However, it should be noted that legal research on the seabed is challenging. It is highly likely that new developments, in the form of new agreements, regulations or changes to relevant national legislation, may occur during any given research period. However, these risks can be limited by closely observing recent evolutions and anticipating such changes, thereby ensuring that the research results do not lose their relevance if these developments eventually take place. Indeed, apart from studying the *existing* legal framework, it is very useful to focus on the law-making process of the International Seabed Authority by attending and observing the annual sessions of the ISA Council in order to enhance knowledge with regard to the future regulations on DSM and the topical issues under discussion. Under this remit, legal scholars are also integrating semi-structured expert interviews informed by the fndings of the desk research. By interviewing a representative of each of these involved parties, such as environmental NGOs, scientists, commercial mining operators, sponsoring states, developing states and the International Seabed Authority, the various points of contention are underlined, allowing for a better analysis of the different factors infuencing stakeholder perceptions of the current legal framework and enabling a more accurate assessment of future policy changes.

### **12.6 Recognizing the (Geo)Political and Associated Socio-Cultural and Temporal Dimensions**

Whilst this chapter has, so far, addressed the defnitional, ecosystem services, economic and legal 'parts' that help us understand seabed mining, geo-politics is also crucial in this emergent industry and overlaps and converges (see Anderson 2012) with the parts introduced so far. Through an approach conceptually grounded at the interface of critical geography, political ecology and resource anthropology, research by Childs has been focusing on how the seabed has emerged as a new political *terrain* of struggle (see 2018, 2019, 2020). Moving beyond geopolitical approaches that understand the world largely in the narrow terms of interstate relations, this research instead seeks to understand the seabed as a space of politics produced by a relational congregation of socio-natural forces, considering 1) the temporalities of DSM (Childs 2018); 2) a corporate anthropology of a DSM frm and its strategies (Childs 2019); and 3) the impacts of DSM upon indigenous communities and the political potential of art to counter-narrate the seabed (Childs 2020). Shifting back to the earlier section on defnitions, certainly, a vibrant, unstable and agentive seabed, that is in fux and changing, is seen as generative of DSM's evolving geo-politics.

The seabed as a geopolitical concern has emerged where, in recent years, it has been re-imagined by industry and policy makers not as an inert edge of a politically insignifcant watery volume, but as the latest 'frontier' of resource extraction. Variously scripted by global capital as both a solution to global resource security and as a more sustainable alternative to the terrestrial mining industry, DSM has thus emerged as a new iteration of *spatial fx*. This 'fx' encompasses both a tendency to 'sink money into physical objects' (for example, ports, ships, deep-sea mining equipment) and a metaphorical 'addiction' to resource extraction (Brent et al. 2018: 3). In other words, for those who work DSM into the blue economy narrative, the seabed becomes a key geographical site for capital's ongoing expansion.

Yet for all the spatially centered critiques that it provokes, DSM also invites us to think about the (geo)political effects of its unique *temporalities.* As Childs argues, temporal dimensions 'may be projected forwards; DSM's target metals and minerals have been constructed both historically and currently as 'resources of the future', global fnance is courted by corporate pronouncements of DSM's 'resource potential', 'waste' from the extractive process is included in predictions of environmental impact and so forth. But the temporal also engages with the geological time of deepsea topographical formation; for example, where polymetallic sulphides form at very different speeds to polymetallic nodules, or where the status of resources can be either materially altered by physical forces such as volcanism or through discursive shifts inspired by (human) knowledge production and commodifcation' (Childs 2018: 2). *Time* and *space* then, are vital parts to critically consider in understanding the politics of DSM.

Yet it is also vital to consider DSM as *social.* A geopolitical approach critiques the oft-understood domain of DSM as largely asocial (its industry proponents often describe it as having 'no human impact'). To date, there have been very few ethnographic studies of those affected by or invested in the activity. Childs has sought to partially address this gap by analyzing the emotional and affectual aspects of DSM upon communities in Papua New Guinea (PNG) situated closest to the world's frst commercial DSM license. Using a range of participatory methods and creative practices, including drawing, sculpture and participatory theatre, these small-island communities sought to fnd an alternative vocabulary for making the seabed visible to DSM actors including the corporation, the PNG state and activist groups at local, national and global scales (Childs 2020). Building on earlier sections of the chapter – research on DSM is not only scientifc but understanding the assemblage of the issue involves engaging with legal analysis, interviews and as demonstrated here, more novel methodologies. Indeed, creative practices, in particular, emerge as 'submerged perspectives' that seek to 'pierce through the entanglements of power' associated with blue growth and proclamations of 'sustainable' DSM and which seek to 'differently organize the meanings of social and political life' (Gomez-Barris 2017: 11 in Childs 2020: 7). In other words, they make possible a greater understanding of geopolitics in the context of DSM.

There is also a need to understand the political possibilities enabled by the deepsea's unique materialities, not least in terms of the ways that these prefgure the legitimizing strategies of certain human actors to mine the seabed. For example, the Deep-Sea Mining Corporation frames DSM activity in a way quite specifc to the deep-sea environments in which it operates. By engaging with the matter or materiality of deep-sea mining (for example, the violence and unruliness of its associated volcanism, and the temporalities of sulphide 'chimneys'), the DSM industry is able to position itself as a more sustainable version of mining than its terrestrial equivalent (Childs 2019), geopolitically legitimizing itself. Understanding geopolitical 'positioning' then, of this multinational and complex industry and its physical materialities are an important part of any seabed mining assemblage.

Finally, connecting studies of deep-sea mining to a broader turn in the social sciences towards 'critical ocean studies' (DeLoughrey 2019) is essential to understanding its place in the politics of the Anthropocene. This means taking the geophysical processes of the seabed and deep-water column as well as a broadened cast of political actors (including spirits and deep-sea fauna) seriously in understanding how DSM's politics is wrought. Such an approach can draw upon work that has urged us to think 'with' the ocean (Steinberg and Peters 2015; Peters and Steinberg 2019) and the still hidden (post)colonial histories that it reproduces (Deloughrey 2017).

### **12.7 Endings, and Beginnings**

This chapter has been ambitious in scope, assembling together a collection of perspectives and knowledges about seabed and more specifcally DSM. Unlike other publications on the seabed – *which have largely tended to focus solely on single issues* – this chapter has deployed the post-structural theory of 'assemblage' – as a mode of bringing together disparate parts, territorializing them into one coherent whole – a multipart, complex and varied discussion of the issue of seabed mining. Each 'part' of the chapter – on defnitions, legal dimensions, ecosystems services and values, to science communication and geopolitics – has aimed to demonstrate that DSM cannot be understood through only one approach, but requires a *conversation* and *collaboration* across felds of knowledge and academic disciplines, and across the many approaches of those disciplines (from quantitative modelling, to qualitative interview data to scientifc fndings).

Taking an 'assemblage' approach has enabled a chapter that pays attention not to one 'master narrative' of mining, but rather the many parts that constitute this global, underwater development. The 'part' focused on defnition, raised the vital issue that seabed mining does not, or will not, emerge outside of how we defne, know and understand what the seabed – as a space to 'save' or a space to 'exploit'. Intersecting closely, the 'part' on socio-economic assessment identifed the need to understand seabed ecology and measure potential harms. This must be done in situ with understanding 'legal' and 'geopolitical' parts of the story. Together our 'prism' has demonstrated the potential of assemblage in has enabling a perspective that identifes often overlooked or previously unrecognized dimensions of the issue. Indeed, assemblage theory encourages scholars to be critical in thinking through the many parts that make a 'whole' (whether they seem immediately important or not) which come together to form an understanding of an issue. It permits also, "an alternative account", one rich in its diversity and attention to heterogeneous elements (in this case, law, geopolitics, science, governance, management) showing how they interrelate. However, our assembled analysis is not complete and further questions could be asked. Whilst the chapter touches on seabed mining in different areas – the 'Area' and within national jurisdiction, it would be benefcial to dig deeper and explore (as one Reviewer urged us to do): 'how the assemblage of seabed mining under national jurisdiction differs from assemblage of seabed mining beyond national jurisdiction, if there is a difference, and if so why: which are the dominant parameters?'

Yet also crucial to assemblage is the acknowledgement, as noted at the start of the chapter, that any assemblage is always open, and could 'deterritorialise' and change in future as new parts are added or detracted. This chapter has 'held together' a set of 'parts' arising at one moment in time. In this sense, this chapter provides a certain sort of conclusion for how to think about and understand seabed mining. But the chapter also, with the knowledge that assemblages change and evolve – and that seabed assemblages, in particular, are a terrain of fux (physically, legally, and

beyond) – argues that this is just the beginning. Future studies of this emergent assemblage will be necessary in the future, and we hope they may take inspiration from our approach here.

### **Appendix: The Deep-Ocean Stewardship Initiative**

The body of scientifc literature relating to environmental aspects of DSM has exploded in the past few years with examples too numerous to cite here. Of course, this is excellent news for increasing scientifc knowledge of the remote areas of the deep ocean that maybe targeted for mineral extraction. It provides far more information to work with to try to gauge potential impacts for those that inhabit our deep oceans and the effects on the important services they provided to the planet and its occupants. However, this wealth of information can be overwhelming in complexity for scientists who work in this feld, let alone for other stakeholders who have alternative interests in this realm (however those stakeholders may be defned, see previous part).

In trying to grapple with this wealth of information, the Deep-Ocean Stewardship Initiative (DOSI) – consisting of mainly scientists but also lawyers, policy makers, economists, conservationists and industry experts from around the globe – help to collate, disseminate and translate the current scientifc literature for all. DOSI network members work to advance deep-ocean science in UN and other intergovernmental policies as well as on a national level, and translate science into digestible information at all levels. This is a key occupation for this group who unite to advise on ecosystem-based management of resource use in the deep ocean (both within and beyond national jurisdiction), including on DSM.

As the industry is rapidly approaching the transition from exploration to exploitation in our world's oceans (see above), one of the current primary focus areas is to provide independent scientifc advice to the ISA and other stakeholders on DSM issues, including the development of exploitation regulations for the Area. DOSI is in a unique position to be able to collate this knowledge and deliver it directly to policy makers, neither advocating for mining or opposing it. Moreover, the initiative has been an offcial observer at the ISA Annual Sessions since 2016, delivering scientifc side-events and interventions to highlight environmental aspects of DSM, working with country delegates and other stakeholders and producing related policy briefs (for example on climate-change considerations, the importance of biodiversity assessment and monitoring, and strategic environmental goals and objectives).

The network also actively encourages and funds the engagement of a broad spectrum of scientists, including those from developing nations, as well as early career individual, in these activities. Capacity development is an important aspect of DOSI's work, especially where there may be unequal power relations between those who seek to extract and exploit resources, and those subject to such extraction and exploitation. Between the Annual Sessions, DOSI Minerals Working Group members (which number around 175), contribute expert commentaries on the draft regulations and other ISA documents, produce peer-reviewed publications (for example, Tunnicliffe et al. 2018), reports and outreach materials, convene and attend workshops and meetings relating to environmental planning and management aspects of DSM, and have regular communications with the enormous fux of information coming from scientifc papers and meetings. Proactive development and implementation of comprehensive management practices, frameworks and policies prior to the onset of commercial mining will ensure protection and preservation of the marine environment, whilst enabling the use of seabed mineral resources. This, however, requires a deep understanding of law, a vital part of the seabed mining 'assemblage'.

### **References**

**Open Access** This chapter is licensed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made.

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# **Chapter 13 Societal Transformations and Governance Challenges of Coastal Small-Scale Fisheries in the Northern Baltic Sea**

**Pekka Salmi, Milena Arias-Schreiber, and Kristina Svels**

**Abstract** Our chapter adds a northern dimension to the discussion about the past, present and future of small-scale fsheries and their governance. For centuries, extraction of fsh resources has been of utmost importance in many coastal areas of the Baltic Sea and small-scale fsheries have survived due to the robustness of the social institutions that have helped them adapt throughout periods of economic and social upheaval. Lately, the fshing livelihood has been undergoing a continuous process of contraction and concentration in terms of vessel numbers and employment. Leisure use of water areas, nature conservation and science-based governance systems have challenged fshers' access to fsh resources. Especially in the northern parts of the Baltic Sea, the viability and future of coastal small-scale fsheries is severely challenged by problems caused by fsh-eating animals, mainly grey seals and cormorants. We draw upon interactive governance theory to compare experiences on Finnish and Swedish small-scale fsheries governance. Our conclusion is that the present governance system is incompatible with the small-scale fsheries context, and propose creating new co-governance arrangements where small-scale fshers' interests, values and local knowledge are better integrated into a governance system.

### **13.1 Introduction**

The Baltic Sea is located in Northern Europe and is considered the second largest brackish semi-enclosed water body in the world (Bonsdorff et al. 2015). With a coastline of approximately 1600 km in length and estimated 29 million people living within 50 km of the coast (Baltic Sea 2019), it stretches along nine countries

M. Arias-Schreiber University of Gothenburg, Gothenburg, Sweden e-mail<EMAIL_ADDRESS>
P. Salmi (\*) · K. Svels

Natural Resources Institute Finland, Turku, Finland e-mail<EMAIL_ADDRESS><EMAIL_ADDRESS>
<sup>©</sup> German Institute of Development and Sustainability (IDOS) 2023

S. Partelow et al. (eds.), *Ocean Governance*, MARE Publication Series 25, https://doi.org/10.1007/978-3-031-20740-2\_13

including Finland and Russia, the Baltic countries (Estonia, Latvia and Lithuania), Denmark, Sweden, Poland and Germany.1 Throughout history the availability of natural resources has been of crucial importance for coastal inhabitants of the northern Baltic Sea whose coastal waters become ice-covered during the winter. Fish and seals have been of major importance dating back to the food cultures of Stone Age coastal dwellers (Pääkkönen et al. 2016). Between the 15th and seventeenth century, the Baltic Sea including its northern waters were central in the development of the important commercial late medieval fshery (Lajus et al. 2013).

Since centuries, coastal fshing has adapted to changing conditions and transformations in nature and society. During the last 70 years many coastal fshing communities along the Baltic Sea have lost their vitality and, in many locations, the remaining coastal fshers are struggling to continue with their livelihoods. At the same time, these livelihoods produce environmentally friendly healthy food and nutrition as well as maintain cultural and economic values of communities (Waldo and Loven 2019). These benefts create opportunities for coastal fshing communities to develop and self-sustain, yet these fsheries are being increasingly steered and restricted from external infuences. National and supranational top-down governance systems, and market-based fsheries management, are among those factors (Hultman et al. 2018). Presently, external environmental governance is also affecting Finnish and Swedish small-scale fshers2 allowing populations of seals and cormorants to rise which creates further challenges for small-scale fsheries.

While transformations seem to be part of the dynamics of certain social groups, at the onset of the twenty-frst century the concept of societal transformations has emerged in academic, the media and policy spheres to emphasize that radical changes are required to tackle major global challenges. The concept is used also to point out that small social or technical readjustments will not be enough to for example fully implement the Sustainable Development Goals by 2030 or to confront global environmental and climate change. Societal transformations are defned as "deep and sustained, nonlinear systemic change, generally involving cultural, political, technological, economic, social and/or environmental processes" (Linner and Wibeck 2020, page 222). As it is regarded non-linear, many outcomes of the transformations might be unforeseen and not predictable. The term gained wide recognition through Karl Polanyi's classic book "The Great Transformation", despite its scarcely explicit mention in the book or its use as a synonym for secular social change (Merkel et al. 2019). Governance, understood as the formal and informal processes of collective decision-making, planning, deliberating, and capacity building by governmental, market, and civil society actors is inevitably affected by societal transformations.

In this chapter, we examine the connections between societal transformations, present challenges and future opportunities of the northern Baltic Sea small-scale fsheries. The main geographical focus is on the coastlines and archipelagos of

<sup>1</sup>For the purposes of the Helsinki Convention the "Baltic Sea Area" is defned as the Baltic Sea and the entrance to the Baltic Sea bounded by the parallel of the Skaw in the Skagerrak at 57° 44.43′N.

<sup>2</sup>Throughout this chapter the terms coastal fshers and small-scale fshers are used as synonyms.

Sweden and Finland, stretching from the Northern Baltic Proper area to the north (Fig. 13.1). These regions share similar ecosystem features but also face akin challenges related to fshing, livelihoods and transformations of their local owner-based management systems, where the landowners could use and manage the local fsheries in the past.

**Fig. 13.1** The Baltic Sea case study areas in Sweden and Finland. (Source: Authors)

The northern Baltic Sea coastal fsheries are scantly studied, although it differs in many respects from other parts of the Baltic Sea, regarding its particular environmental conditions, historical, cultural and economic settings, and governance systems. Using interactive governance theory (Kooiman 2003), our core question is whether the current governance system fts or harmonize with the system-to-begoverned. How has this compatibility changed along with societal transformations? What have been the consequences of these changes from the perspective of small-scale fsheries?

### **13.2 Conceptual Framework and Methods**

The conceptual framework in this chapter is based on the interactive governance theory by Jan Kooiman (2003). This theory provides a suitable framework for studying fsheries governance (Kooiman et al. 2005). It has been often applied in the analysis of fsheries systems (Jentoft and Chuenpagdee 2019; Partelow et al. 2020) and helps examine the interdependencies between the systems being governed and the governing systems (Jentoft and Chuenpagdee 2015). A special feature of interactive governance theory is "frst identifying the unique characteristics and challenges of the system to be governed, i.e., the problems and opportunities it presents, and then assessing the social organizational factors of governance" (Partelow et al. 2020). The theory builds upon a three systems model: a system of governing interactions links the governing system and the system-to-be-governed (Fig. 13.2). In the fsheries context, governance is a result of the interactions between governing institutions (the governing system) and the targeted social-natural system (system-to-begoverned) (Kooiman et al. 2005). In the Baltic Sea, research on changes in the system-to-be-governed has mostly focused on regular assessments of the ecological (natural) system which has guided science-based policy and decision-making (Arias Schreiber et al. 2019). However, this scope is insuffcient for understanding and governing the diverse, complex and dynamic coastal fsheries socio-natural system.

In interactive governance theory, interactions are divided in intentional elements and structural modes (Kooiman and Chuenpagdee 2005). Intentional elements are

**Fig. 13.2** The three systems analyzed by Interactive Governance Theory. (Kooiman et al. 2005)

images, instruments and action. Images come in many types: visions, knowledge, facts, judgements, presuppositions, hypotheses, convictions, ends and goals. These images constitute the guiding lights as to how and why of governance (Kooiman and Bavinck 2005) including background ideas about the major problems and challenges (Jentoft et al. 2010). An image can be for example the vision that a sustainable fshery will be achieved by matching fshing effort to the size of the fsh populations in a certain area. The main focus in our analysis, however, is on governance instruments, which is an intermediary element that links images to action. Instruments are not a neutral medium; their design, choice and application frequently elicit strife (Kooiman and Bavinck 2005). One's position in society determines the range of instruments available. Instruments can be for example policies, management plans, governing structures or governance actors' constellations.

Interactive governance theory distinguishes three types of structural modes: hierarchical governance, co-governance, and self-governance (Kooiman and Bavinck 2005). Hierarchical governance is the most classical of the governance modes, characteristic of the top-down interactions between a state and its citizens. This style of intervention expresses itself in policies and in law being control and steering key concepts in hierarchical governance. In co-governance, societal parties join hands with a common purpose in mind and stake their identity and autonomy in this process (ibid.). Governance theory contains numerous manifestations of co-modes, such as communicative governance, public-private partnerships, networks, regimes, and co-management. Co-governance is at the core of governance theory, as the necessity of broad participation is, for instance in the context of fsheries, seen as essential from a normative and from a practical standpoint (Kooiman and Bavinck 2005). Finally, self-governance, where actors take care of themselves outside the purview of government, is rare in the governance of modern fsheries.

Governance has an analytical but also a normative application. In fsheries and coastal governance, governing systems and the system-to-be-governed should often be compatible (Jentoft and Chuenpagdee 2009). Jentoft et al. (2010) emphasize that the governing system needs to correspond to images of the system-to-be-governed and note that when the system-to-be-governed is perceived to be simple and stable, the governing system with a top-down, centralized government pyramid may be most effective. Conversely, when the system-to-be-governed is complex and unstable, the governing image of a rose (a coalition of stakeholder groups) may be more desirable (Jentoft et al. 2010). Similarly, conficting images among stakeholders impact the governability or the quality of governance of a fshing system (Arias Schreiber et al. 2019).

Fisheries is not managed in a vacuum (e.g., Jentoft 2000). It is important to study societal transformations, because they affect both the system-to-be-governed and the governing system. In this chapter, our point of departure is, frstly, that recent struggles of coastal fsheries in the northern Baltic Sea are largely due to societal transformations in the governing institutions towards post-productivism,3 globalized economies of scale and environmentalisation.4 Secondly, we hold that these transformations shape the compatibility and balance between the governance system and the system-to-be-governed, as these transformations affect both fsheries and the governance systems, including images, instruments, structures and actions. Moreover, we discuss options for striking a better balance broadening the perspectives to understand and steer the future of the northern Baltic Sea.

### *13.2.1 Methods*

We use secondary documentary sources and draw on an overview of the literature. We also use primary material collected by the Baltic Sea Seal and Cormorant Transnational Cooperation (TNC) project (Svels et al. 2019) and the project "Fishing for solutions: community economies for a coastal rural development in Sweden". For both projects, surveys and semi-structured interviews were used for data collection. The regular participation of the authors in workshops, meetings and other fora where the situation of the small-scale fsheries is analysed and discussed and continuous dialogues with Baltic fshers during at least the last 5 years contributed also to the data collection. In the following sections we describe the empirical contexts of small-scale fshing in the Baltic Sea and changes in their governing system. By providing regional examples, the next section examines the multiple and changing conditions of small-scale fsheries in Finland (Northern Satakunta and the Archipelago Sea region) and Sweden (from Östergötland up to the Uppland archipelagos) and their relations to the governance systems. Further, two main contemporary governance challenges – the quota-based management and seals and cormorants-related conficts – are analysed. We fnish this chapter with a conclusions section where the theoretical framework is linked to our results.

<sup>3</sup> In the post-productivist setting, coastal areas are viewed as sources of individual experiences and consumption, as well as places for nature conservation (Rannikko, 2008; Rannikko and Salmi, 2018).

<sup>4</sup>Environmentalisation is defned as "the adoption of a generic environmental discourse by different social groups, as well as the concrete incorporation of environmental justifcation to legitimate institutional, political and scientifc practices" (Acselrad, 2010, p. 103). The story of environmentalisation refects an emphasis on ecological values in society and tends to disempower the primary producers and other rural people (Marsden, 2004). The change towards environmentalisation can be clearly seen in the fsheries sector (Salmi, 2009).

### **13.3 Transformations of Small-Scale Fishing and the Governance System in the Northern Baltic Sea**

### *13.3.1 The Northern Baltic System-to-Be-Governed*

Baltic Sea is one of the world's largest semi-enclosed bodies of brackish water (HELCOM 2021). Eutrophication, caused by nutrient pollution, is a major concern in most areas. The only coastal areas not affected by eutrophication are confned to the Gulf of Bothnia. Recently, inputs of nitrogen and especially phosphorus to the Baltic Sea have been substantially reduced. Living organisms and bottom sediments are affected by hazardous substances in all parts of the Baltic Sea (HELCOM 2021). In Finland, fsh stocks targeted by coastal small-scale fshers have not been under serious threat and are recommended as environmentally friendly food (Salmi 2018; WWF 2021). The coastal areas of the northern Baltic Sea are ice covered usually for 3 or 4 months each year, which amplifes the seasonality of capture fsheries.

After WWII, the number of coastal fshers started to decline at the same time when trawlers' landings increased rapidly (Zeller et al. 2011). Numbers of active coastal fshers in the Swedish Baltic Sea peaked in 1945 (6000 fshers) and after that these numbers fell by a half towards the end of the century (Piriz 2000). Between 2008 and 2018, the number of coastal vessels in Sweden decreased from 852 to 660 while in Finland there are still 1413 active fshers left (STECF 2019). The patterns in number of coastal fshers in the Baltic Sea are part of a European trend. The small-scale fsheries feet (vessels under 12 m of length) in the European Union decreased signifcantly over the frst decade of the twenty-frst century, from around 90 thousand vessels in 2000 to just over 70 thousand in 2010 (Lloret et al. 2018). Three countries that were most affected by this decrease, i.e., Lithuania, Poland and Sweden, all operated in the Baltic Sea and showed signifcant decreases (over 30%) during that period.

In 2017, the coastal fshing feet in the Baltic Sea was estimated at 5418 vessels and equivalent to 92% of the total Baltic Sea feet and around 9% of the total fshing EU small-scale fshing feet (Lloret et al. 2018; STECF 2019). Almost 6500 fshers are estimated to be involved in this fshery. Landings of coastal fshing in the Baltic Sea are notoriously more diverse in comparison with large-scale fsheries. Apart from herring and cod which are heavily fshed also by large-scale vessels current larger economic contribution to the Baltic Sea coastal fshers are yielded by perch, eel, and pikeperch (Fig. 13.3). Instead of cod, which is unimportant for the studied northern Baltic Sea coastal fsheries, trap net and gill net fshing for European whitefsh and Baltic salmon are of importance.

The relatively high diversity in the studied fshing culture is explained by the extraordinarily and unique climatic and ecological variable conditions in the Baltic Sea, which has led to correspondingly large variations in fshing technologies and adaptation strategies of the coastal fshers (Eklund 1991).

**Fig. 13.3** Top 5 species landed in value by coastal fshers operating in the Baltic Sea in 2017. (Source: STEFC 2019)

Particularly in the northern Baltic Sea coast, alone the fact that fshing waters are frozen in the winter-time has led to specifc demands for fshing methods. Fishing activities are seasonal also due to changes in availability of target species. Hence, coastal fshers in these areas employ a large variety of fshing gears including seine nets, gill nets, trap nets, long lines among others, and have been since centuries commonly shifting between traditional activities such as fshing, farming, forestry and shipping. Typically, the economic unit of coastal fshing is the household and fshers use small boats for accessing near-by water areas. This means that the abovementioned statistical procedure of using vessels as the unit does not ft well with the studied northern Baltic Sea small-scale fsheries.

### *13.3.2 The Northern Baltic Governing System*

Fisheries in the Baltic Sea have always been regulated by local rules since at least the 1500s. In these times, harbour authorities of spring-summer fshing settlements kept records of the number of fshers, controlled the landings and quality of the products, and supervised that fshers did not go fshing on weekends or before the daily morning signal, usually by the sound of a horn (Hessle 1934). These authorities were also in charge of collecting the taxes from fshing activities. Over those centuries, fsheries resources were considered inexhaustive and fshing regulations were limited to organizational matters and the collecting of taxes. Additional local fsheries rules on, for example, the division of revenues from fshing among crews, or the procedures to avoid gear collisions in fshing areas, were decided within the local fshing community.

In Sweden and Finland, the owner-based fsheries management has been important part of the governance system at the local level for centuries. Most of the coastal and inland waters are under private ownership and associated with the possession of land. In Finland this was codifed in a statute in 1766 when Finland was part of Swedish territory (Eklund 1994). Later, the system became included in fsheries legislation. The landowning farmers were allocated more decision power over fshing in their water areas, and the fshing rights of the landless people – the majority of professional fshers – became weaker (Eklund 1994). Within this spatial management system, waters inside a line between the outermost islands longer than 100 meters are private according to the Swedish rule for separating private and public waters (Bruckmeier and Neuman 2005).

In the local owner-based system, fsheries management is commonly driven by a collective; a shareholders' association, which jointly represents the interests of individual owners in fshery matters. From the commercial fshers' perspective, problems in getting fshing user rights have occurred as the management rights are in the hands of other groups, like the landowners (Salmi 2012). While the local ownerbased management system still exists, and water owners are according to law responsible for managing their fshing waters, new governance institutions and levels have become important players. Swedish and Finnish fsheries governance system became highly complex as a result of the coexistence of several systems: governmental fsheries management, local fsheries management and public and private ownership of coastal waters (Bruckmeier and Neuman 2005). When fsheries management became part of national and later international authority, ecological and economic concerns gained attention and little to no attention was given to the viability and sustainable development of coastal communities that depended on fsheries.

Besides local transformations, external developments in Europe and worldwide contributed to shaping the current governance of the Baltic Sea. Firstly, the threats to fsh stocks from fshing became acknowledged and the "cod wars" between the UK and Iceland triggered the process which ultimately led to the UN Convention on the Law of the Sea (UNCLOS) in 1982 (see Nakamura Ch. XX in this book). As threats of overfshing and environmental degradation, in particular euthrophication, in the Baltic Sea become notorious and fsheries governance went national – and later international – the regulating and governing actors expanded accordingly. In 1980, the frst Convention on the Protection of the Marine Environment of the Baltic Sea Area, known as the Helsinki Convention, was signed.

The governance of fsheries in European seas including the Baltic Sea changed substantially with the institutionalization of the European Union Common Fisheries Policy (CFP), which has served as the overarching governing framework for fsheries management in all European Union member states through its directives and regulations. Finland and Sweden became EU members in 1995. Prior to 2004 and the inclusion of Poland and the Baltic countries (Estonia, Lithuania and Latvia) into the EU, the states bordering the Baltic Sea managed fsheries issues multilaterally via *the International Baltic Sea Fisheries Commission* (IBSFC).

The Baltic Sea fsheries governance has been described lately as a complex, multi-level governance case (Burns and Stöhr 2011) where different actors from a variety of sectors interact to steer formal and informal processes to achieve collective (socially) benefcial outcomes. Over the last decades, governance in the Baltic Sea region has witnessed a process of "Europeanisation" at a signifcant incremental level (Gilek et al. 2016; Zeller et al. 2011) where not only fsheries but also the environmental governance system plays important roles.

In the following we describe cases about how the above-described changes in the governing structures and principles have affected the systems-to-be-governed, namely the small-scale fsheries along the northern Baltic Sea coasts.

### **13.4 Regional Examples of Transformations in Small-Scale Fisheries in the Northern Baltic Sea**

### *13.4.1 Northern Satakunta Region*

In the Northern Satakunta region, on the Finnish West coast, the heyday of commercial fshing was at the end of the 1910s, when a general shortage of food supplies increased the demand for Baltic herring especially during wartime (Salmi and Salmi 2009). At that time boats were progressively being equipped with motors which increased effciency and reduced workload. However, a new fshing method, trap net fshing for Baltic herring, was adopted slowly among the professional fshers in the Northern Satakunta region. In spite of the tensions over fshing rights, contradictions between the local owners of the fshing rights and the professional fshers were not as severe in the Northern Satakunta region as it was the case in archipelago areas in South-west Finland (Salmi 2018).

After WWII the number of fshers in the region declined rapidly and traditional coastal fshing methods and operation models were reassessed and renewed in many ways (Salmi and Salmi 2010). The number of commercial fshers in the major fshing village Merikarvia decreased to less than one half in 30 years. New fshing methods were adopted; for example, stationary long line fshing for Baltic salmon in autumn months became widely appreciated as it enabled the sharing of economic risks through fshing co-operation. The episode of stationary long line fshing started a wider strategic change in the commercial fshing in the region, as the fshing moved from Baltic herring towards targeting river-spawning species: Baltic salmon and European whitefsh. Moreover, targeted species were affected by the damming of rivers for the purposes of electric power production and forestry. The consequent decline was partly compensated by restocking of fsh fngerlings.

Trawling for Baltic herring started in the 1950s but this capital-intensive method failed to attract the Northern Satakunta fshers, who considered the striving of economic proft as morally dubious (Salmi and Salmi 2010). At the beginning of the 1960s driftnet fshing for European whitefsh was invented along with the introduction of synthetic fbres in fshing nets (Salmi 2011). Fishers were paid good prices for the large-sized European whitefsh. Therefore, driftnet fsheries for European whitefsh soon became an important element in the fshing culture of the Northern Satakunta coast.

Unlike today, opportunities for fshing livelihoods before the 1960s were less often directly affected by the state – whether supporting or restricting the livelihood. The major legislative issue was connected to the defnition of water ownership and access rights for the fshers. Thus, the local community, alongside fshers' life modes and identities, was of major importance in responding and adapting to transformations in the society. During the last 50 years however, the role and effects of the national and international levels of governance, and especially measures for biodiversity protection, have substantially increased.

In the 1980s the Baltic salmon stocks increased in abundance partly due to restocking programs. In addition to using long lines to fsh Baltic salmon, fshers started to use trap nets. No local license had previously been needed as salmon fshing was operated outside the privately owned water areas. With time, state-initiated regulations for Baltic salmon fsheries have become stricter and increased in complexity over the last 30 years. In the 1980s the salmon fshery was regulated by closed seasons and by restricting the number of fshing gears (Salmi and Salmi 1998). As a consequence of new top-down fshing policies, which were found unreasonable by fshers, a national fshery organization, the Finnish Fishermen's Association, was founded to defend their rights.

Much later, drift net fshing was banned by the EU in 2008 legitimated by the protection of the Baltic Sea harbour porpoise. This decision terminated not only open sea netting for Baltic salmon, but also the drift net fshing for Baltic herring, adopted already in 1861, and later for European whitefsh, and to some extent also trout and salmon (Saiha 2009). Small-scale fshers considered the ban to be an example of centralized decision making based on insuffcient knowledge, as, for instance, porpoises seldom entered Finnish coastal areas (Salmi and Mellanoura 2019).

The current situation was examined in an annual national survey that monitors changes in commercial fshing. Fishers in the municipality of Merikarvia stated that the seal-induced losses had increased in 2017 (Setälä et al. 2018) and that the effects of the seals, accompanied with the cormorants, pose the greatest threat to their fshing livelihood. In addition, the local herring and salmon fshers are affected by the launching of the transferrable quota system, which is often considered to increase bureaucracy rather than to enhance independent decision making in fshing operation. The consequences of the quota system and the seal and cormorant-induced conficts will be in more detail studied in Sect. 13.5 below.

### *13.4.2 Archipelago Sea Region*

The Archipelago Sea, South-west Finland, consists of unique coastal landscape with shallow water areas between thousands of islands, skerries and fragmented shorelines (Salmi 2018). Extraction of fsh resources has been of utmost importance. Baltic herring was landed for centuries cooperatively during the ice cover period by winter seining methods. Tensions between the professional fshers and the land-owning peasants became evident in the 1920s, causing more severe and longlasting contradictions within the local communities than those in the Northern Satakunta region. In the inner waters of the archipelago local peasants had started, in addition to seine nets, capturing Baltic herring by large trap nets. The breakthrough of trap nets for herring occurred after WWI. With this method, the landowners captured large quantities of herring during the spawning season in spring, which created conficts with the full-time gill net fshers in the outer archipelago (Eklund 1991, 1994).

In 1934 the number of commercial fshers in the southern parts of the Archipelago Sea was 3447, of them 42% being full time fshers (Salmi 2018). The golden era of the archipelago fsheries lasted until the end of WWII. After the war, fsheries started to lose their position as co-providers of welfare and nutrition, and consequently the number of commercial fshers declined. Already in the 1930s the demand for salted herring started to decline as a consequence of the reduced purchasing power of the consumers after the depression and import restrictions and new preservation methods for fsh products (Jónsson 2009). For centuries, live pikes, perches and other species were transported from the archipelago especially to Stockholm and Helsinki, where fsh demand had grown (Eklund 1991). This wellboat shuttle continued until the 1950s when Sweden forbid the import of live fsh (Soldéus 2013).

In some islands the traditional fshing peasant livelihood still continued; root crops were produced on small felds and the Baltic herring was smoked in order to gain added value. Cattle were also a part of this self-suffcient economy. Processing, transportation and marketing chains in the archipelago were underdeveloped, as the Finnish state prioritized the development of agriculture. While agriculture was generously subsidized, the archipelago and coastal fshing was being supported only in the late 1960s, once the former fshing villages were transformed to sites for agriculture, recreation and services (Eklund 1991). The adoption of industrial trawling since the 1950s moved part of the fshing activities away from the archipelago and contributed to its depopulation (Jaatinen 1961).

Still in the 1970s nearly half of the archipelago inhabitants were employed in primary production, like agriculture and fsheries (Andersson and Eklund 1999). Thereafter the importance of primary production has decreased as recreational activities, shipping and nature protection became more signifcant. A new fsheries innovation, rearing of rainbow trout in net cages in the sea, was introduced and partially transformed the 'capture economy' into 'fsh culture'. Moreover, new postproductivistic interests, e.g., summer cottage dwellings and nature conservation, captured large archipelago and coastal water areas without prior discussions with the fsheries sector. Also the number of recreational fshers multiplied. Regarding several fsh species, the annual landings by recreational fshers exceed those by the commercial fshers. Furthermore, recreational rod fshers have successfully gained fshing rights and easy access to fshing waters (Salmi 2012). Especially the launching of the province-wide lure fshing fee system in 1997 raised bitterness among water owners as the new state-organized license system narrowed local opportunities for managing local recreational fsheries – the local owners could not anymore control rod fshing in their waters. Environmental conservation has intensifed in the study area since the 1970s along with initiations for establishing national and international protected areas. Commercial fsheries fnd the expanded spatial occupation by nature conservation interests problematic (Salmi 2018) due to the restrictions of access and overlapping protective zones (Svels 2017).

Parallel to diminishing availability and demand for the Baltic herring, the archipelago fshers have relied on other fsh species like perch, pikeperch and European whitefsh. Lately pikeperch stocks built up and occupied wider areas in the archipelago, and compensated for the reduced herring landings. Yet, after the turn of the millennium increased seal and cormorant populations have created the greatest threat to the viability of commercial fshing (Salmi 2015). The effects of the grey seals have also changed the fshing locations; instead of more open archipelago waters the best pikeperch catches are currently yielded in sheltered and shallow coastal fshing grounds (Saarinen 2013). Archipelago fshers have traditionally relied on local support whereas the state and authorities are more often perceived as restricting fshers' operations and independence (Salmi 2005). The ownership of waters has partly shifted to the summer cottage dwellers, not inevitably willing to grant licenses for commercial fshing. This challenges fshers who have tried to move their pikeperch fsheries towards more shallow waters. Moreover, the minimum size of pikeperch in the Archipelago Sea commercial fshing was, by law, raised to 40 cm in 2019. Fishers objected the change doubting the idea that the pikeperch stocks were endangered (Sonck-Rautio 2019).

### *13.4.3 From Östergötland to Uppland Archipelago*

Fishing, farming and animal husbandry have been important livelihoods in the history of several archipelago areas in Östergötland, Sweden (Norr et al. 2018). The land and water are connected in use, ownership and livelihoods alike, as in the above case of the Finnish Archipelago Sea. Fishing is one element of archipelago peoples' identity and one part of the pluriactivity providing income to the permanent population. In Hållnäs on the Uppland coast, fshing culture and its specifc life mode has been important for local identity as well as supporting local tourism using fshers' knowledge and stories in creating tourism products (Rådberg et al. 2018). In spite of traditions and the importance of fshers' livelihood recruitment of new fshers is challenging.

In the southern part of the Östergötland coast, in Valdemarsvik, Baltic herring and eel capturing has dominated. In the past, Baltic herring was targeted in winter and spring by seine nets near the bays and by gill nets in the outer archipelago. Later trawling was adopted and consequently the Baltic herring landings substantially increased. Eel was fshed in late summer and in autumn with trap nets. Today, there are only a few commercial fshers in Valdemarsvik, while in S:t Anna's archipelago, another part of Östergötland coast, there is only one fsher left (Norr et al. 2018).

On the Swedish Baltic Sea coast recreational rod fshing has been free since 1985. The lack of charges and regulation has been criticized as it is considered to hamper management of local fsh resources (Norr et al. 2018). In the Östhammar-Singö archipelago on the Uppland coast, narrowed economic opportunities for the local management organization irritated water owners, as they found unjust that one group could operate without fees and others needed pay for the funding of the fshery management. This situation is similar to local perceptions regarding the widened rights of rod fshing in the Finnish Archipelago Sea (Salmi 2002). People on the Swedish Baltic Sea coast have found that 'free rod fshing' is a consequence of general change in fsheries policies towards downplaying the local level management.

According to the Swedish archipelago fshers, fsheries policy has contributed to supporting large-scale fsheries at the expense of small-scale fsheries (Norr et al. 2018). Fishers claim they have been neglected by the society while large-scale trawling has been supported. Small-scale fshers state diffculties in following new requirements which necessitate investing, e.g., new fsh processing facilities, and bureaucracy has increased. Similarly, water owners of the Östhammar-Singö archipelago were convinced that the large-scale trawlers caused damaging effects on the environment and fsh stocks (Salmi 2002). Fishers in the Hållnäs region state that small-scale fshing is a sustainable way to utilize the sea resources and that the livelihood supports development of local communities (Rådberg et al. 2018).

Fishers in the Östergötland archipelago state that the price and demand for local fsh is good (Norr et al. 2018). Thus, opportunities for small-scale fshing could be seen as promising, nevertheless the core problem is that the landings by the remaining small number of fshers are too small to revitalize a fshing industry. This is due to the seals and cormorants that reduce catches and discourage fshers participation. In Hållnäs, fshers process their catch for direct sale to tourists during the summer, claiming they could sell more provided they had better opportunities to decide what and where to fsh as it was in the past for small-scale fshing (Rådberg et al. 2018).

The contemporary seal and cormorant-induced problems were highlighted both in the Östergötland archipelago and in Hållnäs (Norr et al. 2018; Rådberg et al. 2018). During interviews with local fshers made in 2018 it became clear that especially the seal population had exploded within 2 years. Seals are allowed to be hunted, but the hunter must be accompanied by a registered commercial fsher (Norr et al. 2018). Seal hunting in the Swedish archipelago, like in Finland, is hampered also by the EU ban of trading seal products (European Union 2009a). Fishers are displeased with the compensation payments because they are bound with turnover instead of the amount of losses. Likewise, cormorants eat a lot of fsh. In Hållnäs, informants said that although protective hunting of cormorant is allowed, the

amounts are too small to make a difference (Rådberg et al. 2018). Seals, cormorants and authorities are perceived as prime factors of Hållnäs fshers' problems as they feel powerless and not recognized in the decision-making process. In this area the number of commercial fshers has decreased between 1930 and 2018 from 250 to only two fshers left (Rådberg et al. 2018).

### **13.5 Contemporary Governance Challenges in the Northern Coasts**

The studied examples of coastal small-scale fsheries in the northern Baltic Sea have shown capacity to adapt to a variety of changes. Despite this potential, recent societal transformations driven by post-productivist governance images, instruments and structures have changed, and become increasingly pivotal for the existence of this fshery. Alongside these developments, this section focuses on two core issues that challenge the northern Baltic Sea small-scale fsheries: market-based governance and natural predators-related conficts.

### *13.5.1 Quota Management as a Market-Based Governance Instrument*

The quota management (individual transferable quota, ITQ) was introduced as an instrument for fsheries governance widely during the twentieth century (Hultman et al. 2018). A basic idea is that individual 'ownership' of fshing quotas, combined with a free market for the selling and buying of these quotas, will foster a more economically effcient and sustainable fshing sector. These quota systems arrived in the northern Baltic Sea more recently. In Sweden, individual and transferable quotas were introduced in 2009 in the large-scale pelagic (herring and alike species) fsheries and later individual quotas with annual leasing were set up in the demersal (cod and alike species) fsheries (Hultman et al. 2018). The pelagic ITQ system was introduced for a period of 10 years (Stage et al. 2016) and was renewed for the same period in 2019, while for the demersal fsheries the individual quota system was a provisional regulation which ended in 2018 and was not renewed in 2019 (Arias Schreiber et al. 2019). Finland introduced individual quotas (more specifcally: transferable fshing concessions, TFCs) in the Baltic herring and Baltic salmon fsheries in 2017.

According to Hultman et al. (2018) quota markets have been contested and opposed by large groups of fshers, and the implications have been subject to public debate in Nordic countries. This introduction of market mechanisms in the distribution of fshing quotas and rights has changed the previous economic and social base, and hence the very basic conditions for the coastal fshing sectoral development.

It is evident that this policy change has favoured volume-based large-scale fsheries (Hultman et al. 2018) in comparison to small-scale fsheries. The impacts of the ITQ system for the coastal fsheries in Sweden have not been systematically evaluated and are a matter of debate.

In contrast to the Swedish quota system, the Finnish system also covers smallscale coastal fshing. According to a survey made in 2018, many Finnish fshers were sceptical of the benefts of the newly launched system, especially for the coastal small-scale Baltic herring and Baltic salmon fsheries (Salmi et al. 2019). The system was considered complicated, bureaucratic and unsuitable for the seasonal trap net fshing for Baltic herring and Baltic salmon. These views are similar with those among the Northern Satakunta fshers (Sect. 13.4). Baltic salmon fshers, however, found a positive aspect of the quota system, as it enabled partial relieving of temporal regulation in Baltic salmon fsheries (Salmi et al. 2019).

### *13.5.2 Natural Predators-Related Conficts; Governing Seals, Cormorants and Fisheries*

Environmental and predators-related themes have emerged along with the postproductivist transition not only in the public discourse but also in governance institutions and practices of coastal resource utilization. The increased seal and cormorant populations ('natural predators') form the greatest contemporary confict issue for commercial fsheries in most parts of the Baltic Sea coast and challenge the future of small-scale fsheries also in the studied Finnish and Swedish coastal locations (Sect. 13.4).

Seals' and cormorants' impacts on coastal fshing livelihood can be divided in six types: damage to fshing gear, damages in caught fsh, reduction of catches by taking fsh from the gear and fshing grounds, reduction of catches due to changes in fsh stocks and behavior, an increase of the work load, and an increase of the operation costs of fshing (Svels et al. 2019). The seal-induced impacts are perceived as considerable or serious in nearly all the studied Baltic Sea coastal areas and the cormorant-induced impacts are usually considered less serious than those of seals (Arias Schreiber and Gillette 2021).

The multi-level and sectored governance systems have been unable to solve the conficts, although technological measures have provided partial mitigation of the seal-induced problems (Salmi 2009; Svels et al. 2019). In general, perspectives on seal politics are steeply divided between fsheries and hunting organizations on one hand and nature conservationists and environmental administrators on the other. The former groups want to restrict the seal population and the latter like to restrict hunting and enhance conservation. Similar tensions are present in the cormorant confict, where environmental perspectives hold more power, largely due to the cormorants' status as non-hunted species under the EU Bird Directive (European Union 2009b).

Grey seals can be hunted with certain limitations in Finland and Sweden. The motivation for hunting is, however, often low due to the EU ban for the trade of seal products (European Union 2009a). In the cormorant case derogation permits can be locally applied for harassment, shooting or oiling eggs. Fishers call for wider opportunities for hunting seals and cormorants as the primary choice of governance instrument (Svels et al. 2019. Active hunting near fshing gear may improve catches for a couple of days, nevertheless fshers stress that over time it will affect the behavior of the animals, becoming yet again more fearful towards humans. The fshers interviewed by the TNC project (Svels et al. 2019) recommend that killed animals should be considered a resource; thus, a repeal of the EU ban for trading seal products is considered to be central for this option. The opinion is divided regarding the role of monetary compensations as a governance tool for mitigating the animalhuman contradictions. Development of fshing technology has been considered as a primary instrument in the mitigation of the seal-induced problems, as gear development aims to enable commercial fshers to continue their livelihood without challenging the protection of seal populations (Svels et al. 2019).

National and local management plans have been made for seals and cormorants in Sweden and Finland. The process of making the plans may support learning and fnding common ground among stakeholders and interest groups. However, the fnal plans are typically science-based and lack recommendations for improving the institutional arrangements and effcient governance tools for confict mitigation (Petersson et al. 2012). Discussion on inclusion of local knowledge in the confict mitigation processes has been controversial (Bruckmeier and Höj Larsen 2008).

### **13.6 Conclusions: Societal Transformations and Governance**

Changes and challenges of the Baltic Sea natural system including its fshing stocks has been extensively researched while social changes in the fsheries system, and in particular related to coastal small-scale fsheries, have been seldom addressed (Arias Schreiber et al. 2019). The lack of research persists despite signifcant transformations that have been witnessed in the governing system and the way it affects the small-scale fsheries sector. This chapter has focused on the changing govern systems and their compatibility with small-scale fsheries operated on the northern coasts and archipelagos of the Baltic Sea. The presented case studies show that a minor number of northern Baltic Sea coastal fshers have been able to adapt and continue their livelihood in current diffcult circumstances. Adaptation to the present challenges, especially the quota systems and the natural predators-related conficts, is, more than ever, in the hands of the governors, their images of the small-scale fsheries, and the functionality of the governance structures.

Societal transformation towards post-productivism, globalized economics of scale and environmentalisation with a multilevel hierarchic science-based governance, have shaped both the system-to-be-governed, namely the studied small-scale fshers and their communities, and the fsheries governance systems. Under a

post-productivism context, coastal areas provide individual experiences, touristic attractions and places for nature conservation where commercial fshing is not valued. Globalized economics of scale allow for large amounts of imports of cheap seafood that tends to limit marketing opportunities of the coastal fshers. Moreover, since ecological concerns are prioritized in the current governance system, sciencebased hierarchical governance has turned small-scale fsheries voices and knowledge irrelevant for fsheries management. The reduced number of small-scale fshers are not well organized and their participation and values are rarely considered in the decision-making process (Arias Schreiber et al. 2019). The governance challenges are substantial as the system-to-be-governed has become more diverse, complex and dynamic along with arrival of new interests and values, such as those of the environmental movement and recreational users of the area. Many fshers have coped with the new situation by adopting new strategies that make use of the increased demand, for instance, for environmentally friendly niche products (Hultman et al. 2018). However, the narrowing scope of action, bureaucracy and consequent reduced independence poses a challenge for recruiting new generations of coastal fsheries.

Figure 13.4 connects our theoretical framework of interactive governance with the elements and systems relevant for the studied Baltic Sea small-scale fsheries. Main changes in the governing mode have been described as a shift from local owner-based governance to a hierarchic science-based fsheries and environmental governance. In the past the local community was of major importance in responding and adapting to transformations in society. During the last 50 years the role of the

**Fig. 13.4** Interactive governance framework adjusted for the analysis of the societal transformation and governance challenges of the small-scale fsheries in the Northern Baltic Sea. (Modifed on the basis of Jentoft and Chuenpagdee 2009 and Kooiman et al. 2005)

national and international levels of governance has become central. At the same time the societal transformations have brought new governance principles, structures and practices that have increasingly affected coastal small-scale fsheries. As our analysis shows, neither the local level governance has been free of contradictions. Tensions regarding fshing opportunities of professional fshers vis-á-vis land owners, who possess more power in local fsheries management, have provoked obstinate conficts in the studied archipelago fsheries until today.

Northern coastal fshers perceive that the hierarchic science-based systems enhance large-scale fsheries, and do not take the coastal fshers' interests, values and cultures properly into account. These perceptions are visible e.g., in the presented examples of the drift net ban, the natural predators-fsheries conficts and the transferable quota system. The quota systems form a governance instrument that fts well with fsheries based on mobility, large investments, and economies of scale to achieve proftability. This is in contrast to small-scale fshers who lack fnancial capital, and normally avoid large investments (Arias Schreiber et al. 2019). In Finland small-scale fshers considered that the consequent distributional outcomes, were not properly taken into account when launching the quota system.

It is not far-fetched to conclude that the fsheries and environmental governance systems are incompatible with the system-to-be-governed, small-scale fsheries in the northern parts of the Baltic Sea. How can a better balance be achieved? There is an obvious need for improvements both regarding structural modes and intentional elements. The emergence of hierarchic science-based governance structure is largely behind the problems, but there is no turning back to self-governance if that ever existed. However, a narrowly science-based governance approach does not guarantee a ftting to small-scale fsheries values and interests. The third and most promising alternative is co-governance where small-scale fshers' interests, values and local knowledge are integrated into a governance system that considers economic, ecological and also social sustainability concerns. At present the EU-funded Fisheries Local Action Groups provide an opportunity for small-scale fshers also in the northern coasts of the Baltic Sea to collaborate widely and get support for applying locally relevant survival strategies (Salmi and Svels 2022). New networks and hands-on collaboration with the fshers may raise the awareness of small-scale fshers' challenges and every-day life, which is needed for improving compatibility in the governance interactions.

Governance collaboration, creating better balance and wider awareness of smallscale fsheries, could thus enhance the overall sustainability of the Baltic Sea coastal regions. Similarly, the science-based policy setting needs to rely on more disciplines than just the ones that provide knowledge on ecological and economic aspects within the complex fsheries system. Transdisciplinary research that includes the co-production of knowledge with resource users offers an alternative in this regard. As this chapter shows, interactive governance theory is well ftted for analyzing the modes and elements in the complex governing systems that affect opportunities for small-scale fsheries in the constantly changing system-to-be-governance.

### **References**

WWF (2021) WWF:n kalaopas. World wildlife fund. https://wwf.f/kalaopas/. Accessed 8 Oct 2021

Zeller D, Rossing P, Harper S, Persson L, Booth S, Pauly D (2011) The Baltic Sea: estimates of total fsheries removals 1950–2007. Fish Res 108(2):356–363

**Open Access** This chapter is licensed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made.

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# **Chapter 14 The Plastic Bag Habit and the Ocean Bali: From Banana Leaf Wrappings to Reusable Bags**

### **Roger Spranz and Achim Schlüter**

**Abstract** The pollution of the oceans by plastic waste is a growing threat to marine life, ecosystems, livelihoods of coastal communities and the health of human beings in general. Indonesia is the world's second largest source of marine plastic pollution. As an island state, plastic litter is regularly fushed into the sea. In this study we explore some behavioural and cultural reasons for the high consumption and pollution by plastic bags on Bali and locally adapted solutions. The data was collected from interviews and surveys with shop owners and customers, religious leaders, students, lecturers and activists during 3 years of research in the region. The analysis is structured in three parts: frst, understanding the relevant concepts that inform Balinese perception of the natural environment; second, analysing the popularity and aversions among local Balinese in regard to plastic bags; third, investigating a local initiative working towards a ban of plastic bags. Based on these three parts we identifed promising approaches that can effectively support local initiatives and awareness campaigns.

**Keywords** Environmental anthropology · Indonesia · Plastic bags · Marine pollution · Bali

R. Spranz Making Ocean Plastic Free e.V., Bali, Indonesia

Making Ocean Plastic Free e.V., Freiburg, Germany

A. Schlüter (\*) Leibniz Centre for Tropical Marine Research, Bremen, Germany

Jacobs University, Bremen, Germany e-mail<EMAIL_ADDRESS>
© German Institute of Development and Sustainability (IDOS) 2023

S. Partelow et al. (eds.), *Ocean Governance*, MARE Publication Series 25, https://doi.org/10.1007/978-3-031-20740-2\_14

### **14.1 Introduction**

Plastic bags make up 9.4% of the world's coastal litter.  Indonesia is the second largest source of plastic marine pollution (Jambeck et al. 2015). There is a growing number of studies suggesting that plastic particles taken up by marine life (Desforges et al. 2015) causes adverse health effects in a number of creatures ranging from nano-organisms to whales to human beings (cf. Andrady 2011; Thompson et al. 2009). Most of the Balinese people that have contributed to this research have little knowledge of this. Their understanding of nature and potential damage to it is largely based on concepts and perceptions that are different. The variety and differences are examined in this study.

The approach of the study at hand is similar to other studies contributing to the growing feld of environmental anthropology. Sponsel (2007) notes how these studies extend the former focus of ecological anthropology from local to now global considerations. Whether identity related factors for example in connection to the increasing role of transnational media or migration, or whether aspects of natural phenomena, such as climate change, the relation of humans with their natural environment can better be understood by looking beyond a narrow local and a more holistic approach. The pollution of the seas by plastic bags is a phenomenon that cannot be understood without its local and global dimensions. The fact that Balinese use plastic bags is a direct result from its global connectedness. Whether the use, disposal and pollution by plastic bags are perceived as a problem depends on local and global discourses and the identities and the interpretation of their specifc components.

The two authors of this study are deeply rooted in Western culture. We can be described as being WEIRD (Western, Educated, Industrialised, Rich, and Democratic) (Henrich et al. 2010), from a global perspective. Similar to us, we would claim that many Westerners going to Bali would perceive according to their perspective the "plastic problem" of Bali being all too apparent. From our perspective plastic is at the wrong place (Douglas 2003). There seem to exist clearly distinguishable cultural and behavioural characteristics and understandings of people geographically misleading described as coming from the 'West' in comparison to 'Non-Western' people (Henrich 2020). However, obviously there is the strong danger of oversimplifcation (cf. Dove et al. 2003) and there is a huge diversity among them. This diversity is even more pronounced, when looking at 'Non-Western' perspectives, as cultural diversity is much more abundant and less aligned. Aiming to understand what we perceive as the plastic problem of Bali, we believe it is useful to examine the so called 'Western' and "the" 'Balinese' concept of nature to better appreciate an important difference in understanding the natural environment. According to Hviding the 'Western' concept sees nature as the antithesis of culture, nature vs. man, the material as opposed to spiritual (cf. Hviding 2003). Nature in the 'West' is hence largely understood as an autonomous category with its own set of rules. This is set in contrast to the 'Non-Western' conceptualizations of the

environment in which culture and nature are not separate units. Bruun and Kalland (1995) describe a moral unity of human and nature referring to Asia as a whole. The anthropomorphisation of natural objects and phenomena – the attribution of human characteristics to the latter – we often found among Balinese people is an expression of this idea. Nature becomes more understandable, accessible and manageable. Many rituals and offerings can be seen as such interactions with the aim to infuence proceedings in the environmental realm. In this study we will learn how the anthropomorphisation and interconnectedness of nature with other spheres in life, such as religion, helps us to understand the meaning and perceptions of nature as it presents itself to many Balinese.

These Balinese perspectives, meaning and perceptions are due to globalisation more and more interacting with Western, exported patterns of production and consumption and the corresponding concepts of nature. A central aspect in 'Western' separation of human and environment is the elevation of humans to control and manipulate the environment. It is often that this kind of manipulation has led to environmental destruction. For example, Ramseyer et al. (2001) perceive that the rise of materialism and consumerism induced from Western into Balinese culture serves as a vehicle for attitudes favouring exploitive behaviour. Materialistic and consumptive values are increasing all over Indonesia (see e.g. Gerke 2000; Spranz et al. 2012). Further, they play an important role in the constitution of people's social status and identity (see e.g. Douglas 1976, 1997; Jackson 2005). On the other hand, Western concepts of caring and conserving of nature are exported and interacting with Balinese or other concepts in the region ever more often (Pauwelussen et al. 2017). Due to an important political debate on plastic bag use on Bali, going on while feldwork was done, we decided to try to understand factors that infuence shopping bag choice.

### **14.2 Methods**

We selected Bali as a case study, because as a well-established, fast growing, and substantial tourism hub in South East Asia it is producing a lot of plastic waste. It is a very religious place, with high respect in God's Creation and nature. It went through a rapid transformation, challenging many values, norms and institutions in more general that require to be adapted to the new ways of living. This happened under the condition of a state with limited governability. Roger, Spranz, the frst author, has collected the data for this study in between 2013 and 2016 during which he spent most of his time on Bali conducting different research projects. Data was collected using a variety of research methods ranging from qualitative interviews to quantitative surveys. The research consisted of expert interviews, semi-structured interviews, group discussions and informal talks with more than 80 informants. Participant observation was a big part in the research as well. From grocery shopping with and without plastic bags and different everyday life situations that involve interaction with the environment, waste, especially plastic bag waste, he has been

able to further approach an emic perspective. He also participated at community gatherings and meetings of local initiatives concerned with reducing plastic bag waste. With the help of research assistants, we have been able to conduct surveys with another 60 informants, all of which were owners of little grocery shops.

The data has been analysed using an inductive approach based on principles of the *Grounded Theory* by Glaser and Strauss (1967). An iterative process of data collection, analysis and interpretation was ongoing throughout the research. As a result of this different categories and concepts have emerged and been constructed from this process. These categories and concepts represent hybrid points of where the 'Western' and 'Balinese' concepts meet. They are intended to serve as translational bridges.

The article aims to contextualize the research by means of thick description (Geertz 1973) using categories and concepts of environmental knowledge, attitudes and behavior as well as the motivations and adversities for plastic bag use. To describe details about the data collected, we hope to increase the understanding and at the same time validity of the interpretations provided (cf. Lincoln and Guba 1985).

### **14.3 Local Environmental Knowledge in Bali**

In this section we present the views of nature by Balinese people in different categories: History, Education and Religion. We developed and employed these categories by departing from familiar 'Western' categories, which also represent our starting point and therewith the starting points of many interviews and informal conversations held. Within, across and in between those categories 'Balinese' concepts of nature come to the front. However, we will learn that 'Western' and 'Balinese' concepts are not mutually exclusive and people may interconnect or constitute them in parallel ways.

### *14.3.1 History*

Less than half a century ago environmental pollution by waste was not a problem on and around the island of Bali. Buying food at the market, taking it home or to work had been done using sustainable practices. As found in several talks with Balinese – but also are still often seen – baskets carried on top of the head have served to carry larger amounts of shopping goods for a long time. These are fne for carrying unprocessed fresh vegetables or fruits. In the case of meat, fsh or processed food (Tofu, Tempe1 etc.), they were frst wrapped in coconut or banana leaves. As plates a

<sup>1</sup>Fermented soybean patty.

coconut shell or wooden plate worked well. This practice has existed for many centuries, 'before the era of plastic began in Bali' (Hindu Priest).

To the Balinese Hindu the daily offerings prepared and placed to the different manifestations of God appear as important as the provision of food to themselves. This together with around 50 more ceremonies throughout the year, requiring even larger amount of offerings, has always produced a substantial amount of abandoned resources. However, the traditional content of offerings, such as fowers, fruits, rice, along with the baskets, disposed banana and coconut leaf wrappings, have been more of a fertilizer than a source of risk for people's health or the ecosystem. 'The offerings used in the ceremony (…) will degrade over time, such as leaves, coconut shell, it can decay so that the old offerings – after the completion of the ceremony – are used as organic fertilizer.' (Hindu Priest). To dispose the organic matter into rivers or burn the waste to regain space and also for fertilizing the soil showed to be rather well adapted waste management practices through time.

### *14.3.2 Education*

As with many other areas of life in Bali, there are strong dynamics underlying people's perceptions and concepts of the natural environment. There are some indications that Balinese with higher education and those living in urban areas share views of nature similar to 'Western' concepts. The most signifcant difference can be seen between generations. However, there are no clear cut lines, and younger Balinese very much share traditional 'Non-Western' Balinese concepts of nature and at the same time they refer to 'Western' concepts. This is not surprising acknowledging the increasing exposure of young Balinese to different Western media and many Western tourists coming to their island. But there is another important factor changing the way young Balinese think about environmental issues including eco-systems, pollution, waste, climate change and health: Their education in schools. 'The perspective of environmental education in the curriculum 2013 is packed with the expectations that learners gain awareness and sensitivity, gain a variety of experience and a basic understanding of the environment' (Prihantoro 2015: 83).

Prihantoro (2015) shows the important role of environmental education in Indonesian school curriculum today. We learned about different environmental initiatives in collaboration with schools. These ranged from education on waste management to holistic social, cultural and environmental approaches as represented by the Adiwiyata Mandala program by the Indonesian Ministry of Environment (cf. KLH 2012). Four schools have been visited in Bali throughout 2014 and 2015. It was very clear that the students knew about many concepts part of 'Western' environmental discourses. We had discussions on recycling, degradable and nondegradable waste, waste separation, pollution of the sea and climate change. Since the students were part of specifc environmental programs, on-site waste separation, as well as composting was part of their daily practices.

The Directorate General of Primary and Secondary Education included environmental education into national curriculum already in 1984 (KLH 2012). Since then the subject has grown to be a more important part of education in Indonesia (cf. Kusmawan et al. 2009). In interviews and discussions with parents of young Balinese on environmental topics such as pollution by plastic bags and waste separation, the parents often referred to their children and how their children learned about these things in schools. 'Western' concepts of nature and the environment – including the vulnerability of the ecosystem – as taught in Indonesian schools, are of increasing relevance to the way Balinese think about nature, as well as their respective behaviour.

### *14.3.3 Religion*

While around 90% of all Indonesians are Muslims, around 90% of the Balinese are Hindu (BPS 2010). Common to the vast majority of Indonesians is the important role of religion in their lives. Perceptions, understanding and interaction with the natural environment are largely infuenced by religious beliefs and practices. Hindu-Dharmaism, the Balinese form of Hinduism, has been explained in interviews emphasizing different aspects. One is the concept of *Tri Hita Karana*, the harmonic relationship in between God, society and the environment. At different points in the interviews with and talks to Balinese they returned to their God's trinity of Shiva, Brahma and Vishnu as a starting point to clarify what the environment is about.

So there is like Shiva for wind, Brahma for fre and Vishnu for water […]. When Shiva gets angry there will be a tornado.  It also happens when people destroy the environment, like Lapindo [Indonesian gas company].2 That's why in Bali there is no drilling. There was a demonstration that, if they need to drill in order to produce electricity, it is better to go back to life without electricity. (Male Balinese teacher)

This quote serves as an example on how the belief of many Balinese Hindus is connected to animistic ideas of nature or rather natural 'elements', which are perceived as emotional beings. The animistic or anthropomorphic quality of nature is a central concept to their understanding of their relationship with the environment and also how to understand it. Natural disasters are angry outbreaks by nature due to misbehaviour on behalf of individuals or the society at large. 'There is no eruption of volcanoes because we make a ceremony every year' a Balinese woman said. 'Why is there always water on Bali? Even in dry season? Because we pray at the temples close to the lake.' another young man explained. Central to maintaining a healthy and balanced relationship to nature are religious practices such as ceremonies,

<sup>2</sup>He refers to a gas drilling accident in 2006 also known as the Sidoarjo mud fow. After drilling for gas an ongoing mud fow has inundated several nearby villages. Thousands of people had to be permanently evacuated. To this day mud continues to come out of the drilling hole.

including offerings and prayers to one of the many manifestations of God. Beyond purely religious activities other behaviour towards the environment can upset its spirits and provoke environmental problems or disasters in return. A teacher said: 'I believe that the problem of dryness is because people are not praying and there is no balance in between construction and trees'. Several of the people talked to were worried about a land reclamation project, which is currently planned for the south of Bali. They fear 'the sea will get angry' and strike back with a tsunami. Whether it is drilling for gas, excess construction or land reclamation, many are expecting an environmental crisis as a consequence.

*Ibu Pertiwi* – which translates to *Mother Earth* – is another central religious and mythological concept showing in Balinese people's perceptions, ideas and actions involving the natural environment. 'Ibu Pertiwi is the entire world. This is Ibu Pertiwi. So don't hurt her.' A male merchant in his late thirties explained. During the socialization of an environmental program in a local community, the village head also referred to the environment by talking about *Ibu Pertiwi*. A locally well-known religious leader emphasized in an interview 'We really respect the earth.

So if the earth, with its trees, rivers, lakes and sea is so respected and often seen as holy, from a 'Western' perspective we tend to wonder, how come it is being polluted and littered so badly? Besides the lack of proper waste management services, we believe that the answer to this has to be mainly seen in the perception of many Balinese that polluting and littering is not understood as disrespectful or irreverently behaviour. Again, Balinese frequently view environmental disasters and crisis not necessarily caused by environmentally adverse behaviour, often it is a general moral misconduct. Views based on 'Western' environmentalist concepts may be on the rise but are rather rare. One of the few people who connected an environmentalist view with a Hindu-Balinese concept of nature was a shop owner who believed that littering may also provoke anger in *Ibu Pertiwi:* 'There are many problems for Ibu Pertiwi. […] Everybody put some rubbish in the river, everywhere, put it in the ocean, to Ibu Pertiwi. […] So when Ibu Pertiwi gets angry, maybe there will be an earthquake'. What most tourists on the island see as an overwhelming and disturbing problem, when they spot plastic bags and other waste at the side of the roads, in rivers, on beaches and in the sea, may not irritate Balinese residents in the same way. The waste and littering seems to not interfere with the principles guiding Balinese towards respecting nature as a sacred environment. Another revealing perspective was shared by a Hindu priest talked to about the problem of plastic bag waste. He explained:

Actually Balinese Hindu believe that anything that can go to the market and be purchased is considered holy. For example, there are eggs after the ceremony washed and then sold to the market again, to be purchased and considered holy, because they believe in the God of the market, Dewi Melanting. Same with plastic becoming holy, with them not knowing about the plastic and its effects. So their actions do not make them realize that they suffer from their own actions. (Hindu Priest)

As the priest further argued, these beliefs and practices stem from the times when fruits, vegetables and other unprocessed food and spices were traded at the market. All were seen as blessings from nature. The temple next to each local market makes sure everything coming to the market is blessed. What has formerly been the banana or coconut palm leaf, a blessed material from *Ibu Pertiwi*, to carry shopping goods and eventually returned to nature behind the house or in a river, has within a short time switched to being a plastic bag. The way to handle plastic and the way it is culturally seen is very much the same as any other blessed organic material originating from *Mother Earth*.

### **14.4 Plastic Bag Use**

So far we have discussed the concepts shaping Balinese people's understanding and behaviour in relation to the environment. We also know more about what issues are perceived as problematic towards the environment or not, and the cultural reasons for that. As much as the use or non-use of plastic bags needs to be viewed in connection to its negative effects on the environment we also need to go beyond the environmental context. In this section we will explore the reasons for the frequent use of plastic bags by Balinese, and why – in the view of Balinese – plastic bags may not be a good choice.

### *14.4.1 Reasons for Plastic Bags Use*

For several interviews on the advantages and disadvantages of plastic bag use, we instructed university and high school students to ask shoppers about their views. Analysing the data of around 20 interviews showed three major benefts to shoppers: Using plastic bags is practical, easy and cheap. These were the terms the shoppers told us, but they also serve as categories for other advantages people mentioned, the use of plastic bags brings to them. It is 'practical' to shoppers that plastic bags are foldable, hygienic, durable, reusable, multi-functional and water-proof. All of these had been mentioned more than twice to us. Related to the concept of being practical was the reason of being easy to use. 'Easy' was the second most often answer to us and in this category we also fnd answers that point out that plastic bags are readily available, lightweight and easy to dispose of. Somewhat of a different aspect is being highlighted in answers that state using plastic bags is modern. Using baskets or banana leaf wrappings as in the former days makes people embarrassed. To explain this further, one person gave this example to illustrate: 'When they come to the cities frst, they also wear sarong.3 But when they come a second time, they may start to get embarrassed.' Just as choosing what dress to wear, the shopping bag they use is a fashion and status statement of modernity.

<sup>3</sup> traditional lower garment worn by people on Bali and other parts of South-East Asia.

So while some appear to be taking identity and status concerns into account and change towards the new, there are others arguing that using plastic bags has just become their habit: 'It's normal'. In the survey with 60 shop owners, we also included a question of why they use plastic bags. Similar to the data above, almost two thirds argued that plastic bags are the most practical solution to carry shopping home. Due to their different role as shop owner in the shopping process, other motives were added. From shop owners' perspective providing the purchase of the customer directly in a plastic bag is good for the sales – good and cheap customer service. Plastic bags compare to other carrying devices also have the advantage that the purchase can be seen, one shop owner added.

Based on the observations of people's use of plastic bags in everyday life, it shows how widely plastic bags are being used. There are many situations well beyond the grocery shopping. Small plastic bags are being used as food packaging for the popular small crackers which are often produced by home-business and wrapped piece by piece. Parts of the many offerings which are placed at the Hindu temples every day are often wrapped in plastic bags. Often the big fruit basket offerings are also entirely wrapped in plastic bags. You fnd plastic bags also along the rice felds attached to poles in order to scare away birds picking the seeds. Shirts and dresses in fashion stores in some cases have each piece hanging sealed in large plastic bags. Something remarkably from a Western perspective: Whether keyboards from computers, frames of TVs, cushions on chairs, entire sofas, and many other objects in Indonesia are sealed into plastic. Among the reasons for that may certainly be the protection against dust and dirt, but in some cases the plastic represents the new, a recent purchase, something beyond the practical, more towards the status partially based on wealth, spending money, partially taking care properly, keeping it clean, being a good household.

### *14.4.2 Disadvantages of Plastic Bags*

Many people enjoy the benefts from using plastic bags, not only in Bali and the rest of Indonesia, but in many other parts of the world. But there are also reasons for avoiding plastic bags. In the 'West' the negative environmental effects from using, producing and disposing or dumping plastic bags has created a critical attitude towards them. Do Balinese share these critical attitudes, and what are reasons to them to avoid plastic bags or choose alternatives?

Asking about disadvantages of plastic bags the most frequent answer we heard was the problem of fooding caused by plastic bags. The ditches and drainages in between roads and houses are often clogged by waste, especially plastic bags. In case of heavy rains, as during rainy season, the clogged waterway in front of your house may result in inundation of your home. Plastic bags causing fooding is therefore among the biggest concerns many Balinese people have with plastic bags. Other negative qualities of the plastic bag use, explained shop owners, are that they are expensive, but as customers ask for them so they need to provide. Almost a quarter of the 60 shop owners surveyed mentioned this. Other comments were that they break easily, get dirty and quickly smell. The problem that plastic bags are contributing to the amount of waste and causing air and soil pollution have nevertheless been mentioned by several people. During a socialization event of a local anti-plastic bag initiative, the village leader pointed out: 'Plastic bags are objects very dangerous for our lives on this earth, for all living creatures. Plastic is one of the most dangerous killers, but we do not realize, we do not know how dangerous plastic is'. And a religious leader talked to said: 'In the villages they are regretful about the plastic, because the soil is becoming less productive.' These quotes represent very strong convictions and perspectives. As local leaders they are eloquent and it is noteworthy to fnd this environmental awareness similar to 'Western' views. But these views are not widely spread. Although many people express concern about the waste problem, insights on the polluting mechanism and risks, such as a potential decrease of soil fertility, are not shared among the majority of people.

It is not a rare exception to fnd critical – on environmental consideration based – views towards plastic bags. Critical views are often expressed by the younger school and student generation, but this 'Western' perspective is not so widely spread. Far more common is an understanding shared by what may be the majority that the plastic bags contribute to the fooding problems in different parts of the island when heavy rainfall, together with clogged waterways, results in fooded homes and streets. The fooding issue is rarely part of 'Western' discourses, although there is a case of fash food in L.A. being caused by clogged plastic bags having been discussed against the background of the plastic bag ban in California (San Jose Mercury News 2016). In India and Bangladesh, the infrastructural conditions had caused similar problems to Bali and can be seen to have been the main driving forces there leading to regulations and bans of plastic bags, again due to fooding and subsequent health concerns (Ritch et al. 2009; Gupta 2011). Despite the mentioning of negative effects from fooding, we did not come across these arguments as a specifc and sole reason for those Balinese explaining their reduction of plastic bags use. Those Balinese who avoid or reduce the plastic bag use argue – if not solely along 'Western' environmental reasons (cf. Cherrier 2006) – at least in combination with those.

### **14.5 Plastic Bag Free**

So far we have learned about the 'Western' and 'Balinese' concepts allowing the Balinese to understand and behave in a certain way towards and within the natural environment. After obtaining a better understanding of benefts and disadvantages of plastic bags to the Balinese, we will now turn towards the efforts and achievement of a local initiative to stop the use of plastic bags on Bali.

During the feldwork Roger Spranz has been able to join the monthly meetings and participate in a number of activities by the local initiative Bye Bye Plastic Bags (BBPB). We will discuss the approach and results of their campaign in the following to learn more about effective ways of reducing plastic bag consumptions. What

could be learned from BBPB's activities, is it a successful model for replication in other parts of Indonesia or beyond?

 It was founded by two Indonesian sisters in 2013, their father Indonesian, their mother Dutch. Most of the active members are teenagers from international schools, often with at least one parent being from another country. BBPB's core activity had been the collection of one million signatures – on- and off-line, to hand over to the Governor of Bali in order to ban plastic bags. BBPB have also gained the support of a local village head who offered his village as a pilot village for being plastic bag free. To follow up this opportunity there have been a number of community meetings and village days, during which the teenagers of BBPB have distributed free reusable bags and conducted surveys with shop owners and villagers. Beyond these activities there BBPB has received large attention from local, national and international media. The teenagers have started to visit more and more local Indonesian schools to spread the word and motivate new members to join. BBPB have given presentations at large conferences, as well as at INK talks in India and TED global in London. BBPB is being supported in different ways by the Rotary Club, Jane Goodall foundation and UNORCID, which Secretary General of the UN Ban Ki-moon initiated after a visit to the school of the BBPB founders.

Mass media and nowadays social media play an increasingly decisive role. More than one and a half million viewers have seen the TED talk by BBPB; a result which would not have been possible without sharing the video on social media. The same month the TED talk has been released – February 2016 – several big supermarket and retail chains across Indonesia, introduced a fee for plastic bags. Among many other very committed groups, e.g. the activists Diet Kantong Plastik from Java, BBPB have surely contributed to this achievement.

After several attempts with the former governor of Bali, who had signed letters stating intentions to reduce plastic pollution, but who never moved forward in terms of tangible legislation, in 2018 a new governor took offce. The new governor Koster quickly took action and passed a plastic ban law end of 2018, coming in effect after a grace period of 6 months. In June 2019, aside from plastic straws and Styrofoam, plastic bags were banned. From major supermarkets to smaller grocery stores the ban was effectively followed by big retail chains and franchises. However, among individual stores and especially traditional local markets no big changes were seen. One thing the ban did achieve, plastic pollution and its problematization, among society evolved from being a marginal topic to a mainstream one. While the degree of problematization may vary and among certain groups still be weak, the governor eventually speaking out about why he is issuing this ban, explaining the need for society to refuse single use plastics, has represented an important milestone regarding the use and end of using plastic bags.

After considerable progress in the economic, political and societal spheres the use of plastic bags and other plastics came recently to a renaissance due to the impact of the Covid-19 and the increase of single use plastic products and packing around the world and in Bali, too. But it is less than before and there is little doubt

that BBPB's activities and activism in Bali's communities and directed at the local government in Bali has been supportive to raise awareness and introduce legislation of banning plastic bags.

The BBPB initiative is quite different compared to other more traditional community based approaches and campaigns. As such, to what degree can the approach of the BBPB initiative be a model beyond Bali, for other parts of Indonesia and other countries? There are several diffculties for replicating the approach, the ethnic and culturally differing background of the BBPB members is not 'accessible' to Indonesian children. Whether an initiative of Indonesian children *–* due to their traditionally more subordinating role in families and society – is possible and how well it will be perceived remains an open question. While a similar success such as in Bali is hard to identify, the fact that local BBPB campaign groups have now been organized in more than 50 locations in other regions of Indonesia and around the globe, e.g. in the US, India and Australia shows a frst step and faith by other activist to give the BBPB model a chance for successfully campaigning against the use of plastic bags elsewhere. Only the next months and years can tell us more on what impact can be expected from the BBPB in a variety of contexts.

### **14.6 Discussion and Concluding Remarks**

This article has analysed the issue of plastic bag pollution on Bali and possible solutions. We approached the phenomena by attempting to understand and explain Balinese people's perceptions and concepts of the environment. Different dimensions of the environment have been presented, as they are being constructed and formed through history, in the educational system and in the religious context. The environment is not perceived to be harmed by the waste management practices of burning and dumping waste as it is a practice that has been done throughout past centuries. What has changed is that plastic bags and other sorts of waste have been added to the picture. However, when it comes to cleaning-up and disposing waste many Balinese perceive a discarded plastic bag just like the traditional banana leaf wrapping that has helped to bring some food home from the market. This view that disposed plastic waste is not problematic to the environment is supported by religious concepts that appreciate all goods –including plastic bags – traded at the market as blessed. Hence the traditional practices continue while the material − from mainly organic to more and more non-organic and plastic − is quickly changing.

When it comes to understanding Balinese people's relationship towards nature, it is important to remember that most have specifc religious ideas on 'who' the environment is, and why it 'behaves' in a certain way. This anthropomorphisation of natural objects and phenomena is a concept about the environment widely and frmly held by most Balinese. Very much like other human beings, *Ibu Pertiwi* (*Mother Earth*) can get hurt and react angry, although the reasons to get upset are dominantly political and moral failures. Frequent natural disasters, like tsunamis, earthquakes, foods and volcano eruptions are therefore seen as the angry outbreaks

and consequences of the moral misconduct. Environmental wrongs in the 'Western' sense are rarely taken as source of anger for *Ibu Pertiwi*. 'Western' explanations and interpretations are however increasingly added to views of Balinese people. Among younger generations the vulnerability of the ecosystem from a scientifc point of view is getting acknowledged more frequently, such as the problematisation of plastic bags and other waste pollution. Nevertheless 'Western' views are hardly dominant and only rarely part of the discourse. While there is a potential for contradicting local Balinese perspectives, 'Western' aspects are in fact often added, integrated or held in a parallel manner in complementary reference systems for understanding and interpreting the environment. This leads to what Nygren (1999) appropriately describes as 'heterogeneous knowledges'. The variety in hybridizations of environmental concepts in Balinese lives helps explain the frequent surprises or seeming contradiction one comes across on the way to a better understanding of local environmental knowledge.

In line with research by other scholars (Pasang et al. 2007; Tejalaksana 2012), the data collected shows that pollution by waste is not widely perceived as problematic. Given the current low problematisation of (plastic) pollution, future awareness campaigns must recognize, embed and connect their approach well to the respective 'Balinese' environmental concepts. As has been pointed out, *Ibu Pertiwi* gets hurt from the pollution of waste and she can get angry and strike back in form of natural disasters.

Then we narrowed the focus from the environment in general towards the use and perceptions of plastic bags in Balinese people's views. We learnt that to most people the striking negative effect from plastic bags are foods caused by the clogging of waterways. In Bangladesh, a plastic bag ban was implemented largely to reduce the negative effects from foods. These consequences are easy to understand and more relevant to current priorities in the views of many Balinese. It can therefore be very useful to raise awareness toward the negative effects of plastic bags by including and connecting to this existing problematisation of plastic bags in discourses in Bali and other fooding prone areas in Indonesia and beyond.

Problematic views of plastic bags by Balinese people can support more effective awareness campaigns, but it is just as important to understand the positive qualities and popularity of plastic bags to inform promising behavioural change approaches. The dominant reasons for using plastic bags in the view of Balinese shoppers and shop owners are very pragmatic. They are practical, easy and cheap, pointing all into the same direction for the vast majority. This reasoning is very much in line with fndings from other studies looking at plastic shopping bag use, such as Hawkins (2001), who describes it as the 'easy convenience of plastic bags'. Gupta (2011) points to the 'easy availability' of plastic bags. But also the plastic bag's role for status and identity has come to the fore. Choosing a non-plastic shopping bag in the 'Western' context is often a conscious ethical and environmental decision, making people feel better about themselves (cf. Cherrier 2006). In other contexts, the contrary may hold true. Often it is the use of plastic bags that allows people to feel better, more modern. Examples for this can be seen in what Yasmeen (2013) describes as the postmodern 'plastic bag housewives' in the case of Bangkok in Thailand. Stone (2006) points out how in the Turkish context minarets were referred to as symbols of tradition and plastic bags as symbols of modernity. Along this argument the use of plastic bags may represent a modern, a preferred attitude and identity for Balinese. When Hawkins (2001) analyses 'The object marketed for its convenience evokes a modernist asceticism and temporality (…)' he shows how both aspects – convenience and modernity – are related and play together in the choice of plastic bags. Beyond these considerations the repetitive use and mainstreaming of plastic bags lead to their normality and the habitualisation of use (Ohtomo and Ohnuma 2014). Knowing the motivations leading towards the plastic bag use habit can be helpful also in regard to creating eco-friendly alternatives to plastic bags.

In the last section of this paper we turned to fnding solutions for the plastic bag problem on Bali. The analysis of the Bye Bye Plastic Bags campaign showed the power of a charismatic social initiative by teenagers in receiving the attention of local, national and international media. Jordan and van Tujil (2000) and Wright (2000) point out that the success of a campaign is crucially linked to its presence in mass media. Gritten and Kant (2007) explain the important role of local and national media in environmental campaigns and provide an example in the region of an effective campaign against an Indonesian pulp and paper company. Those young teenagers, coming from hybrid families, being very familiar with Balinese and 'Western' concepts of nature might have been able to build the required translational bridges. They might have the necessary "amphibiousness", which Pauwelussen and Verschoor (2017 #3100) describe as "the ability to move in and relate different worlds that do not add up, yet partly fow into each other" (p. 295), when they report on the important role of local people, who are familiar with both worlds, when 'Western' conservation NGOs try convince in this case Bajau people in Sulawesi to conserve coral reefs. Those translational bridges provided by Bye Bye Plastic but also other actors lead to, as has been shown e.g. by quotes the Hindu priest mentioned above that perspective get a higher 'plasticity'. A contamination, but also a fructifcation between the different knowledges is facilitated.

The success of campaigns such as BBPB is often diffcult to assess due to its multidimensionality (Cf. Keck and Sikkink's 1998). It is therefore hardly possible to defne the scope of BBPB's infuence on the government's decision in regard to introducing fees on plastic bags for selected commercial sectors and areas in Indonesia. A fee on plastic bags has shown to be a very effective tool to reduce plastic bag use in many countries across the globe, for example in the UK, Germany and Ireland (New York Times 2008). However, the political and societal will to implement such policies, or marketing strategies by retailers, only recently emerging in Indonesia, has to be nourished by societal change, among others fostered by initiatives like Bye Bye Plastic Bags.

The public support and media attention for BBPB also resulted in government representatives inviting the initiative for a meeting. The governor received and listened to the teenagers' request of stopping the plastic bag pollution. As a result of the meeting the governor and environmental agency of Bali have announced to support the goal of making Bali plastic bag free within their jurisdiction and responsibilities. While there is still no legally binding document, this could be a step towards banning plastic bags, which has been the central request by BBPB. A plastic bag ban has already effectively worked in a number of countries, for example in Uganda, Kenya, and Bangladesh (Cf. Teh et al. 2014). These policies often take a long time to be applied, monitored and effectively enforced.

In the meantime, and with the insights of this article we hope to contribute to the knowledge about the perception and understanding at work that contextualize and infuence the use of plastic bags. To connect with the local perceptions of nature and existing problematisations of plastic bags, as specifed in this article, can inform effective approaches for awareness campaigns, local initiatives and political programs. The role of fashion, identity, and convenience related factors are crucial in people's choice and use of plastic bags. Alternatives to plastic bags will have to consider these factors in order to successfully facilitate a behavioural change. There are hence opportunities not only for environmental initiatives and NGOs, but also politicians and businesses towards creating an environment free from plastic bags.

**Acknowledgement** We are grateful to the many Balinese people, who have given their time and thoughts to us, allowing to understand slightly better the puzzle of plastic pollution on Bali. One step in addressing the global marine litter problem. These insights have helped us to design experimental studies aiming to reduce plastic bag use on Bali (Spranz 2017, 2018). The fnancial support provided by ZMT and therewith by the Bremen and German tax payer is gratefully acknowledged.

### **References**

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Geertz C (1973) The interpretation of cultures: selected essays. Basic Books, New York

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# **Chapter 15 Futuring 'Nusantara': Detangling Indonesia's Modernist Archipelagic Imaginaries**

**Hendricus A. Simarmata, Irina Rafiana, Johannes Herbeck, and Rapti Siriwardane-de Zoysa**

**Abstract** Archipelagic identities have long patterned Indonesian historic imaginaries, collective memory, and its postcolonial modernist narratives on nation-building. This chapter examines and puts into conversation two distinct and interrelated concepts undergirding archipelagic thinking – 'Nusantara' and the lesser studied 'Tanah Air' – against speculative visions of Indonesia's developmental trajectories. These concepts intersect with Indonesia's aspirational vision as a maritime nation that is to take its place within a regional and globalist paradigm of ocean-centric economic growth. Inspired by critical ocean studies and by drawing on narrative analysis, we begin by considering the paradoxes within Indonesia's contemporary blue economy growth visions in relation to its older land-based biases in planning and nationbuilding. In critically engaging with Indonesia's own oceanic turn towards a blue growth orthodoxy, we consider three aspects of its futuring trajectory, namely industrialization, infrastructural development, and its recent choice of relocating its administrative capital to east Kalimantan. While engaging with paradigmatic landlocked biases and political path dependencies that unwittingly entrench 'Javacentric' development, we illustrate how Indonesia's distinct archipelagic thinking has co-evolved in recent history, and with what cultural resonance for its nationbuilding vision in the decades to come.

H. A. Simarmata (\*)

Universitas Indonesia (UI), Indonesian Association of Urban and Regional Planners (IAP), Jakarta, Indonesia

e-mail<EMAIL_ADDRESS>
I. Rafiana University of Bonn and the German Development Institute (DIE), Bonn, Germany

J. Herbeck Sustainability Research Center (artec), University of Bremen, Bremen, Germany

R. Siriwardane-de Zoysa Leibniz Centre for Tropical Marine Research, Bremen, Germany

© German Institute of Development and Sustainability (IDOS) 2023

S. Partelow et al. (eds.), *Ocean Governance*, MARE Publication Series 25, https://doi.org/10.1007/978-3-031-20740-2\_15

**Keywords** *Nusantara* · Archipelagic imaginaries · Speculative ecologies · Indonesia

### **15.1 Introduction**

This chapter analyses core interrelated trajectories of discourses and policies around Indonesia's recent paradigmatic 'oceanic' transition. We do this by tracing the different ideas and concepts around Wawasan Nusantara, looking at the political relevance as well as translation attempts and ideological interpretations of the concept from a historical perspective. Against this background, we will then analyse Indonesia's more recent ideas of a maritime nation as a future engine of development and address their translation in three different areas of policy – industrialisation, science and research, and urbanization.1 We also analyze the potentiality for strengthening Nusantara-based ideas with the broadly discussed plan to relocate capital functions to east Kalimantan as potential game changer and as a trigger of development transformation. Thus, the chapter contributes to discussions on ocean governance, in particularly the nexus of maritime policy and regional socioeconomic development in the Indonesian context. Furthermore, it will also elaborate the relevance of the notion of regional ocean governance (UNEP 2016) and Ocean Economy Agenda (OECD 2016) to Indonesian development.

From early childhood, Indonesians are raised with the awareness that they are part of a vast archipelagic community that has historically been shaped by fshing and seafaring. The folk song "Nenek Moyangku Seorang Pelaut", composed by Ibu Sud in 1940, is a song learnt by most elementary students at primary education stage to "introduce them to the glory of their ancestors, who have been described as brave sailors who explored and sailed the vast ocean" (Iswatiningsih and Fauzan 2021, p. 216). As by the time Indonesia was still under Dutch colonial rule, the lyrics of the song were also meant to encourage and inspire Indonesia's young people to fght and defend the Indonesian seas (Titiek Suliyati 2012).

In 1982, the once critical Indonesian musician and now cultural icon, Iwan Fals, also composed a song that bemoaned a changing ocean from the 1960s when he was

<sup>1</sup>The authors applied qualitative research, using used secondary data retrieved from books, academic journals, news, as well as grey literature publication types (e.g., government policy paper, regulation, project reports, etc.). In addition, information has also been generated from the refective practices of the lead author as urban planning practitioner. This experiential knowledge has been used to enrich the information in this chapter. Content analysis has been used for probing the information from secondary data. Also, this chapter serves as a speculative analysis of different imaginaries of Wawasan Nusantara. The research scope explored in this chapter will be divided into three different areas of ocean-related policies – industrialisation, science and research, and urbanization. Referring to the industrialization aspect, we analysed the industrial policies that can infuence the ocean economy. For science and research, we particularly discussed on the research for disaster management. For urbanization, we analysed the national urban strategy, including the capital relocation as game changer of regional development.

child, right up until the 1980s, when he discovered how his surrounding ocean was being progressively polluted. Both these songs are examples of a vast corpus of popular works of art inspired by oceanic thinking and imagination. Some of them can be seen as a reaction to *devide et impera* politics of Dutch colonial rule that instrumentalized and reinforced the multiple island identities of the archipelago. In contrast, late colonial and post-Independence Indonesian politicians tried to establish the idea of the ocean as an integrator, not separator by enlivening the vernacular concept of 'Nusantara' and its more applied aspect 'Wawasan Nusantara'.

(Wawasan) Nusantara is an all-encompassing notion and a fundamental concept for Indonesian geopolitics, to address ideology, politics, economy, sociocultural, security opportunities and challenges (Situmorang (2013). Etymologically, the Ministry of Research, Technology and Higher Education of Indonesia (2016) explains the word as a combination of two words, i.e., "Nusa" and "Antara" (pp. 212–213). In Sanskrit, "Nusa" means island or archipelago, while "Antara" can be interpreted as the sea, across or outside. In Latin, it suggests that "Nusa" comes from the word "Nesos", which means peninsula or nation, while "Antara" might have the equivalent meaning with the word "in" and "terra" taken to mean "between" or "within a group." In English, "Nusa" and "Antara" may bear similar resonance with the words "nation" and "inter", respectively. Based on that explanation, the Ministry notes that the merging of the words "Nusa" and "Antara" into the word "Nusantara" could be interpreted as an archipelago between seas, or nations connected by the sea.

Lestari (2018) argues that the word "Nusantara" was frst recorded in medieval Javanese literature (around the twelfth to the sixteenth centuries) to describe the concept of a state adopted by a kingdom called "Majapahit" (pp. 57–58). In the context of Majapahit Kingdom, she describes that the State has been divided into three regional categories, i.e., "Negara Agung"; "Mancanegara"; and "Nusantara". "Negara Agung" was the area around the royal capital where the king reigned. "Mancanegara" were areas on the island of Java and its surrounding border areas whose folk culture was similar to "Negara Agung". "Nusantara" was an area outside the infuence of Javanese culture but was still claimed as an area subject to the "Majapahit" Kingdom, where the ruler must pay tribute. Santoso et al. (2020) posits that the medieval Javanese literary book *Kitab Pararaton* indirectly mentions that a prime minister (locally noted as "Patih") of the Majapahit Kingdom called Gajah Mada declared an oath to the kingdom dignitaries, known as "Sumpah Palapa" or "amukti palapa" (p. 46). In analyzing the oath, it was stated that the majesticity of Gajah Mada would not come to pass until "Nusantara" was unifed under the rule of the Majapahit Empire. A translated excerpt of Gajah Mada's oath is as follows:

*Sira Gajah Mada patih Amangkubhumi tan ayun amukti palapa, sira Gajah Mada: "Lamun huwus kalah nusantara isun amukti palapa, lamun kalah ring Gurun, ring Seran, Tanjung Pura, ring Haru, ring Pahang, Dompo, ring Bali, Sunda, Palembang, Tumasik, samana isun amukti palapa."*

[He *Gajah Mada Patih Amangkubumi* (prime minister) did not want to break his fast. He *Gajah Mada*: "If I have subdued the entire archipelago under *Majapahit* rule, I will (only) break my fast. If I defeat *Gurun, Seram, Tanjung Pura, Haru, Pahang, Dompo, Bali, Sunda,*  *Palembang, Tumasik*, that's how I (will) break the fast".] (cited and translated from lestari 2018, p. 57)

As a counter-discursive maritime narrative, the concept was further popularized by Ki Hajar Dewantara, a national leader on education in early twentieth century. He revived the term Nusantara to contest and replace the colonial imaginary of the Dutch East Indies. During and after independence, Nusantara – as a vernacular term – gained increasing attention and support, and was complemented by the more politically practicable concept of *Wawasan Nusantara*. Wawasan Nusantara entails a mindset or paradigm of Indonesian nationalism that, until today, carries the ideological purchase in strategizing Indonesia's environment, reconfguring imagination(s) of unifed nationhood, while moving towards regional integration for achieving nationally determined goals. However, it was the Djuanda Declaration 13 December 1957 that set the historical moment of the re-creationing Wawasan Nusantara, as a political doctrine and vision, aimed at reclaiming the once *Territoriale Zee Maritiem Kringen Ordinatie* boundaries set by the Dutch colonials.2 In general, Djuanda's declaration states that Indonesia adheres to the principles of the Archipelagic State so that the seas between islands are also the territory of the Republic of Indonesia and are not free areas (Ernawati 2015). Although initially contested geopolitically (e.g., by the USA and Britain), the conception of Wawasan Nusantara (from an archipelagic perspective) as refected in the Juanda Declaration, was legally strengthened in Indonesia under Law No. 4/Prp 1960 concerning Indonesian Waters (Kusumaatmadja 2001 cited in Nurhidayati 2021, p. 45)