsofDiscriminationagainstWomen(CEDAW)
ConventionontheRightsoftheChild
TheWorldSummitonSustainableDevelopmentandtheJohannesburgPlanofAction
ConventiononBiologicalDiversity(CBD)
OutcomedocumentadoptedatRio+20:Thefuturewewant
Withregardtofishingactivities,thereareseveralinternationalinstruments,includingbindingagreementsthatregulate
fisheries management, such as the 1982 UN Convention on the Law of
the Sea and alreadymentioned above the 1995 UN Fish Stocks
Agreement. The 1995 FAO Code of Conduct on ResponsibleFisheries
(the Code) is a fundamental voluntary fisheries instrument that
promotes sustainable
fishingpractices.InternationalplansofactionhavebeenelaboratedundertheCode,includingforillegal,unreportedandunregulated(IUU)fishingandmanagementoffishingcapacity.TheCodeisalsosupportedbyanumberoftechnicalguidelinesprovidingimplementationguidanceonkeyissues.
Tenure, throughuse rights for smallscale fishers, is referenced
in theCode:whendesigningmanagementmeasures,
itmightbeappropriatetoconsiderthosewhichprovideexclusiveorpreferentialaccessforsmallscale
fisheries.Zoning, for instance, could favourandprotectaccess to the
resourceby smallscale fishers,amongstwhomthepoorestare
likelytobefound
(Article6.18).Furthermore,theCodestates,notonlyforfisheriesspecificallybutpertainingtocoastalresourcesingeneral,thatStatesshoulddevelop,asappropriate,institutionalandlegalframeworksinordertodeterminethepossibleusesofcoastalresourcesandtogovernaccesstothemtakingintoaccounttherightsofcoastalfishingcommunities(Article10.1.3).
TheCodealsopointsouttheneedforStatestoensurethatthereareappropriatepolicy,legalandinstitutionalframeworksforachievingthesustainableandintegrateduseoftheresources,takingintoaccountthefragilityofcoastalecosystemsandthefinitenatureoftheirnaturalresourcesandtheneedsofcoastalcommunities
-
20
(Article10.1.1). This is mentioned in the context of coastal
zone management, and there is
increasingrecognitionoftheneedtotakeholisticapproachestofisheriesgovernanceanddevelopment.AsexplainedinBox4,theEAFtakesitsfocusinfisheriesmanagementbutbroadenstheperspectiveandisholistic,integratedandparticipatorybasedontheCodesphilosophyandvalues.
With regard to smallscale fisheries, their importance for food
security and nutrition, poverty eradication,equitable development
and sustainable resource utilization has become increasingly
recognized. At theTwentyninth Sessionof the FAOCommitteeon
Fisheries (COFI) in2011, itwas recommended that
anewinternationalinstrumentonsecuringsustainablesmallscalefisheriesshouldbedevelopedtocomplementtheCodeinthisrespect.Thisinstrumentwilltaketheformofinternationalguidelinesandiscurrently(2012)beingdeveloped.18
HOW CAN TENURE RIGHTS BE VALUED?
Withregardtovaluesandvaluationoftenurerights,theVGGTestablishthat:
Statesshouldensure thatappropriatesystemsareused for the fairand
timelyvaluationof tenurerights
forspecificpurposes,suchasoperationofmarkets,securityfor
loans,transactions intenurerightsasaresultofinvestments,
expropriation and taxation. Such systems should promote broader
social,
economic,environmentalandsustainabledevelopmentobjectives.Statesshouldfacilitatetheoperationsofefficientandtransparentmarketstopromoteparticipationunderequalconditionsandopportunitiesformutuallybeneficialtransfersof
tenure rightswhich lessenconflictand instability;promote
thesustainableuseof land, fisheriesand forests and conservation of
the environment; promote the fair and equitable use of genetic
resourcesassociated with land, fisheries and forests in accordance
with applicable treaties; expand
economicopportunities;andincreaseparticipationbythepoor.
(18.1inValuation)
Tenurerightshaveavalue.First,thereisavaluerelatedtotherightassuch,especiallywhenatenurerightisformallyandlegallyrecognized,becauseofthesecurityandcontrolthisbringstotherightsholder(orholders).Second,
there isa value that is related to theunderlying resource, i.e. the
fishery resourceand its relatedhabitat and ecosystem, or the land
value if it refers to a parcel of (coastal) land.With regard to
fisheryresources,thevaluecanbeseenfromdifferentperspectivesandrelatesto:
thecurrentandfuturevalueofthefishstock(orstocks)thattherightgivesuse(andmanagement)rightsto;
economic,socialandculturalvaluesoffishingandrelatedactivities;
thevalueofotherecosystemservices.
Ifwantingtoquantifythevalueinmonetaryterms,itcanbesaidthatthefisheryresourceorfishstockshaveavalueassociatedwiththecurrentandfuturevalueofthefishoncelandedlessthecostsforbringingitashore.
18SeealsoBox2,FAO,2005,andwww.fao.org/fishery/ssf/guidelines/en.
http://www.fao.org/fishery/ssf/guidelines/en
-
21
Becausefisheryresourcesarerenewableifsustainablyutilized,currentexploitationpatternsinfluencefuturereturnsandvalue.Hence,fisheryresourcesthatareexploitedoptimallybothfromabiologicalandeconomicperspectivewouldhavebothahighcurrentandfuturevalue.
The economic, social and cultural values of a tenure right are
associatedwith the activity of fishing (andprocessing,
tradingandotheraccessoryactivities) in the formofbenefits
suchasemploymentand
incomegeneration.Thisvaluemayvarydependingonthelocalimportanceoffishing,includingiftherearealternativelivelihood
opportunities or not. Smallscale fisheries often fill critical
labour absorption and safetynetfunctions, and easy access to
fishing can be important for poor households to sustain their
livelihoods.19Moreover,formanysmallscalefishersandfishworkers,thefisheriesrepresentawayof
life,andthishasanimportantsocialandculturalvalue(Bn,2011;Bn,MacfadyenandAllison,2007).
Fishery resources arepart of ecosystems, and there they have
values as theyprovide ecosystem
services.Ecosystemvaluesaremeasuresofhow importantecosystem
servicesare topeople, includingboth
coastalcommunitiesandothermembersofsocietyatlarge.
Theseservicescanbecategorizedintodirectandindirectusevalues,andnonusevalues.Usevaluesarebasedonactualuseoftheenvironment,oranoptiontouseit,while
nonuse values are values that are not associatedwith actual use of
an ecosystem or its
services.Accordingly,directuseincludesthingssuchasfood(fish),recreationalactivitiesandrelaxation.Nonusevaluesreflect
values in the form of supporting and regulating functions, for
example,
throughmaintainingwaterqualityandcommunitytraditions,orwhenpeopleenjoywatchingatelevisionprogrammeabouttheareaanditswildlife,thusreceivingindirectusevalues.Somesubsetsofthesevaluesinclude:
Anoption value is a typeofuse valuebasedon the idea
thatpeoplewant tohave theoption tousesomethinginthefuture.
Abequestvalueisthevaluethatrelatestoknowingthatfuturegenerationswillhavetheoptiontoenjoysomething.
Anexistencevaluereferstothevalueapersonassignstoknowingthatsomethingexistsevenifnotusing,orplanningtouse,it.
Thevaluesdescribedabovewithregardtothefisheryresourceandfishingandrelatedactivitiesarevaluesof
the related ecosystem services. In addition, there aremore abstract
values that aremore difficult toquantify,but they are still
important forunderstanding the full valueof a fishery resource and
its
relatedhabitatandecosystem.20Insomecultures,thevalueofaspeciesoraspecificareaisrelatedtotheancestraland
spiritual practiceof a community and cannotbe easily reduced to the
conceptof valuesdominant
inconventionalfisheriesmanagementsystemsandliterature.
Onthesubjectofvaluation,theVGGTstatethat:
Policiesand laws related tovaluation should strive toensure
thatvaluation systems take
intoaccountnonmarketvalues,suchassocial,cultural,religious,spiritualandenvironmentalvalueswhereapplicable.
(18.2inValuation)
19Seethesection(above)Canfisheriesresourcesbesustainablymanagedascommonproperty?
20Foramorecompletediscussiononecosystemservicesandvalues,seeDeYoung,CharlesandHjort(2008).
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22
Inaccordancewiththereasoningabove,thateffectivelymanagedfisheryresourceshaveahighervaluethanthose
thatarebadlymanagedandoverexploited, it isclear that thevalueof the
related tenure rightsmaychangeover time.By investing
ingoodgovernance thatpromotes responsible
fishingpracticesand,hence,improvesresourcestatus,supportseconomic,socialandculturalvaluesandprotectskeyecosystemservices,the
value of tenure rights can be enhanced. The wrong type of
investment couldmakematters worse.Increasing fishing capacity,
through adding vessels and better technologies allowing boats to
fish
moreefficiently,couldpromoteoverexploitationandhencedecreasethefuturevalue.
Itisimportanttounderstandthedifferentelementsofthevalueoftenurerightsandhowtherelatedbenefits(and
costs) are distributed who gains and who loses when allocating or
transferring rights. A
goodunderstandingofthevalueisalsoneededtoinformpolicydecisionsinthefisheriessector.InPart2,theissueofvaluationisfurtherdiscussed(seethesectionAssessingthevalueoftenurerights).
WHAT ARE THE EMERGING ISSUES THAT NEED TO BE CONSIDERED INTHE
FUTURE?
Withregardtoclimatechangeanddisasterrisks,theVGGTestablishthat:
States should ensure that the legitimate tenure rights to land,
fisheries and forests of all individuals,communitiesorpeoples
likely tobeaffected,withanemphasison farmers, smallscale
foodproducers,andvulnerableandmarginalizedpeople,arerespectedandprotectedbylaws,policies,strategiesandactionswiththeaimtopreventandrespondtotheeffectsofclimatechangeconsistentwiththeirrespectiveobligations,asapplicable,intermsofrelevantclimatechangeframeworkagreements.
(23.1inNaturaldisasters)
Allpartiesshouldensurethattenureaspectsofland,fisheriesandforestsareaddressedwhenpreventingandpreparing
fornaturaldisastersand in their responses to them.Regulatory
frameworks for tenure,
includingspatialplanning,shouldbedesignedtoavoidorminimizethepotentialimpactsofnaturaldisasters.
(24.1inNaturaldisasters)
In the changing world of today, there are several trends
relating to global change. These include theglobalizationof trade;
fishand fisheryproductsareamong theworldsmost traded
foodproducts,and fishtradehas increased
lately.Withagrowingworldpopulation,thereare
increaseddemandsonfoodsupplies,andfoodpricevolatilityisaconcern.Thereisalsotherapiddevelopmentanduseofinformationtechnology,andchanginglifestylesandhumansystems,includingdemographicdevelopments(PerryandOmmer,2010).Itshouldbenoted
thatsmallscale fishingcommunities tend toalsobeexposed to the
impactsof fluctuatingresources,HIV/AIDS,market fluctuations,
conflict,politicalmarginalization andpoor governance aswell
asinsecureuserights(Cochraneetal.,2009;Allison,BeveridgeandvanBrakel,2009).
Thechanges thatare likely
tobeparticularlysignificantaswellasdifficult to foreseeare related
toclimatechange and variability. The threats that climate change
constitutes to human society and to
naturalecosystemsarerecognizedaskeyconcernsinthefutureofsustainabledevelopment.Anumberofclimaterelatedchangesare
likelytooccur inmarinesystems intheyearstocome,
includingwarmingtemperatures,risingsea levels,
increasingacidification,changingprecipitationpatternsand
increasedfrequencyofextremeweatherevents(PerryandOmmer,2010;CochraneandGarcia,2009).Thesechangeswillhaveanimpactonaquaticecosystems,theirproductivity,onfisheriesandonthepeoplethatdependonfisheries.
-
23
Thesensitivitytoglobalchangewillvarybetweenfisheries.Themostaffectedwillbefisheriesinsmallriversand
lakes, in regionswith larger temperature andprecipitation change
and thoseon anadromous species.They will be followed by fisheries
within EEZs, fisheries in large rivers and lakes, fisheries in
estuaries(particularlywheretherearespecieswithoutmigrationorspawndispersal)andinthehighseas.(FAO,20052013c).
Itshouldbenoted that, inparticular, inland fisheriesecology
isaffectedbychanges
inprecipitationandrunoffwhichmaybeinfluencedbyclimatechange(Cochraneetal.,2009).SmallIslandDevelopingStates(SIDS)willbeparticularlyvulnerable,especiallyinassociationwithcoralreefs.
Many smallscale fishing communities are particularly vulnerable
to climate change as well as to
naturaldisasters.Smallscalefishingcommunitiesareoftenlocatedinareasthatarepronetonaturaldisasters;whereland
andwatermeet is one of themost environmentally dynamic environments
that exist. The increasedseriousnessof
theeffectsofnaturaldisasterhazards, inducedbyclimatechange, is
furtherexacerbatedbydemographic changes. Climate change and
disasters will influence migration patterns and may
triggerdisplacements. Disaster risk management (DRM) and climate
change adaptation (CCA) policies
andinterventionsthatrespondtothespecificneedsofsmallscalefisheries,recognizingthatspecialconsiderationsmustbegiventofishingcommunitieslivingonsmallislands,needtobeanintegralpartofpoliciesandactionprogrammesforsmallscalefisheriesgovernanceanddevelopmentincludingwithregardtotenurerights.Bynothavingsecurerightstotheresourcesonwhichtheydepend,i.e.inparticularlandandwater,theimpactsofclimateandchangeandnaturaldisastersareoftenincreased(seeBox11).
Box11:Implicationsofbufferzonepolicyafterthe2004tsunami
Fishing communities on the Andaman coast of Thailand that were
not in possession of land titles
faceddifficultiesinreclaimingtheirlandaftertheDecember2004tsunami.Astheydidnothaveformaltenurerightsto
theirparcels, theywereconsidered tobe squattersonState
land.Alreadyprior to the tsunami,mostofthese settlementswere under
immensepressure from the tourist industrywanting
todevelopbeachfrontfacilities.After the tsunami,alsoshrimp farm
investorssawopportunities in
thewipedoutcommunities.Bytheattentiongiven to the situation
inmediaandwith thehelpof variousgroups in supportof the
fishingcommunities,thelandgrabbingcouldbesloweddown.However,thelanddisputesdidalsoconsiderablyslowdownrehabilitationanddelayedtherebuildingofhomes.
Sources:FernandoandPunchihewa(2011);ACHR(2006).
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24
PART 2:IMPLEMENTING RESPONSIBLETENURE IN FISHERIES
Part2ofthisGuidefocusesonhowtoimplementresponsibletenureinfisheries.Afterintroducingthesubjectbydescribingthecontextandkeyelementsofresponsibletenureimplementation,itdiscussesconsiderationsto
take into account and good practiceswhen allocating, transferring
and administrating tenure rights infisheries.Aglossary isprovided
inAppendix1,andAppendix2
suggestsdifferentapproachesandmethodsthatcanbeappliedandincludesadditionalinformationontools.
IMPLEMENTATION CONTEXT
TheVGGTstatethat:
InaccordancewiththevoluntarynatureoftheseVGGT,Stateshavetheresponsibilityfortheirimplementation,monitoringandevaluation.