Implementing improved governance of tenure in fisheries · Implementing improved tenure governance...

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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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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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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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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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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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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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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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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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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,

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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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.


Indigenouspeoplesandother communitieswith customary tenure systems that exercise selfgovernanceofland, fisheries and forests should promote and provide equitable, secure and sustainable rights to thoseresources,withspecialattentiontotheprovisionofequitableaccessforwomen.


Whereindigenouspeoplesandothercommunitieswithcustomarytenuresystemshavelegitimatetenurerightstotheancestrallandsonwhichtheylive,Statesshouldrecognizeandprotecttheserights.Indigenouspeoplesandothercommunitieswithcustomarytenuresystemsshouldnotbeforciblyevictedfromsuchancestrallands.


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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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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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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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

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(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

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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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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.

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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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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.

Implementing improved governance of tenure in fisheries · Implementing improved tenure governance...

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