towards-ecosystem-based-management-of-the-humboldt-current-large-marine-ecosystem-(hclme)-strategic-action-program-(sap)

GEF-UNDP-HUMBOLDT PROJECT PIMS 4147“TOWARDS ECOSYSTEM BASED MANAGEMENT OF THE HUMBOLDT CURRENT LARGE MARINE ECOSYSTEM HCLME” STRATEGIC ACTION PROGRAM SAP June 2016... With a view to pr

GEF-UNDP-HUMBOLDT PROJECT PIMS 4147

“TOWARDS ECOSYSTEM BASED MANAGEMENT OF THE

HUMBOLDT CURRENT LARGE MARINE ECOSYSTEM (HCLME)”

STRATEGIC ACTION PROGRAM (SAP)

June 2016

This Program and its annexes do not affect, repeal or infringe the sovereign rights either regardingthe legal status of both countries, territories, cities, areas and authorities, or regarding thedelimitation of their borders or boundaries

ACKNOWLEDGEMENTS

The Project Steering Committee acknowledges the invaluable contribution of the Technical Working Groups (TWG) members from each country, who tirelessly participated in the binational workshops and a number of national meetings that led to the achievement of the Strategic Action Program (SAP) with the appropriate technical rigor and

according to the specific perspectives and characteristics of Chile and Peru We gratefully acknowledge the co-financing and technical support provided by the Global EnvironmentFacility (GEF) and all the assistance provided by the United Nations Office for Project Services(UNOPS) and the United Nations Development Programme (UNDP) during the Project executionand follow-up

PAGES OF SIGNATURES - SAP DOCUMENT AGREED BY THE GOVERNMENTS OF

CHILE AND PERU

Institute of Fishing Promotion (IFOP) Chile (Round seal and signature)

Leonardo Núñez Montaner

Executive Director

Institute of the Sea (IMARPE) Peru (Round seal and signature)

Scientific Executive Director

Undersecretariat of Fisheries and Aquaculture (SUBPESCA) Chile (Round seal and signature)

Raúl Súnico Galdames

Undersecretary of Fisheries and Aquaculture

Ministry of Production Peru

Juan Carlos Requejo Aleman (Round seal and signature)

Deputy Minister of Fisheries and Aquaculture

Ministry of Environment Chile

Marcelo Mena Carrasco (Round seal and signature)

Undersecretary of Environment

Ministry of Environment Peru

Gabriel Quijandría Acosta (Round seal and signature)

Deputy Minister of Strategic Development for Natural Resources

National Fisheries and Aquaculture Service (SERNAPESCA)

Jose Miguel Burgos Gonzalez (Round seal and signature)

National Director of SERNAPESCA

National Service of Natural Protected Areas (SERNANP)

Pedro Gamboa Moquillaza (Round seal and signature)

Head of SERNANP

Ministry of Foreign Affairs of Chile

Edgardo Riveros Marín (Round seal and signature)

Undersecretary of of Foreign Affairs of Chile

Ministry of Foreign Affairs of Peru

Eric Anderson Machado (Round seal and signature) Ambassador, Responsible for the Office

of the Deputy Minister of Foreign Affairs of Peru

Date:

LIST OF ACRONYMS vi

EXECUTIVE SUMMARY 1

INTRODUCTION 6

I CHALLENGE AND OPPORTUNITIES 12

III INSTITUTIONAL AND POLITICAL COMMITMENTS 14

IV JOINT VISION 15

LIST OF ACRONYMS

and Flora

(Peru)

DIRECTEMAR Directorate-General of the Maritime Territory and Merchant Marine

(Chile)

FDI Development and Innovation Fund (Chile)

Peru

(Chile)

MIN RR.EE

MINREL

Ministry of Foreign Affairs (Peru) Ministry of Foreign Affairs (Chile)MINAM

MMA

Ministry of Environment (Peru)Ministry of Environment (Chile)

TP Transzonal problem

Waterfowl Habitat

UNFV-FOPCA Federico Villareal National University – School of Oceanography,

Fisheries, Food Science and Aquaculture (Peru)UNOPS

EXECUTIVE SUMMARY

The Humboldt Current Large Marine Ecosystem (HCLME) stands out as one of the world’s mostproductive marine ecosystems It is characterized by the permanent upwelling of subsurface,relatively cold, nutrient-rich waters, which is a key factor for high marine productivity An array ofhabitats coexists within this ecosystem, which sustains important fisheries worldwide Pelagic,demersal, benthic, estuarine, coastal and deep-water habitats, such as seamounts and submarinecanyons, stand among the most important systems, all of which can be vulnerable to humaninteraction as they host fragile endemic species that are difficult to recover when they are affected.Another feature of the HCLME is related to changes that can impact the provision of goods andservices caused by environmental variability in different timescales ranging from interannualoccurrences like El Niño/Southern Oscillation, to interdecadal changes such as global warming

Anthropogenic activities related to an increase in the production processes and services such asartisanal and industrial fishing, urban development, increasing shipping activities, infrastructureprojects, agriculture, mining, increasing tourism activities, among others, in addition to the naturalaspects of environmental variability, represent the main sources of habitat and marine biodiversityalteration, and in general, an alteration in the provision of goods and services of the HCLME

With a view to promoting an Ecosystem-based management (EBM) of the HCLME, theGovernments of Peru and Chile in 2010 agreed to co-finance in conjunction with the GlobalEnvironment Facility (GEF) the Humboldt Project PIMS 4147 “Towards Ecosystem-BasedManagement of the Humboldt Current Large Marine Ecosystem” The management andimplementation of this project were carried out with the support of the United NationsDevelopment Program (UNDP) and the United Nations Office for Project Services (UNOPS) through

a binational Regional Coordination Unit (RCU) The focal points were the Institute of FishingPromotion (IFOP) in Chile and the Institute of the Sea (IMARPE) in Peru

The Project goal is to advance towards a sustainably used and resilient HCLME that can maintainbiological integrity and diversity and ecosystem services for current and future generations despitechanging climate and social pressures The Project objective is: “To advance towards Ecosystem-

-based management (EBM) in the HCLME through a coordinated framework that enhancesgovernance and the sustainable use of living marine resources and ecosystem services.” In order toattain the established objectives, the Project organized a set of activities and workshops involvingexperts from different public and private institutions in the fields of fisheries and environmentalsciences The experts formed a Technical Working Group (TWG) for each country and their workresulted in four main outputs: an Ecosystem Diagnostic Analysis for each country (EDA Chile andEDA Peru), the Transzonal Ecosystem Diagnostic Analysis (TEDA) and the Strategic Action Program(SAP) presented hereafter The applied methodology followed the guidelines set by the IW:LEARNTEDA-SAP Process by UNDP (TEDA-SAP training course) and the Project document, considering eachcountry’s characteristics and outlook.

The Strategic Action Program (SAP) is a political document aimed at guiding action It is part of theprocess that attempts to define and agree on the implementation of responses to the transzonalproblems and the common problem identified in the TEDA for the HCLME The SAP purpose is toadvance towards a sustainable use of the HCLME goods and services by managing and preservingnatural resources within a coordinated action framework among the two countries to guaranteethe fulfillment and permanent satisfaction of human needs for current and future generations.The SAP document includes a Vision, General Objectives, Specific Objectives and Actions with theircorresponding indicators to measure their progress, identify responsible institutions and estimatecosts Furthermore, this program is framed within the sustainable development principles and theecosystem approach proposed by FAO, as well as within the legal system of both countriesincluding the legally binding and the voluntary international instruments that each country hasendorsed or adopted

The TEDA, as essential part of the SAP led to the identification of the following transzonalproblems1:

 Suboptimal exploitation of fishery resources

 Anthropogenic disturbances of the marine ecosystem

1 Transzonal problem: a problem that occurs or happens in territorial waters in one country and which causes a negative impact in the provision of goods and services provided by the HCLME in the territorial waters of both countries -

And a common problem2:

 High bycatch rates or accompanying fauna and discards3

The major impacts of the identified problems relate, to a greater or lesser extent, to the reduction

in abundance or availability of the exploited resources, as well as their associated and dependentspecies, changes in trophic relations, biodiversity alteration, habitat and water quality alterationand degradation, and economic and employment losses, mainly for coastal communities Theseimpacts affect food security beyond the effects caused by the natural environmental variability ofthe HCLME (TEDA 2015)

The identified transzonal problems and the common problem were assessed through the CausalChain Analysis (CCA) to establish the origin of immediumte, underlying and root causes Thisanalytical approach is a key component of the TEDA formulation process, as it is the base to planthe interventions included in the current SAP to address the problems from their root causes.The identified root causes of the transzonal problems and the common problem were classedaccording to the following criteria: 1) Knowledge, 2) Social causes, 3) Economic causes, 4)Governance and 5) Institutional causes Based on these groups, the main leverage or action pointswere defined to articulate the TDA-SAP Process, identifying possible interventions in key aspectsand working with the relevant institutions in order to reduce, eliminate or mitigate theenvironmental and socioeconomic impacts caused by the identified problems

Within the framework of coordinated action between both countries, the SAP pursues thefollowing long term vision: “A healthy, productive and resilient Humboldt Current Large MarineEcosystem (HCLME), through Ecosystem-based management to guarantee conservation andsustainable use of its goods and services for the benefit of their peoples”

2 Common problem: is a problem that is produced in a similar way in two countries (TEDA, 2015).

3 In Peru, bycatch are all catches that are not target species In Chile the Law 18.892 of 1989 and its amendments,

General Law on Fisheries and Aquaculture provides that: Article 2, 14) bis Discard is the action of returning to the sea hydrobiological species that have been catched 21) Accompanying fauna comprises hydrobiological species that temporarily or permanently occupy a common maritime space with the target species and, due to the technological effect

of fishing gear or arts, are catched when the fishing vessels direct their fishing effort to exploit the target species 21 bis) Bycatch refers to the species that are not part of the accompanying fauna and comprises marine reptiles, seabirds and marine mammals

-This vision considers Ecosystem-Based Management as the most suitable management strategy,focusing on the ecosystems sustainability, considering social, political and economic aspects, andrecognizing that human beings and their cultural diversity are part of the ecosystem At the sametime, the vision adopts the adaptative management as a flexible system that during the SAPimplementation will allow actors to gradually modify, update, improve and optimize mechanisms orprocedures involved in the proposed actions.

With this view, five general objectives are set in the SAP:

1 To recover and maintain optimal population levels of the main fishing resources, taking intoaccount environmental variability and maintaining the ecosystem health and productivity

2 To improve environmental quality of the coastal and marine ecosystems through integratedmanagement, considering different pollution sources

3 To recover and maintain the habitat and biodiversity of coastal and marine systems at asustainable level

4 To diversify and add value creating productive opportunities within and outside the fishingsector, with socially organized and integrated peoples

5 To contribute to the population food security

The SAP geographical scope belongs to the Humboldt Current System between the latitudes 4ºand 40º S Nevertheless, the scope of spatial intervention to address the problems identified inthe TEDA will be specified during the SAP implementation

The SAP implementation provides an opportunity to:

 Implement priority actions established in the SAP to address the transzonal problems andthe common problem identified in the TEDA aiming to preserve and maintain the HCLMEgoods and services

 Advance towards EBM through a coordinated framework set by the two countries toenhance environmental conservation, governance and the sustainable use of HCLMEmarine resources and services

- Improve understanding of the HCLME high natural variability and the relatedsocioeconomic processes, and incorporate this knowledge in the management andgovernance mechanisms.

 Build human capacity to implement EBM and to achieve, as a result, the successfulimplementation of the SAP and its actions

The HCLME is characterized by a complex system of currents that sustain some of the mostproductive fisheries in the world and represents a biodiversity area of global importance (ADET2015) The relatively constant winds blowing towards the Equator along a coastline of about 4,600originate the strong coastal upwelling of subsurface relatively cold nutrient-rich waters (Tomczakand Godfrey, 2003 in TEDA 2015) This fenomena occurs from the latitude 40º S to 4º S, providingthe conditions to sustain a high biological productivity in all the trophic levels

The currents of the Chilean and Peruvian coastlines are part of the Humboldt Current System andjoin the West Wind Drift Current or Circumpolar Current; both are part of the South Pacific Gyre.This Gyre from east to west (Figure 1) comprises the Antartic Circumpolar Current (ACC) or WestWind Drift (1), a very cold and nutrient-rich current which is the only current flowing around theglobe continuously without touching any continent on its way Only a small section of this currentreaches the shores of Chiloé, at about 43º S latitude originating two currents: the Cape HornCurrent (4), flowing south through the southernmost edge of Chile, and the Humboldt Current,which comprises two branches

One branch of the Humboldt Current is the Chile-Peru Ocean Current (2), flowing from south tonorth at a distance of 300 to 400 km parallel to the west coast of South America and joining thewarm South Equatorial Current after running through the coasts of Chile and Peru The otherbranch is the coastal circulation (3), also flowing from south to north but closer to the coast

In between the two branches of the Humboldt Current flows the Peru-Chile SubsurfaceCountercurrent (6) mainly from north to south The Peru-Chile Subsurface Current (5) joins thesystem, running from the north near the coastline (Figure 1) A set of local oceanographicprocesses occur within this complex system, mainly caused by the winds at different time andspatial scales

-Figure 1 Area of the HCLME: General system of surface and subsurface currents of

the South Pacific (source: TEDA, 2015)

A set of habitats coexists within the HCLME ecosystem, sustaining important fisheries worldwide Pelagic, demersal, benthic, estuarine, coastal and deep-water habitats, such as seamounts and submarine canyons, stand among the most important systems All of them can be significantly vulnerable to human interaction as they host fragile endemic species that are difficult to recover when they are affected Furthermore, the HCLME ecosystem comprises one of the most intense and extensive oxygen minimum zones in the world, involving signigicant biogeochemical activities and defining the organisms vertical distribution

This great marine ecosystem is characterized by its high biological productivity and environmentalvariability El Niño Southern Oscillation (ENSO) is an important evidence of this environmentalvariability at a temporal scale of medium frequency (annual) It regulates the physicochemicalconditions of the environment and therefore the abundance and distribution of species, triggering

-important social and economic impacts across the region (Calienes et al., 1985; Chávez et al.,

1989; Kudela, 2005; Chávez and Messié, 2009; RT- Peru Module IV, 2013; RT- Chile Module IV,2013)

Fishing and aquaculture are the main activities utilizing the HCLME goods and services; besidesthat, a variety of economic activities such as mining, hydrocarbons extraction, tourism, cargoshipping, manufacture and urban development, take place in this ecosystem (RT- Peru, Module IV.2013; RT- Chile, Module IV, 2013) These sectors have shown significant growth in recent years

(Salgado et al., 2015) All these anthropogenic activities create problems that affect the HCLME,

hence, solutions shoud consider men an integral part of the ecosystem to set strategic actions forthe benefit of the HCLME

Given the above circumstances and aiming to promote an Ecosystem-based management (EBM) ofthe HCLME, the Governments of Peru and Chile in 2010 agreed to co-finance, along with theGlobal Environment Facility (GEF), the Humboldt Project PIMS 4147 “Towards Ecosystem-BasedManagement of the Humboldt Current Large Marine Ecosystem” The management andimplementation of this project were carried out with the support of the United NationsDevelopment Program (UNDP) and the United Nations Office for Project Services (UNOPS) through

a binational Regional Coordination Unit (RCU) The focal points of the Project were the Institute ofFishing Promotion (IFOP) in Chile and the Institute of the Sea (IMARPE) in Peru

The Project strengthened and enabled cooperation between the two countries, providing therequired space for participation to identify and agree on possible solutions to the transzonalproblems and the common problem that affect the HCLME The main outputs of the Project arethe Ecosystem Diagnostic Analysis for each country (EDA Chile and EDA Peru), the TranszonalEcosystem Diagnostic Analysis (TEDA) and the Strategic Action Program (SAP) (Annex 1-Goal,Objectives, Outcomes and Outputs of the HCLME PROJECT PIMS 4147)

The geographic scope of the SAP corresponds to the Humboldt Current System between theparallels 4º y 40º S and comprises a considerable section of the Chile and Peru coastlines Thespatial intervention scope of actions addressing the problems identified in the TEDA will bespecified during the SAP4 implementation

4 Source: Adoption of common positions and relevant definitions for the TEDA process List of agreements -

The SAP was formulated considering the guidelines set by the IW: LEARN TEDA-SAP Process byUNDP (TEDA-SAP training course) and the Project document, considering each country’scharacteristics and outlook Consequently, this Program is a result of a highly participative processwhich involves social stakeholders and key institutions from both countries

The organization of the Project included a binational Steering Committee, and each country had aSteering Committee and a Technical Working Group (TWG) including representatives of publicinstitutions, civil society organizations (NGOs), the business and artisanal sectors, scientific andtechnical entities and universities Figure 2 shows a chart of the participative process followed inthe project, which concludes with this SAP document Annex 2 includes a list of the organizationsinvolved

Figure 2 Outline of the participative process in the formulation of the Strategic Action Program

and signatures of delegates from Chile and Peru July 23, 2014 GEF-UNDP-HUMBOLDT PROJECT PIMS 4147. -

action framework coordinated by the two countries.

This document follows a long term vision (decades), general and specific objectives and thenecessary actions to achieve them It also includes de corresponding monitoring and evaluationindicators (Figure 3) that will allow the project to measure progress of its execution, indentifyingresponsible institutions, deadlines and cost estimates

Figure 3 Strategic Action Program conceptual framework Two transzonal problems5 were identified in the TEDA:

 Suboptimal exploitation of fishery resources

5 Transzonal problem: a problem that occurs or happens in territorial waters in one country and which causes a

negative impact in the provision of goods and services provided by the HCLME in the territorial waters of both countries -

Transzonal Ecosystem Diagnostic Analysis (TEDA)

Identification of transzonal and common problem

General Objectives

General guidelines explaining what the key stakeholders of both countries pursue for the

Humboldt Current Large Marine Ecosystem The general objectives are long term

objectives and they represent global visions

Priority actions

Activities or tasks required to attain one or more specific objectives They consider the

economic, political and social feasibility of different options and alternatives

Monitoring and Evaluation indicators:

Process indicators Indicators of environmental stress reduction

Indicators of change of environmental state

Socioeconomic indicators

Specific Objectives

They set the steps or strategies needed to meet a general objective They are measurable,

have defined deadlines and their compliance involves implementing specific actions

Long Term Vision

The vision is a long term perspective which describes how both countries would like to

see the Humboldt Current Large Marine Ecosystem (HCLME) in the future It posits a

scenario in which the current problems have been improved, corrected or reversed to

attain an optimal, sustainable and resilient state of environmental quality

 Anthropogenic disturbances of the marine ecosystem

And a common problem6:

 High bycatch rates or accompanying fauna and discards7

The major impacts of the identified problems relate, to a greater or lesser extent, to the reduction

in abundance or availability of the exploited resources, as well as their associated and dependentspecies, changes in trophic relations, biodiversity alteration, habitat and water quality alterationand degradation, and economic and employment losses, mainly for coastal communities Theseimpacts affect food security beyond the effects caused by the natural environmental variability ofthe HCLME (TEDA 2015)

The identified transzonal problems and the common problem were assessed through the CausalChain Analysis (CCA) to determine their immediumte, underlying and root causes (Annex 3) TheCCA is a key component of the TEDA formulation process as it is the base to formulate theinterventions established in the SAP to address the causality of the problems

The root causes were indentified for the common and transzonal problems They were classed intotheme groups: 1) Knowledge, 2) Social causes, 3) Economic causes, 4) Governance and 5)Institutional causes The main leverage points were established on the basis of these groups Theyare considered the actions that allow for the execution of the SAP as they help to articulate theTEDA-SAP process, identifying possible interventions on key aspects and the institutions directlyrelated to those aspects so that the environmental and socioeconomic impacts of the identifiedproblems are eliminated, reduced or mitigated (Annex 3, Figure 4)

6 Common problem: is a problem that is produced in a similar way in two countries (TEDA, 2015).

7In Peru, bycatch are all catches that are not target species In Chile the Law 18.892 of 1989 and its amendments,

General Law on Fisheries and Aquaculture provides that: Article 2, 14) bis Discard is the action of returning to the sea hydrobiological species that have been catched 21) Accompanying fauna comprises hydrobiological species that temporarily or permanently occupy a common maritime space with the target species and, due to the technological effect of fishing gear or arts, are catched when the fishing vessels direct their fishing effort to exploit the target species.

21 bis) Bycatch refers to the species that are not part of the accompanying fauna and comprises marine reptiles, seabirds and marine mammals

-Figure 4 Structure of the Transzonal Ecosystem Diagnostic Analysis (TEDA) and its relation with

the Strategic Action Program (SAP) Notes: OMZ: Oxygen Minimum Zone; TP: transzonal

problem; CP: common problem (Source, TEDA 2015)

I CHALLENGE AND OPPORTUNITIES

 The challenge of the SAP is to advance towards the implementation of a HCLME management

within a framework coordinated by the two countries, considering EBM as management tool,

focusing hence on sustainability of the ecosystems, paying attention social, political and

economic aspects, and recognizing that men and cultural diversity are components of the

ecosystem This is how the complexity of natural processes and social systems were addressed

in the context of an adaptative management strategy, choosing the alternatives that allow the

process to manage complex situations as simple actions that can be applied to solve the

problems identified in the TEDA Through this flexible system, it will be possible to gradually

modify, update, improve and optimize the mechanisms or procedures involved in the actions

proposed in the SAP

Apart from that challenge, the SAP implementation represents an opportunity to:

KNOWLEDGE SOCIAL

ECONOMIC GOVERNANCE INSTITUTIONAL

S A P

SOCIOECONOMIC IMPACTS

 Implement priority actions established in the SAP to help preserve and maintain the goodsand services granted by the HCLME by solving the transzonal problems and the commonproblem identified in the TEDA.

 Advance towards EBM through a framework coordinated by the two countries to enhanceenvironmental conservation, governance and sustainable use of marine resources andHCLME services

 Improve understanding of the HCLME high natural variability and the relatedsocioeconomic processes, and incorporate this knowledge in the management andgovernance mechanisms

 Build human capacity to implement EBM and to achieve in this way the successfulexecution of the SAP and its actions

II THE PRINCIPLES

The SAP is framed within following principles:

 Sustainable development regarded as the management and conservation of naturalresources and the direction of technological and institutional changes to guarantee thefulfillment and permanent satisfaction of human needs for current and future generations.Such sustainable development (in the agricultural, forestry and fish farming fields)conserves the soil, water and genetic resources of flora and fauna, is environmentally non-degrading, technically appropriate, economically viable and socially acceptable (FAO,2015)

 The Ecosystem Approach defined by the Food and Agriculture Organization of the UnitedNations (FAO 2010) as: “A strategy for the integrated management of land, water andliving resources that promotes conservation and sustainable use in an equitable way Anecosystem approach is based on the application of appropriate scientific methodologiesfocused on levels of biological organization, which encompass the essential processes,functions and interactions among organisms and their environment It recognizes thathumans, with their cultural diversity, are an integral component of many ecosystems” The

principles follow the guidelines established by FAO in the document Fisheries

-Management The Ecosystem Approach to Fisheries Technical Guidelines for Responsible Fisheries (4 supl 2, Add.2, 2010):

- Governance should ensure both human well-being and equity as the goodperformance and balance of the ecosystem

- Fisheries should be managed with a view to limiting as much as possible their negativeimpacts on the ecosystem

- There is a need to maintain the ecological relationships between fishery resources thatare targeted and catched, and those species dependent and associated with theseresources

which is the whole area where the activities are conducted, including the differentjuristictions and management plans if required

- There is a need to apply the precautionary approach because the knowledge on theecosystems is incomplete

III INSTITUTIONAL AND POLITICAL COMMITMENTS

Given the diversity of jurisdictions involved and the complexity of the HCLME environmentalproblems, the success of the SAP would be necesarily sustained on the political and institutionalcommitment of authorities of Chile and Peru holding powers in terms of the design andenforcement of public and sectoral policies It is acknowledged that social involvement is anadequate mechanism to enhance governance in the decision-making process, according to theEBM of the HCLME

Both countries commit to implement the actions identified in this SAP document in order to reachthe solution to the transzonal problems and the common problem, and they agree that thisProgram and its annexes do not affect, repeal or infringe the sovereign rights of the participantStates It respects the legal system of both countries, including binding or voluntary internationallegal agreements that each country may have signed or endorsed (Annex 4) Chile and Peru’scommitment to conservation and sustainable development of the HCLME is also shown indifferent international legal instruments in which each country has taken part at the global,

-regional, subregional and bilateral scale, as well as the voluntary international instruments towhich they have given consent (Annex 4).

The institutions and stakeholders involved in the formulation process of the SAP explicitelyhighlighted the importance of:

 Adopting a joint vision to face the transzonal problems and the common problemidentified in the TEDA and enhance cooperation and coordination mechanisms betweenboth countries

 Establishing a SAP including general and specific objectives, apart from the requiredactions to achieve those objectives acoording to the national policies of both countries

IV JOINT VISION

The SAP posits the following long term vision withing a coordinated framework set by the twocountries: “A healthy, productive and resilient Humboldt Current Large Marine Ecosystem(HCLME), through Ecosystem-based management to guarantee conservation and sustainable use

of its goods and services for the benefit of their peoples”

V GENERAL OBJECTIVES

The general objectives set for the SAP are:

-1 Recover and maintain optimal population levels of the main fishing resources, taking intoaccount environmental variability and maintaining the ecosystem health and productivity.

2 Improve environmental quality of the coastal and marine ecosystems through integratedmanagement, considering different pollution sources

3 Recover and maintain the habitat and biodiversity of coastal and marine systems at asustainable level

4 Diversify and add value creating productive opportunities within and outside the fishingsector, working with socially organized and integrated peoples

5 Contribute to the population food security

VI SPECIFIC OBJECTIVES FOR EACH GENERAL OBJECTIVE AND LIST OF ACTIONS

REQUIRED TO MEET THEM8

VI.1 GENERAL OBJECTIVE: RECOVER AND MAINTAIN OPTIMAL POPULATION LEVELS OF THE MAIN FISHERY RESOURCES, CONSIDERING THE ENVIRONMENTAL VARIABILITY AND MAINTAINING THE ECOSYSTEM HEALTH AND PRODUCTIVITY

Catch volumes for some fishery resources and environmental variability are triggering changes inthe population levels of target resources and associated species, which represents an inadequateuse of these resources with impacts that have not yet been determined for other dependent andassociated species The term “exploitation” used in the identification of the transzonal problem

“Suboptimal exploitation of fishery resources”, refers to the whole productive chain (not only theharvest) and, as a result, it tries to focus on the need to guarantee food security and sustainability

of economic activities related to fishing

The following specific objectives are defined to meet this general objective:

 Diagnose the state of the main fishing resources

 Assess the impacts of environmental variability on the ecosystem and the main fishery resources

8 Annex 5 shows the detailed SAP matrix of general and specific objectives, and actions, including theexpected outcomes, cost estimates, time for implementation, etc

- Characterize the ecosystem in which fishery resources and their fisheries occur

 Ecosystem-based fisheries management in the main fisheries (except for those fisheries under the mandate of a regional agreement on fishing or a regional fisheries organization (RFO).9

 Optimize control, supervision and sanction systems

 Training, awareness and dissemination of the Ecosystem-based Management

In order to implement these specific objectives, the following priority actions are required:

VI.1.1 Specific Objective: Diagnosis of the state of the main fishing resources

hydrobiological resources needing to be managed as separate units

-Priority actions :

 Improve data collection capacity and forecast of the state of the fisheries by usingadvanced models Priority: high Time required for implementation: medium and longterm

 Determine the impacts of environmental variability on the main fishery resources Priority:high Time required for implementation: medium and long term

 Formulate adaptation measures to face the impacts of environmental variability Priority:high Time required for implementation: medium and long term

VI.1.3 Specific Objective: Characterize the ecosystem in which fishery resources and their fisheries exist

VI.1.5 Specific Objective: Optimize control, supervision and sanctions systems

Priority actions:

10 Except for those fisheries under the mandate of a regional agreement on fishing or a regional fisheriesorganization (RFO)

- Improve infrastructure and technology Priority: high Time required for implementation:medium and long term.

 Adapt and coordinate control and supervision procedures Priority: medium Timerequired for implementation: medium and long term

 Grant enhanced powers to supervision agents and build capacity Priority: high Timerequired for implementation: medium and long term

 Strengthen sanctions system (administrative and legal sanctions) Priority: high Timerequired for implementation: medium and long term

VI.1.6 Specific Objective: Training, awareness and dissemination of Ecosystem-based Management

There is an interaction between the coastal and marine ecosystem and the adjacent geographicareas; therefore, the actions aimed at improving the environmental quality of this ecosystemshould necessarily consider the possible pollution sources from terrestrial activities such assewage emissions, industrial discharge, urban solid waste, etc

To comply with this general objective, the following specific objectives have been defined:

 Establish a coastal and marine monitoring program that considers the main pollutionsources

 Define action programs in order to maintain expected environmental quality levels

 Improve treatment and waste disposal (liquid and solid waste)

- Strenghten bodies of environmental enforcement.

 Strenghten integrated management of coastal and marine spaces

To implement these specific objectives, the following priority actions are required:

VI.2.1 Specific Objective: Establish a coastal and marine monitoring program that considers the main pollution sources

Priority actions:

 Define the baseline of the coastal and marine sector, identifying the main pollutionsources, their causes and responsible agents Priority: high Time required forimplementation: short term

 Define environmental parameters and their levels Priority: high Time required forimplementation: short term

 Design and implement environmental indicators Priority: high Time required forimplementation: short term

 Create a control panel to conduct a rigorous follow-up of the implemented indicators.Priority: high Time required for implementation: short term

 Define how often and where to apply the monitoring actions Priority: high Time requiredfor implementation: short term

VI.2.2 Specific Objective: Define action programs in order to maintain expected environmental quality levels

- Improve capacities for domestic waste treatment in sectors considered the main pollutionsources Priority: high Time for implementation: medium term.

 Set incentives for companies in terms of industrial waste treatment Priority: medium.Time for implementation: long term

 Perform periodic revisions of relevant regulation and apply the required adjustments.Priority: medium Time for implementation: medium term

VI.2.4 Specific objective: Strenghten bodies of environmental oversight

(footnote: zone refers to a coastal and marine space)

-The following specific objectives are defined to comply with this general objective:

 Increase knowledge of the habitat and biodiversity in priority/specific areas

 Strengthen/Propose management measures to recover habitats and biodiversity in coastaland marine ecosystems

 Enhance/propose management actions for habitat and biodiversity conservation in marineand coastal ecosystems

In order to implement these specific objectives, the following priority actions are required:

VI.3.1 Specific objective: Expand knowledge of the habitat and biodiversity in priority/specific areas

 Define levels of environmental quality and set criteria and/or indicators for monitoringand evaluation Priority: high Time for implementation: short term

 Develop an articulated and comprehensive monitoring and evaluation system

for defined áreas Priority: high Time for implementation: short term

VI.3.2 Specific objective: Strengthen/Propose management measures to recover habitats and biodiversity in coastal and marine ecosystems

- Improve selectivity of fishing systems and gear Priority: high Time for implementation:short term.

VI.3.3 Specific objective: Enhance/propose management actions for habitat and biodiversity conservation in marine and coastal ecosystems

Priority actions:

 Promote protocols and good environmental practices agreements (considering productivesector, results of baseline activities, criteria and indicators) Priority: medium Time forimplementation: short term

 Update strategy and action plan for the strategic plan on national biodiversity with anemphasis on the marine environment Promote its dissemination among differentstakeholders Priority: medium Time for implementation: short term

 Establish different conservation instruments (Marine Protected Areas, biological corridor,adaptative areas, marine spatial planning, etc.) Priority: high Time for implementation:medium term

 Reinforce awareness programs for authorities and general public on the importance ofhabitat and biodiversity conservation Priority: high Time for implementation: mediumterm

VI.4 General objective: to diversify and add value, creating productive opportunities within and outside the fishing sector, with socially organized and integrated citizens

There are socioeconomic impacts on the fishing sector as a result of changes in the populationlevels of fishery resources These impacts may be due to natural factors or to inadequateexploitation and environmental impairment of the HCLME, a situation which implies the need todiversity productive activities within and out of the fishing sector and to add value to the outputs The following specific objectives are defined to comply with this general objective:

 Develop higher value added fishery outputs

 Improve marketing channel for fishery outputs

 Improve mechanisms to obtain working capital

 Diversification and/or conversión

-The following priority actions are necessary to implement these specific objectives:

VI.4.1 Specific objective: Develop higher value added fishery outputs

 IIdentify small-scale aquaculture productive alternatives Priority: high Time for

implementation: medium term

VI.5 General objective: Contribute to the population food security 11

Food security exists when every person has access to sufficient, safe and nutritious food In themarine context, there should be mechanisms to facilitate the provision of good quality food Due

to the given reasons, Chile and Peru consider it convenient to improve the productive processes tostrengthen their respective food security policies

The following specific objectives are defined to comply with this general objective:

 Improve preservation capacity all over the production chain of resources for direct humanconsumption (DHC)

 Contribute to achieving safety of fishery products

 Improve the use and availability of fishery and mariculture by-products

 Increase awareness related to food security

The following priority actions are necessary to implement the above specific objectives:

VI.5.1 Specific objective: Improve preservation capacity all over the production chain of

resources for direct human consumption

Priority actions:

11 “Food security exists when all people, at all times, have physical, social and economic access to sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active and healthy life” (FAO)

- Establish preservation systems within the production chain (artisanal vessels, small-scalevessels, landing stages, transport and trade) Priority: high Time for implementation: longterm.

VI.5.2 Specific objective: Contribute to achieving safety of fishery products

-VII MONITORING AND EVALUATION INDICATORS

Developing a Monitoring and Evaluation Indicators System (SM&E) is a key component of the SAP and represents a flexible system to be implemented in the context of an adaptative management strategy This will allow actors, when necessary, to update, improve and optimize the mechanisms

or procedures involved in the proposed actions, minimizing uncertainties related to the complexity

of the natural environment, as well as those coming from the social system and technological development

The indicators will be compared with the baseline to monitor and evaluate the effectiveimplementation of the SAP The SM&E system will be developed at the beginning of the SAPimplementation process, based on the indicators identified in Annex 5 (matrix of general andspecific objectives and actions) and the information obtained from the HCLME Project This systemwill consist of two components: a) Frequent monitoring or follow-up of the progress made in theimplementation of the actions set in the SAP; b) Periodic evaluations (mid-term and finalevaluation) of the SAP progress considering the outputs and outcomes obtained

Based on the GEF guidelines, four types of Monitoring and Evaluation indicators will be

developed:a)Process indicators: outputs (e.g thematic reports, database, monitoring campaigns,

etc ) that will lead to the expected outcome (e.g increase the fishing stock as a result of the

ecosystem-based management); b)Stress reduction indicators: such as decreasing pollutants inputs, reduced bycatch; c)Environmental state indicators: improvements in the ecosystem quality/health; and d)Socioeconomic indicators.

VIII GOVERNANCE

Governance is the set of rules and procedures for coordination and articulation among the

national stakeholders involved in the SAP implementation, following the legal system of both countries, including the binding or voluntary international legal agreements that each country mayhave signed or endorsed

Both Chile and Peru have established their own legal system in terms of policies and rules, andthey have experienced changes in their environmental institutionality This allows them to use

-tools and mechanisms to manage and apply the Ecosystem Approach that will later contribute to acoordinated management of the HCLME.

Nevertheless, the complex ecological relations, the high environmental variability, as well as thelarge geographical extension of the HCLME can hinder the adequate application of such tools andmechanisms, undermining the decision-making and the application of the Ecosystem-basedmanagement For this reason, it has been arranged that the SAP will address these issues through

a coordinated management of the HCLME by the two countries, with appropriate mechanisms forthe current situation of the ecosystem

In this sense, the SAP implementation will focus on strengthening cooperation between the twocountries and governance in each one of them This will result in a positive impact on thecoordinated and sustainable management of the HCLME Furthermore, the SAP will promotecooperation between the two countries in order to consolidate the coordinated management ofthe HCLME

IX CAPACITY BUILDING AND COOPERATION

With a view to implementing the SAP, both countries, individually and jointly, commit toencourage:

 Human capacity building, a key element of this Strategic Action Program

 Cooperation with institutions and agencies within the system of the United Nations as well

as with other institutions and civil society organizations

 The human capacity-building activities to implement the Ecosystem-based managementwill prioritize South-South cooperation schemes and, if they do not exist, North-Southschemes will be searched and managed

Financial commitments by Chile and Peru, the countries that have signed the SAP, are crucial forthe sustainability and long term continuation of the proposed actions Additionally, the countrieswill jointly identify the co-financing sources that will be necessary to attain the SAP objectives Thespecific funding arrangements for the actions set in this Program should be presented, endorsed

or approved by the authorities in each country

-XI ORGANIZATIONAL STRUCTURE FOR THE IMPLEMENTATION OF THE STRATEGIC ACTION

PROGRAM

The SAP implementation will be conducted by the binational Steering Committee, co-chaired byrepresentatives of IMARPE and IFOP, the respective focal points in Peru and Chile, and whichincludes officials from the Ministry of Foreign Affairs (RREE), the Deputy Ministry of Fisheries andAquaculture-Ministry of Production (PRODUCE), the Ministry of Environment (MINAM) and theNational Service of Natural Protected Areas (SERNANP) in Peru, as well as the Ministry of ForeignAffairs (MINREL), the Undersecretariat of Fisheries and Aquaculture (SUBPESCA), the NationalFisheries and Aquaculture Service (SERNAPESCA) and the Ministry of Environment (MMA) in Chile.The Binational Steering Committee will formulate and approve their internal bylaw and it will bethe authority responsible for the approval of the SAP Annual Operating Plans and its compliance.The Committee will also establish the procedures for coordination between the nationalinstitutions involved and will promote the participation of other institutions, accoding to the SAPactions Additionally, the Committee will regulate and oversight the work of the BinationalCoordination Unit and the use of the funds and budgets allocated for the SAP implementation

XII DISSEMINATION AND ARRAGEMENTS FOR FUTURE COOPERATION

With a view to disseminating the principles and the implementation of EBM in the HCLME, theBinational Steering Committee will propose the design of a communication strategy about theHCLME situation and the actions implemented in the SAP framework, as well as the arragementsfor future cooperation This strategy wil promote greater participation and empowerment of keystakeholders in the SAP, encouraging the use of EBM as a management tool for this large marineecosystem The target audiences will be defined for the communication strategy, which mayaddress schools, general public, direct users, political authorities and the scientific community

XIII LIST OF REFERENCES

EDA-CHILE, 2013 Ecosystem Diagnostic Analysis Chile-2013 GEF-UNDP-HUMBOLDT PROJECTPIMS 4147 “Towards ecosystem based management of the Humboldt Current Large Marine

-Ecosystem - HCLME” (publication only available in Spanish)

http://humboldt.iwlearn.org/es/informacion-y-publicacion/pagina-de-documentos-del-proyecto

EDA-Peru, 2013 Ecosystem Diagnostic Analysis Peru-2013 GEF-UNDP-HUMBOLDT PROJECT PIMS

4147 “Towards ecosystem based management of the Humboldt Current Large MarineEcosystem - HCLME” (publication only available in Spanish)

http://humboldt.iwlearn.org/es/informacion-y-publicacion/pagina-de-documentos-del-proyecto

TEDA, 2015 Transzonal Ecosystem Diagnostic Analysis Chile – Peru, 2015 GEF-UNDP-HUMBOLDTPROJECT PIMS 4147 “Towards ecosystem based management of the Humboldt Current LargeMarine Ecosystem - HCLME” (publication only available in Spanish)

proyecto

http://humboldt.iwlearn.org/es/informacion-y-publicacion/pagina-de-documentos-del-Adoption of common positions and relevant definitions for the TEDA process List of agreementsand signatures of delegates from Chile and Peru July 23, 2014 GEF-UNDP-HUMBOLDT PROJECTPIMS 4147

Calienes, R., Guillén, O and Lostaunau, N 1985: Variabilidad espacio-temporal de clorofila,producción primaria y nutrientes frente a la costa peruana Bol Inst Mar Perú (10): 6-12 In:ADET 2015

Chavez, F.P., Barber, R.T and Sanderson, M.P 1989: The potential Primary Production of thePeruvian Upwelling System Instituto del Mar del Peru (IMARPE), Deutshe Gesellschafr furTechnische Zusammenarbeit (GTZ) and International Center for Living Aquatic ResourcesMangement (ICLARM) In: ADET 2015

Chavez, F.P and M, Messié 2009: A comparison of Eastern Boundary Upwelling Ecosystems.Progress in Oceanography 83: 80–96

Chatwin, A 2007: Priorities for Coastal and Marine Conservation in South America The NatureConservancy, Arlington, Virginia, USA In: ADET 2015

Project PIMS 4147-HCLME Project Document 2010 “Towards ecosystem based management ofthe Humboldt Current Large Marine Ecosystem” Governments of Chile and Peru UnitedNations Development Program (UNDP)-United Nations Office for Project Services (UNOPS) FAO Food and Agriculture Organization of the United Nations 2015

http://www.fao.org/docrep/t0752s/t0752s06.htm

FAO Fisheries management 2 The ecosystem approach to fisheries 2.2 The human dimensions ofthe ecosystem approach to fisheries Technical Guidelines for Responsible Fisheries No.4Suppl.2 Add.2 Rome, FAO 2010 94p

FAO Information for decision-making in food security Practical guide 2010 (Publication available

in Spanish) http://www.fao.org/docrep/014/al936s/al936s00.pdf

IW: LEARN: International Waters Learning Exchange and Resource Network; IW-Learn UnitedNations Development Program (UNDP) TEDA-SAP Training course

-RT-CHILE Thematic Report Module I Productivity 2013 GEF-UNDP-HUMBOLDT PROJECT PIMS

4147 “Towards ecosystem based management of the Humboldt Current Large Marine

Ecosystem - HCLME” documentos-del-proyecto

http://humboldt.iwlearn.org/es/informacion-y-publicacion/pagina-de-RT-CHILE Thematic Report Module II Resources and Fisheries 2013 GEF-UNDP-HUMBOLDTPROJECT PIMS 4147

RT-CHILE Thematic Report Module III Pollution and Ecosystem 2013 GEF-UNDP-HUMBOLDTPROJECT PIMS 4147

RT-CHILE Thematic Report Module IV Socioeconomics 2013 GEF-UNDP-HUMBOLDT PROJECTPIMS 4147

RT-CHILE Thematic Report Module V Governance 2013 GEF-UNDP-HUMBOLDT PROJECT PIMS4147

RT-PERU Thematic Report Module I Productivity 2013 GEF-UNDP-HUMBOLDT PROJECT PIMS4147

RT-PERU Thematic Report Module II Resources and Fisheries 2013 GEF-UNDP-HUMBOLDTPROJECT PIMS 4147

RT-PERU Thematic Report Module III Pollution and Ecosystem 2013 GEF-UNDP-HUMBOLDTPROJECT PIMS 4147

RT-PERU Thematic Report Module IV Socioeconomics 2013 GEF-UNDP-HUMBOLDT PROJECTPIMS 4147

RT-PERU Thematic Report Module V Governance 2013 GEF-UNDP-HUMBOLDT PROJECT PIMS4147

Salgado, H, De la Puente, S, González, C and Sueiro, J.C 2015 Total Economic Value of theEcosystem Goods and Services of the Humboldt Current Large Marine Ecosystem (HCLME).Consultancy for GEF-UNDP-HUMBOLDT PROJECT PIMS 4147 “Towards ecosystem basedmanagement of the Humboldt Current Large Marine Ecosystem (HCLME)”Talca, Chile / Lima,Perú

Tomczak and Godfrey, 2003: Regional Oceanography: An Introduction 2nd improved edition Daya

Publishing House, Delhi 390p In “Frontline Observations on Climate Change and

Sustainability of Large Marine Ecosystems” GEF-PNUD June, 2012 (Serra R et al 2012 Sustainability of the Humboldt Current Large Marine Ecosystem)

LIST OF ANNEXES

-Annex 1 GEF-UNDP-HUMBOLDT PROJECT PIMS 4147: Goals, Objectives, Outcomes and Outputs (p33).

Annex 2 Organinzations and Institutions that attended the SAP Formulation Binational Workshops

Annex 3 TEDA 2015, Summary The Transzonal Ecosystem Diagnostic Analysis (TEDA): Chausal Chain, Transzonal Problems and Common Problem Analyses

Annex 4 Legal instruments: conventions, agreeements, protocols and other international agreements signed by Chile and Peru (non-stringent list)

Annex 5 SAP matrix: General Objectives, Specific Objectives and Actions