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FAO 2 9 - FISHERIES 9 3 4

TECHNICAL 5 PAPER

Guidelines for designing 494/1 data collection and sharing systems for co-managed fisheries Part 1: Practical guide

The increasing shift towards co-management has prompted managers to reflect upon their new roles and reconsider information requirements. This technical paper, in two parts, is aimed to meet the growing need among co-managers for guidelines to help design and implement appropriate and cost-effective data collection programmes or systems.

Part 1: Practical guide has been written specifically for co-managers and facilitators working in the field and offers simple and practical advice on helping stakeholders identify their information needs in relation to their management objectives and responsibilities, and developing collaborative ways of collecting and sharing the information in the most effective way.

Part 2: Technical guidelines provides more technical detail on each of the sections in the Practical guide, including examples of the types of data that might be of interest to different stakeholders, data collection methods and sources, the design of sampling programmes, and guidance on data analysis and interpretation. Part 2 is aimed particularly at Department of Fisheries and extension staff, research agencies and academic institutions, but can also provide field practitioners with an additional resource that can be referenced when necessary.

Together, Parts 1 and 2 draw on relevant elements of the literature and the output of DFID-funded research, as well as the experiences and expressed needs of co-managers currently designing or preparing to design their own data collection systems.

ISBN 92-5-105409-6 ISSN 0429-9345

978 9 2 5 1 0 5 4 0 9 3 TC/M/A0230E/1/12.05/2000 Cover photograph: Staff of the Lao People's Democratic Republic's fisheries agencies (Living Aquatic Resources Research Center and the Department of Livestock and Fisheries) explore the local knowledge of fishers on fisheries in deep pools of the Mekong, Khong Island, Champassak Province. Courtesy of Sommano Phounsavath. FAO FISHERIES Guidelines for designing TECHNICAL PAPER data collection and 494/1 sharing systems for co-managed fisheries Part 1: Practical guide

by Ashley S. Halls Aquae Sulis Ltd Bath, United Kingdom of Great Britain and Northern Ireland

Robert I. Arthur MRAG Ltd London, United Kingdom of Great Britain and Northern Ireland

Devin Bartley FAO Inland Water Resources and Aquaculture Service Rome, Italy

Malene Felsing Environment Waikato Hamilton East, New Zealand

Richard Grainger FAO Fishery Information, Data and Statistics Unit Rome, Italy

Wolf Hartmann Mekong River Commission Secretariat Vientiane, Lao People’s Democratic Republic

Dirk Lamberts MRAG Ltd London, United Kingdom of Great Britain and Northern Ireland

John Purvis Lake Victoria Fisheries Organisation Jinja, Uganda

Parvin Sultana Middlesex University Enfield, United Kingdom of Great Britain and Northern Ireland

Paul Thompson Middlesex University Enfield, United Kingdom of Great Britain and Northern Ireland

Suzannah Walmsley MRAG Ltd London, United Kingdom of Great Britain and Northern Ireland

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2005 The document is an output from project R8285 and R8462 funded by the Department for International Development (DFID) of the United Kingdom under the Fisheries Management Science Programme. The views expressed are not necessarily those of DFID.

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries.

ISBN 92-5-105409-6

All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial purposes are authorized without any prior written permission from the copyright holders provided the source is fully acknowledged. Reproduction of material in this information product for resale or other commercial purposes is prohibited without written permission of the copyright holders. Applications for such permission should be addressed to: Chief Publishing Management Service Information Division FAO Viale delle Terme di Caracalla, 00100 Rome, Italy or by e-mail to: [email protected]

© FAO 2005 iii

Preparation of this document

These guidelines (Parts 1 and 2) represent the main outputs of two collaborative research projects funded under the Department for International Development’s (DFID) Fisheries Management Science Programme (FMSP): Fisheries Data Collection and Sharing Mechanisms for Co-Management (R8285) and Evaluation and Uptake Promotion of Data Collection Guidelines for Co-Management (R8462). Full details of both projects can be found at http://www.fmsp.org.uk/. The goal of project R8285 was to provide co-managers with guidelines to develop appropriate cost-effective systems or guidelines mechanisms for the collection and sharing of data and information necessary to improve the sustainable management of their resources. The project involved a series of participatory research activities with the following collaborating institutions and projects (and their respective partners) representing a range of stakeholders operating at different levels in the management hierarchy (e.g. local, sub-national, national, and regional): MRAG Ltd, London; the Food and Agriculture Organization of the United Nations (FAO), Rome; WorldFish Center, Malaysia and Bangladesh [Community Based Fisheries Management (CBFM) Project and Fisheries Co-management Research Project (FCMRP)]; Mekong River Commission (MRC) [Mekong River and Reservoir Project]; the DFID-funded Sustainable Fisheries Livelihoods Project (SFLP); the DFID-funded Integrated Lake Management (ILM) Project, Uganda; and the DFID-funded Regional Fisheries Information System (RFIS) Project [including the Tanga Coastal Zone Conservation and Development Project]. All the research partners were actively engaged or interested in designing or improving data collection systems to support co-management either as part of their mandate or under their own projects and programmes in countries including the Lao People’s Democratic Republic, Cambodia, Thailand, Viet Nam, Bangladesh, Uganda and the United Republic of Tanzania. Project collaborators prepared “System Requirement Reports” (SRR) using a pre-defined format to report details of existing data collection systems, stakeholder needs, capacity, available resources, and opportunities. A total of 18 reports, downloadable at http://www.fmsp.org.uk/r8285.htm were prepared on the basis of literature reviews, focus group discussion, consultation exercises and workshops involving staff from regional management bodies, departments of fisheries and associated research institutions, local management institutions, and resource users. This process not only helped build capacity but aimed to ensure that the project outputs, including these guidelines, were demand-driven, maximizing the likelihood of their uptake by target institutions. The content of the reports were presented, discussed and synthesized at the project’s “Guidelines Development Workshop” held at the MRC headquarters in Phnom Penh, in April 2004, attended by more than 25 representatives of the collaborating institutions and their project/programme partners (see Guidelines Development Workshop Report at http://www.fmsp.org.uk/r8285. htm). The recommendations arising from this workshop, together with a synthesis of the relevant literature and outputs from earlier FMSP research, particularly projects R7042, R7335, R7834 and R8293 formed the basis of the first draft of these guidelines. The utility of the guidelines was assessed at the Huay Luang Reservoir in Udon Thani Province, Thailand, under the “Management of Rivers and Reservoir Fisheries in the Mekong Basin Component (MRRF)” of the MRC Fisheries Programme in January 2005. Here, a two-stage workshop was implemented with 55 representatives of local resources users, the local management institution (Or Bor Tor) and administrative levels of government. The guidelines proved effective for identifying common data

tp494_1_prelims_0.indd iii 04/11/2005 13:03:54 iv

and information needs among the stakeholder groups and helped them identify and agree upon a data and information collection and sharing strategy that was summarized graphically. This multistakeholder planning exercise also raised awareness among government bodies of the widespread interest of resource users to diversify their livelihoods to include tourism-related income generating activities. These field-testing activities also identified that a simplified version of the accompanying Part 2: Technical guidelines was required to provide all stakeholders, but particularly intermediaries working alongside resource users, with the opportunity to fully utilize the relevant and helpful tools contained in them. An earlier version of this Part 1: Practical guide was therefore written to address this need. Project R8462 undertook further evaluations of both parts of the Guidelines involving stakeholder workshops and focus group discussions in Bangladesh under the Fourth Fisheries Project (FFP), and the Community Based Fisheries Management Project (CBFM); and during a second phase of testing in Thailand under the MRC’s MRRF Project in the Lower Mekong Basin (see Guidelines Evaluation Reports available at http://www.fmsp.org.uk/r8462). Subsequent revisions and improvements were made to both Parts 1 and 2 of the Guidelines. v

Abstract

The increasing shift towards co-management has prompted managers to reflect upon their new roles and reconsider their information requirements. While a vast pool of useful literature already exists that can help guide co-managers design and implement data collection programmes to support their evolving needs, much of it has been written in the context of other sectors or with little emphasis on designing systems specifically for co-managed fisheries. This Technical Paper is the first of a two-part set of guidelines that attempt to meet the growing need among co-managers for guidelines to help design and implement appropriate and cost-effective data collection programmes or systems. This Part 1: Practical guide has been written specifically for co-managers and facilitators working in the field and offers simple and practical advice on helping stakeholders identify their information needs in relation to their management objectives and responsibilities, and developing collaborative ways of collecting and sharing the information in the most effective way. The accompanying Part 2: Technical guidelines provide more technical detail on each of the sections in the Practical guide, including: examples of the types of data that might be of interest to different stakeholders; data collection methods and sources; the design of sampling programmes; and guidance on data analysis and interpretation. They are expected to appeal to Department of Fisheries and extension staff, research agencies and academic institutions, but they will also provide field practitioners with an additional resource that can be referenced when necessary. Together, Parts 1 and 2 draw together relevant elements of the literature, the output of DFID-funded research, as well as the experiences and expressed needs of co-managers currently designing or preparing to design their own data collection systems. The guidelines are, however, intended to complement, rather than replace, existing related manuals and guides already published in this and other FAO publication series. This document begins with the scope and purpose of the Guide. Section 2 explains, in the context of the co-management process, who needs information, what types of information they need, and why they need it. The main Section 3 describes an eight- stage participatory process for designing and implementing data collection and sharing systems to meet these needs in a participatory manner with relevant stakeholders. Further sources of information and advice are also provided in the Annex. Frequent cross-referencing to relevant sections of Part 2 is made throughout the document to complement the material provided.

Halls, A.S.; Arthur, R.I.; Bartley, D.; Felsing, M.; Grainger, R.; Hartmann, W.; Lamberts, D.; Purvis, J.; Sultana, P.; Thompson, P.; Walmsley, S. Guidelines for designing data collection and sharing systems for co-managed fisheries. Part 1: Practical guide. FAO Fisheries Technical Paper. No. 494/1. Rome, FAO. 2005. 42p. vi

Acknowledgements

These Guidelines represent the collaborative efforts of the Marine Resources Assessment Group (MRAG Ltd) that led the project; the Food and Agriculture Organization of the United Nations (FAO); the Mekong River Commission (MRC); the WorldFish Center and several DFID-funded projects including the Fourth Fisheries Project (FFP); the Integrated Lake Management (ILM) Project, Uganda; the Sustainable Fisheries Livelihoods Project (SFLP); and the Regional Fisheries Information System (RFIS) Project. The contributions of these collaborators and their research partners, including resource users, are warmly acknowledged. Special thanks to the participants of the Guidelines Development and Evaluation Workshops: Ian Cowx, HIFI (workshop facilitator), Mao Sam Onn, IFReDI; Paul Thompson, WFC; Parvin Sultana, WFC; Devin Bartley, FAO; Richard Grainger, FAO; Alain Kodjo, SFLP Co-Management Team Leader; Ms Munoz, BFAR, Philippines; Mr Thay Somony, Chief, CFDO; Shunji Sugyama, FAO; Wolf Hartman, MRC; Ms Kaing Khim, CFDO/MRRF; Mr Trung Ha Phuong, RIA 03/MRRF; Mr Somphanh Chanpengxay, DLF/AMCF; Mr Naruepon Sukumasavin, DoF/MRC-FIP; Mr Niklas Mattson, MRC/AIMS; Ms Kanokporn Deeburee, MRRF; Mr Thomas Augustinus, MRRF; Dirk Lamberts, ILM Project Technical Advisor; John Purvis, SADC RFIS Project; Mr Solomon Makoloweka, Regional Coastal Management Facilitator, Tanga Region; Dr Eric Verheiji, Technical Advisor, Tanga Coastal Zone Conservation and Development Project; Robert Arthur, MRAG Ltd; Mr Khamtanh Vattanatham, FIP/ MRCS; Ms Daniela Kalikoski, FAO FishCode; Golam Mustafa, WFC; Abul Kashem, BAU; M.A. Rab, WFC; Mahbubur Rahman Khan, GoB DoF-CBFM-2; Shamsul Kabir, GoB, DoF-CBFM-2; Susmita Choudhury, WFC; Khalilur Rahman, WFC; Masood Siddique, FFP; Kafiluddin Kaiya, GoB DoF-FFP; and Zahirul Islam, FFP technical assistance. The document is an output from project R8285 and R8462 funded by the Department for International Development (DFID) of the United Kingdom of Great Britain and Northern Ireland under the Fisheries Management Science Programme. The views expressed are not necessarily those of DFID. vii

Contents

Preparation of the document iii Abstract v Acknowledgements vi Definitions viii

1. Introduction 1 1.1 Purpose and scope of the Guidelines 1 1.2 Structure of the Practical guide 1

2. Information for co-management 3 2.1 The management process 3 2.2 Co-management: sharing responsibility for management activities 4 2.3 Four categories of information to support management activities 5 2.4 Meeting information requirements 6

3. A participatory design process 9 Stage 1: Identify the key stakeholders, their interests and abilities 10 Stage 2: Formulate, formalize or review and revise local management plans 11 Stage 3: Identify common data needs and data specification 14 Stage 4: Review existing data and identify gaps 19 Stage 5: Agree data collection and sharing strategy 20 Stage 6: Identify or develop data and information sharing system 25 Stage 7: Design data recording and management systems 28 Stage 8: Implement, evaluate and refine the system 30

References and recommended reading 33 Annex 1 Checklist for the system 35 Annex 2 Category 1 Information: Examples of indicators, data types and variables for formulating and evaluating policy and development plans 36 Annex 3 Category 2 Information: Examples of information that might be included in local management plans 38 Annex 4 Category 3 Information: Examples of data and information to implement local management plans 39 Annex 5 (A) Category 4 Information: Examples of data, indicators and variables to monitor and evaluate management plan performance 40 (B) Category 4 Information: Examples of explanatory variables and indicators to explain management plan performance 41 Annex 6 Example of an hypothesis matrix for aiding the selection of sets of explanatory variables to explain differences in management performance 42 viii

Definitions

Co-management is an approach to management in which the responsibility for management of resources is shared between the resource users and the government.

Co-managers are the people and organizations involved in and responsible for management of fisheries resources in a co-management system. This includes national government departments involved in fisheries and their staff, district or local government offices involved in fisheries, and resource users represented by a co-management body or local management institution (LMI, see below).

Data types Groups of common data variables (see below).

Data variables are measurements or characteristics that can assume different values (e.g. catches, price, fish length, etc.). They are typically classified according to their scale of measurement e.g. scale vs. categorical, ratio and interval scale, ordinal and nominal scale, etc.

Explanatory variables Variables selected to explain the response (change) of another (performance) variable through time or space.

Facilitators are people brought in to support the process of identifying information needs and developing data collection and sharing systems, by bringing together the various stakeholders and taking them through the process. They may or may not be fisheries specialists, although some knowledge and experience of the fisheries sector would be useful, to assist the identification of data needs and collection methods.

Hypothesis matrix A table summarizing a selection of explanatory variables believed (hypothesized) to effect other performance) variables.

Indicator A variable, pointer or index typically calculated from data variables (see above). Qualitative indicators may be assigned scores or values using subjective judgements.

Information Information is the product of data that have been acquired, analysed, and interpreted for use.

Local management institution (LMI) is an organization or association that represents the interests of local stakeholders or resource users. They may be people’s organizations, community-based organizations, fishers’ associations that have no government representatives. They have the remit to manage the fisheries resources in partnership with government agencies.

Stakeholders are groups of people or organizations that have an interest or role in a process, in this case fisheries management. 1

1. Introduction

1.1 PURPOSE AND SCOPE OF THE GUIDELINES This Practical guide forms the first of a two-part set of guidelines for designing and putting into practice data collection and sharing systems to support the co-management of fishery resources.

Part 1: Practical guide has been written specifically for co-managers and facilitators working in the field and offers simple and practical advice on helping stakeholders identify their information needs in relation to their management objectives and responsibilities, and develop collaborative ways of collecting and sharing the information in the most effective way.

Part 2: Technical guidelines provide more technical detail on each of the sections in the Practical Guide, including: • examples of the types of data that might be of interest to different stakeholders; • data collection methods and sources; and, • the design of sampling programmes and guidance on data analysis and interpretation.

They are expected to appeal to Department of Fisheries and extension staff, research agencies and academic institutions, but they will also provide field practitioners with an additional resource that can be referenced when necessary. Together, Parts 1 and 2 draw together relevant material from previous guidelines, the outputs of previous DFID-funded research, as well as the experiences and expressed needs of co-managers currently designing or preparing to design their own data collection systems, particularly in South and Southeast Asia. These guidelines are intended to complement, rather than replace, existing relevant manuals and guides already published in this and other FAO publication series.

1.2 STRUCTURE OF THE PRACTICAL GUIDE This Practical guide is arranged in three sections plus Annexes:

Section 1 Introduction and scope of the Guidelines

Section 2 The context of the co-management process

An eight-stage participatory process for designing and implementing data collection Section 3 and sharing systems

Annexes Sources of further information and reference material

3

2. Information for co-management

Before thinking about what information is needed for co-management, it is worth considering the process of fisheries management and what co-management means in fisheries.

2.1 THE MANAGEMENT PROCESS Management is a process to make fisheries policy and development plans work in real life. Fisheries policy describes the general goals on how resources should be used and managed including co-management arrangements. These goals are implemented through management plans for each fishery, resource or management unit. Management is a cyclical process involving five main activities (Figure 1): 1. Formulating (making) and reviewing fisheries policy and development plans. 2. Formulating and coordinating management plans, which includes setting objectives and management rules and regulations for each fishery, resource or management unit. 3. Implementing plans to meet the management objectives. 4. Evaluating the performance of management plans. 5. Evaluating fisheries policy and development plans and satisfying obligations.

FIGURE 1 The five main activities that form the management process

Formulate 1 fisheries policy and development plans

Formulate/revise 2 management plans

Implement Implement policies and 3 management plans development plans through management plans

Evaluate 4 management plans

Evaluate fisheries policy and& 5 development planplans;s Satisfy reporting obligations 4 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

2.2 CO-MANAGEMENT: SHARING RESPONSIBILITY FOR MANAGEMENT ACTIVITIES Co-management is defined as the sharing of responsibility and/or authority between the government and local resource users to manage a specified resource e.g. fishery, coral reef, waterbody (ICLARM and IFM, 1998). Co-management covers a broad spectrum of management arrangements with differing amounts of responsibility and authority of government and local resource users. It ranges from consultative co-management (where government consults user groups but decisions are taken by government), through cooperative co-management (where government and user groups cooperate as equal partners in decision-making) to delegated co-management (where user groups have management authority and inform government of their decisions) and an appropriate legal framework must support its implementation. Recent developments in the co-management literature argue that only cooperative co-management where genuine empowerment and user participation in setting management objectives on equal terms with government is “true” co-management (Jentoft, 2003). The usefulness of these Guidelines is not restricted to those situations of true collaborative co- management, but recognizes the wide array of possible co-management arrangements, and evolving arrangements, and aim to guide those involved to design appropriate and context-specific systems for information collection and sharing. Under most co-management arrangements, government departments share responsibility for undertaking the five management activities shown in Figure 1 with local management institutions (LMIs). LMIs represent the interests of local stakeholders. The LMIs may be people’s organizations, community-based organizations (CBOs), or fishers’ associations that have no government representatives. Who takes responsibility for each of the five management activities will depend upon their resources, skills, rights and motivation. Intermediary organizations such as non-governmental organizations (NGOs) or foundations are often involved in supporting these five management activities. Examples of some of the most common roles for co-managers are described in Table 1; other roles may exist as well such as establishing infrastructure, capacity building and legislative frameworks. SARDER SHAFIQUL SARDER

A PRA exercise in Pabna, Northwest Bangladesh Information for co-management 5

TABLE 1 Typical roles or responsibilities adopted by co-managers and intermediary organizations in relation to the five key management activities

Management Examples of possible roles/responsibilities activity LMI Intermediaries Government

1. Formulating • Help ensure the true • Help ensure fisheries are • Make fisheries policy, co- and value of fisheries to given fair consideration management policy and reviewing livelihoods is known so in multi-sector planning, development plans fisheries that fisheries are given funding and decision- • Ensure fisheries are policy and fair consideration in making activities. given fair consideration development multi-sector planning, • Help steer co- in multi-sector planning, plans funding and decision- management policy and funding and decision- making activities development plans. making activities • Help steer co- • Assign financial and management policy and human resources to development plans support plans

2. Formulating • Set objectives and rules • Help set objectives and • Ensure local and and regulations for the rules and regulations for management coordinating local management plan the local management objectives and rules local plan and regulations are • Share local knowledge management consistent with national and advice • Coordinate local plans plans policy and legislation • Provide technical advice • Coordinate local plans and information • Provide technical advice and information

3. Implement • Enforce rules and • Encourage people to • Enforce rules and local regulations including share local knowledge regulations including management access restrictions and and experiences access restrictions and plans licensing licensing • Help monitor • Monitor implementation implementation of local • Encourage people to of the plan management plans share local knowledge and experiences • Watch out for and help • Make sure participatory solve conflicts monitoring meets • Make sure participatory relevant standards monitoring meets relevant standards • Monitor local management activities • Monitor local management activities • Watch out for and help solve conflicts • Watch out for and help solve conflicts

4. Evaluating • Evaluate the • Evaluate the • Evaluate the local performance of the local performance of local performance of local management management plan to management plans to management plans to plans see if it is achieving its see if they are achieving see if they are achieving objectives their objectives their objectives • Share information and • Encourage information • Encourage information learn from other LMIs sharing and learning sharing and learning

5. Evaluate • Evaluate the • Evaluate the national performance of fisheries performance of fisheries fisheries policy and development policy and development policy and plans plans development • Evaluate the • Evaluate the plans performance of co- performance of co- management policy management policy

2.3 FOUR CATEGORIES OF INFORMATION TO SUPPORT MANAGEMENT ACTIVITIES Information is required to support the five management activities described in Figure 1. Examples of the types of information that may be required to support each management activity are provided in Table 2. Here information for both formulating and evaluating fisheries policy and development plans (activity 1) and to meet reporting obligations (activity 5) have been combined into a single category (1) because of their similar nature, leaving four categories of information. Exactly what data are collected by 6 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

TABLE 2 The four categories of information required to support the management process

Information category Examples of information types

1. Information to help formulate and evaluate Gross value of production, fish landings, imports and national fisheries policy and development plans exports, fish consumption, employment in fisheries including information to evaluate the success of a sector, number of co-managed fisheries, catch per co-management policy. Information to help meet unit effort (CPUE), distribution of benefits. reporting management and reporting obligations.

2. Information to help formulate and coordinate Fish species, catch weight or value, fishing gears and local management plans. seasons, socio-economic categories and numbers of fishers, fisheries legislation, management responsibilities. Management strategies and activities described in local management plans to coordinate actions.

3. Information to implement management plans Registers of fishing units and licences, lists of typically for enforcing rules and regulations and licensed fishers. resolving conflicts.

4. Information to evaluate and improve local Performance indicators such as abundance (CPUE) management plans. of different species, income, fish consumption, occurrence of conflicts. Explanatory variables including fishing effort, details of management strategies and environmental variables such primary production and flooded area.

whom to meet these information requirements will depend on who takes responsibility for each activity as well as the policy goals, management objectives and capacity of the main stakeholder groups.

2.4 MEETING INFORMATION REQUIREMENTS A data collection and sharing system is the combination of data sources and collection methods, networks and activities that provides co-managers with the information from each category they need to undertake the management process. Data are the numbers and variables recorded such as catch, price, fish length etc. from members of a “population” of sampling units (e.g. vessels, households, fishers etc.). Information is the product of these data after they have been collected, analysed and interpreted for use. Co-managers will have overlapping information needs (Figure 2). The greater the overlap the more opportunities will exist to share data and information and the

FIGURE 2 The common data needs of co-managers

DATA NEEDS OF DATA NEEDS OF LOCAL GOVERNMENT MANAGEMENT INSTITUTION

Common data needs Information for co-management 7

Stakeholders identifying their information needs and opportunities for information sharing in Bangladesh PARVIN SULTANA SULTANA PARVIN Villagers in the Songkhram River Basin in Northeast Thailand discuss what they know and what they need to know to improve the management of their fisheries KANOKPORN DEEBUREE responsibility for collecting it. Key stages in designing an effective and efficient data collection and sharing system are therefore identifying and maximizing this overlap, and reaching agreement on who should collect and share data to generate this information based upon their capacity and motivation. Responsibility for collecting the remaining data will also have to be reached. In some cases, the Government and LMI may be happy to collect these data independently of one another (often informally in the case of the LMI) but then later share them with one another. In other cases they may agree to collect data on behalf of one another provided they are sufficiently motivated to do so. This document provides practical guidance on how to undertake these key and other important stages for designing data collection and sharing systems for co- managed fisheries.





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16 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

FIGURE 5 Examples of identified information needs for different stakeholder groups

Stakeholder group: LMI and local resource users Information needed Importance Category Objective (1 least important, (’Indicator’) 5 = most important)

4 Maintain fisheries Fish abundance production measured as Catch per 4 unit effort (CPUE)

4 Increase income Income (profit) 2

Stakeholder group: Provincial Fisheries Management Institution Information needed Importance Category Objective (1 least important, (‘Indicator’) 5 = most important)

Reduce poverty in the Poverty

Province 4

1 Increase employment in Employment in fishing 4 fisheries sector

Sustain food security Protein consumption 2

Stakeholder group: National Department of Fisheries Information needed Importance Category Objective (1 least important, (‘Indicator’) 5 = most important)

Poverty

4 Reduce Poverty

1 Increase employment in fisheries sector Employment in fishing 4

Increase contribution of fisheries sector to Gross Value of Production 4 national economy

its local resource users, a Provincial Fisheries Management Institution and a national Department of Fisheries. Facilitators should be aware that even within a stakeholder group there may be differences of opinion about suitable indicators (e.g. at the community level according to gender, age, occupation, wealth status) and the people involved may need to negotiate an agreement. In a situation like this, a trial or test could be run where several different indicators are monitored for a period of time to help people come to some agreement over which indicator is most suitable.

Identify explanatory indicators or variables In addition to identifying indicators to monitor their performance, the groups should also identify what information they might need to be able to explain the performance "
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18 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

FIGURE 6 Example tables to summarize information requirements, alternative data variables and required data specification. MDD- Minimum detectable difference.

Stakeholder group: LMI and local resource users Impor- Required Data Possible data Objective Indicator Frequency tance Precision types variables - Weight Catch (by - Number species) Maintain Catch per - Number of baskets fisheries unit effort 4 Monthly 10% MDD - Hours fishing production by species - No. of traps set Effort 4 - No. of active full & part time fishers - Fixed & variable Costs Increase Income costs 2 Monthly 10% MDD income (profit) - Fixed & variable Earnings earnings

Stakeholder group: Provincial Fisheries Management Institution

Impor- Required Possible data Objective Indicator Frequency Data types tance Precision variables Reduce - Average fixed and Earnings poverty in variable earnings the Poverty 4 Annually 10% MDD - Basic daily living Province Living costs costs

1 Increase - Number of active employment Employment fishers by category Employ - in 4 Annually 20% in fisheries e.g. full / part time ment fisheries sector sector

Stakeholder group: National Department of Fisheries Impor- Required Possible data Objective Indicator Frequency Data types tance Precision variables - Average fixed and Earnings variable earnings Reduce 4 Annually 20% Poverty - Basic daily living Poverty Living costs costs 1 Increase - Number of active employment Employment fishers by category Employ - in 4 Annually 20% in fisheries e.g. full / part time ment fisheries sector - Number of licensed fishers sector - Landed weight of Increase Production Gross species contribution (Catch) 1 Value of 4 Annually 20% of fisheries - Unit price of Production Price sector to species

censuses. Further guidance on data specification is available in Sections 3.1.2, 4.5 and 5.2.3.4 of Part 2 of the Guidelines. Stakeholders should clearly explain the reason for the data specification. This exercise can be educational and may encourage managers to review or reconsider their roles and responsibilities as the purpose of management, data and information becomes clear. A participatory design process 19

Identify Category 3 information needs Data and information needed to implement local management plans (Category 3 information) might also be identified now, particularly if government agencies are expected to take full or partial responsibility for these roles and responsibilities. Data and information required to implement the plan will relate mainly to that required for enforcing local rules and regulations e.g. vessel or fisher access or licence registers and associated data. Examples of these types of data are provided in Annex 4 of this document (Also see Section 3.4 in Part 2).

Updating management plans Whilst information for formulating the management plan may at first come from ad hoc surveys and assessments such as PRAs, frame surveys and SLAs during the development of the first plan, the plan should also aim to include summaries of Category 1, 3, and 4 information. The plan should therefore be updated after this information becomes available.

STAGE 4: REVIEW EXISTING DATA AND IDENTIFY GAPS Gap analysis Check whether any other institutions or organizations are already collecting the required data, as other government agencies, universities, research organizations, NGOs and others may already be routinely collecting the same data. Start by asking whether reporting mechanisms at the village, district or national levels already exist for the information you need, such as population, boat ownership and poverty indicators. These data may be generated by a range of methods such as national census or specific research methods. You may find it helpful to make a table (see example in Figure 7) showing: • what information is already being collected; • who collects it; • how they collect it (including how often and to what accuracy); • why they collect it; and,

FIGURE 7 Example table to record information already collected by different organizations

What data is How they collect Why they collect Where information Organization collected it it is kept Village chief / Number of people in Village census, To provide Village chief & administration village once per year information to District District Government Government records LMI Number of fishers Registration Membership LMI purposes records/registers University Fish species and One-off sampling, Research University, catch data; not continuous projects academic papers Plankton biomass data Dept of Number of licensed Licences awarded To keep track of Head office Fisheries fishers; and control no. of fishers Local NGO Household socio- Household Socio-economic NGO office, economic survey on interview, studies for published in poverty indicators sampling at poverty reports village level alleviation projects

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L L ? P = K ?  L  I  Q @ = N = N U P P N A J A K Î N C C ? ? N N C C K C P E K  E P C K K N N N = = > 0 J  I P P P J = J Q I > @ A ? O O A = = O E A E Q J A ! $ ! ! O ! * O = I     A P   H  D D D   J  N L P A P P    D K   = V  J J J  E I   A K K K  + I  O = U      I I I 0 F
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      P P P  C K K  J J J  J  J O  J E N P P A A A K A A  A O O E E C E K  C  C ? ? J N N A P I I I O J P P P P J J J J A E E E A N E E A C A A E E = E K K ? H H D A J J R R J D C C C C C = P A H % Q A O D Q Q K K H Q J O J = = = E E E L 0 N N % O K K > J J J E # H 3 H # K - - = = = A A % # - > > I % I I '*(63&

   H O H P  N P   Q    O A B = O  O B   P N  C G L C C = A A A K A  C J H H O  P J H J  E P E H E D > > = O R C =  E D J Q J O A = = B J O E E E  N N H OUT
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> K I N P

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A U  E N A E K U O P P P P K K B E ? L K N O I B B ? H J P A A D A K K K A Q L Q = L ? A R N H N ? @ ? P P K I I E = L E O J $ K & = Î - @ 3 U J " N

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33

References and recommended reading

A full list of references is included in Part 2: Technical guidelines.

Allison, E.H. & Ellis, F. (2001). The livelihoods approach and management of small-scale fisheries. Marine Policy, 25: 377-388. http://www.sciencedirect.com/science/journal/ 0308597X. Bazigos, G.P. (1983). Design of fisheries statistical surveys. FAO Fisheries Technical Paper 133. FAO, Rome. 122 p. http://www.fao.org/fi/eims_search/publications_form. asp?lang=en Berkes, F., Mahon, R., McConney, P., Pollnac, R. & Pomeroy, R. (2001). Managing small- scale fisheries: Alternative directions and methods, IDRC 2001, 320 p. http://web.idrc. ca/en/ev-28061-201-1-DO_TOPIC.html. Caddy, J.F. & Bazigos, G.P. (1985). Practical guidelines for statistical monitoring of fisheries in manpower limited situations. FAO Fisheries Technical Paper 257: 86p. http://www.fao. org/fi/eims_search/publications_form.asp?lang=en Cochrane, K.L. (2002). A fishery manager’s guidebook. Management measures and their application. FAO Fisheries Technical Paper 424. Rome, FAO. 2002. 231p.http://www. fao.org/fi/eims_search/publications_form.asp?lang=en FAO. (1999). Guidelines for the routine collection of capture fishery data. FAO Fisheries Technical Paper 382, Rome, FAO 1999. 113p. http://www.fao.org/fi/eims_search/ publications_form.asp?lang=en. Garaway, C. & Arthur, R. (2002). Adaptive Learning. Lessons from South Lao PDR. 32p. http://www.fmsp.org.uk/r7335.htm. Garaway, C.J. & Arthur, R.I. (2004) Adaptive Learning: A practical framework for the implementation of adaptive co-management. Lessons from selected experiences in South and Southeast Asia. MRAG Ltd. 44pp. http://www.fmsp.org.uk /r7335.htm. Halls, A.S., Lewins, R. & Jones, C. (2000). Information systems for the Co-Management of Artisanal Fisheries. Final Technical Report to the Department for International Development, London, MRAG Ltd, 230pp. http://www.fmsp.org.uk /r7042.htm. Hindson, J., Hoggarth, D., Krishna, M., Mees, C. & O’Neill, C. (2005) How to Manage a Fishery – A simple guide to writing a fishery management plan. London, MRAG Ltd. Hoggarth, D.D., Cowan, V., Halls, A.S., Aeron-Thomas, M., McGregor, J.A., Garaway, C.J., Payne, I. & Welcomme, R. (1999). Management guidelines for Asian floodplain river fisheries, Part 1: A spatial, hierarchical, integrated strategy for adaptive co-management. Rome, FAO Fisheries Technical Paper: 384 1&2. http://www.fao.org/fi/eims_search/ publications_form.asp?lang=en. IFAD. (2002). Managing for Impact and Rural Development: A Guide for Project M&E. Rome, IFAD. http://www.ifad.org/evaluation/guide/index.htm ICLARM & IFM. (1998). Analysis of Co-management Arrangements in Fisheries and related Coastal Resources: A Research Framework. 21pp. ICLARM. Jentoft, S. (2003) Co-management – the way forward. In Wilson, D.C., Nielsen, J.R. & Dengbol, P. (eds) The fisheries co-management experience: Accomplishments, challenges and prospects. Fish and Fisheries Series Vol 26. Kluwer Academic Publishers, Dordrecht, Netherlands. 34 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

Pido, M.D., Pomeroy, R.S. et al. (1996). A Handbook for Rapid Appraisal of Fisheries Management Systems (Version 1). ICLARM Education Series 16: 85p. http://worldfish. catalog.cgiar.org/pubsof.htm Poate, C.D. & Daplyn, P.F. (1990). Data for Agrarian Development. Wye Studies in Agriculture and Development. University of London: London, UK. Purvis, J. (2004). Identification of System Requirements. Report in preparation for the Guidelines Development Workshop: Levels 1 and 2: Fisher communities and district level managers within the national framework: Tanga Region, Tanzania. Report prepared as a contribution to DFID-FMSP project R8285: Data Collection and Sharing Mechanisms for Co-Management. April 2004, 59pp. http://www.fmsp.org.uk/r8285.htm Sparre, P.J. (2000). Manual on Sample-based data collection for fisheries assessment. Examples from Vietnam. FAO Fisheries Technical Paper 398, Rome, FAO. 171pp. http:// www.fao.org/fi/eims_search/publications_form.asp?lang=en Stamatopolous, C. (2002). Sample-based fishery surveys. A technical handbook. FAO Fisheries Technical Paper 425. Rome, FAO. 2002. 132p.http://www.fao.org/fi/eims_ search/publications_form.asp?lang=en Sultana, P. (2005). Evaluation and Uptake Promotion of Data Collection Guidelines for Co-managed Fisheries (R8462). Draft Evaluation Report with Fourth Fisheries Project, Bangladesh. http://www.fmsp.org.uk /r8462.htm.

Guidance on carrying out a stakeholder analysis: http://www.iied.org/forestry/tools/four.html or Annex D of IFAD (2002) http://www. ifad.org/evaluation/guide/index.htm 35

Annex 1 Checklist for the system

Use the checklist below to help confirm if you have the right system: • Is it feasible? Do you have the capacity, motivation, skills and equipment? Can you cover the geographic area properly? Can enough technical support and training be provided? • Is it suitable? Do stakeholders agree that the strategy is suitable and do they understand it? Can it be supported by existing institutions? • Is it valid? Do the people who are going to use the information believe that the methods are valid and generate accurate information? • Is it relevant? Does the system generate the needed information? Are all the data relevant and needed? Is there a pilot phase to test and refine the system (see below)? • Is it sensitive? Will it be possible to detect small enough changes in indicators or variable estimates for management purposes? Can it be adapted to changing conditions without losing a lot of reliability? • Is it cost-effective? Are there enough resources to support the system? Will the system produce the needed information at relatively low cost or do cheaper alternatives exist? • Is it timely? Will the system generate data in time for its intended purpose or use? • Is it sustainable? Will the system be sustainable without continuous support? Is the system documented so that everyone knows what it produces and what information is distributed? 36 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

Annex 2 Category 1 Information: Examples of indicators, data types and variables for formulating and evaluating policy and development plans

Example Category Data types Example data variables indicators Gross Value • Landed weight of species from co- and Economic value of • Production of Production non-co-managed sectors the fishery • Unit Prices (GVP) • Unit prices of species • Landed weight of species from co- and • Production non-co-managed sectors Average fish • Fishery imports and Food supply and • Quantity of fish products imported consumption exports fish consumption and exported per capita • Conversion factors • Ratio of weight of product by species • National population • Number of people • Employees by primary, secondary and tertiary sectors and by category e.g. • Number of persons full-time, part-time, and occasional in employed in sector both co- and non-co-managed sectors • Employment in non- Employment in Employment • Employees fisheries sector in sector fisheries sector • Unemployment nationally, by region, • Unemployment district • Conversion factors • Numbers of employees in secondary and tertiary sectors per fisher. • Number of co-managed • Co-managed fisheries by region, fisheries province, marine/inland Progress towards Progress • Number of fishers establishing co- • Numbers of fishers by income grou. indicators participating in co- managed fisheries managed fisheries • Quantity by sector (co- and non-co- managed sectors • Landings • Weight; number; number of baskets • Total catch by species • Conversion factors • Weight of fish per basket by species Conservation Catch per unit and resource • Gear • Gear type effort (CPUE) sustainability • Gear size • Length, number of hooks, net area • Effort • Hours fishing, numbers of traps set, numbers of fishers • Gear, vessel investment; insurance; depreciation

• Fixed costs • Repair and maintenance of craft; repair and maintenance of gear; food; • Variable costs (owner materials; stocking cost operating) • Food; traditional taxes and offerings; Income Income • Variable costs (common materials; commission; repair of craft operating and gear; remuneration to other • costs) owners; repayment of loans; stocking costs • Earnings • Fresh fish sales; processed fish sales; sales of fishing inputs; rental of gear; sale of fishing rights; investment Annexes 37

Example Category Data types Example data variables indicators • Co-managed fishery name; management area name, LMI identifiers, region, strata, etc. • Number and type • Identifiers • Warning, confiscation of gear/vessel/ • Non-compliance incidents Compliance Non- catch; revocation of licence, fine • Sanctions for non- with rules and compliance Number of guards per unit area; compliance • regulations incidents clearly defined boundaries; • Other explanatory representation in rule making, variables legitimacy of decision-making body; local support of co-management arrangements; knowledge of rules and regulations; expenditure on enforcement by local district officers • Surveillance costs, monitoring costs, enforcement costs, training costs, • Costs to government administration costs, research costs Co-management • Costs to the LMI and its • Opportunity costs associated with Cost per fisher costs associated stakeholders participation in co-management activities (monitoring and • Number of fishers enforcement activities, participating in meetings and workshops, and participatory monitoring programmes) Note: Details of other indicators belonging to this category of information including poverty, equity and conflict, together with information needed for development and poverty reduction evaluation and to meet management and reporting obligations can be found in Section 3.2 of Part 2 of the Guidelines. 38 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

Annex 3 Category 2 Information: Examples of information that might be included in local management plans

Category Examples • The stocks or fishery being considered and the area under the jurisdiction of the LMI Resource and • Information on environments, habitats or locations critical to the life Environment history of the stock or species • Potential catchment influences on the fishery or stock • Number of fishing units • Gear types and technology employed Fishery • Selectivity of gears • Seasonality of fishing • Location of fishing • Landing locations • Socio-economic categories of fishers (professional, subsistence etc), Fishers and Other their sub-categories (e.g. women, children) and other stakeholders Stakeholders (fish traders, leaseholders, etc.) • Details of all stakeholders involved in the management of the Management Roles and resources, including their roles and responsibilities and planned Responsibilities activities • Agreed biological, social and economic objectives for the fishery The Management Plan • Current performance of the management plan and the impact on the Objectives and Current resource and its users (biological, economic and social impact) Status • Data and information concerning non-compliance • Details of management control measures (e.g. closed seasons, mesh size regulations, effort restrictions etc) and interventions such as stocking or habitat enhancement/rehabilitation programmes The Management Strategy • Access rights, existing legislation and sanctions for non-compliance • Details of exiting monitoring (data collection), control and surveillance programmes and activities including who is responsible, what information is collected, how, when and where and associated costs. Known strengths and weaknesses of the existing systems • Details of the indicators and criteria used to evaluate the performance of the management plan in relation to the specified management objectives, and to adjust or refine the management strategy as Performance Evaluation necessary Criteria and Decision- Making Arrangements • Details of any models or analytical approaches (including explanatory variables) used to guide decision-making • Results of previous evaluations of the management plan • Details of relevant legislation, cultural factors, markets, (seasonal) External Arrangements, prices, trade arrangements, donor assistance, population, economic Markets And and technological trends, and the frequency and predictability of Vulnerability Context natural disasters Other Information • Costs: administration, staff and capital equipment for monitoring, evaluation, control and surveillance Annexes 39

Annex 4 Category 3 Information: Examples of data and information to implement local management plans

Data type Variable Name and address of each fisher or vessel owner and FEU identification Identifiers number Vessel type (e.g. skiff, canoe, boat), and material of construction (wood, Type fibreglass, steel, etc.) Power Sail; engine hp Size Length, breadth, gross tonnage Crew Number by job description Gear Details of the gear type, size, number, mesh size, etc. Licence number, period of validity, fee (if applicable); details of gear, Licence or access details landing and access restrictions (e.g. closed areas, seasons, etc.) 40 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

Annex 5 (A) Category 4 Information: Examples of data, indicators and variables to monitor and evaluate management plan performance

Management Example indicators Data types Example data variables objective theme • Weight • Total catch aggregated • Number Multispecies Annual across all species yield (MAY) • Number of baskets of fish • Conversation factors • Weight of fish per basket Yield • Weight of species, s Annual Yield of • Total catch of species, s • Number of species, s species, s (AYs) • Conversation factors • Number of baskets of fish of species, s • Weight of fish of species s per basket • Weight of species, s • Number of species, s • Number of baskets of fish of species s Resource • Total catch of species, s Catch per unit effort • Weight of fish of species s per basket sustainability • Conversation factors of species, s (CPUE ) s • Hours fishing • Fishing effort • Number of traps set • Number of active full and part time fishers Species presence and • Presence/absence of species Biodiversity • Catches by species richness (S) • Number of species landed • Gear costs • Insurance • Depreciation • Fixed costs Household income • Repair and maintenance costs • Variable costs from fishing • Stocking costs • Earnings • Earnings from fish sales Well-being • Earnings from rental of gears (Fishers/ • Earnings from sale of fishing rights households) • Number of TVs Household assets • Types of assets • Number of Bikes • Presence/absence of tin roofing • Landings • Quantity of fish landed Household fish • Sales and purchases • Quantity of fish bought and sold consumption • Demographic variables • Number of household members • Age, gender • LMI identifiers, region, location etc Compliance with • Identifiers • Number and type of non-compliance rules and regulations • Non Compliance events events Institutional • LMI identifiers, region, location etc performance • Identifiers • Number of conflicts or conflict events Conflicts by type e.g. verbal confrontation, • Incidence of conflicts injuries or deaths, incidents of gear damage etc. Note: These are only examples of the kinds of variables and indicators that may be appropriate. Examples of other variables together with guidance on how to build empirical models of management performance based upon comparisons of performance and explanatory variables through time and/or among sites are described in Section 3.5 of Part 2 of the Guidelines. Annexes 41

(B) Category 4 Information: Examples of explanatory variables and indicators to explain management plan performance

Category Explanatory variable Example data types Example data variables • Gear type and size • Hours fishing; number of traps set; number of fishing days; total • Fishing effort number of fisherman; number of Exploitation rate • Mortality rate gears operated during season x • Extent of poaching • Mean size of species s caught in month x, with gear x • Number of incidents of poaching during period x • Quantity of fish stocked • Weight or number of fish stocked Inputs Stocking density • Stocking area • Area of stocked waterbody Stocking size • Size of fish stocked • Mean length of fish stocked • Cumulative weight of brushpile added to water body • Cumulative length of canal Habitat alteration • Habitat enhancement dredged activities measures • Quantity of fertilizer added to waterbody • Reserve area Production potential • Water transparency • Secchi depth • Carbon fixation • g C m-2 • Maximum area of floodplain • Maximum flooded area Environment Floodplain hydrology inundated • Minimum water area • Water area at end of dry season Lake hydrology • Lake level • Water level during month x Pollution • Pollutant levels • Concentration of pollutant x • Gear ban implemented (Y/N) • Gear bans • Landing size restrictions Control measures • Landing size restrictions Management implemented (Y/N) strategy and • Reserves • Reserves implemented (Y/N) decision-making • Fisher representation in arrangements Representation • Low; medium; high (described in rule making management • Sanctions for non- Sanctions • Yes; No plan) compliance • Legitimacy of local Legitimacy • Low; medium; high decision-making body Note: Examples of variables and indicators to explain policy performance are given in Section 3.5.8 of Part 2 of these guidelines. 42 Guidelines for designing data collection and sharing systems for co-managed fisheries – Part 1

Annex 6 Example of an hypothesis matrix for aiding the selection of sets of explanatory variables to explain differences in management performance

Management performance indicators

Category Explanatory variables Multispecies annual yield Annual yield of species, s Catch per unit effort species, s Species presence and richness Household income from fishing Household assets Household fish consumption Compliance with rules Conflicts

Exploitation rate √ √ √ √ √ √ √ √

Stocking density √ √ √ √ √ √ √ Inputs Stocking size √ √ √ √ √ √ √

Habitat alteration activities √ √ √ √ √ √ √ √

Production potential √ √ √ √ √ √ Floodplain hydrology √ √ √ √ √ √ Environment Lake hydrology √ √ √ √ √ √ Pollution √ √ √ √ √ √ Management Legitimacy / widely accepted √ √ strategy Management measures √ √ √ √ √ √ √ & decision- making Representation in rule making √ √ arrangements Sanctions for non-compliance √ √ I S S N

0 4

FAO 2 9 - FISHERIES 9 3 4

TECHNICAL 5 PAPER

Guidelines for designing 494/1 data collection and sharing systems for co-managed fisheries Part 1: Practical guide

The increasing shift towards co-management has prompted managers to reflect upon their new roles and reconsider information requirements. This technical paper, in two parts, is aimed to meet the growing need among co-managers for guidelines to help design and implement appropriate and cost-effective data collection programmes or systems.

Part 1: Practical guide has been written specifically for co-managers and facilitators working in the field and offers simple and practical advice on helping stakeholders identify their information needs in relation to their management objectives and responsibilities, and developing collaborative ways of collecting and sharing the information in the most effective way.

Part 2: Technical guidelines provides more technical detail on each of the sections in the Practical guide, including examples of the types of data that might be of interest to different stakeholders, data collection methods and sources, the design of sampling programmes, and guidance on data analysis and interpretation. Part 2 is aimed particularly at Department of Fisheries and extension staff, research agencies and academic institutions, but can also provide field practitioners with an additional resource that can be referenced when necessary.

Together, Parts 1 and 2 draw on relevant elements of the literature and the output of DFID-funded research, as well as the experiences and expressed needs of co-managers currently designing or preparing to design their own data collection systems.

ISBN 92-5-105409-6 ISSN 0429-9345

978 9 2 5 1 0 5 4 0 9 3 TC/M/A0230E/1/12.05/2000