FAO FISHERIES TECHNICAL PAPER 433/2

FAO Fisheries Technical Paper. No. 433/2

Measuring and assessing capacity in fisheries
2. Issues and methods

by
S. Pascoe
Centre for the Economics and Management of Aquatic Resources
University of Portsmouth
Portsmouth, United Kingdom
J.E. Kirkley
College of William and Mary
Virginia Institute of Marine Science
Gloucester Point, Virginia
United States of America
D. Gréboval
Fishery Policy and Planning Division
FAO Fisheries Department
Rome, Italy
and
C.J. Morrison-Paul
Department of Agricultural and Resource Economics
and Member of the Giannini Foundation
University of California, Davis
United States of America


FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 2003

Table of Contents


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ISBN 92-5-105015-5
ISSN 0429-9345

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© FAO 2003

Pascoe, S.; Kirkley, J.E.; Gréboval, D.; Morrison-Paul, C.J.
Measuring and assessing capacity in fisheries. 2. Issues and methods.
FAO Fisheries Technical Paper. No. 433/2. Rome, FAO. 2003. 130p.

ABSTRACT

This Fisheries Technical Paper provides guidance for the measurement and assessment of fishing capacity, with the aim of facilitating the implementation of the International Plan of Action (IPOA) for the Management of Fishing Capacity. It provides a discussion and overview of the various concepts of capacity and capacity utilization and potential methods for estimating capacity discussed at the FAO Technical Consultation on the Measurement of Fishing Capacity held in Mexico City from 29 November to 3 December 1999. The Technical Paper also introduces some more recent methodologies for examining capacity in fisheries. Its specific objective is to provide the information necessary for developing a widely accepted definition of capacity for fisheries as well as sufficient detail about various methods for estimating capacity to permit an empirical assessment of fishing capacity conditional on the types of data typically available for fisheries. The Technical Paper initially discusses concepts and issues necessary for understanding capacity and capacity utilization in fisheries. It then discusses the primary methods often used to estimate capacity. The Technical Paper also provides empirical examples of how the various approaches can be used to estimate and assess capacity. Finally, a potential framework for assessing overcapacity is presented and discussed.



CONTENTS


PREPARATION OF THIS DOCUMENT

FOREWORD

1. INTRODUCTION

1.1 Background
1.2 Key concepts used in the document
1.3 The need for consistent estimates of capacity
1.4 Objective of the document

2. CAPACITY, RELATED CONCEPTS AND FISHERIES

2.1 Capacity and related concepts
2.2 Capacity utilization, capital utilization and variable input utilization
2.3 Capacity in fisheries
2.4 Excess capacity, overcapacity and overfishing
2.5 Economic implications of excess and overcapacity
2.6 The bio-economic model, practical limitations, and assessing overcapacity
2.7 Sub-optimal levels of capacity, capital and variable input utilization
2.8 Short-run constraints and further considerations for assessing capacity
2.9 Equating input- and output-oriented measures of capacity and utilization
2.10 Additional difficulties in capacity measurement and assessment

3. MEASUREMENT OF CAPACITY AND CAPACITY UTILIZATION

3.1 Input stock or capacity and effort measures

3.1.1 Vessel units: fixed inputs, or the capacity base
3.1.2 “Effort” units: variable inputs applied to the capacity base, or overall effort

3.2 Capacity utilization definitions

3.2.1 Output-oriented capacity utilization measures
3.2.2 Potential effort and variable input utilization
3.2.3 Input-oriented capacity utilization measures

4. METHODOLOGIES FOR MEASUREMENT OF CAPACITY UTILIZATION

4.1 Measurement of capacity output and output-based capacity utilization

4.1.1 Rapid appraisal techniques
4.1.2 Surveys and expert opinion
4.1.3 Peak-to-peak analysis
4.1.4 Stochastic production frontiers (SPF)
4.1.5 Data Envelopment Analysis (DEA)

5. TARGET CAPACITY AND CAPACITY OUTPUT

5.1 Output and input target capacity
5.2 Excess capacity, overcapacity and absolute capacity
5.3 Estimation of target capacity

5.3.1 Expert knowledge
5.3.2 Biological, bio-economic and multi-objective modelling

6. ADDITIONAL CONSIDERATIONS

6.1 Distinction between technical and economic measures
6.2 Aggregation across species and fleet segments
6.3 Artisanal fleets
6.4 Pelagic and highly variable fisheries
6.5 Processing and hold capacity
6.6 Other factors that may affect the measure of capacity

7. INTERPRETATION AND USE OF EXCESS CAPACITY MEASURES

7.1 General information
7.2 Fishery level information
7.3 National level information
7.4 Additional information (qualitative review)

8. CONCLUDING REMARKS

APPENDIX A: LEVELS OF DATA AVAILABILITY AND PREFERRED CAPACITY ESTIMATION METHODS

APPENDIX B: PEAK-TO-PEAK ANALYSIS

The underlying theory
Example of use: Nigerian artisanal fishing sector

APPENDIX C: STOCHASTIC PRODUCTION FRONTIERS

The underlying theory
Functional forms for the production function
Separating capacity utilization from random variations in catch
Time variant TECU
Inefficiency models
“Unbiased” estimates of capacity output
Data requirements - panel, cross sectional and time series data
Output measures
Software packages
Example of use: Nigerian artisanal fishery

APPENDIX D: DATA ENVELOPMENT ANALYSIS (DEA)

CRS and VRS frontiers
Input and output orientations
Mathematical specification of the DEA approach
Categorical variables
Effects of random variations on estimates of capacity and capacity utilization
Software
Example of use: Nigerian artisanal fishery
Example of use: multispecies fisheries in the English Channel

APPENDIX E: ESTIMATION OF TARGET AND LONG-RUN OVERCAPACITY: AN EXAMPLE FROM THE ENGLISH CHANNEL FISHERIES

Multispecies, multigear fishery
The bio-economic model
Multi-objective optimization
Extent of overcapacity
Usefulness of the results

APPENDIX F: POSSIBLE REPORTING FRAMEWORK

General information
Fishery level information

Input-based measures
Output-based measures

National level information

Input-based measures
Output-based measures

REFERENCES

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