a guide to participatory fisheries management in Malawi

Transcription

1 a guide to participatory fisheries management in Malawi Volume i: implementation guidelines fisheries integration of society and habitats (fish) award number: AID-612-A date: presented by: February 29, 2016 Pact and Partners

2 Pact is a promise of a better tomorrow for all those who are poor and marginalized. Working in partnership to develop local solutions that enable people to own their own future, Pact helps people and communities build their own capacity to generate income, improve access to quality health services, and gain lasting benefit from the sustainable use of the natural resources around them. At work in more than 30 countries, Pact is building local promise with an integrated, adaptive approach that is shaping the future of international development. Visit us at Disclaimer: Prepared under USAID Cooperative Agreement No. AID- 612-A awarded on September 9, 2014, entitled Malawi Fisheries Integration for Society and Habitat (FISH) Project. This report is made possible by the generous support of the American People through the U.S. Agency for International Development (USAID). The contents are the sole responsibility of Pact, Inc. and FISH and do not necessarily reflect the views of USAID or the United States Government. Recommended citation: Fisheries Integration of Society and Habitats (FISH) A Guide to Participatory Fisheries Management in Malawi: Volume 1: Implementation Guidelines. Lilongwe, Malawi, and Washington, D.C., United States: Pact. authors: Stanley Mvula Dick Kachilonda Richard Kachala Geoffrey Kanyerere John Balarin Daniel Jamu William Chadza EDITING/LAYOUT: Sandra Fröbe-Kaltenbach Pact 1828 L Street NW, Suite 300 Washington, DC infomw@pactworld.org Pact Malawi 1st Floor, Amina House P.O. Box 1013 Lilongwe, Malawi ; Approval date: March 28, 2016 Front Cover: A man collects fish from the drying rack in Malembo, on the Southwest arm of Lake Malawi.

3 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Contents Abbreviations and Acronyms... i Acknowledgements... ii Foreword... iii Useful Terms and Their Definitions... iv 1 Introduction Aims and Uses of the Guide Structure of the Guide Why the Guide Focuses on PFM in General and the Six Steps in Particular Why Focus on PFM and the Six Steps at the FA Level Rather than the BVC/RVC Level Before Carrying Out the Six Steps Participatory Fisheries Management Explained Background Brief History Current Status Policy Framework The Six Operational Steps to Successfully Establish PFM Purpose, Roles, and Responsibilities of Local Fisheries Management Authorities Beach/River Village Committees Fisheries Association Institutional Relationship between FAs and BVCs/RVCs Stakeholder Roles in Supporting LFMAs Step 1: Create the Local Fisheries Management Authority and Draft its Constitution Forming Beach/River Village Committees Forming the Fisheries Association Procedures for Forming an FA Step 2: Establish the Local Fisheries Management Authority s Formal Boundary of Jurisdiction and Create a Map The Complexity of Establishing an LFMA Boundary of Jurisdiction Key Considerations when Defining an LFMA Boundary How to Develop an FA Boundary of Jurisdiction and Resource Map Step 3: Assess Fisheries Resources The Importance of Assessing Fisheries Resources PFM Requirements Profiling the Ecosystem and its Fishery Step 4: Formulate an Ecosystem-Based Fisheries Management Plan Preparatory Process for Developing an FMP Contents of the FMP Step 5: Establish Local Fisheries Management Authority By-laws Definition of By-Laws By-Laws in the Context of PFM Formulation of Ecosystem By-Laws The Need to Involve Fishing Communities in Formulating Fisheries By-Laws Legal Framework Supporting Ecosystem By-Law Formulation Step 6: Secure User Rights through a Fisheries Management Agreement Policy Background Relationship between an FMA and an FMP Contents of the FMA Procedure for Securing User Rights References... 43

4 Fisheries Integration of Society and Habitats (FISH) Project Abbreviations and Acronyms ADC ADP AFA BMG BVC CBNRM CBO CEPA CISER cm CPI DDP DFO DOF EAV ETOA FA FBO FGD FISH FMA FMP FMU FRU GGB GIZ GVH IUCN kg LFMA LGA M&E mm NGO PFM PRA RVC SAV SEA SWA SWOT TA USAID VDC VDP Area Development Committee Area Development Plan Area Fisheries Association (outdated term for FA) Beach Management Group (outdated term for BVC) Beach Village Committee community-based natural resource management community-based organisation Centre for Environmental Policy and Advocacy Community Initiative for Self-Reliance centimetre(s) Community Performance Index District Development Plans District Fisheries Officer Department of Fisheries emergent aquatic vegetation Environmental Threats and Opportunities Assessment Fisheries Association faith-based organization focus group discussion Fisheries Integration of Societies and Habitats Project Fisheries Management Agreement Fisheries Management Plan Fisheries Management Units (outdated term for FA) Department of Fisheries Research Unit Good Governance Barometer Deutsche Gesellschaft für Internationale Zusammenarbeit GmbH (German development agency) Group Village Headman International Union of the Conservation of Nature kilogram(s) Local Fisheries Management Authority Local Government Authority monitoring and evaluation millimetre(s) nongovernmental organisation Participatory Fisheries Management Participatory Rapid Assessment River Village Committee submerged aquatic vegetation southeast arm (of Lake Malawi) southwest arm (of Lake Malawi) strengths, weaknesses, opportunities, and threats Traditional Authority U.S. Agency for International Development Village Development Committee Village Development Plan i

5 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Acknowledgements This guide was compiled by Fisheries Integration of Society and Habitats (FISH) Project partner the Centre for Environmental Policy and Advocacy (CEPA). Stanley Mvula, FISH Program Manager based at CEPA, led the development process, which took place from April to August 2015 and was supported by a small task force team, including CEPA and FISH project staff. The following staff contributed chapters: Dr. Dick Kachilonda, FISH Governance and Capacity Development Specialist; Richard Kachala, Project Manager for Community Initiative for Self-Reliance (CISER); and Geoffrey Kanyerere, Head of the Fisheries Research Unit (FRU) of the Department of Fisheries (DOF). The team was backstopped by John Balarin, FISH Chief of Party; Dr. Daniel Jamu, FISH Deputy Chief of Party for Programs; and William Chadza, Executive Director of CEPA. Rachel Elrom (Pact) edited and restructured the guide, and Maggie Dougherty (Pact) created many of the graphics. The authors of this guide are indebted to them for their contributions to this guide and thank the many participating parties who contributed during stakeholder consultations and others for providing secondary sources. ii

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7 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Useful Terms and Their Definitions The terms in this list are applicable to Participatory Fisheries Management (PFM) in general. Some terms may not be discussed specifically in this guide. Term Definition Act In this guide, denotes the Fisheries Conservation and Management Act of 1997 Assembly Beach Village Committee (BVC) Board By-laws Commercial fishermen Director Fish processing Fisheries Association (FA) Fisheries protection officer Fisheries Sub- Committee Fishing industry Fishing license Fishing permit Fishing vessel Local Fisheries Management Authority (LFMA) Minister Participatory Fisheries Management (PFM) Register Regulations River Village Committee (RVC) Subsistence fishermen In this guide, denotes an urban or district assembly as specified in the Local Government Act The people engaged in the fishing industry in a particular fishing beach or landing site, collectively formed by the fishing community and led by a sub-committee of elected office bearers In this guide, denotes the appointed Fisheries Advisory Board, which advises the Minister of Fisheries The rules and regulations pertaining to fisheries and derived from the Fisheries Conservation and Management Act of 1997 and other regulations, generally approved and enforceable at the local government level In the case of an individual, a person who is engaged in fishing for sale throughout or part of the year or season and who relies on this fishing activity for part of his/her income In the case of a corporate body or association, one that has an appreciable investment in the fishing industry, taking fish for sale In this guide, denotes the Director of Fisheries Cleaning, filleting, icing, freezing, canning, salting, smoking, cooking, frying, boiling, pickling, drying, or otherwise preserving or preparing fish A cluster of BVCs (and/or RVCs) that share the same fishery ecosystem and unite as one body to manage the fishery collectively, with elected office bearers forming the FA subcommittee representing the fishing industry at TA, district and ecosystem level. The Director of Fisheries or anyone appointed by him, referred to in Section 3(7) of the Act A sub-committee to the district council s Agriculture and Natural Resources Committee, formed in pursuance of Section 14 of the Local Government Act, for sustainable PFM with fishing communities Similar sub-committees exist at the appropriate local authority level, notably within Area Development Committees (ADCs) and Village Development Committees (VDCs) People who go fishing; own or make fishing gear or boats; or process, transport, market, and/or trade fish (and business men or investors in the industry) and their spouses That issued by the Department of Fisheries (DOF) under the Act A right to fish in the jurisdiction of a FA, BVC, or RVC, issued to residents of that ecosystem Any vessel of any size and propulsion used in the fishing industry Any local community organization, BVC, RVC, or FA established for the purposes of promoting local participation in the conservation and management of fisheries in Malawi In this guide, denotes the Minister of the prevailing ministry in charge of fisheries An arrangement between the state and the subsistence, artisanal, and small-scale commercial fishing industry, whereby the fishing industry and the state jointly participate in shared responsibility or enforcement and regulation of the fishing A local fishing vessel or local fisher register to be kept in pursuant to Regulation 13 of the Act In this guide, denotes the Fisheries Conservation and Management Regulations of 2000, a supplement to the Act The people engaged in the fishing industry in a particular fishing river that share a landing site, collectively formed by the fishing community, and led by a BVC sub-committee of elected office bearers People who catch fish for their own/home consumption and do not sell fish for income iv

8 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines 1 Introduction Participatory Fisheries Management (PFM) is about the exclusive right of the communities living near and working in a particular fishery to participate in making key decisions about how, when, where, how much, and by whom fishing will occur (Donda & Njaya, 2007). This guide, A Guide to Participatory Fisheries Management in Malawi, aims to guide extension workers and fisheries managers to implement PFM in line with Government of Malawi policies by promoting the empowerment and active participation of stakeholders at all levels in fisheries governance Aims and Uses of the Guide The guide was developed to help policy makers and fisheries managers understand the implementation of PFM as part of fisheries resource management activities. The guide aims to assist District-level government agencies, Local Government Authorities (LGAs), and community-based organisations (CBOs) operationalize central government policy on PFM by promoting the empowerment and active participation of stakeholders at all levels of fisheries governance. In particular, the guide seeks to define how, through the creation and development of Fisheries Associations (FAs), the community engaged in the fishing industry can be empowered to manage their own affairs more directly and can collaborate with the government to formulate and implement ecosystem-level fisheries by-laws, management plans, and development plans. This guide can be used to start new or reactivate dormant Local Fisheries Management Authorities (LFMAs), which are CBOs specifically engaged in fisheries management, including reviving established Beach Village Committees (BVCs) or River Village Committees (RVCs). Or new clusters of BVCs/RVCs can be united under an ecosystem-based approach that creates a collective of BVCs and RVCs that share the same water body, called a Fisheries Association (FA). The process of establishing or reactivating LFMAs follows government institutional hierarchies from the Village Development Committees (VDCs) through to District Councils Structure of the Guide This guide was created around the six principle steps of PFM, as laid out in the 2001 National Fisheries and Aquaculture Policy, as well as over two decades of accumulated experience from Lake Malombe, Lake Chilwa, Lake Chiuta, and the Southeast Arm (SEA) of Lake Malawi and lessons learned in PFM implementation in Malawi. The guide is composed of two documents: The Implementation Guidelines and the companion Templates document. The Implementation Guidelines provide users with the policy background of PFM, an explanation of the six steps to PFM, and systematic instructions on how to carry out the six steps and use the companion templates in the process. The Templates document can be used alongside the Implementation Guidelines or by fisheries stakeholders as a standalone set of templates they can use to establish LFMAs and be part of the PFM process. All the elements in this guide were developed and used in Malawi by various projects and underwent an extensive review process Why the Guide Focuses on PFM in General and the Six Steps in Particular PFM was introduced as a response to the failure of a centralised system to enforce fisheries regulations. The approach was a means to promote recovery of the declining fish stocks and to reduce enforcement, surveillance, and monitoring costs, while facilitating resource-users management of the resource. The assumption was that increased self-regulation, increased acceptance of the regulation, and resource-users active involvement would result in improved management of the resources. 1

9 Fisheries Integration of Society and Habitats (FISH) Project The introduction of PFM was a shift from a top-down type of management to a participatory process, whereby fishing communities were drawn into decision-making (with a channel of dialogue between the Department of Fisheries [DOF] and the fishing communities). The shift from government-centred management to more community participation was followed by the democratic dispensation in 1994, which created an enabling environment when Malawi moved from one party rule to democracy, promoting voices of the voiceless to be heard in multiple decision-making levels. The six steps are stipulated in National Fisheries and Aquaculture Policy of 2001 as important pillars to PFM because they provide the systematic process to achieve the active participation of local communities in the management of fisheries resources. PFM cannot be discussed or implemented outside of these six steps Why Focus on PFM and the Six Steps at the FA Level Rather than the BVC/RVC Level Earlier PFM interventions, which targeted BVCs/RVCs, were a more village-by-village-based administration approach and exhibited poor levels of performance. Establishing, developing, and supporting PFM in over 300 BVCs/RVCs nationwide was cost-prohibitive and impractical at all levels of government. And, after donor projects phased out, this approach proved unsustainable without external support. Subsequently, established BVCs and RVCs were not well supported or maintained. Not only was this time consuming to develop and cost ineffective, this approach did not take into consideration the need for a more holistic way of managing the ecosystem and fishery. In addition, BVCs and RVCs, being village based, reported to the VDC, and therefore did not have the support of a higher-level authority (e.g., Traditional Authority [TA], District Council) or the powers they needed to manage the entire fishery, which ecologically would span across several villages and included many BVCs and RVCs. Conflict ensued between migrant fishers and BVCs/RVCs, and BVCs/RVCs were often usurped by the TA. The situation proved unsatisfactory to all involved. The national fisheries regulations advocate for an ecosystem-level approach to PFM. As most water bodies transcend village boundaries, there is a need to match the ecosystem boundary with the LFMA s (BVCs/RVCs and FAs) boundary of authority and with the jurisdiction of the appropriate fishery LGA. Smaller water bodies can be managed by the TA, VDC, or Area Development Committee (ADC), but larger fisheries that transcend TA, VDC and ADC authority need to be managed by a district-level authority level, through what the national fisheries regulations refer to as a fishing district. This fishing district is represented by the FA. Therefore, FA is a clustering of BVCs/RVCs that share a common water body (or part of a common water body in the case of larger systems like Lake Malawi). This means that the 300 BVCs/RVCs would collectively come together under the administration of about 20 fishing districts, under the umbrella of their FAs. The FAs become the higher-level PFM contact points, and the smaller number of entities to work with makes District Council support more manageable, more cost effective, and less demanding on the government s limited manpower and resources. And, importantly, the FA aligns the management of the ecological nature of the fishery with the corresponding authoritative administrative jurisdiction of the decentralised LGA. Regarding the six operational steps to attain PFM, it is apparent that of the 300 BVCs/RVCs that were formed, two decades on less than 50% achieved more than three steps. By clustering BVCs/RVCs to form FAs that correspond to the LGA administrative structure of the water body, each BVC/RVC falls under the umbrella of an FA and as a member of the FA completes one set of the six steps with the rest of the BVCs/RVCs under the FA. All BVCs/RVC abide by one FA constitution that encompasses all the resource boundaries and assets, agree to one universal FA management plan governed by one set of ecosystem-wide FA by-laws all enforced by one FA management agreement. This empowers the FA with the overall authority over its collective of BVC/RVC members and the entire fishery, supported by the TA and/or District Council who co-partner with the FA to enforce by-laws and provide developmental support. 2

10 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines 1.5. Before Carrying Out the Six Steps Over the past two decades, most water bodies in Malawi have established BVCs or RVCs, as applicable. Therefore, it is important for DOF extension officers to carry out a rapid survey of the characteristics of existing LFMAs and their fisher communities, including determining which LFMAs are active and where those active LFMAs are in the six steps. Further enquiry could look at their functionality, composition, and representation of the various stakeholder groups in the fishing community. Template J in the companion PFM Templates document provides methods and a template for such profiling. 3

11 Fisheries Integration of Society and Habitats (FISH) Project 2 Participatory Fisheries Management Explained Chapter 2 outlines the background and history of Participatory Fisheries Management (PFM), provides the foundations of PFM, and describes the six steps that need to be followed for Fisheries Associations (FAs), Beach Village Committees (BVCs), or River Village Committees (RVCs) to be empowered to manage their own fisheries. This chapter further stresses the need to elevate the status of BVCs/RVCs from committees with only local-level authority to partners in a higher-level ecosystem-based partnership Background Nielsen et al. (2004) define PFM as an arrangement whereby authority and management responsibility is equitably shared between government and the fishing community. Therefore, PFM is a partnership arrangement of shared roles and responsibilities between state and fishing communities, with varying degrees of power-sharing and integrating local and central government bodies into the partnership. Besides Participatory Forestry Management and Participatory Wildlife Management, PFM, is part of the decentralisation of natural resource management from central to local-level government systems, empowering fisheries users to participate in managing their own natural resources. The aim of PFM is to share responsibilities between the state and community, where the fishing community through a community-based organisation (CBO) has status as a legal entity. In the 2001 National Fisheries and Aquaculture Policy, CBOs are called Local Fisheries Management Authorities (LFMAs). LFMAs consist of BVCs or RVCs operating at the village administration level and FAs that encompass the BVCs/RVCs at the ecosystem level, Traditional Authority (TA) or district administration level. (Learn more about BVCs, RVCs, and TAs in Chapter 3.) As explained in Chapter 1, experience has shown that centralised management of the fishery is costly in terms of both human and financial resources and is demanding given the extensive nature of the fishery and the more than 300 LFMAs formed in Malawi. The earlier, top-down approach to enforcement had failed to regulate the fishery, resulting in an open access fishery fraught with the tragedy of commons syndrome, whereby the fishery is exploited based on the fishers self-interests without considering the interests of the whole system, resulting in resource depletion. The collapse of the Chambo fishery in the 1990s typifies the tragedy of commons syndrome and acted as a driver for the Government of Malawi to see the need to move to a more structured management system of shared roles and responsibilities with the user community by forming formally constituted groups, or CBOs. Community by-laws them supplemented national laws, and user groups were mandated to take responsibility and ownership of the resource. Therefore, fisheries resource users began actively participating in regulating resource use through agreed management plans and by-laws. PFM strives to move fisheries management away from a historical 100% state control to a more shared responsibility between the user and the state to create joint ownership of fisheries resources between the two actors. The degree of sharing responsibility between state and community can vary, but ideally an equitable, 50:50 relationship is sought (Figure 21.1.). This relationship is expressed in a Fisheries Management Agreement (FMA) between the state and the fishing community. 4

12 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Figure 2.1. PFM Explained as a Shared Responsibility between State and Community Gold shaded area is community share of comanagement roles and responsibilities The diagram above represents gradients of Fisheries Co-Management. Ideally, moving from the left to right on X-Axis means shift in power, authority and responsibilities from Government or State towards the Community. At midpoint on the X-Axis represents equity between Government and the community over responsibility of fisheries management Brief History In 1993, a PFM program was introduced in Lake Malombe as a pilot project and was later replicated in other parts of Lake Malawi, Lake Chilwa, and Lake Chiuta (Njaya, 2007). PFM was introduced as a response to the centralised system that had failed to enforce fisheries legislation and was seen as a means to promote recovery of the declining fish stocks and to reduce enforcement, surveillance, and monitoring costs. The assumption was that increased self-regulation and increased acceptance of the regulation by users would result in improved management of the resources (Bell & Donda, 1993). The introduction of this approach was seen as a shift from a top-down type of management to a participatory process where fishing communities were drawn into decision making (with a channel of dialogue between the Department of Fisheries [DOF] and the fishing communities). PFM conducted in the mid-1990s by Deutsche Gesellschaft für Technische Zusammenarbeit GmbH (GTZ) on Lake Chilwa aimed to combat the increased fishing pressure and find a solution to the DOF s limited capacity. PFM aimed to share decision-making powers and responsibilities between DoF and CBOs. The CBOs were later renamed as LFMAs in the then National Fisheries and Aquaculture Policy (NFAP). A collective name referring to (1) a lake-wide collective management body of representation from all BVC leadership, known as the Fisherman s Association, (2) sub-units were created at the TA level, known as Fisheries Management Units (FMUs or Area Fisheries Associations (AFAs) and (3) sub units created at Village Headman level called Beach Village Committees or River Village Committees (BVC/RVCs). The objectives at that time were for the FMU/AFA/ BVCs, and their office bearers, to assume communal management of resources, act as a channel for dialogue, and extension contact points between the DOF and fishing communities. Later, fishers in other water bodies, such as Lake Chiuta and Lower Shire, took the initiative to copy the approach, and at the same time PFM was introduced in Lake Chilwa to facilitate its recovery after drying in In addition, the application of PFM to riverine systems contributed to the creation of River Village Committees (RVCs), with their leadership known as RVC Sub-Committees. 5

13 Fisheries Integration of Society and Habitats (FISH) Project Since implementation of PFM on a pilot basis began in Malawi in 1993, over 300 BVCs have been instituted with varying degrees of co-partnership established with local-, intermediate-, and higherlevel administrative structures. However, the support for developing these BVCs primarily came from donors, mostly GTZ, UNDP, DFID and the U.S. Agency for International Development (USAID). In 2004, when these financial streams ran out, DOF became faced with having the sole responsibility of managing 300 BVCs/RVCs, an undertaking that proved to be too demanding for the limited government budgets and district-based manpower. This was compounded by a lack of District Councillors in place for the past decade, as by-laws could not be approved Current Status Current Status of BVCs/RVCs The status of BVCs/RVCs in the key fisheries of Malawi as of February 2016 is provided in Table 2.1. Table 2.1. BVCs/RVCs by Lake/Waterbody Lake Management Area Fishing District Area (square km) BVCs RVCs Lake Malawi (excludes SEA and SWA) Lake Malawi (Southeast Arm [SEA]) Lake Malawi (Southwest Arm SWA]) Salima Nkhotakota, NkhataBay, Rumphi and Karonga 25, Mangochi 3, Mangochi 1, Lake Malombe Mangochi Lake Chilwa Zomba, Machinga & Phalombe 2, Lake Chiuta Machinga Upper Shire Mangochi 13 Middle Shire Balaka 3 Lower Shire Chikwawa and Nsanje 53 Total: Source: FISH Consolidated Baseline Report, September 2016 Despite over 20 years of PFM implementation in Malawi, not all LFMAs are functional. A recent survey suggests that slightly over half are active, but their institutional frameworks are weak and their role in fishery governance is poor. Based on a recent survey, below are some of the reasons for this phenomenon. The fishery is open access, making it difficult to regulate entry into the fishery. There is not enough DOF field staff to provide backstopping support to the LFMAs. Use of illegal fishing gear and practices by both artisanal and commercial fishers is rampant. Governance or PFM reforms that had been adopted since the 1990s have had no support from DOF, district, or TA. The BVCs/RVCs do not have legal backing to their by-laws to enforce penalties. BVC/RVC composition does not represent the fishing industry as defined in the Fisheries Act. Licensing, fee collection, and by BVCs/RVCs and DOF does not work. Self-policing by BVC/RVC members is fraught with social consequences and vendettas. The formulating and implementation of local fisheries by-laws has been delayed for the past decade by the absence of District Councillors. 6

14 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Ecosystem-wide management plans have been put in place in some water bodies but have not been implemented. Fisheries management is not included in district plans or the local development agenda of the Village Development Committee (VDC) and Area Development Committee (ADC). Despite a somewhat negative outlook, fishing communities have experienced some positive results from PFM, including: Greater law enforcement activities Facilitation of fishing gear licensing fees collection Provision of policy direction on fishery regulations (e.g., proposing changes in the timing of the onset of closed fishing season) Exchange visits to other water bodies implementing PFM in and out of the country to provide a platform for sharing and learning experiences Current Status of Local-Level Responsiveness to PFM Since the mid-1990s, planning starts at village level through consultation with various sector groups, and desired outcomes are included in the Village Development Plans (VDPs), where they are coordinated by the VDC. The VDPs are then consolidated first as Area Development Plans (ADPs), then as District Development Plans (DDPs), and eventually as the national sector development plans. Figure 2.2 shows how this institutional framework looks in the context of fisheries management. Likewise, development funding and legal support for enforcement follows the same structure, and communities have recourse to seek higher-level support in co-partnership with these decentralised institutions for conflict resolution and policing through the same system. Figure 2.2. Institutional Framework of Participatory Fisheries Governance National Jurisdiction (Act & Regulations) Fisheries Advisory Board Ministry of Agriculture, Irrigation & Water Development Director of Fisheries District Jurisdiction Regulation (By-laws) Special Committee on Agriculture and Natural Resources District Council District Executive Committee (DEC) Traditional Authority Trad Court/By-laws FA Sub-Committee Chairperson/Vice Treasurer Secretary/Vice 6 Committee Members Fishing District Fisheries Association (FA) Area Development Committee (ADC) BVC Chair BVC Chair BVC Chair BVC Chair BVC Chair Group Village Head Trad Court/By-laws Village Development Committee (VDC) Community Based Org By-laws BVC SC BVC Sub-Committee Chairperson/Vice Treasurer Secretary/Vice 6 Committee Members BVC SC VNRMC Agriculture Education Water BVC Beach Village Committee Members BVC Groups Groups Groups Groups Boat Owner Gear Owner Processor Trader Crew Crew Worker Worker 7

15 Fisheries Integration of Society and Habitats (FISH) Project The USAID-funded Fisheries Integration of Societies and Habitats (FISH) Project assessed the performance of BVCs/RVCs and the quality of local governance as it relates to fisheries comanagement across four focus lake bodies: Lake Chilwa, Lake Chiuta, Lake Malombe, and the SEA and SWA of Lake Malawi. These assessments strongly suggest that PFM has not yet been fully anchored in the Local Government Authority (LGA) planning and support structure. Despite fisheries contribution to village nutrition, food security, and economic importance, it seems that VDCs have not considered fisheries a local priority. Consequently, fisheries management activities have not been included in VDPs. Likewise, at district level, the inclusion of PFM in the DDP is minimal. As a result, funding allocated to the District Fisheries Office (DFO) for PFM is proportionately low relative to its local importance and value. Funds are insufficient to cover the DFOs enforcement and extension services. Equally, the governance support from the DFO to assist BVCs/RVCs and FAs was also inadequate. In some areas the TA had imposed his/her own representatives in the BVCs/RVCs enforcement activities and collected tributes to allow illegal fishing Policy Framework The fisheries legal and policy frameworks are supportive of PFM. Priority Area 4 of the 2016 National Fisheries and Aquaculture Policy and its Implementation Monitoring and Evaluation Strategy outline the fundamental principles of PFM, which can be summarized into six operational steps (Table 2.2). Table 2.2. The Six Operational Steps toward Establishment of PFM as aligned with Policy Priority Area 4: Governance of the 2016 National Fisheries and Aquaculture Policy 2016 Policy Statement PFM Principle Policy Objective 1: To strengthen participatory fisheries management regimes Strategy 1. Promote the formation and sustainability of strong local fisheries management institutions for devolution of fisheries management and enforcement of fisheries regulations Strategy 1. Promote the formation and sustainability of strong local fisheries management institutions for devolution of fisheries management and enforcement of fisheries regulations Strategy 3: Develop local fisheries management plans for different fish stocks and geographic areas where they do not exist already in collaboration with local management institutions. Strategy 3: Develop local fisheries management plans for different fish stocks and geographic areas where they do not exist already in collaboration with local management institutions. Strategy 1. Promote the formation and sustainability of strong local fisheries management institutions for devolution of fisheries management and enforcement of fisheries regulations Policy Objective 2: To monitor and control fisheries resources Strategy 2. In collaboration with local fishing communities and their management institutions enlarge the network of lake and riverine protected areas where only controlled fishing is permitted Step 1: Constitute a formal CBO of fishers = LFMA (either a BVC or FA) Step 2: Establish the formal boundary of the jurisdiction of the CBO (i.e., fishing district) Step 3: Undertake a fishery resource assessment to develop management plans Step 4: Formulate an ecosystem based fisheries management plan Step 5: Establish LFMA By-Laws Step 6: Secure User Rights through Fisheries Management Agreements The National Fisheries Conservation and Management Act of 1997 and the 2000 subsidiary legislation on Fisheries Conservation and Management (Local Community Participation) Rules provide a clear guide to establish an institutional hierarchy for PFM, as follows. 8

16 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines A community engaged in the artisanal fishing industry joins together as a BVC/RVC with jurisdiction over the fishing beach (Reg. Rule 3-4). A BVC/RVC is managed by an 11-member Sub-Committee of elected office bearers (Reg. Rule 8). The BVC/RVC Sub-Committee is also a development sub-committee to the VDC. A cluster of BVCs/RVCs join together as an FA that has a Sub-Committee of office bearers elected from the BVC/RVC Sub-Committees (Reg. Rule 18-24). An FA s jurisdiction shall be the corresponding fishing District (or lake ecosystem) (Act Article 59) (Reg. Rule 19). The TA supports the FA in enforcing by-laws in their area of jurisdiction. The FA or group of FAs (i.e., inter-district FA) represent their BVC/RVC members to the Director DOF Fisheries or the national-level Fisheries Advisory Board (Reg. Rule 22). The Director of Fisheries provides or amends FMPs and FA by-laws and signs FMAs (Article 5) (Reg. Rule 20-23). This implies that each FA should implement an ecosystem-based approach using the six steps of PFM and that one set of the six steps applies to the entire lake or water body and covers all the clustered BVCs/RVCs of that ecosystem, negating the need for each BVC/RVC to go through the six steps entirely on its own. As this concept applies to each of the six steps: Step 1: One FA constitution encompasses and applies to all BVCs/RVCs under the same fishing district/lake ecosystem. Step 2: One FA fishing district or lake-wide administrative boundary map shows all BVC/RVC member village boundaries and the jurisdiction of the FA. Step 3: One FA fisheries resource assessment is conducted for the whole fishery ecosystem, including all BVCs/RVCs in that ecosystem, and any assets therein all come under the FA s jurisdiction. Step 4: One FA ecosystem-based FMP covers all member BVCs/RVCs. Step 5: One FA set of by-law embedded in the Fisheries Regulations is applicable to all BVCs/RVCs as users of the same fishery ecosystem. Step 6: One FMA for the entire ecosystem is endorsed by and applies to all of the associated BVCs/RVCs The Six Operational Steps to Successfully Establish PFM As BVCs/RVCs are already established in all key water bodies in Malawi and only a few have gone as far as collectively developing into an FA (e.g., Lake Chilwa), this guide describes the process and provides the tools for each FA to complete the six policy steps. This supersedes the tedious and expensive task of ensuring that individual BVCs/RVCs separately complete each of the six steps. Also, the authors of this guide have translated the six PFM Principles in Table 2.2, which were shared verbatim from the NFAP, into six action steps that are closely aligned with the PFM Policy Principles. These action steps are outlined below and each have their own chapter that describes the background of and processes to complete each step, along with corresponding templates in the companion Templates document to help LFMAs carry out the six steps. Preliminary Step: Inclusion in the District Development Plan Where no FA exists, local Fisheries Assistant under the supervision of the District Fisheries Officer should first conduct a resource inventory of BVCs/RVCs that share a common resource (e.g., a single lake or ecosystem) using a preliminary, rapid site appraisal. If the majority of BVCs/RVCs are agreeable, the District Fisheries Officer (DFO) proposes to the Director of Fisheries and the District Assembly that a district-level, lake-wide FA be established. The DFO proposes the FA as part of the District Development Plans (DDP) to secure District-level funding and support to initiate carrying out the six policy steps. 9

17 Fisheries Integration of Society and Habitats (FISH) Project Step 1: Create the LFMA and Draft its Constitution Step 1 provides guidance on how to establish the LFMA and formulate its constitution. The constitution specifies the FA s mandate as an LFMA, provides the legal basis for PFM authority, and clarifies how BVCs/RVCs collectively form an ecosystem-based FA. Step 1 is based on PFM Policy Principle Step 1: Constitute a formal CBO of fishers = LFMA (either a BVC or FA). See Chapter 4 for instructions on how to carry out Step 1. Step 2: Establish the LFMA s Formal Boundary of Jurisdiction and Create a Map Step 2 describes the necessary steps to demarcate an LFMA s boundary of jurisdiction: a beach for a BVC, a stretch of river for an RVC, or an ecosystem (or part thereof) for the FA. This chapter also explains how to map the jurisdictional outline, which sets the jurisdiction s administrative and ecological boundaries (e.g., shallow, breeding, vegetated) and highlights areas of special interest to fisheries (e.g., fish breeding and feeding areas, no take zones, sanctuaries). Step 2 is based on PFM Policy Principle Step 2: Establish the formal boundary of the jurisdiction of the CBO (i.e., fishing district). See Chapter 5 for instructions on how to carry out Step 2. Step 3: Assess Fishery Resources Step 3 follows on Step 2 in describing how an LFMA uses Participatory Rapid Assessment (PRA) to determine the resources in the fisheries ecosystem, lake, or water body that will be under its jurisdiction. The LFMA works with the DOF and associated fishing communities that share the same ecosystem, namely BVCs/RVCs, to assess fisheries resources. Step 3 is based on PFM Policy Principle Step 3: Undertake a fishery resource assessment to develop management plans. See Chapter 6 for instructions on how to carry out Step 3. Step 4: Formulate an Ecosystem-Based Fishery Management Plan Step 4 outlines the process of developing a Fisheries Management Plan (FMP). FMPs provide LFMAs and all other stakeholders with technical and operational guidelines for conserving and managing the fishery resources in the water body (ecosystem). The FMP applies to the entire lake ecosystem that is managed by the FA, thereby negating the need for BVCs or RVCs to have their own plans. Step 4 is based on PFM Policy Principle Step 4: Formulate an ecosystem based fisheries management plan. See Chapter 7 for instructions on how to carry out Step 4. Step 5: Establish LFMA By-laws Step 5 describes the necessary steps to develop FA by-laws for its ecosystem s area of jurisdiction. Bylaws are embedded in the main Fisheries Act and regulations. But, whereas regulations are government enforced, by-laws are jointly enforced by FAs, BVCs, RVCs and government where the district councils set their own levels of penalties, fees, and fines. Step 5 is based on PFM Policy Principle Step 5: Establish LFMA By-Laws. See Chapter 8 for instructions on how to carry out Step 5. Step 6: Secure User Rights through an FMA Step 6 describes how an LFMA can successfully enter into an FMA with the DOF to guarantee tenure rights of the fishery resources. Creation and signing of the PMA completes the six steps of PFM. An FMA legally formalises the relationship between the LFMA and the state and is a key instrument in the Director of Fisheries assigning his powers to a registered LFMA. The FMA lays down limits to membership, gear, and boats; reiterates the fees and fines prescribed by the by-laws; and bestow authority on the LFMA. 10

18 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Step 6 is based on PFM Policy Principle Step 6: Secure User Rights through Fisheries Management Agreements. See Chapter 9 for instructions on how to carry out Step 6. Concluding Step: Implementation of the FMP Once the FA has completed all six steps, the FA s constitution, jurisdiction, by-laws, FMP, and FMA now apply to all the BVCs/RVCs signed up under that FA and the FMP should be reflected in the DDP. Through the FA lobbying efforts to the District Council to sign the by-laws, fishing communities can now receive resources to carry out their activities (e.g., operations, surveillance, enforcement, annual frame surveys, catch data collection, members register and annual census, monitoring and evaluation, capacity building) or for investment in wise-use best practice micro-projects (e.g., best practice models, site development, sanctuary establishment, fuel efficient processing) in accordance with annual LGA Development Plans. 11

19 Fisheries Integration of Society and Habitats (FISH) Project 3 Purpose, Roles, and Responsibilities of Local Fisheries Management Authorities This chapter provides background information on the Local Fisheries Management Authorities (LFMAs) championed in Participatory Fisheries Management (PFM): The Beach Village Committees (BVCs), River Village Committees (RVCs), and Fisheries Associations (FAs), as well as those government entities that support PFM. Each type of LFMA is important to the PFM process, so becoming familiar with their history, roles, responsibilities, and unique duties is crucial to understanding how to implement PFM Beach/River Village Committees Both BVCs and RVCs are community-based institutions within the PFM framework. BVCs/RVCs assume PFM roles and responsibilities on behalf of the fishing community in collaboration with Department of Fisheries (DOF). The only difference between a BVC and an RVC is that the former form around a particular beach and the latter around a particular river. The BVC/RVC is actually not a committee, but a member association made up of all people engaged in the fishing industry of a particular beach/river the fishing community and is governed by a Sub- Committee. Figure 3.1 shows where BVCs/RVCs fit into the local government hierarchy. Note the location of Village Development Committees (VDCs) directly above BVCs (the Group Village Headman [GVH] also sits at this level), Area Development Committees (ADCs) and the Traditional Authority (TA) directly above VDCs, and the District Assembly directly above the ADCs and TA. Figure 3.1. Decentralised Framework of Local Government 12

20 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines BVC/RVC Roles and Responsibilities BVCs/RVCs are responsible to the FA for managing the fishery within the area of jurisdiction of the fishing district or ecosystem. As prescribed by the FA constitution, BVCs/RVCs have the power to: 1. Uphold the regulations and by-laws, specifically: a. Scrutinise applications for registration of fishing vessels of small-scale fishers b. Keep records of vessels registered and licenses issued in respect of its area of jurisdiction c. Enforce fishing regulations pertaining to fish species; fish size; closed season; fish sanctuaries (closed areas); gear size, type, and storage; and method of fishing d. Enforce conditions specified in licenses e. Seize fishing vessels and fishing gear that are reasonably believed to have been used in violation of the Fisheries Act, provided that the seized item shall be surrendered to a fisheries protection officer within 48 hours of seizure f. Monitor status of fish stocks 2. Issue written authority to fish (i.e., fishing permits), without which no person shall fish in fishing waters falling within the FA s jurisdiction 3. Provide a forum for dialogue and debate within the fishing community to identify problems, formulate solutions, organize implementation of solutions, evaluate progress, and adjust solutions accordingly 4. Act as a two-way channel of communication between the fishing community and the DOF, other government agencies, and TAs through the FA and its Sub-Committee, including acting as a channel for extension messages to those engaged in the fishing industry and feedback to the DOF 5. Register all fishermen in its area of jurisdiction and issue letters of transfer to members wishing to fish in a different area 6. Account for fishing license fees and levies (BVC/RVC collected) and fines (TA collected) 7. Collaborate with the DOF to collect data for monitoring and better management of the fishery, including maintaining a register of fishermen, licenses, and gear 8. Keep the FA informed of any events of importance to the fishery that occur in their area 9. Collaborate with other community groups in the area, especially the TA and VDC 10. Act as first stage of conflict resolution among fishers/members of the BVC/RVC 11. participate in the development of fisheries management plans and management agreements The BVC/RVC receives its PFM mandate and ownership of conserving and managing its fishery from the Fisheries Act. Most importantly, the regulations convey legal power to fishers to enforce the regulations under each beach/river jurisdiction BVC/RVC Role in Regulating Fishing Permits No person may fish in fishing waters falling within a BVC s/rvc s jurisdiction unless he/she is authorized to do so by a permit or the BVC s/rvc s written authority, as required by Fishing Regulation Rule 15 The aim of a BVC/RVC fishing permit is to empower BVCs/RVCs to control access to their fishing waters, which is fundamental to participatory fisheries management. The fishing permit fee enables the BVCs/RVCs to generate revenue to fund their operations, which also is crucial to PFM. 13

21 Fisheries Integration of Society and Habitats (FISH) Project 3.2. Fisheries Association An FA shall encompass several BVCs/RVCs; have an operational area with a well-defined ecosystem boundary, agreed in consultation with local government/local fisheries staff of the district involved; and is the authoritative body of all BVCs/RVCs that share in common the same fishery ecosystem FA Roles and Responsibilities As per the FA constitution, the FA Sub-Committee is responsible for: 1. Managing the fishery for the long-term benefit of the members, which implies that management of the fishery should be sustainable; Sustainability implies practices that are self-sustaining economically, socially, and managerially and practices that allow renewal of fish resources 2. Developing Fisheries Management Plans and Agreements (FMAs) 3. Submitting Fisheries Management Plans (FMPs) and Fisheries Management Agreements (FMAs) to the District Council and DoF for approval 4. Act as first stage of conflict resolution between BVCs/RVCs 5. Implementing the FMP and reporting back to the members on progress. 6. Managing funds accruing to the FA s account 7. Holding members legally accountable if they fail to manage the FA s assets in the best interest of the ecosystem and entire membership 8. Providing a forum for dialogue and debate and coordinating between the various BVCs/RVCs in its jurisdiction 9. Presenting cases of infringement of FA regulations and by-laws to the proper authority for adjudication 10. Imposing penalties according to the regulations and by-laws, which may include fines or confiscation and destruction of illegal fishing gear 11. Ensuring that the BVCs/RVCs are functioning correctly and taking appropriate action in cases of irregularity 12. Representing the interests of the fishing population of the BVCs/RVCs in its jurisdiction 13. Conveying to the Director of Fisheries its recommendations for conserving and managing fisheries resources in a particular water body 3.3. Institutional Relationship between FAs and BVCs/RVCs Figure 3.2 shows the institutional relationship between an FA and its BVCs/RVCs. Note how the BVCs/RVCs elect Sub-Committee office bearers who constitute FA membership, from which the FA Sub-Committee is elected. 14

22 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Figure 3.2. Institutional Relationship between the FA and its BVCs/RVCs 3.4. Stakeholder Roles in Supporting LFMAs District Councils The role of the District Council in PFM is stipulated in the 1997 Local Government Act and includes: Taking charge of all decentralised services and activities, including but not limited to fisheries extension services Passing District fisheries by-laws Providing the FA with funds Financing the Chiefs and providing them with transport Prosecuting cases through the Magistrate s court 15

23 Fisheries Integration of Society and Habitats (FISH) Project Traditional Authority As the FA s patron, the TA supports FA/BVC/RVC members in conserving and managing fish resources within his/her area of jurisdiction. In particular, the TA presides over major breaches of the fishery regulations/by-laws brought to the Traditional Court by the FA by; Presiding over cases (conflict resolution) Giving advice to the FAs as appropriate 4 Step 1: Create the Local Fisheries Management Authority and Draft its Constitution This chapter provides guidance on how to establish a Local Fisheries Management Authority (LFMA) and formulate its constitution. The constitution specifies the FA s mandate as an LFMA, provides the legal basis for Participatory Fisheries Management (PFM) authority, details their roles and responsibilities of the various participants in PFM, and clarifies how Beach Village Committees (BVCs) and River Village Committees (RVCs) collectively form an ecosystem-based Fisheries Association (FA). The 2000 Fisheries Conservation and Management (Local Community Participation) Rules of the 1997 Fisheries Conservation and Management Act states that: Persons engaged in fishing and related activities at a particular fishing beach (or river) may form a Beach (or River) Village Committee (B/RVC). A Beach/River Village Committee shall consist of persons who are engaged in any aspect of the fishing industry associated with a fishing beach/river, which includes fishing, fish processing, fish marketing and fish trading, and the spouse of such a person. Membership of BVCs/RVCs should be open to all residents (be it male or female) in the fishing community. In order to ensure that those forming a BVC/RVC are properly identified in the fishing community, BVC/RVC should maintain a register of members with their names, village, and the specific aspect of the fishing industry in which they are engaged (see Template C in the companion Templates document) Forming Beach/River Village Committees Formation of BVCs and RVCs require one to spend more time with the fishing communities, create awareness and sensitize the whole community for it to have the true representation of the fishing communities. There are a number of stages in BVC/RVC formation and these include: Sensitizing traditional leaders Traditional leaders are owners of the land and important individuals with more decision-maker s powers. They can considerably influence on the use of Natural Resources in their areas and if well utilized can assist in solving fisheries conservation problems. Sensitizing fishers and village community 16

24 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines When sensitizing the community, the technical assistant should ensure that the importance of managing the fisheries resource, the need for community participation in resource management and the overall objective of forming the BVC/RVC/FA is well understood by the community. Conducting BVC/RVC elections Before the elections, the technical assistant will discuss with the fishing community on qualities of a leader by explaining the concept of leadership, leadership styles and the importance of promoting maximum participation in group activities. A person shall qualify for election as BVC/RVC Sub- Committee office bearer if that person: Is a citizen of Malawi Has been a resident of the beach/river for at least one year Is 18 years of age or older Is able to read and write Is of sound mind Has no criminal conviction The technical assistant will be a neutral facilitator and will therefore guard against influencing the outcome of the elections. The list of elected members at a wider group will be maintained without changes BVC/RVC Sub-Committee To properly manage its affairs, each BVC/RVC shall elect a Sub-Committee consisting of the following 11 office bearers, three of whom must be women (Figure 3.1.): Chair and Vice Chair Secretary and Vice Secretary Treasurer 6 regular office bearers BVC/RVC Institutional Framework Remember that the BVC/RVC comprises ALL those engaged in any aspect of the fishing industry associated with a fishing beach or river and does not denote only those office bearers on the BVC Sub- Committee. The Sub-Committee members must come from among the total membership of the BVC/RVC and be elected by the total membership, NOT nominated by a higher authority, such as the Group Village Headman (GVH) or District Fisheries Officer (DFO). 17

25 Fisheries Integration of Society and Habitats (FISH) Project Figure 4.1. Institutional Framework of a BVC/RVC and its Sub-Committee 4.2. Forming the Fisheries Association Rules for Forming the FA BVCs and/or RVCs that share the same water body may cluster together and form an umbrella ecosystem-based organization, which is the FA. As stated in Fisheries Conservation and Management Act (Local Community Participation Rules) 2000, A Fishermen s Association shall consist of people who are engaged in any aspect of a fishing industry associated with the area covered by the association which corresponds with a fishing district. It is the (total) BVC/RVC membership (who share in common a particular ecosystem area) who may democratically form an FA. For larger ecosystems with many districts, each fishing district boundary shall have its own FA and above the FA shall be an interdistrict FA that transcends the whole ecosystem (the inter-district FA uses the same six step procedures to register members, hold elections, draft by-laws, etc.). The FA must have a legal personality. This means that the FA should register its constitution with the Registrar General. (See Template A in the companion Templates document.) FA Sub-Committee To properly manage the affairs of a fishing district, all BVC/RVC can create an FA Sub-Committee to represent them. The FA Sub-Committee office bearers shall be elected by secret ballot by the FA s (total) membership (i.e., all chairpersons of BVCs/RVCs that form the FA). Sub-Committee members will not be appointed by a higher authority (e.g., the Traditional Authority [TA] or DOF). Like BVC/RVC Sub-Committees, the FA Sub-Committee consists of the following 11 office bearers, three of whom must be women (Figure 3.2): Chair and Vice Chair Secretary Vice Secretary Treasurer Vice Treasurer 5 regular office bearers 18

26 A Guide to Participatory Fisheries Management in Malawi: Implementation Guidelines Institutional Framework Figure 4.2. Institutional Framework of an FA and its Sub-Committee 4.3. Procedures for Forming an FA Raise awareness of participating in the FA. DOF staff (and supporting partners) sensitise the TAs, BVCs, and RVCs in their respective localities and enlist BVC/RVC Sub-Committee office bearers to explain the formation process to all members. While raising awareness, DOF staff (and partners) seek agreement from the BVCs/RVCs in their localities to join together to form the FA and identify appropriate ecosystem boundaries for the FA s jurisdiction Raise decision maker awareness on the need to form FAs. The DFO announces to the Director of Fisheries and District authorities that the act of forming an FA of a given lake/ecosystem is in accordance with the District Development Plan (DDP). This should help secure funding for the operation, though the effort also may be supported by a project, NGO, or FBO Register FA members. The DFO coordinates and provide technical guidance during the registration process. BVC/RVC stakeholders who qualify to be members of the FA (i.e., any BVC/RVC member democratically elected by the BVC/RVC Sub-Committee to join the FA) are registered using a form that contains members full name, occupation within the fishing industry, home village, years of residency at the beach, and age (see Template C in the companion Templates document). Once filled out, the form is verified and signed by the TAs, then provided to the District Fisheries Office. The registration form is updated annually and during FA Sub-Committee elections. Registration must be available for inspection by any stakeholder, TA, BVC/RVC member, or government official upon request Elect the FA Sub-Committee office bearers. The FA Sub-Committee will be elected at a meeting of BVC/RVC chairpersons. See the full list of election procedures in Template D in the companion Templates document. The DFO may delegate the Fisheries Assistant as proxy to represent him/her when elections are being held in the designated jurisdiction of the FA. All elections must be held between 7.00 am and 6.00 pm. 19