Sustainable Fishery Systems

Anthony Charles, PhD, is Director of the School of the Environment and Professor in the Sobey School of Business at Saint Mary’s University, Halifax, Canada.

• Preface and Guide to the Book xvAcknowledgements xviiiPart I Fishery Systems 11 Introducing Fishery Systems 31.1 Sustainability and Resilience 31.2 Rationale for a Systems Approach 61.3 Fishery Systems as Social-Ecological Systems 71.4 Depicting Fishery Systems 101.4.1 Fishing Effort 101.4.2 Adding Dynamics 111.4.3 Adding Complexity 121.4.4 The Fishery System 131.4.5 Alternatives 141.5 Characterising Fishery Systems 181.5.1 Small-Scale Versus Large-Scale Fishery Systems 181.5.2 Spatial Scale and Time Scale 211.5.2.1 Spatial Scales 211.5.2.2 Time Scales 221.5.3 Other Approaches to Characterising Fishery Systems 231.6 Complexity 241.7 Next Steps 252 The Natural System: The Fish 272.1 What Is Caught in Fishery Systems? 282.1.1 Fishes 302.1.1.1 Inland (Freshwater) Fish 312.1.1.2 Pelagic Marine Fish 312.1.1.3 Demersal Marine Fish 322.1.2 Shellfish 332.1.3 Characteristics 372.2 Spatial Distribution of Fished Resources 382.3 Fish Dynamics 412.3.1 Single-Species Dynamics 412.3.2 Multi-Species Dynamics 453 The Natural System: Fishery Ecosystems 483.1 Ecosystems 483.1.1 Aquatic/Fishery Ecosystems 503.1.2 A Typology of Fishery Ecosystems 523.2 Biodiversity 553.3 The Physical–Chemical Environment 583.3.1 The Winds 583.3.2 Ocean Currents 593.3.3 Upwellings 613.3.4 Other Relatively Localised Phenomena 613.3.5 Physical Features 623.4 Dynamics of Fishery Ecosystems and the Biophysical Environment 624 The Human System: Fishers and Fishworkers 654.1 Fishers and Fishworkers 654.1.1 A Typology of Fishers 664.1.2 Women in Fishing 704.1.3 Fishworkers in the Post-Harvest Sector 734.1.4 Fisher Organisations 734.2 Fishing Methods 754.2.1 A Typology of Fishing Methods 754.2.1.1 Seines/Encircling Gear 774.2.1.2 Trawls and Other Towed/Dragged Gear 774.2.1.3 Gill Nets and Entangling Nets: Drift and Static Gear 774.2.1.4 Traps and Pots 784.2.1.5 Lines 784.2.1.6 Other Methods 784.2.2 The Choice of Fishing Method 794.2.2.1 Biological 804.2.2.2 Economic 804.2.2.3 Social and Governance 804.3 Fisher and Fleet Dynamics 804.3.1 Dynamics of Fishing Effort 814.3.2 Capital Dynamics and Fishing Capacity 834.3.3 Technological Dynamics 854.3.4 Fleet Dynamics 865 The Human System: Post-Harvest Aspects and Fishing Communities 895.1 The Post-Harvest Sector of the Fishery 895.1.1 Processing 925.1.2 Marketing and Markets 955.1.2.1 Marketing 955.1.2.2 Markets 965.1.3 Distribution and Trade 985.1.3.1 Distribution 985.1.3.2 Trade 985.1.4 Consumers 995.1.4.1 Consumer Preferences 995.1.4.2 Consumer Demand 1005.1.5 Food Security 1015.2 Fishing Households and Communities 1025.2.1 Households 1025.2.2 Communities 1055.3 The Socioeconomic Environment 1085.3.1 Links of Fishery Systems and Their Socioeconomic Environment 1085.3.2 Labour 1085.3.2.1 Labour Mobility 1095.3.2.2 Effects on the Fishery 1105.4 Post-Harvest and Fishing Community Dynamics 1115.4.1 Dynamics of Markets and Consumer Demand 1115.4.2 Dynamics of Communities and the Socioeconomic Environment 112Part II The Fishery Governance and Management System 1156 Fishery Governance 1176.1 Rationale for Governance and Management 1176.1.1 Open Access 1186.1.2 The Need for Management 1186.1.3 The Need for Participatory Management 1196.2 Governance and Management 1236.3 Fishery Values and Objectives 1256.3.1 A Portfolio of Fishery Objectives 1276.3.2 Objectives, Priorities, and Conflict 1296.4 Fishery Management Institutions 1316.4.1 Types and Roles of Institutions 1316.4.2 The Choice of Institutions 1326.4.3 Examples of Institutions 1326.5 Governance of International Fisheries 1376.6 Legal Framework 1386.6.1 Legal Pluralism 1396.7 Dynamics of Fishery Governance 1407 Fishery Management 1427.1 Time Scales of Management 1437.2 Spatial Scales of Management 1437.2.1 International Coordination 1457.2.2 Decentralisation/Devolution 1457.3 Appropriate Fishing Effort and Catch Levels 1477.3.1 The Yield-Effort Curve 1477.3.2 The Gordon–Schaefer Graph 1497.3.3 Fishery Objectives Influence the Choice of Effort Levels 1507.4 Developing a Portfolio of Fishery Management Measures 1537.5 Implementation at the Operational Level 1547.6 Fishery Enforcement 1567.7 A Survey of Fishery Management Measures 1577.7.1 Input (Effort) Controls 1587.7.1.1 Limited Entry 1587.7.1.2 Limiting the Capacity per Fisher or per Vessel 1587.7.1.3 Limiting the Intensity of Operation 1587.7.1.4 Limiting Time Fishing 1587.7.1.5 Limiting the Location of Fishing 1597.7.1.6 Challenges with Input Controls 1607.7.2 Output (Catch) Controls 1607.7.2.1 Total Allowable Catch 1617.7.2.2 Individual Quotas 1627.7.2.3 Community Quotas 1627.7.2.4 Escapement Controls 1637.7.2.5 Challenges with Output Controls 1637.7.3 Technical Measures 1647.7.3.1 Gear Restrictions 1657.7.3.2 Size Limits 1667.7.3.3 Closed Areas 1667.7.3.4 Closed Seasons 1677.7.4 Ecologically Based Management 1687.7.4.1 Taxes and Royalties 1697.7.5 Subsidies 1707.8 Dynamics of Fishery Management 1728 Fishery Development 1748.1 Rationale for Fishery Development 1748.2 Objectives of Fishery Development 1758.3 Strategic Choices in Fishery Development 1788.3.1 New Fisheries 1788.3.2 Existing Fisheries 1798.3.3 Integrated Development 1808.4 Targeting Fishery Development 1818.4.1 Needs Assessment 1818.4.2 Positive Signs 1818.4.3 Other Considerations 1828.5 Options for Fishery Development 1838.5.1 Direct Support to Fishing Activities 1838.5.2 Institutional Enhancement 1838.5.3 Training and Human Resource Development 1838.5.4 Economics and Planning 1848.5.5 Scientific, Assessment, Statistical, and Information Support 1848.5.6 Fisheries Management and Monitoring/Control/Surveillance 1848.5.7 Post-Harvest Support 1858.6 Participatory Fishery Development 1859 Fishery Knowledge 1879.1 The Nature of Fishery Knowledge 1889.2 The Knowledge of Indigenous Peoples, Fishers, and Communities 1899.2.1 Traditional Ecological Knowledge (TEK) 1909.2.2 Indigenous Knowledge 1909.2.3 Fisher Knowledge and Local Knowledge 1929.3 Connecting Fisher/Local/Indigenous Knowledge with Fishery Science/ Research 1959.4 Knowledge Within Institutions 1989.4.1 Governments 1989.4.2 International Agencies 1999.4.3 Universities 1999.4.4 Private Sector and Nongovernmental Organisations (NGOs) 2009.5 Fishery Knowledge: The Natural System 2009.5.1 Stock Assessment 2019.5.1.1 Stock Assessment Process 2019.5.1.2 Evolution of Stock Assessment: Single Species and Multi-Species 2029.6 Fishery Knowledge: The Human System 2059.7 The Nature of Knowledge Production 2089.7.1 Disciplinary Knowledge 2089.7.2 Multidisciplinary, Interdisciplinary, Transdisciplinary Approaches 2099.7.2.1 Multidisciplinary 2099.7.2.2 Interdisciplinary 2099.7.2.3 Transdisciplinary 2099.7.3 Pure (Basic) and Applied (Targeted) Knowledge 2119.8 The Structure of Knowledge Production 2119.8.1 Organized by Species 2119.8.2 Organized by Function 2129.8.3 Organized on a Geographical/Ecosystem Basis 2139.9 Dynamics of Fishery Knowledge 213Part III Three Major Challenges in Fishery Systems 21510 Uncertainty in Fishery Systems 21710.1 Sources of Uncertainty in Fishery Systems 21810.1.1 Sources in the Natural System 21810.1.2 Sources in the Human System 21810.2 A Typology of Uncertainty 21910.2.1 Introduction: The Stock–Recruitment Relationship 21910.2.2 Randomness 22010.2.3 Uncertainties in Data and Parameters 22110.2.4 Structural Uncertainty 22210.3 Linking Uncertainty and Dynamics 22411 Conflict in Fishery Systems 22711.1 Conflict over Priorities: Fishery Paradigms 22911.1.1 The Conservation Paradigm 23011.1.2 The Rationalisation Paradigm 23011.1.3 The Social/Community Paradigm 23111.1.4 Fishery Paradigms in Practice: Efficiency and Allocation 23211.2 A Typology of Fishery Conflicts 23411.2.1 Fishery Jurisdiction 23511.2.2 Management Mechanisms 23611.2.3 Internal Allocation 23611.2.4 External Allocation Conflicts 23711.2.4.1 Domestic Versus Foreign Fisheries 23711.2.4.2 Fishers Versus Fish Farming (Aquaculture) 23811.2.4.3 The Fishery Versus Competing Industries 23912 Attitudes (The Story of a Fishery Collapse) 24212.1 The Cod Collapse Experience 24212.1.1 The Collapse 24212.1.2 The Aftermath 24312.1.3 Understanding the Collapse 24412.1.4 Recovery? 24512.1.5 The Future 24612.2 Attitudes Underlying the Cod Collapse 24612.2.1 The Role of the Regulator 24712.2.2 Blame for the Collapse 24812.2.3 The Burden of Proof 25012.2.3.1 Stock Assessment 25012.2.3.2 Fishing Gear 25112.2.4 Conservation Can Wait 25212.2.5 The Illusion of Certainty and the Fallacy of Controllability 25412.2.6 Synthesis on Fishery Attitudes 256Part IV Modern Strategies for Fishery Systems 25913 Sustainability and Resilience 26113.1 Sustainability 26213.2 Resilience 26513.3 The Sustainable Development Goals (SDGs) 26813.4 Components of Sustainability and Resilience 26813.5 Sustainability and Resilience of Institutions 27313.5.1 Institutional Sustainability 27313.5.2 Institutional Resilience 27413.5.3 Institutional Effectiveness 27513.6 Sustainability and Resilience within the Fishery System 27713.6.1 Biodiversity 27813.6.2 Fishing Fleets, Capacity, and Subsidies 27913.6.3 Efficiency 28213.6.4 Livelihood Diversity 28313.6.4.1 Encourage Multi-Species Fisheries 28413.6.4.2 Encourage Multiple Sources of Livelihood for Fishers 28413.6.4.3 Diversify (Broaden the Base of) the Fishery-Dependent Economy 28413.6.5 Post-Harvest and Fishing Communities 28513.6.6 Fishery Objectives and Principles 28513.6.7 Managing Conflict 28613.7 Assessing Sustainability and Resilience in Fishery Systems 28713.7.1 Sustainability Indicators 28813.7.2 Resilience Assessment and Indicators 29413.7.3 Developing a Framework of Indicators 29614 Adaptive, Robust, and Precautionary Management 29814.1 Uncertainty and Risk 29814.2 Risk Assessment 29914.3 Risk Management: Analytical Approaches 30014.4 Adaptive Management and Robust Management 30314.4.1 Adaptive Management 30314.4.1.1 Flexibility 30414.4.1.2 Adaptive Management Concepts and Methods 30514.4.2 Structural Uncertainty and Robust Management 30614.5 Moving to Robust, Adaptive Management 30714.5.1 Avoiding the Illusion of Certainty 30714.5.2 Avoiding the Fallacy of Controllability 30814.5.3 Avoiding Lack of Robustness (Using a Management Portfolio) 30914.6 The Precautionary Approach and the Burden of Proof 31314.6.1 Approach Versus Principle 31414.6.2 Implementing the Precautionary Approach 31514.6.3 The Burden of Proof 31614.6.4 Possible Applications of the Precautionary Approach and the Burden of Proof 31614.6.4.1 The Stock–Recruitment Relationship 31714.6.4.2 Over-Fishing Versus the Environment 31714.6.4.3 Habitat Protection 31815 The Ecosystem Approach to Fisheries 32115.1 Rationale for an Ecosystem Approach 32115.2 History of an Ecosystem Approach 32215.3 Scope of an Ecosystem Approach 32515.4 The Ecosystem Approach to Fisheries (EAF) 32815.5 Implementing EAF 33015.5.1 Principles 33115.5.2 Entry Points 33215.5.3 Resources for Implementation 33315.6 Implementing EAF: Human Dimensions 33415.6.1 Components of Human Dimensions 33515.6.1.1 Social 33515.6.1.2 Cultural 33615.6.1.3 Economic 33615.6.1.4 Political 33615.6.1.5 Legal and Institutional 33615.6.2 Human Dimensions Across Scales 33716 Rights-Based Approaches to Fisheries Management 34116.1 The Rationale for Fishery Rights 34116.2 Use Rights 34216.3 Management Rights 34516.4 Use Rights and Management Rights in Context 34616.5 Rights Versus Ownership 35016.6 The Commons 35116.7 Human Rights 35316.8 Practicalities of Use Rights 35816.9 Forms of Use Rights 35916.9.1 Customary Tenure/Territorial Use Rights in Fishing (TURFs) 35916.9.2 Limited Entry 36316.9.3 Effort (Input) Rights 36416.9.4 Catch (Output) Quotas 36616.9.4.1 Individual Quotas and ITQs 36716.9.4.2 Concerns with ITQs 36916.9.4.3 Community Quotas 37016.9.5 Community-Based Use Rights 37116.10 Use Rights Issues: Initial Allocation 37416.11 Use Rights Issues: Transferability 37516.11.1 Efficiency 37616.11.2 Social Cohesion 37716.11.3 Concentration of Rights 37716.12 Choosing a Use Rights System 37917 Co-management and Community-Based Management 38217.1 Fishery Co-management 38217.1.1 Who Is Involved in Co-management? 38317.1.2 Goals of Co-management 38617.1.3 Forms of Co-management 38617.1.3.1 Fisher–Government Co-management 38717.1.3.2 Community-Based Co-management 38817.1.3.3 Multi-Stakeholder Co-management 39117.1.4 Levels of Co-management 39317.1.5 Co-management and Components of Fishery Management 39517.1.6 Discussion 39717.2 Community-Based Fishery Management 39717.2.1 What Is Community-Based Fishery Management? 39817.2.2 Rationale for Community-Based Fishery Management 39917.2.3 What Is Involved in Community-Based Fishery Management? 40017.2.4 Experiences with Community-Based Fishery Management 40117.2.5 Community-Based Conservation 40317.2.6 Community Science 40617.2.7 Factors of Success in Community-Based Fishery Management 407Part V Fisheries and the Bigger Picture 41118 Fisheries and Marine Protected Areas 41318.1 Fishery Closed Areas 41318.2 Nongovernmental (Informal) Protected Areas 41418.3 Marine Protected Areas and OECMs 41518.4 International Agreements 41718.5 Types of MPAs and OECMs 41818.5.1 No-Take MPAs 41918.5.2 Zoned MPAs 41918.5.3 Local/Community MPAs 42118.5.4 Large-Scale MPAs 42218.5.5 MPA Networks 42218.6 Design of MPAs 42318.7 Fishery Benefits and Costs of MPAs and OECMs 42418.7.1 Examples of Possible Benefits of MPAs 42518.7.2 Examples of Possible Costs of MPAs 42518.8 Interactions of MPAs and OECMs with Fisheries 42618.8.1 Objectives 42718.8.2 Policy Linkages 42818.8.3 Governance 42818.8.4 Rights 42918.8.5 Participation and Co-management 42918.8.6 Community-Based Approaches 43118.8.7 Knowledge 43218.8.8 Livelihoods 43218.9 MPAs as a Fisheries Management Tool 43319 Fisheries and Biodiversity Conservation 43719.1 Introduction 43719.2 A Brief History of Biodiversity Conservation in a Fishery Context 43719.3 Fisheries and Endangered Species 43919.3.1 Bycatch 44019.3.2 Turtles 44119.3.3 Marine Mammals 44219.3.3.1 Baleen Whales 44219.3.3.2 Dolphins 44319.3.3.3 Seals 44419.3.4 Seahorses 44419.4 Fisheries and Biodiversity Conservation 44519.4.1 The Fisheries ‘Stream’ and the Biodiversity Conservation ‘Stream’ 44619.4.2 Tensions Between the Fisheries and Biodiversity Streams 44719.4.3 Common Ground of Fisheries and Biodiversity Conservation 44819.5 Opportunities Across Scales for Linking Fisheries and Biodiversity Conservation 44919.5.1 Global 44919.5.2 Regional 45119.5.3 National 45119.5.4 Local 45219.6 Incentives and Opportunities 45319.7 CBD and IPBES 45420 Fisheries and Multi-Sectoral Management 45620.1 Fisheries, Competing Uses and the Need for Management of Multiple Sectors 45620.2 Integrated Management 45920.3 Marine Spatial Planning 46220.4 Ocean Zoning 46420.5 Blue Economy 46620.6 Some Common Features of Multi-Sectoral Approaches 46720.6.1 Rationale 46720.6.2 Institutional Framework 46720.6.3 Spatial Delimitation 46820.6.4 Scale 46820.7 Fisheries and Multi-Sectoral Management 46820.7.1 Benefits of Linking Fisheries and Multi-Sectoral Management 46820.7.1.1 Dealing with Externalities 46920.7.1.2 Highlighting the Fishery Voice 46920.7.1.3 Spatial Management 46920.7.2 Concerns in Fisheries about Multi-Sectoral Management 47020.7.2.1 Access and Power 47020.7.2.2 Funding 47020.7.2.3 Time Constraints 47020.7.2.4 Dilution 47120.7.2.5 Environmental Concerns 47120.7.3 Linking Fisheries and Multi-Sectoral Management 47320.7.3.1 Objectives 47320.7.3.2 Values 47320.7.3.3 Boundaries 47420.7.3.4 Spatial and Organisational Scale 47520.7.3.5 Institutions 47720.7.3.6 Human Angles and Participatory Approaches 47720.7.3.7 Benefits and Costs 47820.7.3.8 Knowledge 47921 Fisheries and Climate Change 48121.1 Impacts of Climate Change 48121.1.1 Physical, Chemical, and Biological Impacts of Climate Change 48221.1.2 Effects of Climate Change on Human Dimensions of the Fishery System 48221.1.3 Differential Impacts of Climate Change 48521.2 Vulnerability and Adaptive Capacity 48621.3 Responses to Climate Change: Mitigation and Adaptation 48721.4 Responses to Climate Change: Mitigation 48921.5 Responses to Climate Change: Adaptation 49021.5.1 Types of Adaptation 49221.5.2 Community-Based Adaptation 49421.5.3 Differential Impacts and Benefits of Climate Adaptation 49621.5.4 Adaptation of Fishery Management and Governance to Climate Change 49821.5.5 Making Management and Governance more Adaptive, Flexible, and Robust 500Part VI Conclusions 50322 Sustaining Fisheries into the Future 50522.1 A Review of Fishery Systems 50522.2 A Review of Fishery Sustainability and Resilience 50622.3 Making Fishery Governance and Management Effective 50722.3.1 Institutions 50722.3.2 Robust, Adaptive, and Precautionary Management 50822.3.3 Ecosystem Approach to Fisheries 50922.3.4 Rights 50922.3.5 Co-management 51022.3.6 Community-Based Management 51022.4 The Bigger Picture Around the Fishery System 51122.4.1 Fisheries and Biodiversity Conservation 51122.4.2 Fisheries, MPAs, and OECMs 51222.4.3 Fisheries and Multi-Sectoral Management 51222.4.4 Fisheries and Climate Change 51322.5 A Closing Note 514Appendix A Atlantic Canada’s Groundfish Fishery System 516Appendix B Models of Fishery Systems 524Appendix C Developing a Framework of Fishery Indicators 538References 547Index 630