Pomeroy Et Al 2001

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Marine Policy 25 (2001) 197–208

Conditions affecting the success of fisheries co-management:


lessons from Asia
Robert S. Pomeroya,*, Brenda M. Katonb, Ingvild Harkesc
a
World Resources Institute, 10 G Street, NE, Washington, DC 20002, USA
b
Asian Development Bank, Manila, Philippines
c
Institute of Fisheries Management, North Sea Centre, Hirtshals, Denmark
Received 24 January 2001; accepted 8 March 2001

Abstract

The purpose of this paper is to present results from the first five-year phase of a large fisheries co-management research project
implemented by the International Center for Living Aquatic Resources Management (ICLARM) and the Institute of Fisheries
Management (IFM), with national partners in Asia and Africa. More specifically, the paper will present results of conditions which
affect the success of co-management as identified through the project’s research activities in Asia. The 18 conditions identified as
being of high importance for success are grouped into three categories: supra-community level, community level, and individual and
household level. r 2001 Elsevier Science Ltd. All rights reserved.

Keywords: Co-management; Asia; Fisheries

1. Introduction The purpose of this paper is to present results from


the first five-year phase of a large fisheries co-manage-
Over the last 15 years, research undertaken at ment research project implemented by the International
different locations around the world has documented Center for Living Aquatic Resources Management
many cases, both successful and unsuccessful, of co- (ICLARM) and the Institute of Fisheries Management
management in fisheries and other coastal resources [1– (IFM), with national partners in Asia and Africa. More
7]. From the results of this research, conditions are specifically, the paper will present results of conditions
emerging which are central to developing and sustaining which affect the success of co-management as identified
successful co-management arrangements [8–11]. The list through the project’s research activities in Asia. These
is long and varied, and is growing. Research and research results represent just one set of results from the
practical experience is continuing to reveal more about various activities of the project.
co-management arrangements and the factors affecting This paper will begin with a brief overview of the
their successful implementation and performance. It Fisheries Co-management Research Project. This will be
should be noted that these conditions are not absolute followed by a discussion of data sources for the paper.
or complete. There can still be successful co-manage- Conditions affecting success, grouped into three cate-
ment without having met all of the conditions. However, goriesFsupra-community level, community level, and
consensus is growing that the more of these conditions individual and household levelFwill be presented next.
that are satisfied in a particular situation, the greater the The paper will finish with a discussion of policy
chances for successful implementation of co-manage- implications for fisheries co-management.
ment.

2. The Fisheries Co-management Research Project


*Corresponding author. Tel.: +1-202-729-7623; fax: +1-202-729-
7620. In 1994, the ICLARM in Manila, Philippines and the
E-mail addresses: rpomeroy@wri.org (R.S. Pomeroy), ihth@ IFM at the North Sea Centre in Hirtshals, Denmark, in
hotmail.com (I. Harkes). collaboration with National Research Partners (NARs)

0308-597X/01/$ - see front matter r 2001 Elsevier Science Ltd. All rights reserved.
PII: S 0 3 0 8 - 5 9 7 X ( 0 1 ) 0 0 0 1 0 - 0
198 R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208

in several countries in Asia (Philippines, Vietnam, practical understanding and experience into the ap-
Thailand, Malaysia, Indonesia, and Bangladesh) and proaches, institutional arrangements, performance, and
Africa (Malawi, Zambia, Zimbabwe, Mozambique, legal and policy factors affecting implementation of
South Africa, Benin, Cote d’Ivoire, and Senegal), fisheries co-management. The country research made
initiated the five-year Fisheries Co-management Re- use of a variety of research activities, including historical
search Project in 1994. The collaboration between reviews of co-management experiences, case study
ICLARM, IFM, and NARs was based on a mutual analysis, impact evaluations of co-management arrange-
interest to gain practical experience in research in ments, hypothesis testing of advantages or benefits of
fisheries co-management, to demonstrate its applicabil- co-management, government legal, institutional and
ity as a sustainable, equitable and efficient management policy analysis, pilot sites, and workshops. The country
strategy under varying conditions; and to develop research was conducted in collaboration with NARs
strategies and processes for use and adoption by partners. The third component, information exchange,
governments, fishing communities, NGOs and others. was a networking and training activity among and
The project was funded by the Danish International between the research partners.
Development Agency (Danida). Additional funding was The research project made use of a comparative
obtained from the United States Agency for Interna- analytical approach, relying on a common research
tional Development, International Development Re- strategy and research framework for use in each partner
search Centre (Canada), Netherlands Development country and resource system, in order to integrate and
Cooperation, and Swedish International Development improve the understanding and implementation of co-
Cooperation Agency. A second, five-year phase of the management strategies [13]. The institutional analysis
project was started in January 1999. research framework provided for a structured approach
Through the project, general principles and condi- to examining and documenting the origin, current
tions that facilitate successful fisheries co-management status, operation, and performance of fisheries co-
were to be identified and documented at both the management systems. Institutional analysis, which
national government and community/fisher organiza- examines how institutional arrangements, the set of
tion levels. While fisheries co-management may not be a rights and rules by which a community organizes
viable alternative fisheries management strategy for all activities and which affect user behavior and incentives,
countries and fishing communities, the research project provides the basic research framework for studying
would establish in what situation it can prove to be a fisheries co-management institutions. The use of the
sustainable, equitable and efficient management strat- common framework allowed for data to be collected
egy, and recommend how it can be successfully and analyzed in a standardized format, the results to be
implemented. Specific methodologies and guidelines compared, and generalizations made about fisheries co-
for implementing fisheries co-management at the na- management arrangements for use within the country
tional government and community/fisher organization and shared with other countries worldwide
levels would be available for use by the target
beneficiaries.
The research activities of the fisheries co-management 3. Data sources
project were conducted through three components:
(1) comparative case studies of fisheries co-management; Data for this section comes from research undertaken
(2) country research; and (3) information exchange. The by ICLARM staff and NARs partners in the Philip-
first component, comparative case studies, made use of pines, Vietnam, Thailand, Malaysia, Indonesia, and
secondary data sources such as project reports, research Bangladesh. Over 45 individual research projects and
reports, NGO reports, scientific journal articles and activities were undertaken during the life of the project.
other published materials, to gain insights into ap- These research projects and activities include:
proaches, processes, performance, results, and impacts
of co-management at both national government and (1) Reviews of community-based coastal resource
community levels. This research component resulted in a management and co-management experiences
scientific journal article by Sen and Raakjaer-Nielsen Vietnam [14–16]
[12]. The second component, country research, was a Philippines [17]
comparative assessment to evaluate and document the Indonesia [18]
approaches and processes of fisheries co-management Thailand [19]
implementation and performance results at the commu- Asia [20]
nity/fisher organization level, and to examine the legal, Worldwide [12]
policy and administrative conditions for fisheries co- (2) Case study analysis
management at the national government level. The Bangladesh [21,22]
purpose of the country research was to gain detailed and Thailand [23]
R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208 199

Indonesia [24,25] isms; and provide fisher groups or organization the legal
Vietnam [26] right to organize and make arrangements related to its
Philippines [27–35] needs. The legal process formalizes rights and rules and
(3) Impact evaluation of co-management arrange- legitimizes local participation in co-management ar-
ments [36] rangements.
(4) Hypothesis testing of advantages or benefits of co- If supportive legislation and policies are in place,
management [37–41] partners tend to have less difficulty in asserting their
(5) Government legal, institutional and policy analysis rights and roles, particularly if the judicial system is fair
[42–49] and objective. The legal basis for the resource user’s
(6) Meetings and workshops [50–56] participation in resource management is vital and must
address fundamental concerns, which include: (1) who
has the right to use the resource; (2) who owns the
resource; and (3) what is the legal framework for
4. Conditions affecting the success of fisheries implementing co-management arrangements. The ar-
co-management rangements may be undermined in the absence of a legal
basis. The role of the government in establishing
The conditions will be grouped according to three conditions for co-management is crucial, particularly
categories of contextual variables identified by Pollnac in the creation of legitimacy and accountability for
[36]. The three categories are: institutional arrangements and the delineation of power
sharing and decision making [45].
1. Supra-community levelFSupra-community condi-
In the Philippines, the enactment of the Local
tions affecting the success of fisheries co-management
Government Code of 1991 (LGC) ushered in the formal
include those that are external to the community,
devolution of powers and responsibilities from the
including enabling legislation and supportive govern-
central government to the local government units and
ment administrative structures at the national level,
people’s organizations. The changed administrative
and markets. They can also include demographic
arrangements resulting from the LGC have created a
factors and technological change.
supportive environment for co-management to prosper
2. Community levelFCommunity level conditions af-
[31]. An administrative power shift placed local govern-
fecting the success of fisheries co-management include
ments at the forefront of coastal resource management
those found within the community and include both
[33]. At the local level, the passage of complementary
the physical and the social environment in terms of
ordinances and the integration of sustainable resource
potential relationships with fisheries and coastal
management in local policies and plans have further
management.
enhanced co-management efforts. The Fisheries Code of
3. Individual and household levelFThe individual is
1998 further defined and strengthened these authorities
responsible for making the decision to carry out co-
and responsibilities.
management. Individual and household decision
making and behavior is thus central to the success
4.1.2. External agents
of co-management.
External change agents are often needed to expedite
It should be noted that this is not a comprehensive list the co-management process. Change agents may come
of conditions, but reflects those conditions that the from NGOs, academic or research institutions, religious
authors feel, based on the research, are of high organizations, government agencies, and project teams
importance for success of fisheries co-management in [31–34]. These external agents assist the community in
Asia. defining the problem; provide independent advice, ideas,
and expertise; provide training and technical assistance;
4.1. Supra-community level guide joint problem solving and decision making; and
assist in developing management plans. External agents
4.1.1. Enabling policies and legislation fill a special role in terms of drawing out insights with a
If co-management initiatives are to be successful, participatory style of facilitation, processing the in-
basic issues of government action to establish supportive sights, and guiding the community in reaching its goals.
legislation, policies, rights, and authority structures Their willingness to live in the community to work with
must be addressed. Policies and legislation need to spell local people, ability to focus on community objectives
out jurisdiction and control; provide legitimacy to and their linkages with donors and other supportive
property rights and decision-making arrangements; organizations are among the factors which favor their
define and clarify local responsibility and authority; catalytic role.
clarify the rights and responsibilities of partners; The external agent should be objective and serve a
support local enforcement and accountability mechan- catalytic role in the development process. The external
200 R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208

agent should not directly interfere in the process, but 4.2.2. Membership is clearly defined
may guide or provide information on how to proceed in The individual fishers or households with rights to fish
the process or with a policy. Documented experiences in the bounded fishing area, to participate in area
underscore the role of external agents in setting in place management, and to be an organization member should
a process of discovery and social learning. These be clearly defined. The number of fishers or households
catalysts open the eyes of resource users, stakeholders, should not be too large so as to restrict effective
and partner organizations to pressing issues, urge them communication and decision making. In Bangladesh,
to search for appropriate solutions, and challenge them membership in the lake fisheries teams of the Oxbow
to take collective action [31–34]. The external agent Lakes was clearly defined to include those fishers living
should have a temporary relationship with the co- around the lake [21].
management process, serving their particular function
and then phasing out. However, the recruitment of 4.2.3. Group homogeneity
external agents, such as NGOs, may not always be ideal The fisher group or organization permanently resides
in establishing co-management. The staff may be young near the area to be managed. There is a high degree of
and may not readily be accepted by traditional societies. homogeneity, in terms of kinship, ethnicity, religion or
Some of them may have ideological views on develop- fishing gear type, among the group. Group size, in terms
ment that may not be acceptable to the community or of the number of individuals involved in the manage-
the government. Others may be reluctant to involve the ment arrangements, is relatively small. There were many
government and the business community even though communities in Vietnam, Thailand, Indonesia, and the
they are stakeholders in resource management. They Philippines, where successful co-management was de-
may also lack funds to finance continuing operations. pendent on the high level of socio-economic and cultural
homogeneity of the community. This does not mean,
4.2. Community level however, that co-management projects cannot succeed
in socio-economically and culturally heterogeneous
4.2.1. Appropriate scale and defined boundaries communities [36]. In the Oxbow Lakes of Bangladesh,
The scale for co-management arrangements may vary Muslim and Hindu fishers were able to work together on
a great deal but should be appropriate to the area’s the lake fisheries teams [21]. In the village of San
ecology, people, and level of management. This includes Salvador in Zambales, Philippines, successful co-man-
the size of the physical area to be managed and how agement occurred despite marked differences in ethnicity
many members should be included in a management and fishing gear [31].
organization so that it is representative, but not too
large, so as to be unworkable. Decisions on physical 4.2.4. Participation by those affected
scale include not only the boundaries of the area to be Most individuals affected by the co-management
managed, but also the species or ecosystem level to be arrangements are included in the group that makes
managed. The scale of the management unit should be decisions about and can change the arrangements. In the
appropriate to human resources and the ecology of the Oxbow Lakes of Bangladesh, the lakes fisheries teams
area. Boundaries should be distinct so that the fishers allowed all members to have equal voting rights in
have an accurate knowledge of them, can easily observe making management decisions [21]. In San Salvador
them, and are of a size which fits with available fishing Island and Malalison Island, Philippines, all members of
and monitoring and surveillance technology. The the fisher organization were involved in making and
boundaries of the area to be managed are often changing the rules [31,32].
established based on political criteria, but where
possible, should also reflect ecosystem considerations. 4.2.5. Leadership
In terms of members, it is observed that small groups are Local leadership is a critical condition for success of
more manageable than larger groups [57]. In co- co-management. Local leaders set an example for others
management, where a great number of people may be to follow, set out courses of action, and provide energy
involved, it is wise to divide them into smaller groups to and direction for the co-management process. While a
facilitate and enhance supervision, control, and manage- community may already have leaders, they may not be
ment. In general, a limited scale (both in terms of the correct or appropriate leaders for co-management.
membership and jurisdiction) will support participatory Local elite may be the traditional leaders in a commu-
democracy and therefore enhance co-management given nity, but they may not be the appropriate leaders for a
that the management structure has appropriate stature co-management effort. Leaders may need to be drawn or
and power to initiate the process. Expansion of scale is developed from the ranks of the community, including
easier once initial activities succeed and are sustained, resource users. These individuals may be more accep-
that is, start small and simple and show results early table and respected by their peers. In Bangladesh, the
[58]. local leaders of the baors were identified and elected by
R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208 201

the fishers. Leader’s term of office were limited so as to range of actions including enhancing community access
give others the chance to gain leadership skills and to to information and services, ensuring community
reduce the possibility of corruption [21]. Reliance on one participation, consciousness raising of the people,
individual as a leader can be a problem. In certain business and enterprise management skills, and gaining
Philippine cases, projects failed when the leader died, control over the utilization and management of natural
left political office, or left the area because there was no resources. Empowerment can be considered as an
one to take the leader’s place [33]. The external change individual and a community desire for change. Indivi-
agents must not act as leaders because the community dual empowerment leads to community empowerment.
will become dependent upon them. The community The empowerment process must be balanced since it
must look inward to develop local leadership itself. may have differential impacts on the community leading
Training and education efforts must strive to build and to not a balance of power but simply a redistribution of
develop leadership skills among a variety of individuals power elite. There is a tendency for rural power
in the community so that the co-management activity structures to gain control over resources. The shifting
does not become dependent on any one person. power holders can easily hijack co-management. Em-
Documented experiences affirm that locally recruited powerment reduces social stratification and allows
and trained leaders, both formal and informal, are a groups in the community to work on a more equal level
potent force in mobilizing residents for collective with the local elite [21,22].
endeavors, spearheading awareness campaigns and out- Empowerment is only functional if it is based on the
reach efforts, and motivating stakeholders to take action socio-cultural and political context of the community.
[31,36]. The co-management process needs to adopt a gender-
Core group formation is strategic in identifying and balanced perspective, and must acknowledge the posi-
developing leaders [58]. Core groups, a sub-unit of a tion of women. Women should be given the opportunity
larger community organization, should be established to develop themselves and actively participate in the co-
early in the co-management process. The members of management process [52].
the core group may be drawn from committed Empowerment at the individual and collective levels is
individuals in the community who consistently partici- enhanced by capacity building through education and
pate in co-management activities and who share a training efforts that raise the level of knowledge and
concern for sustainable resource management. Core information of those involved in the co-management
groups normally take responsibility for the initial process. Inadequate investment in capacity building may
implementation of co-management strategies or for condemn the co-management effort to failure. Co-
specific activities. From their ranks, capable leaders management often requires a conscious effort to develop
often emerge to guide present and future undertakings and strengthen the capability of the partners for
collective action, cooperation, power sharing, dialogue,
4.2.6. Empowerment, capacity building, and social leadership, and sustainable resource management.
preparation Coastal villagers may not always have a tradition of
The economic and political marginalization of coastal collective action. Functioning organizations of resource
communities has led to the problems of poverty and users may not be in place. Moreover, the range of skills
resource degradation. Addressing marginalization re- and knowledge that are required to address the complex
quires empowerment of community members and the dimensions of resource management might not be
transfer of economic and political power from a few to adequate. In these cases, capability building is a must.
the impoverished majority. By transferring the access To reverse the effects of destructive fishing practices,
and control of resources from a few to the community at change non-sustainable practices, or provide viable
large, the community is gradually empowered in the alternatives; people must learn new management skills
economic realm. Simultaneously, political empower- and new technologies. Partners need to be equipped with
ment ensues as community management and controls knowledge, skills, and attitudes to prepare them to carry
over the resource are effectively operationalized [59]. out new tasks and meet future challenges [36]. Capacity
Empowerment allows communities to be free from building must address not only technical and managerial
many of the bureaucratic requirements of government’s dimensions but also attitudes and behavioral patterns.
central administrative agencies. Training and education may include leadership, situa-
Individual and community empowerment is a central tion analysis and problem solving, consensus building,
element of co-management. Empowerment is concerned value reorientation, basic biology and ecology, technol-
with capability building of individuals and the commu- ogy application, livelihood and enterprise management,
nity in order for them to have greater social awareness, conflict management, advocacy, facilitation, network-
to gain greater autonomy over decision making, to gain ing, ecological and socio-economic monitoring and
greater self-reliance, and in establishing a balance in evaluation, and legal/para-legal, among others. In the
community power relations. Empowerment covers a Philippines and other Asian countries, the experience
202 R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208

affirms that capability building strengthens the con- management arrangements. The case studies in the
fidence and sense of empowerment of resource users and Philippines, for example, show this quite clearly. In
partners. Providing opportunities to visit communities those communities where the political elite were not
with successful resource management projects also helps included in the process or were opposed to the project
create the enthusiasm and the motivation to embark on for some reason, the interventions failed to be sustained
similar activities in their own community [31]. Capacity after the project ended [36]. In addition to the political
building, moreover, enables local residents to sustain elite, local government staff must endorse and actively
resource management interventions and pursue new participate in the co-management process. Local gov-
initiatives. ernment can provide a variety of technical and financial
Linked to empowerment is social preparation and services and assistance to support local co-management
value formation. The inability to sustain co-manage- arrangements such as police, conflict management,
ment may be partly attributed to the insufficient time appeal mechanism, and approval of local ordinances.
allocated to the social preparation phase of the process
and to rapport building and value formation in the 4.2.9. Property rights over the resource
community. Social preparation should always precede Property rights, either individual or collective, should
technical and material interventions. Cutting corners address the legal ownership of the resource and define
during the social preparation phase to yield to pressures the mechanisms (economic, administrative, and collec-
to produce material accomplishments is likely to weaken tive) and the structures required for allocating use rights
the foundation for self-reliance in the community. Good to optimize use and ensure conservation of resources,
social preparation is manifested in positive attitudes and the means and procedures for enforcement. The
toward collective action and in the readiness of case studies in the Philippines show that when user
community members to take on responsibility for rights are specified and secure (such as with a mangrove
resource management and decision making [36]. certificate of stewardship contract), there is a change in
the behavior and attitude of the resource user toward
4.2.7. Community organizations conservation and a much greater chance that the
The existence of a legitimate community or people’s intervention will be maintained. Without legally sup-
organization is vital means for representing resource ported property rights, resource users have no standing
users and stakeholders and influencing the direction of to enforce their claim over the resource against out-
policies and decision making. These organizations must siders. In most cases, local initiatives require active
have the legal right to exist and make arrangements collaboration with government to protect and enforce
related to their needs. They must be allowed to be user rights [36]. Local interventions were sustained
autonomous from government. The organization will where property rights existed, were clear, and were
need to be recognized as legitimate by the community enforced [36].
members and stakeholders, not just be a government-
established organization, to carry out its mandate. 4.2.10. Adequate financial resources/budget
In the Philippines, the formal recognition by the Co-management requires financial resources to sup-
government of the role of resource users as valuable port the process. Funds need to be available to support
partners in co-management is established through the various operations and facilities related to planning,
LGC of 1991 and the Fisheries Code of 1998. People’s implementation, coordination, monitoring, and enforce-
organizations are formally allowed to enter into partner- ment, among others. Funding, especially sufficient,
ships with local government units on a broad range of timely, and sustained funding, is critical to the sustain-
activities [31]. The more successful co-management ability of co-management efforts [61]. In many instances,
projects in the Philippines were those where organizing resource user organizations are unable to continue
is not a prerequisite, but rather the community existing programs or start new ones due to limited
organization evolved after the people recognized the financial resources that members can raise on their own.
need for it to address a collective concern [60]. Often co-management projects which are initiated and
funded from outside sources fail when the project
4.2.8. Long-term support of the local government unit finishes due to the inability of the partners to fund the
The cooperation of the local government and the local activities. Funds also need to be made available on a
political elite is important to co-management. There timely basis to sustain and maintain interventions. The
must be an incentive for the local politicians to support co-management arrangements must be supported and
co-management. There must be political willingness to accepted so those partners will be confident enough in
share the benefits, costs, responsibility, and authority for the process to invest their own funds and time. Co-
co-management with the community members. Co- management must be designed from the start with a
management will not flourish if the local political secure internal budget source. Community members will
‘‘power structure’’ is opposed in any way to the co- need to invest their own financial resources in the
R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208 203

process. Too much dependence on external sources will Lakes of Bangladesh, trust was developed among the
impact upon sustainability of the arrangements [17]. fishers by upholding the rules. Those individuals who
consistently disobeyed the rules were dismissed from the
4.2.11. Partnerships and partner sense of ownership of fisher organization [21].
the co-management process Providing forums for discussion are fundamental to
Active participation of partners in the planning and developing trust among partners. A process must be
implementation process is directly related to their sense developed to understand needs and expectations of all
of ownership and commitment to the co-management partners. Decisions must be made in a context of mutual
arrangements. Partners involved in co-management respect, where the partners respect each other’s concerns
need to feel that the process not only benefits them, needs and knowledge. In some cases, needs and
but that they have a strong sense of participation in, expectations may not be straightforward. Values held
commitment to and ownership of the process. External by different groups, including cultural, religious, and
agents working to plan and implement the co-manage- traditional beliefs, must be respected. Public discussions
ment arrangements must allow the partners to recognize that encourage a free and non-threatening exchange of
themselves as the owners and directors of the process. information foster effective communication. Dialogue
Early and continuous participation of partners in clarifies an understanding of needs, expected roles,
planning and implementation of co-management is extent of responsibility sharing among partners, and
related to success [36]. It allows partners to demonstrate expected benefits and costs in the short- and long-term,
their commitment to the process. Not only does this type among others [32].
of involvement serve to adapt activities to local needs,
but partners also gain a better understanding of the 4.2.12. Accountability
problems involved in implementation and a greater Co-management means having a process in which
sense of empowerment and confidence. Objectives need business is conducted in an open and transparent
to be developed jointly by the partners and external manner. All partners must be held equally accountable
change agents. for upholding the co-management agreement. The
Partnerships in co-management must grow out of a partners have common access to information. Venues
mutual sense of commitment [61]. Adequate coordina- are provided for public discussion of issues and to reach
tion, communication, and consultation are necessary, consensus. There needs to be accepted standards for
especially with multiple partners. It is important to have evaluating the management objectives and outcomes.
clarification about each other’s role, goals, purpose, Without strong accountability, decision making can
operation, style, and limitations [17]. The process of become corrupt and arbitrary [60,62]. A body outside of
clarification must take place through equitable dialogue the community, such as government or an NGO, may
and partnerships. When the actions of collaborating need to monitor and evaluate the co-management
partners are not synchronized and consistent, resource process. This outside body can serve to provide checks
users see too many role ‘‘players’’ and this may lead to and balances to make the process more accountable in a
misconceptions and wrong expectations, and eventually formal way. Formal agreements will require a structure
hamper success. Thus, an appropriate operational for legal accountability among the partners.
structure and agreement should always be developed
based on the needs of co-management arrangement so 4.2.13. Conflict management mechanism
that coordination between partners will be effective Arbitration and resolution of disputes are imperative
without being too costly to the structure. when conflicts arise over co-management and institu-
No co-management arrangement can survive unless a tional arrangements. If resource users are to follow
relationship of trust and mutual respect is developed rules, a mechanism for discussing and resolving conflicts
and maintained between the partners. The establishment and infractions is a must. There is a need for a forum for
of trust between partners usually takes a long time to resource users to debate and resolve conflicts and to
develop and takes concerted effort by the partners. appeal decisions. Conflict management should be
There is some risk involved by the partners in conducted at the local level where solutions can be
participating in co-management. Fishers usually have a found quickly. It is often useful to have a mediator who
low level of trust of government, for example. Trust will can objectively assess and propose solutions to the
require the development of good communication conflict. While the government can act as an outside
channels and open and ongoing dialogue. Meeting mediator for local conflicts and as an appeal body,
objectives and mutually agreed targets enhances trust. heavy reliance on the government to resolve conflicts is
These actions reduce risk and stimulate partner cohesion not good. Co-management thrives in a situation where
that will have a positive effect on building trust. This can forums and appeal bodies are available for deliberation
be started in the early stages of the co-management and conflict resolution. The Philippine and Bangladesh
process and strengthened over time. At the Oxbow experiences show that conflict management tends to be
204 R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208

less problematic when the resource users are involved in portant and can be useful in increasing compliance.
rule formulation and enforcement and when sanctions Local enforcement efforts may need to be backed up by
are imposed on the rule violators [21,32,33]. government enforcement bodies to ensure objectivity. It
may be necessary to have government law enforcement
4.2.14. Clear objectives from a well-defined set of issues agencies involved in dealing with outsiders in order to
The clarity and simplicity of objectives helps steer the have better cooperation.
direction of co-management. Partners need to under- The motivation to comply with regulations depends
stand and agree on the issues to be addressed, know upon rational decisions where the expected benefits of
what must be achieved, where the activities are headed violating the rules are measured against the risk of
and why. Clear objectives developed from a well-defined getting apprehended and fined. It is also linked to socio-
set of issues are essential to success. Those involved in cultural mechanisms that regulate behavior (fear of
the co-management process must see and agree that the ancestral spirits, social exclusion, and moral obligation).
issues are important to their daily existence. The co- A key variable for determining compliance is the
management process may involve multiple objectives individual perspective of the fairness and appropriate-
and multiple implementation strategies. These should be ness of the law and its institutions [37]. The willingness
prioritized, and linked where possible. to comply is linked to the perceived legitimacy of the
Fundamental to co-management is a common under- authorities charged with implementing the regulations.
standing of the situation, comprehension of the root Local enforcers (bantay dagat in the Philippines, kewang
causes of the problems and the issues, and an agreement in Indonesia) can be very effective provided they are
on appropriate solutions to the identified problems. formally legitimized. Rules should be simple, so those
Fisheries tend to be better managed when resource affected by them can easily understand and comply.
users, stakeholders, and partner organizations have a There needs to be good communication between the
good grasp of why they are managing the resource and enforcement unit and the resource user group. The co-
what results are envisaged [31]. management process is put in jeopardy if even one
One of the major reasons for failure of certain partner fails to comply, even in part, with the agree-
community-based management projects in the Philip- ment.
pines is lack of problem recognition by resource users.
This may sound like a simple issue but due to the top– 4.3. Individual and household level
down approach of many co-management projects, the
resource users are really not active but passive recipients 4.3.1. Individual incentive structure
of project interventions. The project objectives are The success of co-management hinges directly on an
conceptualized outside the community and without true incentive structure (economic, social, and political) that
community participation. As such, the resource users induces various individuals to participate in the process.
may not fully recognize the problem in the same way as Such individuals may include a resource user, a resource
the external change agent. The resource user may also stakeholder, a government fishery manager, or a
work with the project only for what they can get out of politician. Individuals must have a sense that the rules
it, not fully participating for long-term success. Of in place are equitable and there must be sharing of costs
course, this is not always the situation. In some cases, and the benefits. Individuals must feel that the benefits
the resource users recognize that there is a problem and to be obtained from participation in the co-management
take the initiative for action themselves. arrangements, including compliance with rules, will be
greater than the costs of such activities. The co-
4.2.15. Management rules enforced management process often involves giving up individual
The management rules are simple. Monitoring and short-term benefits for real and perceived longer-term
enforcement are effected and shared by all fishers. The benefits. For the individual, the costs of decision
research found that enforcement of management rules making, especially in terms of the time involved, cannot
was of high importance for success of co-management. be too high or participation will fall. Often, the short-
In San Salvador Island, Philippines, the fishers shared term costs are high in terms of lost income or voluntary
responsibility for guarding the marine sanctuary which labor. For a poor fisher with a family to feed, the
led to high levels of enforcement of rules [31]. incentive structure to support and participate in co-
Vigorous, fair, and sustained law enforcement re- management must be clear and large. Risk is involved
quires the participation of all partners. Enforcement can for the individual in changing management strategy.
be carried out separately by an enforcement unit, or in The fisher must understand and agree to the co-
collaboration between local informal or traditional management arrangements. The fisher must recognize
enforcers (church, senior fishers, and local leaders) and an incentive for co-management before the process
formal enforcers (police and coast guard). Community begins and/or need information to further develop their
sanctionsFteaching, example, social pressureFare im- understanding and recognition of the incentive. The
R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208 205

recognition of resource management problems may take their achievements in governance and resource manage-
the form of a progressive decrease in fish catch, ment. Such achievements strengthen their capacity to
disappearance of valuable species, declining mangrove win more votes from a broader base of constituents and
stands, and existence of resource use conflicts. An improve their chances of being re-elected to positions of
impetus is needed to propel co-management forward power and influence.
[45]. In successful cases of co-management in the
Philippines, awareness of resource-related problems
prompted stakeholders to enter into collective action, 5. Policy implications for fisheries co-management
particularly in communities that are heavily dependent
on coastal resources and are vulnerable to non-sustain- The conditions discussed in the section above are
able resource uses [31–33]. This is largely due to the those that have been identified from Asian experience
threats to survival, economic livelihood, and food for the successful implementation of community-based
security that deteriorating resource conditions bring co-management. As mentioned earlier, this is not a
about. comprehensive list. These conditions are meant to serve
The incentive may start as simply as hope for a better as a guide in the planning and implementation of co-
tomorrow, but usually ‘‘matures’’ as the individual gains management. The conditions must be viewed in the
more information and as the process develops over time. distinct political, biological, cultural, technological,
It is often easier and faster to implement co-manage- social, and economic context of the Asian region and
ment arrangements where the resource user recognizes the individual countries. We need to bear in mind the
an incentive for participation on their own and under- role these unique characteristics play in shaping the
takes action rather than when an incentive is presented process and implementation of co-management in Asia.
to a resource user by an external agent. One method to They are different from those in Western societies and
measure that an incentive structure for participation and reflect the so-called ‘‘Asian values’’. Resource manage-
action does exist in a community is when the community ment systems must be viewed in the context of the
members invest their own resources (labor and money) complex interactions of these characteristics that have
in the project. shaped past and present situations and that have a
Different incentive structures appeal to different capacity for influencing the future. These characteristics
individuals. For an individual resource user, the include the small-scale, subsistence-based fisheries, the
incentive may be economic, primarily in terms of higher local community traditions, the social and political
income, food availability or protection of livelihoods structures, the political and economic restructuring that
[21,22]. It may also be social, in the form of higher is occurring in the region, and the need for food security.
prestige among peers or legitimate access to coastal Some of the conditions can be met by means internal
resources [31,32,61]. Co-management arrangements that to the community, while others require external
offer an improvement in these areas are likely to be assistance. The number and variety of conditions
appealing. Economic incentives are also important to illustrates that the planning and implementation of co-
resource stakeholders, such as fish traders and proces- management must be conducted at several levels. These
sors, who are directly dependent on a steady supply of levels include the individual (i.e., individual incentive
fish products for their livelihood. For resort owners, structure); the stakeholder (i.e., stakeholder involve-
dive tour operators, and managers of tourist-related ment, and local political support); the community (i.e.,
businesses, the preservation of coastal ecosystems and fit with existing and traditional social and cultural
the maintenance of clean coastal waters are vital because institutions and structures of the community); the
these have a direct bearing on the earnings they derive partners (i.e., partnerships, coordinating body, and
from those who patronize their businesses. agreements); the government (i.e., government agency
Other resource stakeholders may be motivated by support, enabling policies, and legislation); the external
different incentives. The concern for stable ecosystems, agent; and the overall process (i.e., trust, networking
food security for present and future generations, and advocacy, leadership, organization, and financial
improved living conditions, and equitable property resources).
rights often underlie the motivation of development None of the conditions exist in isolation, but each
advocates, external agents, and individual members of supports and links to another to make the complex
resource management councils. The reduction of con- process and arrangements for co-management work. In
flicts and the streamlining of plans and policies through addition, all of the parties (resource users, stakeholders,
co-management arrangements may motivate govern- external agents, and government) have different but
ment administrators, planners, and policy-makers to mutually supportive roles to play in co-management.
support co-management. The role of government in co-management is often
For politicians, the incentive to support co-manage- associated with the passage of enabling policies and
ment may be rooted in the desire to be recognized for legislation, vigilant and effective enforcement, arbitra-
206 R.S. Pomeroy et al. / Marine Policy 25 (2001) 197–208

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