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Reviews in Fisheries Science & Aquaculture

ISSN: 2330-8249 (Print) 2330-8257 (Online) Journal homepage: http://www.tandfonline.com/loi/brfs21

From Unsustainability to MSC Certification: A Case


Study of the Artisanal Chilean South Pacific Hake
Fishery

Emma Plotnek, Felipe Paredes, Mauricio Galvez & Mónica Pérez-Ramírez

To cite this article: Emma Plotnek, Felipe Paredes, Mauricio Galvez & Mónica Pérez-Ramírez
(2016) From Unsustainability to MSC Certification: A Case Study of the Artisanal Chilean
South Pacific Hake Fishery, Reviews in Fisheries Science & Aquaculture, 24:3, 230-243, DOI:
10.1080/23308249.2016.1161003

To link to this article: http://dx.doi.org/10.1080/23308249.2016.1161003

Published online: 30 Mar 2016.

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REVIEWS IN FISHERIES SCIENCE & AQUACULTURE
2016, VOL. 24, NO. 3, 230–243
http://dx.doi.org/10.1080/23308249.2016.1161003

From Unsustainability to MSC Certification: A Case Study of the Artisanal Chilean


South Pacific Hake Fishery
nica Perez-Ramıreze
Emma Plotneka, Felipe Paredesb,c, Mauricio Galvezc,d, and Mo
a
National Oceanography Centre, Southampton, UK; bCenter for Applied Ecology and Sustainability (CAPES), Pontificia Universidad Catolica de
Chile, Santiago, Chile; cWorld Wildlife Fund for Nature, Valdivia, Chile; dSubsecretarıa de Pesca y Acuicultura (SUBPESCA), Valparaiso, Chile;
e
CONACYT Research Fellow—Consejo Nacional de Ciencia y Tecnologıa, Mexico City, Mexico

ABSTRACT KEYWORDS
The Marine Stewardship Council (MSC) certification is a market-based incentive program that artisanal fisheries; seafood
recognizes sustainable fisheries through a third-party assessment. This study considers a potential ecolabeling; fisheries
project to MSC-certify the small-scale sector of the South Pacific hake (Merluccius gayi gayi) fishery certification; market-based
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in Chile. Using semi-structured interviews with fishery stakeholders and bibliographic review, the measures; Latin America
study surveys the technical, stakeholder, and market barriers to certification. Barriers included an
over-exploited stock, lack of information about the ecosystem, and the currently-evolving
management system. In addition, noncompliance of existing norms and social arrangements within
the fishery are leading to a situation where illegal fishing occurs. Even though MSC certification is
positively perceived by most stakeholders, it is considered to be neither achievable by the status of
the fishery nor desirable, since it cannot offer economic benefits due to the domestic market
features. At present, the most constructive actions for the fishery would be to implement strong
management and effective enforcement, and break-down the currently unregulated market
structure, as well as empower the fishermen. Long-term efforts in these areas may be executed
using the MSC Standard as a diagnostic tool to identify the improvements required to move the
fishery toward better performance.

Introduction
Guidelines (SGs) that are addressed during the assessment
Market-based incentives such as certification schemes are procedure for MSC certification (MSC, 2014a). Fisheries
becoming instruments used worldwide alongside tradi- that meet the MSC Standard become certified for five
tional regulatory and economic policies in fisheries. The years and are subject to annual audits; after then the fish-
idea is that fishing pressure on stocks is reduced though ery may enter recertification. Achieving MSC certification
changing consumer preference, shifting demand, and involves a scoring system. All PIs must achieve a score of
simultaneously encouraging good practices in the industry at least 60 and on average at least 80 for each of the three
through certifying and labeling sustainable fisheries prod- Principles. Scores above 60 but below 80 must be raised,
ucts (Parkes et al., 2010). The Marine Stewardship Council almost always over the course of the certificate period, to
(MSC) is considered to be the leading certification pro- 80. The objective is for the fishery to increase its perfor-
gram for wild capture fisheries and one of the most robust mance by achieving improvements over time.
in terms of performance (Parkes et al., 2010; Martin et al., Accounting for »3% of the global fish catch, Chile is
2012). In spite of this, the MSC certification has not starting to promote sustainably sourced fisheries prod-
proved as a suitable option for artisanal small-scale and ucts as a part of their supply to the global market, this
developing world fisheries because of the associated costs, includes two small-scale MSC-certified fisheries (the
the rigorous standards involved and the lack of scientific mussel fishery and suspended culture and the Juan Fer-
data (Perez-Ramırez et al., 2012; Stratoudakis et al., 2015). nandez artisanal rock lobster fishery) (www.subpesca.cl).
The MSC Standard involves three principles concerned Fishery management is based on the Fisheries and Aqua-
with: (1) sustainability of the target fish stock; (2) impacts culture Law (F&AL) (Law No 20.657, 2012) which estab-
on the ecosystem, and (3) management. Each principle lishes scientific-based management committees and
includes a set of Performance Indicators (PIs) and Scoring management plans to closed-access fisheries. The

CONTACT M onica Perez-Ramırez myperezra@conacyt.mx CONACYT Insurgentes Sur 1582, 03940, Mexico.
Color versions of one or more of the figures in the article can be found online at www.tandfonline.com/brfs.
© 2016 Taylor & Francis
REVIEWS IN FISHERIES SCIENCE & AQUACULTURE 231
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Figure 1. Schematic representation of seventeen caletas over study area in Chile. Roman numerals indicate administrative regions.
MR D metropolitan region.

Governmental Undersecretary of Fisheries and Aquacul- between 50–400 m depth from 29 S to 42 S (San Martin
ture (Subsecretarıa de Pesca y Acuicultura, SUBPESCA) et al., 2011) (Figure 1). The South Pacific hake fishery
is responsible for decision-making and planning and the (SPHF) supports two fleets operating between the IV-VIII
National Fisheries Service (Servicio Nacional de Pesca, regions, stretching approximately 900 km along the coast,
SERNAPESCA) is the enforcement authority. Imple- where the first five nautical miles are almost exclusively
mentation of research projects are carried out by the reserved for the artisanal sector. The industrial fleet uses
publicly funded Fisheries Development Institute (Insti- bottom trawls and the artisanal fleet handlines and gillnets
tuto de Fomento Pesquero, IFOP). Complementary stud- (Queirolo et al., 2013). There are »400 artisanal boats
ies are done by Universities and the Eighth Region active throughout all the regions; most <12 m length and
Fishery Research Institute (Instituto de Investigacion Pes- some between 12–16 m length (Queirolo et al., 2013).
quera Octava Region, INPESCA) a private entity funded SPHF management committee is formed by members
by the fishing industry. Although there is no official pub- from SUBPESCA, SERNAPESCA, three representatives of
lic policy on fisheries certification, governmental agen- industrial sector, seven from the artisanal sector and one
cies have been involved in the certification of current from the processing sector. The SPHF management com-
MSC-certified fisheries in Chile. mittee is responsible for designing the fishery management
The South Pacific hake (Merluccius gayi gayi Guichenot, plan, but at time of writing the terms of the plan were still
1848) inhabits the shallow to the upper continental slope under development. For the 2014–2015 fishing season the
232 E. PLOTNEK ET AL.

Total Allowable Catch (TAC) was set between 15,000 and to the MSC definition of a sustainable fishery in
19,000 tons; both sectors have taken a reduction in quota terms of the Component Groupings (CGs), which are
comparing with previous TAC in 2013: 40,000 tons, with high level sub-divisions of each Principle defined in
the artisanal sector being granted 40% of it (SUBPESCA, the default assessment tree (MSC, 2014a). The main
2013). The fishery is closed in September for the spawning CGs were defined as follows: (1) CGs in Principle 1
season. The 2013 amendment of the F&AL (Law No include stock-specific issues and harvest strategy. (2)
20.567, 2013) included the requirement for fisheries to be CGs in Principle 2 include retained, bycatch and
managed under management plans, proposed by Fishery endangered, threatened or protected species (ETP), as
Management Committees (FMC), in coordination with well as ecosystem issues. (3) CGs in Principle 3
Fishery Technical Committees (FTC). Today many fish include governance and the specific management sys-
and benthic resources are managed with this scheme. The tem of a fishery (MSC, 2014a). Each CG includes Per-
FMC of the SPHF is working to establish a Management formance Indicators (PIs). The analysis was based on
Plan that considers the key issues for the fishery, including the MSC Benchmark and Tracking Tool (MSC,
illegal fishing, mesh size on fishing gear, and the realloca- 2014b), bibliographic review, information from gov-
tion of unfished quotas. They are currently developing ernment agencies, and semi-structured interviews
clear objectives and defining goals, as well as clarifying with stakeholders. The artisanal fishery was focused
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access to shared fishing grounds. upon with the intention to exclusively consider this
Previously, the industrial sector underwent full assess- sector as if it was being assessed for certification.
ment for MSC certification but in 2013 it withdrew The attitudes of stakeholders regarding the SPHF and
because it could not meet the MSC requirements related MSC certification were acquired through semi-struc-
to stock status, poorly understood ecosystem dynamics tured interviews conducted in July 2014. Semi-structured
and the lack of a management plan. This paper considers interviews and the details of data collected were
a project to assess the sustainability status towards the recorded, summarized and transcribed in a field note-
MSC certification of the artisanal sector and identifies all book and a detailed account was written up afterwards
the potential technical, stakeholder and market barriers in a fieldwork diary following the approach recom-
to certification in order to design a suitable plan to mended by Bryman (2012). The barriers to certification
implement an appropriate project to improve the fishery. were identified and frequencies of references were
This is achieved by using three approaches: (1) reviewing recorded. Suggestions to overcome barriers were also
the technical barriers from the SPHF to pursue MSC cer- recognized. Thirty four Chilean stakeholders involved in
tification; (2) analyzing stakeholders’ attitudes with the fishery were interviewed, including six government
regards to certification and (3) assessing market condi- representatives, ten academics, nine environmental
tions and fishermen arrangements. NGOs, two representatives of social organizations,
and seven representatives of private organizations, such
as intermediaries and consultants. Stakeholders were
Methodology classified by level of interest and influence (categorized
The technical barriers to MSC certification were as high or low) for both the fishery and for MSC
defined by comparing the current status of the SPHF (Table 1). These data were used to assign the

Table 1. Definitions of relative levels (high, medium, and low) for interest, influence and knowledge in terms of the artisanal South
Pacific hake fishery (SPHF) and the Marine Stewardship Council (MSC).
SPHF MSC

Interest High Investigates or promotes the long-term sustainability of the hake stock Works for MSC, and NGO or a company that promotes
and/or certification and/or
Concerned with the artisanal fishing community and/or Directly Interested in certifying the hake fishery and/or
affected by how the fishery is managed and /or Directly affected if the fishery is certified and/or
Deeper understanding of issues facing the fishery Deeper understanding of certification is, MSC functions and
potential benefits of certification
Low Not specifically interested in the hake fishery No deeper understanding of certification or
Not specifically interested in the artisanal fishing community Not currently involved in supporting certification or
Not affected by how the fishery is managed Against certification
Is not aware of issues facing the fishery
Influence High Able to influence the fishery in one or more of the sectors: governance, May play a key role in the certification (providing data,
management, fishermen aggrupation Has resources to campaign, scientific recommendation, control, funding) or
organize and fund activities within the fishery May play a key role against certification
Low Actions are of very little consequence Does not have the influence to affect decisions about
Does not actively work within the fishery certification
REVIEWS IN FISHERIES SCIENCE & AQUACULTURE 233

stakeholders into four categories (defender, promoter, contacted beforehand to ask permission to visit, describ-
apathetic, latent) in order to draw up an influence/inter- ing the nature of the project.
est matrix (Newcombe, 2003). The face-to-face voluntary and anonymous partici-
Since the artisanal SPHF has an informal market pation questionnaire consisted of thirty nine ques-
structure and little information readily available, data on tions in Spanish. The questionnaire was designed to
traders, market channels, trade flows, distribution routes, capture information on three topics: (1) socioeco-
and the marketing process (including fisher-trader and nomic situation of the fishermen households; (2) atti-
trader-trader relationships) were collected through inter- tudes on recent government policies and fishery
views with previously mentioned stakeholders. A defini- management and of other stakeholders involved; and
tion analysis was carried out, from producer to (3) opinions about certification (benefits and barriers).
consumer, via the construction of distribution channels The questionnaire was administered as a standardized
and institutional (traders) agreements. The definition formal interview which included open and closed for-
analysis identifies the organizational characteristics of mat, Likert scale, and rank order questions. Rank
the market that may influence competition and price order statements (i.e., from most to least important)
behavior. This can be determined through direct obser- were prepared on separate flashcards, so the fisher-
vation of the market and its participants (buyer concen- men could physically order the importance. To reduce
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tration, barriers to entry, and product differentiation) bias all interviewers followed Oppenheim’s (1998)
(Jacinto and Pomeroy, 2011). guidelines (maintain rapport; do not rephrase attitude
To assess artisanal fishermen arrangements quantita- questions; use standard method to present flashcard).
tive and qualitative data were collected through partici- Before carrying out questionnaires, fishermen were
pant observation (Wolcott, 2002); questionnaires carried given a basic explanation of MSC certification: (1) if
out with fishermen and structured interviews with key the fishery is operating in a sustainable way (i.e., not
actors (i.e., presidents of local fishing cooperatives). This overfishing, not fishing illegally, not harming the
approach, known as triangulation, allowed both valida- environment like corals or marine mammals) then
tion and maximization of the data (Denzin, 1970). The the fishery would be able to be assessed for sustain-
elements of analysis were caletas defined as fishing ports able certification. (2) If a fishery is able to be certified,
and settlements within the previously designated regions they may be able to receive certain benefits (i.e., stock
of Chile (Figure 1) which contain boats that are dedi- status improvement, management measures, better
cated to the catching of South Pacific hake. Only the cale- price, access to new markets, recognition from the
tas with a minimum total annual landings accounting to government or businesses). (3) Being certified may
one tonne were considered in the study. Sampling was not be a straightforward process and will probably
through multi-stage cluster sampling (Bryman, 2012): include both an effort and a cost on behalf of the
each region was elected as a sampling area, and then cale- fishermen to become certified.
tas that met the specific requirements for sampling
within each region were randomly selected. Within each
Technical barriers
region a minimum of 20% of these pre-defined caletas
were visited, and questionnaires were randomly com- The identified barriers to pursue certification taking into
pleted with a minimum of 1% of the registered fishermen account the nested structure defined by the MSC (2014a)
within each caleta (total n D 64). Considering this, it is were related with stock and ecosystem issues (Table 2).
alleged that the number of registered fishermen may be Since the SPHF started in the 1930s, landings show
overestimated since many fishermen/boats registered for decadal fluctuations with two collapsed periods in the
hake may work in other trades, such as building, logging, late 1960s and in 2004. The most recent decline has been
and salmon farms. But, there are no official records. attributed to overfishing and ecosystem conditions, such
Logistical constraints, such as high number of caletas to as predation by Humboldt squid (Alarcon-Mu~ noz et al.,
visit and unwillingness of some fishermen to engage in 2008; Arancibia and Neira, 2008; Neira and Arancibia,
the survey, made it difficult to reach a high number of 2013). Currently, the stock consists of a low biomass
fishermen during the visit; therefore the study attempted with a high proportion of juveniles (San Martın et al.,
to collect data which covers the entire fishery geographi- 2011), reduced length at age and incorporation of young
cally rather than focus on surveying the same caletas to mature individuals into the spawning process (Cerna
seek a high number of stakeholders. The analysis focused and Oyarz un, 2011). Thus, the fishery has been consid-
on (1) stakeholder perceptions and interviews, including ered as over-exploited and depleted (Arancibia and
interviews with presidents of syndicates and (2) data on Neira, 2008; San Martın et al., 2011; SUBPESCA, 2014).
perceptions of MSC certification. The caletas were Even though MSC certification is not being carried out
234 E. PLOTNEK ET AL.

Table 2. Summary of the MSC components groupings compared to the current status of the artisanal South Pacific hake fishery.
Performance
Principle Component Indicator (PI) Description of PI (MSC, 2014b) Comments to SPHF

1 Outcome 1.1.1 Stock status The stock is at a level which maintains high Technically no, as if illegal fishing and
productivity and has a low probability of discards are considered it is likely
recruitment overfishing that the landings exceed the
scientifically recommended level
1.1.2 Stock Where the stock is reduced, there is evidence of Need to implement a management plan
rebuilding stock rebuilding within a specified timeframe
Harvest strategy 1.2.1 Harvest There is a robust and precautionary harvest Recovery plan must have timeframes
strategy strategy in place and follow precautionary approach
2 Secondary species 2.2.1 Outcome The fishery aims to maintain secondary species Not enough information
status above a biological based limit and does not
hinder recovery of secondary species if they
are below a biological based limit
ETP species 2.3.1 Outcome The fishery meets national and international Not enough information. Need to assess
status requirements for the protection of ETP ETP species in the bycatch
species. The fishery does not hinder recovery
of ETP species
Ecosystem 2.5.1 Outcome The fishery does not cause serious or irreversible Not enough information
status harm to the key elements of ecosystem
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structure and function


3 Governance 3.1.1 Legal and The management system exists within an Should be achievable once management
and policy customary appropriate and effective legal and/or committee is in action
framework customary framework which ensures that it: Is
capable of delivering sustainable fisheries in
accordance with MSC Principles 1 and 2 and
Incorporates an appropriate dispute
resolution framework
3.1.2 Consultation, The management system has effective Should be achievable once management
roles and consultation processes that are open to committee is in action
responsibilities interested and affected parties. The roles and
responsibilities of organizations and
individuals who are involved in the
management process are clear and
understood by all relevant parties
Fishery specific 3.2.3 Compliance Monitoring, control and surveillance mechanisms Not enough information, no
management system and ensure the management measures in the management plan, no timeframes or
enforcement fishery are enforced and complied with levels set yet

ETP D Endangered, Threatened and Protected species.

in the SPHF, some actions have been taken to overcome- below the size at first sexual maturity (SSM50% D
thenon-attainment of the Performance Indicators (PIs). 37 cm), but it was found that the majority (63%) of
Specifically related to PI 1.1.1 stock status; following a the fishermen surveyed claim they were using mesh
robust stock assessment a quota was set following scien- sizes of below 7.6 cm.
tific-advice to attain MSY. But, it is possible that the rec- The CGs in Principle 2 require the assessment of
ommended catch levels have been exceeded due to retained species (including non-targeted retained and
underreported landings in the artisanal fishery and dis- bait), bycatch species, endangered, threatened, and pro-
cards in the industrial fishery (SUBPESCA, 2013). tected species (ETPs), habitats and ecosystems. Within
PI 1.1.2 (concerned with stock rebuilding), requires the SPHF all of these components are lacking informa-
implementing a fishery management plan that consid- tion, but some efforts have been made to gather data.
ers suitable recovery strategies consistent with the pre- Recent research on species composition of artisanal gill-
cautionary approach and following a specific nets identified 24 taxa as by-catch (4 showed high-fre-
timeframe. In addition, PI 1.2.1, (Table 2) requires a quency of occurrence) and suggested the development of
formalized harvest strategy; which includes harvest a net that avoided contact with the seafloor to reduce
control rules (HCR). The setting of catch quotas to these (Queirolo et al., 2014). In addition, there is an
rebuild the stock to MSY is an important part of any ongoing discards investigation programme conducted by
fisheries management plan but the strategy does not IFOP that will make recommendations for the SPHF at
incorporate and formal harvest control rules. This is the end of 2015. Bellchambers et al. (2014) recommend
further hindered by the reduction in mesh sizes within that ideally Principle 2 should be thoroughly addressed
the artisanal sector (Queirolo et al., 2013). Queirolo prior to pursuing certification, with at least a robust sci-
et al. (2013) recommended a minimum mesh size of entifically defensible based-risk assessment, in order to
7.6 cm (3 inches) to reduce the proportion of catch increase assurance of certification and reduce
REVIEWS IN FISHERIES SCIENCE & AQUACULTURE 235

timeframes. Since Principle 2 is usually difficult to these requirements would depend on the effectiveness
address, especially for assessing elements of data-poor and the actions of the management committee and gov-
fisheries, it is possible to use the MSC risk-based analysis ernment to control and ensure compliance. The fishery
framework (RBF) to assess fisheries against the Standard needs to primarily recover the stock biomass and ensure
(MSC, 2010). There are previous examples of MSC-certi- that the ages and size composition of the stock is not
fied fisheries in developing countries using the RBF suc- impairing reproductive capacity. This requires the
cessfully to assess the status of the non-target stocks. implementation of a robust recovery and rebuilding
The failure of the SPFH to attain the requisites of plan that includes timeframes, monitoring and limits.
Principles 1 and 2 match closely with previously The activity of the management committee, once it
described patterns for MSC-certified fisheries in Latin assembles, must be accountable and assessed, for exam-
America and the Caribbean (Perez-Ramırez et al., ple by an independent body or local stewardship to
2015), and both certified and non-certified fisheries in ensure it is achieving these standards. Even though the
other developing regions (Andrew et al., 2007; Mac- artisanal SPHF is not available for certification, the use
fadyen and Huntington, 2007; Eklof, 2008; Agnew et al., of the MSC Standard as a diagnostic tool allows the
2013). Perez-Ramırez et al. (2015) associate an identification of necessary improvements required to
increased frequency of low CG scores in certified fisher- move the fishery towards a better performance. This
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ies defined by the stock status (PI 1.1.1) and harvest approach may promote the use of the MSC Standard
strategy (PI 1.2.1) to the absence of both a quantitative not only to assess the certifiable fisheries, but other fish-
stock assessment framework as well as HCR at the time eries that are important from a socioeconomic point of
of certification. As a result, in most cases the low CG view (Perez-Ramırez et al., 2015).
scores within the PIs led to the implementation of asso-
ciated conditions and recommendations to achieve and
Stakeholders’ attitudes
maintain certification (see Mexican red rock lobster
case in Bellchambers et al., 2014). After conducting semi-structured interviews a stake-
Principle 3 would need to be addressed in two dis- holder influence/interest matrix was compiled (Figure 2).
tinct areas; governance and policy (i.e., PIs 3.1.1, 3.1.2) The analysis identified that there are currently no stake-
and specific management system (i.e., PI 3.2.3). Meeting holders in the promoter role for MSC certification for

Figure 2. Stakeholder analysis in the form of interest-influence matrix adapted from Newcombe (2003). Boxes indicate a “mover”, with
the direction of movement indicated by the arrow; a “mover” is a stakeholder that could potentially be transitioned to another category
to support the MSC certification of the artisanal South Pacific hake fishery. The position of stakeholders within compartments of the
graph does not represent a difference in relative levels of influence/interest.  D nongovernmental organizations; DIRECTEMAR D Chil-
ean Navy—Direction of Maritime Territory and Merchant Marine; IFOP D Fisheries Development Institute; INPESCA D Eighth Region
Fishery Research Institute; SUBPESCA D Undersecretary of Fisheries and Aquaculture; SERNAPESCA D National Fisheries Service; SONA-
PESCA D National Society of Fisheries. Acronyms in Spanish.
236 E. PLOTNEK ET AL.

the artisanal SPHF. Promoters would be defined as “key Latin American manager based in Chile who works
players” since they would attach high interest and influ- on fishery engagement, and the fisheries teams from
ence to initiate and negotiate the implementation of the the NGOs World Wildlife Fund (WWF) in Chile and
project. Therefore it is important to have a united group CeDePesca, a Latin American NGO. WWF have a
of promoters who reach agreement on strategies to longstanding relationship with MSC (Kong et al.,
encourage the project (Newcombe, 2003; Field et al., 2002; Bush et al., 2013) and have previous experience
2013). In order to carry out such a project it might be promoting the MSC certification of small-scale fisher-
necessary to reposition several stakeholders to a pro- ies in developing countries, even financially support-
moter role. These include the fishermen and fishermen- ing fisheries that cannot cover the associated costs of
organizations (syndicates or unions) who would be certification (Perez-Ramırez et al., 2012). Thus, they
required to support the project, and the governmental could be appointed as a key facilitator in this project
agencies (SUBPESCA), who may be required to co-man- since previous experiences in certification indicate
age the project. that NGOs may play a key role in the process (Kong
A latent stakeholder attaches low interest to the et al., 2002; Bush et al., 2013; Deighan and Jenkins,
project, but their actions can affect its implementation 2015). For the case of the SPHF, NGOs may support
by actively supporting or rejecting the initiative (New- the rebuilding of the fishery through several mecha-
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combe, 2003). They are a key stakeholder group to nisms such as awareness and social support. WWF
engage (Figure 2) as they have the ability to directly specifically, may work to promote MSC certification
affect the fishery through promoting management ini- to stakeholders in the fishery.
tiatives and by carrying out projects within the fish- Since 2014, CeDePesca have been running a fisheries
ery. Furthermore, conflicts of interest may emerge improvement project (FIP) for the industrial SPHF. FIPs
during the implementation of the project. In some are not part of the MSC certification but they may vali-
cases the latent stakeholders, who belong to advocacy date the fact that a poorly-performing fishery is improv-
groups such as environmental and social NGOs, have ing performance to maintain access to markets (Deighan
potentially influential positions within the fishery, for and Jenkins, 2015). The FIP for the industrial SPHF
example WWF, Oceana and Ecoceanos work directly attends to rebuilding of the stock and assessing the
with the fishermen. Occasionally, some individuals or impacts in the demersal/benthic communities. It
organizations have revealed opposition or apathy to involves the action of governmental agencies (SUB-
MSC certification of this fishery, and it is likely that PESCA, INPESCA and IFOP); the financial facilitation
during the open process of certification objections on from SFP; the technical advisory of CeDePesca; the mar-
both scientific and social grounds may be expressed. ket pressure from Walmart (main customer for the
To avoid scientific criticism the fishery must ensure it industrial SPHF), and the National Society of Fisheries
is well prepared to enter the certification process. (Sociedad Nacional de Pesca, SONAPESCA) as the
Social objections would be more complicated to han- potential client to pursue MSC certification (SFP, 2015).
dle, as the influential position of these stakeholders Apathetic stakeholders cannot affect the implementa-
may sway opinions within the fishery, and effect the tion of the project and require minimal effort during
cooperation of fishermen. stakeholder management to keep informed (Newcombe,
The defendant stakeholders are those who attach a 2003). It could be advantageous to specific apathetic
high interest to the project but their actions would stakeholders to defenders, so that they would become
not have strong impact on its implementation. This allies to the project. This group includes the support
group, should be kept informed about the project as workers within the fishery and the domestic market
they could be allies to influence important stakehold- actors discussed below.
ers (Winch and Bonke, 2002; Newcombe, 2003), such Stakeholders frequently identified the lack of effec-
as fishermen and government, through pressure and tive management as a barrier to certification. Chile
lobbying. Defendant stakeholders include academics has a history of unsuccessful fisheries management
and NGOs (i.e., Sustainable Fisheries Partnership, (Asche et al., 2009; Gelcich et al., 2010; Smith et al.,
SFP); staff from MSC; staff from a third-party certifi- 2010) and management in general (Astudillo-Besnier,
cation body (Intertek); and staff from Pro Chile, a 2014) and despite new legal measures to improve this
governmental body promoting exports of Chilean management it is expected that it will take time for
goods and services (Figure 2). To better promote the the current situation to improve. Astudillo-Besnier
objective of achieving certification, three organizations (2014) criticizes the lack of a centralized ministry in
have been identified that should reposition themselves Chile to coordinate and implement a national fisher-
from defenders to promoters: MSC, as they have a ies agenda, which leads to unclear responsibilities and
REVIEWS IN FISHERIES SCIENCE & AQUACULTURE 237

frequent disruptions and cancellations of policies. It Market conditions and fishermen arrangements
was indicated during the interviews that government
The industrial SPHF exclusively exports its production in
agencies, such as SUBPESCA, require extra effort and
the form of frozen fillets, with a majority exported to the
personal drive from staff to achieve specific projects
USA, Germany and Italy (SFP, 2015). The artisanal sec-
such as the certification of a fishery, including the
tor supplies the domestic market, but frequently a lack of
long-term preparation and involvement of specific
records makes traceability difficult. Two distinct distri-
managers concerned with the fishery. Often, there are
bution channels for the artisanal sector were observed
not readily available means or policies to carry out
(Figure 3): (1) on arrival to the caleta fishermen supply
private initiative projects such as certification.
their product directly to the public looking to purchase
Most stakeholders considered that the future of the
fresh fish (»US$1.40 per kilo). (2) On arrival to the
artisanal SPHF depends on the performance of the man-
caleta fishermen sell either all or the majority of their
agement committee and the effectiveness and prompt-
landings to intermediaries who are waiting with refriger-
ness of the management plan. At present, the absence of
ator vehicles; the hake passes through an indefinite num-
a well-implemented management plan delays the pro-
ber of steps from the initial intermediary through further
gression of stock recovery. Furthermore, the lack of obli-
intermediaries where the price progressively increases
gation to fulfill targets and drawn-out processes to
until it reaches the final consumer. The latter form of dis-
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implement changes were also identified as problems.


tribution is the most common. Hake is sold in boxes that
Some stakeholders voiced concerns that conflicts within
hold approximately 25 kilos. According to statements
the committee will impede the realization of goals. In
from fishermen the price paid in the caletas varies
addition, within the management committee, MSC certi-
between US$5 – $65 per box. According to workers in
fication is not a priority and most stakeholders had no
the central market in Santiago the same box of fish sells
deeper understanding of certification.
for up to US$100. The price fluctuates daily and depends
The current poor condition of the stock was widely
predominantly on supply from other caletas and regions
acknowledged by stakeholders and it was unanimously
(fieldwork, May-August 2014). There is no process of
agreed that the stock would not achieve the MSC
adding value to the product and all cleaning, gutting and
requirements. Even though costs of certification were
filleting takes place once the hake is sold to a restaurant
not mentioned as a main barrier, most stakeholders were
or market stall.
concerned that complying with the conditions and rec-
The artisanal SPHF shows inequitable top-down com-
ommendations set to achieve and maintain certification
mercial regulation due to the disorganized supply from a
requires time, money and effort. This is in line with
weak and disunited entity (the fishermen) to an infor-
previous studies where pursuing certification is identified
mally organized group (final traders) controlling first
as complex, expensive and a sometimes challenging
purchase prices. This leads to collusion between traders
process (May et al., 2003; Macfadyen and Huntington,
which reduces competition and leads to lower prices for
2007; Perez-Ramırez et al., 2012; Auld et al., 2014;
the fishermen. The final traders operate over all the
Bellchambers et al., 2014).

Figure 3. Distribution channels identified for the artisanal sector of the South Pacific hake fishery. The arrows indicate flow of commodi-
ties and the boxes represent stages in the chain (fishermen, intermediaries, markets and consumers). The continuous line shows the pre-
dominant method of commercialization and the dotted line is a minor form of commercialization. The chain is split by a grey-dotted line
that represents the first point where value is added to the product.
238 E. PLOTNEK ET AL.

regions transporting fish to the centralized fish markets may impact the traders and fishery support workers
of Chile, and set the price taking advantage of the perish- (apathetic stakeholders) as well fishermen (latent stake-
able nature of the product, so that the previous trader holders) who depend on the SPHF.
prefers to sell all his cargo rapidly at a reduced price. From a certified-market perspective, demand for MSC
Traders apparently restrict entry to new intermediaries, products had increased in the European Union and the
or any new intermediary must comply with their practi- United States (Parkes et al., 2010). Perez-Ramırez et al.
ces or they will be excluded from trade through eco- (2015) argue that in Latin American and the Caribbean the
nomic harm, especially if they are trying to give a better local market has little interest in the MSC and most certi-
or a “fair” price to the fishermen. Traders seem to facili- fied fisheries harvest high-value species with export-ori-
tate the underreporting of catches and illegal fishing; ented markets. This opinion was reaffirmed by several
interviewed fishermen explained that the intermediaries stakeholders surveyed in this study who believe that there
maintain contact with one another, advise one another is no “culture” for this kind of product on the Chilean
where SERNAPESCA are carrying out compliance and domestic market. Both the lack of local consumer demand
control, and also to advise one another when they can and producer awareness leaves little desire for this fishery
enter the fish market without control. to participate in MSC certification. South Pacific hake is
On the other hand, the fishermen usually become not considered to be a premium product nor is the public
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indebted to the trader by informal and unregulated loans widely aware of its sustainability status. There is seemingly
(i.e., ice, fuel and boat repairs) and they thereby repay no beneficial vision in terms of certifying this sector for
these loans by selling their catch to this trader. These financial market benefits, even though it would be advanta-
habitual practices in artisanal fisheries make the fisher- geous for the recovery of the fish stock and prohibit under-
men vulnerable (Jacinto and Pomeroy, 2011; Nayak reporting. Furthermore, without the ability to self-
et al., 2014). Nevertheless, surveyed fishermen do not sell commercialize, the fishermen would require support to
directly to the market because: (1) they would require execute a project to obtain certification.
immediate payment; (2) the traders facilitate the under- From the surveyed fishermen (n D 64), a majority
reporting of landings so they prefer to extend their (62%) of the households were dependent on at least half
quota; (3) they claimed they did not have the knowhow of their monthly income from the SPHF. This pattern is
to sell directly to market; (4) infrastructural deficiencies consistent with other coastal small-scale fisheries where
(i.e., transportation and refrigeration units). It is note- a single species is vital to the local livelihoods (Cinner
worthy that in small-scale fisheries in developing coun- et al., 2008; Nayak et al., 2014). Therefore, dependence
tries, infrastructural deficiencies affect the majority of on the fishery may have a strong bearing on the conduct
the post-harvest activities causing poor commercial con- of the fishermen in the face of restrictions from the gov-
ditions (Bene et al., 2010). Exceptions are some caletas in ernment, like closed seasons and quota reductions, with
the VII region (Figure 1) which are supplying the market a general tendency to violate regulations that may affect
by independently commercializing their products the subsistence of the household. In this case, is possible
through syndicates to control the price and protect the that fishermen are subjected to what is known as a pov-
resource. This commercial arrangement only occurs in erty trap, where they may not overcome chronic low-
caletas with multi-species fisheries since the low quota income situations and consequently remain in poverty
registered for the SPHF cannot provide sufficient income (Cinner et al., 2008). For instance, 34% of the fishermen
to sustain the fishermen’s livelihood. were boat owners and the rest were artisanal fishermen
The overbearing market structure in most of the cale- who operated as crew on the boat. Crew received a lower
tas of the artisanal SPHF, with unregulated commerce share of the earnings per trip compared to the boat
and lack of traceability, is likely to obstruct a plan for owner (Table 3). This division between crew and boat
certification due to issues with illegal fishing (i.e., overf- owner contributes to the socio-economic disadvantage of
ishing). To overcome some of the mentioned issues the the fishermen and the observed fragmentation within the
market should be formalized, preferably with simulta- artisanal SPHF, since within some caletas there even
neous regulation of the fishery and commerce through existed separate organizations (syndicates) for the boat
actions by both the state and the fishing community owners and fishermen.
(Jacinto and Pomeroy, 2011). Currently there is no gov- Generally within a caleta there is at least one syndicate
ernment ministry specifically for regulating commerce in for the fishermen, the syndicate organizes and may give
the artisanal SPHF, and responsibilities fall between SER- collective power to the fishermen and in a few cases may
NAPESCA, SUBPESCA, and the Ministry of Economy. manage earnings so the fishermen get returns during the
It should be considered that a market restructure as a year. The syndicate has legal status and can be used as a
consequence of a potential project to certify the fishery platform to applying for projects and funding from
REVIEWS IN FISHERIES SCIENCE & AQUACULTURE 239

Table 3. Summary of the fishing crew share of the earnings within the artisanal South Pacific hake fishery.
Boats features Fishing crew Division of the earnings Expenses Fishing gear

<10 m length Boat owner and 2 or 3 Boat owner D 60% of the total earnings; Expenses are Each member carries his own fishing
crew fishermen D 40% in equal parts or deducted from the gear (generally 4 nets per fishermen)
Boat owner D 50% of the total earnings; total income which is added to the fishing gear of
fishermen D 50% the boat owner
12–16 m length Boat owner, skipper Earnings are divided into 12 shares; one The owner pays all the Each member carries his own fishing
and 5 to 7 for each crew member, two for the expenses of the gear (generally 4 nets per fishermen)
members of crew skipper and three for the boat owner boat which is added to the fishing gear of
the boat owner

NGOs, businesses, and/or the government. Nevertheless, cohesion and well-defined internal rules set by the fisher-
there is wide variation among and between caletas in men may explain high scores in Principles 1 and 3
organization, involvement, cooperation, size and invest- (Perez-Ramırez et al., 2015). Thus, it might be valuable
ment, which results in a lack of consolidated community to strengthen the organization of the fishermen through
order in the fishery. The fragmentation within and local stewardship (Gelcich et al., 2009; Castilla, 2010;
between the caletas may be considered as an important Gutierrez et al., 2012).
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barrier to certification because the lack of organization Attitudes on recent government policies and manage-
and poor leadership in the fishery may hinder changing ment of the fishermen indicate the perception that gov-
practices toward fishery performance, furthermore prob- ernment policies do not favor the artisanal fishery
lems may occur when trying to engage fishermen into (Figure 4). This opinion is part of a recurring conflict in
improvement projects (Gutierrez et al., 2012). Specifi- Chile where it is perceived that the industrial fisheries
cally in Latin American and the Caribbean MSC-certified are favored over the artisanal sectors, despite legislation
fisheries, spatial property rights driven by strong social reform which highlights a national-scale transformation

Figure 4. Fishermen attitude measurement on recent government policies and management of the South Pacific hake fishery (SPHF)
(n D 64). Strongly disagree; disagree; neither agree or disagree; agree; strongly agree.
240 E. PLOTNEK ET AL.

toward a more sustainable and comprehensive pathway, helped to persuade reluctant fishermen to comply with
which is advantageous to the artisanal sector (Castilla, the prevailing policy of bycatch levels and discards (i.e.,
2010; Gelcich et al., 2010). The fishermen also conveyed Perez-Ramırez et al., 2015).
clear opinions that the quotas for the artisanal SPHF are After a short capacitation on certification 73% of fisher-
not sufficient (Figure 4), although some fishermen men surveyed agreed that they considered certification as
observed that low quotas were necessary for sustaining appropriate in their caleta. When asked regarding their
the fishery. Most artisanal fishermen already view them- expected benefits from certification the answers were related
selves as being sustainable and consider that it is their to improving income or adding value to their product. This
responsibility, as a fishery, along with the government to is reflected both cumulatively in the ranking of the most
ensure sustainability (Figure 4). Nevertheless, some fish- important benefits, and also these were the benefits most
ermen highlighted that when possible, they have not will- frequently ranked in first place (Figure 5A). More than half
ingly changed their fishing effort with the reduction in of the fishermen either selected increased income or better
quota. Instead when conditions allow it they continue price for hake as their first option and both options were
underreporting catches. This perception may be an linked to the desire to receive more money for their product.
opportunity to implement certification as it serves to Selection between these two answers were justified by con-
attract the fishermen using the tangible status benefit of sidering that either a better price would lead to increased
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being sustainably certified, rather than promoting MSC income, or conversely that a better price at market is likely
certification as a market tool that it is unlikely to fulfill. to only benefit those higher in the commercial chain, there-
In other small-scale fisheries MSC certification has fore they only desire a better income. Other potential

Figure 5. A. Cumulative frequencies of benefits during ranking a list of suggested expected benefits from MSC certification of the South
Pacific hake fishery. Frequency of selection in order 1–3 (most important to least important) from left to right. B. Cumulative frequency
of selection during ranking a list of suggested expected barriers. Frequencies of selection are cumulative and rank order is from 1–5
(most important to least important) going from left to right for ranked selection of each barrier.
REVIEWS IN FISHERIES SCIENCE & AQUACULTURE 241

benefits were related to protecting the fishery and the future underreporting of catches in the artisanal fishery, the
of the fishery, and some fishermen were interested in the fishing gear and mesh sizes used in the artisanal fishery,
idea of gaining access to new markets (Figure 5A). Some the capture of small individuals from the target stock
fishermen did not know enough about certification to make and nontarget species in the industrial fishery, the dura-
a clear judgment or did not want certification based on lack tion and compliance of the closed season, and in addi-
of trust in such schemes, and concerns it would be too diffi- tion investing in ecosystem based studies which
cult to achieve and consist of paperwork. potentially may require further modifications to the fish-
By contrast, the selection of barriers to certification ery. Long-term efforts in these areas may be carried out
was fairly evenly spread, with cumulatively lack of state by using the MSC Standard as a diagnostic tool to iden-
support and lack of knowledge about certification identi- tify the improvements required to move the fishery
fied as the most important barriers (Figure 5B). The towards better performance. Yet, if an intention emerges
term “certification” amongst several fishermen had a to certify the artisanal SPHF, it would be beneficial to
negative connotation, related to obligatory certification consider the implementation of the MSC Standard into
that signifies restrictions, control and barriers for them public policy (for example inclusion of the MSC criteria
to continue working in the fishery. In contrast, fishermen when developing management actions for the fishery).
understood that a lack of control of illegal fishing may be Even though MSC has proven as a successful tool in
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a main barrier to certification and was commonly chosen some Latin America and Caribbean fisheries, and shows
as the first option. The least frequently chosen options environmental, social, and/or economic benefits for
were ethical considerations, that the fishermen were not some artisanal fisheries, it should be considered that it is
interested or not committed (Figure 5B). Through par- not necessarily an appropriate tool for all fisheries alike.
ticipant observation (Wolcott, 2002), this study consid- Pursuing certification must consider the market, politi-
ered that certification would be of little importance to cal, organizational and social features on a case by case
the artisanal sector, as currently sustainability is not the basis. Aside from the previously mentioned barriers to
primary interest of the fishermen and there is a perceived certification, this study also indicated that the current sit-
incentive to continue exploiting the fishery, due to the uation of the artisanal SPHF is not the most appropriate
lack of control and/or monetary incentives. Furthermore, for certification, since it may not offer economic benefits
the fishermen either did not fully understand or would to the sector due to the domestic market features and as
not accept the scientific information about the poor state MSC certification is not promoted to stakeholders of the
of the stock; this is combined with a poor understanding artisanal sector.
of the current law, which as a result leads to persistent
non-compliance. When asked to identify any disadvan-
tages of certification, concerns were raised about the cost
Acknowledgments
of certification and the reality that benefits may not reach Authors thank the interviewees who were willing to talk about
the fishermen. These findings are in line with MSC certi- MSC certification. The study is part of the Master Thesis con-
fication experiences in developing countries, but inde- ducted by the first author. John Shepherd (University of South-
ampton), Rodrigo Polanco (MSC-Latin America) and Cassie
pendent to the MSC Standard application (Eklof, 2008;
Leisk (MSC Developing World Team) provided useful com-
Macfadyen and Huntington, 2007; Perez-Ramırez et al., ments during the study. Claudio Villegas provided fieldwork
2015; Stratoudakis et al., 2015). assistance. Almendra Villela (CONACYT, Mexico) made
Figure 1 improvements.

Conclusions
Funding
The study shows that there are several barriers to certifi-
cation and that presently these barriers would not only The study was done with the financial support of World Wild-
prohibit the fishery from pursuing MSC certification, but life fund for Nature (WWF) Chile.
would also hold back a project to certify the fishery in
the near future. Barriers included an over-exploited
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