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6. Managing Enhancement Fisheries

6.1 Introduction

In many floodplain systems, anthropogenic modifications of hydrology (dams, flood control measures and road and rail embankments etc.) and of natural wetland habitats (changed to agriculture) have blocked migration pathways and disturbed or destroyed fish breeding areas and dry season habitats. This, combined with over-fishing, has reduced recruitment to indigenous fish stocks and, so, the potential production that could be expected from the remaining floodplain10.

The declining fish yields in an environment that provides an important livelihood for millions of people world-wide has prompted much attention from governments, international donors and non-governmental organisations (NGO's). Potentially, there are a variety of solutions that could be applied. For example, release of introduced or indigenous species, habitat rehabilitation or changes to exploitation patterns (banning of gears harvesting juvenile fish or introducing reserves to protect dry season habitats). Of these, the release of seed fish (primarily species of carp) onto the floodplain is the solution that has been applied most extensively.

Release of seed fish onto the floodplain results in a culture-based capture fishery as both resident species and farm-produced fish are harvested. Culture-based fisheries lie at the interface of aquaculture, when managed extensively, and capture fisheries, when managed intensively (MRAG, 1996). The premise is that the failure of natural recruitment to tap the full productivity of a water body is met by the addition of young fish. Improving yields is dependent on the correct selection of species for release. A successful species introduction will fill a vacant niche: the greater the competition with existing species the less the production increase is likely to be.

As floodplains are complex physical, biological, social and economic environments an activity such as stock enhancement will never be straightforward. In addition, the objectives of donors and governments involved in stock enhancement extend beyond increasing fish yields. Heavy emphasis is placed on improving livelihoods for targeted beneficiaries and sustainability of enhancement programmes. This demands that enhancement programmes address the wider issues of resource management - not just the technical aspects of seed fish production and stocking. The challenge is to find an approach that succeeds technically and socially.

The design of ‘successful’ floodplain stock enhancement programmes was the subject of an MRAG report entitled: an evaluation of floodplain stock enhancement. The remainder of this chapter is drawn from this report.

The report identified key issues that should be taken into account in the design of stock enhancement programmes. It was not designed to provide a generic package of measures that should be adopted on all stocking projects: design has to be sensitive to circumstances (bio-physical and socioeconomic) and to the potential offered by existing institutions to plan and implement stocking and to mange the enhanced resource.

10 Even when hydrological flows are blocked, inundation will often continue due to high seasonal rainfall. This may be protracted by blocked drainage.

6.2 List of Projects Reviewed

The study was largely desk based, with the experience of several projects being reviewed in order to distil general lessons that could guide future enhancement programmes. The projects included large scale floodplain stock enhancement projects from Bangladesh, reservoir stocking projects from Asia and a habitat restoration project from Bangladesh.

The projects are listed below with their stated objectives.

Table 6.1 Objectives of the eight projects reviewed by Project R6494 - An evaluation of Floodplain Stock Enhancement

Third Fisheries Project, Western Bangladesh (1991–1996)
increasing incomes, particularly of the poor, and fish production for domestic consumption and export;
supporting the fisheries development programme in the west with emphasis on private sector participation;
accelerating the expansion of fish production in floodplains; and,
strengthening sectoral institutions.
Second Aquaculture Development Project (SADP), Northeast Bangladesh (1988–1996)
to provide extension and credit services for the improvement of:
shrimp culture in four coastal districts and
carp pond culture throughout 21 districts;
to enhance the floodplain capture fishery in six northeast districts.
Oxbow Lakes Small Scale fishermen Project, southwest Bangladesh (1988–1996/7)
increasing the productivity of chosen water bodies and provide nutritional benefit for the population at large;
assisting the poorest fishers increase their income and social status.
Potential yield of South Asian small Reservoir fisheries, Thailand, India and China (1992–1994)
estimate the yield of capture fisheries based on stock enhancement programmes in small reservoirs;
assess opportunities for enhancement of fish production through optimum stocking and harvesting strategies.
Culture Fisheries Assessment Methodology, Thailand, India and China (1995–1996)
Development of methodology for the assessment of culture fisheries, in particular:-
quantitative assessment of technical management options;
quantitative bio-economic analysis;
socio-economic assessment of management options; and,
integrated framework for the appraisal of culture fisheries development options
Reservoir fisheries Management in Savannahket Province, Lao PDR (1996–1997)
identify management strategies to increase the individual and community income from reservoir capture and culture fisheries, while maintaining the role of reservoirs in providing subsistence and dry season habitat for natural fish populations.
Indo-German Reservoir Fisheries Development Project Kerala, India (1992-)
sustainably increase fish production in culture-based fisheries in reservoirs and therefore, income for a maximum number of families from groups of people from Scheduled Caste and Scheduled Tribe communities.
Community-based Fisheries Management and Habitat Restoration, Central Bangladesh (1994–1997)
to test an alternative method of increasing fish production and species diversity in floodplain wetlands through ecological processes which communities can manage themselves, and more specifically:
to create awareness among the local communities about conservation of habitats and biodiversity;
to strengthen organisational and functional capacity of community groups and NGOs in ecological management of aquatic resources;
to promote community-based management and protection of fisheries resources.

6.3 Issues in the Design of Enhancement Projects

Stocking projects have taken a variety of forms. All, however, have to face a set of basic issues that are critical to the outcome of the project. These include technical, biological, social and economic questions, as to:

Related to these are a series of institutional questions:

The answers to these questions are both interrelated to each other and to the biophysical and socioeconomic context of the project: what works well in one situation may fail in another.

6.4 A Framework for Evaluation of Floodplain Stock Enhancement

Stock enhancement of floodplain fisheries faces two sets of problems:

  1. The development of a stocking strategy appropriate to the floodplain system (i.e. choice of floodplains with greatest potential, species mix, size at first stocking, stocking density, fingerling supply, floodplain management etc.); and,

  2. The development of appropriate institutional arrangements for managing both the stocking programme and the enhanced floodplain: a key component of this is cost recovery.

Neither set can be determined independently and their joint solution must produce outcomes that best resolve the often competing claims of fisheries and/or development policy objectives: economic growth, employment, poverty alleviation, maintenance of biodiversity and economic sustainability.

The fact that individual fishers exploit a common resource is fundamental to any management intervention, such as the release of fingerlings. Therefore, the approach taken in this review is to consider floodplain enhancement as a special case of common-pool resource management (CPRM).

6.4.1 Stock enhancement activities

The sequence of activities required to enhance a floodplain through release of fingerlings is summarised in Figure 6.1. The activities have been separated into three phases: development of the stocking strategy involving assessment of the floodplain and making technical stocking decisions; fingerling supply with activities of production and transportation; and finally, post-release including management of the floodplain, harvesting and consumption, selling or processing of catch. A brief overview of each of the activities is given below.

Development of Stocking Strategy

The first activity of the sequence is selection of a suitable floodplain for stock enhancement. Projects may take a range of factors into account to assess a floodplain: the objectives of individual projects will determine which factors are chosen. The following list provides examples of factors which may be assessed:

Figure 6.1

Figure 6.1 Sequence of activities undertaken in stock enhancement of a floodplain

Once accepted for the stocking programme, projects have to decide on which species will be stocked. Selection will be based on, among other things, issues such as the available fingerling production technology, biological characteristics of individual species in reference to the floodplain environment, catch composition of the existing fishery, consumer preference, market value, and costs of production.

Decisions on stocking density, fingerling size, timing of release and effective release points will be determined by a mixture of biological assessment, logistic planning, hydrological attributes and consultation with the intended beneficiaries.

Fingerling Supply

The large scale enhancement requires the production of millions of fingerlings requiring a cost effective means of mass fry production. For example, at a stocking density of 20kg/ha and mean fingerling size of 7g, a floodplain of 1,000 ha requires 2.8 million fingerlings. Government hatcheries offer one solution for large scale production. But ‘back-yard’ hatchery techniques can also be used. In Bangladesh, one technique for rearing carp fingerlings devised by a Hungarian specialist as part of a development project over a decade ago, has resulted in a rapidly expanding hatchery industry to support aquaculture development.

Transportation of fingerlings becomes an important issue when hatcheries are remote from release points in the floodplain. Temperature and oxygen are the critical variables to be managed: in general, fingerling survival will be inversely proportional to the distance travelled.

Post-release

The significance of the moment of release depends on the objectives of the programme and the arrangements for funding. If there is external funding available and there is no need for immediate control of harvesting, the point of release signifies a change in monitoring strategy. As the fingerlings disperse, grow and are caught by different groups, the outcome of the stocking programme can be assessed only by monitoring its - necessarily - wide-ranging impact.

If, on the other hand, there is a need for control of harvesting, either to protect fingerlings during the initial growth period or to encourage cost recovery, the release of fingerlings marks the point when the common-pool nature of floodplain fisheries resource asserts itself. Prior to this, all the activities could in principle have been taken by either government, or by private enterprise or by local community initiatives.

After release, the management of the resource becomes prone to the difficulties of either controlling fishing effort at all or of doing so without jeopardising the interests of existing - and often vulnerable - stakeholders in the fishery. In this case, much will depend on finding institutional structures and use rules that will permit development of the fishery that promotes outcomes consistent with societal/project objectives.

6.4.2 Institutional arrangements for enhancement

In recent years, the management of common-pool resource systems have received considerable attention within the academic literature (Oakerson 1992; Ostrom 1990; Bromley 1992). Particular attention has been paid to factors of management systems that allow sustainable use of renewable resources at levels exceeding those achieved when access is effectively unrestricted. In this, the work of Oakerson has been seminal, providing a focus for the elaboration of theory and a framework for many of the subsequent case studies.

Fisheries management lends itself particularly well to this type of analysis. One recent volume on the management of common-pool resources (Berkes 1989), had four single-resource case studies, three of which were devoted to fisheries. This approach has also been adopted by international research organisations: ICLARM use the Oakerson framework for the analysis of fisheries management systems, using RRA/PRA techniques (Pido et al., 1996). It has been applied directly to problems arising from fish stocking, in Indian reservoirs (Hartmann, 1995), Laotian communal fish ponds (Garaway, PhD in progress) and Bangladeshi ox-bow lakes (DANIDA, 1995).

Figure 6.2 illustrates Oakerson's approach to understanding how a common-pool resource management (CPRM) system works - or how it should be developed. The model identifies four key attributes and the relationships between them. In the context of this report, the physical, biological and technical attributes of the resource system refer to the floodplain, the fishery (gears, fishing grounds), markets etc. While the decision-making arrangements are the rules (formal and informal) that govern fishing (who can fish, where, when and how) and management (how are decisions made and changed and who makes these decisions). The patterns of interaction are the collective actions resulting from individual fishers making decisions to co-operate or compete in the fishery. The outcomes are resource flows to and from different groups of stakeholders, i.e. the costs and benefits associated with floodplain fishing. Two obvious examples of outcomes include the catch per unit effort or the amount of fish consumed. The objectives of the stocking programme are effectively the desired outcomes for the enhanced floodplain system.

Figure 6.2

Figure 6.2 Framework for analysis of common-pool resource management (adapted from Oakerson, 1992)

The arrows within Figure 6.2 represent the relationship between the components of the CPR system, as identified in the boxes. Outcomes are determined through two pathways: first, arrow 3 represents a direct constraint on outcomes as the characteristics of the resource place the fundamental limit on what is possible in any CPRM system. This direct constraint is independent of human behaviour. The second path can be viewed as indirect as it incorporates human behaviour, this path involves the remaining arrows. An individual (fisher) makes decisions on the basis of the resource, i.e. arrow 1 and the rules governing its exploitation, arrow 2, the resulting collective action of all fishers affects the outcome of resource use, arrow 4. The dashed arrow 5 represents a non-causal relationship that exists, if at all, by human design.

It is argued that, for CPRM in general, the physical and biological attributes of the resource and the technical constraints to its exploitation or enhancement will determine which are the most appropriate decision rules to adopt: those that produce - through the pattern of interaction that they encourage - the desired outcome. Specifically, rules must discourage free-riding, whereby resource users allow others to bear the costs of developing or maintaining the resource, as this erodes commitment to the support of common aims and increases the chances of arriving at the sub-optimal outcome produced by open-access.

6.4.3 A proposed framework to evaluate enhancement fisheries

Enhancement is usually proposed as a solution to declining yields, particularly of major carps, on the floodplain. Figure 6.3 adapts Oakerson's framework to illustrate the process by which floodplain fisheries are enhanced. In overview, the particular characteristics of floodplains directly determine what range of outcomes are possible when the fishery is exploited. Individual stakeholders respond to the opportunities presented within a framework of restrictions provided by the rules - formal and informal - which govern fishing activities, access regimes and marketing of catches. The aggregate pattern of behaviour which results determines the pattern of outcomes.

The top box represents a floodplain fishery being considered for enhancement. If the outcome of the analysis indicates that the outcomes of the fishery could be improved by stock enhancement, plans must be made for implementing and managing the intervention and it's outcome. The shaded box below represents the enhanced floodplain fishery. In order to meet the desired outcomes, expressed as the complementary enhancement objectives, stakeholders need to define two key strategies. A technical strategy for the stocking program that will improve the characteristics of the fishery (arrow 3) and an institutional strategy that will institute rules and arrangements which will encourage suitable behaviour of stakeholders on the enhanced floodplain (arrows 4, 2, 1 and 5).

Floodplain fisheries are complex and dynamic systems as described in Chapters 2, 3 and 4. The outcomes of management interventions, such as enhancement, will only be ‘successful’ if the strategy adopted is appropriate to local conditions. This implies that the behavioural responses of different stakeholders to changes in resource characteristics must be anticipated and, where necessary, guided by appropriate modifications in rules of use. Failure in this regard can lead to seriously sub-optimal outcomes, even when technical stocking targets are met.

Figure 6.3

Figure 6.3 Process of floodplain enhancement (adapted from Oakerson, 1992)

6.5 Insights for Enhancement Fisheries

The application of Oakerson's framework to the design of enhancement projects produces a number of insights. The most important of these is that impact of the project - its effect on outcomes - can not be predicted simply from changes in the size and composition of catch due to stocking (Lorenzen and Garaway, 1997). Changes in these variables can affect outcomes directly but they also affect the incentives of different stakeholders to co-operate and compete within the fishery. The consequent interactions also affects who benefits and to what degree. Use rules can influence these outcomes by changing incentives. Choice of institutional structure is therefore central to ensuring that use rules can be adapted to produce project outcomes in line with project objectives (Ostrom, 1990).

Enhancement projects typically involve at least two groups of actors - the stakeholders on the floodplain and an outside agency, which can be the government or an NGO. In many cases all three groups can be involved. In this context, the first stage of institutional design is the choice of which of these institutions are involved and their respective roles in determining technical interventions and changes in use rules to support them. The second stage is the determination of use rules themselves, their adaptation in the light of experience and the mechanisms for their enforcement. The process is not, however, unidirectional -the sort of use rules needed may influence the choice of institutions and the allocation of responsibility between them.

6.5.1 Institutions involved and their respective roles

The current trend in common-pool resource management is towards a greater involvement of the community of users. This is largely in response to the perceived failures of the so-called ‘top-down’ approach, dominated by centralised planning and decision-making. The inclusion of people who are interacting closely with their resource is widely thought to result in management that is more appropriate and sustainable (Pomeroy, 1991). Arguments for the potential of local control include: use of local knowledge, empowerment of poor, adaptation of technical inputs to local conditions, tighter control on costs, and sense of project ownership by the community.

Where the resource system is complex, variable and large, conflicts are likely between adjacent communities exploiting different components of the same stock. Mechanisms should be in place with suitable arenas (informal and/or formal) for discussion and access to conflict resolution should be rapid and low-cost. All activities should take place in a nested management structure so that support and recognition is provided at many levels from the community through to the government (Pinkerton, 1989). The role of outside agencies is therefore necessary.

NGOs may have a critical role, as - in many countries - they have extensive experience of both promoting groups and mediating in situations of conflict. Their experience of forming groups for enterprise development would have additional benefits in managing the initial stages of fingerling supply. Government has an important role in facilitating change, by providing enabling legislation and technical support, particularly in the early stages.

Where the benefits of stocking are unproven and local communities may be unwilling take on the financial risk entailed. In this case there may be an argument for government providing initial financial assistance, followed by a gradual transfer of responsibility to communities and NGO's as uncertainties (hence risks) are reduced.

6.5.2 Use rules required

What rules are appropriate can only be determined in the light of the outcomes that will satisfy the objectives of each project and the local character of the resource. In many cases multiple objectives are assigned, all of which may influence the rules adopted to some degree.

The objective that will most profoundly influence the structure of rules required, however, is that of financial sustainability. Collection of revenue to fund enhancement in the subsequent season requires that harvesting is controlled. In principle, this can be done directly, by managing operations and deducting costs from sales revenues, or indirectly, through a system of gear/catch levies or by sub-leasing portions of the fishery. All imply that access to the fishery must be restricted for some gears and/or in some seasons, raising the possibility that some groups may lose out from enhancement.

Ideally, the outcome of enhancement would result in a balance between costs and benefits for all stakeholders. This is achieved most easily if there is homogeneity in gear use and dependence on the fishery (Pinkerton, 1989). But, even where all stakeholders would stand to benefit from the proposed intervention, this does not guarantee they will not try to free-ride, i.e. obtain the benefits without bearing their share of the costs. In enhancement programmes this could take a number of forms: failing to contribute to communal labour, fishing in a closed period or area or with a prescribed gear, non-payment of fees owed etc.

Avoiding this problem is often done best by a system of mutual monitoring. Rather than rely on an outside agency to enforce regulations, rules can be enforced by fishers themselves within a framework that is sanctioned or at least accepted by the state. This provides an additional and powerful argument for providing a central management role to local organisations in which fishers participate. These organisations are then well placed to encourage collective modifications in behaviour appropriate to the condition of the fishery, impose social sanctions on rule breakers and act as arbitrators in disputes. For this to be possible, two main conditions have to be met.

The first, which is emphasised strongly by both Ostrom (1990) and Pinkerton (1989), is that the boundaries of the system and the membership of the group entitled to use it must be clear. Without mutual recognition of resource users, there can be no mutual monitoring. A corollary of this is that this form of management works best the smaller the area of the resource system and the fewer the number of communities/fishers involved.

The second condition for local enforcement of regulations is that there is an accepted schedule of sanctions, graduated in severity, that can be applied to rule breakers. If resource users are linked by kinship, then simple social sanction can be powerful. A shared ethnicity may also serve in this regard, though to a lesser degree. But more than this is often necessary: ideally there should be the ability to levy fines and, ultimately, to exclude rule breakers from the fishery altogether.

6.6 Key Lessons

The aim of this review was to glean from past experience those factors which result in successful stock enhancement of floodplains. The outcomes of enhancement are determined by both the nature of the fishery and the behaviour of fishers and other stakeholders. Therefore, the general lessons from each of the reviewed projects were distilled into institutional and technical strategies for the design of future enhancement projects. Note that these strategies are interdependent, demanding an integrated approach for successful stock enhancement.

6.6.1 Lessons for an institutional strategy for enhancement

6.6.2 Lessons for a technical strategy for enhancement

6.7 Summary

In order to design a stocking programme, three central questions have to be addressed:-

Enhancement of floodplain fisheries must balance the claims of competing societal objectives (fish production, income, nutrition, equity, biodiversity, government revenue) within the physical, biological and socioeconomic constraints imposed by the system. Project design must cover a hierarchy of issues from the institutional (organisations/institutions involved, responsibilities, participation of beneficiaries etc) to the technical (species stocked, densities, timing of release, fingerling size, management of exploitation etc).


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