Governance arrangements for marine ecosystems of the Wider Caribbean Region

109 Pages·2012·4.67 MB·English

CERMES Technical Report No60
Governance arrangements for marine
ecosystems of the Wider Caribbean Region
ROBINMAHON,ALEXCIACOOKE,LUCIAFANNINGANDPATRICKMCCONNEY
Centre for Resource Management and Sustainable Management of the Shared
Environmental Studies (CERMES) Living Marine Resources of the
The University of the West Indies, Cave Caribbean Large Marine Ecosystem
Hill Campus, Barbados (CLME) and Adjacent Regions
2013
Governance arrangements for marine ecosystems of the Wider Caribbean Region
RobinMahon1,AlexciaCooke1,LuciaFanning2andPatrickMcConney1
1CentreforResourceManagementandEnvironmentalStudies(CERMES),Universityofthe
WestIndies,CaveHillCampus,St.Michael,Barbados
2MarineAffairsProgram,DalhousieUniversity,Halifax,NovaScotia,Canada
Acknowledgements
FundingwasprovidedthroughtheGlobalEnvironmentFacilityprojectontheSustainable
ManagementoftheSharedLivingMarineResourcesoftheCaribbeanSeaLargeMarine
Ecosystem(CLME)andAdjacentRegions(CLMEProject).However,allinformationprovidedand
opinionsexpressedinthisreport,includinganyerrorsandomissions,aretheresponsibilitiesof
theauthors.
Citeas:
Mahon,R.,A.Cooke,L.FanningandP.McConney.2013.Governancearrangementsformarine
ecosystemsoftheWiderCaribbeanRegion.CentreforResourceManagementand
EnvironmentalStudies,UniversityoftheWestIndies,CaveHillCampus,Barbados.CERMES
TechnicalReportNo60.99p.
Contents
Acknowledgements.......................................................................................................................................ii
Summary......................................................................................................................................................iv
Acronymsandabbreviations........................................................................................................................x
1 IntroductiontotheCLMEProjectandLMEGovernanceFramework..................................................1
2 GovernanceassessmentanddevelopmentoftheRegionalGovernanceFramework.........................2
2.1 ApproachtodevelopingtheRGF..................................................................................................2
2.1.1 DocumentspertainingtotheLMRGovernanceAssessmentApproach...............................3
2.1.2 Documentspertainingtounderstandinggovernance-specificlinkages,includingthe
sciencepolicyinterface.........................................................................................................................3
2.1.3 Documentsandactivitiesrelevanttotheassessmentofregionalgovernancegeneratedin
supportoftheCLMEProject.................................................................................................................4
2.2 Governanceassessmentmethodology.........................................................................................4
3 AssessmentofgovernancearchitectureintheWCR............................................................................7
3.1 Systemtobegoverned.................................................................................................................7
3.2 Issuestobegoverned...................................................................................................................8
3.3 Regionalarrangementsfortheissues..........................................................................................9
3.3.1 Completenessofpolicycycles..............................................................................................9
3.3.2 Integrationofarrangementsforissueswithinsystems.....................................................13
3.3.3 Overallconclusionfromtheassessmentsofgovernancearchitecture..............................13
3.4 Integrationandlinkageofarrangementsbetweensystems-attheregionalscale..................13
3.4.1 Regionaloceangovernancepolicyarrangement................................................................16
3.4.2 Regionalsub-arrangementformarinepollution................................................................19
3.4.3 Regionalsub-arrangementforhabitatdegradation...........................................................22
3.4.4 Regionalsub-arrangementforfisheries.............................................................................24
4 Assessmentofgovernanceperformanceandprinciples....................................................................29
5 CountryengagementinregionalandglobalMEAsandprocesses.....................................................32
6 ConclusionsandrecommendationsfortheRegionalGovernanceFramework.................................35
6.1 Nationalplansandcapacity........................................................................................................35
6.2 Assessmentofarrangementsinthepilotprojectsandcasestudies..........................................36
6.3 Assessmentofgovernanceperformanceandprinciples............................................................37
6.4 TheregionalintegrativelevelsoftheRegionalGovernanceFramework...................................37
7 References..........................................................................................................................................40
Appendix1:OverviewofregionalorganisationsinvolvedinoceangovernanceintheWiderCaribbean
Region.........................................................................................................................................................44
Appendix2:GuidetoglobalandregionalconventionsandagreementsinTable3..................................95
Summary
Introduction
TheCaribbeanLargeMarineEcosystemandAdjacentAreas(CLME)Projectaimstoimprove
managementofsharedlivingmarineresources(LMRs)withintheWiderCaribbeanRegion
(WCR).TheTransboundaryDiagnosticAnalyses(TDAs)forthethreefisheriesecosystemshave
identifiedweakgovernanceasarootcauseoftheproblemsfacingthesesocialecological
systems.TheCLMEProjecthasastrongemphasisonassessingLMRgovernancesystemsandon
proposingwaysofstrengtheningthem.ThetreatmentofgovernanceintheCLMEProjectis
basedontheLMEGovernanceFrameworkdevelopedduringthePDF-BPhase.TheCLME
ProjectwasdesignedtobegintheprocessofbuildingtheLMEGovernanceFrameworkforthe
WCRthroughaseriesoftargetedactivities,pilotprojectsandcasestudies.Thegovernance
assessmentaspectofthesepilotsandcasestudieshasbeenapproachedthroughacommon
methodology.IntheCLMEProjectthefollowingbroadandinclusivedefinitionofgovernance
hasbeenadopted.“Governanceisthewholeofpublicaswellasprivateinteractionstakento
solvesocietalproblemsandcreatesocietalopportunities.Itincludestheformulationand
applicationofprinciplesguidingthoseinteractionsandcareforinstitutionsthatenablethem.”
TheCLMEProjectalsoincludestheRegionalGovernanceFramework(RGF)componentthatis
aimedatanalyzingtheregionaloceangovernancesituationintheWCRandproposinganRGF
asabasisfortheStrategicActionProgramme(SAP)thatisamajoroutputoftheProject.The
RGFcomponentoftheCLMEProjectcombinesinformationdrawnfromthepilotsandcase
studieswithinformationfromadditionalgovernanceanalysesattheleveloftheentireWCR
andalsowithotherstudiesconductedoutsidetheCLMEProjecttodevelopamulti-scale,multi-
levelRGF.ThisreportdescribestheworkdoneandtheRGFthathasbeenproposedforthe
SAP.
ThedevelopmentoftheRGFhasevolvedoverthedurationoftheCLMEProject,startingwith
thePDF-B,throughinteractionwithrelevantregionalorganisations.Thereforewhatis
presentedhereisviewedasaconsensusratherthanasetofoptionsamongwhichtheregional
organizationsandcountriesmustnowdecide.
Governanceassessment
ThegovernanceassessmentapproachandmethodologyfortheCLMEprojectbuildsonthe
methodologydevelopedfortheGEFTransboundaryWatersAssessmentProgramme(TWAP).
TheTWAPapproachandmethodologyhastwolevels.Level1assessesgovernancearchitecture.
ThisisthemainfocusoftheassessmentfortheRGF.Itcomprisesfoursteps:(1)Identifyingthe
systemtobegoverned,(2)Identifyingissuestobegoverned,(3)identifyingandevaluatingthe
arrangementsforeachissue,(4)assessingtheextentofintegrationandlinkageof
iv
arrangements.Anarrangementisapolicyprocessorcyclethatmayinvolvemultiple
organizationsatseverallevelsongeographicalandinstitutionalscales(seeBox1).
ThesystemtobegovernedinthiscaseistheWCR.Themaintransboundaryissuestobe
governedwereidentifiedintheCLMEProjectTDAreportsasunsustainableexploitationof
fisheries,pollutionandhabitatdegradation.However,thesewerebrokenintosub-issuesand
intomanagementunitsqualifiedbygeography,marineecosystemtypeandfisheriestype.
Arrangementswereevaluatedbyidentifyingiftherewereactorsresponsibleforthemain
policyfunctionsthatareessentialforeffectivegovernance.Theextenttowhichtherewere
responsibleactorswasusedtoestimatethepercentcompletenessofthearrangements.
ThedegreeofcompletenessforthesixarrangementsassessedfortheentireWCRsystem
rangesfrom15%-50%(Table1)withanoverallaverageof43%. Forthe24individualsub-
issuesassessed,itrangesmorewidelyfrom0%–71%.Therearenostudiesfromotherpartsof
theworldorIWwatersystemswithwhichtocomparethesefindingsbuttheydosuggestthat
thereisatheneedtofocusattentiononbuildingandenhancinggovernancearchitectureif
effectivegovernanceoflivingmarineresources(LMR)istobeachievedintheWCR.
Thedegreeofintegrationofarrangementsforissueswithinthesixsystemsassessedranged
fromzerointhecaseoftheNorthBrazilShelfLMEto100%inthecaseoflargepelagicfisheries.
Inthecaseofflyingfish,thequestionofintegrationwasnotapplicableastherewasonlyone
issue.Thefindingsindicatethatthereisaconsiderableamountofscopeforimprovementin
theintegrationofarrangementsthatisnecessaryforaneffectiveecosystemapproach.Insome
casesthiswillbeassimpleasbuildingorenhancinglaterallinkages,whileinothersitisthe
resultofscalemismatchintherelevantarrangements.
Theoverallconclusionfromtheassessmentsofgovernancearchitectureisthattherearemany
weaknessesinthegovernancearrangementsthatcanbediagnosedusingtheassessment
methodsdevelopedforTWAPandthisprojectandaddressedbyspecificinterventions.
ThepreliminaryassessmentsofgovernanceperformanceandprinciplesintheCLMEProject
suggestthatthereisconsiderablescopeforinterventionstoimprovetheextenttowhichthese
principlesareobservedandperceivedtobeobservedinlivingmarineresourcegovernance
processesintheWCR.
Itisrecommendedthataslivingmarineresourcegovernancearrangementsaredevelopedin
theWCR,theyshouldincludeexplicitassessmentofthepresenceofbothproceduraland
fundamentalprinciplesingovernanceprocesses.
Theinterfacesbetweencountriesandregionalandinternationalagreementsandactivitiesare
consideredtobecriticalcomponentsoftheframework(verticallinkage)inneedof
strengthening.ItisrecommendedthatwhereNationalIntersectoralCommittees(NICS)donot
v
existorarenotfunctioningwell,countriesformandoperationaliseorenhancethemtoserveas
ameansofintegratingoceanaffairsatthenationallevel.
ItisrecommendedthatacomprehensiveassessmentthatwouldassesstheperformanceofWCR
countrieswithregardtothefourlevelsofengagementshouldbereflectedintheSAPandshould
beasignificantpartofaRegionalEnvironmentalMonitoringProgramme.Inparticular,the
feasibilityofincreasingefficiencyandeffectivenessofcountryengagementinregionaland
nationalprocessesthroughcollectiverepresentationbysubregionalandregionalorganizations
shouldbeexplored.
TheRegionalGovernanceFramework
Withregardtohigherlevelintegrationandlinkageofarrangements,thegeopoliticalcomplexity
oftheregionandthenested,multi-scaleandmulti-levelnatureofthelivingmarineresources
andtheecosystemsthatsupporttheminevitablyleadtoacomplexRegionalGovernance
Frameworkbothinstitutionallyandgeographically.Thereforeaconsiderationoftheintegration
andlinkagesamongarrangementsleadstoasetofnestedarrangementsatbothoperational
andpolicylevels.
Theframeworkproposedistheoverallstructurethatisthoughttobeneededforeffective
governanceofLMRintheWCR.Itisimportanttonotethataconsiderablepartoftheproposed
frameworkalreadyexists.Manyregionalandsubregionalorganizationsarealreadyfulfillingall
orpartoftherolesintendedforvariouspartsoftheframework.Therefore,indevelopingthe
framework,itisimportanttodeterminewherethemanyorganizationscurrentlyinvolvedin
transboundaryLMRgovernanceintheWCRareinvolvedintheframework.
Planningforstrengtheningtheframeworkwillinvolveengagingtheseorganizationsto
determineiftheyarewillingto:
(a)continuetheseroles
(b)expandtheirmandateandactivitiestotakeupappropriatefunctionswithinthe
framework
(c)developtheinteractionsandlinkagesthatwillbeessentialiftheframeworkistofunction
asaneffectiveregionaloceangovernanceframework.
Whilemuchoftheregionalgovernancearchitecturewhichisconsideredtobenecessaryexists,
thereareweakareasandgapsthatrequireattention.However,beforestrengtheningandgap
fillingactivitiescanbepursued,thereisamajorfirststeprequired.Thisistheexplicit
recognitionbythecountriesandorganizationsoftheWCRthatthisisthedesiredapproachto
oceangovernance.ThereshouldbeexplicitadoptionoftheRGF.
vi
Onceadopted,theframeworkbuildingactivitiesneededtostrengthenitcanbepursued.This
wouldincludetheexplicitstepsandactivitiesneededtobuildandenhancetheframework.The
recognitionandadoptionstepcouldbeaturningpointintheregionalconversationabout
oceangovernancefromonethatissectoralandorganizationfocusedtoonethatisholisticand
focusedonaddressingissueswithanecosystemapproach.
Followingarethemainrecommendationsfromthegovernanceassessmentthatpertaintothe
integrativeregionallevelsoftheframework.Theseprovidethebasisforthenewconversation
andaroadmapformovingtoaholisticregionalperspective.
Regionaloceangovernancepolicyarrangement
Theoperationalisationofaregionaloceangovernancepolicycoordinationmechanismthat
wouldcoordinatetheentireframeworkisrecommendedforinclusionintheSAP.Progress
towardsthiscanbeachievedby:
 EstablishingtheSecretariatoftheCSC,
 DevelopingtheCSCasaregionalsciencepolicyinterfaceforoceansgovernancewithfocuson
livingmarineresources,
 EstablishingadataandinformationcapacityfortheCSCasdescribedbytheExpert
ConsultationandinitiatedbytheCLMEProject,
 UsingtheCSCtopromoteoceangovernanceingeneralandEAF/EBMinparticularwithinthe
subregionalIGOs-CARICOM(COTEDandCOFCOR),SICAandOECS.
Thismechanismwouldbeanappropriateonetoleadthefollowingactivitiesthatshouldbe
includedintheSAP:
 Developmentof aregionaloceangovernancepolicyfortheWCR,and
 Promotionoftheuseofvaluationinformationinregionaldecisionmakingandpolicysetting,
by
o Developmentandimplementationofastrategyforpromotingtheuseofvaluation
information
o Supportforpilotgapfillingstudiesofecosystemvalueindeficientareas
o Developmentofregionallevelestimatesandsynthesisofmarineecosystemvalue
Regionalsub-arrangementformarinepollution
Thepromotionofaregionalsub-arrangementforaddressingpollutionledbytheUNEPCEPis
recommendedforinclusionintheSAP.Progresstowardsthiscanbeachievedby:
 ExplicitrecognitionandendorsementoftheroleofUNEPasleadinthisarrangementbystate
parties
 Plansforspecificactivitiesaimedatdevelopingthisroleandinstitutionalizationofapolicy
processfordevelopingtheseplansandtrackingtheirimplementation.
vii
Regionalsub-arrangementforhabitatdegradation
Thepromotionofaregionalsub-arrangementforaddressingcoastalandmarinehabitat
degradationledbytheUNEPCEPisrecommendedforinclusionintheSAP.Progresstowards
thiscanbeachievedby:
 Explicitrecognitionandendorsementoftheroleaspartnersinthisarrangementbystate
parties
 Plansforspecificactivitiesaimedatdevelopingthisroleandinstitutionalizationofapolicy
processfordevelopingtheseplansandtrackingtheirimplementation.
Regionalsub-arrangementforfisheries
Thepromotionofaregionalsub-arrangementforaddressingunsustainableuseoffisheries
resourcesledbyWECAFCisrecommendedforinclusionintheSAP.Progresstowardsthiscanbe
achievedby:
 Explicitrecognitionandendorsementoftheroleaspartnersinthisarrangementbystate
parties
 Plansforspecificactivitiesaimedatdevelopingthisroleandinstitutionalizationofapolicy
processfordevelopingtheseplansandtrackingtheirimplementation.
Thepromotionofaregionalsub-arrangementtoaddressunsustainableuseofcoralreef
fisheriesecosystemswithintheaboveregionalsub-arrangementforfisheriesandledby
WECAFCandtheUNEPCEPisrecommendedforinclusionintheSAP.Progresstowardsthiscan
beachievedby:
 Explicitrecognitionandendorsementoftheroleaspartnersinthisarrangementbystate
parties
 Plansforspecificactivitiesaimedatdevelopingthisroleandinstitutionalizingapolicyprocess
fordevelopingtheseplansandtrackingtheirimplementation
 DevelopingaregionalEAF/EBMmanagementplanforreeffisheriesecosystemswithregional,
subregionalandpilotnationalcomponentsincluding;
o Linkageswiththeregionalsub-arrangementsforotherfisheriesecosystems,pollutionand
habitatdestruction
o Identifyingkeytransboundaryareasthatrequiregovernanceattentionandsupporting
pilotgovernanceassessmentandenhancement
o Anetworkofrelevantagenciesandotheractors
ThereshouldbespecificinterventionsintheSAPwithinthecontextoftheregionalarrangement
forreeffisheriesandbiodiversitytoaddresssustainableuseoflobsterresourcesinCentral
AmericaandelsewhereintheWCR(basedonareviewoftherelevanceofFAO(2007)
classificationoflobsterstocks):
viii
 ThegovernancearrangementforCentralAmericanlobsterfisheriesshouldbestrengthened
o ThisshouldbuildontheeffortsachievedtodatebyOSPESCAwhichshouldbethelead
organizationforGroupII(NorthCentral)andGroupIII(SouthCentral)stocks
o Formalengagementstatus(participatingnon-member)shouldbeconsideredfornon-SICA
membersharvestingthesestockssoastoenhancethegovernancearrangementforthis
fisheries
o Atransboundarygovernancearrangementthatallowsfortheintegrationofissuesaffecting
theCAlobsterfisheries(GroupsIIandIII),includingexplicitarrangementslinkinghabitat
degradationandland-basedsourcesofpollution
 Agovernancearrangementforothermajorlobsterareasshouldbeexploredanddeveloped
asasecondarypriorityaction.
o ForGroupIV(Southernstocks),considerationshouldbegiventodevelopingatransboundary
mechanismfortheSouth-EasternCaribbeanalthoughthisappearstobealesserpriority.For
GroupI(Northern)stocks,itisrecommendedthatthesecountriescollaborate,alongwith
arrangementsforGroupsII,IIIandIV,undertheumbrellaofastrengthenedFAO-WECAFC.
Therecommendationsprovidedinthisreport,togetherwiththoseoutlinedinthegovernance
assessmentreportsforthepilotprojectsandcasestudiesareconsideredtocomprisethe
actionsrequiredtomovetheRGFforwardinthenextphaseoftheCLMEProjectandtoprovide
astrongstructuralfoundationforeffectivegovernanceofLMRintheWCR.
ix
Acronyms and abbreviations
ACS AssociationofCaribbeanStates
CANARI CaribbeanNaturalResourcesInstitute
CARICOM CaribbeanCommunityandCommonMarket
CBD ConventiononBiologicalDiversity
CCA CausalChainAnalysis
CEP CaribbeanEnvironmentProgramme
CERMES CentreforResourceManagementandEnvironmentalStudies
CFRAMP CARICOMFisheriesResourceAssessmentandManagementProgramme
CLME CaribbeanLargeMarineEcosystem
CRFM CaribbeanRegionalFisheriesMechanism
CSC CaribbeanSeaCommission
CSI CaribbeanSeaInitiative
EA EcosystemApproach
EBM Ecosystem-basedManagement
EEZ ExclusiveEconomicZone
FAO FoodandAgriculturalOrganization
IFREMER InstituteFrançaispourl’exploitationdelamer
IMO InternationalMaritimeOrganization
IOC IntergovernmentalOceanographicCommissionofUNESCO
IOCARIBE Inter-governmentalOceanographicCommission–CaribbeanSubcommission
IUU Illegal,UnregulatedandUnreported(fishing)
LME LargeMarineEcosystem
LMR LivingMarineResources
LOSC LawoftheSeaConvention
MCS Monitoring,ControlandSurveillance
MEA MultilateralEnvironmentalAgreement
NBC NorthBrazilCurrent
NGO Non-GovernmentalOrganization
NIC NationalInter-ministerial/Inter-sectoralCommittee
OECS OrganisationofEasternCaribbeanStates
OSPESCA OrganizacióndelSectorPesqueroyAcuícoladelIstmoCentroamericano
REMP RegionalEnvironmentalMonitoringProgramme
SAP StrategicActionProgramme
x