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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
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FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 2003
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Table of Contents
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the Food and Agriculture Organization of the United Nations concerning the legal
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or concerning the delimitation of its frontiers or boundaries.
ISBN 92-5-105015-5
ISSN 0429-9345
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or by e-mail to:
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© FAO 2003
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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.
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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
BACK COVER
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