CHAPTER II. Implementation of EAFM in Inland Waters

2.1. Overview of the EAFM Process in Inland Waters

FAO (2003) defines Ecosystem Approach to Fisheries (EAF) as: "an ecosystem approach to fisheries strives to balance diverse societal objectives, by taking account of the knowledge and uncertainties about biotic, abiotic and human components of ecosystems and their interactions and applying an integrated approach to fisheries within ecologically meaningful boundaries." Referring to this definition, EAF can be understood as a concept of how to balance socio-economic goals in fisheries management (fisherman welfare, fair use of fish resources) while considering knowledge, information, and uncertainty about biotic, abiotic, and interaction components of humans in aquatic ecosystems through an integrated, comprehensive and sustainable fisheries management.

In this context, several principles that must be considered in the implementation of the ecosystem approach in fisheries management (EAF) include: (1) fisheries must be managed at limits that provide impacts that the ecosystem can tolerate; (2) ecological interactions between fish resources and their ecosystems must be maintained; (3) management tools should be compatible for all distributions of fish resources; (4) the precautionary principle in the process of making decisions on fisheries management; and (5) fisheries governance includes the interests of ecological systems and human systems.

Based on the EAF definitions and principles above, the implementation of EAFM in Indonesia requires structural and functional adaptations at all levels of fisheries management, both at the central and regional levels. This implementation at least relates to a change in the thinking framework that the fisheries authority not only carries out the administrative function of fisheries but also more than that carries out the function of fisheries management (Adrianto, 2008).

Meanwhile, Pikitch et al. (2004) define EAFM as a process of improving fishery management starting from the point of view of ecosystem health as an important medium in sustaining fish resources as an object of fisheries management. In a simpler meaning, EAFM focuses on the linkage (connectivity) between the target species of fish resources and aquatic ecosystems and those related elements. This connectivity is from an ecological perspective and between ecological and social systems as the main element of fisheries management. Hilborn (2010) stated, "fisheries management is a matter of managing human behavior." The Regulation of the Minister of Maritime Affairs and Fisheries number 29 of 2016 concerning Guidelines for Preparing Fisheries Management Plans in the Field of Fishing for Inland Waters. The EAFM in inland waters is developed comprehensively and holistically, covering 7 (seven) domains of sustainable fisheries: fish resource environment, fishing technology, social, economic, managed fish species, governance, and stakeholders.

The fisheries management concept in Indonesia is currently transformed from conventional to fish management with an ecosystem approach. It is not new because, since 2001, FAO has introduced the Ecosystem Approach to Fishery Management (EAFM), or in Indonesian, it is translated as pengelolaan perikanan dengan pendekatan ekosistem. EAFM does not intend to replace conventional management patterns completely, but this method tries to do a refinement. The EAFM implementation mechanism is adaptive management. In this case, a series of existing management practices align with EAFM, but the others must be refined. This condition in each area of ​​inland waters varies from one region to another region.

Garcia and Cochrane (2005) define EAFM as balancing socio-economic goals (economic benefits, fishermen's welfare, and fair use of fish resources) while considering human interaction in aquatic ecosystems through integrated, comprehensive, and sustainable fisheries management. The most important thing distinguishing between conventional management and EAFM is the presence of humans as managers in the ecosystem elements. It is similar to the traditional management approach. Implementing EAFM requires policy planning, strategic planning, and operational management planning. Policy planning is needed in a macro context that focuses on statements of commitment from decision-makers at the national and regional levels related to implementing EAFM. Policy planning must also contain a statement of the basic and ultimate goals of EAFM implementation through socio-economic goals, environmental considerations, and fish resources. In addition, the policy planning also stipulates central and regional coordination mechanisms, coordination between sectors, and the relationship between national and international regulations related to the comprehensive implementation of EAFM. 

In conventional fisheries management, applied management deals with the problem of decreasing fish populations. The main information is only based on biological instruments, namely the length at first maturity (Lm), the level of gonad maturity, and the height of the fish. So, the action that can be taken is to determine the mesh size and set the time and place of fishing. Even though the scientific truth is undeniable, these efforts are often difficult and have never been implemented in the field. It is due to the lack of support from the fishermen. Or how the fishery tries to improve habitat but never coordinates with other parties with similar interests, such as forestry, mining, agriculture, tourism, and other related sectors.

In facing the problems above, EAFM introduces a more holistic approach. These biological and ecological instruments are integrated with social and institutional elements so that stakeholders are properly informed and proportionally involved based on roles and their influence on a management plan that will be implemented. The EAFM cycle consists of three main stages: planning, doing, checking, and correcting. These three stages translate into five steps for EAFM, as outlined in Figure 1 and Table 1 below. In the table, the planning steps are shaded in gray.

Figure  1. Steps towards  EAFM (FAO, 2019)

Table1. Summary of 5 steps towards EAFM

Source: FAO Inland EAFM Handbook for Trainees 2019

Step 1 – Identify the Fisheries Management Unit

1. Identify Fisheries Management Unit (FMU): identifying the FMU in inland waters will be based on the ecosystem typology, which is the fishing area of ​​a watershed system. However, ecosystems are not clearly defined entities with clear administrative boundaries.

2. Identify potential and prioritize: the potential of a FMU must be known, at least covering the potential of fish resources, the potential of the aquatic environment, potential human resources, potential technology, and economic potential.

3. Identify utilization status: to identify utilization status in FMU, quantitative and/or qualitative data is required, both primary and secondary data. The data needed at least covers environmental, biological, social, and economic aspects.

4. Agreed on FMU's vision: Vision is a long-term statement that accommodates all aspirations of relevant stakeholders. Agreed on the FMU vision is useful as the main reference in formulating the EAFM plan.

Step 2 - Identify Threats, Issues, and Objectives

1. Identify threats, issues, and objectives: Threats to fisheries can come from internal and external factors. Internal threats come from fishing activities, while external threats come from non-fishery activities, such as mining activities, agricultural activities, tourism activities, and others. The issues cover three components (ecology, socio-economic, and governance).

2. Determine the priority scale of threats, issues, and goals: considering the limited resources and the number of existing threats and issues. It must be prioritized to be included in determining the goals of EAFM. Risk assessment tools are available to help prioritize identified threats and issues to determine which ones have high priority.

3. Reality checks I: Consider the threat and opportunities to achieve the EAFM goals to analyze whether the goals are achievable.

Step 3 - Developing an EAFM Plan

1. Setting EAFM goals: objectives are defined within the framework of achieving FMU's vision and addressing threats and priority issues. EAFM goals can be realized through managerial action.

2. Building indicators and benchmarks: to measure the success rate in achieving EAFM objectives, it is necessary to determine the indicators and benchmarks for each set objective.

3. Agreed on management and compliance actions: the agreement on managerial action is needed to achieve the objectives of EAFM. Sometimes, management measures/actions can be implemented to achieve multiple objectives. Managerial action should be accompanied by describing how the actions will be complied with, including actions to enforce and generate compliance. Objectives, indicators, benchmarks, and managerial action collectively provide a means to communicate with decision-makers about how well management is performing, which will influence the future development of the management. If possible, specific management measures/actions should also be accompanied by decision rules on implementing them and what to do if they don't work. The key is to try and agree on what might happen and how to deal with this before it happens

4. Develop EAFM plans and financing needs: A cost is required to carry out the necessary managerial action. The financing sources can come from central/regional government funds or other relevant stakeholders, including foreign loans/grants. Following applicable regulations, the financing plan is prepared as efficiently and effectively as possible.

5. Establish an EAFM plan: to ensure that all stakeholders implement the EAFM plan, it is necessary to stipulate it through official rules. So it can be used as a basis for budget allocation to carry out any necessary managerial action.

Step 4 - Execute the EAFM Plan

1. Determination, socialization, and active participation: The EAFM plan mentioned the person in charge and implementer of managerial action following their duties, functions, and authorities, and the target period for the implementation and completion. The EAFM plan needs to be formalized so that it has the force of law to authorize and support it. The EAFM plan that has been determined must be disseminated as one of the communication strategies to different stakeholders. The application of co-management in carrying out the EAFM plan that has been determined is very necessary so that the stakeholders involved actively contribute and work together to carry out the necessary managerial action. A management institution must be formed as a forum for joint management coordination, harmonization, and synergy.

2. Reality check II: Consider the constraints and opportunities to achieve the target of realizing the EAFM plan, to analyze whether the EAFM plan can be achieved.

Step 5 - Monitor, evaluate, and revise

1. Monitoring and performance evaluation: Monitoring is carried out to see whether implementing managerial action follows the plan set and to take corrective action if necessary (adaptive management). Indicators and benchmarks are identified and reviewed periodically to assess whether the managerial action can achieve the planned objectives.

2. Revision: monitoring and evaluation results can be collected annually to check the progress of the implementation of the EAFM plan. Every 3-5 years, the EAFM plan may be adjusted if sufficient evidence shows that revision is necessary. The EAFM plan may need to be adjusted according to current developments and issues in the long term.

2.2. Preparation for EAFM Implementation in Inland Waters

Management of inland water fisheries is unique to marine fisheries management. Economic activities dominate capture fisheries activities at sea, so the fleet, fishing gear, fishing grounds, fishing period/season, and caught fish are all recorded in a structured manner, including various business licenses attached to the scale of activity. Whereas in inland water fisheries, the main fish resources are Indonesian native fish which are more susceptible to disturbance and have more local economic value. In addition, inland water fisheries are closely related to local food security and the socio-culture of the surrounding community. In principle, the domains in seawater EAFM can also be applied to inland waters EAFM, with several modifications of indicators according to the characteristics of the inland waters fisheries. Thus, the current condition of the implementation of EAFM in inland waters can be assessed to be used as a basis for improvement efforts.

Strategic planning focuses on strategy formulation to achieve the goals set in the policy plan. The chosen strategy may come from agreements on strategies that apply in general, both at the national and international levels. It includes reducing non-target fish catches or by-catch practices, preventing water pollution, reducing risks to fishermen and fish resources, establishing conservation areas or fish refugia site approach, and so on. According to Cochrane (2002), the strategic plan contains at least the rules of the game and input and output control management tools that are prepared based on a risk analysis of the sustainability of the fishery system itself. Diagrammatically, the implementation process of EAFM in inland water can be seen in figure 2 as follow:

Figure  2. EAFM Implementation Process in Inland Waters (Modification from FAO, 2003)

Before starting the EAFM implementation process, several preparations involving stakeholders are required. Some of the main preparations include:

1. Identification of the EAFM team and facilitators;

2. Coordination with related stakeholders;

3. Form key groups of stakeholders;

4. Prepare a work plan; and

5. Setting up the legal basis for the implementation of EAFM.

Involve stakeholders. The critical stages include identifying potential stakeholders, raising awareness about the EAFM process, and involving them in various stages of the EAFM process (initial planning, implementation, and monitoring). Stakeholder engagement is needed to identify common goals, roles, and responsibilities.

Task i. Identification of the EAFM Team and Facilitators 

The EAFM team should become a formal institution as a forum for coordination and consultation of relevant stakeholders during the EAFM planning process. So it creates two-way communication and information flow and provides a transparent, fair, and clear decision-making environment. Certainty of support and the ability to manage conflict become key for the EAFM team in guiding the process of implementing the EAFM plan. The EAFM team is representative of all stakeholder groups. The main key for the EAFM Team is the determination of key stakeholders with dominant duties, roles, and authority as facilitators to guide the EAFM implementation process starting from the planning stages.

The network of stakeholders that needs to be engaged with EAFM in Inland Waters is complex (see Figure 3), both in terms of vertical relationships (national to local), horizontal relationships (between different users of water resources), and terms of geographic coverage.

All stakeholders need to be invited to the initial EAFM Team formation meeting. Furthermore, to sort out the capacity of all stakeholders, it is necessary to analyze the position of the stakeholders. It is used to identify potential partners or groups that can support or potentially hinder EAFM. One of the stakeholder analysis frameworks can be seen in Figure 4. The stakeholders' criteria are grouped based on their level of interest in the EAFM process (Y-axis) and their influence on the EAFM process (X-axis).

 

Stakeholders in the green box are key stakeholders for the success of EAFM, so they need to be continuously motivated as 'allies' and be convinced about the importance of EAFM in Inland Waters. Stakeholders in the yellow boxes are disinterested and have little influence, so they must be informed and involved with minimal effort and monitoring. Stakeholders in the blue box need an active strategy to become potential supporters by using their influence to support the EAFM process. However, some highly influential stakeholders may also hinder the EAFM process (for political or other gains), so they must be actively monitored. Stakeholders in the red box are often the most affected because they have no power or voice in the EAFM process. So it is needed to accommodate their interests in the EAFM process.

Task ii. Coordination with Relevant Stakeholders

The framework of forming the EAFM Team requires coordination, consultation, cooperation, and joint decision-making, not only between stakeholders in the fisheries sector but also between other sectors that impact fisheries or are affected by fisheries. It is very important to map out the duties, roles, and authorities of all relevant stakeholders and ensure that all stakeholders are informed and involved from the start of the EAFM planning process. It is conducted to align support at various levels of stakeholders and avoid overlapping policies/support situations.

In the context of coordination, holding meetings to increase stakeholder awareness and establish working relationships as partners is necessary. Some things that can be done in coordination include:

• Formally introduce EAFM to potential partners;

• Answer questions about EAFM;

• Building relationships with potential partners;

• Identify partner roles;

• Training and awareness raising;

• Collection of basic data and information on the management unit; and

• Meeting with local leaders to get support.

Task iii. Form a Key Stakeholder Group

The key group has the function:

• Developing dialogue and stimulating EAFM discussion;

• Facilitating community organizations;

• Helping stakeholders understand EAFM;

• Identify issues, problems, and opportunities in engaging stakeholders;

• Assist in the EAFM decision-making process;

• Identify other stakeholders and stakeholder groups; and

• Collect and disseminate information among community members.

Task iv. Develop Working Plans

After identifying the EAFM team and facilitators, it coordinated with relevant stakeholders and established key stakeholder groups. The EAFM team needs to develop a work plan that contains strategies and steps for distributing tasks and authorities in the EAFM planning process. At this stage, it is important to consider the available budget.

This process will involve indigenous leaders or customary institutions in many countries, but other community groups can participate. Cultural and social context will be important in activities/work involving stakeholders in all places and scales.

The work plan outlines the activities to be carried out during the EAFM preparation phase (e.g., stakeholder meeting), the sequence of activities, and the individual responsibilities for each activity. The work plan must be determined as precisely as possible for each activity to be carried out, who will do it, what date it will be carried out, and how much budget is needed. In relation to budget requirements, in preparing a work plan, it is also necessary to identify short-term funding sources to start the planning process.

Task v. Preparing Legal Basis for EAFM Implementation

 

In implementing EAFM in inland waters, it is necessary to prepare a legal basis so that EAFM in inland waters has a formal legislative or policy mandate. As a comparison, in co-management practices, the legal basis can give the local community the authority to manage, and so on. For example, in many Pacific Island countries, traditional ownership of lagoons and reefs is claimed by adjacent coastal communities. In some countries, the development of fisheries management regulations includes provisions for authorization. Thus, reviewing the legal basis for EAFM is critical to understanding whether policies are supportive.