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