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Social-Ecological Systems Meta-Analysis Database: Variables

Variable TypeBinary
Variable Component TypeActor
Variable KindInteraction
ThemeEnforcement (learn about themes)
ProjectsSESMAD, Fiji fisheries
QuestionAre sanctions applied by other actor groups to the members of this group for violations of rules regarding extraction or emission? And if so, are these sanctions graduated (increasing with severity and repetition of offenses)?
Select Options
Unit
RoleCommonsUser
ImportanceSanctioning deters participants from excessive violations of rules. This should contribute to the effectiveness and robustness of the governance systems (Cox et al. 2010). When sanctions are enforced, resource (over-)users or pollution emitters are obliged to internalize some of the negative externalities they produce on other actors. This variable is related to one of the design principles.
Definition

Sanctions can include a diversity of forms of social shunning, fines, extra regulations or the complete prohibition of resource use or pollution emissions (Ostrom 1990).

Sectors

Theory Usages

TheoryValue Used
Bans and perverse incentivesYes
Crowding out from external sanctioningYes
Ecological effectiveness of MPAsYes
Critique of fortress conservationYes
EnforcementYes (or substituted with self sanctioning)
Numeric managementYes
Pigouvian taxesYes
Centralized conservationYes
Payment for ecosystem services (PES)Yes
EcolabelsYes

Case Usages

CaseInteraction TypeComponentValue UsedExplanation
Forests in IndonesiaGovernanceLarge Extractive Industries in IndonesiaYesIn theory, the central government could sanction members of this group for violating extraction rules. In practice, this happened rarely (and could have been related to broader political dynamics - i.e. those sanctioned might have fallen out of political favor).
Forests in IndonesiaGovernanceIndonesian "Adat" CommunitiesYesAdat communities were subjected to severe sanction for their use of forests during this period, and were often blamed for forest degradation that was explicitly caused by other actors (such as extractive industries). Sanctioning included the use of the military against protesting adat communities.
Forests in IndonesiaGovernanceIndonesian Local entrepreneursYesAlthough infrequent, there are some examples of the central govt. taking action against local entrpreneurs for their illegal activities.
Forests in IndonesiaGovernanceIndonesian "Adat" CommunitiesYesIndonesian forest officials sanction this group for violating restrictions on forest use, but it is not clear whether this happens frequently.
Forests in IndonesiaGovernanceCivil society organizations in IndonesiaNothis group is not sanctioned because it is primarily engaged in monitoring, not using.
Montreal ProtocolGovernanceOzone Depleting Substance Industrial ProducersYesSanctions may be applied to industrial users by nation states.
Forests in IndonesiaGovernanceLarge Extractive Industries in IndonesiaYesThe Indonesian central government during this period began to occasionally enforce laws against extractive industries illegal activities.
Community H (Fiji Fisheries)GovernanceCommunity HNo
International Commission for the Protection of the Rhine (ICPR)GovernanceICPR nations (1976-1986) 
International Commission for the Protection of the Rhine (ICPR)GovernanceRhine chemical firmsYesForeign interest groups (i.e. waterworks associations) used national courts to sue industrial firms
Great Barrier Reef Marine ParkGovernanceGBR recreational fishersNoCorals are not targeted for extraction. In theory, if someone does illegally harvest them, they would be sanctioned, but in practice, there are not enough enforcement personnel to monitor recreational catches. Hence infractions are rarely caught.
Great Barrier Reef Marine ParkGovernanceGBR commercial fishersYes
Great Barrier Reef Marine ParkGovernanceGBR recreational fishersNoCorals are not targeted for extraction. In theory, if someone does illegally harvest them, they would be sanctioned, but in practice, there are not enough enforcement personnel to monitor recreational catches. Hence infractions are rarely caught.
Community D (Fiji Fisheries)GovernanceCommunity DNo
Great Barrier Reef Marine ParkGovernanceGBR commercial fishersYesGovernment agencies sanction this group. Information about graduated sanctions not available
Central California National Marine Sanctuaries GovernanceCalifornia Academic ResearchersYesThe Sanctuary and CDFW can impose sanctions. Uncertain if graduated, but likely during criminal prosecution.
Macquarie Island Marine ParkGovernanceAustralian Toothfish FishersYesFishers could be punished by AFMA for violating rules; and MSC certification could be revoked by the Marine Stewardship council.
Montreal ProtocolGovernanceOzone Depleting Substance Industrial ProducersYesNation states may sanction this group for rule violations of national level laws
Galapagos Marine Reserve (GMR)GovernanceGalapagos Artisan FishermenNoDetection capacity has increased during this time frame, however sanctions are very rarely applied. Ecuadoran Navy responsible for applying sanctions.
Wakatobi National Park GovernanceWakatobi Bajau fishersYesThere are sanctions associated with destructive fishing and illegal marine resource use, these are applied by the management actor (Clifton 2013). However to what extent these sanctions are applied is not clear (de jure vis a vis de facto)
Wakatobi National Park GovernanceWakatobi Bajau fishersYesThere are sanctions associated with destructive fishing and illegal marine resource use, these are applied by the management actor (Clifton 2013). However to what extent these sanctions are applied is not clear (de jure vis a vis de facto)
Wakatobi National Park GovernanceWakatobi Bajau fishersYesThere are sanctions associated with destructive fishing and illegal marine resource use, these are applied by the management actor (Clifton 2013) - but the extent to which they are applied in practice is unclear. The Management actor can apprehend but not have the power to prosecute/impose fines, only the police can do that (Julian Clifton pers comm).
Galapagos Marine Reserve (GMR)GovernanceGalapagos Tourism SectorYesYes there are regulations on tourism - both in terms of specific rules and numbers and times allowed to visit certain sites, e.g. each vessel has different allowed numbers, times and locations. Not sure what the sanctions are if breached, but 3 strikes and permit is removed - so counting this as graduated.
Raja Ampat (National Act No. 32 2004)GovernanceRaja Ampat Artisanal FishersYesYes there is enforcement within the MPAs and sanctions have been applied (to e.g. bomb fishers)
Raja Ampat (National Act No. 32 2004)GovernanceRaja Ampat Artisanal FishersYesYes there is enforcement within the MPAs and sanctions have been applied (to e.g. bomb fishers)
Raja Ampat (National Act No. 32 2004)GovernanceRaja Ampat TourismNot Applicable
Raja Ampat (National Act No. 32 2004)GovernanceRaja Ampat Artisanal FishersYesYes there is enforcement within the MPAs and sanctions have been applied (to e.g. bomb fishers, not for taking turtles as far as I'm aware)
Seaflower MPAGovernanceSeaflower artisanal fishersNot Applicable
Svalbard Nature ReservesGovernanceSvalbard Shrimp FishersYesThe regulations for fishing are clearly defined, and any infraction of the rules could result in penalty. I have not found information on the exact penalties, but it is highly likely that sanctions are graduated.
Macquarie Island Marine ParkGovernanceAustralian Toothfish FishersYesAFMA may sanction fishers for violation of rules and MSC certification may be revoked.
Central California National Marine Sanctuaries GovernanceCalifornia Groundfish FishermenYesThe California Department of Fish and Wildlife, the Pacific Fisheries Marine Council, and the Sanctuary Offices can all impose sanctions on the fishermen. Unknown if they are graduated sanctions*.
Community C (Fiji Fisheries)GovernanceCommunity CNo
Great Barrier Reef Marine ParkGovernanceGBR recreational fishersYesFines are given if infringement is caught. Not sure about graduated levels.
Central California National Marine Sanctuaries GovernanceCalifornia Academic ResearchersYesIf researchers violate laws associated with humpbacks, the Coast Guard, Sanctuary, or NMFS can impose sanctions on them. Though this is rare. (*Uncertain if graduated)
Central California National Marine Sanctuaries GovernanceCalifornia Sanctuary Recreational UsersYesThe Sanctuary, Coast Guard, and NMFS monitor recreational users and enforce any law violations. Jail time and fines are likely graduated*
Svalbard Nature ReservesGovernanceSvalbard TourismYesThe Governor (a Resource Manager) has the ability to prosecute environmental violations. Although I have not found specific information about the value of fines for specific activities, sanctions are most likely graduated, and determined by the governor based on the level of severity. Note that sanctions (fines) for environmental infractions would be more commonly applied to individual tourists, rather than the tourist companies.
Great Australian Bight Marine Park (GABMP) (Commonwealth Waters)GovernanceGABMP (Commonwealth Waters) Commercial FishersYesThere are sanctions outlined in the Environment Protection and Biodiversity Conservation Act (Subdivision C - 229) that are applied by the Minister for the Environment for violations of rules regarding the southern right whale and these sanctions are graduated. The Director of National Parks is responsible for regulating uses of the Park such as prosecuting for offenses under relevant State and Commonwealth laws through the appropriate legal channels.
Seaflower MPAGovernanceSeaflower artisanal fishersYesCORALINA is in charge of enforcing the rules and prosecuting violators.
Heard and McDonald Islands Marine ReserveGovernanceAustralian Toothfish FishersYesFishers could be sanctioned by the AFMA for violating rules. Also certification could be revoked by the Marine Stewardship Council if rules are violated.
Great Barrier Reef Marine ParkGovernanceGBR commercial fishersYesThere are financial penalties for non-compliance and the severity of the violation.
Great Australian Bight Marine Park (GABMP) (Commonwealth Waters)GovernanceGABMP (Commonwealth Waters) Commercial FishersYesThe Australia Fisheries Management Authority monitors the compliance of concession holders across the Commonwealth fisheries. Non-compliance, through contravention of the Fisheries Management Act 1991 and related legislation, is detected through analysing information. Sanctions are outlined in the Fisheries Management Act and are graduated according to the severity and repetition of offenses. Even though the management actor group coded for this case, the Director of National Parks, does not apply the sanctions, the Director is still responsible for management of the GABMP (CW). This includes monitoring and assessing compliance to Prescriptions outlined in the Management Plan that regulate commercial fishing in the Park and prosecuting for offenses under relevant State and Commonwealth laws.
Svalbard Nature ReservesGovernanceSvalbard TourismYesThe Governor (part of the Resource Managers) has the ability to prosecute environmental violations. Although I have not found specific information about the value of fines for specific activities, sanctions are most likely graduated, and determined by the governor based on the level of severity.
Community F (Fiji Fisheries)GovernanceCommunity FNo
Community E (Fiji Fisheries)GovernanceCommunity ENo
Cenderwasih National ParkGovernanceCenderwasih fishersYesSanctions are applied by the management actor. Not sure on the extent to sanctions have been applied to local fishers.
Community G (Fiji Fisheries)GovernanceCommunity GNo
Great Barrier Reef Marine ParkGovernanceGBR commercial fishersNot Applicable
Cenderwasih National ParkGovernanceCenderwasih fishersYesSanctions have been applied within the MPA (WWF 2015) - but not sure if this was to local fishers, or outsiders?
Community B (Fiji Fisheries)GovernanceCommunity BNo
California squidGovernanceCalifornia market squid fishermenYesYes, sanctions imposed by CDFW. Primarily fines, but also jail. Licenses can be suspended or revoked as well. Yes graduated- both in terms of first, second, but also if second within a certain time period (e.g. second offense within a year).
Falkland Islands squidGovernancePatagonian Squid TrawlersYesYes, primarily fines or loss of license privileges. Not jail. Mostly confiscation. Likely graduated, but mostly reflect level of violation (amount misreported).
New Zealand squidGovernanceNew Zealand Arrow Squid FishersYesThe Fisheries Act 1996 puts a strict liability offence on any person who buys, sells or possesses fish, other aquatic life or seaweed, taken in contravention of the Act. Significant penalties are imposed on persons fishing commercially without a fishing permit. These include fines of up to $250,000, imprisonment up to 5 years and/or forfeiture of gear, vessels, or vehicles used in the commission of the offense. Mostly fines in fees, if don't pay have to give more feeds, also can take property, keep your employer from paying you, and keep you from leaving the country (NZ 2010). *uncertain if graduated
Great Australian Bight Marine Park (GABMP) (Commonwealth Waters)GovernanceGABMP (Commonwealth Waters) Commercial FishersYesThe Australia Fisheries Management Authority monitors the compliance of concession holders across the Commonwealth fisheries. Non-compliance, through contravention of the Fisheries Management Act 1991 and related legislation, is detected through analysing information. Sanctions are outlined in the Fisheries Management Act and are graduated according to the severity and repetition of offenses
Community A (Fiji fisheries)GovernanceCommunity ANoAlthough the government is technically able to apply sanctions; external sanctions are rare.
Heard and McDonald Islands Marine ReserveGovernanceAustralian Toothfish FishersYesAFMA could sanction fishers for rule violations; MSC certification may be revoked.