Appendices

Appendix A. An evaluation of the types and levels of fisheries management and the associated research relevant to small-scale fisheries

‘Aspect’ of management	Types	Research questions
Higher level/ overarching approaches and concepts⁷	Sustainable livelihoods approach Ecosystem approach Ecosystem approach for fisheries Multi-sectoral approaches Inter-sectoral approaches Transboundary or regional approaches	What are the strengths and weaknesses of these overarching approaches (case studies, comparative studies and pilot projects) with respect to small-scale fisheries? How does the current organizational structure, at international, regional, national and local levels, influence the effectiveness of these approaches? What alternative structures could improve the effectiveness of these approaches?
Fisheries management approaches⁸	Conventional marine approach (stock assessment based, top-down approach) Traditional/indigenous approach Co-management approach (including self-management) Centralized Decentralized Rights-based approach	What approaches have and are currently working in small-scale fisheries, why and where? What are the appropriate management objectives for small-scale fisheries? Including a review of existing management plans? What are the conditions for success or failure of different approaches to small-scale fisheries? What are the transaction costs and benefits (social, biological and economic) of different approaches? How can we transfer and adapt approaches across small-scale fisheries? What types of innovations in approaches are occurring, or should occur in small-scale fisheries? What are the indigenous/traditional approaches in small-scale fisheries? What are the lessons from other sectors? What planning processes are applicable or effective under the different approaches? What are the roles of the stakeholders and organizations in different approaches and how do they link? Are there fundamental differences between the approaches and their effectiveness in the different habitat types (marine coastal/offshore, large freshwater bodies and small water bodies)?
Tools - Implementation (social, biological, economic) Note: this list is not exhaustive	Social tools Participatory Rural Appraisal Facilitation Communication/awareness Mediation/conflict resolution Social incentives Capacity building (training leaders) Gender focused tools Economic tools Investment Buy-out Compensation Credit Subsidies Post-harvest marketing Taxation Allocation tools · Rights-based (transferable quotas, individual quotas, territorial use rights etc.) · Zonation - closures (temporal, spatial) · Protected Areas · Access limitation · Registration/licensing · Output controls (e.g. catch limits) · Input controls (e.g. gear, vessels) · Habitat alteration and rehabilitation (e.g. artificial reefs, replanting riparian vegetation) · Restocking · Stock enhancement	Which tools work and which do not work and what are their strengths and weaknesses in small-scale fisheries? What are the appropriate conditions for application of different tools in small-scale fisheries? Which tools are appropriate when resources are overexploited in small-scale fisheries? What are the transaction costs and benefits of the different tools in small-scale fisheries? Is there a link between the types of tools and the type of approach in small-scale fisheries? What is the social, economic and biological impact of using different types tools in small-scale fisheries? How long do tools take to show impacts? What gears or improvement in gears is appropriate for small-scale fisheries (responsible fishing gear -e.g. by-catch reduction, eco-friendly)? How much fishery resource is there to allocate and what are its boundaries? What are the alternative (low cost) methods for resource assessment (e.g. indicators)? What are the key issues relating to allocation? Who currently gets the allocation, between and within sectors? What are the alternative/competing uses of the resource or habitat within and outside the fisheries sector (e.g. ecotourism, game-fishing, hydropower, aquaculture, agriculture)? To whom does ‘society’ want to give the allocation, what are the allocation rules and criteria, how is this decided? How do you allocate when the resources are already overexploited? What types of monitoring and evaluation are appropriate for small-scale fisheries? What low data monitoring methods are appropriate for small-scale fisheries? What are the appropriate tools for capacity building, training and increasing awareness in small-scale fisheries? What are the different dimensions of capacity that need to be built? What can be learnt from other sectors (e.g. agriculture, forestry sector)? How can these be modified for the fishery sector? Are different tools more effective for different groups of communities or stakeholders, e.g. with gender, with social strata, with scale, with culture? What are the issues of inter-generational transfer (e.g. mentoring, apprenticeship)?
Monitoring and evaluation of the management approach (are objectives being met?)	Indicators Low cost, simple assessment, low data approaches	What types of social, economic and biological indicators are appropriate for small-scale fisheries and how do the indicators link to the management objectives? What are the types of monitoring and evaluation processes used in small-scale fisheries? Which ones work and why?
Monitoring, Control and Surveillance (MCS) at all levels, in order to ensure your rules and regulations are followed⁹.	Community based (e.g. peer-pressure) Conventional enforcement (e.g. coast guard, police) Technology based (e.g. Vessel Monitoring Systems)	How is MCS done in most small-scale fisheries, from the traditional/indigenous methods to conventional ‘enforcement’? How do approaches to MSC at local and national levels link or interact? What are the most applicable MCS arrangements for small-scale fisheries under the different management approaches and tools? · What are the appropriate conditions for application of different MCS in small-scale fisheries? · What are the transaction costs and benefits of the different MCS in small-scale fisheries? · Is there a link between the types of tools and the type of MCS in small-scale fisheries? · What is the social, economic and biological impact of using different MCS tools in small-scale fisheries?

^{7, 8} Note: These are not all mutually exclusive; approaches could be combinations of some of these.

⁹ These are not necessarily mutually exclusive.

Source: ACFR Working Party on small-scale fisheries.

Appendix B. Pertinent information on tools and techniques that could be used in assessing vulnerability and poverty in small-scale fisheries communities

Tools and Techniques	Objectives	Participants	Methods	Strengths	Weaknesses
Literature Search	Obtain secondary information	Libraries and institutions	Search and consultations	Provides perspectives of the situation	Information may be very general
Timelines	Historical view of important events	Groups of elders, youths and women	Group discussion, interviews and feed back	Expedient summary of events (positive and negatives), helps identify medium and long-term solutions to problems	Exercise too long and complex, sensitive issues may be raised
Brainstorming	Gives multiple ideas on issues, problems and solutions	Groups of elders, youths and women	Questions and responses on specific issue and summarize results	Facilitates participation in the idea building process, stimulates people to think, generate ideas and solutions, useful introduction to structured and focus group discussion	May result in conflicts and uneasiness in s group and limit value of results
Venn Diagramme	Identify institutions and their activities as well as relationships	Socio-professional groups	Semi-structured interviews	Easy to use, provides stakeholders opinion on institutions and identifies conflict situations	Group may be informal, difficult to appreciate relationships
Seasonal Calendars	Chronology of activities and preferred livelihoods strategies	Socio-professional groups	Semi-structured interviews	Encourages a holistic approach, easy to implement	Brings to surface conflicts between individual and collective strategies
Trend Analysis	Assess changes over time	Informants, elders, youths and women	In-depth discussion of specific issues or phenomena	Creates awareness of potential positive and negative trends, improves quantity and quality of information, permits comparison of trends	Relies on memory, tool is complex, local people may loose interest in the subject
SWOT Analysis more	Assess issue of concern, interventions or services; self-evaluation	Groups of elders, youths and women	Structured brainstorming	Stresses different sides of an issue, promotes group creativeness, issue discussed in detail, strengths and weaknesse easy to elicit	Opportunities and threats difficult to elicit, sensitive s topics and differences of opinion may arise, tendency by few to dominate
Validation and Feed back	Validate and synthesize information	All groups	Summarization, discussion and agreement	Consensus reached, encourages community attachment to subject	Minority view may be lost
Poverty Profiling	Characterization, localization, numeration and description of groups of poor people	All groups of poor	Search, semi-structured interviews	Analytical instruments directly linked to action, provides answers to why people are poor, formulates actions to reduce poverty	Relies on memory, brings to surface conflicts between individual and collective strategies, some topics too sensitive

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