Constraints to the Sustainability of Cage Aquaculture for Resettlement from Hydropower Dams in Asia: An Indonesian Case Study
Barry A. Costa-Pierce
Department of Environmental Analysis and Design
School of Social Ecology
University of California
Irvine, CA 92697-7070
In press, 1998. Journal of Environment and Development.
Abstract
From 1985-88 the Saguling and Cirata hydropower reservoirs in the densely populated highlands of West Java, Indonesia displaced over 40,000 families. As part of a comprehensive resettlement plan, an attempt to resettle 3,000 families in water-based, floating fish cage aquaculture and related land-based aquaculture support was attempted (1,500 families in each reservoir) Over a four-year period aquaculture research, demonstration, extension, and training programs with over 4,000 displaced farming families involved: (1) organization of traditional courses (adoption/diffusion methods); (2) formation of fish farmers associations; (3) hands on, participatory research with farmers; (4) establishment of community schools in villages having the highest numbers of displaced residents; (5) farmer-to-farmer visits; (6) publishing farmer workbooks in the local language; and (7) arranging study tours to other Asian nations with relevant experiences.
By end 1992, fish cage aquaculture and other aquaculture support systems in and around the Saguling and Cirata reservoirs employed 7,527 persons. At the end of 1996, total aquaculture production was 24,496 metric tons (approximately 95% common carp, Cyprinus carpio and 5% hybrid red tilapia, Oreochromis spp.). This amount of fish was over 20% of the total amount of fish estimated to be entering the Bandung district (population est. 3 million persons). Total 1996 gross revenue from fish was over US$ 24 million, over twice the estimated annual revenue ($ 10.4 million adjusted for inflation to 1996) from the 5,783 ha of ricelands lost to the reservoirs by the dams.
From 1994-present, however, aquaculture development in the Saguling and Cirata reservoirs is neither environmentally nor socially sustainable. The benefits of floating cage aquaculture, which originally were guaranteed to the displaced people by provincial legislation, and designed to give them exclusive ownership over the production and marketing sectors of the industry, have been usurped by the politically powerful and consolidated into the hands of the urban rich from Bandung and Jakarta. Survey in 1996 of cage ownership in the Cirata showed only 48% of cage owners were resettled persons (1,201 out of 2,480 total aquaculture families). Most of the displaced people are involved principally as employees of absentee owners. It is difficult to discern if the obvious increased economic well being of the displaced persons is due to these new and high paying aquaculture jobs or is simply due to the increased economic opportunities that have been available to most of Java in the 1990’s. In addition, guidelines set on the numbers of cages (10,600 in Cirata and 5,800 for Saguling) by IOE/ICLARM (1989) to protect the reservoir environments have not been enforced, causing environmental degradation and self-pollution. [at the end of 1996, Cirata had an estimated 25,558 cages and Saguling had 8,199 (1997 survey of Saguling)]. Fish cages have been developed haphazardly in very few areas of the reservoirs where market access is good, rather than where the environments are suitable, further degrading the aquatic environment. As a result of overcrowding and water column turnovers, there have been numerous, large fish kills in the upstream Saguling reservoir, and fish cage aquaculture production dropped from a high of 6,666 tons in 1993 to 4,405 in 1996. Numerous Saguling fish farmers moved to the downstream Cirata and Jatiluhur reservoirs, where they are crowded beyond sustainable levels (Cirata's fish production increased from 6,556 tons in 1993 to 24,496 tons in 1996). Thus, while the reservoir cage aquaculture developments were successful from a fish production viewpoint, aquaculture not been sustainable socially or environmentally.
Floating net cage aquaculture can be used as a sustainable and important new means of large-scale population resettlement from hydropower dam construction in developing countries only if: (1) adequate government planning for fisheries is included before dam construction (too often fisheries are viewed as another "simple engineering problem"); (2) adequate financial compensation for lost assets is given; (3) rigid enforcement of institutional regulations guaranteeing the long-term benefits of the new lakes are for the exclusive use of the displaced people; (4) enforcement of regulations on cage numbers so as to prevent environmental degradation; and (5) provision of adequate government subsidies for aquaculture job creation, training, long-term extension support, and active monitoring.
Due to increased demands for reliable supplies of electric power, irrigation, and drinking water, the number of new hydropower reservoirs is increasing dramatically, especially in Asia. According to the last report of the International Commission on Large Dams, the total number of dams on Earth grew from about 5,000 in 1950 to more than 40,000 in 1986, with China the home to about 50% of these (McCully, 1996).
Dams continue to be one of the only means to increase humanity’s access to more of the Earth’s runoff for new cities and expansion of irrigated agriculture, but they are increasingly expensive socially, environmentally, and economically (Postel et al., 1996). For example, in arid, rapidly urbanizing southern California, USA, the new Eastside Reservoir will flood just 1,800 ha but will cost some $2 billion. In addition, there is a trend towards construction of larger dams having greater combined costs. Construction of dams with elevations greater than 100 m rose by 27% between 1991 and 1993. More than half of these dams were in China, India, and Turkey (Gardner and Perry, 1995). Large hydropower reservoirs have caused massive social disruption, increased incidences of water-borne diseases, erosion, and other social and environmental degradation (Petr, 1978; Hunter et al., 1983; Lelek, 1984; Cernea, 1988, 1997; McCully, 1996) (Figure 1).
There is a need to develop new, more sustainable environmental planning and policy approaches that integrate social and ecological concerns in hydropower projects worldwide. These social ecological approaches would formulate and carry out long term rehabilitation efforts with rural societies to restore damaged aquatic environments from hydropower projects. New approaches are especially needed in densely populated areas of Asia where the pace of dam construction is accelerating (Sutandar et al., 1990; Alam et al., 1995; Cernea, 1997; Costa-Pierce, 1997).
It has been estimated that annual inland fish production in Asia is 5.5 million tons, comprising 57% of the world’s inland fish production (De Silva, 1988, 1992). However, fish yields from Asian reservoirs comprises just 0.5 million tons of this 5.5 million tons (De Silva, 1988). DeSilva (1988) estimated fish production from Asian reservoirs at only 20 kg/ha/year, with a wide variability in production that was not always related to the size of the reservoir. Costa-Pierce and Soemarwoto (1987) calculated an average percentage increase in reservoir area in 15 Asian nations from 1987 to 2000 would be 511%, ranging from 50% (Singapore) to 9,900% (Laos). By 2000 it is predicted that the collective water surface in reservoirs (20.3 million ha) will exceed the surface area of Asia’s natural waters (18.5 million ha). Clearly, if the huge expanse of underutilized water areas locked behind Asia’s dams could be utilized for increased fish production, thousands of tons of new aquatic protein could enter Asian markets. Production of new aquatic protein is especially urgent in Asia, a region where fish is the most important source of animal protein. In addition, there is a need to create thousands of new rural jobs due to population growth is evident and to find innovative ways to stem the rapid rural to urban migration. It is argued that expansion of aquatic food production in Asian reservoirs could assist in mitigating Asia's growing food and population crises (Brown, 1997).
The planned development, enhancement, and management of capture ("fishing") and culture fisheries ("aquaculture") enterprises in new reservoirs as alternative livelihoods for the people displaced by dam construction has received little or no attention. The policies for the technical, social, environmental and economic incorporation of fisheries onto the planning for dams or project site works have not been done. Fisheries has not been incorporated into the social and environmental compensation packages of hydropower dam projects (Cernea, 1997). Hydropower projects are usually controlled by dam engineers and government officials more concerned with moving people away from the new water bodies, rather than promoting new forms of intimate contact with them (such as the Indonesian transmigration projects; Fearnside, 1997). An alternative view is to develop policies and planning structures to resettle the displaced people locally and encourage development and evolution of new, community based, social-cultural interactions with the new aquatic ecosystems in order to rehabilitate the damaged social and environmental situations. The evolution of sustainable, ecological aquaculture holds this kind of rehabilitation potential (Costa-Pierce, in press).
Most of the world’s current population growth is occurring in nations where there is little potential for increasing the area of arable land under cultivation (Engleman and LeRoy, 1995; Brown, 1997; Pimental et al., 1997). States Engleman (1995), "The food that will be required to feed a world population of 8 billion or more in the next century will have to come almost entirely from today’s farmland." The rapid rate of urbanization in most Asian nations is causing severe population pressure on existing rural and peri-urban agricultural ecosystems. Java is one of the world's most densely populated areas of the world, and the island is losing agricultural lands to urbanization at an alarming rate. Between 1983 and 1992, new housing starts in just three cities in West Java (Bekasi, Bogor, Tangerang) ate up 61,000 ha of croplands (Firman and Dharmapatni, 1994). The USDA estimated that urban expansion claimed 20,000 ha on Java in 1994 alone (Thompson 1995). Rapid urbanization has increased the need to preserve and intensify agricultural production on the remaining agricultural areas, and to find innovative ways to conduct intensification sustainably, without further environmental and social damage.
Densely-populated Java and southern China have been two ancient centers of farmer innovations having numerous sustainable examples of productive, ecologically-sophisticated backyard and small farm ecosystems that merge agriculture and aquaculture in unique ways (Ruddle and Zhong, 1988; Koesoemadinata and Costa-Pierce, 1992; Dela Cruz et al., 1992). However, due to urbanization and associated population pressures, the era of consistent increases in the numbers of these sophisticated traditional aquaculture agroecosystems in Asia may be coming to a close, principally due to their land-intensive nature and their proximity to the main areas of urban sprawl. In the peri-urban fringes of many large Asian megacities (Jakarta, Bangkok, Manila, etc.) there is an alarming loss of these traditional agroecosystems and the indigenous knowledge systems that have developed over hundreds of years to manage them.
In contrast, there are vast areas of new inland waters "locked up" in hydropower and irrigation reservoirs in the region. The surface waters of these hydropower reservoirs are almost completely vacant of any significant productive enterprise, other than being used for water storage, and subsistence level fishing that provides little other than part-time incomes (Munro et al., 1990). Nearly all Asian reservoirs outside of China and Thailand have little or no water-based aquaculture systems such as fish cages, and have underdeveloped capture fisheries management programs (De Silva, 1988; 1992; Costa-Pierce, 1997). Development of aquaculture in and around Asia’s hydropower and irrigation reservoirs to enhance fish production, and as a management tool to enhance capture fisheries, may be one means to provide thousands of new jobs in rural areas. Fisheries development may also be the only means left for creating new sources of freshwater aquatic protein for many densely populated Asian nations (De Silva, 1988; Costa-Pierce, 1997). Indeed, hydopower and irrigation reservoirs may be Asia’s final "aquatic frontier".
The Case Study of Resettlement Aquaculture in Indonesia
A cooperative Institute of Ecology, Padjadjaran University (IOE, Bandung, Indonesia) and International Center for Living Aquatic Resources Management (ICLARM, Manila, Philippines) project in the highlands of West Java, Indonesia was initiated to investigate the feasibility of developing cage aquaculture for local population resettlement from hydropower dam construction. Indonesia was chosen for the project due to the need to evolve alternative resettlement schemes to the transmigration program which had caused some social and environmental problems, and was costly (Fearnside 1997). The use of floating cage aquaculture (FCA) to resettle 3,000 of the 40,000 displaced families locally was proposed since FCA was deemed compatible with engineering forecasts of dam operations and drawdowns (Costa-Pierce and Soemarwoto, 1990). The purpose of this paper is to describe the initial institutional framework, planning, and policy efforts, and extension and training programs conducted during the project; and to discuss the reasons for project success, failures, and long term constraints to environmental and social sustainability in light of the possible transfer of this model to other (especially Asian) nations with similar aquatic resources, social and economic development scenarios. Details of the project’s technical, aquaculture, fisheries, and economic aspects have been reported elsewhere extensively (Costa-Pierce and Soemarwoto, 1990; Sutandar et al., 1990; Costa-Pierce, 1997), and will be mentioned herein only for their relevance to the discussion of social, institutional and environmental sustainability and transfer of technologies.
Institutional Framework and Planning Process
Funding for the resettlement aquaculture efforts was obtained from the World Bank as a small portion of a larger loan package to the Indonesian State Electric Company (PLN) for dam construction at Cirata. The aquaculture development portion of the World Bank loan was divided into local (Rp 917,441,530) and foreign currency (US$ 416,690) components and administered by IOE (local) and ICLARM (foreign) agencies for project implementation (at project initiation in January 1986, 1 US$ = 1,130 Indonesian Rp [IDR]; in September 1986 the IDR was devalued to 1,640).
The primary objectives of the project were to provide:
[1] Technical Support: applied ecological, capture fisheries, aquaculture research, extension, training, and other support services to the West Java Provincial Fisheries Agency (Bandung, Indonesia) in order to facilitate rapid resettlement of 3,000 families in either full or part-time jobs in reservoir aquaculture, capture fisheries, or related support industries in the two hydropower reservoir areas: the Saguling reservoir (1,500 families) and Cirata (1,500 families) reservoir areas;
[2] Planning: a comprehensive reservoir fisheries and aquaculture development and management plan for population resettlement.
Despite the relatively large information base available in freshwater aquaculture development and capture fisheries management in Asia, there were no previous experiences anywhere involving the resettlement of such a large number of persons through a planned development program of reservoir cage aquaculture, and its allied land-based aquaculture support systems (such as hatcheries and nurseries). For this reason, The World Bank suggested that IOE associate with an international fisheries research organization (ICLARM) to assist with technical advice in fisheries and project implementation.
A new institutional framework had to be formulated for project implementation because loan documents were inadequate in defining an overall administrative structure for the project and in delegating individual institutional responsibilities. The IOE was chosen as the lead agency to coordinate a multidisciplinary applied research and training program that involved agricultural economists, sociologists, demographers, anthropologists, agronomists, forestry, animal husbandry, capture fisheries, and aquaculture professionals. To assist IOE’s applied research program, ICLARM provided the services of a full time resident consultant fisheries scientist. ICLARM also provided specific short-term scientific expertise in capture fisheries, aquaculture, and fisheries marketing and economics. The Indonesian government’s West Java Provincial Fisheries Agency created a special reservoir fisheries technical implementation unit that established offices at both the Saguling and Cirata dam sites to lead the local extension and training efforts. IOE also hired fisheries extension personnel on three year contracts to facilitate more rapid transfer of applied research results to villagers and to coordinate extension activities with the government’s technical implementation unit. The Indonesian State Electric Company (PLN) provided funding, institutional coordination, and unlimited access to the reservoir areas for research and development activities, since, after compensation monies were paid, the reservoirs and their drawdown areas were PLN’s "private property".
Upon delegation of responsibilities, a planning process was undertaken by IOE and ICLARM to apportion the large workload into teams in order to implement the diverse number of applied research activities to be conducted with the displaced people (Table 1). Geographic areas where applied research was to be conducted were chosen in new or expanded villages having the largest numbers of displaced residents (taken from the electric company’s compensation reports).
Applied research was done in a participatory manner with villagers in capture fisheries, aquaculture, drawdown agriculture, sociology, fisheries economics and marketing. A number of different types of low cost, water-based, cage aquaculture systems were developed and tested (Costa-Pierce and Hadikusumah, 1990, 1995). Fish cage capital costs ranged from Rp 491,000 ($299) for cages having recycled oil drums and wood frames for flotation, to Rp 177,500-274,500 ($108-$167) for cages having bamboo or banana logs for flotation. Low cost "mini" cages (17.3 m3) were also developed that cost between $20-$70 to construct (Costa-Pierce and Hadikusumah, 1990). In addition, a suite of low cost land-based hatchery and nursery aquaculture systems were developed. In contrast to the report of Zerner (1992), aquaculture systems developed were simple and not elaborate and were well within the financial means of the majority of the displaced people (Costa-Pierce and Hadikusumah, 1990; Rusydi and Lampe, 1990).
Technological interventions in land-based aquaculture were based upon existing models of traditional knowledge systems in integrated agriculture-aquaculture farming ecosystems present for over a hundred years in West Java (Djajadiredja et al., 1980; Thornburn, 1982). Cage aquaculture technologies were based upon previous Indonesian and overseas experiences (Costa-Pierce et al., 1988, 1989a,b,c,d,e; Gonzales, 1984; Hai and Zweig, 1987; Pullin, 1986; Rifai, 1985). Development of the land-based and water-based aquaculture systems was integrated in an attempt to integrate the new, water-based reservoir cage systems into an existing social ecological system of traditional pond hatchery and rice-fish nursery systems, thereby creating as many new jobs as possible by using aquaculture's "mulitplier effects" (Costa-Pierce, 1992; Koesoemadinata and Costa-Pierce, 1992; Costa-Pierce, 1997).
Farming Systems Extension and Training Programs
Two extension approaches were used to disseminate to displaced persons aquaculture technologies. For new "water farmers" totally unfamiliar with traditional aquaculture technologies in West Java, adoption/diffusion techniques (Pollnac, 1982) were chosen. For farmers who knew about traditional cage aquaculture, or land-based aquaculture techniques, a farming systems research and extension approach was used (Chambers et al., 1989). This division of extension efforts was not a hard and fast categorization, however. It was left up to farmers themselves to choose which training sessions they wanted to attend. Many farmers attended sessions using both extension techniques.
Traditional Training Methods
In 1982, three years before the first reservoir was to be flooded (Saguling was flooded in 1985-86), formal classroom and hands-on training in cage aquaculture was conducted with a small group of selected residents (mostly village leaders) that were to be displaced. Hands-on practical training in cage aquaculture was conducted in a small, shallow lake in Bogor (Lake Lido), and in an existing, downstream reservoir (Jatiluhur, Indonesia). In addition, a special "fisheries dike area" was created by the State Electric Company in the Saguling Reservoir for cage aquaculture experiments before the flooding of the main part of the reservoir (Rifai, 1985). Aquaculture training was conducted for 24 displaced persons by the Research Institute for Freshwater Fisheries, Bogor and the Department of Fisheries, Padjadjaran University in this diked area. Two displaced farmers from this latter group subsequently received loans from the Bank of Indonesia to develop cage aquaculture businesses after initial experimental results showed the potentials for high yields and profits (Rifai, 1985).
The two pioneer farmers successfully paid back loans from the Bank of Indonesia by just the second year of operation. Their positive results attracted a great deal of community interest. At the same time, the State Electric Company facilitated a highly publicized visit by the Governor of West Java to these two farmers. These pre-inundation events created a widespread awareness of the potential of cage aquaculture among Saguling’s displaced people, and the two successful farmers later became "kader-kader petani ikan" (fish farmer facilitators).
Further experimental work from 1986 to 1990 developed a "basket" of low cost technologies in cage aquaculture, small scale ("backyard") fish hatcheries, water-based hatcheries, and integrated rice-fish nursery systems appropriate to the rural expertise, availability of capital and construction materials, and management complexity of displaced farmers (Costa-Pierce, 1992, 1997; Costa-Pierce and Hadikusumah, 1990, 1995). All research employed displaced villagers (the beneficiaries for whom the technologies were intended) who worked with scientists from the outset. Simultaneously the West Java Provincial Fisheries Agency and IOE/ICLARM collaborated to offer a number of short courses of 1 week to 3 months duration for villagers at offices of village headmen. These courses were held in over 20 districts in the Cirata region and were attended by over 500 persons. Courses covered operations of numerous types of land and water-based aquaculture systems having high and low capital costs (e.g. intensive raceway systems, hatcheries, small and large cages, pen systems, rice-fish culture), plus instruction to villagers on how to formulate fish feeds, and process and market fish (Table 2).
Fish Farmers’ Association (FFAs)
A Saguling Fish Farmers’ Association (SFFA) was formed in late 1985, and by end 1989 had over 700 members. Leadership of the SFFA was by the two pioneers who successfully repaid their loans (subsequently, these two and their families became the most powerful members of the fish farming community). The SFFA was formed by the Technical Implementation Unit of the West Java Provincial Fisheries Agency who also assisted farmers with obtaining bank loans and marketing fish.
In Cirata, a government Village Cooperative Unit (Korporasi Unit Desa, or KUD) took the lead in cage aquaculture development with assistance from the government’s Technical Implementation Unit. In 1989, the cooperative obtained a government loan package in excess of Rp 100 million to develop cage aquaculture in Cirata.
Farmer Participatory Training Methods
A farming systems research and extension approach was chosen since it was known that West Java had a unique cultural heritage and a large bank of traditional knowledge in many areas of land and water-based aquaculture and integrated farming systems (for examples see Djajadiredja et al., 1980; Thornburn, 1982; Little and Muir, 1987; Costa-Pierce and Effendi, 1988). Many traditional aquaculture systems and much of the existing farmers’ knowledge could be used directly, or modified and adapted for use.
It was decided that all adaptive research should employ the villagers from the outset, and that the villagers would be involved throughout the success or failures of the aquaculture research, development, and adaptation processes. Using this approach, farmer recipients were made active, valued participants in both the process and evaluation of the suitability of chosen technologies for their needs. There was a high level of indigenous, aquaculture farming knowledge in the rural society where the development project was undertaken. Surveys before the project began documented a wide diversity of aquaculture systems already existed; that farmers in the surrounding region had an impressive management capability; and farmers were already doing detailed practical experiments (Koesoemadinata and Costa-Pierce, 1992). In the design of the efforts project scientists realized that it was best if the scientists recognized these farmers and their indigenous knowledge for the value of their innovations, since this approach would speed the choice of more promising and more relevant research topics of direct value to the intended beneficiaries. Lightfoot (1987) has also pointed to the unique value of indigenous research by farmers to setting the research agenda of both on- and off-station research workers.
Three cage aquaculture research stations were constructed to test a variety of low cost technologies ("the basket") under three different but prevailing limnological and social/cultural conditions in Saguling in the years just after reservoir filling (the "on-station" experimentation phase).
Establishment of Community Integrated Aquaculture Schools
While development of the aquaculture resettlement option was the main concern of the project, it was clear from the outset that a more holistic approach to applied research, extension and environmental restoration would be necessary. To accomplish this, community schools (called "Pusat Penelitian Sistem Teringegrasi Tanaman, Ternak dan Ikan"; or Research Centers for the Integrated System of Plants, Farms Animals, and Fish) were created in three villages surrounding the Saguling reservoir with the largest percentage of displaced residents.
The project rented village houses for a 3-year period in two villages in Saguling’s northern region (Cangkorah and Cipondoh villages) and one in the southern region (Awilarangan village), in areas having excellent technical capabilities for cage aquaculture, and having boat and road access to markets. Another house was rented in Mande village to coordinate applied research and community training activities in Cirata.
Village schools had a permanent IOE/ICLARM staff member stationed at the houses who coordinated all applied research projects, hands-on training, and community relationships. Villagers were employed to carry out all aquaculture construction, labor and routine tasks at the schools. Village schools were the center of all collaborative research activities with villagers and between the various outside institutions and other outside villagers visiting the schools. Village schools were visited regularly on overnight stays by IOE, ICLARM, Provincial and Technical Unit personnel to mentor progress, to discuss results internally, and to meet and discuss progress with villagers.
Village schools were replete with displays, photographs and extension aquaculture books written in both the local and national languages (Costa-Pierce et al., 1989a,b,c,d,e). Programs at the village schools focused not only on aquaculture but also had working demonstrations in animal husbandry, composting, soil conservation, capture fisheries, fish feed formulation, and fish processing technologies. The village schools also promoted an environmental rehabilitation system which took a system ecology approach to small farm development. Many ecological principles were intuitively familiar to the sophisticated rural farmers, but scientific staff also introduced them to a wide range of new technologies (cage aquaculture, land-based aquaculture systems such as hatcheries and new rice-fish systems), rabbit husbandry, earthworm culture and composting, insect culture, fish and animal processing and marketing, and agroforestry and erosion control (Maskana et al., 1990).
It was estimated from records kept at the schools that over 4,000 villagers visited the four village schools from 1986-1990.
Farmer-to-Farmer Visits
Once the Saguling cage culture industry began its remarkable expansion, the task of attracting new entrants was of little concern for the project. Indeed control of the number of cages became an issue as early as 1989, since cages became concentrated in one of the southern sectors of Saguling reservoir (Bongas region). By the end 1989, over 80% of the cage aquaculturists in Saguling were concentrated in this region (Rusydi and Lampe, 1990). The Bongas region had an excellent technical capability for cage aquaculture (a long, deep, sheltered bay with good flushing), a good economic infrastructure, and had excellent market access to fish fingerling and feed suppliers. Given the obvious success of development of cage aquaculture in Saguling, by mid-1988, project extension efforts shifted to the new Cirata reservoir.
Since, in familiar cultural settings, diffusion of innovations can occur as rapidly with informal farmer contacts as in formal courses (Kang and Song, 1984), a "hands-off extension approach" was used to develop aquaculture in Cirata. Simple farmer-to-farmer visits were sponsored for displaced residents from the new Cirata reservoir. In structured visits, prospective water farmers from the Cirata reservoir region were sponsored to visit the "aquaculturally developed" regions of the Saguling reservoir. Extension personnel were present to answer questions, to distribute free aquaculture workbooks in the local language, to provide "social lubrication", and to take care of personal needs. These visits were a tremendous success. By end 1989, 94 cages (40 families) were operating in Cirata with no formal course work or extension programs having been conducted. By end 1992, fish production in Cirata was estimated at 3,880 tons (Table 3).
Information Resources
It was found that Saguling’s cage fish farmers were well educated, with 94% having completed elementary school (Rusydi and Lampe, 1990). Almost all of the people could read extension workbooks if they were in the local Sundanese language. Far fewer villagers could read extension materials in the national language (Bahasa Indonesia), and almost no one could read English. As a result, simple "comic book" type workbooks on floating net cage, pen, small-scale hatchery, and small cages were published in the local Sundanese dialect and distributed widely (Costa-Pierce et al., 1989a,b,c,d,e).
Workbooks were made available free at all IOE/ICLARM community schools, and at the offices of the government’s Technical Implementation Unit at the reservoir dam sites. Books were used widely by extension officers and trainers in formal courses in villages. Workbooks were also available free to all members of the Saguling Fish Farmers’ Association and Village Cooperative Units in Cirata.
During visits to cage culture operators in Saguling and Cirata in 1989-1990, it was frequently observed that these workbooks were among the only reading materials available in village residences. Children seemed to particularly value the "comic book nature" of the materials; to the point that, cage culture "toys" appeared in one village.
Study Tours to Nations with Relevant Experiences
Many aquaculture technologies successful in one developing nation can be transferred to other nations with similar development circumstances after adaptive research is undertaken (World Bank, 1982). However, West Java has a unique aquaculture history, a wealth of experience, and capable fisheries institutions and scientists involved in aquaculture of common carp and other species (Costa-Pierce and Hadikusumah, 1990). However, it was noted that:
1. Saguling and Cirata were very eutrophic reservoirs with a large potential for "no feed", or extensive cage aquaculture, and
2. much of the specific technology to diversify the reservoir cage culture industry and assist the poorest of displaced residents [e.g., by evolving a low cost or extensive cage aquaculture, particularly for Nile tilapia (Oreochromis niloticus) and Chinese silver (Hypophthalmichthys molitrix) and bighead (Aristichthys nobilis) carps] was lacking;
It was felt by project scientists that transfer of modern methods and management practices in extensive aquaculture to the Indonesian reservoirs would not be a prolonged proposition or expensive exercise. The Philippines has a wide diversity of successful tilapia cage and pen aquaculture, and extensive cage aquaculture for the Chinese carps has been successful in lakes in China, Nepal, and Singapore (Choookajorn, 1982; Gonzales, 1984; Guerrero, 1982; Pullin, 1986; Hai and Zweig, 1987).
It was decided to arrange two study tours in 1987-88 for selected scientists from the Indonesian State Electric Company, IOE, and the Technical Implementation Unit to transfer technology rapidly from Asian nations with relevant experiences in low-cost cage aquaculture to Indonesia (Costa-Pierce et al., 1988; 1989e).
This transfer of technology by sponsoring overseas study tours was very successful. By end 1989, 26 small-scale cage hatcheries for an Indonesian variety of red tilapia (hybrids of Oreochromis spp.) were being operated by resource poor farmers in Saguling. Two tilapia growout operations started in 1989-1990. In addition, in 1990, a number of cage operators started doing polycultures of common carp and red tilapia in cages. Active research in tilapia aquaculture was started by the Provincial Fisheries Agency, at the local University (Department of Fisheries, Padjadjaran University), and at IOE.
Short-Term Analysis of Successes and Failures (1986-1993)
Aquaculture as a means of sustainable rural development in developing nations has been sharply criticized by a number of authors (Zerner, 1992; Folke et al., 1994; Costa-Pierce, 1996; Kautsky et al., 1997); and, in general, remains an elusive goal. The main problems have been insufficient attention to realistic economic appraisals, a lack of social concerns, especially social impacts on equity, a lack of expertise, and a lack appropriate technologies incorporating traditional knowledge (Pollnac and Sihombig, 1996).
The reservoir aquaculture resettlement project was successful in a technical sense in developing numerous new land and water-based aquaculture systems and associated aquaculture support industries in villages surrounding the two new hydropower reservoirs (IOE and ICLARM, 1989; Sutandar et al., 1990; Costa-Pierce and Soemarwoto, 1990; Costa-Pierce, 1997). The project trained a documented 2,081 persons and recorded over 4,000 visits to village schools; by 1992, an estimated 7,527 persons were directly or indirectly involved in fish production; and at the end of 1996 total annual fish production from cages from the two reservoirs was an amazing 24,496 tons.
It is important to reflect a little on the magnitude of this production. The reported range of capture fisheries production in Southeast Asian reservoirs is just 5 to 675 kg/ha/year (De Silva, 1988). In 1996, cage aquaculture in the Saguling and Cirata reservoirs produced 2,130 kg/ha/year (24,496/11,500 ha). And expansion of production is possible with existing technology and better siting. Costa-Pierce and Hadikusumah (1990) demonstrated that each cage could produce fish at 3 tons/year if adequate supplies of fingerlings were available. Applied across the 16,400 cages (at carrying capacity) would yield 49,200 tons of fish and generate an estimated $49.2 million per year ($1 per kg) at capacity. And the production potential of simple cage systems doesn't stop there. Costa-Pierce (1997) noted the proliferation of a new type of "condominium" cage aquaculture systems in the Bongas area of the Saguling reservoir that had a production potential of 10 tons per cage per year! Clearly, the cage aquaculture systems in the Saguling and Cirata reservoirs present a exciting new model of large scale protein food production for a protein-hungry Asia, that could, if sustainable, represent a new, globally-important food resource ecosystem.
The most important factors contributing to the initial technical success of the development efforts in the first seven years were:
1. presence of a defined, educated target group. Lists of names with addresses of displaced persons from reservoir inundation were obtained from the electric company along with how much compensation money these people obtained. While in many cases the electric company lists were found to be outdated or wrong, the fact that some information did exist helped to identify:
a. the exact geographic scope of the project (new and old villages with largest numbers of displaced families),
b. families who had backyard fish ponds before the reservoir, and therefore had a traditional knowledge of aquaculture ecosystems;
2. ready availability of investment capital. Lack of the ready availability of start-up capital often constrains aquaculture development among the rural poor (the target group of many development assistance projects). All villagers in Saguling obtained compensation money from the electric company; 92% received less than Rp 6 million, and 8% over Rp 6 million (Suwartapradja and Achmad, 1990). Having a large amount of cash available allowed immediate investment in new aquaculture businesses. However, for the poorest residents, compensation monies were not enough to replace homes and lands lost due to increased land prices, speculation, and inflation (Cernea, 1997);
3. lack of alternative employment opportunities in both rural agricultural and human ecosystems. Rural population densities increased 2-3 times due to the reservoirs, from a range of 237-1,691 persons/km2 before the reservoir to 476-4,292 persons/km2 after (Suwartapradja and Achmad, 1990). These are among the highest "rural" population densities anywhere in the world. According to Collier et al. (1977), by the late 1970's the rice agroecosystem in Java could not absorb more rural labor. They predicted massive migration to coastal Javanese cities if a solution was not found (and one wasn't: Jakarta boomed from 11.9 to 17.1 million in the 1980's).
4. local traditional knowledge of aquaculture and cage culture. Dahlman and Westphal (1981) describe the success of development assistance in terms of the "technological mastery" of a system, which they define as "the autonomous ability to identify, select, and generate technological improvements and changes". Rapid adoption of the fish cage systems in the reservoirs was influenced by the inherent innovativeness of farmers in West Java. Farmers operating existing agro-and aquaecosystems in the province had an impressive amount of indigenous knowledge and vibrant on-farm "trial and error research" systems that were characterized by a great deal of individual innovation. Fliegel (1984) also viewed the adoption of change as being directly influenced by the basal level of innovativeness present in a society.
5. large market demands and relatively high prices for freshwater fish. Kusnadi and Lampe (1990) noted that price fluctuations for freshwater fish observed in Jakarta were small even though strong seasonal fluctuations in fish supplies occurred. Given the increasing population density and increasing incomes of Jakarta residents (who eat about 14 kg of fish per capita per year), market demands for freshwater fish were large;
6. ready access to large urban markets on paved roads;
7. suitable environment. Saguling had many deep, sheltered bays very suitable for cage aquaculture (Soemarwoto et al., 1990; IOE and ICLARM, 1989; Costa-Pierce, 1997);
8. institutional cooperation. Although difficult to coordinate, and necessitating a larger than anticipated administrative load, the cooperation and technical assistance of government, electric company, ecology, and fisheries organizations was critical;
9. accessibility of rural extension services. Rusydi and Lampe (1990) report that 90% of Saguling’s cage culturists with a single fish cage participated in extension and training programs, and that 44% of all cage farmers got information from training or extension programs.
Problems and Lack of Sustainability of the Aquaculture Resettlement Option (1994-present)
The main problems experienced in the course of this project were:
1. Resources for Whom? The Problem of Equity. When the cage aquaculture industry began to take off, rich people from the urban centers of Bandung/Jakarta began to enter the industry. By the end of 1996 these "outsiders" owned 52% of the cages in Cirata (Table 4), and had acquired nearly complete control over the marketing sectors. The West Java Provincial Fisheries Agency made government regulations on the cage industry specifying that only displaced persons could get permits to use the reservoir waters for aquaculture and fisheries. These regulations were later codified into Provincial laws, stipulating that only the displaced people were allowed to operate cages and that the number of cages could not exceed four cages per family. The permitting process was to be controlled by the Fisheries Department.
However, by 1994 outsiders had found the "back door route" was an easy way to obtain access, and they paid off government agents, village leaders, and other local people to get permits. Outsiders undermined the ownership of the new aquatic resources with their financial abilities to employ the displaced persons as managers or laborers in the cage industry in return for "shadow ownership". The aquaculture permit was in the name of a displaced person but the owner was an absentee "waterlord" in the city. Consolidation of the aquaculture industry into the hands of the rich puts into question any long term social benefits of the project (Zerner, 1992).
2. multidisciplinary nature of the efforts. While commendable, such multidisciplinary environmental efforts require more administration than traditional, disciplinary ones. Such extra administrative efforts must be funded. In this case, it was not. It was difficult to coordinate all the professionals needed for project implementation. Many persons had difficulty seeing beyond the narrow bounds of their professional training. It was felt, however, that developmental situation would have been even worse if the project had been led by a conventional fisheries or aquaculture research organization, rather than by an ecology institution. Ecologists, in general, have a more "generalist" training, and overall were more sensitive to interactions and interfaces.
3. Vague Nature of Institutional Agreements and Responsibilities. The institutional framework for project implementation between electric company, university, fisheries, regional and village political institutions had to be created by the project, necessitating the above-mentioned larger than anticipated administrative load. In addition, each institution occasionally (and repeatedly) had their own interpretation of what the project agreement actually said. And in some cases, these separate institutions actually carried out their interpretations of the agreements without communicating with others, causing duplication and disagreements.
4. Self-Pollution. IOE/ICLARM (1989) calculated the aquaculture carrying capacity of the two reservoirs was 16,400 cages (5,800 in Saguling and 10,600 in Cirata). Depending on the availability of adequate numbers of fingerlings, each cage could produce, conservatively, 1-3 tons fish/year, or a final carrying capacity of 16,400-49,200 tons of fish per year (Costa-Pierce and Hadikusumah, 1990). IOE/ICLARM (1989) also included a dispersal of cages throughout most the suitable sites for cages (deep, sheltered, and well-flushed bays) (Figure 2). This areal distribution of cages did not occur. Farmers crowded into a very few select bays of the Saguling reservoir (southern Bongas region) and Cirata reservoir (Janggari region) due to better availability of the village and economic infrastructures, and better access to large fish markets in Sukabumi, Bandung, and Jakarta. This crowding led to "self-pollution" by the cages due to waste feed and nitrogen discharges from the cages (and the wastes of an increasing number of residents on the surface of the water) (Soemarwoto et al., 1990). The result has been development of nuisance algal blooms and more frequent oxygen depletions, leading to large fish kills.
5. Industrial Pollution. In the 1990's Indonesia experienced high rates of industrial growth, especially in the manufacturing sector. In the Saguling-Cirata reservoir region, there has been an especially rapid growth in the textile industry. Some of these textile mills discharged untreated wastes into the Saguling reservoir, and were cited by residents as causing fish kills. Industrial wastes discharged to the reservoirs threaten the very basis of the entire cage aquaculture developments and are a principal concern to the public and product safety now and into the future.
The Lack of Social Sustainability: Aquaculture’s Role in Equity and the Rural Poor
Aquaculture development has often promised the rural poor in developing countries increased access to rural jobs, and better incomes in an environmentally-sensitive, non-polluting business. In this case study, however, even strong government laws and other regulations controlling access, the number of cages (4 per family), and a permitting system reserved only for displaced persons could not stop the new aquaculture industry from being usurped and consolidated into the hands of the urban rich. In addition, planning could not stop the haphazard crowding of cages into a very few areas of the reservoirs where the wastes caused self pollution and economic losses. Benefits of the new reservoir aquaculture enterprises in Indonesian reservoirs have accrued increasingly to those with adequate capital and power who are not displaced persons (Table 4). The poorest of the displaced residents have been largely resigned to laboring in the industry, rather than controlling it.
The institutional will to enforce control over access has evaporated when cage numbers exceeded the guidelines and problems appeared. The fisheries department is the responsible authority for the cages, the water resources directorate owns the water, and the State Electric Company the dam and the reservoir bottom, but none of these agencies is willing to restrict new cage development or enforce their own laws (T. Walton, personal communication 1997). In addition, there is a new problem because in the drive for privatization, the reservoirs are now operated not by the State Electric Company (PLN), but by wholly owned subsidiary companies of PLN.
However, there have been a number of positive, "trickle-down" type of benefits for the rural poor. It has been estimated that the new aquaculture industry created many new jobs in a rural area of severe underemployment (22 new types of rural jobs have been documented; Costa-Pierce, 1997). These new jobs were higher paying (it has been estimated that cage aquaculture workers earned about Rp 56,000 per month more than rice field workers in the same area); and the new work was less rigorous than hard labor in rice paddies (Costa-Pierce, 1997). In 1992, it was estimated that 7,527 persons were employed either full- or part-time in the reservoir aquaculture industry in the two reservoirs: 1,162 directly and 6,365 indirectly (Costa-Pierce, 1997). More difficult to discern is that if any of the trickle-down benefits were due to these new and high paying aquaculture jobs or are simply due to the increased economic opportunities that have been available to most of Java in the 1990’s.
The Lack of Environmental Sustainability: How to Ensure Sustainability of Cage Aquaculture Production in Tropical Reservoirs
The West Java Provincial Fisheries Agency led the drafting of two 5-year plans for reservoir aquaculture development in Saguling (1985-89) and Cirata (1988-92) (Effendi, 1985, 1988). Plans called for a stepwise development of cage aquaculture with 3,195 tons of fish to be produced from cages in Saguling and Cirata in equal amounts by 1992 (6,390 tons total), along with development of other land and water-based aquaculture support systems (Table 5). Cage aquaculture developed much more rapidly and in a much more haphazard fashion. Instead of 6,390 tons by end of 1992, fish production was estimated at 7,933 tons (Table 3). The IOE/ICLARM (1989) reservoir fisheries and aquaculture development plan estimated a carrying capacity of 5,800 cages for Saguling and 10,600 for Cirata, or 16,400 total fish cages distributed throughout the reservoirs (Figure 2). There are an estimated 25,558 cages in Cirata in 1996 (Table 4), and these are crowded into very few areas. As a result, more frequent oxygen depletions have occurred since 1993, leading to large fish kills in Saguling (> 500 tons in 1994-95).
There is a significant role for an ecosystems approach to developing aquaculture, by designing non-polluting aquaculture ecosystems and closing biogeochemical nutrient cycles as an alternative approach to the "feedlot" aquaculture scenarios (Folke and Kautsky, 1992; Costa-Pierce, 1996). High nutrient inputs enter the reservoirs from surrounding urban areas making a high biomass of plankton available year round. Plankton could be cropped by fish in cages in "extensive", or no feed, cage culture of the tilapias and Chinese carps (Hai and Zweig, 1987; Costa-Pierce, 1997). In addition, "condominium" cages having one insert cage suspended above another with fish that are fed, and an outer cage having a crop of fish that is unfed, could increase fish production from the same area of water surface, increase feed efficiency, and decrease self- and external environmental pollution (Costa-Pierce, 1997). It is recommended that an expansion of "no feed" cage aquaculture systems for Chinese carps and tilapias be developed and that more emphasis on development of land-based hatcheries and rice-fish nursery systems be given. Emphasizing an ecosystems approach and developing ecosystems technologies would also better concentrate aquaculture’s local economic development and multiplier effects.
Conclusions
Due to uncontrolled population growth and increased demands for water and power, there has been a boom in hydropower construction since the 1950’s, especially in Asia. New methods are needed to manage reservoirs for sustainable food production and restore the livelihoods of displaced peoples. In these studies, an interdisciplinary, "social ecological" approach was used to develop aquaculture as a means of local population resettlement and income restoration. Village participatory research methods were used to develop a "basket of low cost aquaculture systems", and encourage development of intimate societal interactions with the new land-water aquatic ecosystems in villages most impacted from hydropower reservoirs, as opposed to moving people far away from these new environments. There are numerous situations in the developing countries of Asia where this paradigm may be of interest.
Aquaculture’s role in sustainable rural development must be determined by the agenda of the intended beneficiaries. Sophisticated traditional methods of aquatic ecosystems management exist in numerous developing nations, especially in Asia. By involving the target group from the outset to develop a step-by-step technology and social adaptation program we have evolved a set of appropriate technologies based on traditional aquaculture ecosystems in the Saguling-Cirata reservoir region that present a exciting new model of large scale protein food production for protein-hungry Asia. It is argued that social and environmental restoration of damaged watersheds from dam construction can only be accomplished through such active involvement of displaced people who have an investment in rehabilitation. In this case an integrated program using the principles of farming systems research and extension methods allowed the necessary flexibility of choices to be made by the people themselves on the best component technologies they could capitalize on and manage. Reservoirs offer unique opportunities to educate people about their new environments and for formulating innovative, flexible, and evolutionary ownership patterns and agreements between electric companies, research institutions, nongovernmental organizations, and communities to meet a common set of restoration goals.
Few reported aquaculture development experiences in any country have met with such remarkable success in as short a period of time as the reservoir cage aquaculture developments in Saguling and Cirata in Indonesia. But success of the fish cage aquaculture industry can not only be measured by tons of fish. These aquaculture systems are fragile, and presently are unsustainable both environmentally and socially. This study shows clearly that sustainability of aquaculture requires government support in the form of technical extension inputs, strict enforcement of its own regulations on access permits, systems numbers, and pollutant discharges, and clear institutional commitments to equity. If a means could be found to ensure the more equitable distribution of long term benefits to the target group this notion of developing floating cage aquaculture in artificial reservoirs as a new source of aquatic protein could, in the future, represent a new, globally-important food resource.
The development scenario reviewed here is characterized by rapid, dynamic and constant change. For this reason, it is recommended that comprehensive, long term studies of the fish cages, and the people be done. These people have made a huge social leap from being principally highland rice farmers to fish farmers, transiting in a few short years from being land farmers to water farmers. They are a remarkable group of people, a unique living laboratory of new indigenous knowledge. These people could teach us a great deal about the global and localized factors contributing to success, and provide more accurate forecasts in order for scientists and policy-makers to better judge the applicability of the aquaculture resettlement option to other developing countries.
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TABLE LEGENDS
Table 1. Planning process used to complete an implementation plan for applied research in integrated reservoir fisheries and aquaculture development.
Table 2. Subject areas covered in formal aquaculture training courses offered by the aquaculture resettlement project in impacted villages.
Table 3. Fish production in the Saguling and Cirata Reservoirs from 1985 to 1996. Saguling was filled in 1985-86 and Cirata in 1986-87. NA= not available due to a year when no surveys were done or because the data are forthcoming.
Table 4. Numbers of resettled or outsider families operating fish cages in the Cirata Reservoir at the end of 1996. (data from the West Java Provincial Fisheries Service 1996).
Table 5. Five year step-by-step development plan for the development of aquaculture systems for resettlement in the Saguling and Cirata reservoirs (Effendi, 1985, 1988).
FIGURE LEGENDS
Figure 1. Social and environmental impacts of hydropower development on a tropical watershed and landscape ecosystem (Costa-Pierce, 1997).
Figure 2. Aquaculture development plan for the Cirata reservoir (Effendi, 1988). The plan portions water-based aquaculture systems (floating cages, net pens) and land-based aquaculture systems (hatcheries, rice field fish nurseries and intensive running water systems) in and around the 6,200 ha reservoir. Effendi (1988) forecast aquaculture production from floating cages in Cirata to be 1,597 tons by 1992. Fish aquaculture production in Cirata actually grew much more rapidly - annual fish production reached 3,880 tons by 1992 (Table 3). Administratively, the reservoir was located in two regions (Bandung and Cianjur; kabupaten = kab.) and four districts (kecamatan = kec.) of kabupaten Cianjur.